Methods and systems for a compliance framework database schema

• US 10,353,933 B2
• Filed: 10/26/2017
• Issued: 07/16/2019
• Est. Priority Date: 11/05/2012
• Status: Active Grant

• Current Assignee: Unified Compliance Framework
• Original Assignee: Unified Compliance Framework
• Inventors: Cougias, Dorian J.
• Primary Examiner(s): Brown, Sheree N
• Application Number:
  US15/794,405
• Publication Number:
  US 20180046701A1
• Time in Patent Office: 628 Days
• Field of Search: 707792
• CPC Class Codes: G06F 16/211 Schema design and management
• CPC Class Codes: G06F 16/2282 Tablespace storage structures; Management thereof
• CPC Class Codes: G06F 16/27 Replication, distribution or synchronisation of data between databases or within a distributed database system; Distributed database system architectures therefor
• CPC Class Codes: G06F 16/316 Indexing structures
• CPC Class Codes: G06F 40/197 Version control for software G06F8/71

Abstract

Generating a compliance framework. The compliance framework facilitates an organization'"'"'s compliance with multiple authority documents by providing efficient methodologies and refinements to existing technologies, such as providing hierarchical fidelity to the original authority document; separating auditable citations from their context (e.g., prepositions and or informational citations); asset focused citations; SNED and Live values, among others.

Claims

1. A computer-readable storage device storing a data structure, the data structure comprising:

an authority document table in the computer-readable storage device, including references to a plurality of authority documents; and

a citation table in the computer-readable storage device comprising;

authority document fields, each authority document field to indicate a unique authority document of the plurality of authority documents,

guidance fields, each guidance field to indicate at least a noun-verb pair of a citation in one or more of the plurality of authority documents, wherein each noun-verb pair indicated by the guidance fields comprises a pairing between a noun and a verb matched to the noun,

citation fields, each citation field to indicate the citation to the noun-verb pair in the one or more of the plurality of authority documents, and

citation ID fields, each citation ID field representing a unique identification for mapping an individual noun-verb pair with at least one of;

the authority document field,

the guidance field, and

the citation field that corresponds with the individual noun-verb pair, wherein contents of the citation table are useable by an executing application to;

match one or more nouns associated with an organization with at least one noun-verb pair from the guidance fields; and

convert the matched at least one noun-verb pair into one or more audit questions or directives for analyzing compliance with the at least one noun-verb pair from the guidance fields.

2. The computer-readable storage device of claim 1,

wherein the data structure further comprises noun ID fields,

wherein each noun ID field indicates a unique noun identification for representing a corresponding noun, indicated by one or more of the guidance fields;

wherein a first distinguished noun represented by a distinguished unique noun identification is linked to at least one of;

a distinguished record example field, a distinguished asset field, or a distinguished configuration setting field; and

wherein a second distinguished noun that is represented by the distinguished unique noun identification is also linked to one or more of;

the distinguished record example field, the distinguished asset field, or the distinguished configuration setting field.

3. The computer-readable storage device of claim 1, the data structure further comprising a Meta Data portion including:

live values; and

revision fields, each revision field indicating a status of a noun-verb pair in the citation table relative to a previous noun-verb pair having a matching citation ID.

4. The computer-readable storage device of claim 1, the data structure further comprising a noun ID table including:

noun name fields, each noun name field indicating a unique noun name that represents a plurality of occurrences of noun names, in the guidance fields,

wherein a first distinguished noun name represented by a distinguished unique noun name is associated with at least one of;

a distinguished record example field, a distinguished asset field, or a distinguished configuration setting field, and

wherein a second distinguished noun name represented by the distinguished unique noun name is also linked to one or more of;

the distinguished record example field, the distinguished asset field, or the distinguished configuration setting field; and

noun ID fields, each noun name field indicating a unique ID assigned to each unique noun name.

5. The computer-readable storage device of claim 1, wherein each authority document is a document that provides a basis for an audit of an organization with regard to requirements defined in that authority document.

6. The computer-readable storage device of claim 1, wherein at least one distinguished authority document of the authority documents referenced in the authority document table is associated, in the data structure, with one or more of:

a published name for the distinguished authority document;

an author of the distinguished authority document;

a version identifier for the distinguished authority document;

or

any combination thereof.

7. The computer-readable storage device of claim 1, wherein at least one distinguished authority document of the authority documents referenced in the authority document table is associated, in the data structure, with a uniform resource locator (URL) for the distinguished authority document.

8. A method for analyzing compliance with one or more authority documents, the method comprising:

accessing an authority document table, including references to a plurality of authority documents, stored at a computer-readable storage device;

accessing a citation table, stored at the computer-readable storage device, comprising;

authority document fields, each authority document field to indicate a unique authority document of the plurality of authority documents,

guidance fields, each guidance field to indicate at least a noun-verb pair of a citation in one or more of the plurality of authority documents,

citation fields, each citation field to indicate the citation containing the noun-verb pair in the one or more of the plurality of authority documents, and

citation ID fields, each citation ID field representing a unique identification for an individual citation;

matching one or more nouns associated with an organization with at least one noun-verb pair from the guidance fields; and

converting the matched at least one noun-verb pair into one or more audit questions or directives for analyzing compliance with the at least one noun-verb pair from the guidance fields.

9. The method of claim 8, further comprising accessing noun ID fields;

wherein each noun ID field indicates a unique noun identification for representing a corresponding noun, indicated by one or more of the guidance fields;

wherein a first distinguished noun represented by a distinguished unique noun identification is linked to at least one of;

a distinguished record example field, a distinguished asset field, or a distinguished configuration setting field; and

wherein any second distinguished noun that is represented by the distinguished unique noun identification is also linked to one or more of;

the distinguished record example field, the distinguished asset field, or the distinguished configuration setting field.

10. The method of claim 8, further comprising accessing a Meta Data portion including:

live values; and

revision fields, each revision field indicating a status of a noun-verb pair in the citation table relative to a previous noun-verb pair having a matching citation ID.

11. The method of claim 8, further comprising accessing a noun ID table including:

noun name fields, each noun name field indicating a unique noun name that represents a plurality of occurrences of noun names, in the guidance fields,

wherein a first distinguished noun name represented by a distinguished unique noun name is associated with at least one of;

a distinguished record example field, a distinguished asset field, or a distinguished configuration setting field, and

wherein any second distinguished noun name represented by the distinguished unique noun name is also linked to one or more of;

the distinguished record example field, the distinguished asset field, or the distinguished configuration setting field; and

noun ID fields, each noun name field indicating a unique ID assigned to each unique noun name.

12. The method of claim 8, wherein each noun-verb pair indicated by the guidance fields comprises a pairing between a noun and a verb matched to the noun.

13. The method of claim 8, wherein each authority document is a document that provides a basis for an audit of an organization with regard to requirements defined in that authority document.

14. The method of claim 8 wherein each of the authority documents referenced in the authority document table is associated, in a database including the authority document table and the citation table, with a uniform resource locator (URL) at which the associated authority document can be found.

15. One or more instances of computer-readable storage media storing a data structure and instructions that, in response to execution by a computing system, cause the computing system to perform operations for analyzing compliance with one or more authority documents, the data structure comprising:

an authority document table, including references to a plurality of authority documents, stored at a computer-readable storage device; and

a citation table, stored at the computer-readable storage device, comprising;

authority document fields, each authority document field to indicate a unique authority document of the plurality of authority documents,

guidance fields, each guidance field to indicate at least a noun-verb pair of a citation in one or more of the plurality of authority documents, wherein each noun-verb pair indicated by the guidance fields comprises a pairing between a noun and a verb matched to the noun,

citation fields, each citation field to indicate the citation to the noun-verb pair in the one or more of the plurality of authority documents, and

citation ID fields, each citation ID field representing a unique identification for an individual citation;

wherein the operations comprise analyzing compliance, with the one or more authority documents, including performing a search of the guidance fields in the citations table for at least one distinguished noun-verb pair with an associated citation ID mapped to one or more distinguished authority documents referenced by the authority document table.

16. The one or more computer-readable storage media of claim 15,

wherein the data structure further comprises noun ID fields,

wherein each noun ID field indicates a unique noun identification for representing a corresponding noun;

wherein a first distinguished noun represented by a distinguished unique noun identification is linked to at least one of;

a distinguished record example field, a distinguished asset field, or a distinguished configuration setting field; and

wherein any second distinguished noun that is represented by the distinguished unique noun identification is also linked to one or more of;

the distinguished record example field, the distinguished asset field, or the distinguished configuration setting field.

17. The one or more computer-readable storage media of claim 15, wherein the data structure further comprises a Meta Data portion including:

live values; and

revision fields, each revision field indicating a status of a noun-verb pair in the citation table relative to a previous noun-verb pair having a matching citation ID.

18. The one or more computer-readable storage media of claim 15, wherein the data structure further comprises a noun ID table including:

noun name fields, each noun name field indicating a unique noun name that represents a plurality of occurrences of noun names, in the guidance fields,

wherein a first distinguished noun name represented by a distinguished unique noun name is associated with at least one of;

a distinguished record example field, a distinguished asset field, or a distinguished configuration setting field, and

wherein any second distinguished noun name represented by the distinguished unique noun name is also linked to one or more of;

the distinguished record example field, the distinguished asset field, or the distinguished configuration setting field; and

noun ID fields, each noun name field indicating a unique ID assigned to each unique noun name.

19. The one or more computer-readable storage media of claim 15, wherein each authority document is a document that provides a basis for an audit of an organization with regard to requirements defined in that authority document.

20. The one or more computer-readable storage media of claim 15, wherein at least one distinguished authority document of the authority documents referenced in the authority document table is associated, in the data structure, with one or more of:

a published name for the distinguished authority document;

an author of the distinguished authority document;

a version identifier for the distinguished authority document;

a uniform resource locator (URL) for the distinguished authority document;

or

any combination thereof.