JP4709876B2 - Compliance system check support system, compliance system check support method, and compliance system check support program - Google Patents

Description

The present invention relates to a compliance posture inspection support system, a compliance posture inspection support method, and a compliance posture inspection support program that support inspection of a posture to comply with laws and regulations.

  Corporate activities are regulated by various laws such as commercial law (company law), civil law, criminal law and labor law. In particular, banks and the like need to carry out activities in accordance with laws and regulations such as the Financial Instruments and Exchange Act aimed at contributing to the sound development of the national economy and the protection of investors. Today, this compliance is emphasized along with CSR (corporate social responsibility).

  For this reason, a securities business support system for performing a compliance check in securities transactions has also been studied (see, for example, Patent Document 1). In the technique described in this document, the search result totaling unit analyzes and totals the result data of the compliance check on a daily basis, a monthly basis, a customer basis, and a department store basis. And a total result display means displays these result data on a screen. In addition, the customer information storage means adds the compliance check result data to the items of the customer information table and accumulates it, so that the customer information display means displays the compliance check result information aggregated by the search result aggregation means as customer information. Display on the screen in association with. As a result, customer information is shared with respect to the compliance check, and the result data of the compliance check can be automatically aggregated.

  In addition, a compliance program execution support system for checking compliance with laws and regulations using a compliance manual used when companies strictly comply with laws and regulations has been studied (for example, see Patent Document 2). ). The technology described in this document maintains a compliance manual for each department and each year. Then, a compliance manual according to the user's request is provided to the terminal device used by the user.

In addition, in order to maintain legalization of compliance checklists in response to legal revisions, a company diagnosis list revision support device for providing a device that supports checklist revision work is also being considered (for example, , See Patent Document 3). In the technology described in this document, a check list including check items, revision information indicating either deletion, addition, or update, a storage means for storing a law database, a computer that supports the check list revision work, Is provided. Then, when the revision information indicates deletion of the clause, the check item associated with the clause name is deleted from the check list. Further, when the revision information indicates the addition of a clause, a check item column associated with the clause name is inserted into the check list. In addition, when the revision information indicates an update of the clause, the check item in the check list is replaced with the clause of the revised clause.
Japanese Patent Laying-Open No. 2005-62967 (first page, FIG. 3) JP 2003-99431 A (first page, FIG. 9) Japanese Patent Laying-Open No. 2005-284889 (first page, FIG. 2)

By the way, since corporate activities are diverse, various laws and regulations are involved. For this reason, it is important for each business department in a company to accurately determine the status of compliance with laws and regulations related to each business. And to comply with these laws and regulations (PDCA: Plan-Do-Chec)
A countermeasure consisting of (k-Action) is necessary. In particular, in large companies, each organization needs subjective management that is aware of laws and regulations and objective evaluation of the appropriateness of the management. On the other hand, the number of laws and regulations is enormous, and it may be difficult to understand laws and regulations related to business. In addition, these laws and regulations are often abolished and it is necessary to review the inspection of the system accordingly.

The present invention has been made to solve the above-mentioned problems, and provides a compliance system inspection support system, a compliance system inspection support method, and a compliance system inspection support program that support the inspection of the system to comply with laws and regulations. There is to do.

In order to solve the above-mentioned problems, the invention described in claim 1 is directed to a law theme table in which related law identifiers are recorded in association with each law theme classification identifier, and an inspection to record an inspection object identifier for identifying a business or product. The target record and the inspection target identifier are associated with the legal theme classification identifier selected in the legal theme table, and the relevant legal identifier associated with the legal theme classification identifier in the legal theme table is associated with a risk. A compliance information check support system comprising a support information storage means for recording a legal check list for recording individual relevance categories evaluated and a control means connected to a client terminal, wherein the control means is a client When the inspection target information is acquired from the terminal, record the inspection target record with the inspection target identifier. Means and, if with respect to the inspection object identifier, regulations theme classification identifier in the laws Subject table is selected, the client terminal the provisions of laws identifier for this law theme classification identifier associated in the legislation theme table that and means for outputting to, from said client terminal, and means for recording when acquiring individual relevance classification of evaluating the risk to the provisions of the individual relevant segment to the laws identifier to the laws checklist, In the law checklist, for each inspection object identifier, in the individual relevance category for the related law identifier associated with each inspection object identifier.
In the case where the highest individual relevance category is identified, and for each inspection object identifier, the means for recording the identified individual relevance category as a representative relevance category in the law checklist, A means for acquiring the revision / decommissioning type from the revision / decommissioning data, and when the revision / decompression type is an identifier for identifying the revision / decommissioning of the clause, carry-up processing is performed to increment the number of clauses for the clause ID of the related law. , Obtain a law theme classification identifier associated with the relevant law identifier that matches the clause identifier of the clause to be deleted, obtain all relevant law identifiers associated with the law theme classification identifier, and associate with the relevant law identifier To obtain all the individual relevance categories obtained, identify the highest individual relevance category in the acquired individual relevance categories, Means for recording in the law checklist as a linkage category, and when the revision type is an identifier that identifies the revision or abolition to which a clause is added, identifies the relevant legal identifier of the clause before and after the added clause, and Acquires the legal theme classification identifier associated with the relevant legal identifier before and after the relevant legal identifier, obtains the relevant legal identifier associated with the legal theme classification identifier, and sets the individual relevance category associated with the relevant legal identifier. And a means for recording the same individual relevance category in the law check list for newly added related law identifiers when all the acquired individual relation classes are the same. Is the gist.

According to a second aspect of the invention, in compliance posture inspection support system according to claim 1, wherein the control means, when acquiring abolition data laws, acquires the abolition type from the abolition data, said abolition type In the case of an identifier that identifies a formal change, an individual relevance category associated with a related law identifier that matches the old clause identifier recorded in the revised / obsolete data is acquired, and the new clause recorded in the revised / obsolete data The gist is that an identifier is recorded in the law checklist as a related law identifier, and the individual relevance categories are recorded in association with each other.

According to a third aspect of the present invention, in the legal compliance check support system according to the first or second aspect , when the control means acquires the revision / decommissioning data of the law, the revision type is obtained from the revision / decommissioning data, and the revision If the type is an identifier that identifies all revisions, the clauses that make up the revised clauses are matched with the clauses of the related clauses associated with each identifier to be inspected. The gist is to specify a target identifier and output it to the client terminal.

The invention described in claim 4 includes a law theme table in which related law identifiers are recorded in association with each law theme classification identifier, an inspection object record for recording an inspection object identifier for specifying a business or product, and the inspection object identifier. In addition to associating the law theme classification identifier selected in the law theme table with this, record the individual relevance category for which the risk was assessed for the relevant law identifier associated with the law theme classification identifier in the law theme table. A compliance information check support method using a compliance information check support system comprising support information storage means for recording a law check list to be performed and control means connected to the client terminal, wherein the control means is a client terminal If the inspection object information is acquired from the The method comprising, with respect to the inspection object identifier, when said laws Subject classification identifier is selected in law theme Table, the client terminal the provisions of laws identifier for this law theme classification identifier associated in the legislation Subject Table and outputting to, from said client terminal, the steps of recording when acquiring individual relevance classification of evaluating the risk to the provisions of the individual relevant segment to the laws identifier to the laws checklist, In the law check list, for each inspection object identifier, the highest individual relevance classification among the individual relevance classifications for the related law identifiers associated with each inspection object identifier is specified, and the above specified for each inspection object identifier. Record individual relevance categories as representative relevance categories in the above legal checklist If the revision and abolition data of the floor and law are obtained, the step of obtaining the revision / decommissioning type from the revision / decommissioning data, and if the revision / abolition type is an identifier for identifying the revision / decommissioning of the clause, the clause ID of the related law is deleted. Executes the carry-up process of incrementing the number of clauses, obtains the legal theme classification identifier associated with the relevant legal identifier that matches the clause identifier of the clause to be deleted, and obtains all the legal theme classification identifiers associated with the legal theme classification identifier Acquire related law identifier, acquire all individual relevance categories associated with the related law identifier, identify the highest individual relevance category in the acquired individual relevance category, If it is recorded in the legal checklist, and the revision type is an identifier that identifies the revision or abolition to which the clause is added, the added clause Identifying related law identifiers of the preceding and following clauses, obtaining a law theme classification identifier associated with the relevant law identifier before and after the related law identifier, obtaining a related law identifier associated with the law theme classification identifier, When the individual relevance category associated with the related law identifier is acquired and all of the acquired individual relevance classes are the same, the same individual relevance class is also added to the newly added related law identifier. And the stage of recording in the legal checklist .

Invention of claim 5, the inspection target record to record and regulatory theme table recorded in association with laws identifier for each law theme classification identifier, the inspection target identifier identifying the business operations and products, the inspection object identifier In addition to associating the law theme classification identifier selected in the law theme table with the relevant law identifier associated with the law theme classification identifier in the law theme classification table, an individual relevance category for evaluating the risk is assigned. A compliance posture inspection support program using a compliance posture inspection support system comprising support information storage means for recording a legal checklist to be recorded and control means connected to a client terminal, wherein the control means is a client When the inspection object information is acquired from the terminal, the inspection object record assigned the inspection object identifier Means for recording, with respect to the inspection object identifier, if the laws Subject classification identifier in the laws Subject table is selected, the provisions of the laws identifier associated in the laws Subject table for this law theme classification identifier client
Means for outputting to the client terminal, and when acquiring the individual relevance category that evaluates the risk for the clause from the client terminal, means for recording the individual relevance category for the related law identifier in the law checklist; In the law check list, for each inspection object identifier, the highest individual relevance classification among the individual relevance classifications for the related law identifiers associated with each inspection object identifier is specified, and the above specified for each inspection object identifier. Means for recording individual relevance categories as representative relevance categories in the legal checklist, means for obtaining revision / abolition type from the revision data when legal revision / abolition data is obtained, and identifying abolition / removal for which the revision / abolition type cuts provisions If it is an identifier, carry-up processing is performed to increment the number of clauses deleted for the clause ID of the related law. In addition, a law theme classification identifier associated with the relevant law identifier that matches the clause identifier of the clause to be deleted is acquired, all related law identifiers associated with the law theme classification identifier are obtained, and the related law identifier is Means for acquiring all associated individual relevance categories, identifying the highest individual relevance category in the acquired individual relevance categories, and recording it in the law checklist as a representative relevance category; In the case of an identifier that identifies the amendment or abolition to which a clause is added, the related legal identifier of the clause before and after the added clause is identified, and the legal theme classification identifier associated with the related legal identifier before and after the related legal identifier is specified. To obtain a related law identifier associated with the law theme classification identifier and associate with the related law identifier. If the acquired individual relevance category is the same, record the same individual relevance category for the newly added related legal identifier in the legal checklist. The gist is to make it function as a means .

(Function)
According to the first, fourth , and fifth aspects of the invention, when the control unit acquires the inspection target information from the client terminal, the control unit records the inspection target record assigned with the inspection target identifier. Next, when the law theme classification identifier is selected in the law theme table for the inspection target identifier, the clause of the related law identifier associated with the law theme classification identifier in the law theme table is output to the client terminal. And when the individual relevance classification which evaluated the risk with respect to a clause is acquired from a client terminal, an individual relevance classification is recorded on a law checklist with respect to a related law identifier. As a result, it is possible to specify the laws to be observed using the law theme table. Then, the legal compliance system can be checked using the legal checklist for laws to be observed.

According to the present invention, the control means specifies, for each inspection target identifier, the highest individual relevance category among the individual relevance categories for the related legal identifiers associated with each inspection target identifier in the law check list. Then, for each inspection target identifier, the identified individual relevance category is recorded in the law check list as a representative relevance category. Thereby, it is possible to perform a comprehensive evaluation on business and products.

According to the second aspect of the present invention, when the control means acquires the revision / abolition data of the law, the control means acquires the revision / abolition type from the revision data. When the revision / decommissioning type is an identifier for identifying a formal change, the individual relevance category associated with the related law identifier that matches the old clause identifier recorded in the revision / decommissioning data is acquired. Next, the new clause identifier recorded in the revision / decommissioning data is recorded in the law checklist as a related law identifier, and the individual relevance classification is recorded in association with it. As a result, even when the law is revised, the law checklist corresponding to the law theme table can be efficiently managed by taking over the conventional evaluation result to the new clause.

According to the present invention, when the control means obtains the law revision / decommissioning data, the control means obtains the revision / destruction type from the revision / decommissioning data. Next, when the amendment / disposition type is an identifier for specifying deletion of a clause, a law theme classification identifier associated with a related law identifier that matches the clause identifier of the clause to be deleted is acquired. Then, all related law identifiers associated with the law theme classification identifier are acquired, and all individual relevance categories associated with the related law identifiers are acquired. Then, the highest individual relevance category in the acquired individual relevance category is specified, and recorded in the law check list in association with the law theme classification identifier. Thereby, the law checklist corresponding to the law theme table can be efficiently managed according to the deletion of the clause.

According to the present invention, when the control means obtains the law revision / decommissioning data, the control means obtains the revision / destruction type from the revision / decommissioning data. Next, in the case where the revision / decommissioning type is an identifier for identifying provision addition, the related legal identifier of the clause before and after the added clause is identified. Next, a law theme classification identifier associated with the related law identifier before and after the related law identifier is acquired. Further, a related law identifier associated with the law theme classification identifier is acquired, and an individual relevance category associated with the related law identifier is acquired. If all the acquired individual relevance categories are the same, the individual relevance category is recorded in the same law check list for the newly added related law identifier. This makes it possible to efficiently manage the legal checklist corresponding to the legal theme table according to the addition of clauses.

According to the third aspect of the present invention, when the control unit acquires the revision / decommissioning data of the law, the control unit acquires the revision / decommissioning type from the reformation data. Next, if the revision / decommissioning type is an identifier that identifies all revisions, the provisions that make up the revised provisions are matched with the relevant provisions associated with each identifier to be inspected. The inspection target identifier greater than the value is specified and output to the client terminal. Thereby, even when all the clauses are revised, it is possible to efficiently manage the legal checklist corresponding to the legal theme table.

According to the fifth aspect of the present invention, the compliance posture inspection data structure includes a law theme table, a check target record, and a law check list. As a result, it is possible to specify the laws to be observed using the law theme table. The legal compliance system can be inspected by the legal checklist corresponding to the record to be inspected.

According to the present invention, it is possible to provide a legal compliance posture inspection support system, a legal compliance posture inspection support method, and a legal compliance posture inspection support program that support the inspection of the posture to comply with laws and regulations.

DESCRIPTION OF THE PREFERRED EMBODIMENTS Embodiments embodying the present invention will be described below with reference to FIGS. In the present embodiment, group companies conduct a comprehensive check of the legal compliance system of each company comprehensively. For this purpose, in order to avoid the risk that the products and operations handled by the business departments of each company will violate laws and regulations, compliance inspections to check and confirm the location of risks and the status of development of control systems through periodic inspections, etc. Explain as support system, compliance system check support method and compliance system check support program .

  In this embodiment, as shown in FIG. 1, the compliance management server 20 as a compliance system check support system utilizes a legal compliance matrix (compliance system check data) consisting of a law theme table and a law check list described later, Execute processes to support inspection of legal compliance. The compliance management server 20 includes a client terminal 10 installed in the compliance department of the supervising company, a legal department or business department client terminal (15a, 15b) of the group company, and a legal content providing server 30 via the Internet as a network. It is connected to the.

  The client terminal 10 is a computer terminal used by a person in charge of creating a common law theme table and setting laws and clauses constituting each law theme table in the compliance department of the supervising company.

  On the other hand, the client terminal 15a is a computer terminal used by a person in charge of selecting a law theme table to be used in the company in the legal department of a group company and specifying a law (clause) constituting each law theme table. In addition, the client terminal 15b is used by a person in charge in the business department of a group company to register the business or product that the business department has jurisdiction, and to link these business and product to laws and regulations (clause) and to perform risk assessment. It is a computer terminal.

  These client terminals (10, 15a, 15b) include not-shown CPU, RAM, and ROM, input means such as a keyboard and mouse, output means such as a display, communication means, and the like. The client terminals (10, 15a, 15b) are used when the user accesses the compliance management server 20. The client terminals (10, 15a, 15b) store a communication program for realizing a function of transmitting data via a network, a function of displaying received data, and the like.

  The legal content providing server 30 is a computer system that provides information on laws and provisions. In the present embodiment, revision and abolition information regarding the contents of the laws and regulations and the legal revision is provided.

  The compliance management server 20 is a computer system that performs various types of data processing that supports checking the compliance system. The compliance management server 20 includes a control unit 21 including a CPU, RAM, ROM, and the like (not shown). The control unit 21 functions as a control unit that performs various data management processes for performing the compliance posture check support process. Then, the processes described later (user management stage, law theme table management stage, law check management stage, approval management stage, law information acquisition stage, revision / abolition processing stage, etc.) are executed. By executing the compliance compliance check support program for that purpose, the control unit 21, as shown in FIG. 1, allows the user management means 210, law theme table management means 211, law check management means 212, approval management means 213, law information. It functions as the acquisition unit 214 and the alteration / decommissioning processing unit 215.

The user management unit 210 executes a user authentication process and a user registration process of the compliance management server 20.
The law theme table management means 211 executes a management process of a common law theme table set for each business and product theme and a law theme table used in each group company.

The law check management unit 212 executes a management process of a law check list for confirming compliance with the law for the business and products in the business department of each group company.
The approval management means 213 executes an approval management process for an application for a compliance system.

The law information acquisition unit 214 executes processing for acquiring revision / abolition information related to law revision.
The revision / disposal processing means 215 executes support processing for changing a law theme table or a law check list in response to a law revision. The revision / abolition handling means 215 holds data relating to a reference value for determining a text having a high degree of coincidence in a text comparison described later.

  Further, as shown in FIG. 1, the compliance management server 20 includes a user management data storage unit 22, a law theme table data storage part 23, and a law check list data storage part 24. In the present embodiment, the law theme table data storage unit 23 and the law check list data storage unit 24 function as support information storage means.

  The user management data storage unit 22 stores user management records for users who can use the compliance management server 20. The user management record is recorded when user registration is performed. Initially, user management records are recorded for the person in charge of the compliance department of the supervising company and the person in charge of the legal department of each group company. This user management record includes data relating to a user ID, a company identifier, a department identifier, a password, and usage authority.

Data relating to an identifier for identifying a user is recorded in the user ID data area.
In the company identifier data area and the department identifier data area, data relating to an identifier for identifying the company or department (legal department or business department) to which the user belongs is recorded.

In the password data area, data related to a password for authenticating the user is recorded.
In the usage authority data area, data relating to an identifier for specifying the usage authority of the user is recorded. In the present embodiment, “registration of common theme table” is recorded as the use authority for the person in charge of the compliance department of the supervising company. In addition, for the person in charge of the legal department of a group company, “selection of law theme table”, “user registration”, and “review system” are recorded as usage authority. In addition, “registration of business / product”, “association with legal provisions”, and “risk assessment” are recorded as usage authority for the person in charge of the business department of the group company.

  In the law theme table data storage unit 23, as shown in FIG. 2, common law theme table data 231 that is commonly used in each group company, and a selected theme that specifies a law theme table selected in each group company. A table record 232 is recorded. The common law theme table data 231 is registered when a common law theme table is created in the compliance department of the supervising company. The selected theme table record 232 is registered when a theme table used by a group company is selected in the common law theme table data 231.

  The common law theme table data 231 includes data related to a theme name and a theme table (major category identifier, medium category identifier, minor category identifier, related law, law link) for each theme table identifier. In this theme table, regulations and obligations are categorized in the order of major classification, middle classification, and minor classification.

Data relating to an identifier for specifying each theme table is recorded in the theme table identifier data area.
Data relating to the names of the theme tables is recorded in the theme name data area. Specifically, reference names for specifying provisions regarding regulations and obligations related to operations and products are recorded in each group company.

  In the large classification identifier data area, data relating to an identifier for specifying a large item for classifying provisions concerning regulations and obligations is recorded. For example, items such as “management related” are provided in the large items.

  In the middle classification identifier data area, data relating to an identifier for specifying a middle item for classifying provisions concerning regulations and obligations is recorded. For example, for the major item “management-related”, the medium items are “regulations on executive execution of officers”, “regulations on information disclosure”, “regulations on trading of stocks, etc.”, “regulations on financial accounting” Such items are provided.

  In the small classification identifier data area, data relating to an identifier (legal theme classification identifier) for specifying a small item for classifying provisions concerning regulations and obligations is recorded. For example, for the medium item “regulations related to the execution of business by officers”, sub-items such as “duty to pay caution”, “obligation to comply with laws and the Articles of Incorporation”, “obligation to avoid competition”, and “conflict of interest” Items are provided.

In the related law data area, data for specifying a related law for each small item identifier is recorded. In the present embodiment, data relating to a law identification code, a law name, a clause ID, and the like are recorded. In this embodiment, the law identification code and the clause ID function as related law identifiers.
In the statute link data area, data related to a link for acquiring the text of the statute is recorded.

  On the other hand, the selected theme table record 232 includes data related to a company identifier and a theme table identifier.

Data relating to an identifier for identifying a group company is recorded in the company identifier data area.
In the theme table identifier data area, data relating to an identifier for specifying the law theme table selected for use in this group company is recorded.

  As shown in FIG. 3, the legal checklist data storage unit 24 is implemented in order to comply with the legal risk level and the laws and regulations concerning the operations performed at each group company and the products provided. Legal checklist data 240 for checking the current situation is recorded. The legal checklist data 240 is recorded when registered in each business department of a group company, and updated when approved by the legal department. The legal checklist data 240 is configured to include a check target record including data relating to a company identifier, a department identifier, and a business / product associated with each other. Then, data relating to the business / product relevance category as the representative relevance category is recorded for the business / product. Further, the law checklist data 240 records data related to the small classification relevance classification for each small classification identifier, and further records data related to the individual relevance classification for each related law included in the small classification. Furthermore, the legal checklist data 240 is configured to include data on the status, the necessity of reviewing the status, the overview of the status, the status, and the approval date for each small classification identifier regarding the regulations and obligations related to the business / product.

In the company identifier data area, data relating to an identifier for specifying a group company to be inspected for compliance is recorded.
In the department identifier data area, data relating to an identifier for identifying a business department that carries out a business or provides a product in the group company is recorded.

  In the business / product data area, the business content data relating to the business being executed by this department, the business / product name identifying the product to be provided, the business / product code (identifier to be inspected), and the content explanation are recorded.

  In the business / product relevance category data area, data relating to an identifier for specifying a risk level obtained by comprehensively evaluating individual relevance categories described later is recorded. In the present embodiment, for example, in this business / product relevance category, “A: There is a concern of law violation or law violation within one year” and “B: High risk of law violation” in descending order. , “C: Low risk of legal violation” and “D: No risk of legal violation” are used. Here, the highest level among the individual relevance categories of the related laws and regulations associated with the small classification identifiers associated with the business / product is the business / product relevance category. The number and contents of the relevance categories are not limited to these.

In the small classification identifier data area, data relating to an identifier for specifying a small item for classifying the business or product of the group company or department is recorded.
In the small category relevance classification data area, data relating to an identifier for specifying a risk level for evaluating the relevance to each small category identifier is recorded. Also in this small category relevance category, levels “A” to “D” are used as in the business / commodity relevance category. Here, the highest level among the individual relevance categories of the related laws and regulations associated with the small category identifier is set as the small category relevance category.

  In the related law data area, data for specifying each law related to each small item identifier is recorded. In the present embodiment, data relating to a law identification code, a law name, a clause ID, and the like are recorded.

  In the individual relevance classification data area, data relating to an identifier for specifying a risk level for evaluating relevance to each related law is recorded. Also in this individual relevance category, levels “A” to “D” are used as in the business / commodity relevance category.

  In the attitude content data area, data relating to an identifier for identifying a legal compliance system for suppressing legal violations is recorded. In this embodiment, in order to identify the contents of the posture, for example, identifiers for identifying “procedure / manual”, “education / training system”, “own store inspection / monitoring”, and “other” are recorded. The content of the legal compliance system is not limited to these.

In the attitude review necessity data area, data relating to an identifier for specifying an evaluation result for the compliance system is recorded.
In the regulation summary data area, data on the basis of the evaluation results for the compliance system is recorded.

In the status data area, data relating to an identifier for specifying the registration state of the law check list is recorded. In this embodiment, the status is “Applying” indicating the status before approval for the application from the person in charge, “Approving” indicating the status of approval of some applications, and “Approved” indicating the status of approval being completed. Is recorded.
In the approval date data area, data related to the date approved for this application is recorded.

  Next, a process in the case of performing the compliance posture check support of this embodiment will be described. Here, the outline of the utilization flow of the legal compliance matrix will be described first. Then, the revision management process, the “new establishment” handling process, the “partial revision” handling process, the “all revisions” handling process, the “addition” handling process, the “deleting / scraping” handling process, the “upward / lowering” handling process The “name change” handling process will be described in this order.

(Outline of utilization flow of legal compliance matrix)
The outline of the utilization flow of the legal compliance matrix will be described with reference to FIGS.
First, the control unit 21 of the compliance management server 20 executes a support process for creating a legal theme table (step S1). This process is performed using the client terminal 10 in the compliance department of the general company. Specifically, the person in charge of the compliance department of the supervising company accesses the compliance management server 20 using the client terminal 10. Then, the client terminal 10 transmits a login request including the user ID and password to the compliance management server 20. The user management unit 210 of the control unit 21 of the compliance management server 20 executes a confirmation process as to whether or not the received user ID and password are recorded in the user management data storage unit 22.

  When the user authentication is completed, the user management unit 210 of the control unit 21 allows the client terminal 10 to comply with the usage authority of the user management record. Output the management screen. In this case, the law theme table management unit 211 of the control unit 21 supports creation of a common law theme table in which clauses related to business and products are set for each theme. Then, the legal theme table management unit 211 of the control unit 21 assigns a theme identifier to the common legal theme table created using the client terminal 10, and the legal theme table data storage unit 23 as the common legal theme table data 231. To record.

  Next, the control unit 21 of the compliance management server 20 executes support processing for selecting a law theme table (step S2). This processing is performed using the client terminal 15a in the legal department of the group company. Specifically, the person in charge of the legal department of the group company accesses the compliance management server 20 using the client terminal 15a. Then, the client terminal 15a transmits a login request including the user ID and password. The user management unit 210 of the control unit 21 of the compliance management server 20 executes a confirmation process as to whether or not the received user ID and password are recorded in the user management data storage unit 22.

  When the user authentication is completed, the user management unit 210 of the control unit 21 outputs a legal compliance matrix management screen in which selection of the legal theme table and user registration are permitted to the client terminal 15a. In this case, the legal theme table management unit 211 of the control unit 21 supports selection of the legal theme table by the person in charge of the legal department of the group company in the common legal theme table. In this case, the person in charge uses the client terminal 15a to select a theme table to be used in the company from the common theme table. Then, the law theme table management unit 211 records, in the law theme table data storage unit 23, the selected theme table record 232 in which the theme identifier of the common law theme table selected using the client terminal 15a is associated with the company identifier.

  Furthermore, the user management unit 210 of the control unit 21 supports registration of the user ID, password, and usage authority of the person in charge of the business unit. In this case, the person in charge sets the user ID, password, and usage authority (in this case, business / product registration authority) for the user in the business department. Then, the user management unit 210 registers data related to the user ID, password, and usage authority set using the client terminal 15a in the user management data storage unit 22.

Next, the control unit 21 of the compliance management server 20 executes business / product registration support processing (step S3). This process is performed using the client terminal 15b in the business department of the group company. Specifically, the person in charge of the business department of the group company accesses the compliance management server 20 using the client terminal 15b. Then, the client terminal 15b transmits a login request including the user ID and password. The user management unit 210 of the control unit 21 of the compliance management server 20 executes a confirmation process as to whether or not the received user ID and password are recorded in the user management data storage unit 22.

  When the user authentication is completed, the user management unit 210 of the control unit 21 manages the compliance matrix management that allows the client terminal 15b to register the business / product according to the use authority of the user management record. Output the screen. In this case, the law check management means 212 of the control unit 21 of the compliance management server 20 transmits a business / product registration display screen 501 to the client terminal 15b as shown in FIG.

  In this business / product registration display screen 501, as shown in FIG. 14, the company name and department name of the person who logged in are set. Further, the business / product registration display screen 501 is provided with a setting column for a name and an identification code for identifying the business or product in charge in the business department. Further, the business / product registration display screen 501 is provided with a setting field for inputting an outline of the business / product. In addition, the business / product registration display screen 501 is provided with a material attachment field for attaching materials for explaining the business content. Then, the person in charge performs input to each setting column using the client terminal 15b.

When the input to each setting column is completed, the registration button on the business / product registration display screen 501 is selected. In this case, the client terminal 15 b transmits a business registration application to the compliance management server 20. This business registration application includes various information input on the business / product registration display screen 501.
The law check management unit 212 of the control unit 21 of the compliance management server 20 that has received the business registration application records the received information in the law check list data storage unit 24.

  Next, the control unit 21 of the compliance management server 20 executes a support process for association with legal provisions (step S4). Specifically, the law check management means 212 of the control unit 21 of the compliance management server 20 specifies the company identifier of this person in charge based on user authentication and uses it in this group company from the selected theme table record 232. Get the theme table identifier. Next, the law check management means 212 acquires the common law theme table data 231 using the acquired theme table identifier. Then, the law check management means 212 generates a law theme table display screen 502 that lists the large items to small items included in the common law theme table data 231 and transmits it to the client terminal 15b as shown in FIG. To do.

  On the law theme table display screen 502, as shown in FIG. 15, major classification, middle classification, and minor classification are displayed, and related laws are linked to the minor classification. When the link of the related law is selected, the client terminal 15b transmits an association application to the compliance management server 20. This association application includes data relating to the minor classification identifier that identifies the minor classification selected on the law theme table display screen 502.

The law check management means 212 of the control unit 21 of the compliance management server 20 that has received the association application records data related to the small classification identifier in association with the business / product of the law check list data 240. Then, the law check management unit 212 acquires the related law data associated with the small classification identifier from the law theme table data storage unit 23. Then, the law check management unit 212 transmits a law check list display screen 503 to the client terminal 15b as shown in FIG. In the law check list display screen 503, law names of laws and regulations related to the selected small classification are listed as shown in FIG.

  Each law name has a link for displaying the contents of the text of each law. When this link is selected, the client terminal 15 b transmits a text output request to the legal content providing server 30. This clause output request includes data relating to the law identification code and clause ID. In this case, the legal content providing server 30 transmits a legal provision display screen 510 to the client terminal 15b as shown in FIG. This law and regulations text display screen 510 includes the text of each law and regulations as shown in FIG. Further, on the legal provision display screen 510, a related provision column is provided for each provision. When the link of the clause displayed in the related clause column is selected, as shown in FIG. 5, a related law and regulations display screen 511 displaying the content of the related clause is output.

  Next, the control unit 21 of the compliance management server 20 executes risk assessment support processing (step S5). Specifically, the law check list display screen 503 shown in FIG. 16 is provided with a pull-down menu button for setting a relevance category for each clause. Further, the law check list display screen 503 is provided with an attitude content setting field for inputting an attitude when there is any risk. When “A” to “C” are set as the relevance category, the control content performed in the business department is set in the posture content setting column.

  When the setting of various information is completed on the law check list display screen 503, the client terminal 15b transmits a risk evaluation application to the compliance management server 20. This risk assessment application includes data related to the assessment results (individual relevance classification, status content, etc. for each relevant law) set using the law checklist display screen 503.

  The law check management means 212 of the control unit 21 of the compliance management server 20 that has received the evaluation result records data relating to the individual relevance category and the status of each related law in the law check list data 240. Further, the law check management means 212 of the control unit 21 records the highest level among the individual relevance categories associated with the small classification identifier in the law check list data 240 as the small classification relevance category. Further, the law check management means 212 records the highest level among the small category relevance categories associated with the business / product in the law check list data 240 as the business / product relevance category.

  Next, the control unit 21 of the compliance management server 20 executes a posture review support process (step S6). This processing is performed using the client terminal 15a in the legal department of the group company. Specifically, the person in charge of the legal department of the group company accesses the compliance management server 20 using the client terminal 15a. Then, the client terminal 15a transmits a login request including the user ID and password. The user management unit 210 of the control unit 21 of the compliance management server 20 executes a confirmation process as to whether or not the received user ID and password are recorded in the user management data storage unit 22.

When the user authentication is completed, the user management unit 210 of the control unit 21 manages the legal compliance matrix that allows the client terminal 15a to input the posture review evaluation according to the use authority of the user management record. Output the screen. In this case, the approval management means 213 of the control unit 21 of the compliance management server 20 specifies the legal checklist data 240 in which the company identifier of this group company is recorded, and generates an unapproved list. Then, the approval management means 213 transmits an unapproved list display screen 504 to the client terminal 15a as shown in FIG. On this unapproved list display screen 504, as shown in FIG. 18, an unapproved list that is being applied for is displayed, and a relevance category (business / product relevance category) is output for each business / product name. . Here, when the confirmation button in the business / product name column is selected, a business / product reference screen 505 shown in FIG. 19 is output.

  When the approval process is performed, an approval screen button on the unapproved list display screen 504 is selected. In this case, the client terminal 15 a transmits an approval screen request to the compliance management server 20. This approval screen request includes data related to the business / product code that identifies the selected business / product.

  In this case, the approval management means 213 of the control unit 21 of the compliance management server 20 specifies the minor classification identifier associated with the received business / product code using the legal checklist data storage unit 24. Next, the approval management means 213 acquires the major category identifier and middle category identifier associated with the minor category identifier from the common law theme table. And the approval management means 213 transmits the approval process screen 506 to the client terminal 15a, as shown in FIG. As shown in FIG. 20, the approval processing screen 506 displays the major classification, middle classification, and minor classification associated with this business / product code. Category) is output.

  In addition, related laws are linked to the small classification on the approval processing screen 506. When the link of the related law is selected, the client terminal 15 a transmits a law check list request to the compliance management server 20. This legal checklist request includes data relating to an identifier for specifying the small category selected on the approval processing screen 506.

  Upon receiving the law check list request, the approval management means 213 of the control unit 21 of the compliance management server 20 transmits an approval processing screen 507 to the client terminal 15b as shown in FIG. In the approval processing screen 507, as shown in FIG. 21, the names of laws and regulations related to the selected small classification are listed. Each law name includes information on the relevance category (individual relevance category) and the attitude set in the business department.

  Here again, each law name has a link for displaying the contents of the text of each law. When this link is selected, the client terminal 15 a transmits a text output request to the legal content providing server 30. This clause output request includes data relating to the law identification code and clause ID. In this case, the legal content providing server 30 transmits a legal provision display screen 510 to the client terminal 15a as shown in FIG. This law and regulations text display screen 510 includes the text of each law and regulations as shown in FIG.

  Then, the person in charge confirms the relevance category and attitude using the client terminal 15a, determines whether the attitude is appropriate, and selects the approval button on the approval processing screen 507 if there is no problem. When a reconsideration is requested, a return button is selected. In addition, when approving all the small classifications collectively, the approval button on the approval processing screen 506 can be selected.

  In this case, the client terminal 15a transmits the approval result to the compliance management server 20. This approval result includes information for specifying “approval” or “return” selected on the approval processing screen 507.

The approval management means 213 of the control unit 21 of the compliance management server 20 that has received the approval result records the received approval result in the legal checklist data storage unit 24. Then, the approval management unit 213 records data regarding the status and approval date in the law check list data 240.
As described above, the legal compliance system is maintained using the legal compliance matrix consisting of the legal theme table and legal checklist.

(Renovation and disposal management processing)
Next, the alteration / decommissioning management process will be described with reference to FIG.

  Here, the control unit 21 of the compliance management server 20 executes a process for acquiring law amendment data (step S1-1). Specifically, the legal information acquisition unit 214 of the control unit 21 periodically accesses the legal content providing server 30 and confirms whether or not the law has been revised or abolished. When the revision / decommissioning of the law is detected, the law information acquisition unit 214 acquires the revision / destruction data 320 shown in FIG. The revised / decommissioned data 320 includes data related to the law identification code, law name, revision / decommissioned classification name, enforcement date, promulgation date, URL, clause ID, old clause ID, etc. in CSV (Comma Separated Values) format. Composed.

In the law identification code data area, data relating to an identifier for identifying the revised law is recorded.
In the law name data area, data relating to the official name of the law is recorded.

  In the revision / decommission category name data area, data relating to an identifier for identifying the contents of revision / decommission (reformation type) is recorded. In this embodiment, the names of revisions and abolitions are “new establishment”, “partial revision”, “full revision”, “addition”, “deletion”, “delete”, “progress”, “subordinate”, “add name” ”And“ Delete name ”are set. Here, “new establishment” means establishment of a new law. “Full revision” means a partial revision of a clause. “Addition” means the addition of a new clause. “Delete” means that the content is deleted while leaving the form of the clause. “Shave” means to delete the content without leaving the form of the clause. “Up” and “down” mean to raise or lower the article number of a clause. “Add name” and “Delete name” mean adding or deleting the name of a clause. “Up”, “down”, “add name”, and “delete name” mean a formal change of the clause.

The date of enforcement and the date of promulgation record data related to the date of enforcement and the date of promulgation of this revision.
In the URL data area, a strike line is drawn on the original text, and a new added phrase is entered to specify the location where the file (disappearance file) in which the old clause is compared with the new clause is stored. Data related to the URL is recorded.

  In the clause ID data area and the old clause ID data area, data relating to a clause number (new clause identifier) for specifying a new clause and a clause number (old clause identifier) for specifying the original clause are recorded.

  Here, when “new establishment” is set as the revision / decommission classification name, the control unit 21 of the compliance management server 20 executes the “new establishment” response processing shown in FIG. S1-2).

  When “partial revision” is set as the revision / decommission category name, the control unit 21 of the compliance management server 20 executes the “partial revision” response process shown in FIG. 8 as described later (step S1). -3).

  When “total revision” is set as the revision / decommissioning category name, the control unit 21 of the compliance management server 20 executes the “total revision” handling process shown in FIG. 9 as described later (step S1-4). ).

  When “addition” is set as the revision / decommissioning category name, the control unit 21 of the compliance management server 20 executes the “addition” handling process shown in FIG. 10 as described later (step S1-5).

  When “delete” or “delete” is set as the revision / decommission category name, the control unit 21 of the compliance management server 20 executes a “delete / delete” response process shown in FIG. Step S1-6).

  When “advance” or “deferral” is set as the revision / decommission category name, the control unit 21 of the compliance management server 20 executes the “advance / deferral” handling process shown in FIG. 12 as will be described later. (Step S1-7).

  When “add name” or “delete name” is set as the revision / decommission category name, the control unit 21 of the compliance management server 20 executes a “name change” response process shown in FIG. 13 as will be described later. (Step S1-8).

(Processing for “new establishment”)
First, the “new establishment” handling process will be described with reference to FIG.
When “new establishment” is set as the revision / abolition classification name in the revision / decommission data 320, the control unit 21 of the compliance management server 20 executes a warning display output process for “new establishment” (step S2-1). ). Specifically, the revision / decommissioning processing means 215 of the control unit 21 outputs a newly established law and the law name of this law on the law compliance matrix management screen. This completes the “new establishment” handling process.

(Processing for “partial revision”)
Next, the “partial revision” handling process will be described with reference to FIG.
When “partial revision” is set as the revision / decommission classification name in the revision / decommission data 320, the control unit 21 of the compliance management server 20 executes a search process for a business / product theme related to the partially revised law. (Step S3-1). Specifically, the revision / disposal processing means 215 of the control unit 21 acquires the law identification code, clause ID, and old clause ID from the revision / decompression data 320. Then, the revision / disposal processing means 215 searches the common law theme table data 231 and the law check list data 240 in which the law identification code and the old clause ID are recorded as related laws.

  Next, the control unit 21 of the compliance management server 20 executes a registration process that takes over the evaluation of the old clause ID (step S3-2). Specifically, the revision / disposal processing means 215 of the control unit 21 replaces the old clause ID with a new clause ID included in the revision / deletion data 320 in the legal checklist data 240 in which the old clause ID is recorded.

  Next, the control unit 21 of the compliance management server 20 executes a warning display output process for “partial revision” (step S3-3). Specifically, the amendment / disposal processing means 215 of the control unit 21 includes a partial revision list indicating that there is a partial revision of the law, the law name of the law, the revised old clause ID, and the URL of the unclear file. Is generated and output to the legal compliance matrix management screen. As described above, the “partial revision” handling process is completed.

("All revisions" processing)
Next, the “all revisions” handling process will be described with reference to FIG.
In the revision / decommission data 320, when “total revision” is set as the revision / decommission classification name, the control unit 21 of the compliance management server 20 executes a process for specifying a clause having a high degree of coincidence by comparison of the clauses (step S4-1). . Specifically, the amendment / disposal processing means 215 of the control unit 21 acquires the law identification code and the clause ID from the amendment / decommission data 320. Then, the revision / disposal processing means 215 obtains, from the legal content providing server 30, the revised text for the law identification code, the clause ID, and other text included in the law. Then, the revision / abolition handling means 215 disassembles the revised clause and other clauses for each noun, and performs matching between them. Next, the revision / abolition handling means 215 compares the stored reference value with the number of matching nouns in the text comparison. Then, the revision / abolition handling means 215 identifies the clause ID of the clause having the largest number of matching nouns that is equal to or greater than the reference value as a clause having a high degree of matching.

  Next, the control unit 21 of the compliance management server 20 executes a sub-category search process associated with a sentence having a high degree of coincidence (step S4-2). Specifically, the amendment / disposal processing means 215 of the control unit 21 searches the common law theme table data 231 and the law check list data 240 in which the specified clause ID is recorded as a related law, and identifies the minor classification identifier. .

  Next, the control unit 21 of the compliance management server 20 executes a recording process for associating the revised text with the minor classification identifier (step S4-3). Specifically, the amendment / abolition processing means 215 of the control unit 21 associates the law identification code and clause ID of the revised law with the minor classification identifiers of the specified common law theme table data 231 and the law check list data 240. Record. As a result, in the legal checklist data 240, the business / product and the revised clause are associated with each other.

  And the control part 21 of the compliance management server 20 performs the output process of the alert display about "all modifications" (step S4-4). Specifically, the amendment / abolition processing means 215 of the control unit 21 indicates that all the laws are amended, the law name of the law, the revised clause ID, the URL of the hidden file, the changed law checklist data 240. Generate a list of all revisions displaying the list of and output to the legal compliance matrix management screen. Thus, the “all modifications” handling process ends.

("Addition" processing)
Next, the “addition” handling process will be described with reference to FIG.
When “addition” is set as the revision / decommission classification name in the revision / decommission data 320, the control unit 21 of the compliance management server 20 executes a clause addition process (step S5-1). Specifically, the amendment / disposal processing means 215 of the control unit 21 acquires the law identification code and the clause ID from the amendment / decommission data 320. Then, the revision / disposal processing means 215 identifies the clause ID of the clause before and after the added clause ID. Next, the revision / abolition processing means 215 searches the common law theme table data 231 and the law check list data 240 in which the clause IDs of the preceding and following clauses are recorded as related laws. Then, the revision / disposal processing means 215 adds the addition target clause ID recorded in the revision / decommissioning data 320 to the common law theme table data 231 and law checklist data 240 in which the preceding and following clause IDs are recorded as related laws. As a result, in the legal checklist data 240, the business / product and the clause ID of the revision / decommissioning data 320 are associated with each other.

  Next, the control unit 21 of the compliance management server 20 executes an evaluation acquisition process for other clauses included in the added clause minor classification (step S5-2). Specifically, the amendment / abolition processing means 215 of the control unit 21 determines the individual relevance classification for the clauses of other related laws and regulations related to this business / product from the law checklist data 240 to which the clause ID is added. get.

Next, the control unit 21 of the compliance management server 20 executes a determination process as to whether or not the individual relevance category of other clauses is “D” (step S5-3). Specifically, the amendment / disposal processing unit 215 of the control unit 21 determines whether all the individual relevance categories of other clauses acquired from the law check list data 240 to which the clause ID is added are “D”.

  Here, when all the individual relevance categories of other clauses are “D” (in the case of “YES” in step S5-3), the control unit 21 of the compliance management server 20 determines the individual relevance for the added clause ID. A setting process of “D” is executed as the default value of the sex category (step S5-4). Specifically, the amendment / disposal processing unit 215 of the control unit 21 records “D” as the individual relevance category for the added clause ID.

  On the other hand, when there is an individual relevance category other than “D” (in the case of “NO” in step S5-3), the control unit 21 of the compliance management server 20 executes a blank setting process (step S5-5). Specifically, the amendment / disposal processing means 215 of the control unit 21 sets the individual relevance category to a blank for the added clause ID. In this blank, the individual relevance category is set by the risk evaluation (step S5) of the person in charge of the business department who confirmed the alert display described later.

  Next, the control unit 21 of the compliance management server 20 executes a warning display output process for “addition” (step S5-6). Specifically, the amendment / abolition processing means 215 of the control unit 21 indicates that the law has been added, the law name of the law, the added clause ID, the URL of the hidden file, the changed law checklist data 240. Generate an additional revision list showing the list and output it to the legal compliance matrix management screen. Thus, the “addition” handling process ends.

("Deleting / Scraping" processing)
Next, the “deletion / scraping” handling process will be described with reference to FIG.
In the revision / decommission data 320, when “deletion” or “delete” is set as the revision / decommission classification name, the control unit 21 of the compliance management server 20 searches for the business / product theme associated with the deleted / deleted law. Processing is executed (step S6-1). Specifically, the amendment / disposal processing means 215 of the control unit 21 acquires the law identification code and the clause ID from the amendment / decommission data 320. Then, the revision / disposal processing means 215 searches the common law theme table data 231 and the law check list data 240 in which the law identification code and the clause ID are recorded as related laws.

  Next, the control unit 21 of the compliance management server 20 executes a clause deletion process (step S6-2). Specifically, the amendment / abolition handling means 215 of the control unit 21 uses the common law theme table data 231 and the law checklist data 240 in which the clause ID is recorded, Delete the individual relevance category. Here, the other provisions are maintained as they are.

  Here, when the revision / deletion category name is “scrap” (in the case of “YES” in step S6-3), the control unit 21 of the compliance management server 20 executes the subsequent clause advance processing (step S6-4). . Specifically, the amendment / abolition processing means 215 of the control unit 21 extracts all common law theme table data 231 and law check list data 240 with law identification codes as related laws and regulations, and deletes the clause IDs of related laws and regulations. Carry forward several minutes. When the revision / decommission category name is “delete” (in the case of “NO” in step S6-3), the control unit 21 of the compliance management server 20 does not perform this advance processing (step S6-4).

Next, the control unit 21 of the compliance management server 20 executes a process for acquiring the remaining relevance category in the business / product theme from which the clause is deleted (step S6-5). Specifically, the amendment / disposal processing means 215 of the control unit 21 individually selects the clauses of other related laws and regulations related to the business / product and the small classification identifier from the law check list data 240 from which the clause ID is deleted. Get relevance category.

  Next, the control unit 21 of the compliance management server 20 executes relevance category update processing (step S6-6). Specifically, the revision / decommission processing means 215 of the control unit 21 specifies the highest level among the individual relevance categories remaining in the legal checklist data 240 from which the clause ID is deleted. Then, the revision / disposal handling means 215 sets the individual relevance category having the highest level as the small category relevance category associated with the small category identifier in the legal checklist data 240. Further, the revision / disposal processing means 215 sets the individual relevance category having the highest level as the business / product relevance category associated with the business / product in the legal checklist data 240. Thus, the “deletion / scraping” handling process ends.

("Up / Down" corresponding processing)
Next, the “upward / downward” handling process will be described with reference to FIG.
In the revision / decommissioning data 320, when “advance” or “deferral” is set as the revision / decommission classification name, the control unit 21 of the compliance management server 20 sets the business / product theme associated with the advanced or deferred laws. Search processing is executed (step S7-1). Specifically, the revision / disposal processing means 215 of the control unit 21 acquires the law identification code, clause ID, and old clause ID from the revision / decompression data 320. Then, the revision / disposal processing means 215 searches the common law theme table data 231 and the law check list data 240 in which the law identification code and the old clause ID are recorded as related laws.

  Next, the control unit 21 of the compliance management server 20 executes a registration process that takes over the evaluation of the old clause ID (step S7-2). Specifically, the revision / abolition processing means 215 of the control unit 21 uses the new clause ID included in the revision / decompression data 320 in the common law theme table data 231 and the law checklist data 240 in which the old clause ID is recorded. Replace with ID. Thus, the “upward / downward” handling process ends.

("Rename" processing)
Next, the “name change” handling process will be described with reference to FIG.
When “add name” or “delete name” is set as the revision / decommission classification name in the revision / decommission data 320, the control unit 21 of the compliance management server 20 determines the business / product theme associated with the law whose name has been changed. The search process is executed (step S8-1). Specifically, the amendment / disposal processing means 215 of the control unit 21 acquires the law identification code and the clause ID from the amendment / decommission data 320. Then, the revision / abolition processing means 215 searches the common law theme table data 231 and the law check list data 240 in which the law identification code and the clause ID are recorded as related laws.

  Next, the control part 21 of the compliance management server 20 performs a name change process (step S8-2). Specifically, the revision / decommissioning processing unit 215 of the control unit 21 changes the names of the related laws in the specified common law theme table data 231 and law check list data 240. This completes the “name change” handling process.

As described above, according to the present embodiment, the following effects can be obtained.
In the above embodiment, the common law theme table data 231 is recorded in the law theme table data storage unit 23. The common law theme table data 231 includes data on a theme name, a major classification identifier, a middle classification identifier, a minor classification identifier, related laws, and a law link for each theme chart identifier. As a result, it is possible to identify related laws and regulations that should be noted in accordance with the business or product. In particular, in finance, etc., there are a wide range of related laws and regulations. Using this common law theme table, each business department can efficiently check the legal compliance system.

  -In the above embodiment, the law checklist data storage unit 24 stores the risk level for laws and regulations, and the system implemented to comply with laws and regulations, with respect to the operations performed at each group company and the products provided. Legal check list data 240 for checking is recorded. The legal checklist data 240 includes a business identifier, a department identifier, and a business / product relevance classification for the business / product. As a result, the compliance system of each business department can be checked.

  In the above embodiment, the control unit 21 of the compliance management server 20 executes a business / product registration support process (step S3), an association process with legal provisions (step S4), and a risk assessment support process. (Step S5). As a result, it is possible to establish a legal compliance system while being conscious of relevant laws and regulations for the business and products that each business department has jurisdiction over. Furthermore, the control unit 21 of the compliance management server 20 executes a posture review support process (step S6). As a result, the compliance system can be checked.

  In the above embodiment, when “new establishment” is set as the revision / abolition classification name, the control unit 21 of the compliance management server 20 executes the “new establishment” handling process (step S1-2). Thereby, the user can grasp that a new law was enacted. Then, the common law theme table data 231 and the law check list data 240 can be efficiently created for the newly established law. Further, an output process of alert display for “new establishment” is executed (step S2-1). Thereby, the user can grasp that a new law was enacted.

  In the above embodiment, when “partial revision” is set as the revision / decommission category name, the control unit 21 of the compliance management server 20 executes the “partial revision” handling process (step S1-3). . As a result, for the new clause ID, the individual relevance classification of the old clause ID is inherited, so that the legal checklist can be updated efficiently. Further, since a warning display for “partial revision” is output (step S3-3), the user can grasp that there has been a partial revision.

  In the above embodiment, when “total revision” is set as the revision / decommission category name, the control unit 21 of the compliance management server 20 executes the “total revision” handling process (step S1-4). Here, the control unit 21 of the compliance management server 20 specifies a clause having a high degree of matching by comparing the clauses (step S4-1), and searches for a small category associated with a clause having a high degree of matching (step S4-). 2). Then, the control unit 21 of the compliance management server 20 records the revised text in association with the minor classification identifier (step S4-3). Accordingly, the common law theme table data 231 and the law check list data 240 can be efficiently updated in accordance with all revisions of the law.

  And the control part 21 of the compliance management server 20 performs the output process of the alert display about "all modifications" (step S4-4). Thereby, the user can grasp that all revisions have been made.

In the above embodiment, when “addition” is set as the revision / decommissioning category name, the control unit 21 of the compliance management server 20 executes “addition” handling processing (step S1-5). Here, when all the individual relevance categories of the other clauses are “D” (in the case of “YES” in step S5-3), the control unit 21 of the compliance management server 20 determines the individual relevance for the added clause ID. A setting process of “D” is executed as the default value of the sex category (step S5-4). Thereby, the law check list data 240 can be efficiently updated in accordance with the additional revision of the law.

  Further, the control unit 21 of the compliance management server 20 executes a warning display output process for “addition” (step S5-6). Thereby, the user can grasp that there was an additional revision.

  In the above embodiment, when “delete” or “delete” is set as the revision / decommission category name, the control unit 21 of the compliance management server 20 executes the “delete / delete” response process (step S1- 6). Here, the control unit 21 of the compliance management server 20 acquires the remaining relevance category in the business / product theme from which the clause is deleted (step S6-5), and the sub-category relevance category and the business / product relevance. An update process for the category is executed (step S6-6). Thereby, the legal checklist data 240 can be efficiently updated in accordance with the deletion of the clause.

  In the above embodiment, when “advance” or “advance” is set as the revision / abolition category name, the control unit 21 of the compliance management server 20 executes the “advance / advance” handling process (step S1-7). Here, the control unit 21 of the compliance management server 20 searches for business / product themes associated with the laws that have been advanced or deferred (step S7-1). And the control part 21 performs the registration process which takes over evaluation of old clause ID (step S7-2). As a result, in the formal legal revision, the legal checklist data 240 can be efficiently updated by taking over the evaluation of the old clause ID.

  In the above embodiment, when “add name” or “delete name” is set as the revision / decommission category name, the control unit 21 of the compliance management server 20 executes the “name change” handling process (step S1). -8). The control unit 21 of the compliance management server 20 searches for a business / product theme associated with the law whose name has been changed (step S8-1). And the control part 21 performs a name change process (step S8-2). Thereby, in the formal law revision, the common law theme table data 231 and the law check list data 240 can be efficiently updated.

In addition, you may change the said embodiment into the following aspects.
In the above embodiment, in the revision / decommissioning management process, the control unit 21 of the compliance management server 20 responds to the “new establishment” handling process (step S1-2) to “name change” according to the revision / decommissioning category name of the law revision / decommissioning data. The process (step S1-8) is executed. The alteration / decommissioning management process is not limited to these processes, and a combination with other processes or a part of these processes may be executed.

  ○ In the above embodiment, the compliance department of the supervising company creates a common law theme table and evaluates the compliance system of the business and products of the group companies. The management target is not limited to a group company, and can be implemented in a single company, or can be configured so that an application service provider (ASP) provides a common law theme table to a user company. .

In the above embodiment, the control unit 21 of the compliance management server 20 executes the support process for associating with the legal provisions (step S4). This processing is performed in the business department of the group company. Alternatively, the legal department of a group company may associate with legal provisions. In this case, when business / product registration is performed in the business department of the group company, the control unit 21 of the compliance management server 20 sends a legal provision to the person in charge of the legal department of the group company. Instruct the association with.

  In the above embodiment, the control unit 21 of the compliance management server 20 executes a determination process as to whether or not the individual relevance category of other clauses is “D” (step S5-3). When the individual relevance categories of other clauses are all “D” (in the case of “YES” in step S5-3), the control unit 21 of the compliance management server 20 sets the individual relevance category for the added clause ID. “D” is set as a default value (step S5-4). Here, the control unit 21 of the compliance management server 20 is not limited to the case where the individual relevance category is “D”. This rank may be set as the default value of the individual relevance category for the added clause ID.

  ○ In the above embodiment, the legal system is checked by specifying the clauses related to “business / product”. In addition, “business / product” may be reversed from a predetermined clause. Specifically, the control unit 21 of the compliance management server 20 provides the client terminal with a search screen provided with a setting field for a search target clause ID. When the control unit 21 of the compliance management server 20 acquires the clause ID as a search key via the search screen, the minor classification identifier in which the clause ID is recorded is specified and associated with the minor classification identifier. Extract “business / product”. Then, the control unit 21 generates list screen data for displaying this “business / product” as a list, and outputs the list screen data to the client terminal. As a result, the user can grasp the “business / product” related to the noticed clause, etc., and check the system.

The system schematic of embodiment of this invention. Explanatory drawing of the data recorded on the law theme table data storage part. Explanatory drawing of the data recorded on the law checklist data storage part. Explanatory drawing of the process sequence of this embodiment. Explanatory drawing of the display screen output on the display of a client terminal. Explanatory drawing of the process sequence of this embodiment. Explanatory drawing of the process sequence of this embodiment. Explanatory drawing of the process sequence of this embodiment. Explanatory drawing of the process sequence of this embodiment. Explanatory drawing of the process sequence of this embodiment. Explanatory drawing of the process sequence of this embodiment. Explanatory drawing of the process sequence of this embodiment. Explanatory drawing of the process sequence of this embodiment. Explanatory drawing of the display screen output on the display of a client terminal. Explanatory drawing of the display screen output on the display of a client terminal. Explanatory drawing of the display screen output on the display of a client terminal. Explanatory drawing of the display screen output on the display of a client terminal. Explanatory drawing of the display screen output on the display of a client terminal. Explanatory drawing of the display screen output on the display of a client terminal. Explanatory drawing of the display screen output on the display of a client terminal. Explanatory drawing of the display screen output on the display of a client terminal.

Explanation of symbols

DESCRIPTION OF SYMBOLS 10,15a, 15b ... Client terminal, 20 ... Compliance management server, 21 ... Control part, 210 ... User management means, 211 ... Legal theme table management means, 212 ... Legal check management means, 213 ... Approval management means, 214 ... Legal Information acquisition means, 215 ... amendment / abolition processing means, 22 ... user management data storage section, 23 ... law theme table data storage section, 24 ... law check list data storage section, 30 ... law content providing server.

Claims (5)

A law theme table that records the relevant law identifiers for each law theme classification identifier,
Inspection target record that records the inspection target identifier that identifies the business or product,
An individual that evaluates the risk with respect to the relevant legal identifier associated in the legal theme table with respect to the legal theme classification identifier in association with the legal theme classification identifier selected in the legal theme table to the inspection target identifier Support information storage means that records a legal checklist that records relevance categories;
A compliance posture inspection support system comprising control means connected to a client terminal,
The control means is
If the client terminal obtains the inspection object information, and means for recording the inspection target record imparted with inspection object identifier,
When a law theme classification identifier is selected in the law theme table for the inspection object identifier, a means for outputting a clause of a related law identifier associated with the law theme classification identifier in the law theme table to the client terminal And
From the client terminal, and means for recording when acquiring individual relevance classification of evaluating the risk to the provisions of the individual relevant segment to the laws identifier to the laws checklist,
In the law checklist, for each inspection object identifier, identify the highest individual relevance classification among the individual relevance classifications for the related law identifiers associated with each inspection object identifier,
Means for recording the identified individual relevance category as a representative relevance category in the law checklist for each inspection object identifier;
Means for acquiring the revision / decommissioning type from the revision / decommissioning data when the legal revision / decommissioning data is obtained;
If the revision / decommission type is an identifier that identifies the revision / decommissioning of the clause, a carry-up process is performed to increment the number of clauses trimmed for the clause ID of the related law;
Retrieve the legal theme classification identifier associated with the relevant legal identifier that matches the clause identifier of the clause to be deleted,
Obtain all relevant legal identifiers associated with the legal theme classification identifier,
Obtain all individual relevance categories associated with the relevant legal identifier,
Identify the highest individual relevance category in the acquired individual relevance category and
Means for recording in the law checklist as a category;
In the case where the revision type is an identifier that identifies the revision or abolition to which a clause is added, the related legal identifiers of the clauses before and after the added clause are identified,
Obtaining a law theme classification identifier associated with a related law identifier before and after the related law identifier;
Obtaining a related law identifier associated with the law theme classification identifier,
Obtain an individual relevance category associated with the relevant law identifier,
Means for recording the same individual relevance category in the law check list for newly added related law identifiers when all of the acquired individual relation classes are the same . Compliance system check support system characterized by that. The control means is
If you obtain legal revision data, obtain the revision type from the revision data,
If the revision type is an identifier that identifies a formal change, obtain an individual relevance category associated with the relevant legal identifier that matches the old clause identifier recorded in the revision data;
The laws check recorded in the list, compliance posture inspection support system according to claim 1, characterized in that recorded in association with the individual relevant segment of the new provisions identifier recorded in the abolition data as laws identifier. The control means is
If you obtain legal revision data, obtain the revision type from the revision data,
When the revision / decommissioning type is an identifier for identifying all revisions, matching the provisions constituting the revised provisions with the relevant provisions associated with each inspection target identifier,
Compliance readiness inspection support system according to claim 1 or 2, characterized in that output to the client terminal degree of coincidence to identify the inspection target identifier than the reference value. A law theme table that records the relevant law identifiers for each law theme classification identifier,
Inspection target record that records the inspection target identifier that identifies the business or product,
An individual that evaluates the risk with respect to the relevant legal identifier associated in the legal theme table with respect to the legal theme classification identifier in association with the legal theme classification identifier selected in the legal theme table to the inspection target identifier Support information storage means that records a legal checklist that records relevance categories;
A compliance posture inspection support method using a compliance posture inspection support system comprising a control means connected to a client terminal,
The control means is
If the client terminal obtains the inspection object information, and recording a check target record imparted with inspection object identifier,
When a law theme classification identifier is selected in the law theme table for the inspection target identifier, a step of outputting a related law identifier clause related to the law theme classification identifier in the law theme table to the client terminal And
From the client terminal, the steps of recording when acquiring individual relevance classification of evaluating the risk to the provisions of the individual relevant segment to the laws identifier to the laws checklist,
In the law checklist, for each inspection object identifier, identify the highest individual relevance classification among the individual relevance classifications for the related law identifiers associated with each inspection object identifier,
For each inspection object identifier, recording the identified individual relevance category as a representative relevance category in the law checklist;
When obtaining the revision / decommissioning data of the law, obtaining the revision / decommissioning type from the revision / decommissioning data;
If the revision / decommission type is an identifier that identifies the revision / decommissioning of the clause, a carry-up process is performed to increment the number of clauses trimmed for the clause ID of the related law;
Retrieve the legal theme classification identifier associated with the relevant legal identifier that matches the clause identifier of the clause to be deleted,
Obtain all relevant legal identifiers associated with the legal theme classification identifier,
Obtain all individual relevance categories associated with the relevant legal identifier,
Identifying the highest individual relevance category in the acquired individual relevance category and recording it in the law checklist as a representative relevance category;
In the case where the revision type is an identifier that identifies the revision or abolition to which a clause is added, the related legal identifiers of the clauses before and after the added clause are identified,
Obtaining a law theme classification identifier associated with a related law identifier before and after the related law identifier;
Obtaining a related law identifier associated with the law theme classification identifier,
Obtain an individual relevance category associated with the relevant law identifier,
If all of the acquired individual relevance categories are the same, execute the step of recording the same individual relevance category in the law checklist for newly added related law identifiers. A compliance system check support method characterized by this. A law theme table that records the relevant law identifiers for each law theme classification identifier,
And the inspection target record to record the inspection object identifier to identify the business operations and products,
An individual that evaluates the risk with respect to the relevant legal identifier associated in the legal theme table with respect to the legal theme classification identifier in association with the legal theme classification identifier selected in the legal theme table to the inspection target identifier Support information storage means that records a legal checklist that records relevance categories;
A compliance posture inspection support program using a compliance posture inspection support system comprising a control means connected to a client terminal,
The control means;
Means for recording the inspection target record with the inspection target identifier when the inspection target information is acquired from the client terminal;
When a law theme classification identifier is selected in the law theme table for the inspection object identifier, a means for outputting a clause of a related law identifier associated with the law theme classification identifier in the law theme table to the client terminal ,
Means for recording, in the legal checklist, the individual relevance category for the related legal identifier when the individual relevance category that evaluates the risk for the clause is acquired from the client terminal;
In the law checklist, for each inspection object identifier, identify the highest individual relevance classification among the individual relevance classifications for the related law identifiers associated with each inspection object identifier,
Means for recording the identified individual relevance category as a representative relevance category for each inspection target identifier in the law checklist;
Means for acquiring the revision / decommissioning type from the revision / decommissioning data when the law revision / decommissioning data is obtained
If the revision / decommission type is an identifier that identifies the revision / decommissioning of the clause, a carry-up process is performed to increment the number of clauses trimmed for the clause ID of the related law;
Retrieve the legal theme classification identifier associated with the relevant legal identifier that matches the clause identifier of the clause to be deleted,
Obtain all relevant legal identifiers associated with the legal theme classification identifier,
Obtain all individual relevance categories associated with the relevant legal identifier,
Means for identifying the highest individual relevance category in the acquired individual relevance category and recording it in the legal checklist as a representative relevance category;
In the case where the revision type is an identifier that identifies the revision or abolition to which a clause is added, the related legal identifiers of the clauses before and after the added clause are identified,
Obtaining a law theme classification identifier associated with a related law identifier before and after the related law identifier;
Obtaining a related law identifier associated with the law theme classification identifier,
Obtain an individual relevance category associated with the relevant law identifier,
Means for recording the same individual relevance category in the law check list for newly added related law identifiers when all the acquired individual relation classes are the same
Compliance system check support program characterized by functioning as

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