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Posts Tagged ‘enforcement’

Breaking the Rules: Breach Questions

What should happen when a business rule is broken[1]? As discussed in this post, Business Analysts should answer three questions:
    1. How strictly should the business rule be enforced?
    2. What message is appropriate?
    3. What response is needed?
Developing a friendly, secure business solution requires overt answers to these questions for at least a subset of business rules. (As explained later, defaults can be assumed for the others.) It should also be possible to easily change or evolve the answers (including defaults) after deployment of the business rules, thus permitting the business capability to become incrementally smarter. The goal is context-dependent, pinpoint reaction to breaches in real-time.  Addressing breaches intelligently is key to creating friendly, agile, secure business solutions, ones that can evolve rapidly in day-to-day operation. Breach Question 1.  Enforcement Level How strictly should a behavioral rule[2] be enforced? Example …

Business Rule:  A service representative must not be assigned to good customers in more than 3 states or provinces.

Ask:  How strictly should this business rule be enforced?

Enforcement Level:  Override by pre-authorized actor

Table 1 lists the most common enforcement levels for behavioral rules.[3] Table 1Common Enforcement Levels for Behavioral Rules
Enforcement Level Description
strictly enforced Violations are disallowed in all cases – achieving some newstate successfully is always prevented.
override by pre-authorized actor The behavioral rule is enforced, but an actor with proper before-the-fact authorization may override it.
override with explanation The behavioral rule may be overridden simply by providing an explanation.
guideline Suggested, but not enforced.
  Be sure not to overlook the last enforcement level Table 1.  A business rule that is actively evaluated, but not enforced, is (literally) a guideline. Guidelines are business rules too! Breach Question 2.  Guidance Message What message should be returned when a breach of a business rule occurs? When a business rule is breached, somebody, often a business actor directly engaged in a business process, needs to know about it.  The breach means the work being conducted has strayed outside the boundaries of what the business deems acceptable or desirable.  From a business perspective an error has been made, so some error message should go out.  What should that error message say? As a default, we like to say that the business rule statement is the error message.  From a business point of view, that equivalence must always be true – what else are business rules about?! Rather than saying ‘error message’ (which sounds technical) or ‘violation message’ (which sounds harsh, especially for guidelines), we say guidance message. Generally, guidance messages should be as friendly and as helpful as possible.  For example, guidance messages can be written in a more personal, informative style. More explanation or suggestions can be appended or substituted as desired.  Perhaps a link to other media (e.g., a how-to video) can be provided.  Sometimes the best guidance message takes the form of some icon or signal (e.g., a warning light turning to yellow or red).  Guidance messages frequently need to be specific to the circumstances in which a breach occurs (e.g., what role or user produced it). In all cases, guidance messages should be made available only to people who are qualified and capable. Breach Question 3.  Breach Response Does the breach response for a business rule need to be more selective, rigorous, or comprehensive than simply a message? Example …

Business Rule: A cursory review of a received engineering design must be conducted within 5 business days of the date received.

Ask:  What breach response is appropriate for this business rule?

Breach Response:  The received engineering design must be brought to the attention of the manager of the department by the morning of the next business day.

Breach responses can take any of the following forms:
    • business rule (as illustrated above), or set of business rules
    • processes or procedures
    • sanctions or penalties
    • operational business decisions
    • special notifications, displays or instructions
Multiple breach responses might be desirable for a business rule. They might also need to be specific to the circumstances in which a breach occurs (e.g., what particular part of a process is being performed). Usually, breach responses serve to increase user-friendliness. In cases of potential fraud or malicious business behavior, however, breach responses should be much more aggressive. Defaults Natural defaults for the three breach questions are listed in Table 2. Table 2.  Defaults for the Breach Questions
Breach Question Default
enforcement level strictly enforced
guidance message the business rule statement itself
breach response none
 
[1]Fundamental to business analysis with business rules is the assumption that breaches of business rules can be detected.  If you can’t detect breaches, how can you run the business?! To say it differently, if you can’t detect breaches of a business rule, but you can still run the business, perhaps you don’t need the business rule at all(!).
[2]This breach question applies only to behavioral rules. Since definitional rules must always be true, they are in essence strictly enforced.
[3]Table 12-1 of Business Rule Concepts, 3rd Ed. (Chapter 12) discusses additional enforcement levels.  It also provides tips for designing procedures with business rules.

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The Debate Continues: Expert Systems vs. Business Rules … Yet Another Response

guest post by Jan Purchase, Director of Lux Magi Ltd ~~~~~~~~~~~~~~~~~~~~~ I do see value in distinguishing ‘policy’ rules from ‘expert’ rules. It’s also clear that, at their extremes, these rule types are poles apart. Still I fear that this distinction may be a continuum rather than a discrete dichotomy. Policy rules might be exemplified as the constraints of business operational practice – the rules that dictate what a company should and should not do. They might be mined from the boundary conditions of the fact model of the company’s business capability – as you suggest in your excellent book on this subject[1]. An example policy rule might assert, for example, “A company agent may be assigned to a high-value customer only if the agent is assigned to at most five other clients”. Expert rules, on the other hand, are often seen as more complex – for example, using heuristics to determine the best, anti-cancer drug to apply in a given situation, or forecasting regional sales opportunities. Often these expert rule bases use expert experience, genetic algorithms, fuzzy logic and feedback loops to reach a decision. They seek to augment, or even supplant, the wisdom of a small population of subject matter experts. But isn’t there a middle ground too? Consider an insurance policy decision rule that bin-sorts clients into good, bad and medium risk (the latter to be referred to a human underwriting expert). If this were a simple four-row, decision table based on the value of the policy and the risk profile of a client, you would probably consider it a ‘policy rule’. But if I add scorecarding, heuristics and analytics, at what point does it become an ‘expert rule’? Would you consider all decision rules (as opposed to constraint rules) to be ‘expert rules’? Or do they need to be complex or directly represent the experience of SMEs? Don’t all rules, to some extent, represent the wisdom of experts? Don’t many of them constitute and inform policy? In short: Is there a simple question we can ask (concerning a rule) to determine if it is a ‘policy’ or ‘expert’ rule? ~~~~~~~~~~~~~~~~~~~~~~~~ See my reply to Jan: http://www.brsolutions.com/2012/05/29/the-debate-continues-expert-systems-vs-business-rules/ Answer to Jan’s Question: The question to ask of every rule is whether the end-point is enforcement or is it a decision. An enforcement rule never becomes a decision rule, and a decision rule never becomes an enforcement rule. Once an enforcement rule, always an enforcement rule (assuming you don’t retire it). You can adjust thresholds (e.g., the mph of the speed limit), you can change the enforcement level (e.g., from ‘strictly enforced’ to ‘override with explanation’), you can change the sanctions (or eliminate them), etc., etc. And you can and should use analytics to measure and improve the rate of success in achieving underlying business goals. But it’s black and white. Enforcement is enforcement and decisions are decisions.

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The Debate Continues: Expert Systems vs. Business Rules

Here is my latest post in the on-going debate over decision management systems, expert systems, and business rules. ~~~~~~~~~~~~~ There is a fundamental difference between rules whose intent is enforcement (however strict) vs. rules whose intent is to make (expert) decisions. Rules whose intent is enforcement (e.g., speed limits) revolve around:

* detection of violations (think speed trap) * level of enforcement (e.g., strictly enforced) * violation message (electronic sign flashes ‘You’re speeding’) * violation response (cop chases you down the street with siren) * sanction or penalty (speeding ticket and a fine)

I chose an example that is probably not automatable (never be too sure) because such ‘behavioral rules’ (SBVR term) are everywhere in everyday life and therefore easy to comprehend independently of existing platforms and IT support. But there are a huge number that are automable; we just seem to be blinded to them sometimes for whatever reason (probably technical bias). Behavioral rules would not be involved in diagnosing (deciding) what’s wrong with a missle or classifying (deciding) the risk category of a prospect for insurance. In SBVR those are ‘definitional rules’ (or you could call them decision rules). They are about (encoding the know-how to make) smart (expert) decisions. It is true that decision rules often support behavioral rules in some fashion (e.g., is this particular speeder worth bothering over?). But it always comes down to this fundamental distinction: Is the end-point about enforcement, or is it about a decision. Enforcement and decisions are simply different. Are decision rules and behavioral rules both business rules? Yes. Should they be treated the same by platforms and methodologies? No. Why? They are different. Failing to understand the difference harms both business ‘users’ (poor governance processes) and decision management systems (oversell).

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