Abstract
SOA-enabled business processes stretch across many cooperating and coordinated systems, possibly crossing organizational boundaries, and technologies like XML and Web services are used for making system-to-system interactions commonplace. Business processes form the foundation for all organizations, and as such, are impacted by industry regulations. This requires organizations to review their business processes and ensure that they meet the compliance standards set forth in legislation. In this paper we sketch a SOA-based service risk management and auditing methodology including a compliance enforcement and verification system that assures verifiable business process compliance. This is done on the basis of a knowledge-based system that allows integration of internal control systems into business processes conform pre-defined compliance rules, monitor both the normal process behavior and those of the control systems during process execution, and log these behaviors to facilitate retrospective auditing.
This is a preview of subscription content, log in via an institution to check access.
Access this chapter
Tax calculation will be finalised at checkout
Purchases are for personal use only
Preview
Unable to display preview. Download preview PDF.
Similar content being viewed by others
References
Alves, A., Arkin, A., Askary, A., Barreto, C., Bloch, B., Curbera, F., Ford, M., Goland, Y., GuÃzar, A., Kartha, N., Liu, C., Khalaf, R., König, D., Marin, M., Mehta, V., Thatte, S., van der Rijn, D., Yendluri, P., Yiu, A.: Web services business process execution language version 2.0 (April 2007)
Bajaj, S., Box, D., Chappell, D., Curbera, F., Daniels, G., Hallam-Baker, P., Hondo, M., Kaler, C., Langworthy, D., Nadalin, A., Nagaratnam, N., Prafullchandra, H., von Riegen, C., Roth, D., Schlimmer, J. (eds.) Sharp, C., Shewchuk, J., Vedamuthu, A., Yalçýnalp, Ü., Orchard, D.: Web services policy 1.2 framework (April 2006)
Basel Committee on Banking Supervision. International convergence of capital measurement and capital standards (June 2006)
Breaux, T., Antón, A., Spafford, E.: A distributed requirements management framework for legal compliance and accountability. Technical Report 14, North Carolina State University Computer Science (2006)
Canadian Institute of Chartered Accountants. Continuous auditing: research report. CICA/AICPA (1999)
COSO. Internal control for financial reporting - guidance for smaller public companies (2006)
Department of Health and Human Services. Hipaa privacy rule. US Federal Register (December 2000)
Ghanavati, S., Amyot, D., Peyton, L.: A requirements management framework for privacy compliance. In: Proceedings of the Workshop on Requirements Engineering (2007)
Ghose, A., Koliadis, G.: Auditing business process compliance. In: Proceedings of the International Conference on Service-Oriented Computing (2007)
Goedertier, S., Vanthienen, J.: Designing compliant business processes with obligations and permissions. In: Eder, J., Dustdar, S. (eds.) BPM Workshops 2006. LNCS, vol. 4103, pp. 5–14. Springer, Heidelberg (2006)
Governatori, G., Milosevic, Z.: A formal analysis of a business contract language. International Journal of Cooperative Information Systems 15(4) (2006)
Grosof, B., Gruninger, M., Kifer, M., Martin, D., McGuinness, D., Parsia, B., Payne, T., Tate, A.: Semantic web services language requirements (February 2008)
Hayes, R., Dassen, R., Schilder, A., Wallage, P.: Principles of Auditing: An introduction to international standards on Auditing. Prentice Hall/Financial Times (2005)
International Federation of Accountants. Handbook of International Auditing, Assurance and Ethics Pronouncements. John Wiley, Chichester (2006)
IT Governance Institute. Framework for control objectives: Management guidelines and maturity models (cobit 4.1) (2007)
ITU-T. User requirements notation (urn) – language requirements and framework. ITU-T Recommendation Z.150 (February 2003)
Liu, Y., Müller, S., Xu, K.: A static compliance-checking framework for business process models. IBM Systems Journal 46(2), 335–362 (2007)
Luckham, D.: The Power of Events: An Introduction to Complex Event Processing in Distributed Enterprise Systems (Hardcover). Addison-Wesley Professional, Reading (2002)
Mouratidis, H., Giorgini, P., Manson, G.: An ontology for modelling security: The tropos approach. In: Proceedings of the 7th International Conference on Knowledge-Based Intelligent Information & Engineering Systems, Oxford, United Kingdom (September 2003)
Murthy, U., Groomer, S.: A continuous auditing web services model for xml-based accounting systems. Accounting Information Systems 5, 139–163 (2004)
Namiri, K., Stojanovic, N.: Towards a formal framework for business process compliance. In: Proceedings of the Multikonferenz Wirtschaftsinformatik (February 2008)
Object Management Group. Business process modeling notation (February 2006)
Padmanabhan, V., Governatori, G., Sadiq, S., Colomb, R., Rotolo, A.: Process modeling: The deontic way. In: Proceedings Of The Australia-Pacific Conference on Conceptual Modeling (2006)
PriceWaterhouseCoopers. Adopting ifrs first-time adoption of international financial reporting standards (June 2004)
Sadiq, S., Governatori, G., Naimiri, K.: Modeling control objectives for business process compliance. In: Alonso, G., Dadam, P., Rosemann, M. (eds.) BPM 2007. LNCS, vol. 4714, pp. 149–164. Springer, Heidelberg (2007)
Svirskas, A., Courbis, C., Molva, R., Bedzinskas, J.: Compliance proofs for collaborative interactions using aspect-oriented approach. In: Proceedings of the IEEE Congress on Services (2007)
US Congress. Sarbanes-oxley of 2002 (January 2002)
van Gelder, A., Ross, K., Schlipf, J.: The well-founded semantics for general logic programs. Journal of the ACM 38(3), 620–650 (1991)
Yu, S., Neter, J.: A stochastic model of the internal control system. Journal of Accounting Research 11, 273–295 (1973)
Author information
Authors and Affiliations
Editor information
Editors and Affiliations
Rights and permissions
Copyright information
© 2008 Springer-Verlag Berlin Heidelberg
About this paper
Cite this paper
Orriens, B., Heuvel, WJ.v., Papazoglou, M. (2008). On the Risk Management and Auditing of SOA Based Business Processes. In: Margaria, T., Steffen, B. (eds) Leveraging Applications of Formal Methods, Verification and Validation. ISoLA 2008. Communications in Computer and Information Science, vol 17. Springer, Berlin, Heidelberg. https://doi.org/10.1007/978-3-540-88479-8_10
Download citation
DOI: https://doi.org/10.1007/978-3-540-88479-8_10
Publisher Name: Springer, Berlin, Heidelberg
Print ISBN: 978-3-540-88478-1
Online ISBN: 978-3-540-88479-8
eBook Packages: Computer ScienceComputer Science (R0)