U.S. patent application number 13/453469 was filed with the patent office on 2012-08-16 for document processing system and computer readable medium.
This patent application is currently assigned to FUJI XEROX CO., LTD.. Invention is credited to Kenji NISHIYAMA.
Application Number | 20120209846 13/453469 |
Document ID | / |
Family ID | 39618563 |
Filed Date | 2012-08-16 |
United States Patent
Application |
20120209846 |
Kind Code |
A1 |
NISHIYAMA; Kenji |
August 16, 2012 |
DOCUMENT PROCESSING SYSTEM AND COMPUTER READABLE MEDIUM
Abstract
A document processing system includes: an activity storage; a
business process narrative storage; a risk storage; a control
storage; an information extracting unit; and a document preparing
and outputting unit.
Inventors: |
NISHIYAMA; Kenji;
(Kawasaki-shi, JP) |
Assignee: |
FUJI XEROX CO., LTD.
Tokyo
JP
|
Family ID: |
39618563 |
Appl. No.: |
13/453469 |
Filed: |
April 23, 2012 |
Related U.S. Patent Documents
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Application
Number |
Filing Date |
Patent Number |
|
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11959516 |
Dec 19, 2007 |
8185452 |
|
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13453469 |
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Current U.S.
Class: |
707/736 ;
707/E17.008 |
Current CPC
Class: |
G06Q 10/087 20130101;
G06Q 10/0635 20130101; G06Q 10/10 20130101 |
Class at
Publication: |
707/736 ;
707/E17.008 |
International
Class: |
G06F 17/30 20060101
G06F017/30 |
Foreign Application Data
Date |
Code |
Application Number |
Dec 19, 2006 |
JP |
2006-341633 |
Nov 22, 2007 |
JP |
2007-302770 |
Claims
1. A document processing system comprising: an activity storage
that correlates and stores activity identifiers for uniquely
identifying activities, activity names, and activity contents; a
resource storage that correlates and stores resource names and the
activity identifiers; a knowledge storage that correlates and
stores knowledge names and the activity identifiers; a business
process narrative storage that stores levels of a plurality of
layers indicating business processes and the activity identifiers
corresponding to the lowest level of the levels of the plurality of
layers; a separation-of-duties storage that correlates and stores
the business processes stored in the business process narrative
storage and persons in charge of the business processes; a flow
storage that correlates and stores symbol names, information on
positions of the symbols, and the activity identifiers; a risk and
control storage that correlates and stores risk identifiers for
uniquely identifying risks and control identifiers for uniquely
identifying controls; a risk storage that correlates and stores the
risk identifiers stored in the risk and control storage and the
activity identifiers; a control storage that correlates and stores
the control identifiers stored in the risk and control storage and
the activity identifiers; an activity inputting unit that
correlates and stores the activities including an activity name and
an activity content and the activity identifiers stored in the
activity storage; a resource inputting unit that correlates and
stores the activity identifiers stored in the activity storage and
resource names having the corresponding activity identifiers in the
resource storage; a knowledge inputting unit that correlates and
stores the activity identifiers stored in the activity storage and
knowledge names having the corresponding activity identifiers in
the knowledge storage; a business process narrative inputting unit
that correlates and stores the activity identifiers stored in the
activity storage and the lowest levels of the levels of the plural
layers indicating business processes having the corresponding
activity identifiers in the business process narrative storage; a
separation-of-duties inputting unit that correlates and inputs the
levels indicating the business processes stored in the business
process narrative storage and persons in charge of the
corresponding business processes to the separation-of-duties
storage; a flow inputting unit that correlates and inputs the
activity identifiers stored in the activity storage, symbol names
having the corresponding activity identifiers, and information on
positions of the symbols to the flow storage; a risk and control
inputting unit that correlates and inputs the risk identifiers and
the control identifiers to the risk and control storage; a risk
inputting unit that correlates and inputs the activity identifiers
stored in the activity storage and the risk identifiers having the
corresponding activity identifiers to the risk storage; and a
control inputting unit that correlates and inputs the activity
identifiers stored in the activity storage and the control
identifiers having the corresponding activity identifiers to the
control storage.
2. A document processing system comprising: an activity storage
that correlates and stores activity identifiers for uniquely
identifying activities, activity names, and activity contents; a
business process narrative storage that stores levels of a
plurality of layers indicating business processes and the activity
identifiers corresponding to the levels lowest levels of the levels
of the plurality of layers; a first flow storage that correlates
and stores symbol names, information on positions of the symbols,
and the activity identifiers; a second flow storage that correlates
and stores the symbol names, the information on positions of the
symbols, and the levels of the plurality of layers stored in the
business process narrative storage; a second business flow diagram
creating unit that creates business flow diagrams of the levels of
the plurality of layers stored in the business process narrative
storage on the basis of the symbol names and the information on the
positions of the symbols stored in the second flow storage; and a
first business flow diagram creating and outputting unit that
creates and outputs the business flow diagrams of the activities
stored in the activity storage on the basis of the symbol names and
the information on the positions of the symbols, which are stored
in the first flow storage, in response to an operator's operation
on a symbol in the business flow diagram created by the second
business flow diagram creating unit.
3. A computer readable medium storing a program causing a computer
to execute a process for performing a document processing, the
process comprising: correlating and storing activity identifiers
for uniquely identifying activities, activity names, and activity
contents; correlating and storing resource names and the stored
activity identifiers; correlating and storing knowledge names and
the stored activity identifiers; storing levels of a plurality of
layers indicating business processes and the activity identifiers
corresponding to the lowest level of the levels of the layers;
correlating and storing the stored business processes stored and
persons in charge of the business processes; correlating and
storing symbol names, information on positions of the symbols, and
the activity identifiers; correlating and storing risk identifiers
for uniquely identifying risks and control identifiers for uniquely
identifying controls; correlating and storing the stored risk
identifiers and the activity identifiers; correlating and storing
the stored control identifiers and the activity identifiers;
correlating and storing activities including an activity name and
an activity content, and the stored activity identifiers;
correlating and storing the stored activity identifiers and
resource names having the corresponding activity identifiers;
correlating and storing the stored activity identifiers and
knowledge names having the corresponding activity identifiers;
correlating and storing the stored activity identifiers and the
lowest levels of the levels of the plural layers indicating
business processes having the corresponding activity identifiers;
correlating and inputting the levels indicating the stored business
processes and persons in charge of the corresponding business
processes; correlating and inputting the stored activity
identifiers, symbol names having the corresponding activity
identifiers, and information on positions of the symbols;
correlating and inputting the risk identifiers and the control
identifiers; correlating and inputting the stored activity
identifiers and the risk identifiers having the corresponding
activity identifiers; and correlating and inputting the stored
activity identifiers and the control identifiers having the
corresponding activity identifiers.
4. A computer readable medium storing a program causing a computer
to execute a process for performing a document processing, the
process comprising: correlating and storing activity identifiers
for uniquely identifying activities, activity names, and activity
contents; storing levels of a plurality of layers indicating
business processes and the activity identifiers corresponding to
the levels lowest levels of the levels of the layers; correlating
and storing symbol names, information on positions of the symbols,
and the activity identifiers; correlating and storing the symbol
names, the information on positions of the symbols, and the stored
levels of the plurality of layers; creating business flow diagrams
of the stored levels of the plurality of layers on the basis of the
symbol names and the information on the positions of the symbols,
which are stored; and creating and outputting the stored business
flow diagrams of the activities on the basis of the symbol names
and the information on the positions of the symbols in response to
an operator's operation on a symbol in the created business flow
diagram.
Description
CROSS-REFERENCE TO RELATED APPLICATIONS
[0001] This application is a divisional of U.S. patent application
Ser. No. 11/959,516, filed Dec. 17, 2007, which claims priority
from Japanese Patent Application No. 2006-341633 filed Dec. 19,
2006 and Japanese Patent Application No. 2007-302770 filed Nov. 22,
2007.
BACKGROUND
[0002] 1. Technical Field
[0003] The present invention relates to a document processing
system and a computer readable medium.
[0004] 2. Related Art
[0005] Financial internal control has been required. The "internal
control-integrative framework" issued from the COSO (Committee of
Sponsoring Organizations of the Treadway Commission) in 1992 serves
as the substantial standard of the financial internal control,
which is defined as "one process performed by a board of
management, an executive, and other staffs having intended to
provide reasonable guarantee so as to accomplish three objects of
(1) effectiveness and efficiency of businesses, (2) reliability of
financial statement, and (3) observance of relevant rules."
[0006] In the financial internal control, it requires great labor
supplies from the manual point of view that
activities/systems/resources/knowledge and information are
correlated to make documentation of business processes and to
construct structures for utilizing the documents. The documents of
the financial internal control includes four documents of a
business process narrative, a business flow diagram, an RCM (Risk
and Control Matrix), and a separation-of-duties table.
[0007] The four documents of the financial internal control are
correlated with each other. Accordingly, when a relevant portion of
a certain document is corrected, it requires a great labor supply
that the other documents are corrected. However, the other
documents are not actually corrected, thereby causing disagreement
between the documents. That is, the documents are ledger sheets
that make it difficult to know correlations between the documents
and to look over and utilize contents of businesses, risks, and
controls.
[0008] The documentation work of the financial internal control is
carried out in the unit of several tens persons. It is a difficult
work that the levels (sizes) are made constant so as not to cause
disagreement when the four documents are prepared individually.
[0009] In this way, when the documents having deviations in quality
are prepared, risks of proper businesses are not found out or
deviations occur in test item of a test phase which is a next step
of the financial internal control. As a result, in order to obtain
such a quality level to pass an audit, a manual feedback work for
canceling the deviations is required.
SUMMARY
[0010] According to an aspect of the present invention, a document
processing system including: an activity storage that correlates
and stores activity identifiers for uniquely identifying
activities, activity names, responsible subjects, and activity
contents; a business process narrative storage that correlates and
stores levels of a plurality of layers indicating business
processes and activity identifiers; a risk storage that correlates
and stores risk identifiers for uniquely identifying risks, risk
names, and activity identifiers; a control storage that correlates
and stores control identifiers for uniquely identifying controls,
control names, and activity identifiers; an information extracting
unit that extracts the activity name, the responsible subject, and
the activity content, which correspond to the specific activity
identifier stored in the activity storage on the basis of the
activity identifier, extracts the levels of the plurality of layers
indicating the business processes, which correspond to the specific
activity identifier stored in the business process narrative
storage on the basis of the activity identifier, extracts the risk
name, which corresponds to the specific activity identifier stored
in the risk storage on the basis of the activity identifier, and
extracts the control name, which corresponds to the specific
activity identifier stored in the control storage on the basis of
the activity identifier; and a document preparing and outputting
unit that prepares and outputs an internal control document
visually displaying the activity name, the responsible subject, the
activity content, the levels of the plurality of layers indicating
the business processes, the risk name, and the control name, which
are extracted by the information extracting unit.
BRIEF DESCRIPTION OF THE DRAWINGS
[0011] Exemplary embodiment of the present invention will be
described in detail based on the following figures, wherein:
[0012] FIG. 1 is a block diagram illustrating a configuration of
modules in an embodiment of the invention;
[0013] FIG. 2 is a block diagram illustrating an entire
configuration of a system;
[0014] FIG. 3 is an explanatory diagram illustrating a relation
between tables used in the embodiment of the invention;
[0015] FIG. 4 is an explanatory diagram illustrating a relation
between inputting screens displayed in the embodiment of the
invention;
[0016] FIG. 5 is an explanatory diagram illustrating a screen for
inputting an activity attribute;
[0017] FIG. 6 is an explanatory diagram illustrating a relation
between screens for displaying an integrated document;
[0018] FIG. 7 is an explanatory diagram illustrating a screen for
displaying an integrated document;
[0019] FIG. 8 is an explanatory diagram illustrating an output (in
the form of a business process narrative) of an integrated
document;
[0020] FIG. 9 is an explanatory diagram illustrating an output (in
the form of a table) of an integrated document;
[0021] FIG. 10 is an explanatory diagram illustrating a display
screen of a business flow diagram;
[0022] FIG. 11 is an explanatory diagram illustrating a specific
example of a relation between tables;
[0023] FIG. 12 is an explanatory diagram illustrating a specific
example of a relation between inputting screens;
[0024] FIG. 13 is an explanatory diagram illustrating a specific
example of a risk and control matrix;
[0025] FIG. 14 is an explanatory diagram specifically illustrating
a specific example of a screen for inputting an activity
attribute;
[0026] FIG. 15 is an explanatory diagram specifically illustrating
a specific example of a relation between screens for displaying an
integrated document;
[0027] FIG. 16 is an explanatory diagram specifically illustrating
a specific example of a screen for displaying an integrated
document;
[0028] FIG. 17 is an explanatory diagram illustrating a specific
example of an output (in the form of a business process narrative)
of an integrated document;
[0029] FIG. 18 is an explanatory diagram illustrating a specific
example of an output (in the form of a table) of an integrated
document;
[0030] FIG. 19 is an explanatory diagram illustrating a specific
example of a display screen of a business flow diagram; and
[0031] FIG. 20 is a block diagram illustrating a hardware
configuration of a computer according to an embodiment of the
invention.
DETAILED DESCRIPTION
[0032] First, "four basic documents" of internal control will be
described.
[0033] The four basic documents mean basic documents prepared every
business process to be subjected to the financial internal control
and include a business process narrative, a business flow diagram,
an RCM (Risk Control Matrix), and a separation-of-duties table.
[0034] The business process narrative is also called a narrative
and is obtained by making documentation of a flow of business from
the start of transaction to the booking and reporting of the final
general ledger. Regulation documents of personnel regulations,
accounting business regulations, and the like are upper-level
documents of the business process narrative and the revision
thereof affects the business process narrative. A business manual
is a lower-level document of the business process narrative and is
affected by the revision thereof.
[0035] The business flow diagram is obtained by visually displaying
a flow of business from the start of transaction to the booking and
reporting of the final general ledger in a flowchart. The risks and
the controls are arranged on the flow diagram.
[0036] The RCM (Risk and Control Matrix) is obtained by arranging
the control points (assertions) to be accomplished and the risks to
be considered and the corresponding inner control activities, with
respect to the inner control activities associated with the
business processes.
[0037] The separation-of-duties is intended to check whether a
person-in-charge's repeated processing which causes a problem in
the financial internal control occurs in the flow of business
processes.
[0038] The assertion is a precondition for the reliability of
financial information. Specifically, six items of reality,
completeness, test, rights and duties, period/allocation, and
display are generally used. However, it is preferable that they
could be customized since a part may be changed by companies or
auditing corporations.
[0039] The risk means a disincentive to an assertion to be
considered in a business process.
[0040] The control means an internal control activity on a risk has
control types of preventive, discoverable, and the like.
[0041] The financial internal control includes two types of tests
of a maintenance test (hereinafter, referred to as work through and
abbreviated as WT) for checking validity and correctness of a
document obtained by analyzing a financial business and arranging
the results thereof and an operation test for testing whether the
financial internal control should be operated as described in the
document.
[0042] Hereinafter, exemplary embodiments of the invention will be
described with reference to the drawings.
[0043] In a financial internal control, a system for utilizing a
document is constructed by arranging correlations between
activities, systems, resources, and knowledge and information to
make documentation of a business process. The system is generally
constructed in the unit of a company and one system is used in
relevant companies (including subsidiary companies and parent
companies).
[0044] An entire configuration of a system for performing the
financial internal control according to an embodiment of the
invention will be described with reference to FIG. 2.
[0045] The system includes a client 220 and a document processing
server 230 as a whole. The elements may be plural. The client 220
and the document processing server 230 are connected to each other
though a communication network 250. In addition, the client 220 and
the document processing server 230 describe data in the XML
(eXtensible Markup Language) and are connected to each other by the
use of a communication protocol such as the HTTP (Hyper Text
Transfer Protocol).
[0046] The client 220 has a function of a user interface allowing a
user to use a main screen 221, an editing screen 222, and an
editing screen 223. For example, operators of a parent company A
and a subsidiary company B operate the clients 220,
respectively.
[0047] In order to prepare a document of the financial internal
control, the client 220 displays a main screen 221 and displays the
editing screen 222 for preparing a document. The editing screen 222
is used to prepare four control documents (a flowchart of a
business process, a narrative, a risk and control matrix, and a
separation-of-duties table) or to refer to the documents.
[0048] The document processing server 230 includes a role
determining module 231. The role determining module 231 determines
whether an operator has a valid role (right) on an access from the
client 220, by the use of user information 232.
[0049] When the operator has a valid role, the access to the
control documents 233 is permitted to the client 220. The control
documents 233 displayed on the editing screen 223 have a tree
structure. That is, a business includes plural businesses, which
form a layer structure. Since the control documents 233 are
prepared to correspond to the businesses, the control documents 233
have a tree structure. One business is correlated with four kinds
of control documents 233. The control documents 233 are stored in
project information 234.
[0050] The control documents 233 are prepared using common
elements. Here, the common elements include activities, resources,
and knowledge and information, which are published and can be used
by a person in charge of preparation of a document. Organizations
as a common element are stored in an organization DB 235, resources
as a common element are stored in a resource DB 236, knowledge and
information as a common element is stored in a knowledge and
information DB 237, activities as a common element are stored in an
activity DB 238, risks as a common element are stored in a risk DB
239, controls as a common element are stored in a control DB 240,
and processes as a common element are stored in a process DB 241.
An activity is a business activity executed by a person in the
process, a resource is a resource associated with system
processing, system data, and IT, and knowledge and information is a
document group associated with a process, such as regulations and
manuals.
[0051] Information (company names, addresses, and the like) on the
company having prepared the control document, organization
information, user information, and account information are stored
in an organization DB235.
[0052] The organization DB 235 refers to relevant documents and
completed documents in a repository 242. On the contrary, documents
to be opened in the organization DB 235 are stored in the
repository 242. Some of the documents stored in the repository 242
are used as auditing evidence (ledger sheets and the like). The
auditing evidence is used for an auditor (internal auditor or
external auditor) to perform a tracing survey on a matter in
accordance with an auditing polish.
[0053] The document processing server 230 may be embodied by a
single server, or may be embodied by plural servers. For example,
the user information 232 and the repository 242 may be embodied as
servers of different document databases.
[0054] A conceptual configuration of modules according to this
embodiment will be described with reference to FIG. 1.
[0055] A module generally indicates an element such as software and
hardware which can be separated logically. Accordingly, the module
according to this embodiment includes modules in programs, and also
includes modules in hardware. Therefore, this embodiment also
provides a program, a device, a system, and a method. Modules
substantially correspond to functions in one to one. However,
actually, one module may be constituted by one program, plural
modules may be constituted by one program, or one module may be
constituted by plural programs. Plural modules may be put into
practice by one computer or one module may be put into practice by
plural computers in a distributed or parallel environment. In the
following description, "connection" includes logical connection in
addition to physical connection. For example, connection between
data and data indicates a case where a part of data is shared or a
case where one data points the other data by the use of a pointer
or a link.
[0056] A system includes a case where plural computers, hardware,
and apparatuses are connected to a network and a case where it is
embodied by one computer, hardware, and apparatus.
[0057] As shown in FIG. 1, activity data 11, common activity data
13, resource data 14, common resource data 16, knowledge and
information data 17, common knowledge and information data 19,
business process narrative data 31, flow diagram data 41, RCM data
51, and separation-of-duties table data 61 are stored in the
business process element DB 10. These data may be managed by the
use of different databases or by the use of a single database.
[0058] The activity data 11 is connected to the business process
narrative data 31, the flow diagram data 41, the RCM data 51, the
separation-of-duties table data 61, the resource data 14, the
knowledge and information data 17, the common activity data 13, and
the activity inputting module 12. The activity inputting module 12
is connected to the activity data 11. The common activity data 13
is connected to the activity data 11. The resource data 14 is
connected to the common resource data 16, the activity data 11, and
the resource inputting module 15. The resource inputting module 15
is connected to the resource data 14. The common resource data 16
is connected to the resource data 14. The knowledge and information
data 17 is connected to the common knowledge and information data
19, the activity data 11, and the knowledge and information
inputting module 18. The common knowledge and information data 19
is connected to the knowledge and information data 17. The
knowledge and information inputting module 18 is connected to the
knowledge and information data 17. The business process narrative
data 31 is connected to the activity data 11, the business process
narrative inputting module 32, the business process narrative
outputting module 34, and the integrated document outputting module
74. The flow diagram data 41 is connected to the activity data 11,
the flow diagram inputting module 42, and the flow diagram
outputting module 44. The RCM data 51 is connected to the activity
data 11, the RCM inputting module 52, the RCM outputting module 54,
and the integrated document outputting module 74. The
separation-of-duties table data 61 is connected to the activity
data 11, the separation-of-duties inputting module 62, and the
separation-of-duties outputting module 64.
[0059] A commoditizing module 21 connects the activity data 11 to
the common activity data 13 and commoditizes data of the activity
data 11 so as to be used by another person in charge. Data of the
common activity data 13 is opened to another operator (person in
charge) by the commoditizing. Similarly, the commoditizing module
21 connects the resource data 14 to the common resource data 16 and
connects the knowledge and information data 17 to the common
knowledge and information data 19. Accordingly, data of the
resource data 14 and the knowledge and information data 17 are
commoditized so as to be used by another person in charge. Data of
the common resource data 16 and the common knowledge and
information data 19 are opened to another operator (person in
charge). The right of access to the data of the common activity
data 13, the common resource data 16, and the common knowledge and
information data 19 can be opened and copied by another operator.
However, the writing to the common activity data 13, the common
resource data 16, and the common knowledge and information data 19
can be executed by only an operator of the commoditizing module
21.
[0060] Modules for inputting data to the business process element
DB 10 include a business process narrative inputting module 32, a
flow diagram inputting module 42, an RCM inputting module 52, and a
separation-of-duties inputting module 62. The business process
narrative inputting module 32 is connected to business process
narrative data 31 and a chapter and activity correlating module 33.
The flow diagram inputting module 42 is connected to the flow
diagram data 41. The RCM inputting module 52 is connected to the
RCM data 51 and a risk-control-activity correlating module 53. The
separation-of-business inputting module 62 is connected to the
separation-of-duties data 61. The chapter and activity correlating
module 33 is connected to the business process narrative inputting
module 32. The risk-control-activity correlating module 53 is
connected to the RCM inputting module 52.
[0061] Modules for outputting data from the business process
element DB 10 include a business process narrative outputting
module 34, a flow diagram outputting module 44, an RCM outputting
module 54, a separation-of-duties outputting module 64, and an
integrated document outputting module 74. The business process
narrative outputting module 34 is connected to the business process
narrative data 31 and outputs a business process narrative 30. The
flow diagram outputting module 44 is connected to the flow diagram
data 41 and outputs a flow diagram 40. The RCM outputting module 54
is connected to the RCM data 51 and outputs an RCM 50. The
separation-of-duties outputting module 64 is connected to the
separation-of-duties table data 61 and outputs a
separation-of-duties table data 60. The integrated document
outputting module 74 is connected to the business process narrative
data 31 and the RCM data 51 and outputs an integrated document
70.
[0062] The activity data 11 serves as basic data for preparing the
four basic documents (the business process narrative 30, the flow
diagram 40, the RCM 50, and the separation-of-duties table 60) of
the internal control. That is, the activity inputting module 12
receives and stores information on activities including activity
names and activity contents in the activity data 11 by means of an
operator (preparator of a document)'s input operation.
[0063] Relations between data in the business process element DB 10
will be described in detail with reference to FIG. 3.
[0064] FIG. 3 shows relations between an activity table 110, an IT
resource table 140, a knowledge and information table 170, a
business process narrative table 310, a separation-of-duties table
610, a flow table 410, an RCM 510, a risk table 520, and a control
table 530. The columns of the tables are only examples and columns
may be added thereto so as to store other information.
[0065] The activity table 110 corresponds to the activity data 11
of FIG. 1. The activity table 110 includes an activity ID column
111, an activity name column 112, an activity type column 113, a
system name column 114, a business classification column 115, an
activity classification column 116, a responsible organization
column 117, a responsible subject column 118, an execution time
column 119, an activity content column 120, and a determination
criterion or condition column 121. The activity ID stored in the
activity ID column 111 is an identifier for uniquely identifying an
activity input by an operator. The activity ID is also used in an
activity ID column 316 of the business process narrative table 310,
an activity ID column 144 of the IT resource table 140, an activity
ID column 174 of the knowledge and information table 170, an
activity ID column 415 of the flow table 410, an activity ID column
524 of the risk table 520, and an activity ID column 534 of the
control table 530 and the respective tables are correlated with the
activity table 110. That is, since a basic unit of a business
process is an activity, a configuration having such relations
between the tables is constructed.
[0066] Accordingly, it is possible to search the tables for a
corresponding activity. For example, when it is intended to search
for an activity included in a sub process in the business process
narrative table 310, it is possible to search for the activity name
and the activity content corresponding to the activity ID by
searching the activity ID column 111 of the activity table 110 on
the basis of the activity ID stored in the activity ID column 316
corresponding to the sub process. On the contrary, it is also
possible to search the items of the tables on the basis of the
activity ID. For example, when it is intended to search for a risk
corresponding to an activity ID, it is possible to search for the
risk name and the risk content on the basis of the corresponding
activity ID by searching the activity ID column 524 of the risk
table 520 for the activity ID. Information stored in the
determination criterion or condition column 121 from the activity
name column 112 will be described with reference to FIG. 5.
[0067] The IT resource table 140 corresponds to the resource data
14 of FIG. 1. The IT resource table 140 includes an IT resource ID
column 141, a resource name column 142, a resource type column 143,
and an activity ID column 144. The activity ID stored in the
activity ID column 144 is the same activity ID as being stored in
the activity ID column 111 of the activity table 110 and correlates
the IT resource table 140 with the activity table 110.
[0068] The knowledge and information table 170 corresponds to the
knowledge and information data 17 of FIG. 1. The knowledge and
information table 170 includes a knowledge ID column 171, a
knowledge name column 172, a knowledge type column 173, and an
activity ID column 174. The activity ID stored in the activity ID
column 174 is the same activity ID as being stored in the activity
ID column 111 of the activity table 110 and correlates the
knowledge and information table 170 with the activity table
110.
[0069] The business process narrative table 310 corresponds to the
business process narrative data 31 of FIG. 1. A business process
narrative is prepared on the basis of the business process
narrative table 310. The business process narrative table 310
includes a sub process column 311, a sub step column 312, a
business case 1 column 313, a business case 2 column 314, a
business step column 315, and an activity ID column 316. The
activity ID stored in the activity ID column 316 is the same
activity ID as being stored in the activity ID column 111 of the
activity table 110 and correlates the business process narrative
table 310 with the activity table 110.
[0070] Layers indicating the business process of the business
process narrative are classified into 5 layer levels. That is, the
leveling is performed by standardizing (fixing) the levels into 5
layers. By determining 5 layers of a sub process, a sub step, a
business case 1, a business case 2, and a business step, the size
(size when they are arranged in a single sub process) is made
constant by even several preparators.
[0071] The sub process stored in the sub process column 311 is the
highest layer of the 5 layers and is a business range when an
organization in charge of a business is the same division or
company.
[0072] The sub step stored in the sub step column 312 is a second
layer and is a business range when a main person in charge is the
same.
[0073] The business case 1 stored in the business case 1 column 313
and the business case 2 stored in the business case 2 column 314
are third and fourth layers, respectively, and are branched and
described by conditions when plural business patterns exist in the
same sub step. 2 layers of "business case 1" and "business case 2"
can be described as the conditions.
[0074] The business step stored in the business step column 315 is
a fifth layer, which is the lowest layer of 5 layers, and is a
business unit corresponding to an activity. The business step is
correlated with one activity. However, plural business steps may be
correlated with one activity. In the correlation with the activity,
the activity is correlated with only the "business step" as the
lowest layer but not correlated with the other layers (sub process,
sub step, business case 1, and business case 2).
[0075] The separation-of-duties table 610 corresponds to the
separation-of-duties table data 61 of FIG. 1. The
separation-of-duties table is prepared on the basis of the
separation-of-duties table 610. The separation-of-duties table 610
includes a sub process column 611, a business step column 612, an
acknowledger column 613, an asset conservator column 614, a marker
column 615, and a control person column 616. The subprocess stored
in the sub process column 611 is the same sub process as being
stored in the sub process column 311 of the business process
narrative table 310 and correlates the separation-of-duties table
610 with the business process narrative table 310. Similarly, the
business step stored in the business step column 612 is the same
business step as being stored in the business step column 315 of
the business process narrative table 310 and correlates the
separation-of-duties table 610 with the business process narrative
table 310. That is, the sub process and the business step of the
separation-of-duties table are obtained by developing the sub
process and the business step of the business process narrative and
there is no disagreement between both.
[0076] Names or identifiers of persons in charge of
acknowledgement, conservation, marking, and control are stored in
from the acknowledger column 613 to the control person column
616.
[0077] The flow table 410 corresponds to the flow diagram data 41
of FIG. 1. The flow diagram is prepared on the basis of the flow
table 410. The flow table 410 includes a symbol name column 411, a
symbol type column 412, a vertical position column 413, a
horizontal position column 414, and an activity ID column 415. The
activity ID stored in the activity ID column 415 is the same
activity ID as being stored in the activity ID column 111 of the
activity table 110 and correlates the flow table 410 with the
activity table 110.
[0078] The symbol name stored in the symbol name column 411 is a
name of a symbol used in the flow diagram.
[0079] The symbol type stored in the symbol type column 412 is a
type (such as determination, processing, input, and output)
represented by the symbol.
[0080] The vertical position and the horizontal position stored in
the vertical position column 413 and the horizontal position column
414 specify positions in the flow diagram.
[0081] The RCM 510, the risk table 520, and the control table 530
correspond to the RCM data 51 of FIG. 1. The RCM is prepared on the
basis of the RCM 510, the risk table 520, and the control table
530. The RCM 510 includes a risk ID column 511 and a control ID
column 512. The risk table 520 includes a risk ID column 521, a
risk name column 522, a risk content column 523, and an activity ID
column 524. The control table 530 includes a control ID column 531,
a control name column 532, a control content column 533, and an
activity ID column 534.
[0082] The activity ID stored in the activity ID column 524 of the
risk table 520 is the same activity ID as being stored in the
activity ID column 111 of the activity table 110 and correlates the
risk table 520 with the activity table 110. The activity ID stored
in the activity ID column 534 of the control table 530 is the same
activity ID as being stored in the activity ID column 111 of the
activity table 110 and correlates the control table 530 with the
activity table 110.
[0083] The risk ID stored in the risk ID column 511 of the RCM 510
is an identifier for uniquely identifying a risk. The control ID
stored in the control ID column 512 of the RCM 510 is an identifier
for uniquely identifying a control.
[0084] The risk ID stored in the risk ID column 521 of the risk
table 520 is the same risk ID as being stored in the risk ID column
511 of the RCM 510 and correlates the risk table 520 with the RCM
510. Similarly, the control ID stored in the control ID column 531
of the control table 530 is the same control ID as being stored in
the control ID column 512 of the RCM 510 and correlates the control
table 530 with the RCM 510.
[0085] The risk name stored in the risk name column 522 is a name
of a risk.
[0086] The risk content stored in the risk content column 523
explains a content of a risk.
[0087] The control name stored in the control name column 532 is a
name of a control.
[0088] The control content stored in the control content column 533
explains a content of a control.
[0089] Here, processes of the integrated document outputting module
74 will be described with reference to the tables shown in FIG.
3.
[0090] The integrated document outputting module 74 extracts an
activity name in the activity name column 112, a responsible
subject in the responsible subject column 118, and the activity
content in the activity content 120, which correspond to the
activity ID, stored in the activity table 110 on the basis of the
activity ID. The integrated document outputting module extracts a
sub process in the sub process column 311, a sub step in the sub
step column 312, a business case 1 in the business case 1 column
313, a business case 2 in the business case 2 column 314, and a
business step in the business step column 315, which correspond to
the activity ID, stored in the business process narrative table 310
on the basis of the activity ID. The integrated document outputting
module extracts a risk name in the risk name column 522, which
corresponds to the activity ID, stored in the risk table 520 on the
basis of the activity ID. The integrated document outputting module
extracts a control name in the control name column 532, which
corresponds to the activity ID, stored in the control table 530 on
the basis of the activity ID. Finally, the integrated document
outputting module prepares an integrated document 70 which is an
internal control document visually displaying the extracted
activity name, responsible subject, activity content, sub process
which is plural levels of layers indicating business processes,
risk name, and control name.
[0091] The integrated document outputting module 74 extracts an
activity name in the activity name column 112, a responsible
subject in the responsible subject 118, and an activity content in
the activity content column 120, which correspond to the activity
ID, stored in the activity table 110 on the basis of the activity
ID. The integrated document outputting module 74 extracts a
subprocess in the sub process column 311, a sub step in the sub
step column 312, a business case 1 in the business case 1 column
313, a business case 2 in the business case 2 column 314, and a
business step in the business step column 315, which correspond to
the activity ID, stored in the business process narrative table 310
on the basis of the activity ID. The integrated document outputting
module extracts a risk name in the risk name column 522, which
corresponds to the activity ID, stored in the risk table 520 on the
basis of the activity ID. The integrated document outputting module
extracts a risk ID in the risk ID column 521, which corresponds to
the activity ID, stored in the risk table 520, extracts a control
ID in the control ID column 512 stored in the RCM 510 on the basis
of the risk ID, and extracts a control name in the control name
column 532 stored in the control table 530 on the basis of the
control ID. Finally, the integrated document outputting module
prepares an integrated document 70 which is an internal control
document visually displaying the extracted activity name,
responsible subject, activity content, sub processes which are
plural levels of layers indicating business processes, risk name,
and control name corresponding to the risk.
[0092] Relations between displayed inputting screens will be
described with reference to FIG. 4.
[0093] An IT resource information inputting screen 4021, a
knowledge and information inputting screen 4031, a risk inputting
screen 4041, and a control inputting screen 4051 can be displayed
from an activity attribute inputting screen 4000. Information input
through a system managing screen 4011 is displayed in a system
managing display area 4010 in the activity attribute inputting
screen 4000.
[0094] The activity attribute inputting screen 4000 will be
described with reference to FIG. 5.
[0095] A display area having an IT resource tab 4020, a knowledge
and information tab 4030, a risk tab 4040, and a control tab 4050
is disposed in the lower portion of the activity attribute
inputting screen 4000. When the IT resource tab 4020, the knowledge
and information tab 4030, the risk tab 4040, and the control tab
4050 are selected by means of an operator's operation, the IT
resource information inputting screen 4021, the knowledge and
information inputting screen 4031, the risk inputting screen 4041,
and the control inputting screen 4051 are displayed,
respectively.
[0096] The IT resource information inputting screen 4021 is a
screen used to input information on an IT resource and is a screen
for inputting a name of the IT resource, an abbreviation,
management division, type of the IT resource, system name,
classification of the IT resource, and content.
[0097] The knowledge and information inputting screen 4031 is a
screen used to input knowledge and information on a business and a
screen for inputting a knowledge, an information name, a document
having the knowledge and information, a document name, a data type
of the document, a classification of the knowledge and information,
and a content.
[0098] The risk inputting screen 4041 is a screen used to input
information on a risk, that is, a screen for inputting a risk
number, an assertion, a risk content, a risk test, and a risk
classification.
[0099] The control inputting screen 4051 is a screen used to input
information on a control, that is, a screen for inputting a control
number, a control content, a control type, a control frequency, a
control execution evidence, a responsible person for the control
execution, a dependent system/database, and a purpose of
information processing control.
[0100] An activity attribute inputting screen will be described
with reference to FIG. 5.
[0101] The activity attribute inputting screen 4000 includes a name
column 4001, an activity number column 4002, an activity type
column 4003, a sub process column 4004, a system name column 4005,
a business classification column 4006, a responsible organization
column 4007, a responsible subject column 4008, an information
inputting area of an activity content column 4009 which are located
in the left upper side, a system management display area 4010 which
is located in the right upper side, and an information display area
ranging from the IT resource tab 4020 to the control tab 4050 which
are located in the lower side.
[0102] The name column 4001 is a column for inputting an activity
name (for example, "input to a consultation and contract system")
and the input content is stored in the activity name column 112 of
the activity table 110.
[0103] The activity type column 4003 is a column for inputting an
activity type (for example, "personal work") and the input content
is stored in the activity type column 113 of the activity table
110.
[0104] The sub process column 4004 is a column for inputting a sub
process (for example, "consultation start") and the input content
is stored in the sub process column 311 of the business process
narrative table 310. Here, when the subprocess is input, the system
name column 4005, the business classification column 4006, the
responsible organization column 4007, and the responsible subject
4008 are controlled to be prevented from the input thereto.
[0105] The system name column 4005 is a column for inputting a
system name and the input content is stored in the system name
column 114 of the activity table 110.
[0106] The business classification column 4006 is a column for
inputting a business classification (for example, "sale cycle") and
the input content is stored in the business classification column
115 of the activity table 110.
[0107] The responsible organization column 4007 is a column for
inputting a responsible organization and the input content is
stored in the responsible organization column 117 of the activity
table 110.
[0108] The responsible subject column 4008 is a column for
inputting a responsible subject and the input content is stored in
the responsible subject 118 of the activity table 110.
[0109] The activity content column 4009 is a column for inputting
an activity content and the input content is stored in the activity
content column 120 of the activity table 110.
[0110] That is, in addition to the contents of a business, there
are columns for inputting "responsible subject", "execution time",
"activity content", and "determination criterion or condition" (a
condition at the time of executing an activity) as input details of
an activity, whereby the activity item is formalized in a 5W1H
manner.
[0111] Relations between integrated document display screens will
be described with reference to FIG. 6. The integrated document is
an internal control document for visually displaying at least an
activity name, a responsible subject, an activity content, plural
levels of layers indicating business processes, a risk name, and a
control name. For example, the integrated document is obtained by
integrating three documents of the business process narrative, the
RCM, and the separation-of-duties table among four basic
documents.
[0112] An integrated document menu screen 6000 is a screen for
editing and displaying an integrated document and includes columns
for editing and displaying item columns 6001 located in the upper
side and first to fourth chapters of an integrated document located
in the lower side.
[0113] A company name, a process name, a transaction type, a target
business and business field, a process owner, a preparation date
and time, an update date and time, and a preparatory, which are
bibliographical items of the integrated document, are displayed in
the item columns 6001 of the integrated document menu screen
6000.
[0114] When the first editing column 6010 is selected by an
operator's operation, a first chapter inputting screen 6011 is
displayed. Similarly, when the second editing column 6020, the
third editing column 6030, and the fourth editing column 6040 are
selected by the operator's operation, a second chapter inputting
screen 6021, a third chapter inputting screen 6031, and a fourth
chapter inputting screen 6041 are displayed, respectively. The
fourth chapter inputting screen 6041 will be described with
reference to FIG. 7.
[0115] An example of an integrated document displaying screen will
be described with reference to FIG. 7.
[0116] The fourth chapter inputting screen 6041 includes a chapter
display area 6042 located in the left and an item inputting area
6043 located in the right.
[0117] The chapter display area 6042 displays a configuration of
the fourth chapter (title and relation between chapters or
sections) of the integrated document hierarchically
constructed.
[0118] The item inputting area 6043 displays contents of the title,
when the title displayed in the chapter display area 6042 is
selected by the operator's operation. For example, paragraph
numbers, paragraph names, activity names, and activity contents are
displayed.
[0119] An example of an output of the integrated document will be
described with reference to FIG. 8.
[0120] In the example shown in FIG. 8, the integrated document is
displayed in the form of a business process narrative. FIGS. 8(A),
8(B), 8(C), and 8 (D) show parts divided from one integrated
document. FIG. 8(A) shows bibliographical items of the integrated
document, a target range of the first chapter, and a person in
charge of the sub process. FIG. 8(B) shows purposes and features of
processes of the second chapter. FIG. 8(C) shows important accounts
and assertions associated with the third chapter. FIG. 8(D) shows a
sub process.
[0121] An example of an output of the integrated document will be
described with reference to FIG. 9.
[0122] In the example shown in FIG. 9, the integrated document is
displayed in the form of a table. The same contents as shown in
FIG. 8 can be displayed in the form of a table. FIGS. 9(A), 9(B),
and 9(C) show parts divided from one integrated document. FIG. 9(A)
shows details of a business process narrative (sub process, sub
step, business case 1, business case 2, responsible subject,
participants, content). FIG. 9(B) shows details of an RCM
(assertion, risk and control number, recognized risk, and
recognized control). FIG. 9(C) shows details of a work through
(evidence and procedure).
[0123] One line is formed every activity in the example shown in
FIG. 9. That is, an activity name, a responsible subject, an
activity content, plural levels of layers indicating business
processes, a risk name, and a control name are visually displayed
to correspond to an activity.
[0124] The information on internal control can be expressed in one
integrated document by displaying in parallel a work through ledger
sheet for a maintenance test, a test ledger diagram for an
operation test, a business process narrative, an RCM.
[0125] A display screen of a business flow diagram 40 created by
the flow diagram outputting module 44 will be described with
reference to FIG. 10.
[0126] The flow diagram outputting module 44 creates a flow diagram
40 by the use of the flow diagram data 41 (flow table 410 of FIG.
3), but displays a large number of symbols by displaying symbols to
correspond to the activities, as shown in FIG. 10(B), thereby
making the flow diagram 40 complicated.
[0127] However, as described above, since the structure is
standardized into 5 layers, it is possible to create a flow diagram
40 corresponding to a sub step and a display example thereof is
shown in FIG. 10(A).
[0128] That is, since the sub step is in a business range including
plural activities, the plural activities can be marked
representatively by a single symbol. As shown in FIG. 10(A), by
allowing the symbols of the sub steps to be different from the
symbols of the activities, it is possible to determine whether it
is a flow diagram 40 of a sub step or a flow diagram of an
activity.
[0129] When a symbol of sub step 1 in FIG. 10(A) is selected by an
operator's operation, a flow diagram 40 (FIG. 10(B)) of activities
included in the symbol (sub step) is displayed. This is because the
flow diagram outputting module 44 extracts an activity
corresponding to the selected sub step by the use of the business
process narrative data 31 (business process narrative table 310)
and the activity data 11 (activity table 110) and displays the
extracted activities by the use of data of the flow diagram data 41
corresponding to the extracted activity.
[0130] That is, an activity flow table storing a symbol name and
information on a position of the symbol is provided to correspond
to the sub step and a sub step flow table storing a symbol name and
information on a position of the symbol is provided to correspond
to the sub step. Accordingly, the flow diagram output module 44
displays the sub step flow diagram 40 shown in FIG. 10(A) on the
basis of the sub step flow table. When a symbol in the sub step
flow diagram 40 is selected by an operator's operation, the
activity flow diagram 40 shown in FIG. 10(B) is displayed on the
basis of the symbol name and the information on a position of the
symbol stored in the activity flow table corresponding to the
symbol.
[0131] Hereinafter, specific data in the above-mentioned embodiment
will be described with reference to FIGS. 11 to 19.
[0132] A specific example of a relation between tables in the
business process element DB 10 will be described with reference to
FIG. 11. This specific example corresponds to FIG. 3.
[0133] For example, an activity in the activity table 110 is
expressed by "FOR TEMPLATE 110-1-1" in the activity ID column 111,
"Production Start proposal" in the activity name column 112,
"Personal Work" in the activity type column 113, "Nil" in the
system name column 114, "sale cycle" in the business classification
column 115, "04-sale" in the activity classification 116,
"development division" in the responsible organization 117, "person
in charge of program" in the responsible subject 118, "Nil" in the
execution time column 119, and "inform a relevant division
(guarantee of quantity G, innovation of process G, management of
plant G) of information such as product code and BOM" in the
activity content 120. "Nil" indicates a blank (no correspondence,
not determined)
[0134] For example, one sub step in the business process narrative
table 310 is expressed by "selection and registration/update of new
product source" in the subprocess column 311, "production start
proposal" in the sub step column 312, "Nil" in the business case 1
column 313, "Nil" in the business case 2 column 314, "production
start proposal" in the business step column 315, and "FOR TEMPLATE
110-1-1" in the activity ID column 316.
[0135] For example, one business step in the separation-of-duties
table 610 is expressed by "selection and registration/update of new
product source" in the subprocess column 611, "production start
proposal" in the sub step column 612, and "person in charge of
program" in the marker column 615.
[0136] For example, one IT resource in the IT resource table 140 is
expressed by "IT-000001" in the IT resource ID column 141, "product
part number master registering screen" in the resource name column
142, "screen" in the resource type column 143, and "FOR TEMPLATE
110-1-2" in the activity ID column 144.
[0137] For example, one knowledge in the knowledge and information
table 170 is expressed by "KN-000001" in the knowledge ID column
171, "new transaction start request" in the knowledge name column
172, "request" in the knowledge type column 173, and "FOR TEMPLATE
110-1-5" in the activity ID column 174.
[0138] For example, one symbol in the flow table 410 is expressed
by "production start proposal" in the symbol name column 411,
"activity" in the symbol type 412, "5" in the vertical position
column 413, "5" in the horizontal position column 414, and "FOR
TEMPLATE 110-1-1" in the activity ID column 415.
[0139] For example, correspondence between one risk and one control
in a risk and control relation table 510 is expressed by "R0001" in
the risk ID column 511 and "C0001" in the control ID column
512.
[0140] For example, one risk in the risk table 520 is expressed by
"R0001" in the risk ID column 521, "imaginary vendor/bad business
condition, there is a danger to register a trade with a vendor not
having quality guaranteeing ability" in the activity ID column 523,
and "FOR TEMPLATE 110-1-5" in the activity ID column 524.
[0141] For example, on control in the control table 530 is
expressed by "C0001" in the control ID column 531, "person in
charge of buyer in procurement division make a credit inspection by
the use of an external third party and estimates the credit on the
basis of estimation criterion" in the activity ID column 533, and
"FOR TEMPLATE 110-1-3" in the activity ID column 534.
[0142] The activity ID column 111 of the activity table 110 is
correlated with the activity ID column 316 of the business process
narrative table 310, the activity ID column 144 of the IT resource
table 140, the activity ID column 174 of the knowledge information
table 170, the activity ID column 415 of the flow table 410, the
control ID column 512 of the risk and control relation table 510,
the activity ID column 524 of the risk table 520, and the activity
ID column 534 of the control table 530.
[0143] A specific example of a relation between inputting screens
will be described with reference to FIG. 12. This specific example
corresponds to FIG. 4.
[0144] The activity attribute inputting screen 4000 shown in FIG.
12 will be described with reference to FIG. 5.
[0145] The IT resource information inputting screen 4021 of FIG. 12
shows a state where the IT resource "IT-000001" in the first line
of the IT resource table 140 shown in FIG. 11 is input. The IT
resource name is "product part number master registering screen"
(corresponding to the resource name column 142 shown in FIG. 11)
and the IT resource type is "resource" (corresponding to the
resource type column 143 shown in FIG. 11).
[0146] The knowledge and information inputting screen 4031 of FIG.
12 shows a state where the knowledge and information "KN-000001" in
the first line of the knowledge and information table 170 shown in
FIG. 11 is input. The knowledge and information name is "new
transaction start request" (corresponding to the knowledge name
column 172 shown in FIG. 11) and the document type is "request"
(corresponding to the knowledge type column 173 shown in FIG.
11).
[0147] A specific example of the risk and control matrix 1300 will
be described with reference to FIG. 13.
[0148] The risk and control matrix 1300 displays a risk and control
every sub process. This is created on the basis of the business
process narrative table 310, the activity table 110, the risk and
control relation table 510, the risk table 520, and the control
table 530 shown in FIG. 11. That is, the risk and control matrix is
created by extracting corresponding elements from the risk table
520 and the control table 530 by the use of the risk ID column 511
and the control ID column 512 of the risk and control relation
table 510, extracting corresponding elements in the activity table
110 from the activity ID column 523 and the activity ID column 533,
and extracting the corresponding sub process from the business
process narrative table 310 correlated with the activity ID column
111.
[0149] The risk and control matrix 1300 includes a number column
1301, a sub process column 1302, a risk column 1310, and a control
column 1350.
[0150] The risk column 1310 includes a risk-occurring activity name
column 1311, an assertion column 1320, a risk (check item) column
1330, a risk estimation column 1340, and a risk classification
column 1312.
[0151] The assertion column 1320 includes a reality column 1321, a
completeness column 1322, a rights and duties column 1323, a test
column 1324, a period and allocation column 1325, and a display
column 1326.
[0152] The risk (check item) column 1330 includes a risk number
column 1331 and a risk content column 1332.
[0153] The risk estimation column 1340 includes an effect degree
column 1341, an occurrence probability column 1342, and an effect
degree.times.occurrence probability column 1343.
[0154] The control column 1350 includes a control target activity
name column 1351, a control content column 1360, a control type
column 1370, a control frequency column 1352, a control basis
column 1353, a control execution evidence column 1354, a control
execution manager column 1355, a dependent system/database 1356,
and an information process control purpose column 1380.
[0155] The control content column 1360 includes a control number
column 1361, a key control column 1362, and a control situation
column 1363.
[0156] The control type column 1370 includes a system column 1371,
a manual column 1372, an IT-dependent manual column 1373, a
preventive column 1374, and a discoverable column 1375.
[0157] The information processing control purpose column 1380
includes a completeness column 1381, an accuracy column 1382, a
validness column 1383, and a maintenance column 1384.
[0158] For example, in a risk and control set of "selection and
registration/update of new product source" as the subprocess column
1302, the risk-occurring activity name column 1311 is "bill of
product source", and the assertion column 1320 has the reality
column 1321, the completeness column 1322, and the rights and
duties column 1323. The risk number column 1331 is "R001", the risk
content column 1332 is "imaginary vendor/bad business condition,
there is a danger to register a trade with a vendor not having
quality guaranteeing ability", the occurrence probability column
1342 of the risk test column 1340 is "high", the risk
classification column 1312 is "financial", the control target
activity name column 1351 is "credit inspection", the control
number column 1361 is "C001", and the control situation column 1363
is "person in charge of buyer in procurement division make a credit
inspection by the use of an external third party and estimates the
credit on the basis of estimation criterion". The control type
column 1370 has the manual column 1372 and the preventive column
1374. The control frequency column 1352 is "high", the control
basis column 1353 is "control of procuring business operation" and
the control execution manager column 1355 is "00 center procuring
manager."
[0159] A specific example of the activity attribute inputting
screen will be described with reference to FIG. 14. This specific
example corresponds to FIG. 5.
[0160] The activity attribute inputting screen 4000 includes a name
column 4001, an activity number column 4002, an activity type
column 4003, a sub process column 4004, a system name column 4005,
a business classification column 4006, a responsible organization
column 4007, a responsible subject column 4008, an activity content
column 4009, a system management display area 4010, an IT resource
4020, a knowledge and information 4030, a risk 4040, and an
information display area of a control 4050.
[0161] The activity attribute inputting screen 4000 shown in FIG.
12 shows a state where the activity attribute of "FOR TEMPLATE
110-1-2" in the second line of the activity table 110 shown in FIG.
11 is input.
[0162] For example, as a display example, the name column 4001 is
"registration of new product code and the like/registration of BOM
and the like" (corresponding to the activity name column 112 shown
in FIG. 11), the activity number column 4002 is "FOR TEMPLATE
110-1-2" (corresponding to the activity ID column 111 shown in FIG.
11), the activity type column 4003 is "personal work"
(corresponding to the activity type column 113 shown in FIG. 11),
the sub process column 4004 is "selection and registration/update
of new product source" (corresponding to the sub process column 311
shown in FIG. 11), the system name column 4005 is blank
(corresponding to the system name column 114 shown in FIG. 11), the
business classification column 4006 is "01+sale cycle"
(corresponding to the business classification column 115 shown in
FIG. 11), a responsible organization column 4007 is blank, the
responsible subject 4008 is "guarantee of quantity G, innovation of
process G, management of plant G" (corresponding to the responsible
subject column 118 shown in FIG. 11), the activity content column
4009 is "A registration screen of product/part number master of the
integrated production management system is input and registered. It
is automatically updated from the integrated production management
system to the product master of an accounting system in a night
batch" (corresponding to the activity content column 120 shown in
FIG. 11).
[0163] A specific example of a relation between integrated document
displaying screens will be described with reference to FIGS. 15 and
16. This specific example corresponds to FIGS. 6 and 7.
[0164] The integrated document menu screen 6000 displays the item
column 6001 including a company name, a process name, a process ID,
a transaction type, target business/business field, process/owner,
a preparation date and time, an update date and time, which are
bibliographical items of the integrated document, titles of the
chapters serving as a content of the integrated document ("1.
Target Range and Person in Charge of Sub Process (Interview)", "2.
Purpose and Feature of Process", "3. Important Account Item and
Assertion", "4. Sub Process", and "5. Review of Used information
system"), and buttons for instructing to display and edit details
of the chapters.
[0165] FIGS. 15 and 16 show an integrated document which includes a
company name of "Template", a process name of "Inventory
clearance/asset purchase (consumable goods raw material):
integrated document format", and a process ID of "FOR TEMPLATE
110-1".
[0166] The first chapter inputting screen 6011 of FIG. 15 displays
"1. Target Range and Person in Charge of Sub Process (Interview)"
and includes a number column 1501, a target subprocess column 1502,
a hearing part column 1503, a hearing responder column 1504. For
example, "selection and registration/update of new product source"
is displayed in the target sub process column 1502, "material
procurement G" is displayed in the hearing part column 1503, and
"Kimura" is displayed in the hearing responder column 1504.
[0167] The second chapter inputting screen 6021 of FIG. 15 displays
"2. Purpose and Feature of Process" and includes a process purpose
column 1511, a process range column 1512, a pre-process column
1513, a post-process column 1514, and a process execution manager
column 1515. For example, "processes of purchase of raw material
and parts associated with production (other than DO TO DE CR) of
consumable goods in plant and supply and expense are described" is
displayed in the process purpose column 1511, "processes from
selection and registration of new product source until registration
of purchase price for raw material, ordering of raw material and
parts, fixing of the amount payable, storage of bill, and expenses
are described" is displayed in the process range column 1512, "cost
accounting_R&D project accounting cost accounting_cost
accounting_production of consumable goods" is displayed in the
pre-process column 1513, "present deposit payment, cost accounting,
inventory clearance, asset management, financial statement
preparation_financial statement preparation_financial statement
preparation" is displayed in the post-process column 1514, and
"procurement manager takes charge of the ordering to storage of the
bill is displayed in the process execution manager column 1515.
[0168] The third chapter inputting screen 6031 of FIG. 16 displays
"3. Relevant important accounting items and assertions" and
includes an account code column 1601, an important account column
1602, a reality column 1603, a completeness column 1604, a rights
and duties column 1605, a test column 1606, a period allocation
column 1607, and a display column 1608. For example, "005000" is
displayed in the account code column 1601, "inventory clearance" is
displayed in the important account column 1602, and the reality
column 1603 and the display column 1608 display the
corresponding.
[0169] The fourth chapter inputting screen 6041 of FIG. 16 displays
"4. Sub Process" and includes a screen left side 6042 and a screen
right side 6043. For example, a layered structure of a sub process
in "1. Selection and registration/update of new product source" is
displayed in the screen left side 6042 and details of one selected
in the screen left side 6042 is displayed in the screen right side
6043.
[0170] A specific example of an output (in the form of a business
process narrative) of an integrated document will be described with
reference to FIG. 17. This specific example corresponds to FIG.
8.
[0171] The integrated document shown in FIG. 17 is obtained by
displaying the integrated document shown in FIGS. 15 and 16 in the
form of a business process narrative. FIG. 17(A) shows "1. Target
Range and Person in Charge of Sub Process (Interview)" and
corresponds to the first chapter inputting screen 6011. FIG. 17(B)
shows "2. Purpose and Feature of Process" and corresponds to the
second chapter inputting screen 6021 of FIG. 15. FIG. 17(C) is "3.
Important Account Item and Assertion" and corresponds to the third
chapter inputting screen 6031 of FIG. 16, FIG. 17(D) is "4. Sub
Process" and corresponds to the fourth chapter inputting screen
6041 of FIG. 16, and FIG. 17(E) shows "5. Review of Used
information System."
[0172] A specific example of an output (in the form of a table" of
an integrated document will be described with reference to FIG. 18.
This specific example corresponds to FIG. 9.
[0173] FIG. 18(A) shows an example in which "sub process", "sub
step", "business case 1", "business case 2", "responsible subject
and participant", "content", "ledger sheet and evidence",
"execution time", "determination criterion or condition" in the
business process narrative are output in the form of a table. For
example, "selection and registration/update of new product source"
is input as the sub process, "registration of new product code and
the like/registration of BOM and the like" is input as the sub
step, "guarantee of quantity G, innovation of process G, person in
charge of management of plant G" is input as the responsible
subject and the participant, "[product and part number master
registering screen] of [integrated production management system] is
input and registered. [integrated production management system] is
automatically updated to [product master] of [accounting system] in
night batch" is input as the content, "time when product source
make a decision" is input as the execution time, and "check of
criterion as product source" is displayed as the determination
criterion or condition.
[0174] FIG. 18(B) shows an example in which "assertion", "risk and
control number", "recognized risk", "recognized control", "risk
test", "risk classification", and "control type" in the RCM are
output in the form of a table. For example, "R001" is displayed as
the risk and control number, "imaginary vendor/bad business
condition; there is a danger to register a transaction with a
vendor not having quality guaranteeing ability" is displayed as the
recognized risk, "C001, C002, C003, C004" is displayed as the
recognized control, "high" is displayed as the frequency of the
risk test, and "finance" is displayed as the risk
classification.
[0175] The assertion includes "reality", "completeness", "test",
and "rights and duties". "Period allocation" and "display" may be
further included in the assertion.
[0176] The risk test includes importance, frequency, and risk test,
but "effect degree", "occurrence probability", and "effect
degree.times.occurrence probability" may be used instead of
them.
[0177] FIG. 18(C) shows an example in which "evidence",
"procedure", "test result", "comment", "reference evidence", and
"key control" in the WT are output in the form of a table.
[0178] A specific example of a business flow diagram displaying
screen will be described with reference to FIG. 19. This specific
example corresponds to FIG. 10.
[0179] The flow diagram outputting module 44 creates a flow diagram
for each organization (here, search division 1910 and product
source 1950).
[0180] The search division 1910 includes a new price proposal
request 1911 as a sub step and negotiation, determination, and
registration of product unit price 1912 of a new product source,
"estimate sheet (OCR sheet)" check 1913, registration of product
unit price 1914 of a new product source, "error list" follow 1915,
"estimate sheet (OCR sheet)" registration 1916, and an "error list"
and "estimate sheet (OCR sheet)" follow 1917 as activities. The
product source 1950 includes new price proposal 1951 as an
activity. It is indicated by an arrow that the processing order is
an order of 1911, 1951, 1912, 1913, 1914, 1915, 1916, and 1917.
[0181] C0091921 as a control is marked to correspond to the
negotiation, determination, and registration of product unit price
1912 of a new product source, C0101932 as a control is marked to
correspond to the check of "estimate sheet (OCR sheet)" 1913,
R0051931 as a risk is marked to correspond to the registration of
product unit price 1914 of a new product source, C0111923 as a
control is marked to correspond to the "error list" follow 1915,
R0061932 as a risk is marked to correspond to the "estimate sheet
(OCR sheet)" registration 1916, and C0121924 as a control is marked
to correspond to the "error list" and "estimate sheet (OCR sheet)"
follow 1917.
[0182] Although it has been described in the above-mentioned
embodiment that the output of a document is to display the document
on a screen, the document may be printed by a printer, may be
stored in a memory device, or may be transmitted to another
device.
[0183] The hardware configuration of a computer for executing the
program according to this embodiment is similar to that of usual
computers as shown in FIG. 20. Specifically, the client 220 is
embodied by a personal computer and the document processing server
230 is embodied by a computer serving as a server. The computer
includes a CPU 2001 for executing programs of modules such as the
activity inputting module 12, the resource inputting module 15, the
knowledge and information inputting module 18, a commoditizing
module 21, and the integrated document outputting module 74, a RAM
2002 for storing the programs or data, a ROM 2003 for storing
programs for starting up the computer, an HD 2004 which is an
auxiliary memory, an input unit 2006 for inputting data, such as a
keyboard and a mouse, an output unit 2005 such as a CRT or an LCD,
a communication interface 2007 for connection to a communication
network, and a bus 2008 for sending and receiving data
therebetween. Plural the computers may be connected to each other
through a network.
[0184] The hardware configuration of FIG. 20 shows only an example.
Accordingly, the embodiment of the invention is not limited to the
configuration shown in FIG. 20, but any configuration may be used
as long as it can execute the modules described in this embodiment.
For example, some modules may be constructed by specific hardware
(for example, ASIC). Particularly, some modules may be mounted on
mobile phones, game machines, car navigation apparatuses,
information appliances, copiers, facsimiles, scanners, printers,
complex machines (also called multi-function copiers which have
functions of a scanner, a printer, a copier, and a facsimile).
[0185] The above-mentioned programs may be provided in a state
where they are stored in recording mediums or may be provided
through communication means. In this case, the above-mentioned
programs may be considered as a "computer-readable recording medium
having recorded thereon a program."
[0186] The "computer-readable recording medium having recorded
thereon a program" means a computer-readable recording medium
having recorded thereon a program, which is used to install,
execute, and circulate programs.
[0187] Examples of the recording medium include "DVD-R, DVD-RW,
DVD-RAM, and the like" defined in the DVD forum and "DVD+R, DVD+RW,
and the like" defined in DVD+RW as a digital versatile disc (DVD),
CD-ROM, CD-R, CD-RW, and the like as a compact disc (CD), an
optical magnetic disc (MO), a flexible disc (FD), a magnetic tape,
a hard disc, a ROM, an EEPROM, a flash memory, a RAM, and the
like.
[0188] All or a part of the above-mentioned programs may be
recorded on the recording mediums for storage or circulation. The
programs may be transmitted through wired networks, wireless
networks, or combinations thereof which are used in local area
networks (LAN), metropolitan area networks (MAN), wide area
networks (WAN), Internet, intranets, and extranets, or may be
transmitted with carrier waves.
[0189] The programs may be apart of another program or may be
recorded in a recording medium along with an independent program.
The programs may be divided and recorded on plural recording
mediums. The programs may be compressed or encoded, and may be
stored in any type as long as it could be reconstructed.
[0190] The foregoing description of the embodiments of the present
invention has been provided for the purposes of illustration and
description. It is not intended to be exhaustive or to limit the
invention to the precise forms disclosed. Obviously, many
modifications and variations will be apparent to practitioners
skilled in the art. The embodiments were chosen and described in
order to best explain the principles of the invention and its
practical applications, thereby enabling others skilled in the art
to understand the invention for various embodiments and with the
various modifications as are suited to the particular use
contemplated. It is intended that the scope of the invention
defined by the following claims and their equivalents.
* * * * *