Patent ID: 7433829
Filing Date: 2008-10-07
Classification: G06Q

Abstract:
1. A compliance tracking system, comprising: a first storage device containing a first dataset of data related to regulatory and enterprise procedural policy information; a second dataset storage device containing a second dataset of data related to a state of an operation activity; a processor coupled to said first and second datasets, and operable to access and manipulate data in said first and second datasets; a user interface device coupled to said processor and operable to receive user input and provide instructions to said processor for accessing and manipulating said first and second datasets, wherein said user input is based on a compliance response structure comprising a set of role definitions including a plurality of respective responsibilities, wherein said responsibilities being related to respective portions of said state of said operation activity, and wherein said instructions being related to said responsibilities whereby a level of compliance is modified based upon a combination of said responsibilities and respective portions of said state of operation activity; said processor being further operable to compare data contained in said first and second datasets and provide processor-generated indicia of compliance to said user interface device based on a result of said comparison; first determination means for determining whether an operation activity is in compliance or non-compliance based on a comparison of the data contained in the first and second datasets; second determination means for determining whether non-compliance is the result of a new policy or regulation or amendment to a policy or regulation; risk assessment means for assessing risk and identifying risk factors associated with the state of the operation activity and the new policy or regulation or amendment to a policy or regulation; third determination means for determining whether a risk acknowledgement has been approved, wherein risk acknowledgement approval comprises accepting the risk or developing or implementing a plan to achieve compliance; and plan selection means for developing or implementing a plan to achieve compliance, wherein the plan is based on a sensitivity rating, an impact rating, a probability rating, and compensation and control procedures.