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With the recent release of ARIS Process Mining Enterprise SaaS, we just saw new functionality being available around Conformance Checking. But what can Conformance Checking mean for your organization?

Business operations for most organizations are not siloed, they always have to deal with external regulations, internal policies, market or industry standards, procedures, state laws, and guidelines. What business executives, operation managers, and process experts mostly need, is to ensure these requirements are embedded in their daily operations and followed on a daily basis.

Having a repository that allows to design business architecture in a structured way by defining reference processes, business and decision rules, and potential business risks and associated mitigation controls is mostly required to control the above-mentioned challenges.

Organizations need a solution which allows their entire workforce to easily access and benefit from this knowledge pool of procedures and policies:

New employees can be onboarded quickly, vacation replacements will have all required instructions at their fingertips, and even experienced employees can benefit by sharing their best practices with other colleagues. In addition, this business-approved framework can serve as a blueprint for the technical implementation and continuous adaptation of applications, such as ERP systems. It also helps to onboard new robots within e.g. a recently launched RPA initiative.

However, business reality is always extremely complex manifested in a multitude of execution variations of daily operations - even for standardized business processes. To ensure an organization still meets all business obligations, consistent compliance management is essential. ARIS Process Mining ensures a company's compliance can be efficiently and effectively assessed and ensured. Process Mining can be called the indispensable building block in any compliance management strategy.

In contrast to possibly annual or quarterly audits, where only a sample of recently executed processes is being analyzed, process mining enables to digitize the highly manual audits. This approach can lead to many benefits such as:

  • Efficient and continuous audits through automation
  • Increasing effectiveness of audits because all cases are being inspected
  • Tracing issues back to process behaviour and corresponding patterns
  • Rapid feedback cycle on compliance design
  • Intervention when compliance issues occur

In general, process mining can be used to perform both conformance and compliance analysis.

  • Conformance analysis checks if a (standard operating) procedure is followed step by step. The HOW becomes the focus of the analysis. Conformance checking identifies the gaps between the reference process (to-be) and the actual execution (as-is).
  • Compliance analysis furthermore verifies whether a certain process or organization comply with a policy, standard, control objective, or regulatory requirement. The IF becomes the focus of the analysis. Rules & Controls testing verifies compliance to key controls and business rules (to-be) in the actual execution (as-is).

If you want to learn more about the latest features of ARIS Process Mining being recently released, watch the
ARIS 10.0 SR14 PROCESS MINING SAAS Delta Training.

by Caspar Jans
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Posted on Fri, 06/18/2021 - 14:14

Nice article Markus. One thing I could add is that being able to document all the regulatory frameworks you need to comply to and connect them to the relevant business processes (and their activities) will lay the foundation for a more efficient internal and external auditing. Furthermore if you add process mining into the mix, it will become possible to define the exact scope of an upcoming audit with the push of a button (running a report or query) and subsequently take into account the result of process minnig to "prove" that you are in control of those specified processes. 

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