🤖 AI Summary
This study addresses the lack of systematic comparative analysis in business process compliance monitoring, particularly for non-conformance checking techniques. Through a systematic literature review (SLR), process mining, compliance modeling, and qualitative comparative analysis, it maps real-world applications across domains, operational workflows, technical foundations, and result representations. The analysis identifies key implementation barriers—especially pervasive human dependence and the absence of standardized evaluation criteria. As the first structured survey framework dedicated to non-conformance checking, the study introduces a standardized, multi-dimensional evaluation framework that clarifies commonalities and distinctions across the technical landscape. It further proposes an extensible theoretical pathway and practical guidelines for automated compliance monitoring. This work provides a methodological foundation and strategic direction for both academic research and industrial deployment. (149 words)
📝 Abstract
In order to deliver their services and products to customers, organizations need to manage numerous business processes. One important consideration thereby lies in the adherence to regulations such as laws, guidelines, or industry standards. In order to monitor adherence of their business processes to regulations - in other words, their regulatory compliance - organizations make use of various techniques that draw on process execution data of IT systems that support these processes. While previous research has investigated conformance checking, an operation of process mining, for the domains in which it is applied, its operationalization of regulations, the techniques being used, and the presentation of results produced, other techniques for compliance monitoring, which we summarize as compliance checking techniques, have not yet been investigated in a structural manner. To this end, this work presents a systematic literature review on uses of regulatory compliance monitoring of business processes, thereby offering insights into the various techniques being used, their application and the results they generate. We highlight commonalities and differences between the approaches and find that various steps are performed manually; we also provide further impulses for research on compliance monitoring and its use in practice.