Involvement of Business Roles in Auditing with Process Mining

E.E. Roubtsova; Niels Wiersma

doi:10.1007/978-3-030-22559-9_2

Involvement of Business Roles in Auditing with Process Mining

Research Line Innovation (part of LIRS program)

Research output: Chapter in Book/Report/Conference proceeding › Conference article in proceeding › Academic › peer-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 language	English
Title of host publication	Evaluation of Novel Approaches to Software Engineering
Subtitle of host publication	13th International Conference, ENASE 2018, Funchal, Madeira, Portugal, March 23–24, 2018, Revised Selected Papers
Editors	Ernesto Damiani, George Spanoudakis, Leszek A. Maciaszek
Place of Publication	Switzerland
Publisher	Springer International Publishing AG
Pages	1-21
Number of pages	21
Volume	1023
ISBN (Electronic)	9783030225599
ISBN (Print)	9783030225582
DOIs	https://doi.org/10.1007/978-3-030-22559-9_2
Publication status	Published - 2019
Event	ENASE 2018: Proceedings of the 13th International Conference on Evaluation of Novel Approaches to Software Engineering - Funchal, Portugal Duration: 23 Mar 2018 → 24 Mar 2018 http://www.scitepress.org/ProceedingsDetails.aspx?ID=bZ46ohOo66A=&t=1

Publication series

Series	Communications in Computer and Information Science
Volume	1023
ISSN	1865-0929

Conference

Conference	ENASE 2018
Abbreviated title	ENASE
Country	Portugal
City	Funchal
Period	23/03/18 → 24/03/18
Internet address	http://www.scitepress.org/ProceedingsDetails.aspx?ID=bZ46ohOo66A=&t=1

Keywords

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

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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). Springer International Publishing AG. Communications in Computer and Information Science Vol. 1023 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, Vol. 1023).

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title = "Involvement of Business Roles in Auditing with Process Mining",

abstract = "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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author = "E.E. Roubtsova and Niels Wiersma",

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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, Springer International Publishing AG, Switzerland, Communications in Computer and Information Science, vol. 1023, 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 proceeding › Conference article in proceeding › Academic › peer-review

TY - GEN

T1 - Involvement of Business Roles in Auditing with Process Mining

AU - Roubtsova, E.E.

AU - Wiersma, Niels

N1 - 10.1007/978-3-030-22559-9_2

PY - 2019

Y1 - 2019

N2 - 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.

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.

KW - Audit

KW - Audit statements

KW - Compliance patterns

KW - Frameworks for audit with process mining

KW - Auditor

KW - Business Analyst

KW - IT specialist

U2 - 10.1007/978-3-030-22559-9_2

DO - 10.1007/978-3-030-22559-9_2

M3 - Conference article in proceeding

SN - 9783030225582

VL - 1023

T3 - Communications in Computer and Information Science

SP - 1

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BT - Evaluation of Novel Approaches to Software Engineering

A2 - Damiani, Ernesto

A2 - Spanoudakis, George

A2 - Maciaszek, Leszek A.

PB - Springer International Publishing AG

CY - Switzerland

T2 - ENASE 2018

Y2 - 23 March 2018 through 24 March 2018

ER -

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, Vol. 1023). https://doi.org/10.1007/978-3-030-22559-9_2