METHODS AND SYSTEMS FOR COMPLIANCE MONITORING KNOWLEDGE BASE
First Claim
1. A knowledge base for use in connection with a policy compliance monitoring system operative to determine exceptions to policies expressed by computer-executable policy statements, comprising:
- a plurality of extractor files, the extractor files for utilization by one or more data extractors coupled for data communications with one or more data sources for extracting information for utilization in policy compliance monitoring;
a plurality of normalizing files for access and utilization by a mapper operative for normalizing data from the one or more data sources against a system ontology and storing normalized data in a monitoring database; and
a plurality of computer-executable compliance policy statements for use by a transaction analysis engine, the policy statements representing one or more predetermined policies of the enterprise that apply to data stored in the monitoring database.
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Accused Products
Abstract
A knowledge base and methods for use in connection with a policy compliance monitoring system operative to determine exceptions to policies expressed by computer-executable policy statements. The system allows establishment, codification, and maintenance of enterprise policies, monitors electronic transactions of the enterprise from various and possibly heterogeneous data sources, detects exceptions to established policies, reports exceptions to authorized users such as managers and auditors, and/or provides a case management system for tracking exceptions and their underlying transactions. The knowledge base comprises extractor files that are utilized for extracting information from data sources for utilization in policy compliance monitoring, a mapper for normalizing data from the data sources against a system ontology and storing normalized data in a monitoring database, and computer-executable compliance policy statements used by a transaction analysis engine. The policy statements represent predetermined policies of the enterprise that apply to data stored in the monitoring database.
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Citations
76 Claims
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1. A knowledge base for use in connection with a policy compliance monitoring system operative to determine exceptions to policies expressed by computer-executable policy statements, comprising:
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a plurality of extractor files, the extractor files for utilization by one or more data extractors coupled for data communications with one or more data sources for extracting information for utilization in policy compliance monitoring;
a plurality of normalizing files for access and utilization by a mapper operative for normalizing data from the one or more data sources against a system ontology and storing normalized data in a monitoring database; and
a plurality of computer-executable compliance policy statements for use by a transaction analysis engine, the policy statements representing one or more predetermined policies of the enterprise that apply to data stored in the monitoring database. - View Dependent Claims (2, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16)
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17. A method for maintaining a knowledge base for use in connection with a policy compliance monitoring system operative to determine exceptions to policies expressed by computer-executable policy statements, comprising the steps of:
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providing a plurality of extractor files, the extractor files for utilization by one or more data extractors coupled for data communications with one or more data sources for extracting information for utilization in policy compliance monitoring;
providing a plurality of normalizing files for access and utilization by a mapper operative for normalizing data from the one or more data sources against a system ontology and storing normalized data in a monitoring database; and
providing a plurality of computer-executable compliance policy statements for use by a transactions analysis engine, the policy statements representing one or more predetermined policies of the enterprise that apply to the data stored in the monitoring database. - View Dependent Claims (18, 19, 20, 21, 22, 23, 24, 25, 26, 27, 28, 29, 30, 31, 32)
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33. A policy statement executable by a computer-based analysis engine operative for determining a possible lack of compliance of electronic transaction data with a predetermined policy expressed by the statement, the electronic transaction data stored in a database accessed by the analysis engine, comprising:
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information identifying at least one entity in the database, the entity comprising data items corresponding to the electronic transaction expressed in a predetermined ontology;
at least one indicator comprising computer-executable logical statements expressed in terms of the ontology that resolves to an exception in response to a predetermined condition; and
information specifying a view of information resulting from execution of the statement for provision to an external system. - View Dependent Claims (34, 35, 36, 37, 38, 39, 40, 41, 42, 43, 44, 45, 46, 47, 48, 49, 50, 51, 52, 53, 54)
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55. A method for determining a possible lack of compliance of electronic transaction data with a predetermined policy, the electronic transaction data stored in a database, comprising the steps of:
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providing a policy statement executable by a computer-based analysis engine operative to access the database, the policy statement comprising;
information identifying at least one entity in the database, the entity comprising data items corresponding to the electronic transaction expressed in a predetermined ontology;
at least one indicator comprising computer-executable logical statements expressed in terms of the ontology that resolves to an exception in response to predetermined conditions; and
information specifying a view of information resulting from execution of the statement for provision to an external system;
executing the policy statement by the analysis engine. - View Dependent Claims (56, 57, 58, 59, 60, 61, 62, 63, 64, 65, 66, 67, 68, 69, 70, 71, 72, 73, 74, 75, 76)
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Specification