Method and system for tracking employee affirmations

• US 7,917,556 B2
• Filed: 10/29/2002
• Issued: 03/29/2011
• Est. Priority Date: 10/29/2002
• Status: Active Grant

• Current Assignee: UBS Business Solutions AG (UBS Ag)
• Original Assignee: UBS Ag
• Inventors: Qian, Xiaohua, Moro, Matthew P.
• Primary Examiner(s): AL HASHEMI, SANA A
• Application Number:
  US10/282,711
• Publication Number:
  US 20040083220A1
• Time in Patent Office: 3,073 Days
• Field of Search: 707/104.1, 707/103.R, 707/100, 707/102, 707/1, 707/101, 709/225, 705 44- 45
• US Class Current: N/A
• CPC Class Codes: G06Q 10/10 Office automation; Time management

Abstract

A system is provided for tracking employee disclosure information and includes an employee database for storing employee status information. Also included is a previous disclosure database for storing any previous disclosures provided by the employee. Finally, a disclosure engine is included for determining disclosure requirements for the employee based on the employee status information. The disclosure engine also receives from the previous disclosure database the any previous disclosures provided by the employee for determining any additional disclosure required by the employee to satisfy the disclosure requirements. The disclosure engine also forwards to the employee a disclosure form for providing the additional disclosure.

Claims

1. A computerized system for tracking employee disclosure and affirmation information, comprising:

an employee database for storing employee status information for a plurality of employees of an employer, said employee status information including employee type, wherein the employee type represents a position or function of an employee within the employer;

a previous disclosure database for storing any previous disclosures and affirmations provided by said plurality of employees; and

a disclosure engine comprising a processor, said disclosure engine maintaining a list of different types of disclosures and affirmations required by a governmental entity or by said employer for each employee type, such that the required types of disclosures and affirmations for at least one employee type is different than the required types of disclosures and affirmations for another employee type,

said disclosure engine determining the required types of disclosures and affirmations from the list for at least one of the plurality of employees that correspond to said employee type of said employee,

said disclosure engine obtaining from said previous disclosure database said any previous disclosures and affirmations provided by said employee,

said disclosure engine determining any additional disclosure or affirmation of the required types of disclosures and affirmations not satisfied by said any previous disclosures and affirmations, and

said disclosure engine forwarding to a computerized access device operated by said employee a disclosure form for providing said additional disclosure or affirmation.

3. The system of claim 1, wherein said disclosure engine receives from the computerized access device operated by said employee said any additional disclosure or affirmation.

4. The system of claim 1, wherein said list includes at least one from a group of disclosure or affirmation types including brokerage information, registration information, outside business activities, code of ethics, personal account dealing policy, compliance manual and political contributions rule.

5. The system of claim 1, wherein said list includes a time schedule for receiving the required types of disclosures and affirmations from said employee.

6. The system of claim 1, further comprising an access device in communications with said disclosure engine for updating said list for implementing a new disclosure or affirmation policy.

7. The system of claim 1, further comprising a login module, said employee accessing said system by providing employee identification information to said login module via said computerized access device, wherein said login module provides said disclosure engine with said employee identification information for retrieving said employee'"'"'s status information from said employee database.

8. The system of claim 1, wherein said computerized access device is in communications with said disclosure engine for accessing said any previous disclosures or affirmations.

9. The system of claim 1, wherein said disclosure engine periodically determines whether any additional disclosure or affirmation is required by said employee and communicates said disclosure requirements to said employee.

15. The system of claim 3, wherein said disclosure engine updates said previous disclosure database based on said any additional disclosure or affirmation.

16. The system of claim 5, wherein said previous disclosure database includes a time when said any previous disclosures or affirmations were provided by said employee.

17. The system of claim 9, wherein said disclosure engine communicates said disclosure requirements to said employee via said computerized access device.

18. The system of claim 9, wherein said disclosure engine communicates said disclosure and affirmation requirements using a method selected from the group including electronic mail, instant messaging, facsimile web access and mail.

21. The system of claim 16, wherein said disclosure engine determines whether any additional disclosures or affirmations are required by said employee based on said time schedule and said time when said any previous disclosures or affirmations were provided by said employee.

2. A computerized method for tracking employee disclosure and affirmation information, the method comprising a processor executing the steps of:

maintaining a list of different types of disclosures and affirmations required by a governmental entity or by an employer for each employee type, such that the required types of disclosures and affirmations for at least one employee type is different than the required types of disclosures and affirmations for another employee type, wherein the employee type represents a position or function of an employee within the employer;

obtaining employee status information for an employee from an employee database that stores employee status information for a plurality of employees of said employer, said employee status information including employee type;

determining the required types of disclosures and affirmations from the list for said employee that correspond to said employee type of said employee;

obtaining any previous disclosures and affirmations provided by said employee from a previous disclosure database that stores any previous disclosures and affirmations provided by said plurality of employees;

determining any additional disclosure or affirmation of the required types of disclosures and affirmations not satisfied by said any previous disclosures and affirmations; and

forwarding to a computerized access device operated said employee a disclosure form for providing said additional disclosure or affirmation.

10. The method of claim 2, further comprising the step of:

receiving from the computerized access device operated by said employee said additional disclosure or affirmation.

11. The method of claim 2, wherein said list includes at least one from a group of disclosure or affirmation types including brokerage information, registration information, outside business activities, code of ethics, personal account dealing policy, compliance manual and political contributions rule.

12. The method of claim 2, wherein said list includes a time schedule for receiving the required types of disclosures and affirmations from said employee.

13. The method of claim 2, further comprising the steps of:

providing employee identification information to a login module via said computerized access device; and

retrieving said employee status information based on said employee identification information.

14. The method of claim 2, further comprising the steps of:

periodically determining whether any additional disclosure or affirmation is required by said employee; and

communicating said disclosure requirements to said employee.

19. The method of claim 10, further comprising the step of:

updating said previous disclosures or affirmations based on said any additional disclosure or affirmation.

20. The method of claim 12, further comprising the step of:

storing a time when said any previous disclosures or affirmations were provided by said employee.

22. The method of claim 20, further comprising the step of:

determining whether any additional disclosures or affirmations are required by said employee based on said time schedule and said time when said any previous disclosures or affirmations were provided by said employee.