Involvement of Business Roles in Auditing with Process Mining

E.E. Roubtsova, Niels Wiersma

Research output: Chapter in Book/Report/Conference proceedingConference article in proceedingAcademicpeer-review

Abstract

Acceptance of novel formal methods-based approaches by
businesses depends on involvement of the existing (not imaginary) business
roles in the process of their application. This paper presents an AQ1
extension of frameworks for auditing with process mining with a series of
participatory workshops involving three business roles: Business Expert,
Audit Expert and IT specialist. Such workshops produce the necessary
input to apply frameworks of auditing with process mining: normative
business process, audit statements in a controlled natural language and
the logs needed for mining of process instances that do not conform audit
statements.
The proposed extension of frameworks for auditing with process mining
has been tested with two case studies of processes in different
domains. The case studies show the need of participatory workshops,
the percentage of possible audit automation, the advantages of using
workshops and possible difficulties, and the types of artifacts needed to
apply process mining for audit in organizations. The presented results
can be used for expectation management of the businesses attempting
an application of auditing with process mining.
Original languageEnglish
Title of host publicationEvaluation of Novel Approaches to Software Engineering
Subtitle of host publication13th International Conference, ENASE 2018, Funchal, Madeira, Portugal, March 23–24, 2018, Revised Selected Papers
EditorsErnesto Damiani, George Spanoudakis, Leszek A. Maciaszek
Place of PublicationSwitzerland
PublisherSpringer International Publishing AG
Pages1-21
Number of pages21
Volume1023
ISBN (Electronic)9783030225599
ISBN (Print)9783030225582
DOIs
Publication statusPublished - 2019
EventENASE 2018: Proceedings of the 13th International Conference on Evaluation of Novel Approaches to Software Engineering - Funchal, Portugal
Duration: 23 Mar 201824 Mar 2018
http://www.scitepress.org/ProceedingsDetails.aspx?ID=bZ46ohOo66A=&t=1

Publication series

NameCommunications in Computer and Information Science
PublisherSpringer Verlag
Volume1023
ISSN (Print)1865-0929

Conference

ConferenceENASE 2018
Abbreviated titleENASE
CountryPortugal
CityFunchal
Period23/03/1824/03/18
Internet address

Fingerprint

Industry
Formal methods
Automation

Keywords

  • Audit
  • Audit statements
  • Compliance patterns
  • Frameworks for audit with process mining
  • Auditor
  • Business Analyst
  • IT specialist

Cite this

Roubtsova, E. E., & Wiersma, N. (2019). Involvement of Business Roles in Auditing with Process Mining. In E. Damiani, G. Spanoudakis, & L. A. Maciaszek (Eds.), Evaluation of Novel Approaches to Software Engineering: 13th International Conference, ENASE 2018, Funchal, Madeira, Portugal, March 23–24, 2018, Revised Selected Papers (Vol. 1023, pp. 1-21). (Communications in Computer and Information Science; Vol. 1023). Switzerland: Springer International Publishing AG. https://doi.org/10.1007/978-3-030-22559-9_2
Roubtsova, E.E. ; Wiersma, Niels. / Involvement of Business Roles in Auditing with Process Mining. Evaluation of Novel Approaches to Software Engineering: 13th International Conference, ENASE 2018, Funchal, Madeira, Portugal, March 23–24, 2018, Revised Selected Papers. editor / Ernesto Damiani ; George Spanoudakis ; Leszek A. Maciaszek. Vol. 1023 Switzerland : Springer International Publishing AG, 2019. pp. 1-21 (Communications in Computer and Information Science).
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Roubtsova, EE & Wiersma, N 2019, Involvement of Business Roles in Auditing with Process Mining. in E Damiani, G Spanoudakis & LA Maciaszek (eds), Evaluation of Novel Approaches to Software Engineering: 13th International Conference, ENASE 2018, Funchal, Madeira, Portugal, March 23–24, 2018, Revised Selected Papers. vol. 1023, Communications in Computer and Information Science, vol. 1023, Springer International Publishing AG, Switzerland, pp. 1-21, ENASE 2018, Funchal, Portugal, 23/03/18. https://doi.org/10.1007/978-3-030-22559-9_2

Involvement of Business Roles in Auditing with Process Mining. / Roubtsova, E.E.; Wiersma, Niels.

Evaluation of Novel Approaches to Software Engineering: 13th International Conference, ENASE 2018, Funchal, Madeira, Portugal, March 23–24, 2018, Revised Selected Papers. ed. / Ernesto Damiani; George Spanoudakis; Leszek A. Maciaszek. Vol. 1023 Switzerland : Springer International Publishing AG, 2019. p. 1-21 (Communications in Computer and Information Science; Vol. 1023).

Research output: Chapter in Book/Report/Conference proceedingConference article in proceedingAcademicpeer-review

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AB - Acceptance of novel formal methods-based approaches bybusinesses depends on involvement of the existing (not imaginary) businessroles in the process of their application. This paper presents an AQ1extension of frameworks for auditing with process mining with a series ofparticipatory workshops involving three business roles: Business Expert,Audit Expert and IT specialist. Such workshops produce the necessaryinput to apply frameworks of auditing with process mining: normativebusiness process, audit statements in a controlled natural language andthe logs needed for mining of process instances that do not conform auditstatements.The proposed extension of frameworks for auditing with process mininghas been tested with two case studies of processes in differentdomains. The case studies show the need of participatory workshops,the percentage of possible audit automation, the advantages of usingworkshops and possible difficulties, and the types of artifacts needed toapply process mining for audit in organizations. The presented resultscan be used for expectation management of the businesses attemptingan application of auditing with process mining.

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Roubtsova EE, Wiersma N. Involvement of Business Roles in Auditing with Process Mining. In Damiani E, Spanoudakis G, Maciaszek LA, editors, Evaluation of Novel Approaches to Software Engineering: 13th International Conference, ENASE 2018, Funchal, Madeira, Portugal, March 23–24, 2018, Revised Selected Papers. Vol. 1023. Switzerland: Springer International Publishing AG. 2019. p. 1-21. (Communications in Computer and Information Science). https://doi.org/10.1007/978-3-030-22559-9_2