VISUAL CONFORMANCE CHECKING OF PROCESSES
Systems and methods for determining conformance of a process based on a process model of the process and an event log of an execution of the process are provided. The process model is divided into one or more control regions and reachable nodes are determined for each node in the process model. Conformance of the process is determined by comparing transitions from source activities to destination activities in the event log with the reachable nodes based on the one or more control regions.
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The present invention relates generally to process mining, and more particularly to visual conformance checking of processes.
BACKGROUNDIn process mining, processes are analyzed to identify trends, patterns, and other process analytical measures in order improve efficiency and gain a better understanding of the processes. One process mining technique is conformance checking, which is performed to evaluate whether the actual execution of a process conforms to the expected execution of the process. In particular, conformance checking involves comparing data from an event log representing the actual execution of the process with a process model representing the expected execution of the process. Conventional conformance checking techniques provide results that are difficult to interpret for users in a business context. In addition, such conventional conformance checking techniques identify a number and a location of deviations of the actual execution of the process from the expected execution of the process, but do not provide diagnostic information that allows a user to understand the deviations.
BRIEF SUMMARY OF THE INVENTIONIn accordance with one or more embodiments, systems and methods for determining conformance of a process based on a process model of the process and an event log of an execution of the process are provided. The process may be a robotic process automation process.
The process model is divided into one or more control regions and reachable nodes are determined for each node in the process model. Conformance of the process is determined by comparing transitions from source activities to destination activities in the event log with the reachable nodes based on the one or more control regions.
In one embodiment, a transition from a source activity to a destination activity is determined to be conforming where the destination activity is reachable from the source activity. A transition from a source activity to a destination activity is determined to be nonconforming where a control region of the source activity and a control region of the destination activity have an exclusive relationship. Where source activity and a destination activity have no direct relationship and the control regions of the source activity and the destination activity have a concurrent relationship, a transition from a last activity executed in a control region of a destination activity to the destination activity is determined to be conforming where the destination activity is reachable from the last activity executed in the control region of the destination activity. For a transition from a source activity to a destination activity where no activity is executed in a control region of the destination activity and the destination activity is a first activity in the control region, the transition is determined to be conforming where the destination activity is reachable from an entry gateway of the control region of the destination activity.
In one embodiment, the process model models the process using parallel and/or exclusive gateways to represent diversions in the process.
These and other advantages of the invention will be apparent to those of ordinary skill in the art by reference to the following detailed description and the accompanying drawings.
In process mining, conformance checking is performed to evaluate whether the actual execution of a process conforms to the expected execution of the process. In accordance with embodiments of the present invention, conformance checking is performed by comparing transitions between events in an event log of a process with dependencies between activities in a process model of the process to thereby determine the conformance of the transitions. Advantageously, embodiments of the present invention provide for conformance checking with a lower computational complexity than conventional conformance checking techniques, while also providing an output that can be intuitively visualized for a user in a business setting.
Process 100 comprises activities 102-116, which represent predefined steps in process 100. As shown in
At step 302, a process model of a process and an event log of an execution of the process are received. The process model is a model representing an expected execution of the process. The event log is a log recording events of the actual execution of the process. An exemplary process model is shown in
In one embodiment, process model 400 models process 100 using gateways to represent diversions in process 100. The gateways control how the process flows during execution. The gateways may be exclusive gateways or parallel gateways and may split a single path into multiple paths or join multiple paths into a single path. For an exclusive gateway, a single output path (for split gateways) or a single input path (for join gateways) is traversed during execution of the process. For a parallel gateway, multiple output paths (for split gateways) or multiple input paths (for join gateways) are concurrently traversed during execution of the process. As shown in
In one embodiment, process model 400 is a well-structured process model having a single entry and single exit sequence of flows.
At step 304 of
In one embodiment, the process model is divided into control regions according to the following steps. In a first step, a refined process structure tree (RPST) of the process model is generated, for example, using known techniques. In a second step, for each respective split gateway, a concurrency or exclusivity relationship is defined, based on the type of respective gateway, between all fragments of the RPST in which the respective gateway is the entry node. In a third step, a pre-order tree traversal is performed over the fragments of the RPST. During the traversal, concurrency and exclusivity relations of parent fragments are added to the current fragment to ensure concurrency and exclusivity relations based on ancestors are set. In a fourth step, a post-order tree traversal is performed over the fragments of the RPST initializing one or more control regions for every fragment. In this step, start and end nodes are considered gateway nodes. If a fragment is a leaf node of the RPST (i.e., it has no child fragments), a control region is initialized to include all edges in the fragment. If a fragment is not a leaf node of the RPST, consider all edges of the fragment that are not yet part of a control region. For each of such edges, if a gateway node is its source, a control region is initialized to include all edges between the source gateway node and a next gateway node. In a fifth step, successor relations between control regions are set. Successor relations are set based on the control regions that incoming and outgoing edges of the gateway node belong to. In accordance with an embodiment, every gateway is either splitting or joining (not both) and therefore, only the control regions corresponding to outgoing edges of splitting gateways and incoming edges for joining gateways need to be evaluated.
At step 306 of
At step 308, a conformance of the process is determined by comparing transitions from source activities to destination activities in the event log with the reachable nodes. In some embodiments, the comparison may also be based on the control regions. In one embodiment, the conformance of the process is evaluated for each variant found in the event log. A variant refers to a unique sequence of activities. For each variant, the transitions of the variant are replayed or mapped onto the process model. While replaying the variant, each transition is mapped to the process model based on the structure of the process model (e.g., its control regions, concurrency, exclusivity, etc.) and the activities that have already been mapped while replaying the variant, and the mapped variant is rebuilt. If a transition can be mapped to the process model, the transitions are conforming transitions that occur in both the event log and the process model and are added to the mapped variant. If a transition cannot be mapped to the model, a log-only transition from the source activity to the destination activity is added. Behavior that is observed in the event log but not in the process model (log only behavior) and behavior that is not observed in the event log but is observed in the process model (model only behavior) are nonconforming.
For each transition from a source activity to a destination activity in a variant, one of the following situations occur:
- The source activity and/or the destination activity are not found in the process model: The transition represents nonconforming log only behavior.
- The transition exists directly in the process model: The transition conforms to the process model.
- The destination activity is reachable from the source activity: The transition conforms to the process model and the entire path from the source activity to the destination activity are conforming edges.
- The source activity and the destination activity have no direct relationship: Evaluate conformance based on the control region of the source activity and the destination activity. The source activity and the destination activity have no direct relationship if there is no direct transition between the activities in the model and the destination activity is not reachable from the source activity. One of the following situations occur:
- The control regions of the source activity and of the destination activity have an exclusive relationship: The transition represents nonconforming log only behavior.
- The control regions of the source activity and of the destination activity have a concurrent relationship: To handle parallelism, a variant σ replayed to the current activity is projected to track what event last occurred in a particular control region. A region projection σ i of variant σ over control region i is the last event in variant σ that is mapped to an activity in the set of interior nodes of control region i. If no event in variant σ is mapped to an activity in the set of interior nodes of control region i, then the region projection σ i is empty (i.e., σ i=Ø). If the destination activity is reachable from region projection σ destination of variant σ over control region destination (the control region comprising the destination activity), the transition from σ destination to the destination activity, or its entire path, is conforming. While the order of events in the event log may suggest there is a transition from the source activity to the destination activity, the actual transition is the found path (due to parallelism). If σ N destination=Ø, conformance is evaluated based on the entry gateway of the control region of the destination activity destination. If the destination activity is not reachable from its entry gateway, the transition from the source activity to the destination activity is nonconforming log only behavior. Otherwise, the transition from the entry gateway to the destination activity is conforming.
- The control regions of the source activity and of the destination activity have no direct relationship: The transition represents nonconforming log only behavior.
In one embodiment, if a transition is mapped from a parallel join gateway to a following activity or gateway, all proceeding paths (paths that end in the join gateway) are closed. This means that all concurrent control regions that end in this join gateway are looked at. For each of these control regions, it is determined whether the join gateway is reachable from the last executed activity in the control region. If so, that transition or path is added as conforming. If not, a log-only transition is added from the last executed activity in the control region to the above join gateway.
Once a variant has been completely replayed, all transitions in the model that have not been added as conforming transitions are evaluated. If those transitions are not required (i.e., they are part of an exclusive path), they are ignore. Otherwise, they are added to the mapped variant as model-only transitions.
At step 310, the conformance of the process is output. For example, the conformance of the process can be output by displaying the conformance of the process on a display device of a computer system, storing the conformance of the process on a memory or storage of a computer system, or by transmitting the conformance of the process to a remote computer system. In one embodiment, the conformance of the process is visualized by mapping variants of conforming and/or nonconforming transitions on the process model.
In one embodiment, the conformance of a process may be visualized using a nested model for visualization design. The nested model for visualization design includes the following four layers, where a lower layer is dependent on all layers above, from highest to lowest: i) characterization of the domain problem: describe the tasks and goals of target users in a particular domain; ii) data/operation abstraction design: abstracting from domain specific problems to generic descriptions of operations in the domain of information visualization; iii) encoding/interaction technique design: designing interactions and visual encoding of information; and iv) algorithm design: create an algorithm to enact the interaction design and visual encoding automatically. Each layer will be discussed in further detail as follows.
Characterization of the domain problem: one problem includes an activity in the process model being skipped or an activity not in the process model being executed, which corresponds to log only behavior or model only behavior, respectively.
Data/operation abstraction design: in abstraction design, the user should be able to execute three different workflows in a simple and intuitive manner, with the first workflow being discovering observations, the second workflow being discovering observations, describing them, and finding attribute values that could be the cause, and the third workflow being discover observations, comparing them, and explaining their differences. To enable these three workflows, five different analysis goals should be supported in the visualization design: discover observation, describe observation (aggregate), identify main cause (aggregate) compare entities, and explain differences. Discover observation, which refers to finding specific deviations, is important as it is present in every workflow.
Encoding/interaction technique design: Information has to be encoded for it to be effectively conveyed to the user. Furthermore, interaction allows users to change what information is displayed, allowing for many different queries. A multiple view system may be employed for the visualization of conformance.
Computing system 1100 further includes a memory 1106 for storing information and instructions to be executed by processor(s) 1104. Memory 1106 can be comprised of any combination of Random Access Memory (RAM), Read Only Memory (ROM), flash memory, cache, static storage such as a magnetic or optical disk, or any other types of non-transitory computer-readable media or combinations thereof. Non-transitory computer-readable media may be any available media that can be accessed by processor(s) 1104 and may include volatile media, non-volatile media, or both. The media may also be removable, non-removable, or both.
Additionally, computing system 1100 includes a communication device 1108, such as a transceiver, to provide access to a communications network via a wireless and/or wired connection according to any currently existing or future-implemented communications standard and/or protocol.
Processor(s) 1104 are further coupled via bus 1102 to a display 1110 that is suitable for displaying information to a user. Display 1110 may also be configured as a touch display and/or any suitable haptic I/O device.
A keyboard 1112 and a cursor control device 1114, such as a computer mouse, a touchpad, etc., are further coupled to bus 1102 to enable a user to interface with computing system. However, in certain embodiments, a physical keyboard and mouse may not be present, and the user may interact with the device solely through display 1110 and/or a touchpad (not shown). Any type and combination of input devices may be used as a matter of design choice. In certain embodiments, no physical input device and/or display is present. For instance, the user may interact with computing system 1100 remotely via another computing system in communication therewith, or computing system 1100 may operate autonomously.
Memory 1106 stores software modules that provide functionality when executed by processor(s) 1104. The modules include an operating system 1116 for computing system 1100 and one or more additional functional modules 1118 configured to perform all or part of the processes described herein or derivatives thereof.
One skilled in the art will appreciate that a “system” could be embodied as a server, an embedded computing system, a personal computer, a console, a personal digital assistant (PDA), a cell phone, a tablet computing device, a quantum computing system, or any other suitable computing device, or combination of devices without deviating from the scope of the invention. Presenting the above-described functions as being performed by a “system” is not intended to limit the scope of the present invention in any way, but is intended to provide one example of the many embodiments of the present invention. Indeed, methods, systems, and apparatuses disclosed herein may be implemented in localized and distributed forms consistent with computing technology, including cloud computing systems.
It should be noted that some of the system features described in this specification have been presented as modules, in order to more particularly emphasize their implementation independence. For example, a module may be implemented as a hardware circuit comprising custom very large scale integration (VLSI) circuits or gate arrays, off-the-shelf semiconductors such as logic chips, transistors, or other discrete components. A module may also be implemented in programmable hardware devices such as field programmable gate arrays, programmable array logic, programmable logic devices, graphics processing units, or the like. A module may also be at least partially implemented in software for execution by various types of processors. An identified unit of executable code may, for instance, include one or more physical or logical blocks of computer instructions that may, for instance, be organized as an object, procedure, or function. Nevertheless, the executables of an identified module need not be physically located together, but may include disparate instructions stored in different locations that, when joined logically together, comprise the module and achieve the stated purpose for the module. Further, modules may be stored on a computer-readable medium, which may be, for instance, a hard disk drive, flash device, RAM, tape, and/or any other such non-transitory computer-readable medium used to store data without deviating from the scope of the invention. Indeed, a module of executable code could be a single instruction, or many instructions, and may even be distributed over several different code segments, among different programs, and across several memory devices. Similarly, operational data may be identified and illustrated herein within modules, and may be embodied in any suitable form and organized within any suitable type of data structure. The operational data may be collected as a single data set, or may be distributed over different locations including over different storage devices, and may exist, at least partially, merely as electronic signals on a system or network.
The foregoing merely illustrates the principles of the disclosure. It will thus be appreciated that those skilled in the art will be able to devise various arrangements that, although not explicitly described or shown herein, embody the principles of the disclosure and are included within its spirit and scope. Furthermore, all examples and conditional language recited herein are principally intended to be only for pedagogical purposes to aid the reader in understanding the principles of the disclosure and the concepts contributed by the inventor to furthering the art, and are to be construed as being without limitation to such specifically recited examples and conditions. Moreover, all statements herein reciting principles, aspects, and embodiments of the disclosure, as well as specific examples thereof, are intended to encompass both structural and functional equivalents thereof. Additionally, it is intended that such equivalents include both currently known equivalents as well as equivalents developed in the future.
Claims
1. A computer-implemented method for determining conformance of a process based on a process model of the process and an event log of an execution of the process comprising:
- determining reachable nodes for each node in the process model; and
- determining conformance of the process by comparing transitions from source activities to destination activities in the event log with the reachable nodes.
2. The computer-implemented method of claim 1, wherein determining conformance of the process by comparing transitions from source activities to destination activities in the event log with the reachable nodes comprises:
- determining a transition from a source activity to a destination activity to be conforming where the destination activity is reachable from the source activity.
3. The computer-implemented method of claim 1, further comprising dividing the process model into one or more control regions, wherein determining conformance of the process by comparing transitions from source activities to destination activities in the event log with the reachable nodes comprises:
- determining the conformance of the process by comparing the transitions from the source activities to the destination activities in the event log with the reachable nodes based on the one or more control regions.
4. The computer-implemented method of claim 3, wherein determining the conformance of the process by comparing the transitions from the source activities to the destination activities in the event log with the reachable nodes based on the one or more control regions comprises:
- determining a transition from a source activity to a destination activity to be nonconforming where a control region of the source activity and a control region of the destination activity have an exclusive relationship.
5. The computer-implemented method of claim 3, wherein determining the conformance of the process by comparing the transitions from the source activities to the destination activities in the event log with the reachable nodes based on the one or more control regions comprises:
- determining a transition from a last activity executed in a control region of a destination activity to the destination activity to be conforming where the destination activity is reachable from the last activity executed in the control region of the destination activity.
6. The computer-implemented method of claim 3, wherein determining the conformance of the process by comparing the transitions from the source activities to the destination activities in the event log with the reachable nodes based on the one or more control regions comprises:
- for a transition from a source activity to a destination activity where no activity is executed in a control region of the destination activity, determining the transition to be conforming where the destination activity is reachable from an entry gateway of the control region of the destination activity.
7. The computer-implemented method of claim 1, wherein the process model models the process using parallel and/or exclusive gateways to represent diversions in the process.
8. The computer-implemented method of claim 1, wherein the process is a robotic process automation process.
9. An apparatus comprising:
- a memory storing computer instructions for determining conformance of a process based on a process model of the process and an event log of an execution of the process; and
- at least one processor configured to execute the computer instructions, the computer instructions configured to cause the at least one processor to perform operations of:
- determining reachable nodes for each node in the process model; and
- determining conformance of the process by comparing transitions from source activities to destination activities in the event log with the reachable nodes.
10. The apparatus of claim 9, wherein determining conformance of the process by comparing transitions from source activities to destination activities in the event log with the reachable nodes comprises:
- determining a transition from a source activity to a destination activity to be conforming where the destination activity is reachable from the source activity.
11. The apparatus of claim 9, the operations further comprising dividing the process model into one or more control regions, wherein determining conformance of the process by comparing transitions from source activities to destination activities in the event log with the reachable nodes comprises:
- determining the conformance of the process by comparing the transitions from the source activities to the destination activities in the event log with the reachable nodes based on the one or more control regions.
12. The apparatus of claim 11, wherein determining the conformance of the process by comparing the transitions from the source activities to the destination activities in the event log with the reachable nodes based on the one or more control regions comprises:
- determining a transition from a source activity to a destination activity to be nonconforming where a control region of the source activity and a control region of the destination activity have an exclusive relationship.
13. The apparatus of claim 11, wherein determining the conformance of the process by comparing the transitions from the source activities to the destination activities in the event log with the reachable nodes based on the one or more control regions comprises:
- determining a transition from a last activity executed in a control region of a destination activity to the destination activity to be conforming where the destination activity is reachable from the last activity executed in the control region of the destination activity.
14. The apparatus of claim 11, wherein determining the conformance of the process by comparing the transitions from the source activities to the destination activities in the event log with the reachable nodes based on the one or more control regions comprises:
- for a transition from a source activity to a destination activity where no activity is executed in a control region of the destination activity, determining the transition to be conforming where the destination activity is reachable from an entry gateway of the control region of the destination activity.
15. The apparatus of claim 9, wherein the process model models the process using parallel and/or exclusive gateways to represent diversions in the process.
16. The apparatus of claim 9, wherein the process is a robotic process automation process.
17. A computer program embodied on a non-transitory computer-readable medium for determining conformance of a process based on a process model of the process and an event log of an execution of the process, the computer program configured to cause at least one processor to perform operations comprising:
- determining reachable nodes for each node in the process model; and
- determining conformance of the process by comparing transitions from source activities to destination activities in the event log with the reachable nodes.
18. The computer program of claim 17, wherein determining conformance of the process by comparing transitions from source activities to destination activities in the event log with the reachable nodes comprises:
- determining a transition from a source activity to a destination activity to be conforming where the destination activity is reachable from the source activity.
19. The computer program of claim 17, the operations further comprising dividing the process model into one or more control regions, wherein determining conformance of the process by comparing transitions from source activities to destination activities in the event log with the reachable nodes comprises:
- determining the conformance of the process by comparing the transitions from the source activities to the destination activities in the event log with the reachable nodes based on the one or more control regions.
20. The computer program of claim 19, wherein determining the conformance of the process by comparing the transitions from the source activities to the destination activities in the event log with the reachable nodes based on the one or more control regions comprises:
- determining a transition from a source activity to a destination activity to be nonconforming where a control region of the source activity and a control region of the destination activity have an exclusive relationship.
21. The computer program of claim 19, wherein determining the conformance of the process by comparing the transitions from the source activities to the destination activities in the event log with the reachable nodes based on the one or more control regions comprises:
- determining a transition from a last activity executed in a control region of a destination activity to the destination activity to be conforming where the destination activity is reachable from the last activity executed in the control region of the destination activity.
22. The computer program of claim 19, wherein determining the conformance of the process by comparing the transitions from the source activities to the destination activities in the event log with the reachable nodes based on the one or more control regions comprises:
- for a transition from a source activity to a destination activity where no activity is executed in a control region of the destination activity, determining the transition to be conforming where the destination activity is reachable from an entry gateway of the control region of the destination activity.
23. The computer program of claim 17, wherein the process model models the process using parallel and/or exclusive gateways to represent diversions in the process.
24. The computer program of claim 17, wherein the process is a robotic process automation process.
Type: Application
Filed: Dec 30, 2019
Publication Date: Oct 6, 2022
Applicant: UiPath, Inc. (New York, NY)
Inventors: Roeland Johannus SCHEEPENS (Eindhoven), Bart Martinus Cornelis DE BIE (Eindhoven)
Application Number: 16/730,700