AUTOMATIC EVENT MANAGEMENT FOR REGULATION COMPLIANCE

• US 20120016802A1
• Filed: 07/16/2010
• Published: 01/19/2012
• Est. Priority Date: 07/16/2010
• Status: Abandoned Application

• Current Assignee: SAP SE
• Original Assignee: SAP AG (SAP SE)
• Inventors: ZENG, YING, SUDHALKAR, ATUL, STASTNY, PETR, SAKALA, PRATHAP
• Application Number:
  US12/838,135
• Publication Number:
  US 20120016802A1
• Time in Patent Office: Days
• US Class Current: 705/317
• CPC Class Codes: G06N 5/02 Knowledge representation; Symbolic representation
• CPC Class Codes: G06Q 30/018 Certifying business or products
• CPC Class Codes: G06Q 40/08 Insurance

Abstract

In one embodiment, a method includes determining a plurality of event types where each event type associated with event metadata. An event is received and an event type in the plurality of event types for the received event is determined. The method determines event metadata for the determined event type and event data from the event based on the event metadata. A rule associated with the event type is determined where the rule includes a criterion based on a regulatory compliance issue. A computing device evaluates the event data with the criterion to determine if the event is non-compliant or compliant with the regulatory compliance issue.

Claims

1. A method comprising:

determining a plurality of event types, each event type associated with event metadata;

receiving an event;

determining an event type in the plurality of event types for the received event;

determining event metadata for the determined event type;

determining event data from the event based on the event metadata;

determining a rule associated with the event type, the rule including a criterion based on a regulatory compliance issue; and

evaluating, by a computing device, the event data with the criterion to determine if the event is non-compliant or compliant with the regulatory compliance issue.

2. The method of claim 1, wherein determining the rule comprises:

determining a control associated with the event type, the control based on a risk of non-compliance for the regulatory compliance issue; and

determining the rule from the control.

3. The method of claim 2, wherein determining the control comprises:

determining a first link between the event type and the control; and

determining a second link between the control and the rule.

4. The method of claim 3, further comprising receiving a definition of the rule, the definition using event metadata for the event type to define the rule used to test when the event is non-compliant or compliant.

5. The method of claim 4, wherein the definition comprises the criterion for the rule, wherein the event data is evaluated against the criterion to determine if the event is non-compliant or compliant.

6. The method of claim 2, wherein the control and rule are associated with a business process and organization unit.

7. The method of claim 1, further comprising validating the event data from the event to determine if the event data is in a valid format for evaluating.

8. The method of claim 1, further comprising storing the event in event data storage, the stored event awaiting evaluation.

9. The method of claim 8, further comprising:

determining if a number of events stored in the event data storage is above a threshold;

changing a value of a criterion used to evaluate events if the event data storage is above the threshold to cause a percentage of events determined to be non-compliant to decrease; and

changing the value of the criterion used to evaluate the event if the event data storage is below the threshold to cause the percentage of events determined to be non-compliant to increase.

10. The method of claim 1, further comprising outputting remediation information associated with the event if the event is determined to be non-compliant.

11. The method of claim 1, further comprising triggering a workflow to perform predetermined actions for remediating the event if the event is determined to be non-compliant.

12. The method of claim 1, wherein the event is received from an outside system through an event interface.

13. The method of claim 12, further comprising communicating with the outside system to notify the outside system the event was non-compliant with the regulatory issue if the event is determined to be non-compliant.

14. A computer-readable storage medium containing instructions for controlling a computer system to perform a method, the method comprising:

determining a plurality of event types, each event type associated with event metadata;

receiving an event;

determining an event type in the plurality of event types for the received event;

determining event metadata for the determined event type;

determining event data from the event based on the event metadata;

determining a rule associated with the event type, the rule including a criterion based on a regulatory compliance issue; and

evaluating the event data with the criterion to determine if the event is non-compliant or compliant with the regulatory compliance issue.

15. The computer-readable storage medium of claim 14, further comprising:

determining a control associated with the event type, the control based on a risk of non-compliance for the regulatory compliance issue; and

determining the rule from the control.

16. The computer-readable storage medium of claim 15, wherein determining the control comprises:

determining a first link between the event type and the control; and

determining a second link between the control and the rule.

17. The computer-readable storage medium of claim 16, further comprising receiving a definition of the rule, the definition using event metadata for the event type to define the rule used to test when the event is non-compliant or compliant.

18. The computer-readable storage medium of claim 14, further comprising outputting remediation information associated with the event if the event is determined to be non-compliant.

19. The computer-readable storage medium of claim 14, further comprising triggering a workflow to perform predetermined actions for remediating the event if the event is determined to be non-compliant.

20. An apparatus comprising:

one or more computer processors; and

a computer-readable storage medium containing instructions for controlling the one or more computer processors to perform a method, the method comprising;

determining a plurality of event types, each event type associated with event metadata;

receiving an event;

determining an event type in the plurality of event types for the received event;

determining event metadata for the determined event type;

determining event data from the event based on the event metadata;

determining a rule associated with the event type, the rule including a criterion based on a regulatory compliance issue; and

evaluating the event data with the criterion to determine if the event is non-compliant or compliant with the regulatory compliance issue.