Methods and systems for monitoring transaction entity versions for policy compliance
First Claim
1. A computer-implemented method for monitoring transactions stored in a host data source comprising a plurality of source records and a plurality of source fields in each of the plurality of source records to determine lack of compliance of a transactional entity with one or more predetermined policies by maintaining an historical record of the transactional entity as changes are made to the entity, comprising the steps of:
- in a computer, identifying a subset of source fields of the plurality of source fields;
in the computer, establishing an initial instance of a transactional entity in a monitoring database by extracting, from the subset of source fields in a first source record, a first selected subset of information relating to the transactional entity from the host data source storing data associated with the transactional entity;
in the computer, storing the subset of information and version information in the monitoring database as a monitoring entity;
in the computer, in response to a determination of a change to data associated with the transactional entity, establishing a subsequent instance of the transactional entity in the monitoring database by extracting, from the subset of source fields in the first source record, a second selected subset of information relating to the transactional entity from the host data source;
in the computer, storing the second subset of information and version information in the monitoring database as a second monitoring entity;
in the computer, applying predetermined policy rules to the monitoring entities in the monitoring database to determine lack of compliance of the initial and subsequent instances of the transactional entity with one or more predetermined policies that make reference to different versions of a particular transactional entity.
6 Assignments
0 Petitions
Accused Products
Abstract
A system for determining lack of compliance of a transactional entity with an enterprise policy by maintaining an historical record of the entity as changes are made over time. The system allows establishment, codification, and maintenance of enterprise policies, monitors electronic transactions of the enterprise from various 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. A master data extractor establishes an initial instance of a transactional entity in a monitoring database. A changed data extractor is responsive to changed data for establishing a subsequent instance of the transactional entity in the monitoring database. A transaction analysis engine applies predetermined policy rules to data in the monitoring database to determine lack of compliance of the initial and subsequent instances of the transactional entity with enterprise policies.
38 Citations
22 Claims
-
1. A computer-implemented method for monitoring transactions stored in a host data source comprising a plurality of source records and a plurality of source fields in each of the plurality of source records to determine lack of compliance of a transactional entity with one or more predetermined policies by maintaining an historical record of the transactional entity as changes are made to the entity, comprising the steps of:
-
in a computer, identifying a subset of source fields of the plurality of source fields; in the computer, establishing an initial instance of a transactional entity in a monitoring database by extracting, from the subset of source fields in a first source record, a first selected subset of information relating to the transactional entity from the host data source storing data associated with the transactional entity; in the computer, storing the subset of information and version information in the monitoring database as a monitoring entity; in the computer, in response to a determination of a change to data associated with the transactional entity, establishing a subsequent instance of the transactional entity in the monitoring database by extracting, from the subset of source fields in the first source record, a second selected subset of information relating to the transactional entity from the host data source; in the computer, storing the second subset of information and version information in the monitoring database as a second monitoring entity; in the computer, applying predetermined policy rules to the monitoring entities in the monitoring database to determine lack of compliance of the initial and subsequent instances of the transactional entity with one or more predetermined policies that make reference to different versions of a particular transactional entity. - View Dependent Claims (2, 3, 4, 5, 6, 7, 8, 9, 10, 11)
-
-
12. A system for monitoring transactions stored in a host data source comprising a plurality of source records and a plurality of source fields in each of the plurality of source records to determine lack of compliance of a transactional entity with one or more predetermined policies by maintaining an historical record of the transactional entity as changes are made to the entity, comprising:
-
a non-transitory computer readable medium having stored thereon a monitoring database and a plurality of program instruction modules executable by a computer, wherein the program instruction modules comprise a master data extractor, a changed data extractor, and a transaction analysis engine; and the computer configured to, when executing the master data extractor, identifies a subset of source fields of the plurality of source fields and establishes an initial instance of a transactional entity in the monitoring database by extracting, from the subset of source fields in a first source record, a first selected subset of information relating to the transactional entity from the host data source storing data associated with the transactional entity; the monitoring database for storing the first subset of information and version information in a monitoring database as a monitoring entity; the computer further configured to, when executing the changed data extractor responsive to changed data associated with the transactional entity, establishes a subsequent instance of the transactional entity in the monitoring database by extracting, from the subset of source fields in the first source record, a second selected subset of information relating to the transactional entity from the host data source and storing the second subset of information and version information in the monitoring database as a second monitoring entity; and the computer further configured to, when executing the transaction analysis engine, applies predetermined policy rules to the monitoring entities in the monitoring database to determine lack of compliance of the initial and subsequent instances of the transactional entity with one or more predetermined policies that make reference to different versions of a particular transactional entity. - View Dependent Claims (13, 14, 15, 16, 17, 18, 19, 20, 21, 22)
-
Specification