Policy Model Analysis Engine for Compliance Verification
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Solution Overview
Problem
Organizations face challenges in clearly defining and enforcing business policies, leading to suboptimal operational results and compliance risks, particularly when policies change, and there is a need to understand the impact of these changes on operational outcomes.
Innovation Solution
A system and process that uses modeled policy to analyze operational results by comparing actual output work items from business processes to modeled output work items, identifying discrepancies, and generating alerts for differences, with an analysis engine creating a rule audit trail to determine root causes and report changes, ensuring compliance and policy enforcement.
Engineering Contradictions & Design Principles
Engineering Contradiction Analysis
1Reliability
If organizations manually define and enforce business policies, then policy enforcement can be maintained, but compliance risks increase and operational efficiency decreases
Solution Approach 1:
The patent replaces manual policy definition and enforcement mechanisms with an automated computer-based system. The system uses software to automatically define, store, execute, and monitor business policies, substituting human manual processes with automated computational processes. This eliminates manual errors while maintaining compliance and significantly improves operational efficiency through automation.
Solution Approach 2:
The system enables self-service by automatically monitoring and enforcing policies without requiring manual intervention. The computer system autonomously executes policies, detects compliance violations, and generates reports, allowing the organization to self-monitor and self-correct policy adherence without external audit overhead.
2Adaptability or versatility
If policies are frequently changed to adapt to business needs, then adaptability improves, but understanding the impact of changes becomes difficult
Solution Approach 1:
The system implements comprehensive feedback mechanisms that automatically track policy changes and their impacts. When policies are modified, the system executes the changed policies against historical data to generate comparative reports showing the impact of changes. This feedback loop maintains adaptability while preserving understanding of change consequences through automated analysis and reporting.
Solution Approach 2:
Before implementing policy changes, the system allows preliminary execution of modified policies against historical data to predict and analyze potential impacts. This preliminary action enables stakeholders to understand consequences before full implementation, reducing information loss while maintaining adaptability.
3Measurement precision
If manual policy monitoring is performed, then compliance can be tracked, but time consumption increases and real-time detection is delayed
Solution Approach 1:
The system replaces manual policy monitoring with automated computer-based execution and detection. The computer system continuously and automatically monitors policy compliance in real-time, eliminating the time-consuming nature of manual monitoring while maintaining or improving detection accuracy through systematic automated analysis.
Solution Approach 2:
The system enables continuous automated monitoring of policy compliance without interruption. Unlike manual monitoring which occurs periodically, the automated system continuously executes policies and detects violations in real-time, eliminating detection delays while maintaining high precision through uninterrupted surveillance.
4Difficulty of detecting and measuring
If detailed rule audit trails are maintained for compliance analysis, then root cause identification improves, but data storage requirements increase
Solution Approach 1:
The system extracts and stores only the essential elements needed for root cause analysis in audit trails. Rather than storing all raw data, it selectively captures rule executions, decisions, and relevant data values that are critical for identifying root causes. This extraction approach maintains effective root cause identification while minimizing unnecessary data storage requirements.
Data Source
AI summary
Methods, systems, and products that execute modeled business controls on a modeled input work item to generate a corresponding modeled output work item. Input data values included in the modeled input work item either match or approximate corresponding values included in a corresponding actual input work item. Each modeled business control is defined by business rules that represent a business policy, and the business rules and the input data values of the modeled input work item are used to generate the modeled output work item. An actual output work item from a business process is compared to the modeled output work item. The actual output work item includes actual output data values. The business process changes the actual input work item into the actual output work item. The modeled output work item includes modeled output data values. Differences between the actual and modeled output work items are reported.