Patent Publication Number: US-2004048232-A1

Title: Method and apparatus for internet based management of compliance distribution and training

Description:
FIELD OF THE INVENTION  
       [0001] The present invention relates to a computer-implemented method and system for information distribution and training. More particularly, the present invention relates to an Internet based platform for managing the distribution of compliance knowledge and training of professional employees of a business entity.  
       BACKGROUND OF THE INVENTION  
       [0002] There are a number of organizations, institutions, and companies that engage in providing various goods and services to consumers. These business entities may include banks, financial service institutions, insurance companies, pharmaceutical companies, food companies and law firms. Often providing these goods and services requires that professionals employed by the business entities have a minimum amount of industry knowledge, knowledge of the business entity, and skills so that customers can be provided with a competent level of service as well as the most accurate, up to date industry information and products. Accordingly, various regulatory agencies exist which govern the industries in which these entities do business. These agencies develop guidelines and rules to protect the customers, and which the business entity and the licensed professionals employed by the business entity must follow. Failure to adhere to the guidelines and rules established by these agencies can result in an organization being severely sanctioned, fined, and or a party to a litigation.  
       [0003] To prevent or mitigate the issuing of any sanctions and or commencement of litigation, these business entities must demonstrate to the agencies that govern their respective industries that they are adhering to the rules and guidelines. More specifically, these business entities must demonstrate that they and their professional employees are performing job functions within the parameters promulgated by the agency guidelines. Often demonstrating that the rules and guidelines are being followed requires that a business entity provide an agency with reports and other materials that convey what activities and training the professionals employed by the business entity has received. Production of these reports protects and strengthens a business entity&#39;s defensive position against litigation and sanctions by regulatory agencies and consumers.  
       [0004] However, performing the necessary tasks to comply and demonstrate compliance with the rules and guidelines is often an arduous task. The generation of the requisite reports is one such task. These reports are tedious, time consuming, and difficult to generate. They require identifying and tracking the activities of individual professional employees as well as groups of professional employees, such as the professional employees for a branch of a business entity, to obtain the data to be included in the reports.  
       [0005] Providing and tracking the training required by the rules and guidelines is also as difficult a task. Often providing training to professional employees will reduce there work output since the employees will be taken away from their work for a considerable amount of time. In addition, employees will be less likely to engage in training that requires the employees to travel to a location other than their place of employment. Furthermore, employees who do engage in training on and off the work location may have poor organizational skills, and thus, not keep accurate record of their training.  
       [0006] Accordingly, there exist a need in industries that are highly regulated for a method and system that provides information deemed necessary by the agencies to the employees of these companies. There also exist a need in these industries for tracking an employee&#39;s interaction with the provided information. Lastly, there exists a need in these industries for organizing and recording the employee&#39;s activity with the provided information.  
       SUMMARY OF THE INVENTION  
       [0007] Based on the above and foregoing, it can be appreciated that there presently exists a need in the art for a computer system and corresponding operating method which overcomes the above-described deficiencies. The present invention was motivated by a desire to overcome the drawbacks and shortcomings of the presently available technology, and thereby fulfill this need in the art.  
       [0008] The present invention is a method, system, and computer program product for managing and tracking the distribution of compliance knowledge and training to licensed professionals of an organization. The present invention provides an organization engaging in a government regulated activity with a management system and method for organizing, delivering and monitoring compliance knowledge and professional training. The management system provides services that may include compliance knowledge distribution, professional training, management administration, communication, and reference resource distribution.  
       [0009] In an aspect of the present invention, a user can be provided with access to compliance knowledge. The compliance knowledge can include various compliance knowledge types. Each listed type corresponds to a link that, when selected, leads to the segment of information for the type. The user may access a knowledge type to obtain information that the user desires to use and obtain knowledge from. The user can access various sections of the knowledge typed. The knowledge type can include descriptive content that can convey information that is required to professional employees and that can provides knowledge necessary for performing a job function competently. The user may navigate from within the knowledge type using navigation controls.  
       [0010] In an aspect of the present invention, there can be various forms of compliance knowledge. Each form of compliance knowledge can be customized to benefit a specific business entity. A professional employee of the business entity can access the form of the compliance knowledge that corresponds to the business entity for which the employee works.  
       [0011] In another aspect of the present invention, access to the compliance knowledge can be determined by login data. The login data can be associates with a profile that can enable the identification of the appropriate compliance knowledge for a user.  
       [0012] In another aspect of the present invention, the use of compliance knowledge by a user can be recorded and stored as data for use in the future. An administrator, such as manager, can access the stored data for use in generating of documents. The documents can be useful in reducing organizational risks.  
       [0013] In another aspect of the present invention, a user can access professional training subject matter. The personalized training can be customized to a user&#39;s role and job functions, professional licenses, business entity of employment, and that satisfy any professional training requirements established by respective regulatory agencies. The personalized training can be provided as various courses and each course can include various lessons. The lessons can include instructional information and interactive exercises pertaining to the topic of the lesson.  
       [0014] In another aspect of the present invention, the lesson can include various modes of instruction. Each mode of instruction can teach subject matter related to the lesson in a different manner.  
       [0015] In another aspect of the present invention, access to the professional training can be determined by login data. The login data can be associates with a profile that can enable the identification of the appropriate professional training for a user.  
       [0016] In another aspect of the present invention, the use of professional training as well as user progress and user performance of a user can be recorded and stored as data for use in the future. An administrator, such as a manager, can access the stored data for use in generating of documents. The documents can be useful in reducing organizational risks.  
       [0017] In another aspect of the invention, the professional training and compliance knowledge can be associated. The associating can allow a user to access compliance knowledge when performing professional training. The association can also allow a user to access professional training when using compliance knowledge.  
       [0018] In another aspect of the present invention, a communication dialog can be performed. A communication link can initiate the communication dialog. The dialog may be performed in various manners. The communications dialog enables discussion between the user and other professional employees of the business entity to discuss professional training.  
       [0019] In another aspect of the present invention, a user can perform compliance management administration. The system can implement the functions of administrative service. The functions may include user registration and profile creation, notification, and information creation and distribution.  
       [0020] In another aspect of the present invention, access to compliance management administration can be determined by login data. The login data can be associates with a profile that can enable the identification of whether the user is authorized to perform management functions.  
       [0021] Further features and advantages of the invention will become apparent to those skilled in the art with reference to the accompanying figures and written description below. 
     
    
    
     BRIEF DESCRIPTION OF THE DRAWINGS  
     [0022] The details of the present invention, both as to its structure and operation can best be understood by referring to the following description with reference to the accompanying drawings in which:  
     [0023]FIG. 1 is a diagram of a system in which the method of the present invention can be carried out;  
     [0024]FIG. 2 is a functional block diagram of a system server computer in the network of FIG. 1, used by a business entity for managing the distribution of compliance knowledge and professional training;  
     [0025]FIG. 3 is a functional block diagram of business entity computer in the network of FIG. 1, used by licensed professionals of business entity, in which the method of the present invention can be practiced;  
     [0026]FIG. 4 is a flow diagram depicting a method of user login;  
     [0027]FIG. 5 is an exemplary screen for user login;  
     [0028] FIGS.  6 A- 6 B is a flow diagram for the method of compliance knowledge distribution;  
     [0029]FIG. 7 is an exemplary screen for listing various compliance knowledge types;  
     [0030]FIG. 8 is an exemplary screen for listing various sections of a compliance knowledge type;  
     [0031] FIGS.  9 A- 9 B depict exemplary areas of a web page providing a section of information;  
     [0032] FIGS.  10 A- 10 B is a flow diagram depicts the process of professional training;  
     [0033]FIG. 11 is an exemplary personalized training page;  
     [0034]FIG. 12 is an exemplary course contents page;  
     [0035]FIG. 13 is an exemplary training lesson web page is depicted;  
     [0036]FIG. 14 is a flowchart depicting the method of initiating a communication dialog performed by the present invention;  
     [0037] FIGS.  15 A- 15 B is a flow diagram depicting the process of distributing compliance reference resources;  
     [0038]FIG. 16 is an exemplary screen for listing various reference resource types; and  
     [0039]FIG. 17 is a flow diagram depicting the process of compliance management administration. 
    
    
     DETAILED DESCRIPTION OF THE INVENTION  
     [0040] The present invention is now described more fully hereinafter with reference to the accompanying drawings that show preferred embodiments of the invention. This invention, however, may be embodied in many different forms and should not be construed as limited to the embodiments set forth herein. Appropriately, these embodiments are provided so that this disclosure will be thorough, complete, and will fully convey the scope of the invention.  
     [0041] As will be appreciated by one having skill in the art, the present invention may be embodied as a method, a data processing system, a computer program product and a method of doing business. The present invention combines software and hardware to produce the embodiments of the present invention described in further detail below. Furthermore, the present invention may take the form of a computer program product on a computer-readable storage medium having computer-readable program code means embodied in the medium. Any suitable computer-readable medium may be utilized including hard disk, CD-ROM, floppy disk, optical storage device, magnetic storage device, etc.  
     [0042] Referring now to FIG. 1, a functional block diagram of Facility  100  is depicted in which the present invention can be performed. As shown in FIG. 1, various computers  106  can connect to network  104 . These computers  106  can communicate with Facility  100  via computer network  104 . In the preferred embodiment, a compliance management service provider, at a location remote to business entities, operate the Facility  100 . The Facility  100  can implement the methods and functions of a web based management platform for compliance knowledge distribution and professional training for various business entities. Computer devices  106  can connect to Facility  100  server  102   a  using network  104 . Professional employees of the various business entities can use computer devices  106  to access the methods and functions of a web based management platform for compliance knowledge distribution and professional training.  
     [0043] In an alternative embodiment, a business entity can operate Facility  100 . Facility  100  can implement the methods and functions of a web based management platform for compliance knowledge distribution and professional training solely for its own benefit. Computer devices  106  can connect to Facility  100  server  102   a  using network  104 . Professional employees of the business entity can use computer devices  106  to access the methods and functions of a web based management platform for compliance knowledge distribution and professional training. The Facility  100  may transmit, using network  104 , any combination of proprietary voice, video and/or data between computer devices  106  and Facility  100  server  102   a.    
     [0044] In the preferred embodiment, the network  104  of the present invention may be a wide area network (WAN), such as an Internet. The Facility  100  may connect to third party server devices  102   b  and  102   c  using network  104 . Third Party server devices  102   b  and  102   c  can contain information and services that are external to and compliment the information and services available on server  102   a  at Facility  100 . As will be appreciated by one of skill in the art, a number of computer devices  106  may be provided at disparate locations throughout the network  104 . In an alternative embodiment, the network  104  of the present invention may be a local area network (LAN), such as an Intranet. The Facility  100  may connect to third party server devices  102   b  and  102   c  using a local area network.  
     [0045]FIG. 2 is a functional block diagram of server device  102   a  illustrated in FIG. 1. The server devices  102  may include a central processing unit (CPU)  222 , connected by a bus  226  to a memory  206 , a consumer database  216 , a hard drive  218  and a network interface  224  which can be connected to networks  104  for communication with computer devices  106 . The server devices  102  may include the software for implementing a web based compliance management platform for knowledge distribution and training to professionals of a business entity. As shown, the various components of the server devices  102  communicate through a system bus  226  or similar architecture. Typically, CPU  222  can be a microprocessor, such as an INTEL PENTIUM® processor, but may also be any processor that executes computer program instructions.  
     [0046] Systems memory  206  can be disposed in communication with CPU  222  and database  216 . In the preferred embodiment, the communication is through bus  226 . Memory  206  may include Compliance Management routine  202 , an input buffer  204 , a buffer  212 , and operating system  214 . Systems memory  206  is the workspace from which all program execution and data processing takes place for server device  102 .  
     [0047] Compliance Management routine  202  may be computer program instructions executable by CPU  222 , which may be loaded into systems memory  206 . Compliance Management routine  202  includes functions that implement, as described in detail hereinafter, user login, compliance knowledge distribution, professional training, training administration, and compliance tracking. Compliance Management routine  202  may be stored on computer readable media and used therefrom by server device  102   a  to perform the specified functions.  
     [0048] The personal profile buffer  212  and input buffer  204  can serve as reserved areas of memory for temporarily holding data. The buffer  212  may hold data retrieved from consumer database  216  until it is ready for processing. Input buffer  204  may hold data transmitted from computer device  106  and servers devices  102   b  and  102   c  over networks  104  to server device  102   a.    
     [0049] Operating system  214  provides overall system functionality. Operating system  214  is the program that, after being initially loaded into the computer, manages all the other programs in server  102 , such as Compliance Management routine  202 . The operating system  214  can find data and delivers it to Compliance Management routine  202 . Conversely, when Compliance Management routine  202  is ready to output, the operating system  214  can transfer the data from Compliance Management routine  202  to the appropriate destination. The operating system  214  is responsible for the central management of all devices, not just disk drives. The operating system  214  can call on one or more drivers for input and output, and the drivers communicate with the corresponding hardware device.  
     [0050] Network Interface  224  can enable communication between servers  102  and computers  106  using network  104 . It receives data from and transmits data to computer devices  106 . Database  216  can be in communication with server  102  using bus  226 . The database  216  can include documents, information content and data. The database  216  can be particularly useful for holding information generated from interaction between server  102  and computer  106 .  
     [0051] In the preferred embodiment, the database  216  stores compliance knowledge, professional training information, document and data. The compliance knowledge, professional training information, document and data are specific to a business entity using the system  100 . The available compliance knowledge, professional training information, document and data can be provided in a format that can be understood by browser  308 , such as HTML or XML. The compliance knowledge, professional training information, document and data can be stored as segments of information that can be accessed at once. Each segment of information that can be accessed at once corresponds to a web page and has an associated network address identifying the location of the segment in the database  216 . A web page can be presented to the user by referencing the address of the segment of information. A collection of information segments that are related to a common topic may be connected with one another using links (i.e., hyperlinks) that reference the address of other segments. The collection of information segments may all be stored on server device  102   a  or may dispersed between server devices  102   a - 102   c . Compliance knowledge stored in database  216  may include manuals, updates, guides, and firm element plan.  
     [0052]FIG. 3 is a functional block diagram of a computer device  106  as illustrated in FIG. 1. The computer device  106  can enable employee employed by a business entity to view information content provided by various server devices  102   a - 102   c . In the preferred embodiment, computer device  106  may include personal computers, workstations and the like. Computer device  106  may include a central processing unit (CPU)  320 , connected by a bus  312  to the memory  302 , a hard drive  316  and a network interface card  322  which can connect to network  104  for communication with server devices  102   a - 102   c . Computer device  106  can also include input device interface  314 , and display interface  318 . Input device interface  314  enables interaction with and execution of instruction by a user of computer device  106 . Display interface  318  displays information generated for output by computer device  106  and provided by server devices  102   a - 102   c . The information may be in the form of web pages that provide the user with the methods performed by server device  102 . Systems Memory  302  can store data, such as Browser Program  308 , an input buffer  304 , an output buffer  306 , and operating system  310 .  
     [0053] Browser Program  308  is a computer program that can be executed by CPU  320  and that may be loaded into systems memory  302 . The browser program  308  enables the information content available at server devices  102  to be provided to computer device  106  in a manner that can be understood by a user. The browser  308  serves as a front end to the World Wide Web on the Internet and is designed to display one web page at a time.  
     [0054] The present invention is a method, system, computer program product and business method for managing the distribution of compliance knowledge and professional training information to employees of a business entity. The present invention provides a business entity engaging in a government regulated activity with a management system and method for organizing, delivering and tracking compliance knowledge and professional training information distribution. Compliance Knowledge as used herein is meant to convey segments of information content available at a server that relates to the performing a job function as defined by a regulatory agency and business entity. In the preferred embodiment, Facility  100  can include many variations of compliance knowledge and professional training information. Each variation, for example, is customized to fulfill the needs of a specific business entity. In an alternative embodiment, Facility  100  can include compliance knowledge customized for a single business entity.  
     [0055] Turning now to FIG. 4. FIG. 4 depicts a flowchart illustrating a method of user login. In the preferred embodiment, the method of user login provides a user with access to information content and services provided by Facility  100 . The information content to which access can be granted includes Compliance Knowledge and professional training information. In step  400 , a user, such as a professional employee of the business entity, can connect to server device  102   a  using computer  106 . Server  102   a  can provide the user with a login screen upon connecting to computer  106 . In order to access the full functionality of server  102   a , authorization may be necessary. In step  402 , the server device  102   a  can determine authorization.  
     [0056] In step  404 , the entry of login data can be made. In the preferred embodiment, the login data includes a username and password. Server  102   a  can transmit the login data over network  104  from computer device  106 . In step  406 , the server  102   a  can validate the login data. In the preferred embodiment, validation determines access rights to the site, what form of compliance knowledge as well as professional training information to provided the user, and the pace at which the training will occur. A user&#39;s distinct profile can be utilized in the validation process. Login data is associated with a distinct profile. The distinct profile can define access rights and training courses required. The distinct profile can be created during the registration of the user. The registration can be performed by a business entity administrator or the user, and can be based on the user&#39;s job functions within the business entity and any professional licenses held. If the username and password entered are incorrect or nonexistent, in step  408  an error message can be displayed and the user prompted to repeat the login procedure or contact an administrator to be registered. If the username and password entered are correct, in Step  410  the user can be provided with an interface for access to the services and information content available on server device  102   a.    
     [0057] In the preferred embodiment, the interface is a main page by which a user can gain access to the services and information content provided by server device  102   a , such as Compliance Knowledge and profession training information. The Main Page can include a listing of the services available on the server device  102   a . In the preferred embodiment, the available services include compliance knowledge distribution, professional training information, compliance management administration, compliance communication, and reference resource distribution. The methods performed by these services are described in further detail herein below.  
     [0058] In Step  412 , the tracking method can be initiated. In the preferred embodiment, the tracking method operates in concert with the compliance knowledge and/or professional training information distribution. The tracking method can monitor the use, such as viewing, of compliance knowledge by a user as well as the performance and progress of the user engaged in professional training course. For example, the system monitors the user selection of compliance knowledge and sections thereof by the user as well as the responses to interactive exercises. The tracking method generates compliance knowledge use data associated with use of the compliance knowledge. The tracking method also generates personal training activity data associated with use of the personalized professional training information. All relevant data can be recorded. In the preferred embodiment, the data is stored and associated with the login data.  
     [0059] The data can be used for the generation of meaningful documents. In the preferred embodiment, the documents are reports that can demonstrate that the professional employees of a business entity know what the proper procedures are for performing their job function and how to apply the procedures. In the preferred embodiment, the relevant data includes compliance knowledge used, training courses taken, training progress, training exercise scores, and data indicating the time and date that the data was generated. The recorded data may be stored in database  216 , for example, as a record associated with the user having the username and password. New data can be appended to any previously recorded data so as to generate a compliance log or history for the user.  
     [0060] Turning now briefly to FIG. 5. FIG. 5 is an exemplary login web page  500 . The login web page includes a field for a user to provide their username  502  and a field for their password  504 . The username and password grants a user access to the services provided by server  102   a  when login button  506  is selected.  
     [0061] Turning now to FIG. 6, where a flow diagram depicts the process of distributing compliance knowledge. In Step  600 , the process begins in response to a user request for a service. In the preferred embodiment, a user selects the compliance service listed on the Main Page. Each listed service can be a link that, when selected, leads to compliance knowledge stored in database  216  of server device  102   a . The selection of the compliance service provides a user with the segment of information for the compliance knowledge. In the preferred embodiment, the segment of information is in the form of a web page. The web page includes a list of various compliance knowledge types. Server device  102   a  can transmit the segment of information including the listing of knowledge types, over network  104 , to the computer device  106 .  
     [0062] Turning now briefly to FIG. 7. FIG. 7 is an exemplary screen for listing various compliance knowledge types. In the preferred embodiment, the knowledge types listed include manual update  702 , compliance manual  704 , supervisory manual  706 , firm element plan  708  and references  710 . Each listed knowledge type may be a link or refers to links that, when selected, leads to a corresponding segment of information that includes the descriptive text related to issues addressed by the knowledge type.  
     [0063] In the preferred embodiment, manual update type  702  pertains to a segment of information related to updates in the general policies and procedures for performing job functions as promulgated by a regulatory agency and supervising the professionals of a business entity performing the job functions. Compliance manual  704  pertains to a segment of information related to general policies and procedures for performing job functions as required by a regulatory agency. Supervisory manual type  706  pertains to a segment of information related to general policies and procedures for supervising the professionals of a business entity performing the job functions and any relevant reports. Firm element plan type  708  pertains to a segment of information related to assessment reviews. Reference type  710  pertains to segments of information that is relevant and supplements any of the aforementioned knowledge types. The reference segments of information may include Sales, Product, Best Practices, Down Market Contingency Plan, Compliance, Account Guidelines, Sales Practice, and Policies and Procedures.  
     [0064] Returning now to FIG. 6. In Step  602 , the user can select a knowledge type. Selection is a designation of an item of interest. In the preferred embodiment, the selection is a link that corresponds to the knowledge type segment of information that the user desires to use and learn about. The computer device  106  can transmit selection over network  104  to server  102   a  using network interface  322 .  
     [0065] In Step  604 , the server  102   a  can transmit a portion of segment of information to the computer device  106 . The segment of information corresponds to the selected knowledge type. In the preferred embodiment, the portion of the segment of information is provided to the user as a web page. The web page may include a list of various sections that relate to specific issues discussed in the knowledge type segment of information.  
     [0066] Turning briefly to FIG. 8. FIG. 8 is an exemplary screen for listing various sections of a compliance knowledge type  802 . The section listings are in the form of a table of contents. The sections pertain to the rules and guidelines of a regulatory agency. Each listed section corresponds to a link that, when selected, leads to a section of information located within the segment of information for the knowledge type selected in Step  600 .  
     [0067] Returning now to FIG. 6. In Step  606 , the user can select a section of a compliance knowledge type. Selection is a designation of an item of interest. The selection reflects the user&#39;s desire to use and learn the specific issue discussed by the section of the knowledge type. The selection is transmitted to server  102   a  as a request over network  104 .  
     [0068] In Step  608 , the server  102   a  can provide the user with the section of information that is associated with the selected link for a section of a compliance knowledge type. In the preferred embodiment, the section of the information is provided as a web page. The web page includes an area for the descriptive compliance content, an area with links for navigating within the section of information, an area with a link for returning to the top of the web page for the section and the web page, and an area with a link for returning to the web page for selecting a section of a knowledge type. The server  102   a  can transmit the web page over network  104  to a computer device  106  for display on display  318 .  
     [0069] The area for the descriptive content may include descriptive text with regulatory links, reference links and training links embedded therein. The descriptive text can convey the information that provides a professional with the knowledge necessary for performing a job function. The Regulatory links can retrieve segments of information stored on an external server device, such as  102   b  and  102   c , which the descriptive text is based. In the preferred embodiment, the segments of information retrieved from external server device  102   b  and  102   c  will be stripped of links referring to other segments of information. In addition, the external server  102   b - 102   c  are associated with or operated by a regulatory agency. Training links can retrieve training segments of information stored on server device  102   a  that include interactive exercises based on the descriptive text surrounding the embedded training link. Reference links can retrieve reference segments of information from server device  102   a  that are relevant and supplement the descriptive text surrounding the embedded reference link.  
     [0070] Turning to FIGS.  9 A- 9 B briefly. FIGS.  9 A- 9 B depict exemplary areas of a web page providing the section of information. FIG. 9A depicts the area with links for navigating within the section of a compliance knowledge type  902  and the area for providing the descriptive content  904 . Links  906  correspond to the subjects covered by the section. FIG. 9B depicts the area  908  with link  910   a  for returning to the top of the web page for the section and link  910   b  for returning to the web page for selecting a section of a knowledge type.  
     [0071] In Step  610 , the server  102   a  can determine navigation initiated within the section of information. In the preferred embodiment, initiating navigation is accomplished through the selection of the links provided in the areas discussed above in FIGS.  9 A- 9 B. If the server  102   a  determines that the navigation is for returning to the top of the section the process returns to Step  608  where the web page providing the descriptive content is again provided. If the server  102   a  determines that the navigation is for navigating within the section of a compliance knowledge type the server moves to the location of information within the section of compliance knowledge Step  612  and then returns to Step  610 . If the server  102   a  determines that the navigation is for returning to the web page for selecting a section of a knowledge type the process returns to Step  602 .  
     [0072] Turning now to FIG. 10, where a flow diagram depicts the process of professional training. In Step  1000 , the process begins in response to a user request for training service. The request can be a link included on the Main Page discussed above. In the preferred embodiment, the user is provided with a personalized training page. The training page will include a listing of at least four (4) distinct training courses that are customized to a user&#39;s role and job functions as a licensed professional of the business entity, and that satisfy any training requirements established by the respective regulatory agencies for any professional licenses held. The training courses will be assigned a course track that determines the pace at which the instruction will occur. The course track can include fast and slow. The training page is transmitted from server  102   a  over network  104  to a computer device  106 .  
     [0073] Turning briefly to FIG. 11. FIG. 11 is an exemplary personalized training page  1100 . The training page can include a user identifier  1102 , a list of courses  1104 , course descriptions  1106  and course completion indicator  1108 . The user identifier reflects the user who is logged in to the server  102   a . The list of courses corresponds to the training that the user is required to receive to fulfill requirements as a licensed professional and deemed necessary by the business entity. Each course listed has an associated course description that conveys the primary purpose of the course. Each course listed also has an associated course completion indicator that specifies the percentage of the course that has been completed by the user to date.  
     [0074] Returning now to FIG. 10. In Step  1002 , the user can select a training course. In the preferred embodiment, the user selects a link that corresponds to the particular training that the user desires to receive. The selection is transmitted from computer device  106  over network  104  to server  102   a  using network interface  322 .  
     [0075] In Step  1004 , the user can be provided with course contents. The course content can be provided as a web page. In the preferred embodiment, the course contents web page includes a listing of course lessons that are part of the course training. Each course lesson covers a different topic that is related to the subject matter of the course. The content page provides a user with access to the courses listed. The course contents page is transmitted from server  102   a  over network  104  to computer device  106 .  
     [0076] Turning briefly to FIG. 12. FIG. 12 is an exemplary course contents page  1100 . The course contents page includes lesson numbers  1202 , a list of lesson  1204 , lesson descriptions  1206  and lesson completion indicator  1208 . The lesson number is a representation of the order in which the lesson occurs with respect to the other lessons in the course. The list of lessons corresponds to topics covered by the course. Each lesson listed has an associated lesson description that conveys the primary purpose of the lesson. Each lesson listed also has an associated lesson completion indicator that specifies the percentage of the lesson that has been completed by the user to date.  
     [0077] Returning to FIG. 10. In Step  1006 , the user can select a training lesson. In the preferred embodiment, the selection can be a link that corresponds to the particular training topic that the user desires to receive instruction. The selection is transmitted from computer device  106  over network  104  to server  102   a  using network interface  322 .  
     [0078] In Step  1008 , the server  102   a  can provides the user with the section of information that is associated with a selected lesson. In the preferred embodiment, the selected lesson is provided as one or more web pages. Each web page provides the user with instructional information and interactive exercises pertaining to the topic of the lesson.  
     [0079] Turning now to FIG. 13, where an exemplary training lesson web page is depicted. The web pages includes an area for the descriptive lesson content  1302 , an area for challenge content  1304 , an area for interactive icons  1306 , links embedded in the text of descriptive lesson content  1308 , and navigation controls  1310 . The web page is useful for the delivery of interactive training content.  
     [0080] In the preferred embodiment, descriptive lesson content area  1302  is a region of text provided on the web pages that teaches the principles and addresses the issues pertaining to the topic of the lesson. The challenge content area  1304  is a region of the web page that presents the user with a question that pertains to the topic of the lesson. The interactive icon area  1306  is a region of the web page that includes icons that dictate the section of the lesson given and mode of instruction. The Tell Me icon  1306   a  retrieves a section of the lesson that provides instruction as an overall discussion of the topic that can be used in performing a job function. The Show Me icon  1306   b  retrieves a section of the lesson gives instruction as an overview of a particular issue associated with the topic. The Let Me Try icon  1306   c  retrieves a section of the lesson that provides instruction by allowing the user to provide responses to question related to the topic.  
     [0081] The links embedded in the descriptive lesson content area  1308  may include a help link, a communication link, a reference link and a hints link. In the preferred embodiment, the help link provides a section of information that gives a user the knowledge necessary to use the training service. The communication link initiates a communication dialog between the user and other professional employees of the business entity (described in further detail herein below). The reference link provides a segment of information that supplements the lesson content. The hints link provides a segment of information that assists a user in issuing a response to questions.  
     [0082] Returning to FIG. 10. In Step  1010 , the server  102   a  can determine the mode of instruction. In the preferred embodiment, initiating the mode of instruction is accomplished through the selection of the icons. The icons can be provided in the interactive icon area  1306  discussed above in FIG. 13. If the server  102   a  determines that the mode of instruction is the Tell Me mode of instruction the process proceeds to Step  1012  and can provide an overall discussion of a topic. In the preferred embodiment, the overall discussion is provided as a web page including text for an overall discussion of the topic that is used in performing a job function. If the server  102   a  determines that the navigation is for the Show Me mode of instruction process proceeds to Step  1014  and can provide an overview of a particular issue. In the preferred embodiment, the overview of the particular issue is provided as a web page that includes text and illustration for an overview of a particular issue associated with the topic. If the server  102   a  determines that the navigation is for the Let Me mode of instruction the process proceeds to Step  1016  and can provide interactive exercises. In the preferred embodiment, the interactive exercises are provided as a web page that allows the user to respond to interactive exercises and assessment questions designed to ascertain knowledge and ensure retention related to the topic. Each of the web pages, provided in Steps  1012 - 1016 , may include navigation icons in a navigation area. The navigation icons allow the user to retrieve the next web page in the respective mode of instruction for the lesson.  
     [0083] Turning now to FIG. 14. FIG. 14 is a flowchart depicting the method of initiating a communication dialog performed by the present invention. In Step  1400  the process begins in response to a communication dialog request. In the preferred embodiment, the request is initiated by the selection of a communication link, such as communication service link listed on the Main Page and the communication link embedded in descriptive lesson content area discussed above. The request initiates a dialog between the user and other professional employees of the business entity to discuss training courses and training lessons. The request is transmitted from computer device  106  over network  104  to server  102   a.    
     [0084] In Step  1402 , the user is provided various forms of communication. In the preferred embodiment, the various form of communication are provided in a web page as a list of links. The listed forms of communication may include an e-mail communication, scheduling an on-line meeting and participation in a discussion group. The web page listing the various forms of communication is transmitted from server  102   a  over network  104  to computer device  106 .  
     [0085] In Step  1404 , the user can select a form of communication. The selected form of communication reflects the type of dialog that the user wishes to engage in order to obtain assistance. The selection is transmitted from the computer  106  over network  104  to server  102   a.    
     [0086] In Step  1406 , the server  102   a  can initiate the dialog in accordance with the selection in Step  1404 . In the preferred embodiment, if the selection is for e-mail communication the server  102   a  launches the business entities&#39; e-mail application allowing the user to send an e-mail message requesting assistance. If the selection is for a discussion group the server  102   a  connects a user to a discussion group focusing on the topic for which assistance is needed. If the selection is for scheduling a meeting the user is provided a calendar to plan a conference.  
     [0087] Turning now to FIG. 15, where a flow diagram depicts the process of distributing compliance reference resources. In Step  1500 , the process begins in response to a user accessing a reference service. In the preferred embodiment, the user selects a reference service link listed on the main page. The selection of the reference service link provides a user with a segment of information in the form of a web page that includes a list of various reference resource types. The segment of information is retrieved by server  102   a  from database  216 . Server device  102   a  transmits the segment of information including the listing of knowledge types, over network  104  to the computer device  106 .  
     [0088] Turning now briefly to FIG. 16. FIG. 16 is an exemplary screen for listing various reference resource types. The reference resource types listed include Sales  1602 , Product  1604 , Best Practices  1606 , Down Market Contingency Plan  1608 , Compliance  1610 , Account Guidelines  1612 , Sales Practice  1614 , and Policies and Procedures  1616 . In the preferred embodiment, each listed reference type is a link or refers to links that, when selected, leads to a corresponding segment of information that supplements compliance knowledge segments of information and includes a written description pertaining to the issues addressed by the reference resource type. The segments of information may be stored on server devices  102   a.    
     [0089] Returning now to FIG. 15. In Step  1502 , the user can select a listed reference resource type. The selection corresponds to the segment of information that the user desires to use as a supplement. The selection is transmitted from computer device  106  over network  104  to server  102   a  using network interface  322 .  
     [0090] In Step  1504 , the server  102   a  can transmits a portion of the segment of information. In the preferred embodiment, the segment of information corresponding to the selected reference resource type. The segment of information is transmitted over network  104  to the computer device  106 . The portion of the segment of information is provided to the user as a web page. The web page may include a list of various sections that relate to specific issues discussed in the segment of information.  
     [0091] In Step  1506 , the user can select a link for a section of a reference resource type. The selection reflects the user&#39;s interest in obtaining supplemental information on a particular issue addressed by the reference resource type. The selection is transmitted to server  102   a  as a request over network  104 .  
     [0092] In Step  1508 , the server  102   a  can provide the user with a section of information for a section of reference resource type. In the preferred embodiment, the section of the information is provided as a web page. The section of information is for the reference resource type selected by the user. The web page may include an area for the descriptive compliance content, an area with links for navigating within the section of information, an area with a link for returning to the top of the web page for the section and the web page, and an area with a link for returning to the web page for selecting a section of a knowledge type. The server  102   a  transmits the web page over network  104  to a computer device  106  for display on display  318 .  
     [0093] In the preferred embodiment, the area for the descriptive content may include descriptive text with regulatory links, and compliance links embedded therein. The descriptive text conveys the information that provides a professional with the knowledge necessary for performing a job function. The Regulatory links retrieve segments of information stored on an external server device, such as  102   b  and  102   c . The segments of information retrieved from external server device  102   b  and  102   c  will be stripped of links referring to other segments of information. The external server  102   b - 102   c  may be associated with a regulatory agency. Compliance links retrieve a compliance segment of information stored on server device  102   a  that has a connection to the descriptive text surrounding the embedded training link. Reference links retrieve reference segments of information from server device  102   a  that are relevant and supplement the descriptive text surrounding the embedded reference link.  
     [0094] In Step  1510 , the server  102   a  can determine navigation initiated within the section of information. In the preferred embodiment, the initiating navigation is accomplished through the selection of navigation links. If the server  102   a  determines that the navigation is for returning to the top of the section the process returns to Step  1508  where the web page providing the descriptive content is again provided. If the server  102   a  determines that the navigation is for navigating within the section of a reference resource the server moves to the location of information Step  1512  within the section of reference resource and then returns to Step  1510 . If the server  102   a  determines that the navigation is for returning to the web page for selecting a section of a reference resource the process returns to Step  1502 .  
     [0095] Turning to FIG. 17. FIG. 17 is a flow diagram for the method of compliance management administration. In Step  1700  the method begins in response to an administration service request by a user. In the preferred embodiment, the selection of the administration service initiates a validation process to determine whether the user has the access rights to implement the functions of the administration service. If the user does not have access rights, in step  1702  an error message will be displayed and the user will be notified that he/she lacks the necessary access rights or to contact an administrator. If the user does have access rights, in Step  1704  the user is provided with an Administrative Page listing the functions available to an administrator. The functions may include user registration and profile creation, notification, and information creation and distribution.  
     [0096] In Step  1706 , the system can identify an administration function to perform. In the preferred embodiment, the system identifies the administrative function selected by a user. In Step  1708 , the system executes the function. If user registration and profile creation function is selected, the administrator is allowed to assign access rights and training courses to be taken by the user according to job functions and professional licenses held as well as develop a user profile. The user profile may include a description of the licenses held by the user, important dates, personal information, work location, educational level, tenure with business entity, and access group. If the training notification function is selected, the user is allowed to distribute to users communications dialogs regarding updates to compliance knowledge, additional training requirements, upcoming examination, and continuing education requirements. These dialogs can be in the form of emails. If the information creation and distribution function is selected, the user is allowed to modify or add to the segments of information stored in database  216 .  
     [0097] The present invention is described above with reference to flowchart illustrations of methods, systems and computer program products. It will be understood that each block of the flowchart illustrations, and combinations of blocks in the flowchart illustrations, can be implemented by computer program instructions. These computer program instructions may be loaded onto and stored in a computer-readable memory of a general-purpose computer, special purpose computer, or other programmable data processing apparatus to produce a machine. These computer program instructions, which execute on the computer or other programmable data processing apparatus, producing means and/or an article of manufacture including instruction means which implement the function specified in the flowchart block or blocks.  
     [0098] The computer program instructions may cause a series of operational steps to be performed producing a computer implemented process, such that the computer or other programmable apparatus provide steps for implementing the functions specified in the flowchart block or blocks. In the preferred, these computer program instructions are written in the Java programming language. It is to be appreciated by one of skill in the art, however, that these routines may be implemented in any of a wide variety of object oriented programming languages.  
     [0099] Accordingly, blocks of the flowchart illustrations support combinations of means for performing the specified functions, combinations of steps for performing the specified functions and program instruction means for performing the specified functions. It will also be understood that each block of the flowchart illustrations, and combinations of blocks in the flowchart illustrations, can be implemented by special purpose hardware-based computer systems that perform the specified functions or steps.  
     [0100] Although specific embodiments of the present invention have been described, it will be understood by those skilled in the art that there are other embodiments that are equivalent to the described embodiments. Accordingly it is to be understood that the invention is not to be limited by the specific illustrated embodiments, but only be the scope of the appended claims.