Process mining : conformance and extension

Today’s business processes are realized by a complex sequence of tasks that are performed throughout an organization, often involving people from different departments and multiple IT systems. For example, an insurance company has a process to handle insurance claims for their clients, and a hospital has processes to diagnose and treat patients. Because there are many activities performed by different people throughout the organization, there is a lack of transparency about how exactly these processes are executed. However, understanding the process reality (the "as is" process) is the first necessary step to save cost, increase quality, or ensure compliance. The field of process mining aims to assist in creating process transparency by automatically analyzing processes based on existing IT data. Most processes are supported by IT systems nowadays. For example, Enterprise Resource Planning (ERP) systems such as SAP log all transaction information, and Customer Relationship Management (CRM) systems are used to keep track of all interactions with customers. Process mining techniques use these low-level log data (so-called event logs) to automatically generate process maps that visualize the process reality from different perspectives. For example, it is possible to automatically create process models that describe the causal dependencies between activities in the process. So far, process mining research has mostly focused on the discovery aspect (i.e., the extraction of models from event logs). This dissertation broadens the field of process mining to include the aspect of conformance and extension. Conformance aims at the detection of deviations from documented procedures by comparing the real process (as recorded in the event log) with an existing model that describes the assumed or intended process. Conformance is relevant for two reasons: 1. Most organizations document their processes in some form. For example, process models are created manually to understand and improve the process, comply with regulations, or for certification purposes. In the presence of existing models, it is often more important to point out the deviations from these existing models than to discover completely new models. Discrepancies emerge because business processes change, or because the models did not accurately reflect the real process in the first place (due to the manual and subjective creation of these models). If the existing models do not correspond to the actual processes, then they have little value. 2. Automatically discovered process models typically do not completely "fit" the event logs from which they were created. These discrepancies are due to noise and/or limitations of the used discovery techniques. Furthermore, in the context of complex and diverse process environments the discovered models often need to be simplified to obtain useful insights. Therefore, it is crucial to be able to check how much a discovered process model actually represents the real process. Conformance techniques can be used to quantify the representativeness of a mined model before drawing further conclusions. They thus constitute an important quality measurement to effectively use process discovery techniques in a practical setting. Once one is confident in the quality of an existing or discovered model, extension aims at the enrichment of these models by the integration of additional characteristics such as time, cost, or resource utilization. By extracting aditional information from an event log and projecting it onto an existing model, bottlenecks can be highlighted and correlations with other process perspectives can be identified. Such an integrated view on the process is needed to understand root causes for potential problems and actually make process improvements. Furthermore, extension techniques can be used to create integrated simulation models from event logs that resemble the real process more closely than manually created simulation models. In Part II of this thesis, we provide a comprehensive framework for the conformance checking of process models. First, we identify the evaluation dimensions fitness, decision/generalization, and structure as the relevant conformance dimensions.We develop several Petri-net based approaches to measure conformance in these dimensions and describe five case studies in which we successfully applied these conformance checking techniques to real and artificial examples. Furthermore, we provide a detailed literature review of related conformance measurement approaches (Chapter 4). Then, we study existing model evaluation approaches from the field of data mining. We develop three data mining-inspired evaluation approaches for discovered process models, one based on Cross Validation (CV), one based on the Minimal Description Length (MDL) principle, and one using methods based on Hidden Markov Models (HMMs). We conclude that process model evaluation faces similar yet different challenges compared to traditional data mining. Additional challenges emerge from the sequential nature of the data and the higher-level process models, which include concurrent dynamic behavior (Chapter 5). Finally, we point out current shortcomings and identify general challenges for conformance checking techniques. These challenges relate to the applicability of the conformance metric, the metric quality, and the bridging of different process modeling languages. We develop a flexible, language-independent conformance checking approach that provides a starting point to effectively address these challenges (Chapter 6). In Part III, we develop a concrete extension approach, provide a general model for process extensions, and apply our approach for the creation of simulation models. First, we develop a Petri-net based decision mining approach that aims at the discovery of decision rules at process choice points based on data attributes in the event log. While we leverage classification techniques from the data mining domain to actually infer the rules, we identify the challenges that relate to the initial formulation of the learning problem from a process perspective. We develop a simple approach to partially overcome these challenges, and we apply it in a case study (Chapter 7). Then, we develop a general model for process extensions to create integrated models including process, data, time, and resource perspective.We develop a concrete representation based on Coloured Petri-nets (CPNs) to implement and deploy this model for simulation purposes (Chapter 8). Finally, we evaluate the quality of automatically discovered simulation models in two case studies and extend our approach to allow for operational decision making by incorporating the current process state as a non-empty starting point in the simulation (Chapter 9). Chapter 10 concludes this thesis with a detailed summary of the contributions and a list of limitations and future challenges. The work presented in this dissertation is supported and accompanied by concrete implementations, which have been integrated in the ProM and ProMimport frameworks. Appendix A provides a comprehensive overview about the functionality of the developed software. The results presented in this dissertation have been presented in more than twenty peer-reviewed scientific publications, including several high-quality journals

Fallstudie Axa Winterthur : intelligenter Distributionsanfrageprozess

Mitarbeitende in Vertrieb und Underwriting von zeitraubenden Routineaufgaben zu entlasten, damit sie sich auf ihre Kunden und fachliche Aspekte konzentrieren können, war die Zielsetzung des Projekts der Axa Winterthur, das in der vorliegenden Fallstudie beschreiben wird. Mit der Standardisierung des Distributionsanfrageprozesses und der Einführung einer Workflowlösung inklusive Business Rules konnte eine flexible Lösung geschaffen werden, die sich nicht nur auf andere Geschäftsbereiche übertragen lässt, sondern sich durch die zentrale Wissensbasis und auswertbare operative Daten weiter in Richtung eines entscheidungsunterstützenden und lernenden Systems entwickeln kann

Decision mining in business processes

Many companies have adopted Process-aware Information Systems (PAIS) for supporting their business processes in some form. These systems typically log events (e.g., in transaction logs or audit trails) related to the actual business process executions. Proper analysis of PAIS execution logs can yield important knowledge and help organizations improve the quality of their services. Starting from a process model as it is possible to discover by conventional process mining algorithms we analyze how data attributes influence the choices made in the process based on past process executions. Decision mining, also referred to as decision point analysis, aims at the detection of data dependencies that affect the routing of a case. In this paper we describe how machine learning techniques can be leveraged for this purpose, and discuss further challenges related to this approach. To verify the presented ideas a Decision Miner has been implemented within the ProM framework

Evaluating the quality of discovered process models

In the domain of process mining the evaluation of models (i.e., \How can we measure the quality of a mined process model?") is still subject to ongoing research. Because the types of models used in process mining are typically on a higher level of abstraction (they, for example, allow to capture concurrency), the problem of model evaluation is challenging. In this paper, we elaborate on the problem of process model evaluation, and we evaluate both new and existing fitness metrics for different levels of noise. The new metrics and the noise generation are based on Hidden Markov Models (HMMs)

A recommender system for process discovery

Over the last decade, several algorithms for process discovery and process conformance have been proposed. Still, it is well-accepted that there is no dominant algorithm in any of these two disciplines, and then it is often difficult to apply them successfully. Most of these algorithms need a close-to expert knowledge in order to be applied satisfactorily. In this paper, we present a recommender system that uses portfolio-based algorithm selection strategies to face the following problems: to find the best discovery algorithm for the data at hand, and to allow bridging the gap between general users and process mining algorithms. Experiments performed with the developed tool witness the usefulness of the approach for a variety of instances.Peer ReviewedPostprint (author’s final draft

Process mining of test processes : a case study

Process mining techniques attempt to extract non-trivial and useful information from event logs. For example, there are many process mining techniques to automatically discover a process model describing the causal dependencies between activities. Moreover, using conformance checking it is possible to investigate and quantify deviations between the real process and the modeled process. Several successful case studies have been reported in literature, all demonstrating the applicability of process mining. However, these case studies refer to rather structured administrative processes. In this paper, we investigate the applicability of process mining to less structured processes. We report on a case study where the ProM framework has been applied to the test processes of ASML (the leading manufacturer of wafer scanners in the world). This case study provides many interesting insights. On the one hand, process mining is also applicable to the less structured processes of ASML. On the other hand, the case study also shows the need for alternative mining approaches able to better visualize processes and provide more insights

Integrating computer log files for process mining: a genetic algorithm inspired technique

Process mining techniques are applied to single computer log files. But many processes are supported by different software tools and are by consequence recorded into multiple log files. Therefore it would be interesting to find a way to automatically combine such a set of log files for one process. In this paper we describe a technique for merging log files based on a genetic algorithm. We show with a generated test case that this technique works and we give an extended overview of which research is needed to optimise and validate this technique

Anti-alignments in conformance checking: the dark side of process models

Conformance checking techniques asses the suitability of a process model in representing an underlying process, observed through a collection of real executions. These techniques suffer from the wellknown state space explosion problem, hence handling process models exhibiting large or even infinite state spaces remains a challenge. One important metric in conformance checking is to asses the precision of the model with respect to the observed executions, i.e., characterize the ability of the model to produce behavior unrelated to the one observed. By avoiding the computation of the full state space of a model, current techniques only provide estimations of the precision metric, which in some situations tend to be very optimistic, thus hiding real problems a process model may have. In this paper we present the notion of antialignment as a concept to help unveiling traces in the model that may deviate significantly from the observed behavior. Using anti-alignments, current estimations can be improved, e.g., in precision checking. We show how to express the problem of finding anti-alignments as the satisfiability of a Boolean formula, and provide a tool which can deal with large models efficiently.Peer ReviewedPostprint (author's final draft

Workflow simulation for operational decision support using YAWL and ProM

Simulation is widely used as a tool for analyzing business processes but is mostly focused on examining rather abstract steady-state situations. Such analyses are helpful for the initial design of a business process but are less suitable for operational decision making and continuous improvement. Here we describe a simulation system for operational decision support in the context of work ow management. To do this we exploit not only the work ow's design, but also logged data describing the system's observed historic behavior, and information extracted about the current state of the work ow. Making use of actual data capturing the current state and historic information allows our simulations to accurately predict potential near-future behaviors for dierent scenarios. The approach is supported by a practical toolset which combines and extends the work ow management system YAWL and the process mining framework ProM. This technical report contains a detailed description of how a simulation model including operational decision support can be generated by our software based on the running example