conformance issue

Overview

The Conformance Issue enrichment is a powerful and flexible tool that allows you to define custom conformance rules using the full mindzieStudio filter engine. Unlike specialized conformance enrichments that check for specific conditions (such as allowed start activities or mandatory activities), this enrichment gives you complete control to define any conformance issue based on case attributes, duration thresholds, activity patterns, or any other filterable criteria.

This enrichment serves as the foundation for building a comprehensive conformance checking framework tailored to your organization's specific business rules and process requirements. It enables you to identify process deviations, policy violations, and compliance issues by creating rule-based checks that flag cases matching your defined criteria. Each conformance issue can be categorized by severity, organized into rule groups, and tracked across your entire process landscape.

The flexibility of this enrichment makes it essential for organizations implementing process compliance monitoring, audit trails, and continuous process improvement initiatives. By combining multiple filter conditions, you can model complex business rules and regulatory requirements that reflect real-world process governance needs.

Common Uses

Detect SLA violations by flagging cases where duration between critical activities exceeds defined thresholds
Identify unauthorized process variations where specific user roles perform activities outside their permitted scope
Monitor approval bypass scenarios where cases skip required authorization steps based on attribute values
Track financial policy violations such as purchase orders exceeding approval limits without proper oversight
Flag data quality issues where mandatory case attributes are missing or contain invalid values
Detect segregation of duties violations where the same user performs conflicting activities
Identify cases with abnormal resource allocation patterns that may indicate process inefficiencies
Monitor compliance with regulatory requirements by flagging cases that violate specific business rules
Track process deviations from standard operating procedures based on activity sequences and timing
Identify high-risk cases that require additional review based on multiple combined criteria

Settings

Filters: The core of this enrichment is the filter configuration. You can add one or more filters using mindzieStudio's comprehensive filter engine to define exactly which cases represent conformance issues. Filters can be based on case attributes, activity attributes, duration calculations, or any other data available in your event log. Multiple filters are combined using AND/OR logic to create sophisticated rule definitions. At least one filter must be configured for the enrichment to function.

Rule Name: The name of the case attribute that will be created to track this specific conformance issue. When a case matches your filter criteria, this attribute will be set to TRUE, indicating a conformance violation. If left empty, only the Rule Group Name will be used. Use descriptive names that clearly identify the type of conformance issue being detected, such as "Late Approval Detected" or "Missing Manager Authorization". This attribute appears in your case table and can be used in subsequent filters, calculations, and visualizations.

Rule Group Name: A higher-level categorization that allows you to group related conformance rules together. For example, you might create multiple individual rules for different SLA violations but group them all under "SLA Compliance Issues". When a case matches the criteria, both the Rule Name and Rule Group Name attributes are set to TRUE. This hierarchical structure enables better organization of conformance issues and facilitates reporting at different levels of granularity. At least one of Rule Name or Rule Group Name must be specified.

Severity: The importance level of this conformance issue, which can be set to Low, Medium, or High. The default severity is High. This setting helps prioritize which conformance issues require immediate attention versus those that are informational. Severity levels appear in conformance analysis dashboards and reports, enabling teams to focus on the most critical process deviations first. High severity issues might trigger immediate alerts or escalations, while low severity issues may be reviewed periodically.

Control Flow Issue: A checkbox that indicates whether this conformance issue relates specifically to the sequence or presence of activities (the control flow) rather than case attribute values or other data-related problems. When enabled, this flag helps categorize the conformance issue as a process execution problem versus a data quality or business rule violation. This distinction is valuable for root cause analysis and determining whether process redesign or improved training is needed. Leave unchecked for conformance issues based on attribute values, durations, or other non-activity-sequence criteria.

Examples

Example 1: Purchase Order SLA Violation

Scenario: A procurement organization has a policy requiring all purchase orders over $10,000 to be approved within 5 business days (120 hours) from submission. Orders that exceed this threshold represent SLA violations that need to be flagged and escalated to procurement management for review.

Settings:

Filters:
- Case Attribute: "Order Amount" Greater Than 10000 (AND)
- Case Attribute: "Time from Submit PO to Approve PO" Greater Than 120 hours
Rule Name: "PO Approval SLA Violation"
Rule Group Name: "SLA Compliance Issues"
Severity: High
Control Flow Issue: Unchecked (this is a timing issue, not an activity sequence issue)

Output:

The enrichment creates two new Boolean case attributes: "PO Approval SLA Violation" and "SLA Compliance Issues". For cases where both conditions are met (order amount exceeds $10,000 AND approval time exceeds 120 hours), both attributes are set to TRUE. All other cases have these attributes set to FALSE.

Sample data after enrichment:

Case ID	Order Amount	Time from Submit to Approve	PO Approval SLA Violation	SLA Compliance Issues
PO-1001	$12,500	145 hours	TRUE	TRUE
PO-1002	$8,000	150 hours	FALSE	FALSE
PO-1003	$15,000	95 hours	FALSE	FALSE
PO-1004	$25,000	168 hours	TRUE	TRUE

Insights: This conformance check identified 2 out of 4 purchase orders that violated the approval SLA policy. Management can filter on these cases to understand why delays occurred and implement corrective actions. The high severity designation ensures these cases are prioritized in dashboard reviews.

Example 2: Segregation of Duties Violation

Scenario: In a financial system, internal controls require that the person who creates an invoice cannot be the same person who approves payment. This segregation of duties prevents fraud and ensures proper oversight. Cases where the same user performs both activities represent serious compliance violations.

Settings:

Filters:
- Case Attribute: "Create Invoice User" Equals Case Attribute "Approve Payment User"
Rule Name: "Same User Created and Approved"
Rule Group Name: "Segregation of Duties Violations"
Severity: High
Control Flow Issue: Unchecked (this is about user attributes, not activity sequence)

Output:

Two Boolean case attributes are created. When the same user ID appears in both the "Create Invoice User" and "Approve Payment User" attributes, both "Same User Created and Approved" and "Segregation of Duties Violations" are flagged as TRUE.

Sample data:

Case ID	Create Invoice User	Approve Payment User	Same User Created and Approved	Segregation of Duties Violations
INV-501	jsmith	jdoe	FALSE	FALSE
INV-502	mbrown	mbrown	TRUE	TRUE
INV-503	kwilson	jdoe	FALSE	FALSE
INV-504	rjones	rjones	TRUE	TRUE

Insights: This conformance rule identified critical internal control violations that require immediate investigation. The audit team can review these cases to determine whether they represent intentional fraud, system configuration errors, or gaps in user training. This type of check is essential for regulatory compliance in financial processes.

Example 3: Missing Mandatory Documentation

Scenario: A healthcare provider requires that all patient discharge cases include documentation of follow-up care instructions. Cases missing this documentation represent both a compliance issue and a patient safety concern. The organization uses a case attribute "Follow-up Instructions Provided" that should always be "Yes" for discharged patients.

Settings:

Filters:
- Case Attribute: "Case Status" Equals "Discharged" (AND)
- Case Attribute: "Follow-up Instructions Provided" Not Equals "Yes"
Rule Name: "Missing Follow-up Instructions"
Rule Group Name: "Documentation Compliance"
Severity: High
Control Flow Issue: Unchecked (this is about data completeness, not activity flow)

Output:

The enrichment creates two Boolean attributes that flag discharged cases lacking proper documentation. Cases marked TRUE require immediate remediation to ensure patients receive proper care instructions.

Sample data:

Case ID	Case Status	Follow-up Instructions Provided	Missing Follow-up Instructions	Documentation Compliance
PT-2001	Discharged	Yes	FALSE	FALSE
PT-2002	Discharged	NULL	TRUE	TRUE
PT-2003	Active	NULL	FALSE	FALSE
PT-2004	Discharged	No	TRUE	TRUE

Insights: This check identified 2 discharged patients who did not receive documented follow-up instructions. The quality improvement team can contact these patients immediately to provide missing instructions and investigate why the documentation step was skipped. This type of conformance monitoring is critical for patient safety and regulatory compliance.

Example 4: Unauthorized Discount Application

Scenario: A retail organization has a policy that discounts over 15% require manager approval. Sales representatives are allowed to apply discounts up to 15% without approval, but higher discounts must go through an approval activity. Cases with discounts exceeding 15% that don't include a "Manager Approves Discount" activity represent policy violations.

Settings:

Filters:
- Case Attribute: "Discount Percentage" Greater Than 15 (AND)
- Case Attribute: "Has Manager Approval Activity" Equals FALSE
Rule Name: "Unauthorized High Discount"
Rule Group Name: "Authorization Policy Violations"
Severity: Medium
Control Flow Issue: Checked (this relates to a missing activity in the process flow)

Output:

Two Boolean attributes identify cases where sales representatives applied unauthorized high discounts. These cases require review to determine whether the discount was justified and whether the sales representative needs additional training on approval requirements.

Sample data:

Case ID	Discount Percentage	Has Manager Approval Activity	Unauthorized High Discount	Authorization Policy Violations
ORD-701	12%	FALSE	FALSE	FALSE
ORD-702	20%	TRUE	FALSE	FALSE
ORD-703	25%	FALSE	TRUE	TRUE
ORD-704	18%	FALSE	TRUE	TRUE

Insights: Two orders received unauthorized discounts exceeding the 15% threshold. Management can review these specific transactions to understand whether system controls need strengthening or whether additional training is needed. The medium severity indicates these should be reviewed but may not require immediate escalation like financial fraud cases.

Example 5: Complex Multi-Condition Compliance Rule

Scenario: A pharmaceutical manufacturing process has a complex compliance requirement: any batch with a production duration over 48 hours AND a temperature deviation recorded AND processed by a temporary operator must undergo additional quality review. This multi-factor rule identifies high-risk batches requiring enhanced scrutiny.

Settings:

Filters:
- Case Attribute: "Production Duration Hours" Greater Than 48 (AND)
- Case Attribute: "Temperature Deviation Recorded" Equals "Yes" (AND)
- Case Attribute: "Primary Operator Type" Equals "Temporary"
Rule Name: "Enhanced Quality Review Required"
Rule Group Name: "Manufacturing Compliance"
Severity: High
Control Flow Issue: Unchecked (this is about multiple risk factors, not activity sequence)

Output:

The enrichment creates Boolean attributes that flag batches meeting all three high-risk criteria. These batches are automatically routed for enhanced quality review procedures before release.

Sample data:

Case ID	Production Duration	Temperature Deviation	Operator Type	Enhanced Quality Review Required	Manufacturing Compliance
BATCH-A	52 hours	Yes	Temporary	TRUE	TRUE
BATCH-B	45 hours	Yes	Temporary	FALSE	FALSE
BATCH-C	55 hours	No	Temporary	FALSE	FALSE
BATCH-D	60 hours	Yes	Permanent	FALSE	FALSE

Insights: Only batches meeting all three conditions are flagged. This demonstrates how the Conformance Issue enrichment can model sophisticated compliance rules that reflect real-world risk assessment. The high severity ensures quality assurance teams prioritize these cases for enhanced testing and documentation review.

Output

When the Conformance Issue enrichment is executed, it creates one or two new Boolean case attributes depending on your configuration:

Rule Name Attribute (if specified): A Boolean case attribute with the exact name you provided in the "Rule Name" setting. This attribute is set to:

TRUE: For cases that match all filter criteria defined in the enrichment (conformance issue detected)
FALSE: For all other cases (no conformance issue)

Rule Group Name Attribute (if specified): A Boolean case attribute with the name you provided in "Rule Group Name". This attribute follows the same TRUE/FALSE logic as the Rule Name attribute and allows you to group multiple related conformance rules under a common category.

Column Type: Both attributes are created with the column type "ConformanceIssue", which identifies them as compliance-related attributes in the mindzieStudio interface. They are displayed with a "YesNo" format for easy interpretation.

Initial Values: When the attributes are first created, all cases are initialized with a FALSE value. The enrichment then evaluates each case against the filter criteria and updates matching cases to TRUE.

Conformance Issue Registration: In addition to creating case attributes, the enrichment registers the conformance issue in mindzieStudio's conformance tracking system. This registration includes:

The source of the issue (marked as "Rule" to indicate it comes from a user-defined rule)
The severity level (Low, Medium, or High)
The rule name and rule group name for categorization
The control flow flag indicating whether this is an activity sequence issue
A unique conformance issue identifier used for tracking and reporting

Integration with Other Features: The Boolean attributes created by this enrichment can be used immediately in:

Filters: Create views showing only cases with specific conformance issues
Dashboards: Build conformance monitoring dashboards showing counts and trends of issues
Calculations: Use conformance attributes in mathematical calculations or conditional logic
Subsequent Enrichments: Base additional enrichments on whether conformance issues exist
Exports: Include conformance flags in exported datasets for external analysis
Case Stage Calculators: Use conformance status to drive case routing and prioritization

Conformance Analysis: The registered conformance issues appear in mindzieStudio's conformance analysis tools, where you can:

View counts of cases affected by each conformance issue
Analyze trends over time to see if issues are increasing or decreasing
Compare severity distributions across different rule groups
Drill down into specific cases to understand root causes
Generate compliance reports for management and auditors

Overview

Common Uses

Settings

Examples

Example 1: Purchase Order SLA Violation

Example 2: Segregation of Duties Violation

Example 3: Missing Mandatory Documentation

Example 4: Unauthorized Discount Application

Example 5: Complex Multi-Condition Compliance Rule

Output

See Also