Compliance management

Implementing compliance management includes displaying a checklist of inspection items on a display of a mobile communications device at an inspection site of an entity. Each of the inspection items is mapped to a corresponding compliance code governing environmental regulatory requirements for operation and maintenance of the entity. The compliance management also includes receiving a user response indicative of an inspection condition for each of the inspection items. The user response is implemented via an input control on the mobile communications device. The compliance management further includes transmitting user responses over a network to a centralized database system. The centralized database system provides web-based access of the user responses to the entity over the network.

BACKGROUND

The present invention relates to compliance management, and more specifically, to compliance management for regulated facilities.

Businesses that are governed by local, state, and/or federal regulations are typically responsible for adopting a plan or course of action, such as monitoring and inspecting equipment and conditions related to the business in order to ensure compliance with these regulations. In addition, in many cases, individuals who perform inspections as part of the course of action must be certified or licensed to do so. Thus, the businesses must ensure that the individuals performing the inspection are qualified (e.g., through some authorized training process) and that the inspectors' qualifications (e.g., license) are always up-to-date.

Most businesses implement a manual process in which an inspector or authorized individual addresses items for inspection using a printed checklist of the items to inspect as a guide. This manual process can be cumbersome and is prone to errors, particularly in situations where a large number of regulations promulgated by multiple sources of regulatory agencies are involved. An updated checklist is required whenever changes are made to these supervening laws or regulations, which means each business or business unit must monitor for these changes and update the checklists accordingly. In addition, monitoring the performance of inspectors can be time consuming and error prone. A completed checklist returned by an inspector after an inspection may not always yield accurate inspection results, as the quality of the inspection may vary from inspector to inspector. Thus, monitoring inspector performance may require on-site supervision of inspections at the time of the inspection or a second inspection performed shortly thereafter.

SUMMARY

According to one embodiment of the present invention, a mobile communications device is provided. The mobile communications device includes a computer processor and inspection logic executable by the computer processor. The inspection logic implements a method. The method includes displaying a checklist of inspection items on a display of the mobile communications device at an inspection site of an entity. Each of the inspection items is mapped to a corresponding compliance code governing environmental regulatory requirements for operation and maintenance of the entity. The method also includes receiving a user response indicative of an inspection condition for each of the inspection items. The user response is implemented via an input control on the mobile communications device. The method further includes transmitting user responses over a network to a centralized database system. The centralized database system provides web-based access of the user responses to the entity over the network.

According to a further embodiment of the present invention, a method is provided. The method includes displaying a checklist of inspection items on a display of a mobile communications device at an inspection site of an entity. Each of the inspection items is mapped to a corresponding compliance code governing environmental regulatory requirements for operation and maintenance of the entity. The method also includes receiving a user response indicative of an inspection condition for each of the inspection items. The user response is implemented via an input control on the mobile communications device. The method further includes transmitting user responses over a network to a centralized database system. The centralized database system provides web-based access of the user responses to the entity over the network.

According to another embodiment of the present invention, a computer program product is provided. The computer program product includes a storage medium having instructions embodied thereon, which when executed by a computer processor cause the computer processor to implement a method. The method includes displaying a checklist of inspection items on a display of the mobile communications device at an inspection site of an entity. Each of the inspection items is mapped to a corresponding compliance code governing environmental regulatory requirements for operation and maintenance of the entity. The method also includes receiving a user response indicative of an inspection condition for each of the inspection items. The user response is implemented via an input control on the mobile communications device. The method further includes transmitting user responses over a network to a centralized database system. The centralized database system provides web-based access of the user responses to the entity over the network.

According to yet another embodiment of the present invention, a system is provided. The system includes a computer processor and a service application executable by the computer processor. The service application is configured to implement a method. The method includes generating a first database containing inspection items, and mapping each of the inspection items to a corresponding compliance code governing environmental regulatory requirements for operation and maintenance of an entity subject to inspection. An inspection item identifier stored in the first database is linked as a primary key to a compliance code database that stores compliance codes.

DETAILED DESCRIPTION

Compliance management through facilitated inspections is provided in exemplary embodiments. The compliance management provides the ability to standardize inspection processes and inspector qualifications to ensure compliance of laws and regulations governing a business or organization. The compliance management processes provide up-to-date compliance codes that are mapped to corresponding inspection items, and inspection software executable by a mobile inspection device implements various business rules applied to inspection data entered in response to on-site inspections. The results, which reflect conditions of the items inspected, are uploaded or otherwise transmitted to a centralized database system for further processing and access by authorized entities. The compliance management processes described herein are directed to environmental regulations related to the fuel industry.

With reference now toFIG. 1, an exemplary system100upon which the compliance management processes may be implemented will now be described. The system100includes a host system computer102, a client facility device106, and inspection devices104communicatively coupled to one or more networks108.

The host system computer102may include a high-speed computer processing device capable of handling a large volume of transactions conducted between the host system computer102and the client facility device106and inspection devices104. In an embodiment, the host system computer102is implemented by an entity that manages the compliance management processes for a number of client facilities relating to the fuel industry (e.g., client facility106), e.g., under a service agreement. For example, the client facility may be a service station that dispenses fuel to the public. The entity builds and manages databases of inspection-related data items and maps these items to corresponding compliance codes (e.g., identifiers of regulations governing the client facilities). The entity may also be responsible for hiring, training, and overseeing inspectors that perform on-site inspections at the client facilities. In addition, the entity may provide a client application that is executable by a mobile processing device (e.g., inspection device104) and guides inspectors through an inspection process.

In an alternative embodiment, the host system computer102may be implemented by an entity that manages its own on-site inspections. In this embodiment, the inspection sites are directly managed by the entity (e.g., a corporate organization that owns or leases a number of service stations).

The host system computer102executes computer instructions for performing the compliance management processes described herein. These computer instructions are referred to herein as service application110. The service application110includes configurable rules that are applied to data collected by the host system computer102, as will be described further herein.

The host system computer102may be implemented using one or more servers operating in response to a computer program stored in a storage medium accessible by the server. The host system computer102may operate as a network server (e.g., a web server) to communicate with network entities, such as the inspection devices104and the client facility device106. The host system computer102handles sending and receiving information to and from the network entities and can perform associated tasks.

The host system computer102may also operate as an application server. As described above, the host system computer102may execute one or more computer programs to provide the compliance management processes. Processing may be shared by the host system computer102, the inspection devices104, and the client facility device106by providing an application (e.g., java applet) to the inspection devices104and/or the client facility device106. Alternatively, the inspection devices104and the client facility device106can include stand-alone software applications for performing a portion of the processing described herein. As previously described, it is understood that separate servers may be utilized to implement the network server functions and the application server functions. Alternatively, the network server and the application server may be implemented by a single server executing computer programs to perform the requisite functions.

In one embodiment, the compliance management processes provide a user interface that enables users to configure the inspection service databases and business rules, process inspection results, and generate inspection reports. The user interface is described further inFIGS. 3-5.

The inspection devices104may be portable communications devices that can be remotely operated at designated inspection sites. As shown inFIG. 1, the inspection devices104include a smart phone104A and a tablet computer104B. The inspection devices104each execute computer instructions for performing a portion of the facilitated inspection processes described herein. These computer instructions are referred to herein as inspection logic120. The inspection logic120includes a user interface that guides an inspector through an inspection process. The user interface is described further inFIGS. 7-10. The inspection devices104include wireless network adapters and related hardware that is configured to communicate inspection data over the networks108to the host system computer102. In addition, the inspection devices104include an embedded digital camera, as well as a global positioning system (GPS) or other locator system.

The client facility device106is implemented by a registered user of the compliance management processes described herein. The client facility device106may be a general-purpose computer device, such as a desktop, laptop, or host-attached computer. In an embodiment, the client facility device106includes a web browser application that enables a user to access inspection data from the host system computer102over the networks108via, e.g., a web site of the host system computer102. This access may be restricted to authorized inspection data that relates to the user's facility. While only one client facility device106representing a single registered client is shown inFIG. 1for ease of illustration, it will be understood that any number of client facilities and associated devices may be employed in realizing the advantages of the exemplary embodiments described herein.

The host system computer102is communicatively coupled to a storage device112. The storage device112may be part of a centralized database system that includes multiple sub-storage systems and database management applications and devices for storing electronic information. It is understood that the storage device112may be implemented using memory contained in the host system computer102or may be a separate physical device (e.g., as shown inFIG. 1). The storage device112may be logically addressable as a consolidated data source across a distributed environment that includes networks108. Information stored in the storage device112may be retrieved and manipulated via the host system computer102and/or via the client facility device106and inspection devices104. In one exemplary embodiment, the storage device112stores compliance codes, client facility databases, client facility reports, and inspection logic, as will be described further herein.

As indicated above, the compliance codes may be implemented as identifiers of government agency regulations that are assigned to correlated inspection items. The client facility databases in the storage device112may be maintained for registered client facilities (e.g., client facility device106). The host system computer102maintains database information for each client facility. In addition, the inspection results are processed by the service application110and are accessible by respective client facilities over the networks108pending an authentication process to ensure authorized use. In an embodiment, the client facilities may request inspection reports pertaining to their own facilities. The inspection logic (e.g., inspection logic120) and all versions of the inspection logic may be maintained in the storage device112. As new regulations are promulgated, the service application110is configured to update the compliance codes accordingly, and new versions of the inspection logic120are generated.

The networks108may be any type of known networks including, but not limited to, a wide area network (WAN), a local area network (LAN), a global network (e.g. Internet), a virtual private network (VPN), and an intranet. The networks108may be implemented using a wireless network or any kind of physical network implementation known in the art. For example, the client facility device106and inspection devices104may be coupled to the host system computer102through multiple networks (e.g., intranet and Internet). One or more of the client facility device106and the inspection devices104may be connected to the networks108in a wireless fashion, e.g., through cellular, satellite, and/or terrestrial networks.

As indicated above, the host system computer102may be configured via the service application110to build and manage databases of inspection-related data items and map these items to corresponding compliance codes. Turning now toFIG. 2, a group of tables200with sample data items will now be described in an exemplary embodiment.

For each facility serviced by the host system computer102, a database202of facilities is created. The database202includes fields, such as facility name and/or identifier, facility address, facility phone number, facility contact name, facility type, and photo ID. The database202may be searchable by any of the fields therein. The facility type field may include values of “private” and “public” whereby “private” indicates the facility or inspection site is not open to the public and “public” indicates the facility is open to the public. Differentiating between private and public facilities can be useful in assessing certain inspection criteria (e.g., in a public facility there may be different or additional inspection items provided for a given inspection checklist). The photo ID field may be used to identify a photograph taken of the external premises of the facility. In an embodiment, the facility name and/or identifier is used as a primary key or link to an inspection database204.

The inspection database204identifies a listing of the dates of each inspection previously performed for a facility (or an inspection site of the facility where more than one inspection sites exist for a given facility). The inspection database204includes fields, such as inspection date, inspector name, and inspector ID. The database204may be searchable by either of these fields. The inspector ID may be a license number that is assigned to the inspector once he/she becomes qualified to perform inspections. In an embodiment, the inspection date field is used as a primary key or link to a checklist section database206. Tracking inspectors through the inspector ID field enables the enterprise of the host system computer102to better track individual inspection performance, as well as facilitate inspector assignments to client facilities.

The checklist section database206identifies each section associated with a particular inspection, whereby each section contains a list of inspection items. Each section, in turn, is associated with an identifier that distinguishes the section from other sections. Thus, the checklist section database206stores a section ID field for this purpose. A section may refer to a subject or target of a portion of an inspection. For example, where the inspection site is a service station, one section may be designated for fuel tanks and another section may be designated for piping. Alternatively, the sections may correspond to state or federal laws and/or regulations governing inspections of the facilities. In this embodiment, the sections may correspond to actual code sections for a particular regulation. The section ID field is used as a primary key or kink to a checklist item database208.

The checklist item database208identifies each item subject to inspection for a given section. For example, a checklist item may be a directive for the inspector to visually observe a pipe for any signs of degradation. The checklist item database208includes fields for item ID, description, inspection result, inspection result flag, inspection comment, and photo ID. The item ID may be any unique identifier assigned to the item. The item description directs the inspector what is required to be performed. The inspection result refers to the input provided by the inspector in response to the item directive. The inspection result flag is set by the inspection logic120when a negative inspection result has been entered by the inspector. By flagging negative inspection results, the issues identified as problematic during the inspection can be targeted for independent display and/or notification. For example, if an inspection item result indicates a failure, this inspection item is flagged and the inspection logic120makes a copy of this inspection item and result, and displays it prominently on the display screen of the inspection device104. In addition, this information may be placed in a Summary section of a report generated by a client facility. A user interface screen1100depicting a sample report and Summary section1102containing the flagged information is illustrated further inFIG. 11. As shown inFIG. 11, the Summary Section1102is displayed at the beginning of the report. The inspection comment field enables the inspector to add any desired comment about the inspected item, and the photo ID identifies a digital photograph taken by the inspector of the inspected item. The item ID field is used as a primary key or link to a compliance code database210.

The compliance code database210stores each of the compliance codes associated with inspection items related to an on-site inspection. The compliance codes may be actual codes issued by a regulatory or government agency. When the agency updates these codes, a representative of the entity implementing the host system computer102may configure the updates to the compliance code database210via the service application110. Likewise, if the codes affect the nature of the inspection, the inspection items (in database208) associated with the old compliance code can be updated as well. The primary key of the inspection item identifier automatically links the inspection item to the new compliance code, as shown inFIG. 2. An updated version of the inspection logic120may be created and distributed to each of the inspection devices104and all current and previous versions may be stored in the storage device112.

As indicated above, the facilitated inspection processes provide a user interface that enables users to configure the inspection service databases and business rules, process inspection results, and generate inspection reports. Turning now toFIGS. 3-5, the user interface will now be described in an exemplary embodiment.

An administrator or authorized individual (referred to as “user”) of the host system computer102accesses the service application110and a user interface screen300is presented. The service application110presents three options that are selectable by the user: INSPECTION MANAGEMENT302, SITE MANAGEMENT304, and SECTION MANAGEMENT306.

Selecting the SITE MANAGEMENT304option enables the user to add, view, and delete new client facilities. As shown inFIG. 3, the user has selected ADD NEW FACILITY308and a list of fields310is presented to the user. It will be noted that these fields310correspond to the facility database202ofFIG. 2. Once the user has entered the data for adding a new client facility, the user saves or submits the data by selecting ADD SITE312, and the service application110stores the new client facility information in the storage device112.

Selecting the INSPECTION MANAGEMENT302option enables the user to view all of the previously conducted inspections for a given client facility, as well as currently scheduled inspections that have not yet occurred. Upon selecting the INSPECTION MANAGEMENT302option, the service application110presents a user interface screen400A shown inFIG. 4A. As shown inFIG. 4A, a list of inspections for client facilities XXX, YYY, and ZZZ are shown. In addition, the list of inspections displays the date of inspection, as well as the location (where a client has multiple facilities or locations to be inspected). The list of inspections in user interface screen400A correspond in part to the facility database202and the inspection database204ofFIG. 2.

When the user selects an inspection via option402, the service application110retrieves inspection data corresponding to the selection and displays the inspection data in a user interface screen400B as shown inFIG. 4B. The user interface screen400B may be a new subwindow presented within a common window illustrated as user interface screen400A or may be a separate window.

For the selected inspection shown inFIG. 4B, a status indicator404is shown as AWAITING REVIEW. The status indicator404may be implemented as a drop down feature that includes other selectable values, such as review completed. Awaiting review refers to a status of an inspection that has been performed by an inspector and is subject to review by a supervisor before being released for review or allowed access by the client facility. Once the review is completed (via the status indicator404), the inspection details are in final form and may be released for access by the client facility. It will be understood that the host system computer102may employ safeguards (e.g., firewall and authentication mechanisms) to ensure the privacy and integrity of the inspection data, as well as client facility data stored at the host system computer102.

In addition, the user interface screen400B illustrates three inspection items406: DISPENSER-LEFT, DISPENSER-RIGHT, AND DISPENSER-CENTER. For each inspection item, one or more checklist items are presented. For example, as shown inFIG. 4B, a checklist item 6.6.6 SPLASH GUARD ON NOZZLE (S91) is displayed for the DISPENSER-LEFT item. As shown inFIG. 4B, symbols that indicate an inspection item result or classifier may be used to assist an inspector in rendering inspection results through the inspection device104. For example, a symbol416is selected to indicate the inspection item is incomplete, a symbol418is selected to indicate an inspection item has passed, a symbol420is selected to indicate an inspection item has failed, and a symbol422is selected to indicate that the inspection item listed (e.g., 6.6.6 SPLASH GUARD ON NOZZLE (S91) is not applicable for the current inspection. The user may add a comment by selecting option408and may add a new digital photograph be selecting option410. By way of non-limiting examples, comments may include adding missing data, entering a condition relating to equipment, providing a date in which an equipment item was replaced, adding serial or part numbers, testing results, updated compliance codes, etc.

Once the user is finished with the selected inspection, the user may either save the inspection by selecting option412or may delete the inspection by selecting option414.

Selecting the SECTION MANAGEMENT306option enables the user to view, add, or delete sections associated with an inspection. Upon selecting the SECTION MANAGEMENT306option, the service application110presents a user interface screen500A shown inFIG. 5A. Current configured sections are shown generally as506. As shown inFIG. 5A, the user has selected an option502to add a new section. The user then enters a name for the section in a input field504, and the service application110presents a user interface screen500B ofFIG. 5B.

For a section named OPERATION, the user may add a new question for the section by selecting an option508. The service application110displays input fields510,512, and514, and the user enters corresponding data. For example, the user may enter serial or part numbers of equipment, new codes or rule numbers, a date of when annual inspection or testing is due or was performed, etc. The user may then submit the new question by selecting an option516, and a new subwindow is presented (not shown) for entering this information. Current configured questions are shown generally at518. The list of sections in user interface screen500A-500B correspond in part to the checklist section database206and the checklist item database208ofFIG. 2.

As indicated above, the inspection logic120includes a user interface that guides an inspector through an inspection process. Turning now toFIG. 6, a flow diagram describing an exemplary process for implementing facilitated inspections will now be described. The processes described inFIG. 6assume that a history of previous inspections has occurred for a client facility and that previous inspection results are available to review by an inspector.

The inspector logs in to the inspection logic120on the inspection device104and, at step602, the inspection logic120presents a list of facilities that have been configured through the service application110. A user interface screen700depicting a list of facilities for selection is shown inFIG. 7.

At step604, the inspection logic120receives a facility selection from input by the inspector, retrieves facility information from memory of the inspection device104, and presents detailed information about the facility in a subwindow702of the user interface screen700. The data items displayed in the user interface screen700correspond to the facility database202shown inFIG. 2. In addition, the inspection logic120retrieves a list of inspections previously conducted for the selected facility, and presents the list of inspections via a user interface screen800on the inspection device104as shown inFIG. 8.

At step606, the inspection logic120receives a selected inspection date from the inspector via the user interface screen800, retrieves inspection details for the selected inspection, and displays the inspection details in a subwindow802of the user interface screen800as shown inFIG. 8. The data items displayed in the user interface screen800correspond to the inspection database204ofFIG. 2. In addition, the inspection logic120retrieves a list of inspection sections associated with the inspection date selected, and presents the list of sections to the inspector on the inspection device104, as shown in a user interface screen900illustrated inFIG. 9.

At step608, the inspection logic120receives a selected section from the inspector via the user interface screen900, retrieves section details for the selected section, and displays the section details in a subwindow902of the user interface screen900as shown inFIG. 9. An inspector may enter values for the section items or these items may be pre-populated with values.

As indicated above, the quality of inspections may vary from inspector to inspector. The compliance management processes facilitate accurate inspection results and accountability of inspectors. For example, in the subwindow902, an inspector may be required to take GPS (global positioning system) readings at the inspection site (shown generally in subwindow902as904. The GPS readings are mapped to coordinates of the client facility location in order to ensure the inspector has arrived at the proper inspection location. In addition, any photographs taken of inspected items may be tagged with GPS readings via the inspection logic120so that the client facility can be assured that the photograph taken correlates to the intended inspection item. The inspection logic120may be configured such that an inspection may not be considered ‘complete’ until the GPS readings are taken. For example, if the inspector attempts to submit inspection results, e.g., by selecting SUBMIT1018inFIG. 10, the inspection logic120may return an error message requesting the GPS readings. Likewise, the inspection logic120may be configured to require selected other fields to be completed before the inspector is permitted to submit inspection results as a completed inspection.

The data items displayed in the user interface screen900correspond to the checklist section database206ofFIG. 2. In addition, the inspection logic120retrieves a list of inspection items associated with the inspection section, and presents the list of inspection items to the inspector on the inspection device104, as shown in a user interface screen1000illustrated inFIG. 10.

At step610, the inspection logic120receives a selected inspection item from the inspector via the user interface screen1000, retrieves inspection item details associated with the selected inspection item, and presents the details to the inspector on the inspection device104via the subwindow1002as shown inFIG. 10. The data items displayed in the user interface screen1000correspond to the checklist item database208ofFIG. 2.

A step612, the inspection logic120receives user input to the inspection item via the subwindow1002. The user input may include a new photo taken (e.g., option1004), a result of the inspection for the item (e.g., violation1006, pass1008, not applicable1010), and added comments1012. As shown in subwindow1002, the user may view a previous photograph1014taken of an object (e.g., a storage tank, a pipe, a nozzle, or a portion of an item inspected) of the inspection side by side or adjacent with a current photograph1004(i.e., newly acquired photo) so as to better evaluate new or ongoing issues that develop over time. The ability to view side-by-side photographs enables the inspector to provide clear and relevant comments concerning his/her observations during a particular inspection. For example, the degree of degradation of a fuel storage tank (e.g., in terms of cracks or surface erosion) can be readily observed using the inspection photograph feature. Likewise, the subwindow1002displays previously submitted comments1016(e.g., from earlier inspections) that direct the inspector's attention to certain issues that may warrant attention. In addition, to the comments, the inspection logic120may be configured to also display a previous inspection result (e.g., an inspection result for the currently viewed inspection item that was documented for an inspection immediately preceding the current inspection in time or multiple inspection results for a number ‘n’ of previously conducted inspections to provide context over a defined period of time. As shown inFIG. 10, the current inspection result (e.g., entered in1006,1008,1010, and/or comment field1012may be displayed in the same subwindow1002for easy review and comparison. Comments and photographs are captured via the logic120and may be stored on the inspection device104, uploaded to the host system computer102, or both.

At step614, the inspection logic120determines whether the inspector has finished with the inspection item detail. If so, the inspector is prompted via the inspection logic120to return to a previous menu (e.g., from step602,604,606, and608) at step616. Otherwise, the input provided by the inspector is transmitted over the networks108to the host system computer102and stored in the storage device112at step618. To transmit the results, the inspector selects a SUBMIT1018option on the subwindow1002.

As indicated above, the service application110enables client facilities to access inspection results in the form of reports. A sample report generated by the service application110for a given client facility is shown inFIG. 11. As shown inFIG. 11, a user interface screen1100depicts a Summary section1102that lists each of the inspection items that failed inspection. Following the Summary section1102, inspection results for inspection items are displayed according to their corresponding sections.