Management of Compliance with Policies, Procedures and/or Directives

• US 20130073326A1
• Filed: 09/19/2011
• Published: 03/21/2013
• Est. Priority Date: 09/19/2011
• Status: Abandoned Application

• Current Assignee: Jordan Lawrence Group LC (Exterro Incorporated)
• Original Assignee: Jordan Lawrence Group LC (Exterro Incorporated)
• Inventors: Jordan, Bradley W., Lawrence, Alice M., Hansen, A. Martin
• Application Number:
  US13/235,979
• Publication Number:
  US 20130073326A1
• Time in Patent Office: Days
• US Class Current: 705/7.11
• CPC Class Codes: G06Q 10/06 Resources, workflows, human or project management; Enterprise or organisation planning; Enterprise or organisation modelling

Abstract

A system for overseeing implementations of organizational policies, procedures, and/or directives. A host identifies parties involved in the implementations and tracks implementation statuses by (a) issuing notices for access by the identified parties, (b) with each notice, providing actions selectable as a response to the notice, and (c) tracking responses by the identified parties. In response to a predefined event, a user device associated by the host with one of the identified parties polls the host to determine whether a notice is pending for the associated party, and if so, provides an alert. Based on a user response to the alert, the user device displays the pending notice via a browser, and sends to the host via the browser a user-selected response to the pending notice. The host leaves the notice pending until the host receives a user-selected response.

Claims

1. A system for overseeing the implementation of policies, procedures, and/or directives of an organization, the system comprising:

a host including one or more processors and memory configured to identify parties involved in implementations of policies, procedures, and/or directives of an organization, the host further configured to track statuses of the implementations by (a) issuing implementation notices for access by the identified parties, (b) providing with each notice one or more actions selectable as a response to the notice, and (c) tracking responses by the identified parties; and

a user device associated by the host with one of the identified parties, the user device configured to;

in response to an occurrence of a predefined event, poll the host to determine whether an implementation notice is pending for the associated one of the identified parties and provide an alert if an implementation notice is determined to be pending; and

based on a user response to the alert, display the pending notice via a browser of the user device, and send to the host via the browser a user-selected response, if any, to the pending notice;

the host further configured to leave the pending notice pending unless and until the host receives a user-selected response via one of one or more user-selectable links provided in the pending notice and corresponding to the one or more selectable actions.

2. The system of claim 1, wherein the predefined event comprises an expiration of a timer.

3. The system of claim 1, wherein each of the notices is related to a corresponding one of one or more implementation categories, the one or more implementation categories comprising one or more of the following:

a retention schedule, a policy schedule, and a document hold schedule.

4. The system of claim 1, wherein the predefined event comprises a push from a push service, the host further configured to signal the push service to issue the push.

5. The system of claim 1, wherein the user device comprises a mobile device.

6. The system of claim 1, wherein the user device comprises a laptop or desktop computer.

7. The system of claim 1, wherein the user device is further configured to use a web service messaging protocol to send a message to the host for a recipient, the host further configured to, upon being polled by a device associated by the host with the recipient, display the message, via a browser of the device associated by the host with the recipient, to the device associated by the host with the recipient.

8. The system of claim 7, wherein the message relates to one or more of the following:

a retention schedule, a policy schedule, and a document hold schedule.

9. The system of claim 1, wherein the host is further configured to confirm, without sending or receiving email:

(a) whether the user device opened a given implementation notice, (b) whether the user device closed the given implementation notice, and (c) whether the user device responded to the given implementation notice.

10. A method of overseeing the implementation of policies, procedures, and/or directives of an organization, the method comprising:

identifying parties involved in implementations of policies, procedures, and/or directives of an organization, the identifying performed by a host including a processor and memory;

the host tracking statuses of the implementations by (a) issuing implementation notices for access by the identified parties, (b) including in each notice one or more links by which one of one or more actions is selectable as a response to the notice, (c) tracking responses received from user devices associated with the identified parties and registered with the host, and (d) leaving an issued implementation notice pending unless and until a response to the notice is received through one of the one or more links;

in response to an occurrence of a predefined event, a user device associated with one of the identified parties polling the host to determine whether an implementation notice by the host is pending for the associated one of the identified parties and providing an alert if an implementation notice is determined to be pending;

based on a user response to the alert, the associated user device displaying the notice via a browser of the device;

the associated user device communicating to the host via the browser a response, if any, via a link selected by the user in the displayed notice; and

the host updating a status of the notice based on the responses, if any, to the alert and/or to the notice.

11. The method of claim 10, wherein the predefined event includes one or more of the following:

a timer expiration, and a push from a push service.

12. The method of claim 10, wherein the user device includes one or more of the following:

a mobile device, a laptop computer, and a desktop computer.

13. The method of claim 10, wherein the polling is performed periodically.

14. The method of claim 10, further comprising:

the user device sending a message to the host for a recipient via a web service messaging protocol; and

the host, upon being polled by a device associated by the host with the recipient, displaying the message to the device associated by the host with the recipient via a browser of the device associated by the host with the recipient.

15. A system for overseeing the implementation of policies, procedures, and/or directives of an organization, the system comprising:

a host including one or more processors and memory configured to identify parties involved in implementations of policies, procedures, and/or directives of an organization, the host further configured to track statuses of the implementations by (a) issuing implementation notices for access by the identified parties, (b) including in each notice one or more links by which one of one or more actions is selectable as a response to the notice, (c) tracking responses by the identified parties, and (d) leaving an issued implementation notice pending unless and until a response to the notice is received via one of the links; and

a user device associated by the host with one of the identified parties, the user device configured to;

in response to an occurrence of a predefined event, poll the host to determine whether an implementation notice is pending for the user device and provide an alert if an implementation notice is determined to be pending; and

based on a user response to the alert, display the pending notice via a browser of the user device, and transmit to the host via the browser and one of the links a user-selected response, if any, to the pending notice.

16. The system of claim 15, wherein a given notice corresponds to one of the following:

a retention schedule, an active holds list, and an active policies list.

17. The system of claim 15, wherein the alert identifies an implementation category of the pending notice.

18. The system of claim 15, wherein the alert comprises a popup.

19. The system of claim 15, wherein the polling of the host is performed periodically.

20. The system of claim 15, wherein the user device is further configured to use a web service messaging protocol to send a message to the host for a recipient, the host further configured to, upon being polled by a device associated by the host with the recipient, display the message, via a browser of the device associated by the host with the recipient, to the device associated by the host with the recipient.