Systems and methods for handling and managing workflows

• US 20050149375A1
• Filed: 12/03/2004
• Published: 07/07/2005
• Est. Priority Date: 12/05/2003
• Status: Abandoned Application

• Current Assignee: SAP SE
• Original Assignee: SAP SE
• Inventors: Wefers, Wolfgang Marcus
• Application Number:
  US11/002,787
• Publication Number:
  US 20050149375A1
• Time in Patent Office: Days
• US Class Current: 705/9
• CPC Class Codes: G06Q 10/06 Resources, workflows, human or project management; Enterprise or organisation planning; Enterprise or organisation modelling
• CPC Class Codes: G06Q 10/06311 Scheduling, planning or task assignment for a person or group
• CPC Class Codes: G06Q 10/06316 Sequencing of tasks or work
• CPC Class Codes: G06Q 10/0639 Performance analysis of employees; Performance analysis of enterprise or organisation operations

Abstract

Methods and systems are provided for handling and managing workflows in an organization. In accordance with one aspect, such methods and systems may perform a process including assigning roles to persons in the organization, each role comprising one or more responsibilities for each person assigned to a role. The process may further include defining and scheduling workflows for managing internal controls of the organization, each workflow comprising a plurality of tasks to be performed by persons in the organization according to their assigned roles. Additionally, the process may include communicating required tasks of each workflow to persons in the organization through respective dedicated interfaces.

Claims

1. A computer-implemented method for handling and managing workflows in an organization, the method comprising:

assigning roles to persons in the organization, each role comprising one or more responsibilities for each person assigned to a role;

defining and scheduling workflows for managing internal controls of the organization, each workflow comprising a plurality of tasks to be performed by persons in the organization according to their assigned roles; and

communicating required tasks of each workflow to persons in the organization through respective dedicated interfaces for each person.

2. The computer-implemented method of claim 1, wherein each dedicated interface presents a To-Do list including the required tasks to be performed by each respective person.

3. The computer-implemented method of claim 1, wherein defining and scheduling workflows includes:

determining a structured organization hierarchy of the organization;

generating a business process catalog based on the organization hierarchy; and

linking business process in the business process catalog to one or more financial statement documents for the organization.

4. The computer-implemented method of claim 1, wherein defining and scheduling workflows includes:

defining control objectives;

defining a risk associated with each control objective; and

creating a control objective and risk catalog reflecting relationships between each risk and corresponding control objective.

5. The computer-implemented method of claim 1, wherein defining and scheduling workflows includes:

assigning one or more business processes to respective business units of the organization.

6. The computer-implemented method of claim 1, wherein defining and scheduling workflows includes:

defining business processes for respective business units of the organization; and

defining business process steps for each business process.

7. The computer-implemented method of claim 6, wherein defining and scheduling workflows includes:

assigning risks to one or more internal controls associated with a control objective for each business process; and

embedding the one or more controls to a respective business process.

8. The computer-implemented method of claim 1, wherein communicating required tasks includes:

assigning a list of activities for each person assigned a role corresponding to the workflows for managing internal controls; and

generating each dedicated interface based on the list of activities for each person.

9. The computer-implemented method of claim 8, wherein the workflows include a first workflow and wherein a first person is assigned a first activity associated with the first workflow, and wherein the method further includes:

generating an assessment interface that enables the first person to record results of the first activity when performed by the first person.

10. The computer-implemented method of claim 9, further including:

generating an issue interface that enables the first person to input issue attributes associated with an identified issue corresponding to the first activity.

11. The computer-implemented method of claim 10, wherein a second person is assigned a second activity associated with the first workflow, and the method further includes:

allowing the second person to update the assessment interface based on results of the second activity when performed by the second person.

12. The computer-implemented method of claim 10, wherein the issue attributes direct a second person to perform a second activity associated with the identified issue.

13. The computer-implemented method of claim 12, wherein the second activity includes creating a remediation plan that addresses the identified issue.

14. The computer-implemented method of claim 13, wherein the second activity includes validating the remediation plan after the first person refines the remediation plan.

15. The computer-implemented method of claim 14, further including:

closing the identified issue once the remediation plan is validated.

16. The computer-implemented method of claim 1, wherein communicating required tasks includes:

assigning a first activity to a first person and a second activity to a second person, each activity corresponding to a first workflow for managing internal controls; and

generating a dedicated interface for each of the first and second person based on the first and second activities, respectively.

17. The computer-implemented method of claim 16, wherein the first person is assigned a role that requires the first person to oversee the second activity assigned to the second person.

18. The computer-implemented method of claim 1, further including:

assigning a first task to a first person to test results of one or more tasks performed by selected persons for managing internal controls of the organization; and

generating a test interface that allows the first person to input data reflecting results of the first task.

19. The computer-implemented method of claim 1, further including:

generating sign-off interfaces for persons associated with various business levels of the organization, each sign-off interface enabling a specified person to validate internal control related tasks performed by one or more persons overseen by the specified person.

20. The computer-implemented method of claim 19, wherein generating sign-off interfaces includes:

generating a report based on the validation of the internal control related tasks by each specified person.

21. The computer-implemented method of claim 20, wherein the report is validated by a person who is responsible for overseeing the entire organization.

22. The computer-implemented method of claim 20, wherein the report includes information reflecting the organization'"'"'s attempt to manage internal controls of the organization.

23. The computer-implemented method of claim 20, wherein the report includes information reflecting the organization'"'"'s attempt to manage internal controls of the organization based on a governmental standard.

24. The computer-implemented method of claim 1, further including:

generating dedicated interfaces for specified persons in the organization that enable these specified persons to validate the performance of one or more of the tasks performed by persons in the organization.

25. The computer-implemented method of claim 24, further including:

generating a report including information representing the organization'"'"'s attempt in managing internal controls of the organization, wherein the report is generated based on the validation by the specified persons in the organization.

26. The computer-implemented method of claim 1, wherein the workflows include tasks to be performed by persons associated with different business units of the organization.

27. The computer-implemented method of claim 1, wherein the workflows include tasks to be performed by persons associated with different organization units of the organization.

28. The computer-implemented method of claim 1, wherein defining and scheduling workflows for managing internal controls of the organization, includes:

scheduling, by a corporate level person in the organization, a corporate level workflow that includes activities for internal controls at a corporate level; and

assigning tasks to persons at the organization unit level to meet requirements of the scheduled corporate level workflow.

29. The computer-implemented method of claim 28, further comprising:

scheduling an organization unit level workflow based on the corporate level workflow; and

assigning tasks, by organization unit level persons, to meet requirements of the schedule organization unit level workflow, wherein the organization unit workflow includes tasks that are unique to the organization unit level.

30. The computer-implemented method of claim 29, further comprising:

cascading the scheduling of subsequent workflows to lower organization level entities of the organization, wherein each scheduled subsequent workflow includes tasks that meet the requirements of the corporate level workflow and includes tasks that are unique to an organization level entity associated with the subsequent workflow.

31. A system for managing workflows in an organization employing persons assigned roles, each role comprising one or more responsibilities for each person assigned to a role, the system including:

a network of computers associated with the organization, at least one of the computers executing software that provides dedicated user interfaces for;

defining and scheduling workflows for managing internal controls of the organization, each workflow comprising a plurality of tasks to be performed by persons in the organization according to their assigned roles, and

communicating tasks of each workflow to the persons in the organization.

32. The system of claim 31, wherein the computer network includes a first set of computers associated with a first business unit of the organization and a second set of computer associated with a second business unit of the organization.

33. The system of claim 31, wherein each dedicated interface presents a To-Do list including the required tasks to be performed by each respective person.

34. The system of claim 31, wherein the software provides user interfaces for:

defining a structured organization hierarchy of the organization;

generating a business process catalog based on the organization hierarchy; and

linking business process in the business process catalog to one or more financial accounts for the organization.

35. The system of claim 31, wherein the software performs processes for

defining control objectives;

defining a risk associated with each control objective; and

creating a control objective and risk catalog reflecting relationships between each risk and corresponding control objective.

36. The system of claim 31, wherein the software performs processes for assigning one or more business processes to respective business units of the organization.

37. The system of claim 31, wherein the software performs processes for:

defining business processes for respective business units of the organization; and

defining business process steps for each business process.

38. The system of claim 37, wherein the software performs processes for:

assigning risks to one or more internal controls associated with a control objective for each business process; and

embedding the one or more controls to a respective business process.

39. The system of claim 31, wherein the software is performs processes for:

assigning a list of activities for each person assigned a role corresponding to the workflows for managing internal controls; and

generating each dedicated interface based on the list of activities for each person.

40. The system of claim 39, wherein the workflow include a first workflow and wherein a first person is assigned a first activity associated with the first workflow, and wherein the software generates an assessment interface that enables the first person to record results of the first activity when performed by the first person.

41. The system of claim 40, wherein the software generates an issue interface that enables the first person to input issue attributes associated with an identified issue corresponding to the first activity.

42. The system of claim 41, wherein a second person is assigned a second activity associated with the first workflow, and the software performs processes that enable the second person to update the assessment interface based on results of the second activity when performed by the second person.

43. The system of claim 41, wherein the issue attributes include data directing a second person to perform a second activity associated with the identified issue.

44. The system of claim 43, wherein the second activity includes creating a remediation plan that addresses the identified issue.

45. The system of claim 44, wherein the second activity includes validating the remediation plan after the first person refines the remediation plan.

46. The system of claim 45, wherein the software performs processes that close the identified issue once the remediation plan is validated.

47. The system of claim 31, wherein the software performs processes for:

assigning a first activity to a first person and a second activity to a second person, each activity corresponding to a first workflow for managing internal controls; and

generating a dedicated interface for each of the first and second person based on the first and second activities, respectively.

48. The system of claim 47, wherein the first person is assigned a role that requires the first person to oversee the second activity assigned to the second person.

49. The system of claim 31, wherein the software performs processes for:

assigning a first task to a first person to test results of one or more tasks performed by selected persons for managing internal controls of the organization; and

generating a test interface that allows the first person to input data reflecting results of the first task.

50. The system of claim 31, wherein the software generates sign-off interfaces for persons associated with various business levels of the organization, each sign-off interface enabling a specified person to validate internal control related tasks performed by one or more persons overseen by the specified person.

51. The system of claim 50, wherein the software further generates a report based on the validation of the internal control related tasks by each specified person.

52. The system of claim 51, wherein the software performs processes that enable a person who is responsible for overseeing the entire organization to validate the report.

53. The system of claim 51, wherein the report includes information reflecting the organization'"'"'s attempt to manage internal controls of the organization.

54. The system of claim 51, wherein the report includes information reflecting the organization'"'"'s attempt to manage internal controls of the organization based on a governmental standard.

55. The system of claim 31, wherein the software generates dedicated interfaces for specified persons in the organization that enable these specified persons to validate the performance of one or more of the tasks performed by persons in the organization.

56. The system of claim 55, wherein the software generates a report including information representing the organization'"'"'s attempt in managing internal controls of the organization, wherein the report is generated based on the validation by the specified persons in the organization.

57. The system of claim 31, wherein the workflows include tasks to be performed by persons associated with different business units of the organization.

58. The system of claim 31, wherein the workflows include tasks to be performed by persons associated with different organization units of the organization.

59. The system of claim 31, wherein the software provides dedicated user interfaces for:

scheduling, by a corporate level person in the organization, a corporate level workflow that includes activities for internal controls at a corporate level; and

assigning tasks to persons at the organization unit level to meet requirements of the scheduled corporate level workflow.

60. The system of claim 59, wherein the software further provides dedicated user interfaces for:

scheduling an organization unit level workflow based on the corporate level workflow; and

assigning tasks, by organization unit level persons, to meet requirements of the schedule-organization unit level workflow, wherein the organization unit workflow includes tasks that are unique to the organization unit level.

61. The system of claim 60, wherein the software further provides dedicated user interfaces for:

cascading the scheduling of subsequent workflows to lower organization level entities of the organization, wherein each scheduled subsequent workflow includes tasks that meet the requirements of the corporate level workflow and includes tasks that are unique to an organization level entity associated with the subsequent workflow.

62. A computer-readable medium including instructions for performing a method, when executed by a processor, for managing workflows in an organization, the method including:

assigning roles to persons in the organization, each role comprising one or more responsibilities for each person assigned to a role;

defining and scheduling workflows for managing internal controls of the organization, each workflow comprising a plurality of tasks to be performed by persons in the organization according to their assigned roles; and

communicating required tasks of each workflow to persons in the organization through respective dedicated interfaces for each person.

63. The computer-readable medium of claim 62, wherein communicating required tasks includes:

assigning a first activity to a first person and a second activity to a second person, each activity corresponding to a first workflow for managing internal controls; and

generating a dedicated interface for each of the first and second person based on the first and second activities, respectively.

64. The computer-readable medium of claim 63, wherein the first person is assigned a role that requires the first person to oversee the second activity assigned to the second person.

65. The computer-readable medium of claim 62, wherein the method further includes:

assigning a first task to a first person to test results of one or more tasks performed by selected persons for managing internal controls of the organization; and

generating a test interface that allows the first person to input data reflecting results of the first task.

66. The computer-readable medium of claim 62, wherein the method further includes:

generating sign-off interfaces for persons associated with various business levels of the organization, each sign-off interface enabling a specified person to validate internal control related tasks performed by one or more persons overseen by the specified person.

67. The computer-readable medium of claim 66, wherein generating sign-off interfaces includes:

generating a report based on the validation of the internal control related tasks by each specified person.

68. The computer-readable medium of claim 66, wherein the generating a report includes validating the report by a person who is responsible for overseeing the entire organization.

69. A system for managing workflows in an organization, including:

a display system for displaying content; and

a computer system configured to execute software to present a user interface on the display, the user interface including information reflecting one or more tasks to be performed by a person in the organization, the one or more tasks being included in a workflow for managing internal controls of the organization and are to be performed by the person based on an assigned role of the person in the organization.

70. The system of claim 69, wherein the person is assigned a role that requires the person to oversee a second task assigned to a second person.

71. The system of claim 70, wherein the one or more tasks include a testing task to test results of a task performed by selected persons for managing internal controls of the organization, and wherein the computer system executes software to generate a test user interface that allows the person to input data reflecting results of the testing task.

72. The system of claim 69, wherein the computer system executes software that generated sign-off interfaces for persons associated with various business levels of the organization, each sign-off interface enabling a specified person to validate internal control related tasks performed by one or more persons overseen by the specified person.

73. The system of claim 72, wherein the computer system executes software that generates a report based on the validation of the internal control related tasks by each specified person.