Compliance management using complexity factors

• US 20070061158A1
• 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: Fry, Greg, Jacksi, Kim, Lucero, Kathleen
• Application Number:
  US11/223,340
• Publication Number:
  US 20070061158A1
• Time in Patent Office: Days
• US Class Current: 705/1.100
• CPC Class Codes: G06Q 10/06 Resources, workflows, human or project management; Enterprise or organisation planning; Enterprise or organisation modelling

Abstract

Systems, methods, and machine-readable mediums are disclosed for managing compliance of legal obligations using complexity factors. In one embodiment, the method comprises receiving legal obligation information for a plurality of legal obligations and receiving a complexity factor for each of at least a subset of the legal obligations. The legal obligation information and the complexity factors are stored. A report categorizing at least a second subset of the legal obligations by the respective complexity factors is created and the report is displayed.

Claims

1. A method comprising:

receiving, at a compliance assurance system, legal obligation information for a plurality of legal obligations;

for at least a subset of the legal obligations, receiving, at the compliance assurance system, a complexity factor associated with the respective legal obligation;

storing, at the compliance assurance system, the legal obligation information and the complexity factors;

creating, with the compliance assurance system, a report categorizing at least a second subset of the legal obligations by the respective complexity factors; and

displaying the report.

2. The method of claim 1, wherein creating the report comprises determining the legal obligations requiring compliance assurance development work.

3. The method of claim 2, wherein the compliance assurance development work comprises creation of one or more compliance plans specifying at least one action to comply with the respective legal obligation.

4. The method of claim 2, wherein the compliance assurance development work comprises creation of one or more assurance plans specifying one or more actions to verify compliance with the respective legal obligation.

5. The method of claim 1, wherein creating the report comprises determining the legal obligations assigned to a user.

6. The method of claim 1, further comprising determining the complexity factor.

7. The method of claim 1, wherein the complexity factor for a first one of the legal obligations is determined based at least in part on the difficulty of validating compliance with the first legal obligation.

8. The method of claim 1, wherein the complexity factor for a first one of the legal obligations is determined based at least in part on whether the first legal obligation implements a new rule or a modification to an existing rule.

9. The method of claim 1, wherein the complexity factor for a first one of the legal obligations is determined based at least in part on whether compliance with the first legal obligation requires implementation of a new process.

10. The method of claim 1, further comprising:

receiving, at the compliance assurance system, compliance plan information specifying one or more actions to comply with a first one of the legal obligations; and

storing the compliance plan information.

11. The method of claim 10, further comprising changing a workflow status associated with the first legal obligation to indicate compliance assurance development is completed.

12. A compliance assurance system comprising:

a user interface to receive legal obligation information for a plurality of legal obligations and to receive a complexity factor for each of at least a subset of the legal obligations;

a data store to store the legal obligation information and the complexity factors;

logic, communicatively coupled with the user interface and the data store, to create a report categorizing at least a second subset of the legal obligations by the respective complexity factors; and

wherein the user interface is further configured to display the report.

13. The compliance assurance system of claim 12, wherein the logic is configured to create the report by at least determining the legal obligations requiring compliance plan development work.

14. The compliance assurance system of claim 12, wherein the complexity factor for a first one of the legal obligations is based at least in part on one or more of whether compliance with the first legal obligation requires implementation of a new process and the difficulty of validating compliance with the first legal obligation.

15. The compliance assurance system of claim 12, wherein the user interface is further configured to receive a compliance plan specifying at least one action to comply with a first one of the legal obligations and the data store is further configured to store the compliance plan.

16. The compliance assurance system of claim 12, wherein the user interface is further configured to receive an assurance plan specifying at least one action to verify compliance with a first one of the legal obligations and the data store is further configured to store the assurance plan.

17. At least one machine-readable medium having stored thereon sequences of instructions, which, when executed by a machine, cause the machine to perform the actions of:

receiving legal obligation information for a plurality of legal obligations;

for at least a subset of the legal obligations, receiving a complexity factor associated with the respective legal obligation;

storing the legal obligation information and the complexity factors;

creating a report categorizing at least a second subset of the legal obligations by the respective complexity factors; and

displaying the report.

18. The machine-readable medium of claim 17, wherein the instructions for creating the report comprise instructions, which, when executed by the machine, cause the machine to perform the actions of determining the legal obligations requiring compliance assurance development work.