Method and System for Conducting a Compliance Audit

• US 20080281768A1
• Filed: 11/02/2007
• Published: 11/13/2008
• Est. Priority Date: 05/08/2007
• Status: Active Grant

• Current Assignee: Green Grade Solutions Limited
• Original Assignee: Policy Forecast Ltd.
• Inventors: Sadeh, Sharon
• Granted Patent: US 7,953,688 B2
• Time in Patent Office: Days
• US Class Current: 706/47
• CPC Class Codes: G06Q 10/10 Office automation; Time management

Abstract

In an embodiment of the invention, a method related to conducting a compliance audit, including accessing a database, the database including a rule set formulated from at least one requirement, wherein the database includes a knowledge base, accepting input regarding circumstance data, the circumstance data regarding a subject of the at least one requirement, applying the rule set to the input regarding circumstance data, and generating a compliance audit report based on applying the rule set to the input regarding circumstance data. In addition, other method, system, program product, and apparatus aspects are described in the claims, drawings, or text forming a part of the present disclosure.

Claims

1. A method for conducting a compliance audit comprising:

accessing a database, the database including a rule set formulated from at least one requirement, wherein the database includes a knowledge base;

accepting input regarding circumstance data, the circumstance data regarding a subject of the at least one requirement;

applying the rule set to the input regarding circumstance data; and

generating a compliance audit report based on applying the rule set to the input regarding circumstance data.

2. The method of claim 1, wherein accessing a database, the database including a rule set formulated from at least one requirement, wherein the database includes a knowledge base, further comprises:

accessing a database, the database including a rule set formulated from at least one requirement, wherein the database includes a knowledge base, and wherein the requirement includes a regulatory provision.

3. The method of claim 1, wherein accessing a database, the database including a rule set formulated from at least one requirement, wherein the database includes a knowledge base, further comprises:

accessing a database, the database including a rule set formulated from at least one requirement, wherein the database includes a knowledge base, and wherein the requirement includes a standard provision.

4. The method of claim 1, wherein accessing a database, the database including a rule set formulated from at least one requirement, wherein the database includes a knowledge base, further comprises:

accessing a database, the database including a rule set formulated from at least one requirement, wherein the database includes a knowledge base, and wherein the requirement includes a private rule provision.

5. The method of claim 1, wherein accepting input regarding circumstance data, the circumstance data regarding a subject of the at least one requirement, further comprises:

accepting input regarding circumstance data, the circumstance data regarding a subject of the at least one requirement, and wherein the requirement includes a regulatory provision.

6. The method of claim 1, wherein accepting input regarding circumstance data, the circumstance data regarding a subject of the at least one requirement, further comprises:

accepting input regarding circumstance data, the circumstance data regarding a subject of the at least one requirement, and wherein the requirement includes a standard provision.

7. The method of claim 1, wherein accepting input regarding circumstance data, the circumstance data regarding a subject of the at least one requirement, further comprises:

accepting input regarding circumstance data, the circumstance data regarding a subject of the at least one requirement, and wherein the requirement includes a private rule provision.

8. The method of claim 1, wherein accepting input regarding circumstance data, the circumstance data regarding a subject of the at least one requirement, further comprises:

accepting the input regarding circumstance data according to a data-driven approach.

9. The method of claim 1, wherein accepting input regarding circumstance data, the circumstance data regarding a subject of the at least one requirement, further comprises:

accepting the input regarding circumstance data according to a goal-driven approach.

10. The method of claim 1, wherein applying the rule set to the input regarding circumstance data, further comprises:

applying the rule set according to a data-driven approach.

11. The method of claim 1, wherein applying the rule set to the input regarding circumstance data, further comprises:

applying the rule set according to a goal-driven approach.

12. The method of claim 1, wherein the database includes a knowledge base, further comprising:

creating the knowledge base.

13. The method of claim 12, wherein creating the knowledge base further comprises:

modifying an existing knowledge base.

14. A system comprising:

circuitry configurable for accessing a database, the database including a rule set formulated from at least one requirement, wherein the database includes a knowledge base;

circuitry configurable for accepting input regarding circumstance data, the circumstance data regarding a subject of the at least one requirement;

circuitry configurable for applying the rule set to the input regarding circumstance data; and

circuitry configurable for generating a compliance audit report based on applying the rule set to the input regarding circumstance data.

15. The system of claim 14, further comprising:

circuitry configurable for creating the knowledge base.

16. An article comprising a medium storing instructions that, if executed by a processor-based system, enable the processor-based system to:

access a database, the database including a rule set formulated from at least one requirement, wherein the database includes a knowledge base;

accept input regarding circumstance data, the circumstance data regarding a subject of the at least one requirement;

apply the rule set to the input regarding circumstance data; and

generate a compliance audit report based on applying the rule set to the input regarding circumstance data.

17. The article of claim 16, further comprising a medium storing instructions that, if executed by a processor-based system, enable the processor-based system to:

create the knowledge base.

18. A system for conducting a compliance audit, the system comprising:

at least one first processor and at least one first memory operably coupleable to the at least one first processor, the first processor and the first memory operable to access a database, wherein the database includes a knowledge base, the knowledge base including a rule set, the rule set including rules formulated from at least one requirement;

an interface operable to accept input regarding circumstance data, the interface for accepting input regarding circumstance data operably coupleable to the at least one first processor and to the at least one first memory, the circumstance data regarding a subject of the at least one requirement;

at least one second processor and at least one second memory, the at least one second processor operably coupleable to the interface for accepting input regarding circumstance data, the at least one second processor and the at least one second memory operable to apply the rule set to the input regarding circumstance data; and

at least one third processor and at least one third memory, the at least one third processor and at least one third memory operable to generate a compliance audit, the at least one third processor and the at least one third memory operably coupleable to the at least one second processor for applying the rule set to the input regarding circumstance data, the compliance audit based on an application of the rule set to the input regarding circumstance data.

19. The system of claim 18, wherein the at least one first processor and at least one first memory operably coupleable to the at least one first processor, the first processor and the first memory operable to access a database, wherein the database includes a knowledge base, the knowledge base including a rule set, the rule set including rules formulated from at least one requirement, further comprises:

the at least one first processor and at least one first memory operably coupleable to the at least one first processor, the first processor and the first memory operable to access a database, wherein the database includes a knowledge base, the knowledge base including a rule set, the rule set including rules formulated from at least one requirement, wherein the at least one requirement includes a regulatory provision.

20. The system of claim 18, wherein the at least one first processor and at least one first memory operably coupleable to the at least one first processor, the first processor and the first memory operable to access a database, wherein the database includes a knowledge base, the knowledge base including a rule set, the rule set including rules formulated from at least one requirement, further comprises:

the at least one first processor and at least one first memory operably coupleable to the at least one first processor, the first processor and the first memory operable to access a database, wherein the database includes a knowledge base, the knowledge base including a rule set, the rule set including rules formulated from at least one requirement, wherein the at least one requirement includes a standard provision.

21. The system of claim 18, wherein the at least one first processor and at least one first memory operably coupleable to the at least one first processor, the first processor and the first memory operable to access a database, wherein the database includes a knowledge base, the knowledge base including a rule set, the rule set including rules formulated from at least one requirement, further comprises:

the at least one first processor and at least one first memory operably coupleable to the at least one first processor, the first processor and the first memory operable to access a database, wherein the database includes a knowledge base, the knowledge base including a rule set, the rule set including rules formulated from at least one requirement, wherein the at least one requirement includes a private rule provision.

22. The system of claim 18, wherein the interface operable to accept input regarding circumstance data, the interface for accepting input regarding circumstance data operably coupleable to the at least one first processor and to the at least one first memory, the circumstance data regarding a subject of the at least one requirement, further comprises:

the interface operable to accept input regarding circumstance data, the interface for accepting input regarding circumstance data operably coupleable to the at least one first processor and to the at least one first memory, the circumstance data regarding a subject of the at least one requirement, wherein the at least one requirement includes a regulatory provision.

23. The system of claim 18, wherein the accepting input regarding circumstance data, the circumstance data regarding a subject of the at least one requirement, further comprises:

the accepting input regarding circumstance data, the circumstance data regarding a subject of the at least one requirement, wherein the at least one requirement includes a standard provision.

24. The system of claim 18, wherein the accepting input regarding circumstance data, the circumstance data regarding a subject of the at least one requirement, further comprises:

the accepting input regarding circumstance data, the circumstance data regarding a subject of the at least one requirement, wherein the at least one requirement includes a private rule provision.

25. The system of claim 18, wherein the at least one first processor includes a knowledge base processor.

26. The system of claim 18, wherein the at least one first memory includes a knowledge base memory.

27. The system of claim 18, wherein the at least one second processor includes an application processor.

28. The system of claim 18, wherein the at least one second memory includes an application memory.

29. The system of claim 18, wherein the at least one third processor includes an audit processor.

30. The system of claim 18, wherein the at least one third memory includes an audit memory.

31. The system of claim 18, further comprising:

the knowledge base.