Compliance assurance systems and methods

• US 20070061156A1
• Filed: 09/09/2005
• Published: 03/15/2007
• Est. Priority Date: 09/09/2005
• Status: Abandoned Application

• Current Assignee: Qwest Communications International Incorporated (Lumen Technologies, Inc.)
• Original Assignee: Qwest Communications International Incorporated (Lumen Technologies, Inc.)
• Inventors: Walker, Robert, Fry, Greg, Lucero, Kathleen, Garley, Elaine
• Application Number:
  US11/222,528
• Publication Number:
  US 20070061156A1
• Time in Patent Office: Days
• US Class Current: 705/9
• CPC Class Codes: G06Q 10/105 Human resources
• CPC Class Codes: G06Q 40/00 Finance; Insurance; Tax strategies; Processing of corporate or income taxes
• CPC Class Codes: G06Q 50/18 Legal services
• CPC Class Codes: G06Q 99/00 Subject matter not provided for in other groups of this subclass

Abstract

In one embodiment, a compliance assurance system is disclosed which comprises a user interface, logic, and a data store. The user interface is configured to receive a request from a user to display at least a subset of legal obligations assigned to the user and to display the subset of legal obligations. The logic is configured to obtain the subset of legal obligations from the data store. The data store includes a plurality of legal obligations and a plurality of compliance plans, each associated with one of the legal obligations. The compliance plans specify at least one action to comply with the associated legal obligation.

Claims

1. A compliance assurance system comprising:

a user interface to receive a request from a user to display at least a subset of legal obligations assigned to the user, the user interface further configured to display the subset of legal obligations;

logic, communicatively coupled with the user interface and a data store, the logic configured to obtain the subset of legal obligations from the data store; and

a data store including;

a plurality of legal obligations; and

a plurality of compliance plans, each associated with one of the legal obligations, the compliance plans specifying at least one action to comply with the associated legal obligation.

2. The compliance assurance system of claim 1, wherein the data store further includes a compliance plan notification associated with one of the compliance plans and wherein the logic is further configured to determine a trigger associated with the compliance plan notification has occurred and to transmit the compliance plan notification to a designated recipient.

3. The compliance assurance system of claim 2, wherein the compliance plan notification is associated with a recurrence frequency and wherein the logic is configured to determine the trigger based at least in part on the recurrence frequency.

4. The compliance assurance system of claim 1, wherein the data store further includes an assurance plan associated with one of the plurality of legal obligations, the assurance plan specifying one or more actions to verify compliance with the associated legal obligation.

5. The compliance assurance system of claim 4, wherein the data store further includes an assurance plan notification associated with the assurance plan and wherein the logic is further configured to transmit the assurance plan notification to a designated recipient upon determining a trigger associated with the assurance plan notification has occurred.

6. The compliance assurance system of claim 1, wherein the user interface is further configured to receive an evidence document including information illustrating compliance with one of the legal obligations, the logic is further configured to associate the evidence document with the respective legal obligation, and the data store is further configured to store the evidence document.

7. The compliance assurance system of claim 1, wherein the data store further includes a provision associated with one of the legal obligations and a provision compliance plan associated with the provision.

8. The compliance assurance system of claim 1, wherein at least one of the legal obligations comprises one of a federal regulation, a federal law, and a state law.

9. A method comprising:

receiving, at a compliance assurance system, legal obligation information, the legal obligation information including a description of a legal obligation and a candidate assurance owner responsible for verifying compliance with the legal obligation;

storing, with the compliance assurance system, the legal obligation information in a data store; and

transmitting, with the compliance assurance system, an assignment notification to the candidate assurance owner.

10. The method of claim 9, further comprising:

receiving, at the compliance assurance system, an indication the candidate assurance owner accepted responsibility for the legal obligation; and

changing a status associated with the legal obligation to an assigned status.

11. The method of claim 9, further comprising:

receiving, at the compliance assurance system, an indication the candidate assurance owner declined responsibility for the legal obligation; and

transmitting a notification to an administrator that the candidate assurance owner declined responsibility.

12. The method of claim 9, further comprising:

receiving, at the compliance assurance system, compliance plan information, the compliance plan information specifying one or more actions to comply with the legal obligation;

storing the compliance plan information in the data store; and

associating the compliance plan information with the legal obligation.

13. The method of claim 12, further comprising:

receiving a recurrence frequency for the compliance plan;

calculating, with the compliance assurance system, an occurrence date for one occurrence of the compliance plan using the recurrence frequency.

14. The method of claim 13, further comprising:

receiving, at the compliance assurance system, an update indicating the actions for one occurrence of the compliance plan have been completed;

receiving a document having compliance evidence;

associating the document with the compliance plan; and

storing the document in the data store.

15. The method of claim 12, further comprising scheduling, with the compliance assurance system, a compliance plan notification to notify a designated recipient of a compliance obligation due date associated with the compliance plan.

16. The method of claim 15, further comprising transmitting the compliance plan notification to the designated recipient.

17. The method of claim 12, further comprising after receiving the compliance plan information, changing a workflow status associated with the legal obligation to an implemented status.

18. The method of claim 9, further comprising:

receiving, at the compliance assurance system, an assurance plan specifying one or more actions to verify compliance with the legal obligation; and

storing the assurance plan in the data store.

19. The method of claim 18, further comprising:

receiving, at the compliance assurance system, an indication the assurance plan was executed; and

receiving a result of the assurance plan execution.

20. The method of claim 9, further comprising:

receiving, at the compliance assurance system, provision information for a provision of the legal obligation;

storing the provision information in the data store;

receiving a compliance plan associated with the provision, the compliance plan specifying one or more actions to comply with the provision; and

storing the compliance plan in the data store.