Work flow systems and processes for outsourced financial services

• US 8,239,233 B1
• Filed: 11/29/2004
• Issued: 08/07/2012
• Est. Priority Date: 07/17/2003
• Status: Active Grant

• Current Assignee: CCH Incorporated (Wolters Kluwer Nv)
• Original Assignee: XCM Development LLC
• Inventors: Albrecht, Mark R.
• Primary Examiner(s): Jeanty, Romain
• Assistant Examiner(s): CHOY, PAN G
• Application Number:
  US10/998,510
• Time in Patent Office: 2,808 Days
• Field of Search: 705/7.15
• US Class Current: 705/7.15
• CPC Class Codes: G06Q 10/06 Resources, workflows, human or project management; Enterprise or organisation planning; Enterprise or organisation modelling

Abstract

A status and workflow management system is provided, including a tax return preparation intake mechanism and computer systems for use by responsible persons responsible for respective parts of processing of a given individual tax return preparation project. A computer screen providing mechanism generates for each responsible person a work flow and status screen, so that a given responsible person is provided a work flow and status screen comprising information pertaining to the given responsible person and according to the given responsible person'"'"'s personnel type. A task display generator displays to the given responsible person on his or her screen tasks to which he or she has been assigned. A task update mechanism updates tasks on the screen of the given responsible person in accordance with a sequence of workflow steps, to indicate when a given task is satisfied and to update tasks on the screen of a next assigned responsible person in the work flow to indicate a new unsatisfied task in accordance with a next workflow step.

Claims

1. A status and workflow management system, the system comprising:

a financial services project intake mechanism;

computer systems including a direct service provider computer system of a direct service provider, use by responsible persons responsible for respective parts of processing of a given financial services project hosted on the direct service provider computer system, wherein each responsible person remotely accesses, over a computer network, the given financial service project hosted on the direct service provider computer system through a thin client;

a computer screen providing mechanism to generate for each responsible person a work flow and status screen through the thin client, a given responsible person thereby being provided a work flow and status screen, through the thin client, displaying workflow management information pertaining to the given responsible person and according to the given responsible person'"'"'s personnel type, the workflow management information comprising tasks to be performed by the given responsible person;

a task display generator to display to the given responsible person on the given responsible person'"'"'s screen, through the thin client, tasks assigned thereto, wherein the given responsible person is provided only limited screenshot access to workflow management information pertaining to the given financial service project needed by the given responsible person to complete the tasks assigned to the given responsible person, the limited screen shot access only providing images of the workflow management information pertaining to the given financial service project and inhibiting each given responsible person from altering and electronically transferring the workflow management information pertaining to the given financial service project hosted on the direct service provider computer system;

a task update mechanism to update tasks on the screen of the given responsible person in accordance with a sequence of workflow steps to indicate when a given task is satisfied and to update tasks on the screen of a next assigned responsible person in the work flow to indicate a new unsatisfied task in accordance with a next workflow step; and

a web tracker to log statuses associated with each task of the given financial services project and wherein the direct service provider has access to the web tracker to obtain status information produced from logging statuses associated with each task of the given financial services project.

2. The system according to claim 1, wherein the financial services project comprises preparation of a tax return for a given tax filer.

3. The system according to claim 2, wherein the workflow and status screen generated for each responsible person comprises a web page.

4. The system according to claim 2, wherein the computer systems further comprise a hosting system.

5. The system according to claim 2, wherein the hosting system is controlled by a direct service provider certified public accounting firm.

6. The system according to claim 4, wherein the computer systems further comprise an intermediary service provider computer system and an outsourcing group computer system.

7. The system according to claim 2, wherein the intake mechanism comprises a mechanism to record through a computer interface intake information regarding each tax return to be processed, including a tax file name, a tax payer name, a person in charge for the client, and client contact information.

8. The system according to claim 7, wherein the client contact information comprises an email address of the client.

9. The system according to claim 7, wherein the intake information further comprises an indication regarding whether the tax return is to be processed in-house by personnel of a direct service provider responsible for the direct service provider computer system or whether the tax return is to be outsourced to an outsourcing group.

10. The system according to claim 9, wherein the outsourcing group is located outside the United States.

11. The system according to claim 10, wherein the outsourcing group is located in India.

12. The system according to claim 2, wherein the workflow management information for a given responsible person comprises an indication of the tax returns assigned to the given responsible person and tasks to be carried out for each of the tax returns assigned to the given responsible person.

13. The system according to claim 12, wherein the workflow management information for a given responsible person further comprises assigned returns for which the given responsible person is awaiting information or action by another responsible person.

14. The system according to claim 13, wherein the responsible persons responsible for respective parts of processing of a given individual tax return preparation project comprise a professional staff member for preparing a given tax return, a tax reviewer for reviewing the given tax return prepared by the professional staff member, a processing person for processing the given tax return once the given tax return is ready for processing, and a delivery person responsible for effecting delivery of the given tax return to the tax filer client.