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.

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.

Abstract: A system for managing information of a case relating to possible lack of compliance of enterprise transactions with one or more predetermined compliance policies of an enterprise. An exceptions database stores information corresponding to exceptions indicative of a violation of an enterprise compliance policy. An input receives exceptions from a rules engine that determines a violation of an enterprise compliance policy based on information stored in one or more enterprise systems; the exceptions are stored in the exceptions database. A user interface is provided for assigning a case number to at least one exception, assigning an owner to the exceptions, collecting additional information relating to a case, and other functions. The system further provides a display of information relating to the exception, the entities involved in the exception, and the case to a user.

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.

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.

Abstract: Methods and systems for extraction of transaction data for compliance monitoring, particularly useful in a system for monitoring electronic transactions of an enterprise and detecting exceptions indicating noncompliance with enterprise policies. Data extractors obtain data from various data sources and provide the data for use by a transaction analysis engine that executes computer-executable compliance policy statements against extracted data. Data extractors include one or more of following: a master extractor, a log extractor, a resync extractor, a programmatic extractor, an environmental source extractor, and an external source extractor.

Abstract: A system for linking entities associated with electronic transactions that are monitored for compliance with predetermined compliance policies of an enterprise. 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 monitoring database stores data corresponding to monitored transactions and support entities. A transactions analysis engine executes computer-executable compliance policy statements against the monitoring database to determine whether a transaction has indicated an exception to a policy. The transaction analysis engine retrieves information corresponding to a particular prestored support entity that causes an exception.

Abstract: A policy statement execution engine for use in connection with a policy compliance monitoring system that determines 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 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 storage device stores a set of computer-executable policy statements. A data storage device stores enterprise data analyzed in connection with determining policy exceptions. A policy analysis engine retrieves data from the data storage device that is referenced by the policy statement, evaluates an indicator provided in the policy statement, and determines a confidence level associated with the indicator.

Abstract: An automated transaction integrity monitoring system operative to monitor electronic transactions of an enterprise and detect exceptions indicating noncompliance with enterprise policies. 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 such exceptions to authorized users such as managers and auditors, and/or provides a case management system for tracking such exceptions and their underlying transactions. The invention specifically relates to systems and methods for transforming or mapping information from a data source relating to a transactional entity associated with an enterprise into a form for processing by a transaction analysis engine operative upon data expressed in a predetermined ontology. The ontology expresses data items in a manner common across plural heterogeneous databases.

Abstract: A system for managing information of a case relating to possible lack of compliance of enterprise transactions with one or more predetermined compliance policies of an enterprise. An exceptions database stores information corresponding to exceptions indicative of a violation of an enterprise compliance policy. An input receives exceptions from a rules engine that determines a violation of an enterprise compliance policy based on information stored in one or more enterprise systems; the exceptions are stored in the exceptions database. A user interface is provided for assigning a case number to at least one exception, assigning an owner to the exceptions, collecting additional information relating to a case, and other functions. The system further provides a display of information relating to the exception, the entities involved in the exception, and the case to a user.