Abstract
In response to recent financial scandals (e.g. those involving Enron, Fortis, Parmalat), new regulations for protecting the society from financial and operational risks of the companies have been introduced. Therefore, companies are required to assure compliance of their operations with those new regulations as well as those already in place. Regulations are only one example of compliance sources modern organizations deal with every day. Other sources of compliance include licenses of business partners and other contracts, internal policies, and international standards. The diversity of compliance sources introduces the problem of compliance governance in an organization. In this paper, we propose an integrated solution for runtime compliance governance in Service-Oriented Architectures (SOAs). We show how the proposed solution supports the whole cycle of compliance management: from modeling compliance requirements in domain-specific languages through monitoring them during process execution to displaying information about the current state of compliance in dashboards. We focus on the runtime part of the proposed solution and describe it in detail. We apply the developed framework in a real case study coming from EU FP7 project COMPAS, and this case study is used through the paper to illustrate our solution.
Chapter PDF
Similar content being viewed by others
References
COMPAS Deliv. D1.2: Core Meta-models, Templates, and Languages (2009)
COMPAS Deliv. D1.3: MDSD Software Framework for Business Compliance (2009)
COMPAS Deliverable D5.3: Final Goal-oriented Data Model (2009)
COMPAS Deliverable D5.4: Reasoning Mechanisms to Support the Identification and the Analysis of Problems Associated with User Requests (2009)
Awad, A., Weidlich, M., Weske, M.: Consistency checking of compliance rules. In: Business Information Systems. ch.10, vol. 47, Springer, Heidelberg (2010)
Giblin, C., et al.: From regulatory policies to event monitoring rules: Towards model-driven compliance automation. Technical report, IBM Zurich (2006)
Rodríguez, C., et al.: Analyzing compliance of service-based business processes for root-cause analysis and prediction. In: Proceedings of ESW 2010, Springer, Heidelberg (2010)
Schumm, D., et al.: Integrating Compliance into Business Processes: Process Fragments as Reusable Compliance Controls. In: Proc. of the Multikonferenz Wirtschaftsinformatik (MKWI 2010), Universitätsverlag, Göttingen (2010)
Daniel, F., et al.: Business compliance governance in service-oriented architectures. In: Proceedings of the IEEE Twenty-Third International Conference on Advanced Information Networking and Applications (AINA 2009), Bradford, UK ( May 2009)
Governatori, G., et al.: Detecting regulatory compliance for business process models through semantic annotations. In: Ardagna, D., Mecella, M., Yang, J. (eds.) Business Process Management Workshops. ch. 2, vol. 17, Springer, Heidelberg (2009)
Tran, H., et al.: Modeling Process-Driven SOAs - a View-Based Approach. In: Cardoso, J., van der Aalst, W. (eds.) Information Science Reference (2009)
Henry, T.: Product for managing governance, risk, and compliance: Market fluff or relevant stuff? Report of Burton Group (March 2008)
Kuester, J., Ryndina, K., Gall, H.: Generation of business process models for object life cycle compliance. In: Alonso, G., Dadam, P., Rosemann, M. (eds.) BPM 2007. LNCS, vol. 4714, pp. 165–181. Springer, Heidelberg (2007)
Ly, L.T., et al.: Integration and verification of semantic constraints in adaptive process management systems. Data Knowl. Eng. 64(1), 3–23 (2008)
El Kharbili, M., et al.: Policy-based semantic compliance checking for business process management. In: Proceedings of the Workshops co-located with the MobIS2008 Conference, aarbrücken, Germany. CEUR Workshop Proceedings, vol. 420, pp. 178–192 (November 2008), CEUR-WS.org
El Kharbili, M., et al.: Towards a framework for semantic business process compliance management (2008)
Michelson, B.M.: Event-driven architecture overview. Report of Patricia Seybold Group (2006)
Namiri, K., Stojanovic, N.: Pattern-based design and validation of business process compliance. In: Meersman, R., Tari, Z. (eds.) OTM 2007, Part I. LNCS, vol. 4803, pp. 59–76. Springer, Heidelberg (2007)
Object Management Group (OMG). Business Process Model And Notation (BPMN). Version 1.2, OMG Specification (January 2009)
Silveira, P., et al.: On the design of compliance governance dashboards for effective compliance and audit management. In: Proc. of the 3rd Workshop on Non-Functional Properties and SLA Management in SOC, NFPSLAM-SOC 2009 (2009)
Iannella, R.: Open Digital Rights Language (ODRL). Version 1.1, (Septmeber 2002)
Robinson, W.: A requirements monitoring framework for enterprise systems. Requirements Engineering 11(1), 17–41 (2006)
Sadiq, S.W., Governatori, G., Namiri, K.: Modeling control objectives for business process compliance. In: Alonso, G., Dadam, P., Rosemann, M. (eds.) BPM 2007. LNCS, vol. 4714, pp. 149–164. Springer, Heidelberg (2007)
Sriraman, B., Radhakrishnan, R.: Event driven architecture augmenting service oriented architectures. Report of Unisys and Sun Microsystems (2005)
Holmes, T., et al.: Monitoring and analyzing service-based internet systems through a model-aware service environment. In: Pernici, B. (ed.) Advanced Information Systems Engineering. LNCS, vol. 6051, pp. 98–112. Springer, Heidelberg (2010)
Phan, T., et al.: A survey of policy-based management approaches for service oriented systems. In: Proceedings of the 19th Australian Conference on Software Engineering (ASWEC 2008), Washington, DC, USA, pp. 392–401 (2008)
Wolter, C., Schaad, A.: Modeling of task-based authorization constraints in BPMN. In: Alonso, G., Dadam, P., Rosemann, M. (eds.) BPM 2007. LNCS, vol. 4714, pp. 64–79. Springer, Heidelberg (2007)
Author information
Authors and Affiliations
Editor information
Editors and Affiliations
Rights and permissions
Copyright information
© 2010 Springer-Verlag Berlin Heidelberg
About this paper
Cite this paper
Birukou, A. et al. (2010). An Integrated Solution for Runtime Compliance Governance in SOA. In: Maglio, P.P., Weske, M., Yang, J., Fantinato, M. (eds) Service-Oriented Computing. ICSOC 2010. Lecture Notes in Computer Science, vol 6470. Springer, Berlin, Heidelberg. https://doi.org/10.1007/978-3-642-17358-5_9
Download citation
DOI: https://doi.org/10.1007/978-3-642-17358-5_9
Publisher Name: Springer, Berlin, Heidelberg
Print ISBN: 978-3-642-17357-8
Online ISBN: 978-3-642-17358-5
eBook Packages: Computer ScienceComputer Science (R0)