System and Method for Governance, Risk, and Compliance Management

• US 20090265199A1
• Filed: 12/18/2008
• Published: 10/22/2009
• Est. Priority Date: 04/21/2008
• Status: Abandoned Application

• Current Assignee: Computer Associates Think Inc. (Broadcom, Inc.)
• Original Assignee: Computer Associates Think Inc. (Broadcom, Inc.)
• Inventors: Ding, Ying, Stricklen, Michael W., Diebold, Bryan R., Datskovsky, Galina, McHale, Thomas J., Moerdler, Mark L., Benton, John D., Swaminathan, Murali, Boswell, Christopher S.
• Application Number:
  US12/337,917
• Publication Number:
  US 20090265199A1
• Time in Patent Office: Days
• US Class Current: 705/7
• CPC Class Codes: G06Q 10/00 Administration; Management
• CPC Class Codes: G06Q 10/06311 Scheduling, planning or task assignment for a person or group
• CPC Class Codes: G06Q 10/06316 Sequencing of tasks or work
• CPC Class Codes: G06Q 10/0635 Risk analysis of enterprise or organisation activities
• CPC Class Codes: G06Q 10/0637 Strategic management or analysis, e.g. setting a goal or target of an organisation; Planning actions based on goals; Analysis or evaluation of effectiveness of goals
• CPC Class Codes: G06Q 10/06393 Score-carding, benchmarking or key performance indicator [KPI] analysis

Abstract

In particular embodiments, the present invention provides a system and method for governance, risk, and compliance management. For example, a method for governance, risk, and compliance management includes providing an interface for defining a control to be used to reach a goal of an organization. The control provides a procedure to be followed by the organization. The method further includes providing the interface for defining a metric for tracking a progress of the organization towards reaching the goal using the procedure. The method further includes receiving metric data from an external source. The metric data corresponds to the metric. The method further includes tracking the progress of the organization towards reaching the goal using at least the metric and the metric data. The method further includes displaying the progress of the organization towards reaching the goal.

Claims

1. A method for governance, risk, and compliance management, comprising:

providing an interface for defining a control to be used to reach a goal of an organization, the control providing a procedure to be followed by the organization;

providing the interface for defining a metric for tracking a progress of the organization towards reaching the goal using the procedure;

receiving metric data from an external source, the metric data corresponding to the metric;

tracking the progress of the organization towards reaching the goal using at least the metric and the metric data; and

displaying the progress of the organization towards reaching the goal.

2. The method of claim 1, wherein tracking the progress of the organization toward reaching the goal further comprises:

providing the interface for defining one or more key indicators; and

determining, using at least the metric data and the key indicators, whether the progress of the organization towards reaching the goal indicates whether the organization is on track to meet the goal.

3. The method of claim 1, wherein the goal of the organization is selected from the group consisting of:

mitigating a risk of the organization;

achieving a business objective of the organization; and

complying with a requirement imposed on the organization.

4. The method of claim 1, wherein the goal of the organization comprises complying with a requirement imposed on the organization by a federal regulation.

5. The method of claim 1, wherein the metric data is received from an information governance system that manages one or more documents corresponding to the organization, wherein the metric data comprises data associated with at least one of the one or more documents.

6. The method of claim 5, wherein the one or more documents managed by the information governance system comprise:

one or more documents associated with a requirement imposed on the organization;

one or more documents not associated with a requirement imposed on the organization; and

one or more documents associated with a litigation matter involving the organization.

7. The method of claim 5, further comprising displaying the control and the metric data on a dashboard.

8. A system, comprising:

a processor;

and a program of instructions embodied on a computer-readable medium and operable, upon execution by the processor, to;

provide an interface for defining a control to be used to reach a goal of an organization, the control providing a procedure to be followed by the organization;

provide the interface for defining a metric for tracking a progress of the organization towards reaching the goal using the procedure;

receive metric data from an external source, the metric data corresponding to the metric;

track the progress of the organization towards reaching the goal using at least the metric and the metric data; and

display the progress of the organization towards reaching the goal.

9. The system of claim 8, wherein the program of instructions is further operable, upon execution by the processor, to:

provide the interface for defining one or more key indicators; and

determine, using at least the metric data and the key indicators, whether the progress of the organization towards reaching the goal indicates whether the organization is on track to meet the goal.

10. The system of claim 8, wherein the goal of the organization is selected from the group consisting of:

mitigating a risk of the organization;

achieving a business objective of the organization; and

complying with a requirement imposed on the organization.

11. The system of claim 8, wherein the goal of the organization comprises complying with a requirement imposed on the organization by a federal regulation.

12. The system of claim 8, wherein the metric data is received from an information governance system that manages one or more documents corresponding to the organization, wherein the metric data comprises data associated with at least one of the one or more documents.

13. The system of claim 12, wherein the one or more documents managed by the information governance system comprise:

one or more documents associated with a requirement imposed on the organization;

one or more documents not associated with a requirement imposed on the organization; and

one or more documents associated with a litigation matter involving the organization.

14. The system of claim 12, wherein the program of instructions is further operable, upon execution by the processor, to display the control and the metric data on a dashboard.

15. Logic for governance, risk, and compliance management, the logic encoded on a computer-readable medium and operable, upon execution, to:

provide an interface for defining a control to be used to reach a goal of an organization, the control providing a procedure to be followed by the organization;

provide the interface for defining a metric for tracking a progress of the organization towards reaching the goal using the procedure;

receive metric data from an external source, the metric data corresponding to the metric;

track the progress of the organization towards reaching the goal using at least the metric and the metric data; and

display the progress of the organization towards reaching the goal.

16. The logic of claim 15, further operable to:

provide the interface for defining one or more key indicators; and

determine, using at least the metric data and the key indicators, whether the progress of the organization towards reaching the goal indicates whether the organization is on track to meet the goal.

17. The logic of claim 15, wherein the goal of the organization is selected from the group consisting of:

mitigating a risk of the organization;

achieving a business objective of the organization; and

complying with a requirement imposed on the organization.

18. The logic of claim 15, wherein the goal of the organization comprises complying with a requirement imposed on the organization by a federal regulation.

19. The logic of claim 15, wherein the metric data is received from an information governance system that manages one or more documents corresponding to the organization, wherein the metric data comprises data associated with at least one of the one or more documents.

20. The logic of claim 19, wherein the one or more documents managed by the information governance system comprise:

one or more documents associated with a requirement imposed on the organization;

one or more documents not associated with a requirement imposed on the organization; and

one or more documents associated with a litigation matter involving the organization.

21. The logic of claim 19, further operable to display the control and the metric data on a dashboard.