System Based Compliance Rules Engine

8/15/2019 System Based Compliance Rules Engine

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Doc ID

NFE Innovators:

Compliance rules engine


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What is Compliance Rules Engine?

Compliance rules engine is an end to end support toolgoverned by predefned set o business rules that willprovide an automated in ormational complianceguidance, checks & ags integrated within DGF

unctional & event processes !he purpose o the

innovator is to e"ectively capture & satis y variouslegal, governmental regulatory, prohibitions &restrictions, reight handling, Dangerous goods &documentation re#uirements needed to e$cientlye%ecute the completion o a business process

!hese usiness 'ules are customi(ed, structured andmaintained in

various orms such as ) Decision table, Decision trees& *%pressions

within the + ! landscape

Compliance Rules Engine


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A business rules solution helps in automating rules chec ing!ithout !riting program co"e

3

BusinessUser

BusinessExpertBusiness

Analyst

Manually enforcedAutomated Enforcement

Rules are stored and executedinside a com ination of

!ata ase and Code

Business "artners#anctioned "artiesCommodity ImportRules

$riggers #tored"rocedures

Rules are stored and executed%it& a com ination ofdocuments and tacit

'no%ledge

Costs( arc&iving(ac'ups( compliance)

Agility( visi ility forusiness( c&anges)

Business Rules#olution


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Categori$e Rules

#

Categori*ing rules &andles t&e complexity of rules and ena les its implementation


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#A" Business #uite

E&ample use case '( )r"er prioriti$ation

Customer service* Customer )r"er prioriti$ation +)2C,( -le&ible

prioriti$ation base" on e.g. tra"e lane/ region/pro"uct t0pe/ etc1 + usiness re uirement(456ID5'65,

Customeror"er

7ra"e lane

Region

Pro"uct t0pe

8alue

Customer

1

1

1

A customer or"ercarries se9eralproperties.

ase" on one or more o: these properties/ a business rules engine coul""etermine the priorit0 !ith !hich this customer or"er has to be han"le". )therattributes/ such as )rg ;nit coul" be e uall0 "etermine".

Customeror"er

"riority +

%

,rg Unit

Business

RulesFrame%or'

plus


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E&ample( 40stem=base" compliance chec using R-plus

-

$M #ystem

Rule type Compliancecategory

Name .ong text !eadline #tatus

Documentation >o9ernmentcompliance A7A Carnet Lorum ipsum ..52.56.25'' ot compliant

Documentation

D>- complianceImport license Lorum ipsum ..'2.'5.25'' Compliant

Documentation

Carriercompliance

'3 Customs-orm

Lorum ipsum ..'2.'5.25'' Compliant

Documentation

>o9ernmentcompliance

E;R' Lorum ipsum .. 5'.56.25'' ot Compliant

1 1 1 1

$ransactional/"&ysical ,perations@Compliance 0"1!2: !efine compliance plan c&ec' and trac' t&e fulfillment of compliance

0Business re3uirement: #4-I!44-42

For%arding order

BRFplus

Mode of transport

#ources: Regulatory odies(standards( !5F policies( etc6

A customer order &as to fulfillcompliance re3uirements fromregulatory odies( dependingon specific criteria7 Example: Anocean freig&t s&ipment from N8to BE t&at consists of liveanimals 0s&eep27 $&is re3uires aseries of documentation0certificates( legali*ations2 t&at

&ave to e considered in t&efor%arding order7

Based on t&ese criteria 0suc& as transport mode( commodity properties( location( industry(s&ipment type( etc62 from t&e for%arding order( BRFplus retrieves a list of re3uireddocumentation( ased on decision ta les7 $&e trac'ing of compliance for t&ese items ispossi le via t&e user interface7

Commodity

.ocation

#&ipment type

Industry


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Preparing Decision 7ables

"reparing !ecision $a les for #ystem implementation

BRFplus $eam


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anaging rules

B

Regarding rule governance:

Special considerations have to be taken for the following topics in RuleGovernance:

.ocali*ation

Legal Re uirement/ -iscal Re uirement Ph0sical Re uirement Roles

usiness Rule architects

usiness Rule a"mins

usiness Rule users

C&ange Management Change processes +:ree$es/ appro9al/ centrali$e"/ uploa"/ etc..,

#cope 4peci:ic :or a s0stem component or cross=s0stem?


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usiness Rule 7emplate


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)9er9ie! o: the concept Components o: 40stem=base"compliance chec s


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-unctional categories o: s0stem=base" compliance rules

++

$o &andle t&e complexity( c&ec's arecategori*ed into functional categories7

$&ese categories determine t&e rule logic and&o% compliance is 3ueried and validated7


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apping o: :unctional categories to components

+1


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Compliance categories

+9

System Based Compliance Rules Engine

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