Computerized problem checking system for organizations

• US 5,774,866 A
• Filed: 09/26/1995
• Issued: 06/30/1998
• Est. Priority Date: 09/26/1995
• Status: Expired due to Fees

• Current Assignee: William J. Heller
• Original Assignee: Hannoch Weisman
• Inventors: Price, John, Sahner, Todd M., Horwitz, Lois, Mariano, Denise, Heller, William J.
• Primary Examiner(s): Weinhardt, Robert A.
• Assistant Examiner(s): Hughet, William N.
• Application Number:
  US08/534,011
• Time in Patent Office: 1,008 Days
• Field of Search: 395/207, 705/7, 705/8, 705/9
• US Class Current: 705/7.14
• CPC Class Codes: G06Q 10/063112 Skill-based matching of a person or a group to a task
• CPC Class Codes: G06Q 10/063114 Status monitoring or status determination for a person or group
• CPC Class Codes: G06Q 10/10 Office automation; Time management

Abstract

A computer system for checks for conflicts associated with proposed new matters in an organization which deals with numerous clients. The system compares data concerning potential relationships of a party to the organization with data denoting existing relationships and identifies potential problem situations where the client in a potential matter is the same as the client in an existing matter. For at least some of these matches, the system uses stored data defining associations between existing parties and persons within the organization to select one or more persons within the organization associated with the existing party, and sends a signal denoting the potential problem to one or more of the persons. The potential problem signal is selectively routed to only those persons concerned. These persons can signal the system that the problem does not exist, or that the problem has been resolved. The system can resolve potential conflicts rapidly while still providing thorough review.

Claims

1. A method of operating a computer system to check and clear relationship problems in an organization including a plurality of persons, comprising the steps of:

(a) providing computer-intelligible existing relationship data denoting one or more existing parties having existing relationships to the organization and an association between each said existing party and one or more persons within the organization;

(b) providing computer-intelligible potential relationship data denoting one or more potential matters and one or more potential parties associated with each said potential matter;

(c) actuating a computer system to compare the potential relationship data and the existing relationship data and identify a potential matter as having a match when a potential party associated with a potential matter matches an existing party;

(d) for at least some of said matches, performing a problem signaling routine in said computer system including the steps of (i) setting a potential problem status in said computer system for the potential matter having the match;

(ii) using said associations demonstrated by said data, automatically selecting one or more persons associated with each existing party included in the match as evaluators for such potential problem status; and

(iii) automatically sending a potential problem signal incorporating information about the match to the evaluators; and

(e) receiving problem clearance signals sent by said evaluators and automatically clearing potential problem statuses responsive to said problem clearance signals.

2. A method as claimed in claim 1 wherein said computer system is connected to a data transmission network, at least some of said persons having terminals connected to the network, said steps of sending and receiving said problem clearance signals being performed by sending said potential problem signals and said problem clearance signal via said network.

3. A method as claimed in claim 2 wherein said step of clearing potential problem statuses includes the step of clearing each such status promptly upon receipt of said problem clearance signals from a preselected set of said evaluators for such status.

4. A method as claimed in claim 3 further comprising the step of automatically setting a clear status with respect to each potential matter either promptly after said comparing step and said step of performing a problem signaling routine, if no potential problem status has been set with respect to said potential matter, or, if one or more potential problem statuses have been set for such potential matter, promptly after clearance of the last remaining potential problem status for such potential matter.

5. A method as claimed in claim 4 further comprising the step of receiving clearance denial signals sent by said evaluators and setting a clearance denied status for a potential matter in response to receipt of clearance denial signals from a preselected set of evaluators for a potential problem status associated with such matter.

6. A method as claimed in claim 5 wherein, in said step of providing potential matter data, a requesting person within the organization associated with each said potential matter supplies said potential matter data through said network.

7. A method as claimed in claim 5 wherein, in said step of providing potential matter data, a requesting person within the organization associated with each said potential matter supplies said potential matter data, the method further including the step of automatically providing an indication of each said clear status and each said denied status accessible through said network.

8. A method as claimed in claim 7 further comprising the step of automatically providing an indication of pending status accessible through said network for each potential matter for which a potential problem status has been set but not cleared, and for which no denied status has been set.

9. A method as claimed in claim 1 wherein said existing relationship data includes party-to-matter association data denoting one or more existing parties as involved in one or more existing matters and person role data denoting one or more persons within the organization as responsible for each existing matter, said step of automatically selecting one or more persons including the steps of selecting one or more existing matters for each existing party included in the match using said party to matter association data and, for each so-selected existing matter, selecting the person or persons responsible for such existing matter in accordance with said person role data.

10. A method as claimed in claim 1 wherein said existing relationship data and said potential relationship data include data defining one or more relationships of each existing and each potential party, the method further comprising the step of pretesting each said match by applying one or more testing rules to yield a potential problem result or a no potential problem result based upon the relationships for the existing and potential party involved in the match, said step of performing said problem signaling routine being performed for a match only if the testing step yields said potential problem result for the match.

11. A method as claimed in claim 10 wherein said existing relationship data includes existing party relationship type data categorizing each existing party in one or more categories of existing relationship to the organization and wherein said proposed relationship data includes potential relationship type data categorizing each potential party in one or more categories of potential relationship to the organization, said testing step including the step of comparing the party relationship type data for the existing and potential parties involved in a match.

12. A method as claimed in claim 11 wherein said categories of potential relationship are the same as said categories of existing relationship.

13. A method as claimed in claim 1 wherein said potential relationship data includes affiliation data denoting affiliated parties and an association of each said affiliated party with one or more of said potential parties, said step of comparing the potential relationship data with the existing relationship data including the step of identifying a proposed matter as having a match when one of said affiliated parties matches one of said existing parties.

14. A programming element for a computer system comprising a data storage medium and program data on said data storage medium for actuating a computer system to perform a method as claimed in claim 1 or claim 4 or claim 13.

15. A method as claimed in claim 1 wherein said step of actuating said computer system to identify an existing party and a potential party as matching one another when data designating the potential party and data designating the existing party correspond with one another to at least a preselected degree of correspondence.

16. A method as claimed in claim 1 wherein said preselected degree of correspondence is less than full correspondence of all elements of the data designating said potential and existing parties.

17. A method as claimed in claim 1 further comprising the step of providing party type data in said computer system defining a plurality of party types and a set of affiliation types for at least some of said party types, each such set of affiliation types including one or more affiliation types, said step of providing said potential relationship data including the steps of entering a party type to said computer system for each potential party, and, if a set of affiliation types is defined for such party type and automatically displaying queries requesting the identities of affiliates in each type included in the set.

18. A method as claimed in claim 1 further comprising the steps of actuating said computer system to execute a matter opening routine to establish a potential matter as an existing matter and automatically inhibiting said matter opening routine with respect to a potential matter if a potential problem status has been set for such potential matter and has not been cleared.

19. A method as claimed in claim 18 wherein said matter opening routine includes the step of automatically incorporating potential party data associated with the matter being opened into said existing party data.

20. A method of operating a computer system to check and clear relationship problems in an organization including a plurality of persons, at least some of whom are connected to a data transmission network, the method comprising the steps of:

(a) providing computer-intelligible existing relationship data denoting one or more existing parties having existing relationships to the organization and an association between each said existing party and one or more persons within the organization;

(b) providing computer-intelligible potential relationship data denoting one or more potential matters and one or more potential parties associated with each said potential matter;

(c) actuating a computer system to compare the potential relationship data and the existing relationship data and identify a potential matter as having a match when a potential party associated with a potential matter matches an existing party;

(d) for at least some of said matches, performing a problem signaling routine in said computer system including the steps of (i) setting a potential problem status in said computer system for the potential matter having the match;

(ii) using said associations demonstrated by said data, automatically selecting one or more persons associated with each existing party included in the match as evaluators for such potential problem status; and

(iii) automatically sending a potential problem signal through said network incorporating information about the match to the evaluators; and

(e) receiving problem clearance signals and clearance denial signals sent by said evaluators through said network and automatically either clearing each potential problem status responsive to problem clearance signals or setting a clearance denied status responsive to said clearance denial signals,

wherein, in said step of providing potential matter data, a requesting person within the organization associated with each said potential matter supplies said potential matter data through said network, the method further comprising the step of automatically providing an indication of pending status accessible through said network to the requesting person associated with such potential matter for each potential matter for which a potential problem status has been set but not cleared, and for which no clearance denied status has been set, such indication including an indication of the identity of the evaluator or evaluators for each potential problem status which has been set but not yet cleared for such potential matter.

21. A method as claimed in claim 20 wherein said indication of pending status includes information as to each evaluator stating whether all potential conflicts associated with the potential matter and assigned to that evaluator have been cleared.

22. A method of operating a computer system to check and clear relationship problems in an organization including a plurality of persons, comprising the steps of:

(a) providing computer-intelligible existing relationship data denoting one or more existing parties having existing relationships to the organization and an association between each said existing party and one or more persons within the organization;

(b) providing computer-intelligible potential relationship data denoting one or more potential matters and one or more potential parties associated with each said potential matter;

(c) actuating a computer system to compare the potential relationship data and the existing relationship data and identify a potential matter as having a match when a potential party associated with a potential matter matches an existing party;

(d) for at least some of said matches, performing a problem signaling routine in said computer system including the steps of (i) setting a potential problem status in said computer system for the potential matter having the match;

(ii) using said associations demonstrated by said data, automatically selecting one or more persons associated with each existing party included in the match as evaluators for such potential problem status; and

(iii) automatically sending a potential problem signal incorporating information about the match to the evaluators;

(e) receiving problem clearance signals sent by said evaluators and automatically clearing potential problem statuses responsive to said problem clearance signals; and

(f) actuating said computer system to execute a matter opening routine to establish a potential matter as an existing matter and to (i) present data representing policy attributes pertaining to each potential matter to a predetermined set of policy attribute evaluators (ii) receive policy attribute clearance signals from said policy attribute evaluators; and

(ii) inhibit said matter opening routine until policy attribute clearance signals have been received from a preselected set of said policy attribute evaluators.

23. A method as claimed in claim 22 wherein said step of providing said proposed relationship data includes the steps of entering data representing said policy attributes for each said proposed relationship.

24. A method as claimed in claim 22 wherein said data representing policy attributes includes data pertaining to prior financial transactions between the organization and a potential party in the potential matter, whereby the policy evaluators can evaluate the credit worthiness of the potential party.

25. A computer system for checking and clearing relationship problems in an organization including a plurality of persons at a plurality of distributed locations comprising:

(a) a plurality of terminals disposed at said locations;

(b) a data communications network connected to said terminals;

(c) existing-relationship memory means for storing computer-intelligible existing relationship data denoting one or more existing parties having existing relationships to the organization and an association between each said existing party and one or more persons within the organization;

(d) potential-relationship memory means for storing computer-intelligible potential relationship data denoting one or more potential matters and one or more potential parties associated with each said potential matter;

(e) processor means connected to said memory means for comparing the potential relationship data and the existing relationship data, identifying a potential matter as having a match when a potential party associated with a potential matter matches an existing party; and

, for at least some of said matches, performing a problem signaling routine including the steps of (i) setting a potential problem status for the potential matter having the match;

(ii) using said person association data, automatically selecting one or more persons associated with each existing party included in the match as evaluators for such potential problem status; and

(iii) sending a potential problem signal incorporating information about the potential problem status through said data communications network and terminals to the evaluators.

26. Apparatus as claimed in claim 25 wherein said processor means includes means for receiving problem clearance signals sent by said evaluators through said data communications network and automatically clearing potential problem statuses responsive to said problem clearance signals.

27. Apparatus as claimed in claim 26 further comprising address storage means for storing addresses for persons, each such address denoting one said terminal associated with each person, and wherein said processor means includes means for actuating said data communications network to deliver each potential problem signal to only those terminals associated with the evaluators for the potential problem.

28. Apparatus as claimed in claim 27 further comprising means for displaying an audio or video signal at said terminals to indicate the arrival of a potential problem signal.