提出两种新方法,可预测合规违规程度而非仅判断有无
Beyond Yes or No: Predictive Compliance Monitoring Approaches for Quantifying the Magnitude of Compliance Violations
- 将分类与回归结合,同时预测是否违规及偏离程度
- 多任务学习可同步输出合规状态和违规严重度
- 在医疗等场景下验证有效,适合需量化风险的组织
现有流程合规监控多为事后检测,仅有谓词预测能提前预警,但仅提供是/否的二元结果,无法衡量过程实例偏离预期状态的程度。量化违规程度可帮助组织深入理解运营表现,支持降低非合规风险的决策。为此,本文提出两种新型预测性合规监控方法:第一种将二分类问题重构为分类与回归的混合任务;第二种采用多任务学习,同时显式预测合规状态与异常情况下的违规程度。研究聚焦时间约束,因其在医疗等几乎所有领域均具重要意义。在合成数据与真实事件日志上的评估表明,所提方法不仅能准确量化违规程度,且合规预测性能与当前最优方法相当。
原文摘要 · Abstract (English)
Most existing process compliance monitoring approaches detect compliance violations in an ex post manner. Only predicate prediction focuses on predicting them. However, predicate prediction provides a binary yes/no notion of compliance, lacking the ability to measure to which extent an ongoing process instance deviates from the desired state as specified in constraints. Here, being able to quantify the magnitude of violation would provide organizations with deeper insights into their operational performance, enabling informed decision making to reduce or mitigate the risk of non-compliance. Thus, we propose two predictive compliance monitoring approaches to close this research gap. The first approach reformulates the binary classification problem as a hybrid task that considers both classification and regression, while the second employs a multi-task learning method to explicitly predict the compliance status and the magnitude of violation for deviant cases simultaneously. In this work, we focus on temporal constraints as they are significant in almost any application domain, e.g., health care. The evaluation on synthetic and real-world event logs demonstrates that our approaches are capable of quantifying the magnitude of violations while maintaining comparable performance for compliance predictions achieved by state-of-the-art approaches.
Thank you to arXiv for use of its open access interoperability. PaperDance 不是 arXiv 官方产品;中文卡片由大模型生成,请以原文为准。