US Patent Application No: 2002/0059,093

Number of patents in Portfolio can not be more than 2000

Methods and systems for compliance program assessment

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ATTORNEY / AGENT: (SPONSORED)

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Abstract

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Methods and systems for identifying and quantifying compliance issues are described. In one embodiment, a system is configured to implement a method which comprises assessing at least one compliance program to identify potential risks and prioritizing the potential risks. The issues relating to the potential risks, for example, failure modes and root causes are identified and are mitigated and controlled.

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First Claim

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Patent Owner(s)

Patent OwnerAddressTotal Patents
GENERAL ELECTRIC CAPITAL CORPORATION, AS AGENTCHICAGO, IL229

International Classification(s)

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  • [Patents Count]

Inventor(s)

Inventor Name Address # of filed Patents Total Citations
Barton, Nancy E Old Greenwich, CT 1 59
Carbone, John W Niskayuna, NY 4 131
Denniston, Brackett B III Fairfield, CT 1 59
Gilbert, Edward S New York, NY 2 70
Green, Robert C Newton, PA 6 105
Lacey, William Cleveland, OH 3 60
Mensching, Eugene F JR White Plains, NY 1 59
Mitchell, Christina E Bellevue, WA 1 59
Robine, Christopher Fairfield, CT 1 59
Torres, Frank III Phillipsburg, NJ 1 59
Tucker, David E Ridgefield, CT 1 59
Vicente, Ligia B Bridgeport, CT 1 59
West, Sheri F Norwalk, CT 1 59
Whitcomb, John M Tiburon, CA 1 59

Cited Art Landscape

Patent Info (Count) # Cites Year
 
Other [Check patent profile for assignment information] (1)
* 2002/0120,642 System and method for assisting an organization to implement and maintain compliance with various obligations 72 2002
 
INTERNATIONAL BUSINESS MACHINES CORPORATION (1)
* 6,557,167 Apparatus and method for analyzing performance of a computer program 21 1999
 
GENWORTH HOLDINGS, INC. (1)
* 6,912,502 System and method for compliance management 102 1999
 
GENERAL ELECTRIC COMPANY (1)
* 6,496,347 System and method for optimization of a circuit breaker mechanism 3 2000
 
Aircraft Technical Publishers (1)
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CITIBANK, N.A. (1)
* 6,112,190 Method and system for commercial credit analysis 257 1997
 
NATUS MEDICAL INCORPORATED (1)
* 5,980,429 System and method for monitoring training programs 80 1998
 
TMRC (1)
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TAYLOR MICROTECHNOLOGY INC. (1)
* 6,209,004 Method and system for generating and distributing document sets using a relational database 64 1996
 
SCHERING CORPORATION (1)
* 6,587,829 Method and apparatus for improving patient compliance with prescriptions 63 1998
 
Bodenseewerk Geratetechnik GmbH (1)
* 5,710,559 Flight safety monitoring device for aircraft with alarm 29 1995
 
ACCENTURE GLOBAL SERVICES LIMITED (1)
* 6,256,773 System, method and article of manufacture for configuration management in a development architecture framework 552 1999
 
SOLUTION STRATEGIES, LLC (1)
* 5,233,513 Business modeling, software engineering and prototyping method and apparatus 256 1989
 
CHRYSALLIS, INC. (1)
* 6,039,688 Therapeutic behavior modification program, compliance monitoring and feedback system 183 1997
 
FOOD SAFETY SOLUTIONS CORP. (1)
* 5,939,974 System for monitoring food service requirements for compliance at a food service establishment 161 1998
 
THE RECEIVERSHIP ESTATE OF POWER3 MEDICAL PRODUCTS, INC. (1)
* 6,148,297 Health care information and data tracking system and method 162 1998
 
Ameriprise Financial, Inc. (1)
* 5,819,263 Financial planning system incorporating relationship and group management 218 1996
 
EASTMAN CHEMICAL COMPANY (1)
* 6,163,732 System, method and computer program products for determining compliance of chemical products to government regulations 18 1997
 
UniVirtual Corp. (1)
* 5,813,009 Computer based records management system method 812 1995
 
SAFEOPERATIONS, INC. (1)
* 6,925,443 Method, system and computer program product for assessing information security 27 2000
* Cited By Examiner

Patent Citation Ranking

Forward Cite Landscape

Patent Info (Count) # Cites Year
 
BISTEL AMERICA, INC (1)
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BP AUSTRALIA PTY LTD (1)
* 2009/0138,316 SYSTEM AND METHOD FOR EVALUATING INITIATIVES ADAPTED TO DELIVER VALUE TO A CUSTOMER 4 2006
 
BUSINESS OBJECTS SOFTWARE LIMITED (1)
* 2007/0282,648 Apparatus and method for forecasting qualitative assessments 1 2006
 
AFFIRMX, LLC (1)
8,543,444 Method and system for assessing compliance risk of regulated institutions 0 2013
 
MASTERCARD INTERNATIONAL INCORPORATED (1)
* 2013/0096,988 NOMINATION ENGINE 0 2012
 
Business Objects Software (1)
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Twitter, Inc. (1)
7,703,070 Method and system for assessing a software generation environment 4 2003
 
ORACLE INTERNATIONAL CORPORATION (1)
* 2006/0059,026 Compliance workbench 23 2004
 
REGULATORY DATACORP INTERNATIONAL LLC (4)
8,996,481 Method, system, apparatus, program code and means for identifying and extracting information 0 2004
8,762,191 Systems, methods, apparatus, and schema for storing, managing and retrieving information 0 2004
9,063,985 Method, system, apparatus, program code and means for determining a redundancy of information 0 2013
9,058,581 Systems and methods for managing information associated with legal, compliance and regulatory risk 0 2013
 
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION (10)
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7,890,343 System and method for generating risk management curves 1 2005
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8,463,687 Upside forward with early funding provision 0 2010
8,255,307 System and method for measuring and utilizing pooling analytics 0 2011
8,538,844 System and method for integrating trading operations including the generation, processing and tracking of and trade documents 0 2011
8,577,770 System and method for measuring and utilizing pooling analytics 0 2012
8,880,437 System and method for integrating trading operations including the generation, processing and tracking of and trade documents 0 2013
 
MICROSOFT TECHNOLOGY LICENSING, LLC (3)
* 2007/0203,718 Computing system for modeling of regulatory practices 7 2006
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8,655,711 Linking enterprise resource planning data to business capabilities 0 2008
 
BANK OF AMERICA, N.A. (1)
* 8,448,126 Compliance program assessment tool 0 2006
 
D2C Solutions, LLC (1)
* 7,941,336 Segregation-of-duties analysis apparatus and method 4 2006
 
BANK OF AMERICA CORPORATION (7)
* 7,853,468 System and methods for integrated compliance monitoring 8 2002
* 8,645,263 System and method for risk prioritization 1 2007
* 8,548,842 Systems, methods and computer program products for assessing delivery affectivity in quality function deployment 0 2009
* 2011/0145,154 Policy Development Criticality And Complexity Ratings 0 2009
* 2012/0005,115 PROCESS RISK PRIORITIZATION APPLICATION 0 2010
8,321,363 Technology evaluation and selection application 0 2010
* 2012/0197,675 AUTOMATED CONTROL PLAN 0 2011
 
IJET TRAVEL INTELLIGENCE, INC. (1)
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THE CORPORATE EXECUTIVE BOARD COMPANY (1)
* 2012/0253,891 Computer-Implemented Generation Of Roadmap Visualizations 0 2012
 
GENERAL ELECTRIC COMPANY (2)
7,103,610 Method, system and computer product for integrating case based reasoning data and failure modes, effects and corrective action data 18 2002
6,909,994 Method, system and computer product for performing failure mode and effects analysis throughout the product life cycle 9 2002
 
INTERNATIONAL BUSINESS MACHINES CORPORATION (5)
* 2004/0098,300 Method, system, and storage medium for optimizing project management and quality assurance processes for a project 9 2002
7,529,842 Method, system and program product for detecting an operational risk of a node 0 2002
* 2004/0117,477 Method, system and program product for detecting an operational risk of a node 2 2002
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* 2006/0259,308 Method for production refactoring of a producing entity 1 2005
 
SAP SE (6)
7,739,203 Method and system for classifying retail products and services using price band categories 4 2004
8,788,372 Method and system for classifying retail products and services using characteristic-based grouping structures 0 2004
8,655,697 Allocation table generation from assortment planning 0 2005
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8,099,337 Replenishment planning management 0 2007
8,068,603 Focused retrieval of selected data in a call center environment 0 2010
 
Goldman Sachs & Co. (6)
8,140,415 Automated global risk management 6 2001
* 2003/0177,087 Transaction surveillance 38 2002
8,209,246 Proprietary risk management clearinghouse 4 2003
8,121,937 Gaming industry risk management clearinghouse 0 2003
* 2004/0193,532 Insider trading risk management 19 2004
8,843,411 Gaming industry risk management clearinghouse 0 2012
 
EMPLOYMENT LAW COMPLIANCE, INC. (1)
* 7,330,817 System and methods for employment law compliance, establishment, evaluation and review 11 2001
 
SIEMENS AKTIENGESELLSCHAFT (1)
* 7,305,351 System and method for managing risk and opportunity 16 2000
 
IJET INTERNATIONAL, INC. (3)
8,249,886 Global asset risk management systems and methods 3 2009
8,805,698 Systems and methods for travel, asset, and personnel information and risk management 0 2010
8,775,195 Systems and methods for assets, personnel, and travel information and risk management 0 2011
 
The PNC Financial Services Group, Inc. (5)
* 7,801,758 System and method for conducting an optimized customer identification program 6 2003
* 2005/0131,752 System and method for conducting an optimized customer identification program 24 2003
* 8,401,893 Assessment construction tool 0 2010
8,374,899 Assessment construction tool 0 2010
* 7,974,867 System and method for conducting an optimized customer identification program 1 2010
 
FORD MOTOR COMPANY (1)
6,816,747 Computer-implemented system and process for improving manufacturing productivity 8 2003
 
HONEYWELL INTERNATIONAL INC. (1)
* 2012/0059,682 CONTINUOUS IMPROVEMENT FOR A PROCEDURE MANAGEMENT SYSTEM TO REDUCE THE INCIDENCE OF HUMAN PROCEDURE EXECUTION FAILURES 1 2011
 
SUN MICROSYSTEMS, INC. (1)
* 6,981,246 Method and apparatus for automatic accessibility assessment 12 2001
 
ACCENTURE GLOBAL SERVICES LIMITED (2)
* 8,504,405 Accelerated process improvement framework 0 2011
* 2011/0295,643 ACCELERATED PROCESS IMPROVEMENT FRAMEWORK 6 2011
 
AT&T INTELLECTUAL PROPERTY II, L.P. (2)
8,868,456 Method and apparatus for managing financial control validation processes 0 2005
* 8,499,330 Enterprise desktop security management and compliance verification system and method 4 2005
 
PILLSBURY WINTHROP SHAW PITTMAN, LLP (2)
* 7,308,414 System and method for analyzing an operation of an organization 25 2004
* 7,979,303 System and method for analyzing an operation of an organization 0 2007
 
BUSINESS SYSTEMS ENGINEERING, INC. (1)
* 2004/0186,758 System for bringing a business process into compliance with statutory regulations 8 2003
 
JDA SOFTWARE GROUP, INC (1)
* 7,359,865 Generating a risk assessment regarding a software implementation project 36 2001
 
GLO SOFTWARE LLC (1)
* 7,778,856 System and method for measuring and managing operational risk 16 2009
 
ACUITY RISK MANAGEMENT LLP (1)
* 2011/0047,114 METHOD, APPARATUS AND COMPUTER PROGRAM FOR ENABLING MANAGEMENT OF RISK AND/OR OPPORTUNITY 0 2008
 
INTELLIMET, INC. (1)
* 7,693,738 Computer-aided methods and apparatus for assessing an organizational process or system 11 2001
* Cited By Examiner