Method and system for facilitating a compliance audit using a rule set

• US 7,953,688 B2
• Filed: 11/02/2007
• Issued: 05/31/2011
• Est. Priority Date: 05/08/2007
• Status: Expired due to Fees

• Current Assignee: Green Grade Solutions Limited
• Original Assignee: Sharon Sadeh
• Inventors: Sadeh, Sharon
• Primary Examiner(s): Gaffin; Jeffrey A
• Assistant Examiner(s): OLUDE AFOLABI, OLATOYOSI
• Application Number:
  US11/934,552
• Publication Number:
  US 20080281768A1
• Time in Patent Office: 1,306 Days
• Field of Search: 706/47, 709/223, 705/3, 705/11
• US Class Current: 706/47
• CPC Class Codes: G06Q 10/10 Office automation; Time management

Abstract

In an embodiment of the invention, a method related to conducting a compliance audit, including accessing a database, the database including a rule set formulated from at least one requirement, wherein the database includes a knowledge base, accepting input regarding circumstance data, the circumstance data regarding a subject of the at least one requirement, applying the rule set to the input regarding circumstance data, and generating a compliance audit report based on applying the rule set to the input regarding circumstance data. In addition, other method, system, program product, and apparatus aspects are described in the claims, drawings, or text forming a part of the present disclosure.

Claims

1. An automated method for facilitating a compliance audit, the method comprising:

accessing a database, the database including a rule set formulated from at least one requirement, wherein the database includes a knowledge base;

at a data processing system, accepting input regarding circumstance data, the circumstance data regarding a subject of the at least one requirement;

automatically applying the rule set to the input regarding circumstance data, by the data processing system; and

automatically generating a compliance audit report by the data processing system, the compliance audit report based on applying the rule set to the input regarding circumstance data;

wherein the circumstance data comprises;

product class data to identify a general class of products for an item of manufacture; and

at least one item from the group consisting of;

product type data to identify a more specific type of product, within the general class of products, for the item of manufacture;

product attribute data to identify a property of the item of manufacture; and

customer data to identify a type of customer for the item of manufacture.

2. The method of claim 1, wherein

the at least one requirement from which the rule set is formulated includes a regulatory provision.

3. The method of claim 1, wherein the at least one requirement from which the rule set is formulated includes a provision pertaining to an industry standard.

4. The method of claim 1, wherein the at least one requirement from which the rule set is formulated includes a private rule provision.

5. The method of claim 1, wherein the operation of accepting input regarding circumstance data comprises:

accepting input regarding a regulatory provision.

6. The method of claim 1, wherein the operation of accepting input regarding circumstance data comprises:

accepting input regarding a provision pertaining to an industry standard.

7. The method of claim 1, wherein the operation of accepting input regarding circumstance data comprises:

accepting input regarding a private rule provision.

8. The method of claim 1, wherein the operation of accepting input regarding circumstance data comprises:

accepting the input regarding circumstance data according to a data-driven approach.

9. The method of claim 1, wherein the operation of accepting input regarding circumstance data comprises:

accepting the input regarding circumstance data according to a goal-driven approach.

10. The method of claim 1, wherein applying the rule set to the input regarding circumstance data, further comprises:

applying the rule set according to a data-driven approach.

11. The method of claim 1, wherein applying the rule set to the input regarding circumstance data, further comprises:

applying the rule set according to a goal-driven approach.

12. The method of claim 1, further comprising:

creating the knowledge base.

13. The method of claim 12, wherein creating the knowledge base further comprises:

modifying an existing knowledge base.

14. A data processing system comprising:

at least one processor;

a non-transitory storage medium responsive to the at least one processor; and

instructions in the storage medium, wherein the instructions, when executed by the at least one processor, enable the data processing system to perform operations comprising;

accessing a database that includes a rule set formulated from at least one requirement, wherein the database includes a knowledge base;

accepting input regarding circumstance data, the circumstance data regarding a subject of the at least one requirement;

automatically applying the rule set to the input regarding circumstance data; and

automatically generating a compliance audit report based on applying the rule set to the input regarding circumstance data;

wherein the circumstance data comprises;

product class data to identify a general class of products for an item of manufacture; and

at least one item from the group consisting of;

product type data to identify a more specific type of product, within the general class of products, for the item of manufacture;

product attribute data to identify a property of the item of manufacture; and

customer data to identify a type of customer for the item of manufacture.

15. The system of claim 14, wherein the instructions, when executed by the at least one processor, enable the data processing system to perform further operations comprising:

creating the knowledge base.

16. An article of manufacture comprising:

a non-transitory storage medium storing instructions that, if executed by a processor-based system, enable the processor-based system to perform operations comprising;

accessing a database that includes a rule set formulated from at least one requirement, wherein the database includes a knowledge base;

accepting input regarding circumstance data, the circumstance data regarding a subject of the at least one requirement;

automatically applying the rule set to the input regarding circumstance data; and

automatically generating a compliance audit report based on applying the rule set to the input regarding circumstance data;

wherein the circumstance data comprises;

product class data to identify a general class of products for an item of manufacture; and

at least one item from the group consisting of;

product type data to identify a more specific type of product, within the general class of products, for the item of manufacture;

product attribute data to identify a property of the item of manufacture; and

customer data to identify a type of customer for the item of manufacture.

17. The article of claim 16, wherein the instructions further enable the processor-based system to create the knowledge base.

18. A system for conducting a compliance audit, the system comprising:

at least one first processor and at least one first memory operably coupleable to the at least one first processor, the first processor and the first memory operable to access a database, wherein the database includes a knowledge base, the knowledge base including a rule set, the rule set including rules formulated from at least one requirement;

an interface operable to accept input regarding circumstance data, the interface for accepting input regarding circumstance data operably coupleable to the at least one first processor and to the at least one first memory, the circumstance data regarding a subject of the at least one requirement;

at least one second processor and at least one second memory, the at least one second processor operably coupleable to the interface for accepting input regarding circumstance data, the at least one second processor and the at least one second memory operable to apply the rule set to the input regarding circumstance data; and

at least one third processor and at least one third memory, the at least one third processor and at least one third memory operable to generate a compliance audit, the at least one third processor and the at least one third memory operably coupleable to the at least one second processor for applying the rule set to the input regarding circumstance data, the compliance audit based on an application of the rule set to the input regarding circumstance data;

wherein the circumstance data comprises;

product class data to identify a general class of products for an item of manufacture; and

at least one item from the group consisting of;

product type data to identify a more specific type of product, within the general class of products, for the item of manufacture;

product attribute data to identify a property of the item of manufacture; and

customer data to identify a type of customer for the item of manufacture.

19. The system of claim 18, wherein the at least one first processor and at least one first memory operably coupleable to the at least one first processor, the first processor and the first memory operable to access a database, wherein the database includes a knowledge base, the knowledge base including a rule set, the rule set including rules formulated from at least one requirement, further comprises:

the at least one first processor and at least one first memory operably coupleable to the at least one first processor, the first processor and the first memory operable to access a database, wherein the database includes a knowledge base, the knowledge base including a rule set, the rule set including rules formulated from at least one requirement, wherein the at least one requirement includes a regulatory provision.

20. The system of claim 18, wherein the at least one first processor and at least one first memory operably coupleable to the at least one first processor, the first processor and the first memory operable to access a database, wherein the database includes a knowledge base, the knowledge base including a rule set, the rule set including rules formulated from at least one requirement, further comprises:

the at least one first processor and at least one first memory operably coupleable to the at least one first processor, the first processor and the first memory operable to access a database, wherein the database includes a knowledge base, the knowledge base including a rule set, the rule set including rules formulated from at least one requirement, wherein the at least one requirement includes a standard provision.

21. The system of claim 18, wherein the at least one first processor and at least one first memory operably coupleable to the at least one first processor, the first processor and the first memory operable to access a database, wherein the database includes a knowledge base, the knowledge base including a rule set, the rule set including rules formulated from at least one requirement, further comprises:

the at least one first processor and at least one first memory operably coupleable to the at least one first processor, the first processor and the first memory operable to access a database, wherein the database includes a knowledge base, the knowledge base including a rule set, the rule set including rules formulated from at least one requirement, wherein the at least one requirement includes a private rule provision.

22. The system of claim 18, wherein the interface operable to accept input regarding circumstance data, the interface for accepting input regarding circumstance data operably coupleable to the at least one first processor and to the at least one first memory, the circumstance data regarding a subject of the at least one requirement, further comprises:

the interface operable to accept input regarding circumstance data, the interface for accepting input regarding circumstance data operably coupleable to the at least one first processor and to the at least one first memory, the circumstance data regarding a subject of the at least one requirement, wherein the at least one requirement includes a regulatory provision.

23. The system of claim 18, wherein the accepting input regarding circumstance data, the circumstance data regarding a subject of the at least one requirement, further comprises:

the accepting input regarding circumstance data, the circumstance data regarding a subject of the at least one requirement, wherein the at least one requirement includes a standard provision.

24. The system of claim 18, wherein the accepting input regarding circumstance data, the circumstance data regarding a subject of the at least one requirement, further comprises:

the accepting input regarding circumstance data, the circumstance data regarding a subject of the at least one requirement, wherein the at least one requirement includes a private rule provision.

25. The system of claim 18, wherein the at least one first processor includes a knowledge base processor.

26. The system of claim 18, wherein the at least one first memory includes a knowledge base memory.

27. The system of claim 18, wherein the at least one second processor includes an application processor.

28. The system of claim 18, wherein the at least one second memory includes an application memory.

29. The system of claim 18, wherein the at least one third processor includes an audit processor.

30. The system of claim 18, wherein the at least one third memory includes an audit memory.

31. The system of claim 18, further comprising:

the knowledge base.