On the Role of Process Mining in Business Process Compliance

51 Pages Posted: 11 Apr 2022

See all articles by Nigel Adams

Nigel Adams

University of Melbourne

Adriano Augusto

affiliation not provided to SSRN

Michael J Davern

The University of Melbourne - Department of Accounting; University of Melbourne

Marcello La Rosa

affiliation not provided to SSRN

Abstract

Business Process Compliance (BPC) is a heavily researched domain in academia and one where significant progress has been made. However, there are known challenges. Some of these may be addressed by recent advances in process mining. To assess this proposition, we analyze progress across both fields of research in a banking context. Banks are heavily regulated and ensuring process compliance is expensive, complex and not guaranteed to succeed. In recent years, there have been a significant number of heavily publicized failings in Australia that point to the difficulties of maintaining business process compliance in practice. We proceed by first identifying evaluation criteria from a meta-review of the BPC literature and findings from the banking regulators, and then mapping the BPC studies to these criteria. Alongside, we present a meta-review of critical process mining capabilities and subsequently map these capabilities to the identified evaluation criteria. By leveraging the resulting conceptual map, we analyze known and novel BPC challenges, outlining the roadblocks to be addressed by BPC and process mining research to enable wide-scale deployment in practice.

Keywords: Business Process Compliance, Process Mining, Banking, Australia

Suggested Citation

Adams, Nigel and Augusto, Adriano and Davern, Michael J. and La Rosa, Marcello, On the Role of Process Mining in Business Process Compliance. Available at SSRN: https://ssrn.com/abstract=4081558 or http://dx.doi.org/10.2139/ssrn.4081558

Nigel Adams (Contact Author)

University of Melbourne ( email )

Adriano Augusto

affiliation not provided to SSRN ( email )

No Address Available

Michael J. Davern

The University of Melbourne - Department of Accounting ( email )

Victoria
Melbourne, 3010
Australia

University of Melbourne ( email )

Victoria
Melbourne, 3010
Australia

Marcello La Rosa

affiliation not provided to SSRN ( email )

No Address Available

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