Action Console Framework for Exception Handling in Automated Workflows
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Solution Overview
Problem
Conventional automated processing platforms in distributed computing systems, such as those in financial institutions, often fail to accommodate exceptional circumstances that require manual intervention, lacking infrastructure for compliance, business rules, and robust audit trails.
Innovation Solution
An action console framework that enables manual actions to be initiated and executed within an automated workflow, incorporating business rules and audit trails, allowing for the creation and management of manual actions through a structured workflow process.
Engineering Contradictions & Design Principles
Engineering Contradiction Analysis
1Adaptability or versatility
If manually initiated activities are implemented in conventional automated processing platforms, then operational flexibility and exception handling capability are improved, but system complexity and compliance risk increase
Solution Approach 1:
The patent introduces an action console as an intermediary component that mediates between manual user actions and the automated processing platform. The action console provides a structured interface for initiating manual activities while automatically managing compliance checks, business rules validation, and audit trail generation. This intermediary layer absorbs the complexity of compliance and control requirements, allowing manual activities to be integrated without directly increasing overall system complexity.
2Adaptability or versatility
If manually initiated activities are implemented without proper infrastructure, then operational flexibility is improved, but compliance adherence and audit capability deteriorate
Solution Approach 1:
The patent implements preliminary action by conducting compliance checks, business rules validation, and authorization verification before manual actions are executed. The action console validates user permissions, checks compliance requirements, and pre-approve or route actions for approval before they are submitted to the automated processing platform. This ensures compliance adherence is established in advance, maintaining reliability while enabling operational flexibility.
Solution Approach 2:
The patent implements comprehensive feedback mechanisms through automated audit trails that track all manual actions from initiation to completion. The system provides real-time feedback on compliance status, approval requirements, and action outcomes. Audit trails automatically record all manual activities with timestamps, user identifiers, and compliance check results, ensuring continuous monitoring and accountability while maintaining operational flexibility.
3Reliability
If comprehensive compliance infrastructure is added to automated platforms, then regulatory adherence is improved, but implementation complexity and cost increase
Solution Approach 1:
The patent implements a universal action console framework that serves multiple functions simultaneously: user authentication, compliance validation, business rules checking, workflow routing, audit trail generation, and action submission. This multi-functional console consolidates what would otherwise require separate specialized systems into a single integrated platform, reducing implementation complexity while maintaining comprehensive regulatory adherence.
Data Source
AI summary
An apparatus, system and method includes an action manager to receive a manual action selected by a user and an action console coupled to the action manager to present via the action console a user interface specific to the manual action selected by the user. The apparatus, system and method display a directory having one or more manual actions to a user, receives a selection identifying a manual action from the user; and submits the identified manual action to an automated workflow process to execute the identified manual action.