Method and system for rule-base compliance, certification and risk mitigation

• US 7,672,884 B2
• Filed: 04/30/2004
• Issued: 03/02/2010
• Est. Priority Date: 04/07/2004
• Status: Active Grant

• Current Assignee: Simpliance Incorporated
• Original Assignee: Simpliance Incorporated
• Inventors: Dunaway, John Clopton, Schuster, James V., Keen, Gifford, Vibbert, Mitchell
• Primary Examiner(s): Trammell; James P
• Assistant Examiner(s): Merchant; Shahid R
• Application Number:
  US10/836,736
• Publication Number:
  US 20050228685A1
• Time in Patent Office: 2,132 Days
• Field of Search: 705/35, 705/1, 705/7, 705/8
• US Class Current: 705/35
• CPC Class Codes: G06Q 10/0639 Performance analysis of employees; Performance analysis of enterprise or organisation operations
• CPC Class Codes: G06Q 30/018 Certifying business or products
• CPC Class Codes: G06Q 40/00 Finance; Insurance; Tax strategies; Processing of corporate or income taxes
• CPC Class Codes: G06Q 40/08 Insurance

Abstract

The present invention relates to a system and method for carrying out, facilitating, overseeing and otherwise managing initial and ongoing compliance, certification, risk mitigation and/or loss prevention, as it relates to a rule by analyzing and arranging the rule into a set of algorithms and documents. Information about an entity is input, compared to the rule by way of a set of algorithms, documented, and a report setting forth the compliance requirements and then-current compliance with the rule of the entity is provided. The entity is also provided with any documents required to ensure compliance with the rule.

Claims

1. A system to enable rule-base compliance, certification and/or risk mitigation management, comprising:

one or more computing devices, including one or more processing means for processing data and one or more storing means for storing and archiving data;

one or more inputting means for inputting criteria information representative of one or more entities;

a knowledge base, comprising one or more rule-base structures saved in the system, wherein the one or more rule-base structures comprise one or more decision trees, one or more document templates, and one or more programmed decision trees, wherein;

the one or more decision trees represent one or more rule-bases relating to the rules of an authoritative body and comprise questions related to facilitating compliance, certification, risk mitigation management, or combinations thereof, with respect to the one or more rule-bases, wherein the questions are developed through the use of an authoring tool,

the one or more document templates are configured to be completed based on the criteria information inputted by the one or more entities in response to the questions posed by the one or more decision trees, and

the programmed decision trees comprise computer-readable files representing the decision trees and are configured to be processed by a separate software engine;

one or more profiling modules, wherein the one or more profiling modules;

analyze the criteria information of the one or more entities in relation to the one or more rule-base structures, determine the relative compliance, certification and/or risk mitigation position of the one or more entities to the rule-base, and determine the next one or more questions to be set forth to elicit further criteria information;

one or more assessment of impact modules, wherein the assessment of impact modules determine the relevancy of the one or more rule-bases relative to one or more entities and provide one or more impact assessments determining relevancy of the one or more rule-bases based on the one or more profiling modules of the one or more entities and determining relevancy of the one or more rule-base structures to the one or more entities, further wherein the one or more impact assessments are configured to be provided at any time;

one or more document solution modules, wherein the one or more document solution modules generate one or more documents relevant to various general aspects of the one or more rule-base structures and managing of compliance efforts or status relative to one or more rule-bases, further wherein the one or more document solution modules interact with the one or more profiling modules such that the one or more document solution modules are configured to be accessed and provided at any time; and

wherein the knowledge base and rule-base structures are separate from the profiling module, the assessment of impact module, and the document solution module such that a modification to the knowledge base or a rule-base structure does not require a modification to the profiling module, the assessment of impact module, or the document solution module.

2. The system according to claim 1, further comprising:

one or more customizable documentation means, wherein the one or more customizable documentation means generates documents based on the criteria information and the one or more rule-base structures, such that only documents associated with the relevant aspects of the one or more rule-base structures to the one or more entities are generated and produced, based upon one or more particular instances, events, parties, requests, contracts, related matters, or the one or more the profiling modules at any time, wherein the completed documents facilitate one of compliance, certification, risk mitigation management, or combinations thereof, with respect to the one or more rule-bases; and

one or more training and educating modules, wherein the one more training and education modules provide entity-specific training information to provide interactive and passive training and education to or on behalf of the one or more entities relating to the one or more rule-bases and the relevant one or more rule-base structures at any time.

3. The system according to claim 2, wherein the entity-specific training information is in a format selected from the group consisting of hard copy and electronic-base website presentations, materials, feedback, and scoring.

4. The system according to claim 2, wherein the one or more training and educating modules are determined and based upon the one or more profiling modules.

5. The system according to claim 1, further comprising:

one or more decision support modules, wherein the one or more decision support modules provide feedback and guidance to or on behalf of the one or more entities to facilitate compliance, a particular compliant action, proper documentation based on an inter-relationship of rule-base and the one or more rule base structures to a particular issue, event, circumstance, party or topic, or combinations thereof.

6. The system according to claim 5, wherein the one or more decision support modules are based upon and determined by the one or more profiling modules at any time.

7. The system according to claim 1, wherein the storing means is selected from the group consisting of:

an off-site electronic document storage and archive, wherein documents comprise policies, procedures, forms, notices, contracts, agreements, memoranda of understanding, tracking forms and results and all other documents generated by use of the system in accordance with the relevant one or more rule-bases and the one or more rule-base structures at any time, determined and based upon the one or more profiling modules at any time;

local electronic document storage;

hard copies of relevant documents; and

combinations thereof.

8. The system according to claim 1, wherein the rule-base structures further comprise data, documentation, one or more requirements, best practices, guidance, or combinations thereof related to one or more rule-bases relevant to the one or more entities.

9. The system according to claim 1, wherein the criteria information is input in response to one or more questions relative to the one or more entities, the one or more rule-bases, or combinations thereof.

10. The system according to claim 1, wherein the one or more profiling modules further determine whether enough criteria information has been collected relative to the one or more entities, the one or more rule-bases, or combinations thereof.

11. The system according to claim 1, wherein the one or more profiling modules analyze input criteria information to determine and request subsequent criteria information relevant to the one or more entities needed or desired by the system.

12. The system according to claim 1, wherein the criteria information relevant to the one or more entities input is modified and manipulated at any time.

13. The system according to claim 1, wherein the one or more profiling modules determines the one or more rule-bases and one or more rule-base structures that are not relevant to the one or more entities based upon the criteria information input, such that the one or more profiling modules provides one or more impact assessments reporting the rule-bases and rule-base structures not relevant to the one or more entities, and why the rule-bases and rule-base structures are not relevant.

14. The system according to claim 1, wherein the documents are written policies, procedures, protocols, forms, agreements, notices, correspondence, announcements, advisories, contracts, memoranda of understanding, tracking tools, decision trees, certifications, risk assessments, prescriptions, diagnoses, or combinations thereof.

15. The system according to claim 1, wherein the rule-base structures are modifiable.

16. The system according to claim 1, further comprising an alerting means, wherein the alerting means advises the one or more entities when modifications are made to the one or more rule-base structures.

17. A method of assuring compliance with rule-base compliance, certification and/or risk management, comprising:

inputting one or more rule-base structures into a computing device, wherein the one or more rule-base structures comprise one or more associated programmed decision trees, wherein the one or more decision trees represent one or more rule-bases relating to the rules of an authoritative body, wherein the one or more rule-base structures are configured to facilitate one of compliance, certification, risk mitigation management, or combinations thereof, with respect to the one or more rule-bases;

inputting criteria information representative of one or more entities into a computing device;

analyzing the criteria information of the one or more entities in view of the one or more rule-base structures with a separate software engine, wherein the analysis determines the relative compliance, certification and/or risk mitigation position of the one or more entities to the rule-base;

providing the one or more entities with a determined relevancy of the one or more rule-base structures to the one or more entities;

providing the one or more entities with a determined relevancy of one or more aspects of the one or more rule-base structures to the one or more entities;

generating one or more documents that are relevant to the one or more aspects of the one or more rule-base structures determined to be relevant to the one or more entities;

monitoring, recording and determining proper compliance and proper documentation by the one or more entities in accordance with the one or more rule-bases and the one or more rule-base structures at any time; and

automatically generating customizable documentation based on the criteria information and the one or more rule-base structures, such that only documents associated with the various aspects of the one or more rule-base structures determined relevant to the one or more entities are provided wherein the customizable documentation facilitates one of compliance, certification, risk mitigation management, or combinations thereof, with respect to the one or more rule-bases.

18. The method according to claim 17, wherein the generating customizable documentation is automatically determined, completed and prepared based on the criteria information of the one or more entities.

19. The method according to claim 17, wherein the documents comprise written policies, procedures, protocols, forms, agreements, notices, correspondence, announcements, advisories, contracts, memoranda of understanding, tracking tools, decision trees, certifications, risk assessments, prescriptions, diagnoses, and combinations thereof.

20. The method according to claim 17, further comprising re-examining the rule-base structure for modifications at predetermined intervals of time, and updating the input rule-base structure if modifications are made.

21. The method according to claim 17, further comprising alerting the one or more entities when modifications are made to the one or more rule-base structures.

22. The method according to claim 17, further comprising converting portions of the one or more rule-base structures into one or more simple questions to be answered by the one or more entities to more accurately determine a relationship between the one or more entities and the one or more rule-base structures.

23. The method according to claim 22, wherein the simple questions are selected from the group consisting of yes/no, multiple choice, fill-in-the-blank, or review of suggested text or combinations thereof.

24. The method according to claim 17, further comprising providing an impact assessment to the one or more entities to set forth how aspects of the one or more rule-base structures do and do not affect the one or more entities.

25. The method according to claim 24, wherein the impact assessment identifies one or more particular simple questions to present how various aspects of the one or more rule-base structures do and do not affect the one or more entities.

26. A system to enable rule-base compliance, certification and/or risk mitigation management, comprising:

a computing device, including a processing device for processing data and a storing device for storing and archiving data;

an inputting device for inputting criteria information;

a knowledge base including a rule-base structure, wherein the rule-base structure comprise one or more associated programmed decision trees, wherein the one or more decision trees represents a rule-base relating to the rules of an authoritative body, wherein the rule-base structure is configured to facilitate one of compliance, certification, risk mitigation management, or combinations thereof, with respect to the rule-base;

a software engine that is separate from the rule-base structure, wherein the software engine analyzes the criteria information in relation to the rule-base structure and determines the relative compliance, certification and/or risk mitigation position of one or more entities to the rule-base;

one or more profiling modules, wherein the one or more profiling modules;

analyze the criteria information of the one or more entities in relation to the rule-base structure, determine the relative compliance, certification and/or risk mitigation position of the one or more entities to the rule-base, and determine one or more questions to be set forth to elicit further criteria information;

one or more assessment of impact modules, wherein the assessment of impact modules determine relevancy of a rule-base relative to the one or more entities and provide one or more impact assessments determining relevancy of a rule-base based on the one or more profiling modules of the one or more entities and determining relevancy of a rule-base structure to the one or more entities, further wherein the one or more impact assessments are configured to be provided at any time; and

a customizable documentation means, wherein the customizable documentation means automatically generates completed customized documents based on the criteria information and the rule-base structure, wherein the completed documents facilitate one of compliance, certification, risk mitigation management, or combinations thereof, with respect to the rule base.