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Compliance describes the adherence to company-internal and/or legal regulations or standards. In business process management, it describes the compliant or prescribed process implementation. This is often based on defined or modelled processes. Process compliance can be checked in Process Mining with the help of conformance checking.

Why is compliance important?

Every company has internal regulations and is subject to statutory or industry-specific regulations. These regulations must be observed, otherwise contractual, monetary and legal penalties may be imposed. In order to ensure compliance, all entrepreneurial actions, i.e. every single process and every process execution, must comply with the rules. For this reason, process controlling and business process management have been developed and successfully established.

Very strongly legally regulated industries include the pharmaceutical industry as well as banks and insurance companies. In both industries, it is very important that business processes run according to the specifications, otherwise high penalties could be imposed. Since compliance plays such a major role there, they are among the pioneers in the fields of process management and analysis.

How is compliance ensured?

First and foremost, compliance with the processes is ensured by regularly checking and analyzing the processes. These analyses are used to check whether specified process sequences, cycle times or internal cost specifications are being adhered to. Since the processing can vary from process cycle to process cycle, the analysis of realistic system data by means of Process Mining is an obvious option. Process Mining allows each individual process cycle to be examined in detail. Almost 100% compliance can only be guaranteed with complete automation, since machines, unlike humans, do not deviate from their working patterns.


Related terms: Conformance Checking, Business Process Management, Process Mining