Process certification management

• US 8,296,167 B2
• Filed: 06/17/2003
• Issued: 10/23/2012
• Est. Priority Date: 06/17/2003
• Status: Active Grant

• Current Assignee: Oracle International Corporation (Oracle Corporation)
• Original Assignee: Oracle International Corporation (Oracle Corporation)
• Inventors: King, Nigel, Pollard, Antony Allan
• Primary Examiner(s): MANSFIELD, THOMAS L
• Application Number:
  US10/464,875
• Publication Number:
  US 20040260583A1
• Time in Patent Office: 3,416 Days
• Field of Search: 705/7.11, 705/1.1
• US Class Current: 705/7.11
• CPC Class Codes: G06Q 10/06 Resources, workflows, human or project management; Enterprise or organisation planning; Enterprise or organisation modelling
• CPC Class Codes: G06Q 10/06316 Sequencing of tasks or work
• CPC Class Codes: G06Q 10/0635 Risk analysis of enterprise or organisation activities
• CPC Class Codes: G06Q 40/02 Banking, e.g. interest calculation or account maintenance credit or loans G06Q40/03

Abstract

A system certifying a business process includes a business process associated with a user, and a process certification manager for associating a certification status with the business process and for communicating a certification request to the user. The process certification manager receives messages from the user and modifies the certification status in response. The process certification manager displays the business process and its associated certification status. The business process may include a number of subprocesses each associated with a different users. The process certification manager associates a certification status with each of the subprocesses and communicates a certification request to each of the users, and modifies the certification status of the subprocesses in response to messages from the users. The process certification manager displays the business process and its associated certification status in a first view and the subprocesses and their associated approval statuses in a second view.

Claims

1. A system for certifying a business process, the system comprising:

a storage device configured to store information pertaining to a business process, the business process being associated with one or more risks; and

at least one server in communication with the storage device, the at least one server configured to;

associate a certification status with the business process, the certification status indicating whether an auditor has certified that the business process includes adequate risk controls for mitigating the one or more risks;

communicate a request to certify the business process to the auditor;

in response to the request, receive a message from the auditor, the message indicating that the business process includes adequate risk controls for mitigating the one or more risks; and

modify the certification status based on the message.

2. The system of claim 1, wherein the business process is implemented by a workflow-enabled application.

3. The system of claim 1, wherein the business process comprises a plurality of subprocesses, each subprocess being associated with one or more risks, and

wherein the at least one server is further configured to associate a certification status with each subprocess in the plurality of subprocesses.

4. The system of claim 3, wherein the at least one server is further configured to, for each subprocess in the plurality of subprocesses:

communicate a request to certify the subprocess to a user associated with the subprocess, the user being responsible for managing all or a portion of the subprocess;

in response to the request, receive a message from the user, the message indicating whether the subprocess includes adequate risk controls for mitigating the one or more risks of the subprocess; and

modify the certification status of the subprocess based on the message.

5. The system of claim 4, wherein the at least one server is further configured to modify the certification status of the business process in response to the modification of a certification status associated with a subprocess in the plurality of subprocesses.

6. The system of claim 5, wherein the at least one server is further configured to modify the certification status of the business process in response to the modification of all of the certification statuses associated with the plurality of subprocesses.

7. The system of claim 1, further including a notification system for facilitating communications with the user.

8. The system of claim 7, wherein the notification system facilitates communication with the user via electronic mail.

9. The system of claim 1, wherein the at least one server is further configured to display the business process and its associated certification status.

10. The system of claim 3, wherein the at least one server is further configured to display the business process and its associated certification status in a first view and display the plurality of subprocesses and their associated certification statuses in a second view.

11. The system of claim 1, wherein the certification status indicates that certification is requested for the business process.

12. The system of claim 1, wherein the certification status indicates that the business process has been certified.

13. A method performed by a computer system for certifying a business process, the method comprising:

associating, by the computer system, a business process with one or more risks;

associating, by the computer system, a certification status with the business process, the certification status indicating whether an auditor has certified that the business process includes adequate risk controls for mitigating the one or more risks;

communicating, by the computer system, a request to certify the business process to the auditor;

in response to the request, receiving, at the computer system, a message from the auditor, the message indicating that the business process includes adequate risk controls for mitigating the one or more risks; and

modifying, by the computer system, the certification status based on the message.

14. The method of claim 13, wherein the business process is implemented by a workflow-enabled application.

15. The method of claim 13, wherein the business process comprises a plurality of subprocesses, each subprocess being associated with one or more risks, and

the method further comprises:

associating, by the computer system, a certification status with each subprocess in the plurality of subprocesses.

16. The method of claim 15, further comprising, for each subprocess in the plurality of subprocesses:

communicating, by the computer system, a request to certify the subprocess to a user associated with the subprocess, the user being responsible for managing all or a portion of the subprocess;

in response to the request, receiving, at the computer system, a message from the user, the message indicating whether the subprocess includes adequate risk controls for mitigating the one or more risks of the subprocess; and

modifying, by the computer system, the certification status of the subprocess based on the message.

17. The method of claim 16, further comprising modifying, by the computer system, the certification status of the business process in response to the modification of a certification status associated with a subprocess in the plurality of subprocesses.

18. The method of claim 17, further comprising modifying, by the computer system, the certification status of the business process in response to the modification of all of the certification statuses associated with the plurality of subprocesses.

19. The method of claim 13, further comprising communicating with the user via a notification system.

20. The method of claim 19, wherein the notification system facilitates communication with the user via electronic mail.

21. The method of claim 13, further comprising displaying, by the computer system, the business process and its associated certification status.

22. The method of claim 15, further comprising displaying, by the computer system, the business process and its associated certification status in a first view;

and displaying, by the computer system, the plurality of subprocesses and their associated certification statuses in a second view.

23. The method of claim 13, wherein the certification status indicates that certification is requested for the business process.

24. The method of claim 13, wherein the certification status indicates that business process has been certified.

25. A computer-readable storage medium having stored thereon program code executable by a computer system, the program code comprising:

code that causes the computer system to associate a business process with one or more risks;

code that causes the computer system to associate a certification status with the business process, the certification status indicating whether an auditor has certified that the business process includes adequate risk controls for mitigating the one or more risks;

code that causes the computer system to communicate a request to certify the business process to the auditor;

code that causes the computer system to receive a message from the auditor in response to the request, the message indicating that the business process includes adequate risk controls for mitigating the one or more risks; and

code that causes the computer system to modify the certification status based on the message.