Online regulatory compliance system and method for facilitating compliance

• US 20030217036A1
• Filed: 01/07/2003
• Published: 11/20/2003
• Est. Priority Date: 05/14/2002
• Status: Abandoned Application

• Current Assignee: Argent Regulatory Services LLC
• Original Assignee: Argent Regulatory Services LLC
• Inventors: Haunschild, Gregory D., Fields, Jon Eric
• Application Number:
  US10/337,681
• Publication Number:
  US 20030217036A1
• Time in Patent Office: Days
• US Class Current: 707/1
• CPC Class Codes: G06Q 10/10 Office automation; Time management
• CPC Class Codes: Y02P 90/845 Inventory and reporting systems for greenhouse gases [GHG]

Abstract

A method and system for facilitating compliance with government regulations comprising providing a secured, interactive web site system hosted by at least one computer server. The web site system can comprise a network of computers with a server computer accessible by multiple computers at various geographic localities or a World Wide Web system having a computer server for storing and accessing compliance related data. One or more secured databases comprising governmental regulations, industry standards and company polices requiring compliance by client users are provided. Accessibility to the databases is limited to authorized users. Subject items requiring compliance are identified and the compliance requirements and necessary tasks to achieve compliance for the identified subject item are determined during the method. The results are provided to a responsible person for carrying out the required compliance tasks.

Claims

1. A method for facilitating compliance comprising:

(a) providing a system for facilitating compliance that is accessible on a secured, interactive web site, the web site accessible to multiple computers via network connectivity, the system comprising compliance data including compliance rules and regulations, subject items subject to compliance, and compliance tasks required for the subject items, accessibility to the system limited to authorized users;

(b) identifying specific subject items;

(c) determining the required compliance rules and regulations and required tasks applicable to the identified subject items.

2. The method of claim 1 wherein the web site is accessible on a LAN system.

3. The method of claim 1 wherein the web site is accessible on a WAN system.

4. The method of claim 1 wherein compliance data comprises compliance requirements data emanating from one or more laws, statutory codes, government rules and regulations, permit requirements, government standards, industry standards, rules and procedures, company procedures and guidelines, procedures and guidelines of one or more regulatory authorities or combinations thereof.

5. The method of claim 1 wherein the subject items comprise facility sites, equipment, materials and activities subject to compliance.

6. A method for facilitating compliance comprising:

(a) providing a system for facilitating compliance that is accessible on a secured, interactive web site, the web site accessible to multiple computers via network connectivity;

(b) providing one or more databases within the system, the databases comprising compliance data and subject items subject to the compliance data, accessibility to the one or more databases limited to authorized users;

(c) identifying subject items subject to compliance applicable for a specific authorized user;

(d) applying compliance data to identified subject items to determine compliance requirements and tasks applicable to that subject item;

(e) providing resulting compliance requirements and tasks to person responsible for compliance.

7. The method of claim 6 wherein the web site is accessible on a WAN system.

8. The method of claim 6 wherein compliance data comprises compliance requirements data emanating from one or more laws, statutory codes, government rules and regulations, permit requirements, government standards, industry standards, rules and procedures, company procedures and guidelines, procedures and guidelines of one or more regulatory authorities or combinations thereof.

9. The method of claim 8 wherein the one or more regulatory authorities comprise government legislatures, government agencies, industry associations, and company organizations.

10. The method of claim 6 wherein the compliance data further comprises recommended tasks for compliance and compliance triggers for performing the recommended tasks.

11. The method of claim 6 wherein the step of applying the compliance data further comprises determining the compliance requirements for identified subject items triggered by compliance triggers.

12. The method of claim 6 wherein the subject items comprise facility sites, equipment, materials and activities subject to compliance.

13. The method of claim 6 wherein the compliance requirement data is provided to authorized users by report generators that generate one or more reports.

14. The method of claim 6 wherein the reports comprise one or more checklists, one or more compliance tables, one or more equipment query reports, one or more site information reports, one or more equipment lists, one or more inventory reports or combinations thereof.

15. The method of claim 6 wherein the compliance requirement data is transmitted to a responsible person for carrying out compliance tasks.

16. The method of claim 15 wherein the compliance requirement data is transmitted to a responsible person by reminders, the reminders comprising email, fax or telephone communications.

17. The method of claim 6 wherein the step of applying compliance data to identified subject items to determine compliance tasks is performed by a computer processor.

18. The method of claim 17 wherein the system for facilitating compliance further comprises one or more interactive functions, the interactive functions comprising a query, sort and find function for determining compliance data applicable to identified subject items, a reminder function and a reporting function to generate reports to notify one or more responsible persons of compliance requirements.

19. A method for facilitating compliance comprising:

(a) providing a system for facilitating compliance that is accessible on a secured, interactive web site, the web site accessible to multiple computers via network connectivity;

(b) inputting compliance data and subject items into one or more relational databases;

accessibility to the relational databases limited to authorized client users;

(c) identifying one or more subject items input in step (b) that are applicable to a specific user;

(d) using a query, sort and find function, applying compliance data to determine compliance requirements, compliance triggers, and required tasks necessary to fulfill compliance requirements for substantially each identified subject item;

(e) providing the compliance requirements, triggers and required tasks to a responsible person for carrying out compliance tasks;

(f) using a report function to generate one or more compliance reports at any time during this method;

(g) notifying the responsible person regarding compliance requirement data and compliance dates by reminders.

20. The method of claim 19 wherein the compliance requirement data is provided to a responsible person according to preset tickler system.

21. The method of claim 19 wherein the reports comprise one or more checklists, one or more compliance tables, one or more equipment query reports, one or more site information reports, one or more equipment lists, one or more inventory reports and combinations thereof.

22. A method for facilitating compliance comprising:

(a) providing a system for facilitating compliance that is accessible on a secured, interactive web site, the web site accessible to multiple computers via network connectivity;

(b) providing one or more relational databases comprising compliance data and subject items, the compliance data comprising compliance requirements, compliance tasks to satisfy compliance requirements and due dates for tasks, the subject items comprising facility sites, equipment, materials and activities, accessibility to the relational databases limited to authorized users;

(c) inputting data to identify a company client including one or more company facilities;

(d) identifying substantially each subject item located at the one or more company facilities;

(e) determining substantially each compliance requirement, substantially each compliance task and the compliance date for the task required for the subject items identified in step (d);

(f) identifying the responsible person to carry out the compliance task;

(g) notifying each responsible person of substantially each required compliance task and compliance date.

23. The method of claim 22 wherein the web site is accessible on a LAN system.

24. The method of claim 22 wherein the web site is accessible on a WAN system.

25. The method of claim 22 wherein the compliance requirements, compliance task required and the compliance date for identified subject items are determined by a computer processor.

26. The method of claim 22 wherein the compliance requirements, compliance task required and the compliance date are determined by a user.

27. The method of claim 22 wherein the responsible person is notified by reminders.

28. The method of claim 22 wherein the responsible person is notified of one or more upcoming compliance dates according to a preset tickler system.

29. A method for facilitating compliance comprising:

(a) providing a system for facilitating compliance that is accessible on a secured, interactive web site, the web site accessible to multiple computers via network connectivity;

(b) providing one or more databases on the system, the databases comprising compliance data, client data and subject items, the subject items comprising facility sites, equipment, materials and activities, accessibility to the databases limited to authorized users;

(c) determining client-specific subject items;

(d) using a computer processor, applying query, sort and find functions to compliance data to identify compliance requirements for substantially each client-specific subject item;

(e) determining the compliance tasks and due dates required for substantially each compliance requirement identified in step (d);

(f) generating one or more reports for client-specific subject items based on the compliance requirements, compliance tasks and due dates;

(g) notifying a responsible person of the required compliance task and compliance date.

30. The method of claim 29 wherein the reports comprise one or more checklists, one or more compliance tables, one or more equipment query reports, one or more site information reports, one or more equipment lists, one or more inventory reports and combinations thereof.

31. The method of claim 29 further comprising one or more reminder functions.

32. A method for facilitating compliance comprising:

(a) providing a system for facilitating compliance that is accessible on a secured, interactive web site, the web site accessible to multiple computers via network connectivity;

(b) creating one or more databases comprising compliance data requirements, client information data and subject items, the subject items comprising facility sites, equipment, materials and activities, accessibility to the databases limited to authorized users;

(c) inputting client-specific subject items;

(d) using query, sort and find function, applying compliance data requirements to identify compliance requirements for substantially each client-specific subject item;

(e) determining the compliance tasks and due dates required for substantially each compliance requirement identified in step (d);

(f) accessing the client-specific subject items, compliance requirements and compliance task determined in step (e), accessibility to data securely limited to authorized users;

(g) generating one or more reports for client-specific subject items based on the compliance requirements, compliance tasks and due dates;

(h) notifying a responsible person of the required compliance task and compliance date according to a preset tickler system.

33. The method of claim 32 wherein the subject items comprise facility sites, equipment, materials and activities subject to compliance.

34. A compliance system comprising:

a system for facilitating compliance that is accessible on a secured, interactive web site, the web site accessible to multiple computers via network connectivity;

a data structure located on the web site, the data structure comprising one or more databases comprising compliance data and subject items;

one or more secured, interface means for enabling authorized users to identify specific subject items located on the one or more databases;

a database engine, comprising query, sort and find software, for accessing the one or more databases to generate compliance requirements for the one or more specific subject items identified by the user.

35. The compliance system of claim 34 further comprising one or more preset tickler systems for providing compliance requirement data for the subject items to authorized users according to their due date.

36. The compliance system of claim 34 wherein the subject items comprise facility sites, equipment, materials and activities subject to compliance.

37. The compliance system of claim 34 further comprising a report generator to generate reports, the reports comprising one or more checklists, one or more compliance tables, one or more equipment query reports, one or more site information reports, one or more equipment lists, one or more inventory reports or combinations thereof.

38. A compliance system comprising:

a secured, interactive web site, the web site accessible to multiple computers via network connectivity;

a data structure located on the web site server comprising one or more databases comprising compliance data, client information data and subject items;

one or more secured, interface means for enabling authorized users to identify specific subject items;

a database engine comprising one or more query, sort and find functions, for accessing the database to generate compliance data relating to specific subject items; and

a report generator to generate reports based on data generated by database engine.

39. The compliance system of claim 38 further comprising one or more preset tickler systems for providing compliance requirement data for the subject items to authorized users according to the due date.

40. The compliance system of claim 38 wherein the subject items comprise facility sites, equipment, materials and activities subject to compliance.

41. A compliance system comprising:

a secured, interactive web site, the web site accessible to multiple computers via network connectivity;

a data structure located on the web site comprising one or more relational databases, the one or more relational databases comprising compliance data, client information data, and subject items that require compliance, the subject items comprising facility sites, equipment, materials and activities subject to compliance, the client data identifying specific subject items, the client data further comprising authorized user data;

one or more secured, interactive web pages accessible to authorized users for enabling users to access compliance data relating to specific subject items;

a database engine comprising one or more query, sort and find software to generate compliance data for specific subject items, the compliance data comprising applicable compliance requirements, tasks required, due date for performing required tasks, triggers if any, and the identity of the one or more responsible persons for performing required tasks.

42. A compliance system comprising:

a web site hosted by a server, the web site comprising a computer server accessible by multiple computers;

a data structure located on the web site comprising one or more relational databases, the one or more relational databases comprising compliance data, subject items that require compliance, and client data, the subject items comprising facility sites, equipment, materials and activities subject to compliance, the client data identifying specific subject items applicable to the client, the client data further comprising authorized user data;

one or more secured, interactive web pages accessible to authorized users for enabling users to access compliance data relating to one or more specific subject items;

a database engine comprising one or more query, sort and find software to generate compliance data for the one or more specific subject items input by user, the compliance data comprising applicable compliance requirements, tasks required, triggers if any, due date for performing one or more required tasks and the responsible person for performing required task; and

one or more report generators to generate one or more compliance reports for specific subject items.

43. The compliance system of claim 42 wherein the reports comprise one or more checklists, one or more compliance tables, one or more equipment query reports, one or more site information reports, one or more equipment lists and one or more inventory reports.

44. The compliance system of claim 43 wherein the checklists comprise substantially each subject item within the facility, one or more compliance tasks required and a verification signature requirement for the responsible person.

45. The compliance system of claim 42 further comprising one or more pre-set tickler systems for each required compliance task to notify the responsible person of the compliance task and its due date.

46. A method for facilitating compliance comprising:

(a) providing a system for facilitating compliance that is accessible on a secured, interactive web site, the web site accessible to multiple computers via network connectivity;

the system comprising compliance data and subject items subject to compliance, accessibility to the data limited to authorized users;

(b) providing weather data to authorized users required to comply with storm water sampling regulations according to the compliance data.

47. The compliance method of claim 46 wherein the weather data comprises notification of a specified chance of rain fall and notification of actual rainfall.

48. The compliance method of claim 47 wherein the weather data is sent to authorized users.

49. A method for facilitating compliance comprising:

(a) providing a secured, interactive web site accessible to multiple computer processors;

(b) providing one or more databases comprising compliance data and subject items subject to compliance, accessibility to the one or more databases limited to authorized users;

(c) identifying subject items applicable for a specific authorized user;

(d) determining compliance requirements and tasks necessary to be in compliance for one or more subject items identified in step (c);

(e) providing compliance requirements and tasks as determined in step (d) to a responsible person of the specific authorized user; and

(f) continuing to provide compliance requirements and task notification to responsible persons along the chain of command of the management hierarchy until each requirement and task is completed or the due date has passed.

50. The compliance method of claim 49 further comprising the step of sending a notice of potential non-compliance to a designated authority for any of the one or more tasks not completed by the due date.

51. The compliance method of claim 49 further comprising a checklist of compliance requirement tasks to be ticked off upon completion of each task required for compliance according to the compliance data.

52. The compliance method of claim 51 comprising a software program for automatically providing email reminders of compliance requirements and tasks necessary to be in compliance to a responsible person until the task is ticked off on the checklist.

53. A method for facilitating compliance comprising:

(a) providing a secured, interactive web site hosted by at least one computer server in communication with a computer network, the web site accessible to multiple computer processors, the web site comprising compliance data, rules and required tasks and subject items subject to compliance, accessibility to the compliance data, rules and required tasks limited to authorized users;

(b) notifying a responsible person of an authorized user of the compliance requirement rules and tasks for subject items applicable to authorized user; and

(c) continuing to provide compliance requirement notification to responsible persons along the chain of command of the management hierarchy until the compliance requirement task is ticked off a checklist.

54. A compliance system comprising:

a web site hosted by a server, the web site accessible by multiple computers;

a data structure located on the web site comprising compliance data and required tasks for compliance;

one or more secured, interactive web pages located on the web site accessible to authorized users for enabling users to determine applicable compliance data and tasks;

means for notifying a responsible person of the compliance requirements and tasks required for compliance; and

a checklist for ticking off completed tasks.

55. The system of claim 54 wherein compliance data comprises compliance requirements emanating from one or more laws, statutory codes, government rules and regulations, permit requirements, government standards, industry standards, rules and procedures, company procedures and guidelines, procedures and guidelines of one or more regulatory authorities or combinations thereof.

56. The method of claim 55 wherein the one or more regulatory authorities comprise government legislatures, government agencies, industry associations, and company organizations.

57. The compliance system of claim 54 wherein the means for notifying a responsible person is automated by a computer.

58. The compliance system of claim 54 wherein the means for notifying a responsible person is a manual input program.

59. The compliance system of claim 54 further comprising a management hierarchy list so that the responsible person is selected from the management hierarchy list.

60. The compliance system of claim 54 wherein the checklist comprises substantially each subject item within an authorized facility that is subject to compliance data, one or more required compliance tasks for each item and identification data for the responsible person to perform the one or more required compliance tasks.

61. A compliance system comprising:

a web site hosted by a server accessible by multiple computers;

a data structure located on the web site comprising one or more relational databases, the one or more relational databases comprising compliance data, tasks necessary for compliance, client data, and subject items subject to compliance;

one or more secured, interactive web pages accessible to authorized users for enabling users to access compliance data relating to specific subject items;

a database engine comprising one or more query, sort and find software to generate compliance requirements and necessary tasks for the one or more specific subject items, the compliance requirements comprising due dates for performing tasks and identification data for one or more persons for performing responsible tasks; and

one or more report generators to generate one or more compliance reports for the specific subject items;

means for notifying the one or more responsible persons of the compliance requirements and required tasks; and

a checklist for ticking off completed tasks.

62. The compliance system of claim 61 wherein the subject items comprise facility sites, equipment, materials and activities subject to compliance.

63. The compliance method of claim 61 further comprising means for sending a notice of potential non-compliance to a designated manager for any of the one or more required tasks not completed by the due date.

64. The compliance system of claim 61 further comprising a management hierarchy list so that the responsible person is selected from the management hierarchy list.

65. The compliance system of claim 61 wherein the authorized user is an auditor.

68. The compliance system of claim 64 wherein the software program comprises a means for alerting the authorized user to the update of the rules and tasks.

69. The compliance system of claim 65 wherein the means for alerting a responsible person to the update of the rules and tasks is an automated email system.

66. A compliance system comprising:

a web site hosted by a server, the web site accessible by multiple computers;

a data structure located on the server comprising compliance data, a summary of compliance rules and tasks required for compliance;

one or more secured, interactive web pages accessible to authorized users for enabling users to determine applicable compliance requirements and required tasks;

means for notifying a responsible person of an authorized user of the compliance requirements and tasks; and

a checklist for ticking off completed tasks required for compliance; and

hyperlinks to a regulatory database comprising full text of compliance rules and required tasks.

67. A compliance system comprising:

a web site hosted by a server, the web site accessible by multiple computers;

a data structure on the server accessible through the web site, the data structure comprising compliance data, a summary of compliance rules and tasks required for compliance;

hyperlinks to a government regulatory database comprising full text of compliance rules and required tasks;

a software program for comparing the summary of compliance rules and tasks to the government regulatory database for updating the rules and tasks; and

one or more secured, interactive web pages located on the web site, the web pages accessible to authorized users for enabling users to determine updated compliance data, rules and required tasks.

70. A compliance system comprising:

a web site hosted by a server, the web site accessible by multiple computers;

a data structure located on the web site comprising compliance data, compliance rules and tasks required for compliance;

one or more secured, interactive web pages located on the web site, the web pages accessible to authorized users;

a software program for responding to an unscheduled event requiring one or more compliance tasks.

71. The compliance system of claim 70 wherein the software program comprises compliance data for tracking and reporting the unscheduled event.

72. A method for facilitating compliance comprising:

(a) providing a system for facilitating compliance that is accessible on a secured, interactive web site, the system comprising compliance data and subject items subject to compliance;

(b) identifying specific subject items for a client and compliance requirements for specific subject items;

(c) defining priority levels of triggers based on the specific subject items and compliance requirements;

(d) defining groups of client personnel authorized to receive trigger notification, the groups prioritized according to management hierarchy and priority level of trigger;

(e) sending reminder notices to client personnel based on management hierarchy level and trigger priority level.

73. The method for facilitating compliance of claim 72 wherein the reminder notices are sent by email, fax or telephonic communication.

74. A method for facilitating compliance with environmental rules and regulations comprising:

(a) providing a system for facilitating compliance that is accessible on a secured, interactive web site, the web site accessible to multiple computers via network connectivity, the system comprising compliance data including environmental compliance rules and regulations, required compliance tasks and subject items subject to environmental compliance, accessibility to the system limited to authorized users;

(b) determining the environmental compliance rules and regulations and tasks applicable to specific subject items.