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September 5 2022 (JST)NTT

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9Sixth International Workshop on Artificial Intelligence for
Requirements Engineering (AIRE'19)

Identifying and Understanding
Stakeholders using Process Mining
Case Study on Discovering Business Processes that Involve Organizational Entities

NTT Software Innovation Center

Shinobu Saito

Offering

Consultants play a key role inrequirements engineering.

BackgroundOne decisive factor influencing success ofrequirements engineering is to identify andunderstand the right stakeholders correctly andcompletely.
Requirements engineers need to know whichorganizational entity, as a stakeholder, has an
influence on the requirements of the system.

Lack of Business Process Document
Business process models are very helpful to identify
organizational entities related to the system.
However, business processes are often undocumented.
Requirements
Engineering

Dev.
DesignImplementation/TestOps.

No Documents
Documents degradedFew (or No) Experts

Process Mining
Process mining is a research field for identifying businessprocesses from the event logs generated by a system.

Process Mining Manifesto
http://dx.doi.org/10.1007/978-3-642-28108-2_19

Business Processes by Process Mining
Existing process mining approaches focus on sequential flows.
The models lack information on organizational entities.

http://www.promtools.org/doku.php

http://fluxicon.com/

Approach:Discovering business processes that involve organizational
entities from an event logs and user information

Requirements
Engineering

Dev.
DesignOps.
Implementation

Business Process Discovery
BusinessProcess

DesignRecovery
Source Code
Design doc.

Biz. & Sys.
Restructuring

Reverse Engineering and Design Recovery: A Taxonomy (Elliot Chikofsky, James Cross II, IEEE Computer Society, 1900)

Basic Concept of Discovery Method(1/2)-Generating Business Processes that Involve Organizational Entities-

Case Activity

TimestampUserID

W1

A

TS1001W1B

TS2001W1C

TS3002

W1

DTS4002

Business Process

R1
R2

User ID Organization
001

R1002

R2003

R3A

B
C

DActivity A and B are
executed in Swimlane R1.
Activity C and D are
executed in Swimlane R2.

Basic Concept of Discovery Method(2/2)-Generating Business Processes that Involve Organizational Entities-

Case ActivityTimestampUserID

W1A

TS1001W1B

TS2001W1C

TS3002W1DTS4002

W2A

TS1001

W2C

TS2003W2DTS3002

R1User ID Organization
001

R1002

R2003

R3B

A

R2

C_1

R3C_2

Activity C is divided into two
activities (C_1 and C_2)

Software Implementation (BP retriever)BP retriever automates
the discovery steps.
Business Process

BPretriever

DTarget System in Case Study
An industry workflow system for procuring office supplies
and equipment.

Approvalprocess??

Business Process Discovery
process based on.

GeneratedBusiness Process

1,960
records

269records

BPretriever

Generated Business Process

Stakeholder - Activity Matrix
All the activities are affected by more than one department.

PrepareDocument

Draft

Confirm

ReviewApprove

RD_Dept

X

X

X

X

X

Shared_Center

X

X

Activity
Department

IP_Dept

X

X

X
X

Biz_01
Biz_02

X

Biz_03

X

X

Summary and Future Issue
Summary
We introduced our industrial case study for identifying andunderstanding stakeholders.
Our tool generated the business process model that involves
organizational entities (i.e., swim-lanes) by analyzing the databaseof the system.
The model can helped requirements engineers to capture correctand complete stakeholders.

Future Issue
We plan to verify the generated process models from the casestudy.
We will evaluate whether the stakeholder identification by ourapproach is effective for the consulting business.

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We investigate the business processes and the related
systems for transferring the domain-specific knowledge to us.
Phase 1:Engagement
Analysis& Planning

Phase 2:
Transition

Phase 3:ServiceDelivery &Optimization

Understand key business processes
Identify key persons (experts)

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Existing operator
New operator

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Our approach transforms a set of database records of thesystem into models of business processes.

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Our case study examines the purchasing process in an industry
at BPO transition phase.
Outsourcing scope
Operator 1

Employee

Examples of activitiesb) Issue ticket

Receive quote forms
Issue order formsa) Request Taskc) Conduct
activities andOperator 2 save status

Receive invoices

BTTS

About 40 operators use the BTSS (Backoffice task Tracking and Sharing System)
for managing information of their tasks.
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ticket_change tableof the BTTS.
Operator

BTTS

Select/Save

Insertfield : statusv

Ticket 1001
StatusDocument drafted
Approved

DB(SQlite)
ticket_change tableticketfield

old value

new value

1001

statusDocument
draftedApproved bymanager

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Analysis Steps
Step 1) Select Records

ToolBP retriever

DBStep 2) Extract Activity
Step 3) Create Business Process
Step 4) Identify Business Process Types and theirFrequencies
Step 5) Identify Key Business Processes

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Step 1) Select Records

1,960
records
DBrecords

BTTS
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Step 2) Extract Activity
Based on changes to the value of the status of the records,
we suppose what activity took place during the change.

ticketfield

1001

statusticket_change tableold value

new value
Approved byDocument draftedmanager

Old value of ticket status:
Document drafted

Activity:
Approve

Manager

New value of ticket status:
Approved by manager
Approve

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Step 3) Create Business Process
We create a business process by connecting the activities
extracted in time series order.
ticket_change tableticket time field
1001 T1

Status1001 T2

Status1001 T3

Status1001 T4status

Business Process

old value

new value

Requestassigned
Document
draftedApprovedby manager
OrderIssued

Document
draftedApproved bymanager

Draft document

Order issued

Issue order forms

Order sent

Send order forms

Approve# T1 < T2 < T3 < T4
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BP Type 1

Activities extracted

BP Type 2

1001, Draft document, 2018/04/10 10:00
1001, Approve,
2018/04/11 13:30
1001, Issue order forms, 2018/04/12 09:00
1001, Send order forms, 2018/04/17 14:00

5001, Draft document, 2018/06/01 15:00
5001, Review document, 2018/06/03 10:30
5001, Approve,
2018/06/15 14:30
5001, Issue order forms, 2018/06/18 11:00
5001, Send order forms, 2018/06/20 16:00

BP retriever
Configure
BP

Visualize
BPDOT
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Whole process

Activities extracted
1001, Draft document, 2018/04/10 10:00
1001, Approve,
2018/04/11 13:30
1001, Issue order forms, 2018/04/12 09:00
1001, Send order forms, 2018/04/17 14:00

5001, Draft document, 2018/06/01 15:00
5001, Review document, 2018/06/03 10:30
5001, Approve,
2018/06/15 14:30
5001, Issue order forms, 2018/06/18 11:00
5001, Send order forms, 2018/06/20 16:00

BP retriever
Configure
BP

Visualize
BPDOT
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The tool portrayed themodel by collecting all
types of the businessprocesses.

BP retriever
BTTSDB(SQlite)
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Step 4) Identify Business Process Types and theirFrequencies
The tool identified 152 types of the business processes andcounted the frequency of each type.
18161714121210987586424

32

101 10 19 28 37 46 55 64 73 82 91 100 109 118 127 136 145
Types of business processes (Total number: 152)
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Step 5) Identify Key Business Processes
We selected top four types as key
business processes.

Key Business Process(collected by top 4 types)

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No.

Name of Activity

123456789101112131415161718
19

Start
Approved by managers
Receive products
Inspected by managers
File documents
Inspected by dept
Receive invoices
Complete scan
Issue order forms
Receive quote forms
Pending
Create journalizing data
Confirmed by ac sectReceive inspection sheets
Confirmed by supervisor
File order forms
Receive remaining products
Report to deptScan
Total

No. of Exec.
322
246
235
230
207
194
142
137
114
71
34
865421111960

Key Business Process(collected by top 4 types)

10 activities in key businessprocess cover 96.8 %(1,898/1,960) of all activity
executions over one year ofoperation.
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We assume that the key business processes lead todecrease in BPO cost and risk.

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Copyright 2022 NTT CORPORATION

47Vol.2020-SE-205,No.9,1-8

NTT

PC

PC

PC

PC

Time
Stamp

Activity

SystemT1

A

Chrome

T2

1

Word

T3

2

Excel
A

T4

ChromeOutloo
k

T5
A

T6

A
12A

ChromeA

PC

CelonisUiPath

https://www.celonis.com/process-mining/what-is-task-mining
https://www.uipath.com/ja/product/process-understanding-explorer

PC

A 1
a1
B 1
b1

Time
Stamp

Activity

System

T1

1

Excel

T2

2

PDF
A

T3
T4

3

T5

B

T6

A

T7

3

A 1
a1
B 1
b1

Time
Stamp

Excel
B

T8PC

Excel

Activity

System

T1

1

Excel

T2

2

PDF
A

T3
T4

3

ExcelT5B

T6

A

T7
T8

A a1

3ExcelB

B b1

Business ID

Case ID

Time
Stamp

Activity

SystemBusiness
ID

Case
ID

Time
Stamp

T1

1Excel

1

1

T2

2PDF

1A

T3
3

T4ExcelActivity

SystemT1

1Excel

1

T2

2

PDF

1

1

T3

2

2

T4

A
3Excel

T5

B

22

T5

B

T6

A

1

1

T6

A

2

2

T7

2

2

T8

3

T7

Excel
B

T8

3ExcelB

ID

Time Stamp

Activity

SystemT1

1Excel

T2

2

PDF
A

T3

W1

A

T4

W2

B

T5

B

T6A

T7
T8

3Excel3Excel
B

ID

W1

A

W2

B

Time
Stamp

ActivitySystemT11Excel

T22PDFA

T355IDW2T43Excel

T5B

T6A

T7T83Excel
B

Business ID Case ID

1.

ID

2.

Business ID

Case ID

Business ID

Business ID

81%ID

Case ID

Case ID

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