Automated Transaction Tracing via Multi-Tier Control Point Maps

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Solution Overview

Problem

Modern enterprises face challenges in meeting complex regulatory compliance due to intricate IT environments with disparate systems, leading to human error in compliance modeling and increased costs, as well as the inability to trace transactions in real-time, resulting in opportunity costs.

Innovation Solution

A system and method for transaction tracing within an IT environment using automated parsing techniques to create a multi-tier control point map, allowing for end-to-end tracing and visualization of transactions, which identifies and addresses failure points without relying on reference identifiers, enabling interactive visualization and compliance with regulatory guidelines.

Engineering Contradictions & Design Principles

VSEngineering Contradiction Analysis

1Reliability

If manual compliance modeling is used, then flexibility in meeting regulatory requirements is maintained, but human error and costs increase

Engineering Contradiction:

Improvecompliance modeling reliabilityVSAvoidcompliance model complexity

Core Design Contradiction:

ReliabilityVSDevice complexity

Solution Approach 1:

The patent replaces manual compliance modeling with an automated system that uses parsing techniques to extract transaction data from IT environments and automatically maps compliance requirements. The system automatically identifies control points, traces transactions, and generates compliance reports without requiring manual model development, thereby eliminating human error while maintaining regulatory flexibility

Inventive Principle:

Principle #28Mechanics substitution (Replace mechanical system)

Solution Approach 2:

The system enables self-service compliance auditing by automatically tracing transactions across multiple systems and generating compliance evidence without requiring manual intervention. The automated parsing and mapping capabilities allow the system to service itself in identifying compliance issues and generating reports, reducing both human error and the complexity burden on auditors

Inventive Principle:

Principle #25Self-service

2Reliability

If after-the-fact audits are used, then compliance verification is possible, but opportunity costs increase due to lack of real-time information

Engineering Contradiction:

Improvecompliance verification reliabilityVSAvoidcompliance audit time

Core Design Contradiction:

ReliabilityVSLoss of time

Solution Approach 1:

The system performs preliminary actions by continuously tracing transactions in real-time as they occur, rather than waiting for after-the-fact audits. The automated parsing and mapping capabilities enable the system to proactively identify compliance issues as they arise, providing real-time compliance verification that eliminates the time loss associated with retrospective auditing

Inventive Principle:

Principle #10Preliminary action

Solution Approach 2:

The patent implements continuous transaction tracing that operates throughout the entire business process lifecycle, maintaining constant compliance verification without interruption. This continuous monitoring eliminates the discontinuous nature of traditional periodic audits, ensuring that compliance issues are identified immediately rather than after the fact, thereby eliminating opportunity costs

Inventive Principle:

Principle #20Continuity of useful action

3Measurement precision

If transaction tracing is performed manually, then detailed tracking is possible, but labor and costs increase

Engineering Contradiction:

Improvetransaction tracking precisionVSAvoidtracing efficiency

Core Design Contradiction:

Measurement precisionVSProductivity

Solution Approach 1:

The patent replaces manual transaction tracing with automated parsing techniques that automatically extract and map transaction data from multiple IT systems. The system automatically identifies control points, traces transaction flows, and generates detailed tracking reports without human intervention, thereby achieving high measurement precision while dramatically improving productivity and reducing labor costs

Inventive Principle:

Principle #28Mechanics substitution (Replace mechanical system)

4Productivity

If automated parsing is used to create control point maps, then tracing efficiency improves, but system complexity increases

Engineering Contradiction:

Improvetracing efficiencyVSAvoidsystem architecture complexity

Core Design Contradiction:

ProductivityVSDevice complexity

Solution Approach 1:

The patent applies segmentation by dividing the complex IT environment into discrete control points and transaction segments. The automated parsing system processes transactions in manageable units, mapping each segment to relevant control points. This segmentation approach enables efficient automated tracing while reducing the perceived system complexity by breaking down the overall architecture into manageable, identifiable components

Inventive Principle:

Principle #1Segmentation

Data Source

PatentUS11734052B2Systems and methods for transaction tracing within an IT environment

Publication Date: 2023.08.22 GALAXE SOLUTIONS INC

AI summary

A system for tracing transactions includes a system mapping engine configured to generate a multi-tier control point map based on linked transactions across one or more systems having different management software, wherein the linked transactions are identified from transaction records obtained from parsed source code and transaction data of the one or more source systems; and a tracing engine configured to trace the linked transactions across the one or more source systems based on the multi-tier control point map. The multi-tier control point map provides end-to-end transaction traceability via the linked transactions.