Towards a Compliance Support Framework for Adaptive Case Management

Abstract

Current Adaptive Case Management (ACM) solutions are strong in flexibility, but business users must still meet compliance rules stemming from sources such as laws (e.g., Sarbanes-Oxley Act), standards (e.g., ISO 45001) and best practices (e.g., ITIL). This paper presents a framework on how to enable support for compliance in the context of ACM by constraints. Since ACM applications undergo constant change, there must be ways to introduce compliance rules on the fly. Currently, constraints (and similar alternative solutions) are predominately maintained by technical users, which results in long maintenance cycles. Our framework aims at enabling faster adoption of changing compliance requirements, both explicitly by enabling non-technical users (knowledge workers) to define and adapt constraints, and implicitly by learning from the decisions taken by other knowledge workers during case enactments. The former is achieved by supporting domain knowledge, maintained in an ontology. The latter is supported by a recommendation approach that enables an automated knowledge transfer between knowledge workers by propagating tacit knowledge, best practices, and the handling of constraints and their violations.