Design of a Quality Management System based on the EU Artificial Intelligence Act

The Artificial Intelligence Act of the European Union mandates that providers and deployers of high-risk AI systems establish a quality management system (QMS). Among other criteria, a QMS shall help to i) identify, analyze, evaluate, and mitigate risks, ii) ensure evidence of compliance with training, validation, and testing data, and iii) verify and document the AI system design and quality. Current research mainly addresses conceptual considerations and framework designs for AI risk assessment and auditing processes. However, it often overlooks practical tools that actively involve and support humans in checking and documenting high-risk or general-purpose AI systems. This paper addresses this gap by proposing requirements derived from legal regulations and a generic design and architecture of a QMS for AI systems verification and documentation. A first version of a prototype QMS is implemented, integrating LLMs as examples of AI systems and focusing on an integrated risk management sub-service. The prototype is evaluated on i) a user story-based qualitative requirements assessment using potential stakeholder scenarios and ii) a technical assessment of the required GPU storage and performance.

Recent Advances in Data-Driven Business Process Management

The rapid development of cutting-edge technologies, the increasing volume of data and also the availability and processability of new types of data sources has led to a paradigm shift in data-based management and decision-making. Since business processes are at the core of organizational work, these developments heavily impact BPM as a crucial success factor for organizations. In view of this emerging potential, data-driven business process management has become a relevant and vibrant research area. Given the complexity and interdisciplinarity of the research field, this position paper therefore presents research insights regarding data-driven BPM.

From Internet of Things Data to Business Processes: Challenges and a Framework

The IoT and Business Process Management (BPM) communities co-exist in many shared application domains, such as manufacturing and healthcare. The IoT community has a strong focus on hardware, connectivity and data; the BPM community focuses mainly on finding, controlling, and enhancing the structured interactions among the IoT devices in processes. While the field of Process Mining deals with the extraction of process models and process analytics from process event logs, the data produced by IoT sensors often is at a lower granularity than these process-level events. The fundamental questions about extracting and abstracting process-related data from streams of IoT sensor values are: (1) Which sensor values can be clustered together as part of process events?, (2) Which sensor values signify the start and end of such events?, (3) Which sensor values are related but not essential? This work proposes a framework to semi-automatically perform a set of structured steps to convert low-level IoT sensor data into higher-level process events that are suitable for process mining. The framework is meant to provide a generic sequence of abstract steps to guide the event extraction, abstraction, and correlation, with variation points for plugging in specific analysis techniques and algorithms for each step. To assess the completeness of the framework, we present a set of challenges, how they can be tackled through the framework, and an example on how to instantiate the framework in a real-world demonstration from the field of smart manufacturing. Based on this framework, future research can be conducted in a structured manner through refining and improving individual steps.

INEXA: Interactive and Explainable Process Model Abstraction Through Object-Centric Process Mining

Process events are recorded by multiple information systems at different granularity levels. Based on the resulting event logs, process models are discovered at different granularity levels, as well. Events stored at a fine-grained granularity level, for example, may hinder the discovered process model to be displayed due the high number of resulting model elements. The discovered process model of a real-world manufacturing process, for example, consists of 1,489 model elements and over 2,000 arcs. Existing process model abstraction techniques could help reducing the size of the model, but would disconnect it from the underlying event log. Existing event abstraction techniques do neither support the analysis of mixed granularity levels, nor interactive exploration of a suitable granularity level. To enable the exploration of discovered process models at different granularity levels, we propose INEXA, an interactive, explainable process model abstraction method that keeps the link to the event log. As a starting point, INEXA aggregates large process models to a "displayable" size, e.g., for the manufacturing use case to a process model with 58 model elements. Then, the process analyst can explore granularity levels interactively, while applied abstractions are automatically traced in the event log for explainability.

Identification of Regulatory Requirements Relevant to Business Processes: A Comparative Study on Generative AI, Embedding-based Ranking, Crowd and Expert-driven Methods

Organizations face the challenge of ensuring compliance with an increasing amount of requirements from various regulatory documents. Which requirements are relevant depends on aspects such as the geographic location of the organization, its domain, size, and business processes. Considering these contextual factors, as a first step, relevant documents (e.g., laws, regulations, directives, policies) are identified, followed by a more detailed analysis of which parts of the identified documents are relevant for which step of a given business process. Nowadays the identification of regulatory requirements relevant to business processes is mostly done manually by domain and legal experts, posing a tremendous effort on them, especially for a large number of regulatory documents which might frequently change. Hence, this work examines how legal and domain experts can be assisted in the assessment of relevant requirements. For this, we compare an embedding-based NLP ranking method, a generative AI method using GPT-4, and a crowdsourced method with the purely manual method of creating relevancy labels by experts. The proposed methods are evaluated based on two case studies: an Australian insurance case created with domain experts and a global banking use case, adapted from SAP Signavio's workflow example of an international guideline. A gold standard is created for both BPMN2.0 processes and matched to real-world textual requirements from multiple regulatory documents. The evaluation and discussion provide insights into strengths and weaknesses of each method regarding applicability, automation, transparency, and reproducibility and provide guidelines on which method combinations will maximize benefits for given characteristics such as process usage, impact, and dynamics of an application scenario.

Large Process Models: Business Process Management in the Age of Generative AI

The continued success of Large Language Models (LLMs) and other generative artificial intelligence approaches highlights the advantages that large information corpora can have over rigidly defined symbolic models, but also serves as a proof-point of the challenges that purely statistics-based approaches have in terms of safety and trustworthiness. As a framework for contextualizing the potential, as well as the limitations of LLMs and other foundation model-based technologies, we propose the concept of a Large Process Model (LPM) that combines the correlation power of LLMs with the analytical precision and reliability of knowledge-based systems and automated reasoning approaches. LPMs are envisioned to directly utilize the wealth of process management experience that experts have accumulated, as well as process performance data of organizations with diverse characteristics, e.g., regarding size, region, or industry. In this vision, the proposed LPM would allow organizations to receive context-specific (tailored) process and other business models, analytical deep-dives, and improvement recommendations. As such, they would allow to substantially decrease the time and effort required for business transformation, while also allowing for deeper, more impactful, and more actionable insights than previously possible. We argue that implementing an LPM is feasible, but also highlight limitations and research challenges that need to be solved to implement particular aspects of the LPM vision.

Code Generation for Machine Learning using Model-Driven Engineering and SysML

Data-driven engineering refers to systematic data collection and processing using machine learning to improve engineering systems. Currently, the implementation of data-driven engineering relies on fundamental data science and software engineering skills. At the same time, model-based engineering is gaining relevance for the engineering of complex systems. In previous work, a model-based engineering approach integrating the formalization of machine learning tasks using the general-purpose modeling language SysML is presented. However, formalized machine learning tasks still require the implementation in a specialized programming languages like Python. Therefore, this work aims to facilitate the implementation of data-driven engineering in practice by extending the previous work of formalizing machine learning tasks by integrating model transformation to generate executable code. The method focuses on the modifiability and maintainability of the model transformation so that extensions and changes to the code generation can be integrated without requiring modifications to the code generator. The presented method is evaluated for feasibility in a case study to predict weather forecasts. Based thereon, quality attributes of model transformations are assessed and discussed. Results demonstrate the flexibility and the simplicity of the method reducing efforts for implementation. Further, the work builds a theoretical basis for standardizing data-driven engineering implementation in practice.

Model-Driven Engineering Method to Support the Formalization of Machine Learning using SysML

Methods: This work introduces a method supporting the collaborative definition of machine learning tasks by leveraging model-based engineering in the formalization of the systems modeling language SysML. The method supports the identification and integration of various data sources, the required definition of semantic connections between data attributes, and the definition of data processing steps within the machine learning support. Results: By consolidating the knowledge of domain and machine learning experts, a powerful tool to describe machine learning tasks by formalizing knowledge using the systems modeling language SysML is introduced. The method is evaluated based on two use cases, i.e., a smart weather system that allows to predict weather forecasts based on sensor data, and a waste prevention case for 3D printer filament that cancels the printing if the intended result cannot be achieved (image processing). Further, a user study is conducted to gather insights of potential users regarding perceived workload and usability of the elaborated method. Conclusion: Integrating machine learning-specific properties in systems engineering techniques allows non-data scientists to understand formalized knowledge and define specific aspects of a machine learning problem, document knowledge on the data, and to further support data scientists to use the formalized knowledge as input for an implementation using (semi-) automatic code generation. In this respect, this work contributes by consolidating knowledge from various domains and therefore, fosters the integration of machine learning in industry by involving several stakeholders.

Model-Driven Engineering for Artificial Intelligence -- A Systematic Literature Review

Objective: This study aims to investigate the existing body of knowledge in the field of Model-Driven Engineering MDE in support of AI (MDE4AI) to sharpen future research further and define the current state of the art. Method: We conducted a Systemic Literature Review (SLR), collecting papers from five major databases resulting in 703 candidate studies, eventually retaining 15 primary studies. Each primary study will be evaluated and discussed with respect to the adoption of (1) MDE principles and practices and (2) the phases of AI development support aligned with the stages of the CRISP-DM methodology. Results: The study's findings show that the pillar concepts of MDE (metamodel, concrete syntax and model transformation), are leveraged to define domain-specific languages (DSL) explicitly addressing AI concerns. Different MDE technologies are used, leveraging different language workbenches. The most prominent AI-related concerns are training and modeling of the AI algorithm, while minor emphasis is given to the time-consuming preparation of the data sets. Early project phases that support interdisciplinary communication of requirements, such as the CRISP-DM \textit{Business Understanding} phase, are rarely reflected. Conclusion: The study found that the use of MDE for AI is still in its early stages, and there is no single tool or method that is widely used. Additionally, current approaches tend to focus on specific stages of development rather than providing support for the entire development process. As a result, the study suggests several research directions to further improve the use of MDE for AI and to guide future research in this area.

Conversational Process Modelling: State of the Art, Applications, and Implications in Practice

Chatbots such as ChatGPT have caused a tremendous hype lately. For BPM applications, it is often not clear how to apply chatbots to generate business value. Hence, this work aims at the systematic analysis of existing chatbots for their support of conversational process modelling as process-oriented capability. Application scenarios are identified along the process life cycle. Then a systematic literature review on conversational process modelling is performed. The resulting taxonomy serves as input for the identification of application scenarios for conversational process modelling, including paraphrasing and improvement of process descriptions. The application scenarios are evaluated for existing chatbots based on a real-world test set from the higher education domain. It contains process descriptions as well as corresponding process models, together with an assessment of the model quality. Based on the literature and application scenario analyses, recommendations for the usage (practical implications) and further development (research directions) of conversational process modelling are derived.