Method and system for compliance management

• US 20020143595A1
• Filed: 02/05/2001
• Published: 10/03/2002
• Est. Priority Date: 02/05/2001
• Status: Abandoned Application

• Current Assignee: Axentis LLC
• Original Assignee: Axentis LLC
• Inventors: Laxminarayan, Ganesh, Frank, Theodore W., Fingerhut, Gary M.
• Application Number:
  US09/776,994
• Publication Number:
  US 20020143595A1
• Time in Patent Office: Days
• US Class Current: 705/8
• CPC Class Codes: G06Q 10/06 Resources, workflows, human or project management; Enterprise or organisation planning; Enterprise or organisation modelling
• CPC Class Codes: G06Q 10/105 Human resources
• CPC Class Codes: G06Q 50/18 Legal services

Abstract

A method and system for compliance management includes incident management and/or workflow management components. The system and method maintains accurate records of work-related incidents, such as a sexual harassment complaint or a chemical spill. The system also interacts with other data management systems and components to obtain a complete record of the incident. The work flow system executes activities in the incident management system. For example, the workflow system advises a user as to who should be notified in case of an incident, what forms must be completed, and what information must be collected. The use of this compliance system assists in the implementation for business related programs such as Good Faith Compliance Program for any type of organization, which may reduce incidents and provide some protection from potential litigation. Additionally, this system and method aids users in the evaluation and investigation processes.

Claims

1. A method for providing a computerized compliance management system, comprising

receiving information about an incident;

and

extracting information related to the incident from at least one external interface to obtain a complete record of the incident; and

dynamic generation of site specific workflow using the information.

2. The method of claim 1 further including sending a recommendation for corrective action for reduction of incident occurrence.

3. The method of claim 1 further including sending information to guide a user through the steps required for responding to the incident.

4. The method of claim 3 wherein the user guiding further includes generating an investigation checklist for use as a guide.

5. The method of claim 1 further including performing expert system interviews.

6. The method of claim 1 further including searching for data on prior incidents of this type and prior incident history of parties involved in the incident.

7. The method of claim 1 further including routing variances based upon specific variables that include answers to questions, incident data, and number of incidents.

8. The method of claim 1 further including auditing information entered about the incident.

9. The method of claim 8 wherein the information audit further includes minimizing data modification after submission of facts during the incident to maintain data validity.

10. A method for providing a computerized compliance management system, comprising

receiving information about an incident from a user;

extracting information related to the incident from at least one external interface to obtain a complete record of the incident; and

measuring performance of tasks related to the incident to assist in identifying deficiencies and implementing improvements.

11. The method of claim 10 further including sending a recommendation for corrective action for reduction of incident occurrence based on measured performance.

12. The method of claim 10 further including generating forms for incident and data capture.

13. The method of claim 10 further including generating a report about the incident.

14. The method of claim 10 further including guiding the user through the steps required for responding to the incident.

15. The method of claim 10 further including maintaining a secure environment for data entry and data collection from the external interfaces.

16. The method of claim 10 further including generating a calendar for follow-ups on the incident.

17. The method of claim 16, wherein the calendar generating further includes creating bench marks to monitor the incident management.

18. The method of claim 10 further including involving a governmental agency in the process of responding to the incident.

19. The method of claim 10 further including recording internal and external costs caused by the incident.

20. The method of claim 19 wherein the internal and external costs include at least one of settlement to claimants, external counsel fees expert witness fees, court reporter fees, third party mediator costs, arbitrator fees, internal legal department staff costs, claim management costs, interviewing participants testifying in depositions, trial costs, damage to company'"'"'s reputation, damage to employee morale or damage to company'"'"'s good will.

21. A method for providing a computerized compliance management system, comprising

extracting information related to an incident from at least one external interface to obtain a complete record of the incident;

receiving updated information about an incident until the incident is resolved; and

guiding a user through the steps required for responding to the incident.

22. The method of claim 21 further including sending a notice to a user, the notice including at least one of contacts that should be alerted of the incident, forms to be completed, and information to be collected.

23. The method of claim 21 further including measuring performance of tasks related to the incident to assist in identifying deficiencies and implementing improvements.

24. The method of claim 23 further including executing online training based on a measured task deficiency.

25. The method of claim 21 further including maintaining a secure environment for data entry and data collection from the external interfaces.

26. The method of claim 21 further including validating at least one task used to reduce the occurrence of the incident.

27. The method of claim 21 further including offering an online course about incident prevention in response to the incident.

29. The method of claim 28 further including sending a recommendation for corrective action based on the measured performance to reduce incident occurrence.

30. The method of claim 28 further tracking the progress of the incident.

28. A method for providing a computerized compliance management system, comprising

receiving initial information about an incident from a user;

extracting information related to the incident from at least one external interface to obtain a complete record of the incident;

receiving updated information about an incident until the incident is resolved; and

measuring performance of tasks related to the incident to assist in identifying deficiencies and implementing improvements.

31. A method for providing a computerized compliance management system, comprising

receiving initial information about an incident from a user;

extracting information related to the incident from at least one external interface to obtain a complete record of the incident;

receiving updated information about the incident until the incident is resolved;

measuring performance of tasks related to the incident to assist in identifying deficiencies and implementing improvements; and

guiding a user through the steps required for responding to the incident.

32. A computerized compliance management system for incident and workflow management, comprising:

a memory device; and

a processor disposed in communication with the memory device, the processor configured to;

receive information about an incident, and

extract information related to the incident from external interfaces to obtain a complete record of the incident.

33. The system of claim 32 wherein the processor is further configured to send a recommendation for corrective action for reduction of incident occurrence.

34. The system of claim 32 wherein the processor is further configured to guide a user through the steps required for responding to the incident.

35. The system of claim 32 wherein the processor is further configured to track the progress of the incident.

36. The system of claim 32 wherein the processor is further configured to search for data on prior incidents of this type.

37. The system of claim 32 wherein the processor is further configured to search for data on prior incident history of parties involved in the incident.

38. The system of claim 32 wherein the processor is further configured to audit information entered about the incident.

39. The system of claim 38 wherein the processor is further configured to minimize data modification after submission of facts during the incident to maintain data validity.

40. A computerized compliance management system for incident and workflow management, comprising:

a memory device; and

a processor disposed in communication with the memory device, the processor configured to;

receive information about an incident from a user,

extract information related to the incident from external interfaces to obtain a complete record of the incident, and

measure performance of tasks related to the incident to assist in identifying deficiencies and implementing improvements.

41. The system of claim 40 wherein the processor is further configured to send a recommendation for corrective action for reduction of incident occurrence based on measured performance.

42. The system of claim 40 wherein the processor is further configured to maintain a secure environment for data entry and data collection from the external interfaces.

43. The system of claim 40 wherein the processor is further configured to generate a calendar for follow-ups on the incident.

44. The system of claim 43 wherein the processor is further configured to create bench marks to monitor the incident management.

45. The system of claim 40 wherein the processor is further configured to notify a governmental entity concerning the progress of responding to the incident.

47. The system of claim 46 wherein the processor is further configured to send a notice to a user, the notice including at least one of contacts that should be alerted of the incident, forms to be completed, or information to be collected.

48. The system of claim 46 wherein the processor is further configured to measure performance of tasks related to the incident to assist in identifying deficiencies and implementing improvements.

49. The system of claim 48 wherein the processor is further configured to execute online training based on a measured task deficiency.

50. The system of claim 46 wherein the processor is further configured to validate at least one task used to reduce the occurrence of the incident.

46. A computerized compliance management system for incident and workflow management, comprising:

a memory device; and

a processor disposed in communication with the memory device, the processor configured to;

extract information related to an incident from external interfaces to obtain a complete record of the incident,

receive updated information about the incident until the incident is resolved, and

guide a user through the steps required for responding to the incident.

51. A computerized compliance management system for incident and workflow management, comprising:

a memory device; and

a processor disposed in communication with the memory device, the processor configured to;

receive initial information about an incident from a user,

extract information related to the incident from external interfaces to obtain a complete record of the incident,

receive updated information about the incident until the incident is resolved, and

measure performance of tasks related to the incident to assist in identifying deficiencies and implementing improvements.

52. A computerized compliance management system for incident and workflow management, comprising:

a memory device; and

a processor disposed in communication with the memory device, the processor configured to;

receive initial information about an incident from a user,

extract information related to the incident from external interfaces to obtain a complete record of the incident,

receive updated information about the incident until the incident is resolved,

measure performance of tasks related to the incident to assist in identifying deficiencies and implementing improvements, and

guide a user through the steps required for responding to the incident.

53. A computerized compliance management system for incident and workflow management, comprising:

means for receiving information about an incident; and

means for extracting information related to the incident from external interfaces to obtain a complete record of the incident.

54. The system of claim 53 further including means for tracking the progress of the incident.

55. A computerized compliance management system for incident and workflow management, comprising:

means for receiving information about an incident from a user;

means for extracting information related to the incident from external interfaces to obtain a complete record of the incident; and

means for measuring performance of tasks related to the incident to assist in identifying deficiencies and implementing improvements.

57. The system of claim 56 further including means for measuring performance of tasks related to the incident to assist in identifying deficiencies and implementing improvements.

59. The system of claim 58 further including means for sending a recommendation for corrective action based on the measured performance to reduce incident occurrence.

60. The system of claim 58 further including means for tracking the progress of the incident.

56. A computerized compliance management system for incident and workflow management, comprising:

means for extracting information related to an incident from external interfaces to obtain a complete record of the incident;

means for receiving updated information about the incident until the incident is resolved; and

means for guiding a user through the steps required for responding to the incident.

58. A computerized compliance management system for incident and workflow management, comprising:

means for receiving initial information about an incident from a user;

means for extracting information related to the incident from external interfaces to obtain a complete record of the incident;

means for receiving updated information about the incident until the incident is resolved; and

means for measuring performance of tasks related to the incident to assist in identifying deficiencies and implementing improvements.

61. A computerized compliance management system for incident and workflow management, comprising:

means for receiving initial information about an incident from a user;

means for extracting information related to the incident from external interfaces to obtain a complete record of the incident;

means for receiving updated information about the incident until the incident is resolved;

means for measuring performance of tasks related to the incident to assist in identifying deficiencies and implementing improvements; and

means for guiding a user through the steps required for responding to the incident.

62. A computer readable medium comprising:

code for receiving information about an incident;

code for extracting information related to the incident from external interfaces to obtain a complete record of the incident; and

code for measuring performance of tasks related to the incident to assist in identifying deficiencies and implementing improvements.

63. The computer readable medium further including code for guiding a user through the steps required for responding to the incident.

64. A method for providing a computerized compliance management system, comprising:

receiving initial information about an incident;

extracting information related to the incident from at least one external interface to obtain a complete record of the incident; and

storing the extracted information and the internal information in a database for utilization by compliance personnel.

65. A method for providing a computerized compliance management system, comprising

receiving information about an incident;

extracting information related to the incident from at least one external interface to obtain a complete record of the incident;

sending information to guide a user through the steps required for responding to the incident;

tracking the progress of the incident;

tracking the progress of the corrective actions taken in response to the incident;

searching for data on prior incidents of this type;

searching for data on prior incident history of parties involved in the incident; and

sending a recommendation for corrective action for reduction of incident occurrence.

66. A method for providing a computerized compliance management system, comprising

receiving information about an incident from a user;

extracting information related to the incident from at least one external interface to obtain a complete record of the incident;

measuring performance of tasks related to the incident to assist in identifying deficiencies and implementing improvements;

generating forms for incident and data capture;

guiding the user through the steps required for responding to the incident;

maintaining a secure environment for data entry and data collection from the external interfaces;

generating a calendar for follow ups on the incident;

notifying a governmental entity concerning the progress of responding to the incident; and

sending a recommendation for corrective action for reduction of incident occurrence based on measured performance.

67. A method for providing a computerized compliance management system, comprising

receiving initial information about an incident from a user;

extracting information related to the incident from at least one external interface to obtain a complete record of the incident;

receiving updated information about the incident until the incident is resolved;

measuring performance of tasks related to the incident to assist in identifying deficiencies and implementing improvements;

generating forms for incident and data capture;

guiding the user through the steps required for responding to the incident;

maintaining a secure environment for data entry and data collection from the external interfaces;

generating a calendar for follow ups on the incident;

notifying a governmental entity concerning the progress of responding to the incident; and

sending a recommendation for corrective action for reduction of incident occurrence based on measured performance.