Abstract:
A database system features a standalone rule-based engine that is decoupled from internal controls implemented by a separate existing control engine. The standalone rule engine is configured to execute business rules during runtime, in order to produce outcomes relevant to stored database information. The standalone rule engine offers enhanced flexibility, allowing its reuse by outside entities. For example, certain embodiments allow the outcomes of the standalone rule engine to be consumed by third parties, including but not limited to: Key Risk Indication (KRI), Audit Management, Analytics tools, and 3rd party compliance management tools.

Description:
BACKGROUND 
       [0001]    Embodiments of the present invention relate to analysis of database information, and in particular, to a flexible rule execution framework for use in compliance management and other applications. 
         [0002]    Unless otherwise indicated herein, the approaches described in this section are not prior art to the claims in this application and are not admitted to be prior art by inclusion in this section. 
         [0003]    Continuous Control Monitoring (CCM) functions to monitor and control internal operation of a system allowing interaction between a database and various applications receiving data therefrom. One example of such an application is compliance management, wherein data is examined for adherence to internal, domestic, and/or foreign laws, such as may govern privacy and security. 
         [0004]    Conventionally, CCM and Compliance Management have been tightly coupled. For example, Compliance Management may be based upon Business Rules that are assigned to a Control before the execution. This rigidity in turn imposes limitation on the usages of CCM. 
         [0005]    Accordingly, the present disclosure addresses these and other issues with systems and methods implementing a flexible rule execution framework for use in compliance and other purposes. 
       SUMMARY 
       [0006]    A database system features a standalone rule-based engine that is decoupled from internal controls implemented by a separate existing control engine. The standalone rule engine is configured to execute business rules during runtime, in order to produce outcomes relevant to stored database information. The standalone rule engine offers enhanced flexibility, allowing its reuse by outside entities. For example, certain embodiments allow the outcomes of the standalone rule engine to be consumed by third parties, including but not limited to: Key Risk Indication (KRI), Audit Management, Analytics tools, and 3rd party compliance management tools. 
         [0007]    An embodiment of a computer-implemented method comprises providing a standalone rule engine separate from a control engine, in communication with a database, and causing the standalone rule engine to execute a job on data stored in the database in order to produce an outcome, without relying upon a control referenced by the control engine. The method further comprises causing the standalone rule engine to communicate the outcome to an external application. 
         [0008]    An embodiment of a non-transitory computer readable storage medium embodies a computer program for performing a method comprising, providing a standalone rule engine separate from a control engine, in communication with a database, and causing the standalone rule engine to execute a job on data stored in the database in order to produce an outcome, without relying upon a control referenced by the control engine. The computer program is further configured to perform the method comprising causing the standalone rule engine to communicate the outcome to an external application. 
         [0009]    An embodiment of a computer system comprises one or more processors and a software program executable on said computer system. The software program is configured to provide a standalone rule engine separate from a control engine, in communication with a database, and to cause the standalone rule engine to execute a job on data stored in the database in order to produce an outcome, without relying upon a control referenced by the control engine. The software program is further configured to cause the standalone rule engine to communicate the outcome to an external application. 
         [0010]    Certain embodiments may further comprise providing an integration layer in communication with the standalone rule engine, the integration layer comprising a sub-system configured to perform a monitoring function. 
         [0011]    In some embodiments, the external application may be configured to perform an audit management function. 
         [0012]    According to particular embodiments, the external application may be configured to perform a risk management function. 
         [0013]    In various embodiments, the standalone rule engine may be configured to reference a business rule to produce the outcome. 
         [0014]    According to some embodiments, the business rule may include a definition and a connection to a data source. 
         [0015]    The following detailed description and accompanying drawings provide a better understanding of the nature and advantages of particular embodiments. 
     
    
     
       BRIEF DESCRIPTION OF THE DRAWINGS 
         [0016]      FIG. 1  shows a simplified view of a system including a flexible rule execution framework according to an embodiment. 
           [0017]      FIG. 2  shows a simplified process flow of flexible rule execution according to the embodiment of  FIG. 1 . 
           [0018]      FIG. 2A  is a sample screen shot indicating a sample business rule 
           [0019]      FIG. 3  shows an example of a flexible rule execution framework for implementation with databases available from SAP AG. 
           [0020]      FIG. 4  illustrates hardware of a special purpose computing machine configured to execute rules in a flexible framework according to an embodiment. 
           [0021]      FIG. 5  illustrates an example of a computer system. 
       
    
    
     DETAILED DESCRIPTION 
       [0022]    Described herein are techniques for implementing a flexible framework for rule execution for compliance and other applications. The apparatuses, methods, and techniques described below may be implemented as a computer program (software) executing on one or more computers. The computer program may further be stored on a computer readable medium. The computer readable medium may include instructions for performing the processes described below. 
         [0023]    In the following description, for purposes of explanation, numerous examples and specific details are set forth in order to provide a thorough understanding of various embodiments. It will be evident, however, to one skilled in the art that the present invention as defined by the claims may include some or all of the features in these examples alone or in combination with other features described below, and may further include modifications and equivalents of the features and concepts described herein. 
         [0024]      FIG. 1  shows a simplified view of a system  100  comprising a flexible rule execution framework  101  according to an embodiment. Specifically, a user  102  is configured to interact through a user device  103  (e.g. desktop, workstation, tablet, smartphone) with a conventional control engine  120  that is configured to reference one or more controls  122  relating to data of the database  110 . In particular, the control engine accesses data from the database via a database engine  112 . 
         [0025]    The system  100  further includes a flexible framework  101  through which the user can access one or more applications  107  (including third party applications) present in an application layer  106 . These applications utilize data stored in the underlying database  110  of the database layer. One example of such a business application is an Enterprise Resource Planning (ERP) application. 
         [0026]    As shown in this  FIG. 1 , the flexible framework comprises a standalone rule engine  130 . While it is linked to the control engine, the standalone rule engine  130  offers the flexibility of a separate component that is able to communicate with the database engine in order to perform certain tasks apart from those dictated by the control engine. 
         [0027]    In particular, the standalone rule engine is in communication with a rule  131  (such as a business rule), in order to perform a function. The (business) rule may contain the definitions of criteria upon which the function is based, and may also contain connection(s) to data source(s) where the business data are laid in. 
         [0028]    Specifically, the standalone rule engine is configured to communicate with the database engine, to perform compliance monitoring and/or other functionality. The standalone rule engine is able to communicate outcomes of such functionality to the application of the application layer (which may be a third party application), and ultimately, to the user. 
         [0029]    The flexible framework  101  further includes an integration layer  105 . As is explained below, the integration layer may include an ad-hoc issue reporting/handling subsystem useful in allowing the flexible framework to provide monitoring functionality. 
         [0030]      FIG. 2  shows a simplified process flow  200  of flexible rule execution according to the embodiment of  FIG. 1 .  FIG. 2  traces pathways of operation of both the conventional control engine, and also the standalone rule engine. 
         [0031]    In order to make Continuous Control Monitoring (CCM) easy to use, the standalone rule engine does not force a user to prepare a compliance structure prior to executing business rules (BRs). Instead, as shown in  FIG. 2 , once a Data Source (DS) is created and activated, the user starts the monitoring from the existing Job Scheduler  202 , with an option available for standalone monitoring. 
         [0032]    Thus, a user is not asked to select the controls as the central objects after connecting business rules to controls by performing business rule assignments. Instead, business rules are the only objects required, which contain the definitions of deficiencies and the connections to the data source where business data are laid in.  FIG. 2A  is a sample screen shot indicating a sample business rule. 
         [0033]    Similarly, the job design time  204  generates the job steps based on factors such as the assigned business rules, connectors, and monitoring frequencies, and prepare them to be ready for execution. Once job start conditions  205  are reached, the job execution starts to collect the data from data sources, to apply business rules to calculate deficiencies, and to store the job results  207  to a Flexible Data Store (FDS). 
       EXAMPLE 
       [0034]    Further illustration of the flexible monitoring framework according to various embodiments, is now provided in connection with a specific example of a system that is designed to interact with a database available from SAP AG of Walldorf, Germany. In particular,  FIG. 3  shows a simplified view of a system  300  which includes a CCM user interface (UI)  302  that is configured to allow a user  304  to interact with a CCM framework  306  according to an embodiment. 
         [0035]    The CCM framework includes the following building blocks. A Design Time  310  building block includes a Business Rule engine  312  with the BRFplus rule set.  314 . 
         [0036]    The Design Time also includes a Data Source  316 . The data source is in communication with one or more various outside sources  350  of information, via Common Connector Interface (CCI)  352 . These various outside sources of information can include but are not limited to Enterprise Resource Planning (ERP) applications, Business Warehouses (BW), program integration (PI) applications, Event applications, databases (including the HANA in memory database available from SAP AG), and web services. 
         [0037]    The CCM framework also includes a Run Time  320  building block. The Run Time building block includes a conventional compliance control based execution engine  322 . Using this control engine  322 , internal compliance and management tasks  330  may continue to be performed in the traditional manner. 
         [0038]    Now, however, the Run Time building block also includes a standalone rule based execution engine  324 . Using this standalone engine  324 , certain tasks may be performed whose outcomes are available outside of the confines of the existing CCM framework. In particular, the engine  324  can be used for monitoring business process and organization status, which is a component in compliance management. 
         [0039]    The standalone rule based execution engine may perform audit management tasks  332 . As also shown in  FIG. 3 , the standalone rule based execution engine  324  may perform risk management tasks  334 . The framework can be used to monitor risk status and to trigger alerts when particular criteria are met. 
         [0040]    The framework proposed according to embodiments is flexible, in that it allows external access to monitoring and compliance outcomes that were formerly available only internally. Accordingly,  FIG. 3  also shows the standalone rule based execution engine  324 , as being in communication with one or more other business systems  326  via the integration layer  328 . 
         [0041]    In order to facilitate monitoring tasks, the integration layer further comprises an ad-hoc issue reporting/handling sub-system  329 . Operation of this sub-system may be understood with reference to the lower right hand portion of  FIG. 2  shown earlier. 
         [0042]      FIG. 3  shows other components of the runtime building block  320  of the CCM. In particular, the Job Object is shown as  340 , and the Flexible Data Store is shown as  342 . 
         [0043]    The job results of standalone CCM that are stored in FDS, may be in xml format. The job results can be exposed for various types of integration via service Application Programming Interfaces (APIs). Ad-hoc issues can be used by default for compliance workflows and reporting purposes. 
         [0044]    Thus, by functioning as the monitoring services provider, the flexible CCM including the standalone engine, allows other products (e.g. as available from SAP, or as offered by 3rd parties) to consume the monitoring results easily. A user interface can support the various usages. 
         [0045]    Flexible rule execution frameworks according to various embodiments, may offer certain benefits. Unlike conventional approaches involving tightly coupled monitoring and compliance, a standalone CCM according to embodiments does not create the case integration object at job design time and raise issues once deficiencies are found automatically. Embodiments featuring the standalone engine may rely upon an ad-hoc issue sub-system. 
         [0046]    A standalone CCM may also offer certain benefits relating to innovation arising in the ongoing development of database technology. For example, Rule Chain, Rule Aggregation, and also Rule execution of the HANA in memory database available from SAP AG, can be evaluated. 
         [0047]      FIG. 4  illustrates hardware of a special purpose computing machine configured to provide a flexible rule execution framework according to an embodiment. In particular, computer system  400  comprises a processor  402  that is in electronic communication with a non-transitory computer-readable storage medium  403 . This computer-readable storage medium has stored thereon code  405  corresponding to a standalone rule based execution engine. Code  404  corresponds to an integration layer. Code may be configured to reference data stored in a database of a non-transitory computer-readable storage medium, for example as may be present locally or in a remote database server. Software servers together may form a cluster or logical network of computer systems programmed with software programs that communicate with each other and work together in order to process requests. 
         [0048]    An example computer system  510  is illustrated in  FIG. 5 . Computer system  510  includes a bus  505  or other communication mechanism for communicating information, and a processor  501  coupled with bus  505  for processing information. Computer system  510  also includes a memory  502  coupled to bus  505  for storing information and instructions to be executed by processor  501 , including information and instructions for performing the techniques described above, for example. This memory may also be used for storing variables or other intermediate information during execution of instructions to be executed by processor  501 . Possible implementations of this memory may be, but are not limited to, random access memory (RAM), read only memory (ROM), or both. A storage device  503  is also provided for storing information and instructions. Common forms of storage devices include, for example, a hard drive, a magnetic disk, an optical disk, a CD-ROM, a DVD, a flash memory, a USB memory card, or any other medium from which a computer can read. Storage device  503  may include source code, binary code, or software files for performing the techniques above, for example. Storage device and memory are both examples of computer readable mediums. 
         [0049]    Computer system  510  may be coupled via bus  505  to a display  512 , such as a cathode ray tube (CRT) or liquid crystal display (LCD), for displaying information to a computer user. An input device  511  such as a keyboard and/or mouse is coupled to bus  505  for communicating information and command selections from the user to processor  501 . The combination of these components allows the user to communicate with the system. In some systems, bus  505  may be divided into multiple specialized buses. 
         [0050]    Computer system  510  also includes a network interface  504  coupled with bus  505 . 
         [0051]    Network interface  504  may provide two-way data communication between computer system  510  and the local network  520 . The network interface  504  may be a digital subscriber line (DSL) or a modem to provide data communication connection over a telephone line, for example. Another example of the network interface is a local area network (LAN) card to provide a data communication connection to a compatible LAN. Wireless links are another example. In any such implementation, network interface  504  sends and receives electrical, electromagnetic, or optical signals that carry digital data streams representing various types of information. 
         [0052]    Computer system  510  can send and receive information, including messages or other interface actions, through the network interface  504  across a local network  520 , an 
         [0053]    Intranet, or the Internet  530 . For a local network, computer system  510  may communicate with a plurality of other computer machines, such as server  515 . Accordingly, computer system  510  and server computer systems represented by server  515  may form a cloud computing network, which may be programmed with processes described herein. In the Internet example, software components or services may reside on multiple different computer systems  510  or servers  531 - 535  across the network. The processes described above may be implemented on one or more servers, for example. A server  531  may transmit actions or messages from one component, through Internet  530 , local network  520 , and network interface  504  to a component on computer system  510 . The software components and processes described above may be implemented on any computer system and send and/or receive information across a network, for example. 
         [0054]    The above description illustrates various embodiments of the present invention along with examples of how aspects of the present invention may be implemented. The above examples and embodiments should not be deemed to be the only embodiments, and are presented to illustrate the flexibility and advantages of the present invention as defined by the following claims. Based on the above disclosure and the following claims, other arrangements, embodiments, implementations and equivalents will be evident to those skilled in the art and may be employed without departing from the spirit and scope of the invention as defined by the claims.