Automated policy compliance management system

• US 20040034659A1
• Filed: 08/19/2002
• Published: 02/19/2004
• Est. Priority Date: 08/19/2002
• Status: Abandoned Application

• Current Assignee: Alternative Legal Solutions, Inc.
• Original Assignee: Alternative Legal Solutions, Inc.
• Inventors: Steger, Kevin J.
• Application Number:
  US10/224,309
• Publication Number:
  US 20040034659A1
• Time in Patent Office: Days
• US Class Current: 707/104.1
• CPC Class Codes: G06Q 10/10 Office automation; Time management

Abstract

The invention includes computer instructions that operate to receive change of a person within an organization. The received change having employee information corresponding to the change of the person. The computer instructions store the received employee information corresponding to the change of the person in a database. Once the received employee information corresponding to the change of the person is stored, the computer instructions update the database with the received employee information corresponding to the change of the person. Once the database is updated, the instructions automatically provide, to the person, one or more policies for compliance certification, based at least in part on relevant parts of the updated employee information, to facilitate the organization'"'"'s compliance with the one or more policies.

Claims

1. In a computing environment, a method of operation comprising:

receiving a change of a person within an organization, the received change having employee information corresponding to the change of the person;

storing the received employee information corresponding to the change of the person in a database;

updating the database with the received employee information corresponding to the change of the person; and

automatically providing, to the person, one or more policies for compliance certification, based at least in part on relevant parts of said updated employee information, to facilitate the organization'"'"'s compliance with the policies.

2. The method of operation of claim 1, wherein the one or more policies comprise one or more human resource policies.

3. The method of operation of claim 1 further comprising:

determining if the person has fully certified compliance with the provided one or more policies; and

scheduling one or more reminders for the person to certify compliance with the one or more policies.

4. The method of operation of claim 3, wherein said scheduling of the one or more reminders comprises scheduling in accordance with one or more scheduling criteria of the one or more policies.

5. The method of operation of claim 4, wherein the method further comprises accepting the one or more reminder scheduling criteria for the one or more policies.

6. The method of operation of claim 1 further comprising:

determining if the person has a supervisory role; and

providing, to the person, one or more additional policies for compliance certification, based at least in part on the result of said supervisory role of the person determination.

7. The method of operation of claim 6 further comprising:

determining if the person has fully certified compliance with the further provided one or more additional policies; and

scheduling one or more reminders for the person to certify compliance with the additional provided one or more policies.

8. The method of operation of claim 1 further comprising:

determining if another person has assumed a supervisory role for the first time as a result of said change of the person; and

providing, to the person assuming the supervisory role for the first time, one or more policies for compliance certification, based at least in part on the result of said first assumption of supervisory role determination.

9. The method of operation of claim 8 further comprising:

determining if the person assuming the supervisory role for the first time has fully certified compliance with the provided one or more policies; and

scheduling one or more reminders for the person assuming supervisory role for the first time to certify compliance with the provided one or more policies.

10. The method of operation of claim 1, wherein said receiving a change of a person within an organization comprises receiving employee information corresponding to at least one of an ID, a name, a location, a supervisor, and a function/department associated with the person within the organization.

11. The method of operation of claim 1, wherein storing the received employee information corresponding to the change of the person comprises storing the received employee information corresponding to the change of the person in a database having stored policies corresponding to at least one of an ID number, a name, compliance criteria, an pointer/pathnames of various associated materials.

12. The method of operation of claim 1, wherein the method further comprises retrieving relevant ones of the stored updated employee information in performing said automatic provision of one or more policies for compliance certification.

13. The method of operation of claim 1, wherein said retrieving relevant employee information comprises retrieving updated employee information corresponding to at least one of a location, a supervisor, and a function/department associated with the person.

14. The method of operation of claim 1, wherein said providing of one or more policies for compliance certification comprises generating and displaying materials related to the one or more policies at a client device of the person.

15. The method of operation of claim 1, wherein said providing of one or more policies for compliance certification comprises providing at least one of a training manual for review, and policy forms to be filled in.

16. An apparatus comprising:

a storage medium having stored therein a plurality of programming instructions, which when executed, the instructions cause the apparatus to receive a change of a person within an organization, the received change having employee information corresponding to the change of the person, store the received employee information corresponding to the change of the person in a database, update the database with the received employee information corresponding to the change of the person, and automatically provide, to the person, one or more policies for compliance certification, based at least in part on relevant parts of said updated employee information, to facilitate the organization'"'"'s compliance with the policies.

17. The apparatus of claim 16, wherein said programming instructions, which when executed, cause the apparatus to automatically provide, to the person, one or more human resource policies for compliance certification, based at least in part on the relevant parts of said employee information, to facilitate the organization'"'"'s compliance with the one or more human resource policies.

18. The apparatus of claim 16, wherein said programming instructions, which when executed, cause the apparatus to determine if the person has fully certified compliance with the provided one or more policies, and schedule one or more reminders for the person to certify compliance with the one or more policies.

19. The apparatus of claim 18, wherein said programming instructions, which when executed, cause the apparatus to schedule in accordance with one or more scheduling criteria of the one or more policies.

20. The apparatus of claim 19, wherein said programming instructions, which when executed, cause the apparatus to accept the one or more reminder scheduling criteria for the one or more policies.

21. The apparatus of claim 16, wherein said programming instructions, which when executed, cause the apparatus to determine if the person has a supervisory role, and provide, to the person, one or more additional policies for compliance certification, based at least in part on the result of said supervisory role of the person determination.

22. The apparatus of claim 21, wherein said programming instructions, which when executed, cause the apparatus to determine if the person has fully certified compliance with the further provided one or more additional policies, and schedule one or more reminders for the person to certify compliance with the additional provided one or more policies.

23. The apparatus of claim 16, wherein said programming instructions, which when executed, cause the apparatus to determine if another person has assumed a supervisory role for the first time as a result of said change of the person, and provide, to the person assuming the supervisory role for the first time, one or more policies for compliance certification, based at least in part on the result of said first assumption of supervisory role determination.

24. The apparatus of claim 23, wherein said programming instructions, which when executed, cause the apparatus to determine if the person assuming the supervisory role for the first time has fully certified compliance with the provided one or more policies, and scheduling one or more reminders for the person assuming supervisory role for the first time to certify compliance with the provided one or more policies.

25. The apparatus of claim 16, wherein said programming instructions, which when executed, cause the apparatus to receive employee information corresponding to at least one of an ID, a name, a location, a supervisor, and a function/department associated with the person within the organization.

26. The apparatus of claim 16, wherein said programming instructions, which when executed, cause the apparatus to store the received employee information corresponding to the change in a database having stored policies corresponding to at least one of an ID number, a name, compliance criteria, an pointer/pathnames of various associated materials.

27. The apparatus of claim 16, wherein said programming instructions, which when executed, cause the apparatus to retrieve relevant ones of the stored updated employee information in performing said automatic provision of one or more policies for compliance certification.

28. The apparatus of claim 16, wherein said programming instructions, which when executed, cause the apparatus to retrieve updated employee information corresponding to at least one of a location, a supervisor, and a function/department associated with the person.

29. The apparatus of claim 16, wherein said programming instructions, which when executed, cause the apparatus to generate and display materials related to the one or more policies at a client device of the person.

30. The apparatus of claim 16, wherein said programming instructions, which when executed, cause the apparatus to provide at least one of a training manual for review, and policy forms to be filled in.

31. An article of manufacture having stored therein a plurality of programming instructions, which when executed, the instructions cause a machine to receive a change of a person within an organization, the received change having employee information corresponding to the change of the person, store the received employee information corresponding to the change of the person in a database, update the database with the received employee information corresponding to the change of the person, and automatically provide, to the person, one or more policies for compliance certification, based at least in part on relevant parts of said updated employee information, to facilitate the organization'"'"'s compliance with the policies.

32. The article of manufacture of claim 31, wherein said programming instructions, which when executed, cause the machine to automatically provide, to the person, one or more human resource policies for compliance certification, based at least in part on the relevant parts of said employee information, to facilitate the organization'"'"'s compliance with the one or more human resource policies.

33. The article of manufacture of claim 31, wherein said programming instructions, which when executed, cause the machine to determine if the person has fully certified compliance with the provided one or more policies, and schedule one or more reminders for the person to certify compliance with the one or more policies.

34. The article of manufacture of claim 33, wherein said programming instructions, which when executed, cause the machine to schedule in accordance with one or more scheduling criteria of the one or more policies.

35. The article of manufacture of claim 34, wherein said programming instructions, which when executed, cause the machine to accept the one or more reminder scheduling criteria for the one or more policies.

36. The article of manufacture of claim 31, wherein said programming instructions, which when executed, cause the machine to determine if the person has a supervisory role, and provide, to the person, one or more additional policies for compliance certification, based at least in part on the result of said supervisory role of the person determination.

37. The article of manufacture of claim 36, wherein said programming instructions, which when executed, cause the machine to determine if the person has fully certified compliance with the further provided one or more additional policies, and schedule one or more reminders for the person to certify compliance with the additional provided one or more policies.

38. The article of manufacture of claim 31, wherein said programming instructions, which when executed, cause the machine to determine if another person has assumed a supervisory role for the first time as a result of said change of the person, and provide, to the person assuming the supervisory role for the first time, one or more policies for compliance certification, based at least in part on the result of said first assumption of supervisory role determination.

39. The article of manufacture of claim 38, wherein said programming instructions, which when executed, cause the machine to determine if the person assuming the supervisory role for the first time has fully certified compliance with the provided one or more policies, and scheduling one or more reminders for the person assuming supervisory role for the first time to certify compliance with the provided one or more policies.

40. The article of manufacture of claim 31, wherein said programming instructions, which when executed, cause the machine to receive employee information corresponding to at least one of an ID, a name, a location, a supervisor, and a function/department associated with the person within the organization.

41. The article of manufacture of claim 31, wherein said programming instructions, which when executed, cause the machine to store the received employee information corresponding to the change of the person in a database having stored policies corresponding to at least one of an ID number, a name, compliance criteria, an pointer/pathnames of various associated materials.

42. The article of manufacture of claim 31, wherein said programming instructions, which when executed, cause the machine to retrieve relevant ones of the stored updated employee information in performing said automatic provision of one or more policies for compliance certification.

43. The article of manufacture of claim 31, wherein said programming instructions, which when executed, cause the machine to retrieve updated employee information corresponding to at least one of a location, a supervisor, and a function/department associated with the person.

44. The article of manufacture of claim 31, wherein said programming instructions, which when executed, cause the machine to generate and display materials related to the one or more policies at a client device of the person.

45. The article of manufacture of claim 31, wherein said programming instructions, which when executed, cause the machine to provide at least one of a training manual for review, and policy forms to be filled in.