A framework for continuous compliance monitoring of B2B processes

Abstract

Government regulations and legislation, organizational policies, and customer contracts all stipulate rules that an organization and its internal entities must adhere to. Compliance with said rules is often mandatory, and if compliance is not met, may lead to negative consequences. Continuous compliance monitoring involves collecting data on a continuous basis in order to track the relevant business processes to ensure compliance with government regulations and legislation, organizational polices and customer contacts. This thesis presents a framework for continuous compliance monitoring of business to business (B2B) processes in the context of a publish/subscribe architecture for event-driven business process integration. The framework integrates a streaming event data model with an agent-based surveillance portal to provide continuous support for dynamic exception alerts and performance management reporting. The government regulations and legislation, organizational policies and contracts are represented within the framework by event-condition-action (ECA) policies that can be monitored in terms of the event data collected by the surveillance portal. An eHealth scenario in which organizations collaborate to provide regulated at home care is used to illustrate our approach.