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Method and system for rule-base compliance, certification and risk mitigation

  • US 20050228685A1
  • Filed: 04/30/2004
  • Published: 10/13/2005
  • Est. Priority Date: 04/07/2004
  • Status: Active Grant
First Claim
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1. A system to carry out, facilitate, oversee or otherwise manage rule-base compliance, certification and/or risk mitigation management, comprising:

  • one or more computing devices, including one or more processing means for processing data and one or more storing means for storing and archiving data;

    one or more inputting means for inputting criteria information representative of one or more entities and one or more rule-base structures, wherein the one or more rule-base structures comprise text, information, obligations, rights, expectations and documents associated with one or more particular rules;

    a knowledge base, comprising the one or more rule-base structures;

    one or more profiling modules, wherein the one or more profiling modules analyze the criteria information of the one or more entities in relation to the one or more rule-base structures;

    one or more assessment of impact modules, wherein the assessment of impact modules determine the relevancy of the one or more rule-bases relative to one or more entities and provide one or more impact assessments determining relevancy of the one or more rule-bases based on the one or more profiling modules of the one or more entities and determining relevancy of the one or more rule-base structures to the one or more entities, further wherein the one or more impact assessments may be provided at any time;

    one or more document solution modules, wherein the one or more document solution modules generate one or more documents relevant to various general aspects of the one or more rule-base structures and managing of compliance efforts or status relative to one or more rule-bases, further wherein the one or more document solution modules interact with the one or more profiling modules such that the one or more document solution modules may be accessed and provided at any time;

    one or more auditing modules, wherein the one or more auditing modules monitors, assesses, evaluates, records and determines compliance efforts, status and relevant documentation at a particular moment in time relating to the one or more entities in accordance with the one or more rule-bases and the relevant one or more rule-base structures at any time as determined by the one or more profiling modules at any time; and

    one or more customizable documentation means, wherein the one or more customizable documentation means generates documents of the one or more rule-base structures, such that only documents associated with the relevant aspects of the one or more rule-base structures to the one or more entities are generated and produced, based upon one or more particular instances, events, parties, requests, contracts, related matters, or the one or more the profiling modules at any time.

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