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8/15/2019 System Based Compliance Rules Engine
1/13
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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&le 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&le( 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 $eam
8/15/2019 System Based Compliance Rules Engine
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anaging rules
B
Regarding rule governance:
Special considerations have to be taken for the following topics in RuleGovernance:
.ocali*ation
Legal Re uirement/ -iscal Re uirement Ph0sical Re uirement Roles
usiness Rule architects
usiness Rule a"mins
usiness Rule users
C&ange Management Change processes +:ree$es/ appro9al/ centrali$e"/ uploa"/ etc..,
#cope 4peci:ic :or a s0stem component or cross=s0stem?
8/15/2019 System Based Compliance Rules Engine
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usiness Rule 7emplate
8/15/2019 System Based Compliance Rules Engine
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)9er9ie! o: the concept Components o: 40stem=base"compliance chec s
8/15/2019 System Based Compliance Rules Engine
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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
8/15/2019 System Based Compliance Rules Engine
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apping o: :unctional categories to components
+1
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Compliance categories
+9
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