Business process compliance is a key area of business process management and aims at ensuring that processes obey to compliance constraints such as regulatory constraints or business rules imposed on them. Process compliance can be checked during process design time based on verification of process models and at runtime based on monitoring the compliance states of running process instances. For existing compliance monitoring approaches it remains unclear whether and how compliance violations can be predicted, although predictions are crucial in order to prepare and take countermeasures in time. This work, hence, analyzes existing literature from compliance monitoring as well as predictive process monitoring and provides an updated framework of compliance monitoring functionalities. Moreover, it raises the vision of a comprehensive predictive compliance monitoring system that integrates existing predicate prediction approaches with the idea of employing PPM with different prediction goals such as next activity or remaining time for prediction and subsequent mapping of the prediction results onto the given set of compliance constraints (PCM). For each compliance monitoring functionality we elicit PCM system requirements and assess their coverage by existing approaches. Based on the assessment, open challenges and research directions realizing a comprehensive PCM system are elaborated.

翻译：业务流程合规是业务流程管理的关键领域，旨在确保流程遵守施加于其上的合规约束，例如监管约束或业务规则。流程合规可以在流程设计阶段基于流程模型的验证进行检查，也可以在运行时基于对运行中流程实例的合规状态进行监控来检查。对于现有的合规监控方法，尚不清楚是否以及如何预测合规违规，尽管预测对于及时准备和采取对策至关重要。因此，本文分析了合规监控以及预测性流程监控领域的现有文献，并提供了一个更新的合规监控功能框架。此外，本文提出了一个全面的预测性合规监控系统的愿景，该系统将现有的谓词预测方法与利用预测性流程监控（PPM）实现不同预测目标（例如预测下一活动或剩余时间）的思想相结合，并将预测结果随后映射到给定的合规约束集上（PCM）。针对每个合规监控功能，我们引出了PCM系统需求，并评估了现有方法对这些需求的覆盖程度。基于评估结果，阐述了实现全面PCM系统所面临的开放挑战与研究方向。