Technical Field

Embodiments of the present disclosure relate to a product life cycle management system, and more specifically to, a compliance definition change management system and method for compliance definition based analysis and reporting.

Glossary

Term Definition

effectivity This term is commonly used to describe a date from which between a
dates change would be effective for manufacturing of the product.

Abbreviations

Term Definition

PLM Product Lifecycle Management
CDCM Compliance Definition Change Management
CDCO Compliance Definition Change Order
CDT Compliance Definition Team
CD Compliance Definition
CA Compliance Administrator
CCO Chief Compliance Officer
CE Compliance Engineer
CM Compliance Manager
PCV Part Compliance Verification
ERP Enterprise Resource Planning
CRM Customer Relationship Management
SCM Supply Chain Management
WIP Work In Progress

System Programming automation by IT system software

Background

Compliance regulations often require that IT organizations securely automate and control network changes and configurations. It is required to combine products and services designed to accelerate operational success by meeting compliance standards and regulations and automating changes made in the network. Enterprises today are required by law to observe industry regulations and adhere to corporate policies that control access to customer and corporate financial data. These enterprise networks must adapt to market changes quickly while simultaneously remaining in compliance, in control, and prepared for audit.

Traditionally, compliance solutions provide compliance definition process which provides the functionality of creating and updating compliance definition, track compliance of the parts and roll-up to products but does not facilitate managing the changes in the compliance definition. Moreover, these solutions offer huge limitation in compliance traceability as they do not record history of reason of change, which approved the changes in the compliance to create a new definition or remove the earlier one or revise it.

These compliance definition standards changes come into force due to new regulation or changes in existing regulation from government statuary body.

Accordingly, there is a clear need for an improved method and system for managing changes in compliance definitions, tracking the compliance status based on old, current and future definitions.

Summary

The following presents a simplified summary of the subject matter in order to provide a basic understanding of some aspects of subject matter embodiments. This summary is not an extensive overview of the subject matter. It is not intended to identify key/critical elements of the embodiments or to delineate the scope of the subject matter.

Its sole purpose is to present some concepts of the subject matter in a simplified form as a prelude to the more detailed description that is presented later.

It is general object of the present disclosure to provide a compliance definition change management system and method for compliance definition based analysis and reporting

A related object of the present disclosure is to provide a methodology for managing the changes in the environmental compliance, which comes into force by way of the changes in the legislation or brought into effect by statuary government bodies.

Another object of the present disclosure is to address the needs of product lifecycle management of the products, which are governed by the statuary compliances.

It is a more particular object of the present disclosure is to provide a methodology to enable managing changes in the environmental regulatory compliance definition as well connected workflow steps for approval and capturing the reason for change, history for traceability. Once the changes are approved, the revised definition of the compliance comes into force automatically with the approval.

It is yet another object of the present disclosure a methodology to significantly improve managing the changes in the compliance definition in a flexible manner, which comes into effect due to changes forced by the legislation from government bodies.

Briefly, according to the present disclosure compliance definitions change management system comprising: a processor; a user interface that accepts compliance data inputs to said processor; and a memory coupled to the processor, the memory having a plurality of compliance units assembled together to: store environmental regulatory compliance definition that the enterprise is required to comply with; set up interactions among said plurality of compliance units, identify change in compliance definition procedures associated with the environmental compliance; and perform an impact analysis and reports based on the revised compliance definition.

Another embodiment of the present disclosure is a method for compliance definition change management comprising: storing environmental compliance definition and regulation that the enterprise is required to comply with; setting up interactions among compliance modules, identify change in compliance definition procedures associated with the environmental compliance; and performs an impact analysis and reporting based on revised compliance definition.

These and other objects, embodiments and advantages of the present disclosure will become readily apparent to those skilled in the art from the following detailed description of the embodiments having reference to the attached figures, the disclosure not being limited to any particular embodiments disclosed.

Brief Description of the Drawings

For a better understanding of the embodiments of the systems and methods described herein, and to show more clearly how they may be carried into effect, reference will now be made, by way of example, to the accompanying drawings, wherein:

FIGURE 1 illustrates a diagrammatic representation of a compliance definition change management according to an embodiment of the present disclosure.

FIGURE 2 illustrates a plurality of compliance units according to an embodiment of the present invention.

FIGURE 3 illustrates the Compliance Definition Change Order (CDCO) workflow states according to an embodiment of the present disclosure.

FIGURE 4 illustrates a Compliance definition workflow states according to an embodiment of the present disclosure.

FIGURE 5 illustrates a Part Compliance Verification workflow states according to an embodiment of the present disclosure.

Detailed Description

Exemplary embodiments now will be described with reference to the accompanying drawings. The disclosure may, however, be embodied in many different forms and should not be construed as limited to the embodiments set forth herein; rather, these embodiments are provided so that this disclosure will be thorough and complete, and will fully convey its scope to those skilled in the art. The terminology used in the detailed description of the particular exemplary embodiments illustrated in the accompanying drawings is not intended to be limiting. In the drawings, like numbers refer to like elements.

The specification may refer to "an", "one" or "some" embodiment(s) in several locations. This does not necessarily imply that each such reference is to the same embodiment(s), or that the feature only applies to a single embodiment. Single features of different embodiments may also be combined to provide other embodiments.

As used herein, the singular forms "a", "an" and "the" are intended to include the plural forms as well, unless expressly stated otherwise. It will be further understood that the terms "includes", "comprises", "including" and/or "comprising" when used in this specification, specify the presence of stated features, integers, steps, operations, elements, and/or components, but do not preclude the presence or addition of one or more other features, integers, steps, operations, elements, components, and/or groups thereof. It will be understood that when an element is referred to as being "connected" or "coupled" to another element, it can be directly connected or coupled to the other element or intervening elements may be present. Furthermore, "connected" or "coupled" as used herein may include operatively connected or coupled. As used herein, the term "and/or" includes any and all combinations and arrangements of one or more of the associated listed items.

Unless otherwise defined, all terms (including technical and scientific terms) used herein have the same meaning as commonly understood by one of ordinary skill in the art to which this disclosure pertains. It will be further understood that terms, such as those defined in commonly used dictionaries, should be interpreted as having a meaning that is consistent with their meaning in the context of the relevant art and will not be interpreted in an idealized or overly formal sense unless expressly so defined herein.

The figures depict a simplified structure only showing some elements and functional entities, all being logical units whose implementation may differ from what is shown. The connections shown are logical connections; the actual physical connections may be different. It is apparent to a person skilled in the art that the structure may also comprise other functions and structures. It should be appreciated that the functions, structures, elements and the protocols used in communication are irrelevant to the present disclosure. Therefore, they need not be discussed in more detail here.

Also, all logical units described and depicted in the figures include the software and/or hardware components required for the unit to function. Further, each unit may comprise within itself one or more components which are implicitly understood. These components may be operatively coupled to each other and be configured to communicate with each other to perform the function of the said unit.

The features provided by the disclosed system in the present disclosure, may be accessed remotely, in one or more embodiments, and/or through an online service provider. Such types of online service providers operates and maintains the computing systems and environment, such as server system and architectures, that promote the delivery of portable electronic documents in a communication network. Typically, a server architecture includes the infrastructure ( e.g. hardware, software, and communication lines) that offers online services.

The detailed description that follows, in parts to terms of processes and symbolic representations of operations performed by conventional computers, including computer components. For the purpose of this disclosure, a computer may be any microprocessor or processor ( hereinafter referred to as processor) controlled device such as, by way of example, personal computers, workstations, servers, clients, minicomputers, main-frame computers, laptop computers, a network of one or more computers, mobile computers, portable computers, handheld computers, palm top computers, set-top boxes for a TV, interactive televisions, interactive kiosks, personal digital assistants, interactive wireless devices, mobile browsers, or any combination thereof.

For the most part, the operations described herein are operations performed by a computer or a machine in conjunction with a human operator or user that interacts with the computer or the machine. The programs, modules, processes, methods, and the like, described herein are but an exemplary implementation and are not related, or limited, to any particular computer, apparatus, or computer language. Rather, various types of general purpose computing machines or devices may be used with programs constructed in accordance with the teachings described herein.

Figure 1 illustrates a diagrammatic representation of a compliance definition change management according to an embodiment of the present disclosure. The compliance definition change management system 100 comprising a processor 101, a user interface 102 that accepts compliance data inputs to said processor; and a memory 103 coupled to the processor 101. Further, the memory 103 consist a plurality of compliance units assembled together to: store environmental regulatory compliance definition that the enterprise is required to comply with; set up interactions among said plurality of compli8ance units, identify change in compliance definition procedures associated with the environmental compliance; and perform an impact analysis and reports based on the revised compliance definition.

Figure 2 illustrates a plurality of compliance units according to an embodiment of the present invention. A Compliance Definition Change Order (CDCO) unit 201 which captures the information such as change in definition, reason of change, the description of change, effectivity dates of the change and approval states; a Compliance Definition unit 202 which creates/ revise compliance definition as approved from CDCO, analyzes the changes, reviews compliance definition, analyze affected parts and products for the identified list of products, and release of revised compliance definition; and a Part Compliance Verification (PCV) unit 203 which creates and initiates PCV workflows for each affected part and product of the identified list of products, analyzes the impact, fixes the status, and reviews the PCV.

Figure 3 illustrates the Compliance Definition Change Order (CDCO) workflow states according to an embodiment of the present disclosure. It suggests for creating a CDCO (Compliance Definition Change Order) object, which will capture the information like who requested the definition change, reason of change, the description of change, effectivity dates (from & to) of the change and approval states - Preliminary, WIP, In-Review, Approve and Close.

According to the workflow, step 301 creation of new CDCO. CDCOs are created by Compliance Administrator (CA), for example, to drive & implement the changes in compliance definition as per the changing regulations by regulatory authorities. The state of newly created CDCO is Preliminary. CA assigns the compliance definition team who are authorized to do changes in the compliance definition.

Step 302, the stage of CDCO is updated to WIP by the system. Compliance Definition Team (CDT) identifies the affected substances and exemptions by the CDCO and analyzes the (Compliance Definition) CD impact report. The CDCO-CD report consists of list of CDs in the system with the given set of substances and exemptions values. CDT identifies the affected compliance definitions and associates them with CDCO for implementing the changes. CDT also prepare a change information document having the list of CDs and associated changes required, attaches with CDCO and submit CDCO for review.

Step 303, the state of CDCO is updated to In-Review by the system. The CDCO is reviewed at two levels - Compliance Administrator and Chief Compliance Officer (CCO). The rejected CDCO is to be re-worked by CDT.

Step 304, the state of CDCO is updated to Approve by the system. The approved CDCO will trigger the revision of associated compliance definitions. CA assigns compliance engineering team to each revised compliance definition and initiates the CD workflow.

Step 305, CA receives the acknowledgement of closure of CD workflow and related information about CDCO, affected and implemented CDs, affected and implemented parts and products. The state of CDCO is updated to Close.

Figure 4 illustrates a Compliance definition workflow states according to an embodiment of the present disclosure. It suggests for creates/ revise compliance definition as approved from CDCO, analyzes the changes, reviews compliance definition, analyze affected parts and products for the identified list of products, and release of revised compliance definition. The workflow states involved are - Preliminary, WIP, In-Review, Approve, Release and Obsolete.

According to the workflow, in step 401, the approved CDCO will trigger the revision of associated released compliance definitions. The state of the newly revised CD is Preliminary. CA assigns compliance engineering team to each revised compliance definition and initiates the CD workflow.

In Step 402, Compliance Engineer (CE) claims the CD task to perform and implement the changes. The state of CD is updated to WIP by system. CE identifies the affected substance and exemptions and update the changes in compliance definition. He analyzes the CD comparison report containing the list of changes in the compliance definition between the old released CD version to newly created CD version. He prepares and attaches the CD impact document containing the analysis carried and submits for approval.

In step 403, the state of CD is updated to In-Review by the system. The CD is reviewed at two levels - Compliance Manager (CM) and Chief Compliance Officer (CCO). The rejected CD is to be re-worked by CE.

In step 404, the approved CD is assigned back to CE to perform detailed analysis on the affected parts and products. The state of the CD is updated to Approve. CE performs analysis to identify affected parts and products with the help of part compliance impact report. The part compliance impact report contains the list of changes of compliance status of affected parts and products by changes in the compliance definition for identified list of products. The system provides an option to CE to create Part Compliance Verification (PCV) and initiate PCV workflows for each affected part and product and also an option to wait for the closure of those workflows before submitting for final review.

Further, CE prepares and attaches the part compliance impact document with detailed analysis of the affected parts and products and associated changes in the compliance for the identified list of products and submits for final review.

In step 405, the CD and updated references is reviewed at two levels - Compliance Manager (CM) and Chief Compliance Officer (CCO). The rejected CD is to be re-worked by CE. For the approved cases, the system updates the expiry date for the last released compliance version and updates the effectivity date of the current newly created version. And also updates the state of the last released version to Obsolete and the state of the current newly created version to Release.

Figure 5 illustrates a Part Compliance Verification workflow states according to an embodiment of the present disclosure. It suggests for a Part Compliance Verification (PCV) order which creates and initiates PCV workflows for each affected part and product of the identified list of products, analyzes the impact, fixes the status, and reviews the PCV. The workflow states involved are - Preliminary, WIP, In-Review, and Complete.

According to the workflow, in step 501 the system provides an option to CE, create Part Compliance Verification (PCV) and initiate PCV workflows for each affected part and product for the identified list of products and also an option to wait for the closure of those workflows before submitting for final review in compliance definition workflow process.

The PCV is associated with affected part/product and the state of the PCV is Preliminary. Compliance Administrator assigns Compliance Engineer for each PCV.

In step 502, the state of PCV is updated to WIP by system. Compliance Engineer analyzes the impact on the associated part with PCV. The change of compliance status of a part could be either from RED (no-compliance) to GREEN (compliance) or GREEN to RED. Compliance Engineer does detailed analysis, works with multi-disciplinary teams to fix the status from RED to GREEN and submit for review.

In step 503, the state of PCV is updated to In-Review by system. Compliance Manager reviews the PCV and references. Compliance Engineer will re-work on the rejected items. The status is updated to Complete by system for the approved PCVs.

Further, according to the present invention compliance history and traceability through Compliance Definition Change Management is easily completed. The approved CDCO will trigger the revision of associated compliance definitions in the CDCO workflow. After the successful completion of final review in the CD workflow, the system updates the expiry date for the last released compliance version and updates the effectivity date of the current newly created version. Additionally, the system updates the state of the last released version to Obsolete and the state of the current newly created version to Release.

There is new revision of the compliance definition is created for each approved CDCO and get released through Compliance Definition workflow. CDCM process enables to maintain the complete history of the Compliance Definitions in the system along with the reason for change, approval details and the detailed impact analysis of the compliance status of the affected parts and products for the list of identified product, if needed.

Furthermore, the effectivity data of compliance definition helps to track the product information across the systems in an enterprise. History along with start and end effectivity dates for each compliance definition is controlled through CDCM process and this information is managed in compliance systems. The effectivity dates of compliance definitions can be mapped to Bill of Material (BOM) effectivities (date effectivities for a generic product structure) in PLM systems to identify the specific product structure configuration applicable for a specific compliance definition. The serial numbers or lot numbers of actual products manufactured are managed in ERP and MES systems can be mapped to BOM and compliance effectivities and can be identified to actual shipped products in CRM system. These details can be further drilled down to supplier IT systems to track the compliance status of those items used in the actual products. CDCM provides traceability of the compliance data across all the systems in an enterprise and provide holistic compliance solution

A technical solution is developed to demonstrate the compliance definition change management methodology. This solution can complement to enterprise PLM for better management of the changes in the environmental compliance.

According to the present invention, abovementioned methodology take care of managing changes in the compliance definition and enables to perform impact analysis and reporting based on revised compliance definition.

Other business benefits are: protects the software investment of high-growth companies through scalability of its software products across geographies, prevents revenue loss by reducing network downtime due to misconfigurations, reduces costs by identifying network inconsistencies that would require labor-intensive diagnosis, saves money through configuration automation that allows fewer administrators to manage large complex networks, and helps to prevent the potentially expensive repercussions of noncompliance.

It will be apparent to those having ordinary skill in this art that various modifications and variations may be made to the embodiments disclosed herein, consistent with the present disclosure, without departing from the spirit and scope of the present disclosure. Other embodiments consistent with the present disclosure will become apparent from consideration of the specification and the practice of the description disclosed herein.

We Claim:

1. A compliance definition change management system comprising:

a processor;

a user interface that accepts compliance data inputs to said processor; and

a memory coupled to the processor, the memory having a plurality of compliance units
assembled together to:

store environmental regulatory compliance definition that the enterprise is required to comply with;

set up interactions among said plurality of compliance units, identify change in compliance definition procedures associated with the environmental compliance; and

perform an impact analysis and reports based on the revised compliance definition.

2. The system as claimed in claim 1, wherein said plurality of compliance units comprises:

a Compliance Definition Change Order (CDCO) unit which maintain the complete history of the Compliance Definitions in the system along with the - change in definition, reason of change, the description of change, effectivity dates of the change and approval states;

a Compliance Definition unit which creates/ revise compliance definition as approved from CDCO and tracks the information to analyze the change, review compliance definition, analyze affected parts and products for the identified list of products, and release revised compliance definition; and

a Part Compliance Verification (PCV) unit which creates and initiates PCV workflows for each affected part and product of the identified list of products, analyzes the impact, fixes the status, and reviews the PCV.

3. The system as claimed in claim 1, wherein said compliance data inputs is certified as data that is required by the enterprise to be in compliance with the selected regulation.

4. The system as claimed in claim 1, wherein said environmental compliance definition and regulation comprises one or more of a legislative regulation, established standard, and policies.

5. The system as claimed in claim 2, wherein said PCV workflows comprises the list of changes of compliance status of affected parts and products by changes in the compliance definition for identified list of products.

6. A method for compliance definition change management comprising:

storing environmental compliance definition and regulation that the enterprise is required to comply with;

setting up interactions among compliance modules, identify change in compliance definition procedures associated with the environmental compliance; and

performs an impact analysis and reporting based on revised compliance definition.

7. The method as claimed in claim 8, wherein said plurality of compliance units comprise:

maintaining the complete history of the Compliance Definitions in the system along with the reason of change, the description of change, effectivity dates of the change and approval states;

creating/ revising compliance definitions, tracking the information to analyze the changes, review of compliance definition, analyze affected part and products for the identified list of products, and release of revised compliance definition; and
creating and initiating PCV workflows for each affected part and product for the identified list of products, analyze the impact, fix the status, and review of the PCV.

8. The method as claimed in claim 8, wherein said compliance data inputs is certified as data that is required by the enterprise to be in compliance with the selected regulation.

9. The method as claimed in claim 8, wherein said wherein said environmental compliance definition and regulation comprises one or more of a legislative regulation, established standard, and policies.

10. The method as claimed in claim 9, wherein said PCV workflows comprises the list of changes of compliance status of affected parts and products by changes in the compliance definition for identified list of products.