AUDITING, COMPLIANCE, MONITORING, AND COMPLIANCE MANAGEMENT

• US 20160232536A1
• Filed: 04/18/2016
• Published: 08/11/2016
• Est. Priority Date: 08/28/2012
• Status: Abandoned Application

• Current Assignee: Nextlogik, Inc.
• Original Assignee: Nextlogik, Inc.
• Inventors: CAPELLMAN, Jarred, COUSER, Kirk
• Application Number:
  US15/131,926
• Publication Number:
  US 20160232536A1
• Time in Patent Office: Days
• US Class Current: 1/1
• CPC Class Codes: G06Q 10/0637 Strategic management or analysis, e.g. setting a goal or target of an organisation; Planning actions based on goals; Analysis or evaluation of effectiveness of goals
• CPC Class Codes: G06Q 30/018 Certifying business or products

Abstract

Compliance auditing and management is provided by defining business or enterprise assets, comprising receiving, from the business or enterprise variables that meet business needs of the business or enterprise as a user. Users, locations and audit templates are added. Questions to be provided to the user are entered and compliance criteria used in answering the questions and associating the compliance criteria with the questions are added. Compliance activity information from the user is received and the compliance activity information from the user to the questions is applied. Compliance activity for the user to generate a database of deployed compliance activities is scheduled and the database of deployed compliance activities is used to conduct compliance activity. The database of deployed compliance activities or the conducted compliance activity is used to generate files and incidents. The database of deployed compliance activities is used to generate compliance activity reporting.

Claims

1. A method of providing compliance auditing and management comprising:

establishing a set of compliance criteria;

providing a sensor capable of monitoring at least one condition for compliance and capable of communicating with a mobile networked communication device;

pairing the sensor with the mobile networked communication device using a short range wireless communication link;

providing data from the sensor to the networked communication device in a format compatible with an operating system of the mobile networked communication device, using filename conventions and other data characteristics are in a format compatible with network communication;

transmitting the data, comprising the monitored condition, from the sensor to a monitoring server, such that the transmitted data comprising the monitored condition, such that the monitoring server can derive a time profile of the monitored condition;

monitoring at least one condition identified by the compliance criteria; and

monitoring process to be monitored over time and monitored as a time-condition series.

2. The method of claim 1, further comprising real-time communications.

3. The method of claim 1, further comprising on demand auditing and compliance management.

4. The method of claim 1, further comprising:

defining business or enterprise assets, comprising receiving, from the business or enterprise variables that meet business needs of the business or enterprise as a user;

adding users, locations and audit templates;

entering questions to be provided to the user;

adding compliance criteria used in answering the questions and associating the compliance criteria with the questions;

receiving compliance activity information from the user;

applying the compliance activity information from the user to the questions;

scheduling compliance activity for the user to generate a database of deployed compliance activities;

using the database of deployed compliance activities to conduct compliance activity;

using the database of deployed compliance activities or the conducted compliance activity to generate files and incidents; and

using the database of deployed compliance activities to generate compliance activity reporting.

5. The method of claim 4, further comprising:

scheduling the compliance activity by assigning and deploy the compliance activity immediately to be given or scheduling the compliance activity for a pre-determined time and place;

notifying the user of the deployed or scheduled compliance, thereby permitting the user to review questions, scoring and criteria associated with the compliance activities; and

receiving requests for modifications for supervisory determination of the requests for modifications.

6. The method of claim 4, further comprising:

allowing a compliance agent to initiate an “

incident”

associated with a specific question or the activity, thereby allowing for predetermined procedure of escalation by the user.

7. A method of providing compliance auditing and management comprising:

identifying a set of enterprise assets for monitoring;

identifying compliance activity for monitoring the identified assets;

establishing a set of compliance criteria for monitoring the identified assets in accordance with needs of the enterprise and identified standards;

assign and deploy the compliance activity for performance immediately or scheduled for a pre-determined time and place;

presenting the compliance activity for review by an operator;

customizing monitoring the identified assets in accordance with at least one of the review by the operator and information obtained from previous audits;

associating a score value to the compliance activity;

scheduling deployment of the monitoring;

providing a sensor capable of monitoring at least one condition for compliance and capable of communicating with a mobile networked communication device;

pairing the sensor with the mobile networked communication device using a short range wireless communication link;

providing data from the sensor to the networked communication device in a format compatible with an operating system of the mobile networked communication device, using filename conventions and other data characteristics are in a format compatible with network communication;

transmitting the data, comprising the monitored condition, from the sensor to a monitoring server, such that transmitted data monitored condition, such that the monitoring server can derive a time profile of the monitored condition;

monitoring at least one condition identified by the compliance criteria;

monitoring process to be monitored over time and monitored as a time-condition series;

providing at least one of generated files, comments, incident reports and deployed compliance activities in response to the monitored condition;

storing the generated files, comments, incident reports and deployed compliance activities in a file; and

providing an alert or notification based on the monitored condition.

8. The method of claim 7, further comprising:

defining business or enterprise assets, comprising receiving, from the business or enterprise variables that meet business needs of the business or enterprise as a user;

adding users, locations and audit templates;

entering questions to be provided to the user;

adding compliance criteria used in answering the questions and associating the compliance criteria with the questions;

receiving compliance activity information from the user;

applying the compliance activity information from the user to the questions;

scheduling compliance activity for the user to generate a database of deployed compliance activities;

using the database of deployed compliance activities to conduct compliance activity;

using the database of deployed compliance activities or the conducted compliance activity to generate files and incidents; and

using the database of deployed compliance activities to generate compliance activity reporting.

9. The method of claim 8, further comprising:

scheduling the compliance activity by assigning and deploy the compliance activity immediately to be given or scheduling the compliance activity for a pre-determined time and place;

notifying the user of the deployed or scheduled compliance, thereby permitting the user to review questions, scoring and criteria associated with the compliance activities; and

receiving requests for modifications for supervisory determination of the requests for modifications.

10. The method of claim 8, further comprising:

allowing a compliance agent to initiate an “

incident”

associated with a specific question or the activity, thereby allowing for predetermined procedure of escalation by the user.