Method and system for multi-echelon auditing of activity of an enterprise

• US 20060085403A1
• Filed: 12/18/2004
• Published: 04/20/2006
• Est. Priority Date: 09/30/2004
• Status: Abandoned Application

• Current Assignee: Chris Binns-Smith, William E. Harrison
• Original Assignee: Chris Binns-Smith, William E. Harrison
• Inventors: Binns-Smith, Chris, Harrison, William E.
• Application Number:
  US11/015,480
• Publication Number:
  US 20060085403A1
• Time in Patent Office: Days
• US Class Current: 1/1
• CPC Class Codes: G06Q 30/02 Marketing; Price estimation or determination; Fundraising

Abstract

A method, system and computer-readable media is provided that enables the synthesis in automated reporting with human generated attestations of compliance or non-compliance with regulations and laws. A first version of the claimed invention provides a method and system for employing an information technology network in an enterprise for evaluating the compliance of the activity of the information technology network with laws and regulations. The method of the first version audits computer systems, user behavior, asset behavior, and manual processes. The first version employs an information technology system to document compliance information, where the compliance information relates to the compliance of an enterprise with at least one governmental regulation

Claims

1. In an information technology system, a method for documenting compliance information, the compliance information relating to compliance of an enterprise with at least one governmental regulation, the method comprising:

a) providing a definition of the compliance information in an electronic media to the information technology system;

b) searching data stored within the information technology system for compliance data satisfying the definition of compliance information; and

c) reporting compliance data found within the technology system satisfying the definition of the compliance information via the information technology system.

2. The method of claim 1, wherein the definition of the compliance information is at least partially satisfied by an electronic signature.

3. The method of claim 1, wherein the information technology system accepts compliance data comprised within an attestation of compliance provided in an electronic record and authorized by a human operator, wherein the compliance data at least partially satisfies the definition of compliance information.

4. The method of claim 3, wherein the electronic record comprises an electronic message.

5. The method of claim 3, wherein the information technology system requests the human operator to generate the electronic record.

6. The method of claim 5, wherein the electronic record comprises an electronic signature.

7. The method of claim 5, wherein the electronic record comprises an electronic message.

8. The method of claim 1, wherein the definition of compliance information comprises attributes of the compliance information applied to the compliance data associated with a distinguishable aspect of the enterprise.

9. In an information technology system of an enterprise, a regulatory compliance system comprising:

(a) a receiving computer that receives compliance data from at least one element of the information technology system;

(b) a compliance memory for storing at least one regulatory compliance requirement; and

(c) the compliance memory communicatively coupled with the receiving computer and enabling the receiving computer to determine when the information satisfies the least one regulatory compliance requirement.

10. The system of claim 9, wherein the compliance memory stores a plurality of regulatory compliance requirements.

11. The system of claim 10, wherein the compliance memory is distributed between at least two elements of the information technology system and accessible to the receiving computer.

12. The system of claim 9, wherein the at least one regulatory compliance requirement for at least one of the group of requirements including an accounting service requirement, a legal service requirement, a banking service requirement, a corporate service requirement, an insurance service requirement, a health service requirement, medical service requirement, a welfare benefit service requirement, and a corporate governance service requirement.

13. The system of claim 12, wherein the insurance service requirement comprises at least one of the group of insurance service requirements of a corporate directors and officers insurance, an employment practices liability insurance, and a fiduciary liability insurance.

14. In an information technology system, a method for conveying an assessment of the compliance of an enterprise with a regulatory guideline, the method comprising:

a. receiving from an element of the information technology system an electronic record authorized by a trusted party, wherein the electronic record comprises an attestation of compliance with at least a first aspect of the regulatory guideline, and the electronic record is associated with an identity of the trusted party;

b. receiving compliance data generated by an automated observation of the information technology system, wherein the compliance data comprises evidence of compliance with at least a second aspect of the regulatory guideline; and

c. reporting the compliance of the enterprise with the first aspect and second aspect of the regulatory guideline via the information technology system.

15. The method of claim 14, wherein the electronic record authorized by the trusted party is associated with an electronic signature.

16. The method of claim 14, wherein the electronic record authorized by the trusted party is comprised within an electronic message.

17. The method of claim 14, wherein the information technology system requests the trusted party to generate the electronic record.

18. The method of claim 14, wherein the attestation of compliance relates to a plurality of aspects of the regulatory guideline.

19. The method of claim 14, wherein the regulatory guideline comprises aspects selectively applied to a distinguishable parameter of the enterprise.

20. The method of claim 19, wherein the distinguishable parameter relates to a group of parameters including a financial parameter, a fiduciary parameter, a security parameter and a geographic parameter.

21. A system having a computer-readable medium and a computer network, wherein the computer-readable medium carrying one or more sequences of one or more instructions for buffering data, wherein the execution of the one or more sequences of the one or more instructions by one or more processors, causes the one or more processors to perform the method comprising:

a. receiving from an element of the information technology system an electronic record authorized by a trusted party, wherein the electronic record comprises an attestation of compliance with at least a first aspect of the regulatory guideline, and the electronic record is associated with an identity of the trusted party;

b. receiving data generated by an automated observation of the information technology system, wherein the data comprises evidence of compliance with at least a second aspect of the regulatory guideline; and

c. reporting the compliance of the enterprise with the first aspect and second aspect of the regulatory guideline via the information technology system, whereby the computer-readable medium may provide one or more sequences of one or more instructions supportive of documenting attestations and automated observations related to one or more foci of one or more regulatory guidelines.