WO2007045044A1

WO2007045044A1 - A system and method for self assessment of regulatory compliance

Info

Publication number: WO2007045044A1
Application number: PCT/AU2006/001562
Authority: WO
Inventors: Paul Martin
Original assignee: Infomaster Pty Limited
Priority date: 2005-10-21
Filing date: 2006-10-20
Publication date: 2007-04-26

Abstract

The invention concerns a system for self assessment of regulatory compliance. The system comprises a database and a server connected to the database via a communications network. The database stores information, the information categorised according to spatial data relating to geographical locations, activity data relating to a type of activity at a location, and rules data relating to rules which apply to an activity at a location. The server is operable to receive a request from a user via a networked electronic device, the request in relation to requirements for regulatory compliance assessment at a location and in relation to an activity. In response to the request the server is operable to identify, from the information stored in the database, a candidate set of potential rules which match the input location and activity data, to generate specific questions for answer by the user in order to selectively filter the candidate set of potential rules, and to receive data from the user in response to the specific questions and to generate targeted advice specific to the user's requirements for regulatory compliance.

Description

"A system and method for self assessment of regulatory compliance"

Technical Field

The invention relates to a system for self assessment of regulatory compliance. The invention further relates to a method, and a graphical user interface, for providing a user with the means for self assessment of regulatory compliance.

Background Art

For a user wishing to assess their, or another person's, regulatory compliance, for example compliance with regulations which impact on the use or conservation of natural resources including land and water, the sheer number of regulations with which they are required to comply with can be overwhelming. In addition the content of the regulations can be difficult to comprehend. Moreover the regulations can often be difficult to access and to understand cost-effectively. This can deter a user who is seeking to participate in better natural resource management, to comply with resource management or use requirements or constraints.

Disclosure of Invention

In a first aspect, the invention is a system for self assessment of regulatory compliance comprising: a database to store information, the information categorised according to spatial data relating to geographical locations, activity data relating to a type of activity at a location, and rules data relating to rules which apply to an activity at a location; and a server connected to the database via a communications network, the server operable to receive a request from a user via a networked electronic device, the request in relation to requirements for regulatory compliance assessment at a location and in relation to an activity, and in response to the request to identify, from the information stored in the database, a candidate set of potential rules which match the input location and activity data, and to generate specific questions for answer by the user in order to selectively filter the candidate set of potential rules, and to receive data from the user in response to the specific questions and in response to the received data, to generate targeted advice specific to the user's requirements for regulatory compliance. In one embodiment, the server may be operable to cause a user interface to be displayed to the networked electronic device, to enable the user to input the request in relation to requirements for regulatory compliance and to provide the user with the targeted advice. The server may be a single server functioning as an application server and a web server. Optionally, the web server and the application server may be distinct servers.

The targeted advice may comprise the filtered candidate set of potential rules, for example, the potentially relevant requirements. Alternatively, or in addition, the targeted advice may comprise procedural guidance on meeting regulatory compliance. In this example, the database may additionally store process data for the provision of logic structures, such as, but not limited to decision trees and process steps for interpretation of rules and the provision of procedural guidance.

In this, or another embodiment, statistical inference rules or logical inference rules may be used to selectively filter the candidate set of potential rules, by identification on either a probabilistic or logical basis. Relevant facts may trigger the application of particular rules, and aid in either excluding or including these rules in a relevant set.

The specific questions generated for answer by the user may be categorised by at least one of the following: activity related questions, issue related questions, environmental related questions, production related questions, safety related questions, permit related questions and incentive related questions.

Preferably the spatial data is subcategorised according to physical locations, i.e co-ordinates, and geographical identifiers which are based on a relationship with a location defined by a geographic feature. Geographic features may include, but not be limited any one or more of: rivers, streams, watersheds, wildlife corridors, protection habitats, maritime parks, water catchments, roads, transportation corridors, bridges, wind farms, etc. The relationship of the position to the feature may be based on a local measurement where the position is defined relative to a fixed point or points in the geographic features or may be loosely related such that the position has a fuzzy relationship with the geographic feature. Habitats or natural resources and the movement of natural resources within or between geographical locators may also be classed as geographical identifiers. In this regard natural resources are considered to include populations of fauna and flora, such as fish and forests and also includes soil, water, wind, tides and solar radiation. Preferably, linkages (physical, temporal or spatial) are provided between physical locations and geographical identifiers. The activity data is preferably subcategorised according to current activities,

^" historical activities and proposed activities. Each one of the subcategories of the activity data preferably comprises production activities including one or more of the following: grazing, horticulture, silviculture, mining, tourism, property development and conservation activities.

In any of the above embodiments, or an alternative embodiment, the rules data may comprise one or more of the following: government statutes and regulations, administrative guidelines, plans and policies for government and non-government bodies (including safety, quality and environmental accreditation standards) and the interpretations thereof.

The networked electronic device, may be one of, but not limited to, a personal computer, a handheld or mobile computing device (e.g., personal digital ^' assistant (PDA)), a laptop computer, a tablet PC, a web-enabled cellular phone, a pager, and a GPS receiver. The targeted advice may be delivered to the user over the same means with which the user enters data. The targeted advice may be saved to a portable storage device and/or printed.

The server(s) may be secure servers. The server may be in communication with one or more remote servers to receive updated information for storage in the database. In a second aspect, the invention is a method for providing a user with the means for self assessment of regulatory compliance comprising: receiving a request from a user via a networked electronic device, in relation to requirements for regulatory compliance assessment at a location and in relation to an activity, and in response to the request identifying, from stored information, a candidate set of potential rules which match the input location and activity data, where the stored information is categorised according to spatial data relating to geographical locations, activity data relating to an activity at a location, and rules data which apply to an activity at a location; generating application specific questions for answer by the user in order to selectively filter the candidate set of potential rules; outputting the application specific questions to the user via the networked electronic device; receiving data from the user in response to the specific questions; and in response to the received data generating targeted advice and outputting the targeted advice to the user via the networked electronic device. The method may further comprise causing a graphical user interface to be displayed to the networked electronic device, to enable the user to input the request in relation to requirements for regulatory compliance and to provide the user with the targeted advice. The graphical user interface may be a web page and the method further comprise formatting the web page.

Statistical inference rules and/or logical inference rules may be used to generate specific questions so as to selectively filter the candidate set of potential rules.

Generating targeted advice preferably includes filtering the candidate set of rules. The information may be categorised in whole or partially according to spatial data relating to geographical locations, activity data relating to a type of activity at a location, and rules data relating to rules which apply to an activity at a location.

In a third aspect the invention is a graphical user interface for display on a networked electronic device, the user interface allowing a user to, via a web browser, access a database of information categorised according to spatial data relating to geographical locations, activity data relating to a type of activity at a location, and rules data relating to rules which apply to an activity at a location; and to enter a request in relation to requirements for regulatory compliance assessment at a location and in relation to an activity, and in response to the request to receive a candidate set of potential rules which match the input location and activity data, and to enter data in response to specific questions in order to filter the candidate set of potential rules, and as a result to receive targeted advice specific to the request.

Brief Description of Drawings An example of the invention will now be described with reference to the accompanying drawings, in which:

Figure 1 is a schematic illustration of a system for self assessment of regulatory compliance in accordance with the invention;

Figure 2 is a schematic illustration of the system's database; Figure 3 illustrates a flow diagram of a method for providing a user with the means for self assessment of regulatory compliance;

Figure 4 is a schematic illustration of a graphical user interface in the form of a first page of a website, displayed to a user and into which a user enters information;

Figure 5 is a schematic illustration of a subsequent page of the website; Figure 6 is a schematic illustration of a further subsequent page of the website;

Figure 7 is a schematic illustration of a further subsequent page of the website; Figure 8 is a schematic illustration of a further subsequent page of the website; and

Figure 9 is a schematic illustration of a still further subsequent page of the website.

Best Mode for Carrying Out the Invention

Figure 1 is a schematic illustration of a system 10 for self assessment of regulatory compliance. The system 10 is centred around a server 12 and a database 14. The server 12 is operable to respond to a request made by a user from a networked electronic device with the ability to connect over a network. In this regard, the server is operable to prompt a user interface to be displayed to the networked electronic device, to enable a user to input data. The network can be any type of network, including, for example, a LAN, WAN, Internet, wireless, cellular, or WiFi. The server 12 may respond to a request received from any suitable electronic device with the ability to connect over a network, such as a conventional personal computer, a handheld or mobile computing device (e.g., personal digital assistant (PDA)), a laptop computer, a tablet PC, a web-enabled cellular phone, a pager, a GPS receiver, etc. In this embodiment, the server 12 is illustrated as operable to respond to a request from a computer 16 and transmitted over the internet 18, or from a PDA 20 and transmitted via a cellular network 22. Thus it will be appreciated that in this embodiment, the server 12 operates as both an application server and a web server; it receives requests from users, to access data in the database 14 and format the data into a webpage. However other embodiments may use distinct servers for security reasons.

As illustrated, the database 12, is physically located separate from the server 12. Optionally, the database 12 may be resident on the server 14. The database 14 houses four primary types of information; spatial data 24, activity data 26, rules data 28 and process data 30. Any or all of the spatial data 24, activity data 26, rules data 28, and process data 30 may be stored as a variety of formats, such as text, audio, and video files. Any or all of the data may be encrypted. As further illustrated with reference to figure 2, spatial data 24, is subcategorised according to physical locations and geographical identifiers, where the geographical identifiers are based on a relationship with a location defined by a geographic feature. Physical locations relate more specifically to co-ordinates, and/or physical addresses whilst geographic features include rivers, streams, wildlife corridors, protection habitats etc. Activity data 26 is subcategorised according to current activities, historical activities and proposed activities, and specifies types of activities that could occur at any given location, for instance production activities such as grazing, horticulture, silviculture, mining, tourism and development. Rules data 28 encompasses government statues and regulations, administrative guidelines, plans and policies for both government and non-government bodies (including safety, quality and environmental accreditation standards).

Process data 30 describes the ordering and decision making steps that are required to determine the requirements for regulatory assessment. The ordering and decision making steps mirrors the logic expected to be applied by expert decision makers dealing with the same or similar issues. It addresses rules and fact interpretation, logical sequences of decision-making steps and administrative process. In this regard, data within the database 12 occupy data fields. Inter-related data fields are referenced for data mining.

The following example of using a computer implemented method for providing a user with the means for self assessment of regulatory compliance is illustrated with reference to the flow diagram of figure 3 and figures 4 to 9, the later, each of which illustrate a user interface which is displayed to the user. In this example, the user, a resident in Australia is seeking to achieve voluntary environment management system certification.

The user operates computer 16 to log onto a website in order to undertake a self assessment for regulatory compliance. A homepage of the website (not shown) describes how to use the system 10. Each page of the website comprises a column of sequential field tags and a working window 50, whereby activation of one of the tags presents information within the working window 50. Presented information prompts the user for data relating to the tag. In order for the system 10 to generate targeted advice, the user is required to complete the requirements for a number of field tags. The field tags for which the input of information from the user is required are 'Basic Information' 32, 'Main Activities' 54, 'Production Q&A' 56, 'Environment Q&A' 58, 'Safety Q&A 60', 'Permits Q&A' 62, and 'Incentives^' Q&A' 64. If the user is new to the system, he or she, may select an instruction page 66. Otherwise the user accesses the 'Basic Information' page 50 where the system prompts the user to input basic information including the "location of the property" and the "type of current primary production activities" and "any changes which the user is considering".

Figure 4 illustrates a graphical user interface of a completed 'Basic Information¹ page 50. At the top of page 50 the user is informed that the data input will enable the identification of a candidate set of potential rules which might apply to the user's particular situation. In this embodiment the primary production activities are on a first level categorised as 'Animal Industry¹, 'Plant Industry', 'Extraction Industry', and 'Other Industry'. On a second level of classification the 'Animal Industry' has sub-categories: 'Cattle', 'Sheep', 'Bird' and 'Other'. The 'Plant Industry' has-sub categories: 'Grain', 'Horticulture', Silviculture', and 'Other'. The 'Extraction Industry' has sub categories: 'Mining', 'Fishing' and 'Other'. 'Other Industry' has sub categories: 'Tourism/Recreation', Development' and 'Other'.

In this embodiment the types of changes which a user may be considering on a first level categorised as: 'Diversification', 'Intensification' and 'Extraction Industry'. On a second level of classification the 'Diversification' has sub-categories: "Animal¹, 'Plant', 'Extraction', and 'Other. The 'Intensification' and 'Extraction' categories each have sub-categories: 'Volume', 'Type', 'Processing', 'Marketing' and 'Other'.

As illustrated, the user has entered into the "property location field" 68, '345 Gostwyk Road, Armidale'. The user has selected boxes which describe the primary production activities that are currently conducted at 345 Gostwyk Road, Armidale., and in addition, the changes that the user is considering in relation to these activities. As illustrated, the user's current primary production activities include the grazing of 'cattle', 70 and the production of 'grain' 72. The user has also input that they are considering intensifying the volume of primary production 76.

At any time, the user can also access a 'help page¹ 80, can 'exit' 82 the application, 'save' 84 the application, 'print' 86 the application or 'load' 88 the application by pressing on the appropriate button. Having completed the fields, the user clicks on the 'next page' button 78.

At step 34, the server receives the information and at step 36 compares the location information 68 with spatial data 24 stored in the database 14. At step 38, the server responds to generate a preliminary set of rules, from rules data 28 stored in the database 14; information about matters such as legal jurisdiction (which provides the identification of applicable rules and zonings, and applicable plans or policies), biophysical data (which provides the identification of natural resource conditions and specific environmental or production issues) and context data which addresses relevant social or economic issues. From the input production activity data 70, 72 and 76 the server uses inferences rules to filter the possibilities and generate intelligent responses. The server draws together information about production processes and the impacts that can arise such as health and safety issues and environmental issues which might arise from different approaches to the proposed activities. For instance, from the information provided by the user, the system 10, identifies that their specified location is within a drinking water catchment and that their activity involves grazing. The system 10 identifies specific rules that are applicable in relation to the type of grazing and horticultural activity in relation to the particular water catchment area.

At step 40 the server transmits the results in the form of an initial candidate set of rules which are accessible to the user by the user clicking on the 'next page' button 78 of figure 4.

Figure 5 illustrates a graphical user interface which provides the initial candidate set of rules which may be applicable to the user. A summary is provided identifying state and key regulatory or administrative regional bodies that might apply to the user's proposed and/or current activities. The candidate set of rules is broken down into the following categories which may apply: 'International agreements' 90, 'State legislation' 92, 'State regulations' 94, 'Government plans or strategies' 96, 'Government advisory documents' 98, 'Non-government rules, plans or other instruments' 100, and 'Incentives, grants or opportunities that may be available' 102. Having reviewed the information the user requests more specific advice by clicking on the 'next page' 78 button which directs the user to a further page, figure 6.

The subsequent process is one of question and answer, moving from a general situation, as illustrated in figure 5, with a wide range of applicable rules and regulations to the increasingly detailed and specific situation as illustrated in figures 6 to 9. The end result is highly targeted advice specific to the user and relating to compliance, potential problems and their amelioration, and administrative or other compliance process.

The server receives the request for further information and in response, at step 42, generates application specific questions 106, 108, 110, 112, by the application of logical inference rules obtained from process data 30, for answer by the user in order to selectively filter the initial candidate set of rules.

Figure 6 illustrates a graphical user interface of a 'Main Activities' window 50. The user is provided with a summary 104: "You have identified GRAZING and GRAIN GROWING as the primary activity of your enterprise. Please identify, by clicking the appropriate boxes if you engage in the following activities. The system has identified in the area where you operate the following matters may be of concern: (I) Ticks (2) Protection of Drinking Catchments (3) spreading of Weeds. Please provide the detail below to assist us in identification of the controls that may be specific to your property ". At step 44, the user is prompted for information to these application specific questions, and in particular, to specify whether they 'transport live animals interstate' 106, whether they 'graze cattle or cultivate within 30m of the creek lines' 108, whether they "grows species of grain that are subject to genetic regulation' 110, in which the user is presented with a pulldown list of grain species, and to specify whether they 'apply chemicals within the creek lines ' 112, again being presented with a pulldown list of chemicals.

Having completed the fields, the user clicks on the 'next page¹ button 78. At step 46, the server receives the information and at step 48 refines the initial candidate set of rules and outputs the targeted advice. Having clicked on the 'next page' button 78, the user is presented with a further user interface as illustrated in Figure 7. This window provides the user with targeted advice together with a refined, filtered list of rules which may be applicable to the user's proposed and/or current activities. In this example, the user is advised in field box 116, of the following compliance issues that may be relevant:

"You have indicated that you graze within 30 m of the creek lines. Under the xxx Policy, this may he a breach. However, 'crash grazing' for short periods of time for weed control may be allowable. Please check with your Local Catchment Management Authority of Department of Agriculture. The use ofxxx seed is legally permissible but you should be aware that some of your neighbours are producers of xxx. Cross contamination of crops on their land could expose you to legal problems. " Hyperlinks (not shown) are provided to easily direct the user to further information if desired. The filtered list of rules which may be applicable to the user's proposed and/or current activities are listed under several headings: 'State Controls', 'Activity Controls', 'Management Plans' "Industry Plans', and a miscellaneous 'Other' category. The number of rules presented to the user is significantly less than that illustrated in figure 3. This is a direct result of the selective filtering due to the responses to application specific questions. The user is able to 'Save' the information. Alternatively, the user can further refine the number of rules. To do this the user clicks on the 'next page' button 78 which directs the user to a further page, figure 8.

Figure 8 illustrates a user interface of the "Production Q&A' window 50. In this window, the user is prompted to answer a series of questions so that the system is able to further filter what rules and regulations are applicable. The user is prompted to select, from pull down lists, 'which chemicals are currently being used', 'the current methods of animal management and the type of stock records system in use ', 'the techniques of soil cultivation used', to indicate 'whether accredited farm management system is followed' and 'what weed control and pasture protection methods are used'. Again, having completed the fields, the user clicks on the 'next page¹ button 78 which directs the user to a further page, figure 9.

Figure 9 illustrates a user interface which provides a further filtered list of rules which may be applicable to the user's proposed and/or current activities. Again, as a direct result of the selective filtering due to the responses to application specific questions the number of rules within this list is significantly less than that illustrated in figure 5. Having reviewed the information the user clicks on the 'next page' button 78.

Further windows (not shown) are generated for each of the field tags 'Environment Q&A 58, 'Safety Q&A' 60, 'Permits Q&A' 62, and 'Incentives Q&A' 64. As a result of progressing through each window the number of rules applicable to the user is reduced.

An advantage of the method, graphical user interface or system is that it enables those people and organisations whose activities are regulated to readily identify their legal and administrative obligations. It further provides primary producers and resource managers with a low cost mechanism to interrogate the rules that are in place, self-assess compliance or the impact of rules on proposed courses of action and ultimately, to carry out compliance transactions (such as seeking approvals) through an intuitively and easy to use mechanism supported by information and education as needed. It is envisioned that the system could enable more cost-effective resource governance by local, regional and federal catchment authorities and agencies.

The system may be further configured for a 'one stop' administration, certification, and either voluntary or mandatory self assessment or third party audit.

It will be appreciated by persons skilled in the art that numerous variations and/or modifications may be made to the invention as shown in the specific embodiments without departing from the spirit or scope of the invention as broadly described. The present embodiments are, therefore, to be considered in all respects as illustrative and not restrictive.

Claims

CLAIMS:

1. A system for self assessment of regulatory compliance comprising: a database to store information, the information categorised according to spatial data relating to geographical locations, activity data relating to a type of activity at a location, and rules data relating to rules which apply to an activity at a location; and a server connected to the database via a communications network, the server operable to receive a request from a user via a networked electronic device, the request in relation to requirements for regulatory compliance assessment at a location and in relation to an activity, and in response to the request to identify, from the information stored in the database, a candidate set of potential rules which match the input location and activity data, and to generate specific questions for answer by the user in order to selectively filter the candidate set of potential rules, and to receive data from the user in response to the specific questions and in response to the received data to generate targeted advice specific to the user's requirements for regulatory compliance.

2. A system according to claim 1 , where the server is further operable to cause a user interface to be displayed to the networked electronic device, to enable the user to input the request in relation to requirements for regulatory compliance and to provide the user with the targeted advice.

3. A system according to claim 1, where the server is an application server and the system further includes a web server to communicate with the application server, where the application server sends data to the web server to be formatted into a web page.

4. A system according to any one of claims 1 to 3, where the request comprises at least one of current activities and proposed activities at the location.

5. A system according to claim 4, where the targeted advice comprises guidance in relation to how to achieve regulatory compliance in relation to the current and/or proposed activities.

6. A system according to any one of the preceding claims, where at least one of statistical inference rules and logical inference rules are used to generate the specific questions so as to selectively filter the candidate set of potential rules.

7. A system according to any one of the preceding claims, where the specific questions generated for answer by the user are categorised by at least one of the following: activity related questions, issue related questions, environmental related questions, production related questions, safety related questions, permit related questions and incentive related questions.

8. A system according to any one of the preceding claims, where the spatial data is subcategorised according to physical locations and geographical identifiers, where the geographical identifiers are based on a relationship with a location defined by a geographic feature.

9. A system according to claim 8, where the relationship is defined by fuzzy logic.

10. A system according to claim 8 or claim 9, where geographic features include one or more of: rivers, streams, watersheds, wildlife corridors, protection habitats, maritime parks, water catchments, roads, transportation corridors, bridges, wind farms, the habitat of natural resources and the movement of natural resources.

11. A system according to any one of the preceding claims, where the activity data is subcategorised according to current activities, historical activities and proposed activities.

12. A system according to claim 11, where each of the subcategories of the activity data comprises production activities including one or more of the following: grazing, horticulture, silviculture, mining, tourism, property development and conservation activities.

13. A system according to any one of the preceding claims, where the rules data comprises one or more of the following: government statues and regulations, administrative guidelines, plans and policies for government organisations and plans and policies for non-government organisations and accreditation standards.

14. A computer implemented method for providing a user with the means for self assessment of regulatory compliance, the method comprising: receiving a request from a user via a networked electronic device, in relation to requirements for regulatory compliance assessment at a location and in relation to an activity, and in response to the request identifying, from stored information, a candidate set of potential rules which match the input location and activity data, where the stored information is categorised according to spatial data relating to geographical locations, activity data relating to an activity at a location, and rules data which apply to an activity at a location; generating application specific questions for answer by the user in order to selectively filter the candidate set of potential rules; outputting the application specific questions to the user via the networked electronic device; receiving data from the user in response to the specific questions; and in response to the received data generating targeted advice and outputting the targeted advice to the user via the networked electronic device.

15. The method according to claim 14, further comprising causing a graphical user interface to be displayed to the networked electronic device, to enable the user to input the request in relation to requirements for regulatory compliance, to output the application specific questions and to provide the user with the targeted advice.

16. The method according to claim 15, where the graphical user interface is a web page and the method further comprises formatting the web page.

17. The method according to any one of claims 14 to 16, where one of statistical inference rules and logical inference rules are used to generate specific questions so as to selectively filter the candidate set of potential rules.

18. A graphical user interface for display on a networked electronic device, the user interface allowing a user to, via a web browser, access a database of information categorised according to spatial data relating to geographical locations, activity data relating to a type of activity at a location, and rules data relating to rules which apply to an activity at a location; and to enter a request in relation to requirements for regulatory compliance assessment at a location and in relation to an activity, and in response to the request to receive a candidate set of potential rules which match the input location and activity data, and to enter data in response to specific questions in order to filter the candidate set of potential rules, and as a result to receive targeted advice specific to the request.