Compliance management system

• US 20030153991A1
• Filed: 07/22/2002
• Published: 08/14/2003
• Est. Priority Date: 02/14/2002
• Status: Abandoned Application

• Current Assignee: Beyond Compliance, Inc. (The Petroleum Place LLC)
• Original Assignee: Beyond Compliance, Inc. (The Petroleum Place LLC)
• Inventors: Visser, Ron J., Smith, A. Murray
• Application Number:
  US10/199,074
• Publication Number:
  US 20030153991A1
• Time in Patent Office: Days
• US Class Current: 700/79
• CPC Class Codes: G06Q 10/10 Office automation; Time management

Abstract

An organization can manage its compliance through a system and process for collecting characteristic data for regulated elements and applying a rule application system to identify those having an out-of-compliance status. A responsible representative is assigned and notified of the out-of-compliance status and compelled to perform corrective actions through repeated and successive notification of the assigned representative and a hierarchy of responsible representatives until compliance is achieved. Compliance is further compelled through assigning a default out-of-compliance status for an element until such time as its characteristics are collected such as through mandatory data collection. Preferably, the compliance management system is implemented in a client-server network utilizing remote data collection devices and server-based applications and databases of rules, a corrective action register of pending out-of-compliance elements and a compliance calendar interface for responsible representatives.

Claims

1. A method for directing compliance of an entity to rules applicable to one or more elements, the method comprising the steps of:

collecting data for each element and applying a computerized rule application system to each element'"'"'s data for identifying whether each element has an in-compliance status or an out-of-compliance status;

entering a corrective action event in a corrective action register for each element having an out-of-compliance status; and

notifying a hierarchy of successive responsible representatives of each corrective action event until each element having a corrective action event has been corrected to an in-compliance status and removed from the corrective action register.

2. The method of claim 1 further comprising the step of waiting for a predetermined triggering event before notifying each successive responsible representative.

3. The method of claim 1 further comprising the step of correcting an element comprises toggling the status in the corrective action register.

4. The method of claim 3 wherein the notifying step, for each out-of-compliance element, further comprises the steps of:

displaying the corrective action event to a responsible representative assigned to the out-of-compliance element; and

accepting a toggling of the status of the out-of-compliance element for the corrective action event.

5. The method of claim 4 wherein the notifying step, for each out-of-compliance element, further comprises the step of displaying the one or more corrective action events to the responsible representative on an interactive calendar.

6. The method of claim 1 wherein the collecting data step is mandatory, further comprising:

demanding collection of the data for each element; and

assigning the element an out-of-compliance status failing collection of the data.

7. The method of claim 1 further comprising the steps of:

collecting the data of an element by an initial responsible representative;

through a distributed network; and

notifying the initial responsible representative of the element'"'"'s out-of-compliance status through the distributed network.

8. The method of claim 1 further comprising the steps of:

notifying an initial responsible representative of the corrective action events, the initial responsible representative being assigned from the hierarchy of success responsible representatives for each element;

removing corrective action events from the corrective action register that have been corrected to the in-compliance status since a previous notifying step;

monitoring the corrective action register for remaining corrective action events; and

notifying a successive responsible representative of the remaining corrective action events.

9. The method of claim 8 further comprising the step of repeating the removing, monitoring and notifying steps until all of the corrective action events have been corrected.

10. The method of claim 8 further comprising the step of applying the computerized rule application system in a distributed network.

11. The method of claim 10 wherein the corrective action register is on the network, further comprising the steps of:

notifying a successive responsible representative of the remaining corrective action events and displaying a toggle for correcting the status of an element; and

accepting a toggling of the status of the element toggle from a successive responsible representative.

12. The method of claim 8 wherein the monitoring step further comprises the steps of:

waiting for a predetermined trigger before monitoring the corrective action register; and

initiating the monitoring step upon receipt of the trigger.

13. The method of claim 12 wherein the trigger is the expiry of the predetermined period of time.

14. The method of claim 8 wherein the collecting data step further comprising:

demanding collection of the characteristic data; and

assigning the element an out-of-compliance status failing mandatory collection of the characteristic data.

15. The method of claim 8 wherein the notifying step further comprises the step of displaying one or more corrective action events in the corrective action register to the initial or successive responsible representative.

16. The method of claim 10 wherein the notifying step further comprises the steps of:

identifying the existence of one or more corrective action events in a compliance calendar interface to the network, to the initial or successive responsible representative; and

providing a navigational link on the network to details for each corrective action event.

17. The method of claim 8 wherein the monitoring step comprises re-applying the computerized rule application system to the at least one element.

18. The method of claim 8 wherein the triggering event is the expiry of a predetermined period of time.

19. The method of claim 8 wherein the triggering event is upon a change to the one or more characteristics of the at least one element.

20. The method of claim 8 wherein the triggering event is a query initiated by the initial or a successive responsible representative.

21. The method of claim 8 wherein the triggering event is upon a revision to the rules.

22. The method of claim 8 wherein the triggering event is the earlier of a revision to the rules, the expiry of a predetermined period of time, a change to the one or more characteristic of the at least one element, or a query initiated by the initial or a successive responsible representative.

23. The method of claim 10 further comprising the steps of:

displaying the compliance status of each element in a calendar interface accessible through the network, the calendar interface providing a correction toggle for each element having an out-of-compliance status;

enabling toggling of the compliance status by the initial or successive responsible representative through the calendar interface.

24. A system for directing entity compliance, the entity having at least one element subject to rules comprising:

a network;

at least one data collection device, adapted for connection to the network, for collecting data for one or more characteristics of at least one element;

a server computer system, adapted for connection to the network and for receiving said data from the data collection device and for storing said data;

a rule application program for applying compliance rules to the data for identifying an element having an out-of-compliance status; and

means for assigning a hierarchy of responsible representatives for each element; and

means for notifying a succession of responsible representatives of the out-of-compliance status of the element, the responsible representatives being selected from the hierarchy and notified through the network.

25. The system of claim 24 wherein the data collection device is a portable computer.

26. The system of claim 24 wherein the data collection device is an autonomous data collecting device.

27. The system of claim 26 wherein the portable computer operates a dynamic form application program, having one or more entry fields for accepting data for one of more characteristics of the at least one element.

28. The system of claim 27 wherein a responsible representative enters data into the entry fields.

29. The system of claim 27 wherein at least some of the fields are mandatory response fields.

30. The system of claim 27 wherein the dynamic form application program is updated when connected to the network.

31. The system of claim 24 wherein the notifying means comprise:

a corrective action register operative across the network;

a corrective action event entry in the corrective action register for each element that has an out-of-compliance status;

means for displaying the corrective action event to a responsible representative; and

means for toggling the status of the element.

32. The system of claim 31 wherein the corrective action event display means comprises:

a calendar having identification thereon of a corrective action events; and

a link to the corrective action register.