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System Based Compliance Rules Engine

The document discusses a compliance rules engine that would provide automated compliance guidance and checks integrated within business processes. The rules engine would capture and satisfy various legal, regulatory, and documentation requirements using predefined business rules structured as decision tables, trees, and expressions. Examples show how such a system could prioritize customer orders based on attributes and check that a shipment fulfills compliance requirements depending on criteria like transport mode and commodity. The document outlines considerations for managing the rules like change processes, roles, and scope and proposes templates and categories to structure the rules and compliance checks.

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Hwei Seng
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149 views13 pages

System Based Compliance Rules Engine

The document discusses a compliance rules engine that would provide automated compliance guidance and checks integrated within business processes. The rules engine would capture and satisfy various legal, regulatory, and documentation requirements using predefined business rules structured as decision tables, trees, and expressions. Examples show how such a system could prioritize customer orders based on attributes and check that a shipment fulfills compliance requirements depending on criteria like transport mode and commodity. The document outlines considerations for managing the rules like change processes, roles, and scope and proposes templates and categories to structure the rules and compliance checks.

Uploaded by

Hwei Seng
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as PPT, PDF, TXT or read online on Scribd
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Doc ID

NFE Innovators:
Compliance rules engine

What is Compliance Rules Engine?

Compliance Rules Engine

Compliance rules engine is an end to end support tool


governed by predefined set of business rules that will
provide an automated informational compliance
guidance, checks & flags integrated within DGF
functional & event processes. The purpose of the
innovator is to effectively capture & satisfy various
legal, governmental regulatory, prohibitions &
restrictions, freight handling, Dangerous goods &
documentation requirements needed to efficiently
execute the completion of a business process.
These Business Rules are customized, structured and
maintained in
various forms such as : Decision table, Decision trees
& Expressions
within the I.T. landscape.

DHL | Page

A business rules solution helps in automating rules checking


without writing program code
Automated Enforcement

Manually enforced

Rules are stored and executed


with a combination of
documents and tacit
knowledge

Rules are stored and executed


inside a combination of
Database and Code

Business Rules
Solution

Triggers

Business Partners
Sanctioned Parties
Commodity Import
Rules

Agility, visibility for


business, changes?

Stored
Procedures

Business
Business
User
Business Expert
Analyst
Costs, archiving,
backups, compliance?
DHL | Page

3
3

Categorize Rules

Categorizing rules handles the complexity of rules and enables its implementation

DHL | Page

4
4

Example use case 1: Order prioritization


Customer service
Customer Order prioritization (O2C): Flexible
prioritization based on e.g. trade lane, region,
product type, etc (Business requirement:
S09ID0190)
Trade lane
Region
Customer

Product type

Priority 1

Value
Customer
order

Customer
order

Org Unit

SAP Business Suite

A customer order
carries several
properties.

Business
Rules
Framework
plus
Based on one or more of these properties, a business rules engine could
determine the priority with which this customer order has to be handled. Other
attributes, such as Org Unit could be equally determined.

DHL | Page

5
5

Example: System-based compliance check using BRFplus


Transactional/Physical Operations
Compliance (P2D): Define compliance plan check and track the fulfillment of compliance
(Business requirement: S06ID0060)
Sources: Regulatory bodies,
standards, DGF policies, etc

Shipment type
Rule type

Mode of transport

Compliance
category
Documentati Government
on
compliance

Forwardin
g order

Commodity
Location

Industry

TM System
A customer order has to fulfill
compliance requirements from
regulatory bodies, depending
on specific criteria. Example: An
ocean freight shipment from NZ
to BE that consists of live
animals (sheep). This requires a
series of documentation
(certificates, legalizations) that
have to be considered in the
forwarding order.

BRFplus

Name

Long text

Deadline

ATA Carnet

Lorum ipsum ..02.09.2011

Not compliant

Documentati DGF compliance Import license


on

Lorum ipsum ..12.10.2011

Compliant

Documentati Carrier
on
compliance

B13 Customs
Form

Lorum ipsum ..12.10.2011

Compliant

Documentati Government
on
compliance

EUR1

Lorum ipsum ..01.09.2011

Not Compliant

Status

Based on these criteria (such as transport mode, commodity properties, location, industry,
shipment type, etc) from the forwarding order, BRFplus retrieves a list of required
documentation, based on decision tables. The tracking of compliance for these items is
possible via the user interface.

DHL | Page

6
6

Preparing Decision Tables


Preparing Decision Tables for System implementation

BRFplus Team

DHL | Page

7
7

Managing rules
Regarding rule governance:
Special considerations have to be taken for the following topics in Rule
Governance:

Localization
Legal Requirement, Fiscal Requirement & Physical Requirement

Roles
Business Rule architects
Business Rule admins
Business Rule users

Change Management
Change processes (freezes, approval, centralized, upload, etc..)

Scope
Specific for a system component or cross-system?

DHL | Page

8
8

Business Rule Template

DHL | Page

Overview of the concept Components of System-based


compliance checks

DHL | Page 10

Functional categories of system-based compliance rules

To handle the complexity, checks are


categorized into functional categories.
These categories determine the rule logic and
how compliance is queried and validated.

DHL | Page 11
11

Mapping of functional categories to components

DHL | Page 12
12

Compliance categories

DHL | Page 13
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