On the Role of Process Mining in Business Process Compliance
51 Pages Posted: 11 Apr 2022
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
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