Online regulatory compliance system and method for facilitating compliance

• US 20040139053A1
• Filed: 12/23/2003
• Published: 07/15/2004
• Est. Priority Date: 01/04/2002
• Status: Abandoned Application

• Current Assignee: Gregory D. Haunschild
• Original Assignee: Gregory D. Haunschild
• Inventors: Haunschild, Gregory D.
• Application Number:
  US10/744,497
• Publication Number:
  US 20040139053A1
• 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 perpetually auditing compliance with rules and regulations emanating from government and other regulatory agencies comprising the steps of providing a secured, interactive web site system hosted by at least one computer server, accessibility to the web-based system limited to authorized users. Subject items specific for an authorized user are identified. The subject items preferably comprise facility sites, equipment located at the facility sites and operational activities occurring on the sites, the facility sites, equipment and operational activities being subject to regulatory compliance. Rgulatory compliance requirements that are applicable for substantially each identified subject item are then determined. The regulatory compliance requirements are continuously updated for the identified subject items and the status of each of the identified subject items is periodically checked to determine applicability of the regulations. Compliance requirements reports are provided to one or more persons responsible for compliance. To ensure compliance by company personnel, repeated reminders are generated to one or more persons responsible for accomplishing compliance.

Claims

1. A method for perpetual compliance auditing comprising:

(a) providing a secured, interactive web-based system, accessibility to the web-based system limited to authorized users;

(b) identifying subject items specific for an authorized user;

(c) determining regulatory compliance requirements applicable for substantially each subject item identified in step (b);

(d) providing compliance requirements reports comprising specific subject items and their related regulatory compliance requirements to one or more persons responsible for compliance;

(e) generating repeated reminders to one or more persons responsible for accomplishing compliance until the compliance requirement is completed or no longer applicable.

2. The method of claim 1 wherein the web-based system is accessible on the World Wide Web.

3. The method of claim 1 wherein the subject items comprise facility sites, equipment located at the facility sites and operational activities occurring on the sites, the facility sites, equipment and operational activities being subject to regulatory compliance.

4. The method of claim 3 wherein the facility site comprises land, structures and buildings on the land, and personnel located at the facility site.

5. The method of claim 1 wherein regulatory compliance data comprises a summary of applicable and potentially applicable compliance requirements data for each subject item, the compliance requirements data emanating from one or more laws, statutory codes, government rules, regulations, permit requirements, required tasks, required actions associated with rules and regulations, standards, policies, procedures and guidelines of one or more regulatory authorities.

6. The method of claim 5 wherein the one or more regulatory authorities comprise government legislatures, government agencies, industry associations, and company organizations.

7. The method of claim 5 wherein the summary of regulatory compliance data further comprises required data selected from a group of required data comprising tasks for compliance, routine operational procedures necessary for compliance, exemptions from requirements, timing information and compliance triggers necessary to fulfill regulatory compliance requirements for identified subject items.

8. The method of claim 5 further comprising the step of formatting the regulatory compliance data as a report listing a summary of the applicable compliance requirements for identified subject items and potentially applicable compliance requirements for identified subject items.

9. The method of claim 8 wherein the compliance requirements summary report includes reasons for applicability of the compliance data requirements for identified subject items and reasons the potentially applicable compliance requirements are not currently applicable.

10. The method of claim 1 wherein the reports comprise one or more site information reports, one or more equipment information reports, one or more inventory reports, one or more applicable site rules reports, one or more applicable equipment rules reports, one or more permit conditions reports, one or more potentially applicable site rules reports, one or more potentially applicable equipment rules reports, one or more task summary reports, one or more task compliance reports, one or more checklists, one or more compliance tables, one or more equipment query reports, one or more audit manuals and combinations thereof.

17. The method of claim 1 further providing links to full text of applicable and potentially applicable compliance requirements data for each subject item, the compliance requirements data emanating from one or more laws, statutory codes, government rules, regulations, permit requirements, required tasks, required actions associated with rules and regulations, standards, policies, procedures and guidelines of one or more regulatory authorities.

11. The method of claim 11 wherein the audit manual comprises a company profile, the profile comprising a specific facility site, equipment and operational activities for the specific facility site and the regulatory compliance requirements related to the facility site, equipment and operational activities.

12. The method of claim 11 further comprising the step of continuously updating the regulatory compliance requirements for the identified subject items listed in the audit manual so that compliance requirement data is evergreen.

13. The method of claim 12 wherein the step of continuously updating the compliance requirements comprises updating the regulatory compliance data and status of the facility site, equipment and operational activities.

14. The method of claim 13 wherein reminders are sent to the responsible person to update the compliance status of the equipment and operational activities.

15. The method of claim 12 wherein the updated compliance requirements are repeatedly provided to the responsible person for carrying out compliance requirements until the requirement is completed or no longer applicable.

16. The method of claim 11 wherein the step of updating regulatory compliance requirements is substantially simultaneous to public notice of changes to the requirements.

18. A method for perpetual compliance auditing comprising:

(a) providing a secured, interactive web-based system, accessibility limited to authorized users;

(b) identifying subject items specific for an authorized user;

(c) providing one or more software programs comprising databases on the web-based system, the databases comprising subject items, the subject items comprising site locales, buildings, personnel, equipment and operational activities subject to compliance;

(d) identifying site locales, buildings, personnel, equipment, and operational activities specific to a facility site belonging to the authorized user;

(e) determining the regulatory compliance requirements for substantially each site locale, buildings, personnel, piece of equipment, or operational activity identified in step (d) based upon regulatory compliance data and subject items provided in the one or more databases;

(f) generating one or more reports for tracking compliance with requirements determined in step (e) for each site locale, buildings, personnel, piece of equipment or operational activity identified in step (d), the reports comprising a summary of compliance rules and regulations, tasks, permits, and required actions for the identified site locale, buildings, personnel, equipment or operational activity, the timing for completion of tasks, permits, and required actions, if any, and a listing of one or more responsible persons for accomplishing compliance for the identified site locale, equipment or operational activity.

19. The method of claim 18 wherein the required actions comprise routine operational procedures under compliance and compliance triggers.

20. The method of claim 18 wherein the one or more reports provides check lists for indicating when a compliance requirement is completed and the subject item is in compliance with rules.

21. The method of claim 18 further comprising updating the one or more reports with updated regulatory compliance requirement data and updated equipment and activity data.

22. The method of claim 18 wherein the updated compliance requirement data is repeatedly provided to a responsible person until the requirement is completed or no longer applicable.

23. The method of claim 18 further comprising the step of sending reminders to responsible persons up through the management chain until the recommended tasks for compliance are no longer applicable.

24. The method of claim 18 further comprising the step of sending repeated reminders to the one or more responsible persons regarding routine operational procedures for which compliance requirements are continuous.

25. The method of claim 18 further comprising the step of sending reminders to the one or more responsible persons to update the compliance status of the identified subject items.

26. The method of claim 18 further comprising one or more interactive functions, the interactive functions comprising a query, sort and find function for determining regulatory compliance data applicable to identified subject items, a continuous reminder function and a reporting function to generate reports and reminders for the one or more responsible persons.

27. A method for perpetual compliance auditing comprising:

(a) providing a secured, interactive web-based system;

(b) inputting regulatory compliance data and subject items into one or more databases, the databases selected from a group of databases comprising relational databases, object oriented databases and combinations thereof;

accessibility to the databases limited to authorized client users;

(c) identifying one or more subject items input in step (b) that are applicable to a specific user with the use of a query, sort and find function;

(d) using a computer data processor, determining compliance requirements, required tasks for compliance and compliance triggers necessary to fulfill compliance requirements for substantially each identified subject item;

(e) using a report function to generate one or more reports;

(f) providing a summary of compliance requirements, timing, exemptions, required tasks and triggers to a responsible person for carrying out compliance tasks;

(g) repeatedly reminding the responsible person regarding compliance requirement data of specific actions required by specific compliance dates until the identified subject item is in compliance or the requirement is no longer applicable;

(h) repeatedly reminding the responsible person regarding compliance requirements for routine operations activities.

28. The method of claim 27 wherein the compliance requirement data is provided to a responsible person according to preset time triggers.

29. The method of claim 27 wherein reports comprise an audit manual.

30. The method of claim 27 further comprising the step of formatting the regulatory compliance data as a summary of applicable compliance requirements for identified subject items and potentially applicable compliance requirements for identified subject items.

31. The method of claim 30 further including the step of reporting the reasons for applicability of compliance data requirements and reasons why potentially applicable requirements are not currently applicable.

32. A method for generating a perpetual audit manual comprising:

(a) providing a secured, interactive web-based system, accessibility limited to authorized users;

(b) providing one or more software programs comprising a company profile of subject items, the subject items comprising one or more facility sites, equipment and operational activities related to the facility sites, the facility sites, equipment and operational activities subject to regulatory compliance, the software program further comprising regulatory compliance requirements for the one or more facility sites, equipment and operational activities;

(c) determining regulatory compliance requirements for substantially each specific facility site, equipment or operational activity identified in step (b);

(d) providing compliance requirements reports, the reports comprising one or more summaries of applicable compliance requirements for the specific facility site and substantially all of the equipment and operational activities at the site, the reports further comprising potentially applicable compliance requirements for the specific site and substantially all of the equipment and operational activities at the site locale;

(e) reporting the reasons for applicability of compliance data requirements for the specific site locale and substantially all of the equipment and operational activities at the site locale and reasons for potential applicability; and

(f) periodically updating compliance requirements reports with new regulatory compliance requirement data and updated subject item data;

(g) repeatedly reporting the updated regulatory compliance requirement data to one or more responsible persons for accomplishing compliance for the specific site locale and the equipment and operational activities at the specific site locale until the requirement is completed or no longer applicable;

(h) generating one or more check lists for task compliance and operating activities compliance based on steps (d) through (g).

33. The method of claim 32 wherein the check list comprises due date, completion date and person responsible for task compliance or operating activity compliance.

34. The method of claim 33 wherein one or more responsible persons are repeatedly reminded of the updated compliance requirement data and specific actions required for compliance according to the updated compliance requirements.

35. The method of claim 34 further comprising the step of continuously reminding one or more responsible persons regarding compliance requirements for routine operations tasks.

43. The compliance system of claim 41 wherein the means for perpetually auditing the compliance of subject items with the applicable compliance requirements and potentially applicable compliance requirements is a perpetual audit manual generated according to claim 32.

36. A method for perpetual compliance auditing comprising:

(a) providing a secured, interactive web site, accessibility to the one or more databases limited to authorized users;

(b) identifying specific subject items subject to regulatory compliance applicable for a specific user;

(c) determining regulatory compliance requirements for substantially each specific subject item identified in step (b);

(d) generating a compliance audit manual for tracking compliance with requirements determined in step (c) for subject items identified in step (b), the audit manual comprising identified subject items, a summary of compliance requirement data for identified subject items and a listing of one or more responsible persons for accomplishing compliance for the subject items;

(e) continuously updating audit manual with updated regulatory compliance requirement data and updated subject item data;

(f) reporting the reasons for applicability of compliance data requirements for specific subject items and reasons why potentially applicable requirements are not currently applicable; and

(g) perpetually reporting the updated regulatory compliance requirement data to the one or more responsible persons for accomplishing compliance for the subject items until requirement is no longer applicable.

37. The method of claim 36 further including the step of periodically providing new compliance requirement data for updated subject items to one or more responsible persons.

38. The method of claim 36 further including the step of periodically providing reminders to one or more responsible persons to update the status of subject items.

39. The method of claim 36 further comprising one or more check lists, the check list comprising a due date, a completion date and a person responsible for accomplishing compliance.

40. A compliance system comprising:

a web-based system hosted by a server, the web-based system accessible by multiple computers;

a data structure located on the server comprising compliance data, a summary of compliance requirements and subject items subject to compliance;

one or more secured, interactive web pages accessible to authorized users for enabling users to determine applicable compliance requirements and potentially applicable compliance requirements for specific subject items;

means for notifying a responsible person of an authorized user about the applicable compliance requirements, the potentially applicable compliance requirements, one or more tasks and one or more required operating activities for specific subject items;

hyperlinks to one or more regulatory databases comprising full text of compliance requirements, permits and required tasks;

means for perpetually auditing the compliance of specific subject items to determine updated status of subject items and compliance with requirements; and

means for reminding the responsible person to comply with updated compliance requirements.

41. A compliance system comprising:

a web-based system hosted by a server, the web-based system accessible by multiple computers;

a data structure on the server accessible through the web-based system, the data structure comprising subject items, regulatory compliance data, the regulatory compliance data comprising compliance requirements, a summary of compliance rules, operating activities requiring compliance and tasks required for compliance;

hyperlinks to one or more government regulatory databases comprising full text of compliance requirements;

a software program for comparing the compliance requirements to the government regulatory database for updating the compliance requirements;

means for perpetually auditing the compliance of specific subject items with the updated applicable compliance requirements and potentially applicable compliance requirements to determine updated status of subject items; and

means for reminding one or more responsible persons of the authorized user to comply with updated compliance requirements.

42. The compliance system of claim 41 wherein the means for reminding one or more responsible persons is an automated email system.

44. The compliance system of claim 41 wherein the subject items comprise facility sites, equipment located at the facility sites and operational activities occurring on the sites, the facility sites, equipment and operational activities being subject to regulatory compliance.

45. The compliance system of claim 41 wherein the facility site comprises land, structures and buildings on the land and people located at the facility site.

46. The compliance system of claim 41 wherein regulatory compliance data comprises a summary of applicable and potentially applicable compliance requirements data for each subject item, the compliance requirements data emanating from one or more laws, statutory codes, government rules, regulations, permit requirements, required tasks, required actions associated with rules and regulations, standards, policies, procedures and guidelines of one or more regulatory authorities.

47. The compliance system of claim 46 wherein the one or more regulatory authorities comprise government legislatures, government agencies, industry associations, and company organizations.

48. The compliance system of claim 46 wherein the summary of regulatory compliance data further comprises required data selected from a group of required data comprising tasks for compliance, routine operational procedures required for compliance, exemptions from requirements, timing information and compliance triggers necessary to fulfill regulatory compliance requirements for identified subject items.

49. The compliance system of claim 46 further comprising the step of formatting the regulatory compliance data as a report listing a summary of the applicable compliance requirements for identified subject items and potentially applicable compliance requirements for identified subject items.

50. The compliance system of claim 49 wherein the compliance requirements summary report includes reasons for applicability of the compliance data requirements for identified subject items and reasons why potentially applicable requirements are not currently applicable.