Methods and systems for transaction compliance monitoring
First Claim
17. A method for monitoring transactions of an enterprise stored in one or more enterprise applications associated with the enterprise to determine possible lack of compliance of a particular transaction with one or more predetermined compliance policies of the enterprise, comprising the steps of:
- extracting a selected subset of information about a monitored transaction from one or more enterprise systems;
storing the selected subset of information in a monitoring database;
executing one or more computer-executable compliance policy statements against the monitoring database; and
providing an output corresponding to an exception indicating a possible lack of compliance with a policy reflected by the one or more compliance policy statements.
1 Assignment
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Accused Products
Abstract
An automated transaction integrity monitoring system (100) operative to monitor electronic transactions of an enterprise and detect exceptions indicating noncompliance with enterprise policies. An extractor (140) obtains data from heterogeneous data sources such as enterprise databases. A staging database (155) caches data from the data sources. A mapper (150) maps enterprise data into an enterprise ontology used to express enterprise policies. A knowledge base (165) stores computer-executable policy statements, extractor data, and mapper data. A monitoring database (175) stores data mapped in the enterprise ontology. A collaborative reasoning engine (CORE) (160) executes policy statements against the monitoring database and determines exceptions. An exceptions database (185) stores exceptions from CORE. A case management system (190) provides for analysis and tracking of exceptions.
217 Citations
108 Claims
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17. A method for monitoring transactions of an enterprise stored in one or more enterprise applications associated with the enterprise to determine possible lack of compliance of a particular transaction with one or more predetermined compliance policies of the enterprise, comprising the steps of:
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extracting a selected subset of information about a monitored transaction from one or more enterprise systems;
storing the selected subset of information in a monitoring database;
executing one or more computer-executable compliance policy statements against the monitoring database; and
providing an output corresponding to an exception indicating a possible lack of compliance with a policy reflected by the one or more compliance policy statements. - View Dependent Claims (28, 29, 30, 31, 32)
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33. A system for monitoring transactions of an enterprise stored in one or more enterprise systems associated with the enterprise to determine possible lack of compliance of a particular transaction with one or more predetermined compliance policies of the enterprise, comprising:
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a data extractor for extracting a selected subset of information about a monitored transaction from an enterprise system;
a mapper for normalizing data corresponding to the selected subset of information in a monitoring database;
a transaction analysis engine for executing one or more computer-executable compliance policy statements against the data stored in the monitoring database and determining an exception; and
a reporting component for providing an output corresponding to the exception as indicating a possible lack of compliance with a policy reflected by the one or more compliance policy statements. - View Dependent Claims (34, 35, 36, 37, 38, 39, 40, 41, 42)
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43. A method for monitoring transactions of an enterprise stored in one or more enterprise systems associated with the enterprise to determine possible lack of compliance of a particular transaction with one or more predetermined compliance policies of the enterprise, comprising the steps of:
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extracting a selected subset of information about a monitored transaction from an enterprise system;
normalizing data corresponding to the selected subset of information in a monitoring database;
executing one or more computer-executable compliance policy statements against the data stored in the monitoring database and determining an exception; and
providing an output corresponding to the exception as indicating a possible lack of compliance with a policy reflected by the one or more compliance policy statements. - View Dependent Claims (44, 45, 46, 47, 48, 49, 50, 51, 52)
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53. A system operative for monitoring transactions of an enterprise stored in one or more enterprise systems, the transactions corresponding to one or more business transactions of the enterprise, and indicating possible lack of compliance of a business transaction with one or more predetermined policies of the enterprise, comprising:
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a communications interface for coupling to the one or more enterprise databases for receiving data;
an extractor for extracting a selected subset of information about monitored transactions from an enterprise system via the communication interface, the selected subset of information corresponding to a predetermined selection of data fields from a predetermined selection of database tables storing business transactions;
an enterprise ontology store;
a mapper for normalizing the selected subset of information in accordance with the enterprise ontology by mapping the extracted selected subset of information into predetermined corresponding normalized data fields of a monitoring database;
a monitoring database for storing the normalized subset of information as a monitoring entity;
a knowledge base for storing one or more computer-executable policy statements, the policy statements representing one or more predetermined policies of the enterprise that apply to the data of monitoring entities;
a transaction analysis engine for executing one or more of the policy statements from the knowledge base against the monitoring entities in the monitoring database; and
an exceptions store operative in response to the determination from the execution of a policy statement of an exception to a predetermined policy, for storing information corresponding to the exception indicating a possible lack of compliance with the predetermined policy. - View Dependent Claims (54, 55, 56, 57, 58, 59, 60, 61, 62, 63, 64, 65, 66, 67, 68, 70, 71, 72, 73, 74, 75, 76, 77, 78, 79)
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69. The system of 68, wherein the status information is one of the group comprising detected, under review, dismissed, and fixed.
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80. A computer-implemented method for monitoring transactions of an enterprise stored in one or more enterprise systems associated with an enterprise, the transactions corresponding to one or more business transactions of the enterprise, to determine possible lack of compliance of a particular business transaction with one or more predetermined policies of the enterprise, comprising the steps of:
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extracting a selected subset of information about monitored transactions from an enterprise system, the selected subset of information corresponding to a predetermined selection of data fields from a predetermined selection of database tables storing business transactions;
normalizing the selected subset of information into an enterprise ontology by mapping the extracted selected subset of information into predetermined corresponding normalized data fields of a monitoring database;
storing the normalized subset of information in the monitoring database as a monitoring entity;
storing one or more computer-executable policy statements in a knowledge base, the policy statements representing one or more predetermined policies of the enterprise that apply to the data of monitoring entities;
executing one or more policy statements from the knowledge base against the monitoring entities in the monitoring database; and
in response to the determination from the execution of a policy statement of an exception to a predetermined policy, providing an output corresponding to an exception indicating a possible lack of compliance with the predetermined policy. - View Dependent Claims (1, 2, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 18, 19, 20, 21, 22, 23, 24, 25, 26, 27, 81, 82, 83, 84, 85, 86, 87, 88, 89, 90, 91, 92, 93, 94, 95, 96, 98, 99, 100, 101, 103, 104, 105, 106, 107, 108)
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97. The method of 96, wherein the status information is one of the group comprising detected, under review, dismissed, and fixed.
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101-1. The method of claim 80, wherein the step of extracting comprises receiving information provided in a log file from an enterprise system that contains the entire new entity or provides sufficient information for a query to obtain new data items only.
Specification