Electrical computers and digital processing systems: multicomput – Computer conferencing – Demand based messaging
Reexamination Certificate
2000-05-12
2003-11-25
Lim, Krisna (Department: 2153)
Electrical computers and digital processing systems: multicomput
Computer conferencing
Demand based messaging
C709S201000, C709S232000
Reexamination Certificate
active
06654788
ABSTRACT:
TECHNICAL FIELD
This invention relates to electronic messaging, in particular to insuring regulatory compliance throughout an enterprise regarding messaging.
BACKGROUND ART
As the world of customer service evolves with the electronic age, email has become a very critical delivery channel for companies focused on providing customer service. Many regulatory systems are either in place, or publicly announced, which require regulatory reports regarding these communications on a thorough basis. Today, no method or mechanism exists for insuring such compliance has been systematically applied to all messaging within an enterprise. This lack of capability is a major source of risk for such enterprises.
Further, as corporate communications routinely cross not only state and provincial boundaries, but also national boundaries, determining which regulations apply is now an error prone, haphazard process. Determining who amongst the employees or agents of an enterprise is qualified to respond to a specific request is also error prone, with the obvious increased risk from mistakes as these regulatory requirements grow in complexity and importance. Further, there is no method or mechanism in place, which can integrate regulatory changes into a coherent, efficient communications system linking an enterprise to its employees, clients and vendors.
As the complexity and volume of messaging grows, so has the need for advanced email management systems and associated work-flow processes. Without such tools, managers responsible for customer contacts are forced to spend more time on managing the workflow and less time managing their employees or agents. What is further needed are messaging management systems and associated work-flow processes which free customer contact managers from managing the workflow so they can devote more time to managing their staffs.
Increasingly, new forms of communication such as “Chat-rooms” and instant messaging, and voice-based email all represent new avenues in which regulations and corporate risk will inevitably grow. A number of these new communication media provide new opportunities for staff members to create an adverse impression of their enterprise, besides breaking formal regulations. What is needed includes mechanisms insuring compliance with both regulatory rules and corporate conduct rules.
SUMMARY OF THE INVENTION
Various embodiments solve all of these problems.
Certain embodiments include a method of creating a regulatory analysis message comprised of the following. Providing a messaging interface used by an agent containing at least one field accessing a message queue to create the regulatory analysis message. The message queue is based upon the agent. Identifying issues regarding the regulatory analysis message to create an issue collection containing at least one issue. Responding to each of the issues contained in the issue collection to create an issue response for each issue. And creating the regulatory analysis message based upon the issues responses for each of the issues of the issue collection.
Such embodiments advantageously support a messaging interface for the agent accessing the message queue based upon the agent. Identifying the issues advantageously supports developing the regulatory analysis message through exploration of those issues. Note that as used herein, regulations may refer not only to externally imposed regulations, such as financial trading regulations, but also may refer to internally imposed regulations such as enterprise policies. By way of example, such regulations may relate to press release reviews by various departments such as legal and marketing. Also by way of, example, such regulations may relate to technical paper presentations outside the enterprise, employee relations and employee complaints.
Certain further embodiments include identifying issues further comprised of viewing a possible issue collection containing a possible issue and selecting a first of the possible issues contained in the possible issue collection to create a first of the issues in the issue collection. Such embodiments advantageously support identifying issues by selection from a possible issue collection. This supports an enterprise utilizing an accumulation of wisdom regarding what the issues may be.
Certain further embodiments include each of the possible issues of the possible issue collection associated with a leaf of a possible issues tree. Selecting a possible issue is further comprised of selecting a branch-path to the leaf of the possible issues tree associated with the possible issue. Such embodiments advantageously support traversal of a hierarchical organization of the possible issues, which is often easier to use than a flat list.
Certain other further embodiments include identifying issues further comprised of selecting an issue and deleting the issue from the issue collection. Such embodiments advantageously support deleting an issue found to be inapplicable.
Certain other further embodiments include responding to each issue further comprising, for each of the issues, creating a note list responding to the issue. Such embodiments advantageously support creating a note list responding to an issue by agents. By way of example, a marketing agent may note specific customer preferences and a legal agent may note a precedent deemed relevant.
Certain further embodiments include creating the note list for the-issue further comprised of creating a note text and adding the note text to the note list responding to the issue to create a response note to the issue. Such embodiments advantageously support such note texts. As used herein, a note text may utilize standardized formats including text files, word processor files, Hyper Text Markup Language (HTML), Virtual Reality Markup Language (VRML) formats as well as including but not limited to .txt, .pdf, .pcl, .dvi and postscript file formats.
Certain further embodiments include creating the note text with a text editor. Such embodiments advantageously support creating the note text with a text editor. As used herein, a text editor may include but is not limited to text processors, word processors, layout generators and formatting tools generating note texts in standardized formats.
Certain other further embodiments include creating the note list for the issue further comprised of selecting a first response note to the issue in the note list for the issue and deleting the response note from the note list for the issue. Such embodiments advantageously support modifying the note list by removing a response note from the note list. This advantageously supports removal of inappropriate, incorrect, improperly worded and/or misleading responses.
Certain other further, embodiments include responding to each of the issues further comprised of selecting an article from a response knowledge base containing the article and using the article to create the response to the issue. Such embodiments advantageously support use of articles contained in a response knowledge base to respond to issues. This advantageously optimizes overall response time for the system and reduces the risks associated with the response by accessing the accumulated wisdom responding to the issues as embodied in the articles of the response knowledge base.
Certain further embodiments include using the article further comprised of adding the article to a response article list associated with the response to the issue. Such embodiments advantageously support using the knowledge base article by adding it to a response article list associated with the response. This is further advantageous in that since there is no modification of the article, the risk of non-compliant regulatory activity is lowered.
Certain other further embodiments include creating the regulatory analysis message further comprised of integrating the response of each issue to create the regulatory analysis message. Such embodiments advantageously support response integration of the issues raised in a message to create the regulatory analysis message. Such embodiments
Chance Curtis
Sarda Bruno
Scwartz Lynn
Charles Schwab & Co.
Glenn Michael A.
Glenn Patent Group
Lim Krisna
LandOfFree
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