Highly regulated operating environments are required to balance business rule compliance and effectiveness. Here's an approach to evaluate and improve an organization's business rules.

1. Page 1
December 1, 2017Business Rules Review Process
Revision: 1.2 Updated By: Robert W. Simmons Updated On: 2017.12.01 Process Owner: ERP PMO
Description: A modified method for reviewing regulations, borrowed from the State of Ohio EO 2008-04S.
Legend
A business rule has been
identified that governs
process activities
Add pertinent
details that describe
the ruleto the Rule
Analysis Tracker
Tied to a
Documented
Procedure?
No
Recommend
New
Procedureto
bedrafted by
S&P
Yes
Procedure
References a
published local
policy?
No
Recommend the
Procedureto be
updated to include
relevant policy
information
Yes
Policy is clear in
guidance for
business rules
No
Request clarification
from policy owner.
Yes
Business rule
conforms to
policy
No
Go to Remediation
Yes
Is there a specified
or implied local
regulation
Yes
Business Rule
conforms to
local regulation
Go to Remediation
No
No
Is the rule
related to an
underlying
statute?
YesNo
Is the rule related
to a federal
regulation or
national standard?
Yes
Business Rule
conforms to
statutory
implementation
Go to Remediation
Yes
The rule supports
implementation of
a federal/national
order.
Go to Remediation
Yes
Go to
Reasonableness.
No
Changes
Needed?
No
Go to Remediation Yes
Initial Review Process
No

2. Page 2
December 1, 2017Business Rules Review Process
Revision: 1.2 Updated By: Robert W. Simmons Updated On: 2017.12.01 Process Owner: ERP PMO
Description: A modified method for reviewing regulations, borrowed from the State of Ohio EO 2008-04S.
Legend
Business Rule
conforms to a
relevant policy and
regulation.
The business
rule is
concise
No
Is this a
compound
rule?
Yes
Split the rule
into concise
components
and review each
component
Yes
The rule is easy
to understand
No
Restate the
rule to be
concise
No
Simplify the rule
to improve the
plain
meaning .
Yes
The rule is
efficient in
support of
policy.
Yes
The
timeliness of
the rule is
clear
No
Effective
Date
No
Expiration
Date
Yes
If necessary,
add the
triggering
event or
absolute date.
Yes
If relevant, add
the expiration
conditions and
sunset actions.
Yes
The rule is
effective:
consistent
application and
expected results. Yes
Review by
stakeholders
Rule is Passed
No
Go to
Remediation
+No
No
Reasonableness Tests

3. Page 3
December 1, 2017Business Rules Review Process
Revision: 1.2 Updated By: Robert W. Simmons Updated On: 2017.12.01 Process Owner: ERP PMO
Description: A modified method for reviewing regulations, borrowed from the State of Ohio EO 2008-04S.
Legend
Rule Remediation Towers
Conformance Effectiveness Efficiency SimplicityNoted Exceptions
Rule Remediation
Order of Remediation activities
The prevailing
regulation should be
applied when it exists
at a given
jurisdictional level.
Rule conflict with a
regulation should be
justified and legal.
Policies and
procedures that imply
or state rules should
be appropriate
If the outcome of a
rule is not working, a
root cause analysis
should be undertaken
to resolve.
Rules that have
become obsolete due
to the passage of time
should be rescinded.
The rule should be
applied the same
across the affected
agencies.
Any exceptions to the
rule from the
conformance or
effectiveness
viewpoint should be
documented.
Documentation should
include the anticipated
rate of exception.
Is the cost of
implementation on
the same magnitude
as the benefit?
Does implementation
add unacceptable
process time?
Is the coupled impact
of this rule with other
rules within
acceptable limits?
Is the rule easy to
understand?
The rule is non-
ambiguous
The rule is not layered
or compounded.
The rule is not
duplicating all or part
of existing rules.