Centralized Exception Engine for Enterprise Workflow Management
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Solution Overview
Problem
Existing systems fail to directly provide workflow items and exceptions to their owners, lack the capacity to process these items effectively, and do not offer a consolidated view for user efficiency, monitoring, oversight, or risk management, particularly in financial services entities.
Innovation Solution
A centralized exception engine processes exception messages from various source systems, generates workflow items, and provides a unified interface for users to access and manage exceptions, using XML-based messages and business rules for prioritization, routing, and persistence, with a workflow engine for integrated workflow management.
Engineering Contradictions & Design Principles
Engineering Contradiction Analysis
1Ease of operation
If existing systems are used to track workflow items and exceptions, then some basic tracking capability is provided, but the systems fail to provide workflow items and exceptions directly to owners, lack capacity to process items effectively, and do not offer consolidated view for user efficiency and monitoring
Solution Approach 1:
The patent merges multiple分散的 exception handling systems into a single centralized exception management system that provides a consolidated view of all workflow items and exceptions across the organization, enabling improved user efficiency and monitoring while maintaining manageable system architecture through modular design
Solution Approach 2:
The centralized exception management system is designed to handle multiple types of exceptions and workflow items from various source systems through a universal processing framework, allowing the system to serve multiple functions including tracking, monitoring, oversight, and risk management
2Productivity
If existing systems track tasks in a process, then basic task tracking is achieved, but the systems lack the capacity and capability needed to process workflow items and exceptions effectively
Solution Approach 1:
The system segments the exception processing function into distinct modular components including a centralized exception management system, workflow engine, notification system, and persistent store, allowing each component to handle specific processing tasks independently and scale capacity as needed
Solution Approach 2:
The centralized exception management system acts as an intermediary layer between various source systems and workflow processing systems, absorbing and processing exception messages from multiple sources before distributing them to appropriate workflows, thereby enhancing overall processing capability
3Reliability
If no centralized system is implemented, then system complexity is lower, but there is no consolidated view of workflow items and exceptions for monitoring, oversight, and risk management
Solution Approach 1:
The patent consolidates scattered exception tracking capabilities into a single centralized system that provides a unified view of all workflow items and exceptions, enabling effective monitoring, oversight, and risk management while using modular architecture to control system complexity
Solution Approach 2:
The system implements a phased approach to centralized exception management, starting with a centralized exception backbone for message processing and progressively adding workflow engine capabilities, notification systems, and persistent storage to build reliability and risk management capabilities incrementally
Data Source
AI summary
An exception management system comprising a centralized exception engine for processing exception messages from a plurality of source systems across a firm (or enterprise) and for generating workflow items where needed from the exception messages. The centralized exception engine may comprise an exception backbone that receives the exception messages from the source systems and processes the exception messages based on business rules. The exception messages may adhere to an exception message definition format. Users may access the exception information via a user interface. The exception engine may send alerts to certain users in certain circumstances based on the business rules. A flow manager of the exception backbone may process the exception messages by: (i) enriching the exception messages with additional information; (ii) prioritizing the exception messages; (iii) routing the exception messages to one or more users; and/or (iv) persisting exception information extracted from the exception messages in a persistent store. A workflow engine may communicate workflow messages to the source systems or directly with the exception backbone when workflow is required for one of the exception messages.