Automated impact assessment and updates of compliance response plans pursuant to policy changes

• US 8,645,180 B1
• Filed: 07/11/2012
• Issued: 02/04/2014
• Est. Priority Date: 07/11/2012
• Status: Active Grant

• Current Assignee: SAP SE
• Original Assignee: SAP AG (SAP SE)
• Inventors: Zeng, Ying
• Primary Examiner(s): Jeanty, Romain
• Application Number:
  US13/546,145
• Publication Number:
  US 20140019183A1
• Time in Patent Office: 573 Days
• Field of Search: 705/7.11
• US Class Current: 705/7.19
• CPC Class Codes: G06Q 10/06 Resources, workflows, human or project management; Enterprise or organisation planning; Enterprise or organisation modelling
• CPC Class Codes: G06Q 10/0639 Performance analysis of employees; Performance analysis of enterprise or organisation operations
• CPC Class Codes: G06Q 10/10 Office automation; Time management

Abstract

A compliance management system is disclosed, including an analysis engine to analyze received compliance requirements. Stakeholders and relevant surveys are identified using results of the analysis. An assessment engine initiates and manages a process to assess the received compliance requirements. Results of the assessment are used to determine changes to existing policies and procedures. A workflow engine initiates and manages workflows to effect changes the policies and procedures.

Claims

1. A computer-implemented method for managing compliance requirements in an enterprise comprising steps of:

a computer system receiving compliance requirements, the computer system comprising a processor, the computer system identifying compliance changes as differences between the received compliance requirements and previously received compliance requirements;

the computer system conducting one or more surveys relating to the received compliance requirements with one or more survey participants, the computer system initiating a collaboration to decide, using results of the surveys, whether or not to update policies and procedures of the enterprise in order to accommodate the received compliance requirements, the computer system managing a plurality of workflows relating to updating the policies and procedures of the enterprise in order to accommodate the received compliance requirements,

wherein initiating a collaboration comprises the computer system identifying a plurality of decision-making participants based on contents of the received compliance requirements and on contents of the compliance changes, and scheduling a meeting among the plurality of decision-making participants.

2. The method of claim 1 wherein conducting one or more surveys comprises the computer system determining that the surveys have been completed, wherein initiating a collaboration occurs upon completion of the surveys.

3. The method of claim 1 wherein conducting one or more surveys comprises the computer system identifying the surveys and the survey participants based on contents of the received compliance requirements and on contents of the compliance changes.

4. The method of claim 1 wherein conducting one or more surveys comprises the computer system identifying a plurality of survey participants and scheduling a meeting among the plurality of survey participants.

5. The method of claim 1 wherein managing a plurality of workflows comprises the computer system distributing the workflows to workflow recipients.

6. The method of claim 5 wherein managing a plurality of workflows comprises the computer system receiving completed workflows from the workflow recipients, wherein updates to the policies and procedure comprise the completed workflows.

7. A system in an enterprise comprising:

a computer system;

a storage system; and

computer-executable program code stored on the storage system which, when executed by the computer system, causes the computer system to;

receive compliance requirements;

identify compliance changes as differences between the received compliance requirements and previously received compliance requirements;

conduct one or more surveys relating to the received compliance requirements with one or more survey participants;

initiate a collaboration to decide, using results of the surveys, whether or not to update policies and procedures of the enterprise in order to accommodate the received compliance requirements; and

manage a plurality of workflows relating to updating the policies and procedures of the enterprise in order to accommodate the received compliance requirements, wherein initiating a collaboration comprises the computer system identifying a plurality of decision-making participants based on contents of the received compliance requirements and on contents of the compliance changes, and scheduling a meeting among the plurality of decision-making participants.

8. The system of claim 7 wherein the computer system further determines that the surveys have been completed, wherein the collaboration is initiated upon completion of the surveys.

9. The system of claim 7 wherein the computer system identifies the surveys the survey participants based on contents of the received compliance requirements and on contents of the compliance changes.

10. The system of claim 7 wherein conducting one or more surveys comprises the computer system identifying a plurality of survey participants and scheduling a meeting among the plurality of survey participants.

11. The system of claim 7 wherein managing a plurality of workflows comprises the computer system distributing the workflows to workflow recipients.

12. The system of claim 11 wherein managing a plurality of workflows comprises the computer system receiving completed workflows from the workflow recipients, wherein updates to the policies and procedure comprise the completed workflows.

16. The non-transitory computer readable storage medium of claim 12 wherein conducting one or more surveys comprises the computer system identifying a plurality of survey participants and scheduling a meeting among the plurality of survey participants.

13. A non-transitory computer readable storage medium having stored thereon computer executable program code which, when executed by a computer system, caused the computer system to perform steps of:

receiving compliance requirements;

identifying compliance changes as differences between the received compliance requirements and previously received compliance requirements;

conducting one or more surveys relating to the received compliance requirements with one or more survey participants;

initiating a collaboration to decide, using results of the surveys, whether or not to update policies and procedures of the enterprise in order to accommodate the received compliance requirements; and

managing a plurality of workflows relating to updating the policies and procedures of the enterprise in order to accommodate the received compliance requirements, wherein initiating a collaboration comprises the computer system identifying a plurality of decision-making participants based on contents of the received compliance requirements and on contents of the compliance changes, and scheduling a meeting among the plurality of decision-making participants.

14. The non-transitory computer readable storage medium of claim 13 wherein conducting one or more surveys comprises the computer system determining that the surveys have been completed, wherein initiating a collaboration occurs upon completion of the surveys.

15. The non-transitory computer readable storage medium of claim 13 wherein conducting one or more surveys comprises the computer system identifying the surveys and the survey participants based on contents of the received compliance requirements and on contents of the compliance changes.

17. The non-transitory computer readable storage medium of claim 13 wherein managing a plurality of workflows comprises the computer system distributing the workflows to workflow recipients.