DE60225272T2 - Network-based information management - Google Patents

Description

FIELD OF THE INVENTION

The The present invention relates to a network based data processing approach. More specifically, the invention relates to the control and configuration of network components accumulated for generating and processing Data interact.

BACKGROUND OF THE INVENTION

modern Communication networks like the public Internet, not public Intranets or combinations of them have the exchange of information both over shorter as well over further distances much easier. The facilitated exchange of information however, requires improved information management to address issues like lack of accessibility of information, not optimal speed of information gathering, unnecessary doubling of processes and information, etc. It is obvious, that as a result of constantly increasing amount of information to be managed the task of information management gets more and more difficult.

to Facilitating the task of information management have been numerous Standard platforms developed. Lotus Domino R5, distributed by Lotus / IBM Inc., as an example of such a standard platform cited become. Despite the availability such standard platforms requires the presence of individualized needs still complex considerations e.g. in terms of network technologies and architectures, in terms of the programming and connection of network components and regarding the distribution of special processing tasks to the individual network components.

The information to be processed by individual network components can refer to different aspects, and usually the ones above mentioned considerations independent of a network technologist the special nature of the processed information. Nevertheless exist Situations in which the essence of the processed information is up technical aspects of the communication network and its components Influence. In such a case it is indispensable that the including technical environment the network architecture, user interfaces, etc. to the specific one Information type is adapted to a suitable, efficient and ensure safe operation of the communication network. In this connection can Information provided which deal with tasks associated with various risks, Obtain processes or events.

Of the Article by GFELLER M: "A RISK MANAGEMENT PROTOTYPE USING OBJECTORIENTED APL "APL AND ITS APPLICATIONS: ANTWERP; SEPT. 11-15, 1994, PROCEEDINGS OF THE INTERNATIONAL CONFERENCE ON APL, NEW YORK, ACM, US, 11 September 1994 (1994-09-11), pp. 57-67 refers to an object-oriented data model for presentation of financial instruments. Based on the data model, a risk management analysis, the main ones from calculations with current data supplied by the user and Simulations under expected scenarios is performed.

The US 6,292,904 B1 teaches a system and method for providing secure user account identifiers and passwords for facilitating data sharing between a secure internal server and an external server accessible via the Internet. The user account identifications and passwords are replicated between the internal server and the external server using a one-way replication strategy. Data sharing also uses a one-way replication strategy.

It there is a need for a technical environment that improves information management allowed. More specifically, there is a need for appropriately configured ones Network components and a control method for such network components, the fast, efficient and secure processing of information that on various risks, tasks and processes are possible.

SUMMARY OF THE INVENTION

This desire is achieved by the network system of claim 1 and the method for controlling a network system according to claim 13.

The network system includes a first server unit that services at least a first group of network components and includes a host unit, a database, and a report generation processor. The host unit is configured to host a first group of network components to provide at least a first program code portion for generating one or more graphical user interfaces (GUIs), wherein a first GUI has at least one first control element for creating or updating electronic dossiers, wherein the first control element can be activated to generate a first control signal, and a second, to the Erzeu program code portion responding to the first control signal to generate a request to enter general data for a particular matter (eg, a particular task, process, or event) to be included in an electronic dossier of a particular matter, and a third, program code portion responsive to the generation of the first or second control signal to generate a request to enter standardized risk-related data for the particular matter included in the electronic file of the particular matter. The first server unit database is configured to store a plurality of electronic dossiers for the first group of network components, each electronic dossier relating to a particular matter and the general data for that particular matter and the standardized risk related data associated with the particular one certain matter. The report generation processor of the first server instance has access to the database and is configured to generate an electronic risk report by automatically processing the standardized risk-related data contained in the plurality of electronic dossiers stored in the database.

The Invention allows automated, distributed workflow management in terms of generating, reporting and analyzing risk-related Dates. As a result of the standardized format of the risk-related Data enforced by using special GUIs can, the workflow is accelerated. In addition, the accessibility improved risk-based data and the likelihood of a erroneous Data entry reduced.

In addition to first server unit, the network system one or more more server units with similar Structure like the first server unit. In other words, the one or more other server units can each a host unit, a database, and a report generation processor As previously mentioned include.

each Server unit serves a separate group of network components. For example, the first server unit may be the network component operate the first group of network components over a first network and a second server unit of the network component a second group from network components via a second network that is different from the first. According to one another scenario is a group of network components over and servicing the same network of two or more server units.

If the network component comprises two or more server units, can the server units are geographically distant. In such a case, the network component representing the geographical scattered server units, is a distributed system. Preferably, the first server unit is geographically with the one or the several other server units of the network component housed together. In such a case, the network component is physically on housed in the same place, but in two or more separate server units divided up. A combination of these variants is possible. According to one In such combination, the network component may be shared by two or more housed server units and one or more remotely located Server units included.

At least a communication channel is between the individual server units the network component provided. The communication channel between two server units is as replication connection between the individual databases of the server units configured. The replication connection is used to replicate the data in each database are stored, according to a special replication strategy used. The replication strategy can be selective so that only specific data is replicated.

A One-way replication strategy is implemented. According to the one-way replication strategy the replication only in one direction. In the event that a first Server unit a first database and a second server unit a second database is included in the second database replicated electronic dossiers into the first database, while the electronic dossiers stored in the first database are not be replicated to the second database. Such a replication strategy is particularly advantageous from the safety point of view because it Safely prevents one from the second server unit network component accessed in the first database has stored electronic dossiers. The security level can be done by physically disconnecting the different server units further increased become. In principle, you can however, the server units are also configured as software components which are only logically separated.

The one or more server units can be configured as Hypertext Transfer Protocol (HTTP) servers. Likewise, alternative transmission protocols can be used. The use of HTTP has the advantage that the network components served by one or more HTTP servers only use a conventional browser for require the interpretation of the program code parts that they receive from the one or more HTTP servers. The program code parts provided by the hosting HTTP servers may be written in hypertext mark-up language (HTML).

According to the above described server aspect of the invention takes over a network component, which includes one or more server units, the host function for program code parts for one or more several groups of network components used to execute the Program code parts are configured.

in the Following are various aspects regarding one of the program code parts described as host providing network component and with respect to a Network component that is externally provided by a host for execution or internally stored program code parts.

As from the above became clear every time a new one electronic dossier for a special task, a special process or a special one Event is generated or updated, not just the input of general, the special task, the special process or the requested special event characterizing data, but in addition the Enter standardized risk-related data for the specific task, the special process or special event. In other words are the risk-related data associated with the generation or updating electronic dossiers. Since the electronic dossiers can be stored centrally and the risk-related data contained in the electronic dossiers in can be entered and saved in a standardized form Risk - related data of the large number of electronic dossiers during the Generation of an electronic risk report efficiently processed become.

The To run a special program code part leads to the generation of a request for entering standardized risk-related data. Preferably the request to enter risk-related data is configured to that only standardized risk-related data are accepted, e.g. that the user is automatically forced under predefined risk-related data choices.

The Generate the request to enter standardized risk-related Data may include the generation of e.g. graphical menus for selection predefined risk classifications. Furthermore, sub-classifications (e.g., low / medium / high) for further characterization of a particular Risk classification can be used. Additionally or alternatively the request to enter standardized risk-related data the generation of a data field for entering risk-related default values such as the expected total costs associated with a particular risk, Expected fees related to law enforcement, etc. include.

As initially explained, the third program code part reacts to generate the request to enter standardized risk-related data on the the first control of the first GUI generated the first control signal or a second control signal. The second control signal can by the activation of a second control can be generated, which Part of the first GUI or a separate second GUI.

Of the first or a fourth program code part can be used to generate a third GUI with a third control for triggering the generation of electronic Be programmed risk report. The third control can for the Activation of the generation of a third control signal to be designed which causes the report generation processor, the electronic Create risk report. Preferably, the electronic risk report is according to a generated special report profile.

One Report profile can either be predefined and saved or from a host function taking over Network component may be provided or created individually become. In the latter case, the first or a fifth program code part for the Generate a fourth GUI with a fourth control to trigger the Definition of a report format and be programmed for activation be designed to generate a fourth control signal. A sixth, program code part responsive to the generation of the fourth control signal can be provided, which is a prompt to enter Report format data generated by the report generation processor should be processed when the electronic risk report is generated becomes. The possibility to make use of custom report profiles allows the generation of any electronic risk reports the basis of those contained in the large number of electronic dossiers risk-related data.

Depending on the specific report profile, different types of electronic risk reports can be generated electronically. The generation of an electronic risk report may include, for example, the accumulation of standardized risk-related data contained in the large number of electronic dossiers. Such an Collect can be done in several ways. According to a first option, the specific risk-related values contained in the accessible electronic dossiers are simply added together. As another option, all risk-related data associated with specific general data is accumulated. This allows a link to be established between specific general data and corresponding risk-related data.

One Seventh program code part can be used to generate a request for Providing insurance-related data, in addition to them involved in the electronic dossier of a particular matter included. Insurance-related data provide information which is to an insurance company that may be with the particular Covering the risk involved. The liability-related data can be at least partially identical to the risk-related data.

Of the Report generation processor can be used to generate an electronic Liability report in the form of e.g. an electronic insurance message through automated processing in the variety of electronic Dossiers contained liability-related data. Preferably, the report generation processor is configured to that ensures that the electronic liability report within a predetermined period of time after the creation of the electronic dossier for one certain matter or after the date of occurrence of the certain matter (as for example in the general data for the particular Matter indicated) is generated.

Of the seventh program code part for generating the request for input insurance-related data may be based on the generation of e.g. the first or fifth Control signal respond. The fifth Control signal can be activated by activating one in the first, in the second or a sixth GUI contained fifth control generated become.

The individual controls can be designed so that they by means of an input device such a keyboard, a mouse or other pointing device, etc. to be activated. For example, you can the individual controls of graphical representations like buttons or be formed as links in an appropriate GUI are included. Preferably, the individual GUIs are designed on a display device the corresponding network component to be generated.

One Computer program product according to the invention includes program code for performing the Steps of the present invention when on a computer running. The computer program product may be stored on a computer readable recording medium be stored with one or more network components connected or removable from it.

BRIEF DESCRIPTION OF THE DRAWINGS

One complete understanding The present invention can be understood by studying the following description the various illustrative embodiments of the invention to be obtained in conjunction with the drawings:

1 Fig. 10 is a schematic diagram of a network architecture including a network system according to a first embodiment of the invention;

2 Fig. 10 is a schematic diagram explaining a network system according to a first embodiment of the invention in more detail;

3 Fig. 12 is a schematic diagram explaining an access control mechanism as in the first embodiment of the invention;

4 Fig. 12 is a schematic diagram illustrating the individual software layers according to the first embodiment of the invention;

5 Figure 12 is a schematic diagram illustrating a client component not covered by the invention according to the invention;

6 - 9 12 are schematic representations of GUIs operating in embodiments of the invention for inputting general data for a particular matter;

10 and 11 12 are schematic illustrations of GUIs operating in embodiments of the invention for inputting standardized risk-related data;

12 FIG. 10 is a schematic diagram illustrating an exemplary risk classification approach; FIG.

13 - 15 12 are schematic representations of GUIs operating in embodiments of the invention for inputting standardized liability-related data;

16 FIG. 12 is a schematic diagram of GUIs that operate in embodiments of the invention for entering data related to access control; FIG.

17 and 18 12 are schematic representations of GUIs that operate in embodiments of the invention for creating risk reports;

19 Figure 12 is a schematic representation of the GUIs operating in embodiments of the invention for entering data related to a risk report format; and

20 schematically shows a risk report that works in embodiments according to the invention.

DETAILED DESCRIPTION OF VARIOUS ILLUSTRATIVE EMBODIMENTS

in the The following is an example of the present invention one built on such a network architecture web-based Solution explained which is the implementation of a secure and reliable access control mechanism supported. Although the present invention is particularly applicable to handling adapted to risk-related data, the network architecture and the access control mechanism according to the invention independent of Essence of the data being provided by a host, stored, processed etc.

Now becomes a first embodiment the invention in the form of a "classic" client-server application described.

1 shows an exemplary client-server network architecture according to the invention. The network architecture is divided into two geographically separate, separate access areas. For example, the first access area may be a specific geographic region (city, country, etc.) and the second access area may be the rest of the world, or simply a different geographic region. In principle, more than two different access areas or overlapping access areas can be defined.

A network component 10 with server functionalities represents the core of the network architecture. The network system 10 is geographically located in the first access area, but is accessible from both the first access area and the second access area.

At the in 1 The illustrated embodiment comprises the network system 10 a first server unit 12 and a second server unit 14 , Within the network system 10 can be the first server unit 12 and the second server unit 14 be configured as separate software or separate hardware components. Access control is made easier when the two server units 12 . 14 physically configured as separate hardware components.

Each of the two server units 12 . 14 serves a different range of access. How out 1 can be seen serves the first server unit 12 via a local directory LD and via a first communication network 16 a plurality of distributed client components CC arranged in the first access area. The first communication network 16 can be a Wide Area Network (WAN), a Local Area Network (LAN) or a combination of these. In addition to their server functionalities performs the first server component 12 Authentication and authorization tasks with respect to distributed in the first access area distributed client components CCs.

The second server unit arranged in the second access area 14 Serves a second group of distributed client components CC located in the second access area. The second server unit 14 performs this task via a local directory LD, a firewall FW and a second communication network 18 by. The second communication network 18 can be a WAN, a LAN or a combination of these. In addition to the server tasks, the second server unit authenticates 14 the distributed client components CC accommodated in the second access area and checks their authorization.

The first communication network 16 and the second communication network 18 are arranged in separate access areas. At the in 1 illustrated embodiment, there is no overlap between the first communication network 16 and the second communication network 18 ,

Both the first server unit 12 as well as the second server unit 14 contains a separate database 20 . 22 , In the database 22 the second server unit 14 The electronic dossiers generated in the second access area are stored while in the database 20 the first server unit 12 electronic dossiers generated in either the first or the second access area. To be in the database 20 the first server unit 12 To store electronic dossiers created in the second access area must be stored in the database 22 the second server unit 14 stored electronic dossiers. This is done between the database 22 the second server unit 14 and the database 20 the first server unit 12 a replication connection 24 built. The replication connection 24 can only be temporarily built or stay erected for longer periods of time.

As can be seen from the unidirectional arrow designating the replication compound, replication is performed according to a one-way replication protocol. At the in 1 In the embodiment shown, this means that there is only one data flow from the database 22 the second server unit 14 to the database 20 the first server unit 12 is present, but no data flow in the opposite direction. This one-way replication strategy supports access control according to which the client components CCs accommodated in the first access area are in principle (ie not considered individual access restrictions) authorized to access all electronic dossiers regardless of their origin, while those in the second access area accommodated client components CCs (provided that these client components CCs have appropriate individual access rights) are only authorized to access the electronic dossiers generated in the second access area.

It should be noted that in the databases 20 . 22 the server units 12 . 14 It is also possible to store additional data that does not relate to the electronic dossiers stored there. For such additional data, parallel to the in 2 represented replication compound 24 an additional replication connection will be established. This additional replication connection can be based on a two-way replication strategy that ensures that the additional data is not just from the database 22 the second server unit 14 to the database 20 the first server unit 12 be transferred, but also vice versa.

The structure of the first server unit 12 leading to the network system 10 according to 1 heard, is now referring to 2 described in more detail. How out 2 it can be seen, has the first server unit 12 for communication over the first communication network 16 (and about a in 2 not shown loading directory) to the housed in the first access area distributed client components an interface 28 , Furthermore, the first server unit 12 via the replication connection 24 in communication with the second server unit 14 and in particular with the database 22 containing the electronic dossiers generated in the second access area. Depending on the configuration of the first and second server units 12 . 14 may be the replication compound 24 a software or hardware solution.

In addition to the above-mentioned interface 28 includes the first server unit 12 one with the interface 28 related access control list (ACL) controllers 30 , one with the ACL controller 30 related host unit 32 , one with the ACL controller 30 related database 20 for electronic dossiers, one with both the database 20 as well as the ACL controller 30 related report generation processor 34 and a replication unit 36 ,

The replication unit 36 stands with the database 20 the first server unit 12 in connection and via the replication unit 24 with the database 22 the second server unit 14 , The replication unit 36 does not necessarily have an internal unit of the first server unit 12 be. It can also be an internal unit of the second server unit 14 be or internally in terms of the network system 10 from 1 but externally with respect to the two server units 12 . 14 ,

The second server unit 14 has a similar structure and functionality as the first server unit 12 , Therefore, only the in 2 illustrated first server unit 12 in the following, for example, discussed in more detail.

Having a client component from the first server entity 12 is authenticated, all accesses from this client component over the first communication network 16 and the interface 28 within the ACL controller 30 subjected to an authorization check. Thus, the ACL controller prevents unauthorized access to any of the database components 20 , Host unit 32 and report generation processor 34 , The special, through the ACL controller 32 enforced access control policy will be discussed later with reference to 3 explained in more detail.

In the 2 illustrated host unit 32 the first server unit 12 Hosts the program code for the first set of client components located in the first access area. The one from the host unit 32 hosted program code includes program code portions for generating the GUIs and prompts described later with reference to FIGS 6 - 11 and 13 - 20 be discussed.

Each client component belonging to the first group of client components and having appropriate access rights located in the first access area may be the report generation processor 34 trigger an electronic risk report by means of automated processing of the database 20 stored standardized risk-related data contained in electronic dossiers. The electronic risk report is prepared in accordance with a pre-defined Be generated by the report generation processor 34 triggering client component provided or previously in an internal data memory of the report generation processor 34 was saved.

Details regarding the generation of a report profile and an electronic risk report will be discussed later with reference to 17 - 20 executed in more detail. It should be noted here that only the report generation processor 34 the first server unit 12 can generate a "global" risk report because only the database 20 the first server unit 12 completely contains the electronic dossiers of both access areas. The corresponding report generation processor of the second server unit 14 can only generate "local" risk reports, based on those in the database 22 the second server unit 14 electronic dossiers, ie based on the electronic dossier created in the second access area. Such a configuration adds an additional layer of security to the access control mechanism implemented in accordance with the invention. This will now be with reference to 3 described in more detail.

3 shows the access control scheme according to the first embodiment using two different server units 12 . 14 suitably configured ACL controller in each of the server units 12 . 14 and a one-way replication compound 24 for the replication of in the server units 12 . 14 managed electronic dossier.

According to the in 3 The ACL controller enforced by the ACL controller responsible for the first access area determines that users belonging to the second access area do not have access to those in the database 20 the server unit 12 stored electronic dossiers, even if they were temporarily located in the first access area. Furthermore, it is determined that users belonging to the first access area are allowed, all in the database 20 the first server unit 12 available electronic dossiers, provided that their access rights are not individually limited.

Now that is through the ACL controller of the second server unit 14 forced ACL discussed. The ACL enforced in the second access area has no restrictions. This means that, in principle, every user of the second access area can access each one in the database 22 the second server unit 14 stored electronic dossier, provided that appropriate individual access rights have been granted. It should be noted, however, that in the first access area generated electronic dossiers in the database 22 the second server unit 14 are not available. Therefore, any user with access to the database 22 the second server unit 14 read only the electronic dossiers created in the second access area. This means that even if a user usually located in the first access area (who in principle has unrestricted access rights for the electronic dossiers generated in the first access area) would be temporarily located in the second access area, this user can only read the electronic dossiers generated in the second access area because it is not possible to access electronic dossiers generated in the first access area from a client component accommodated in the second access area.

As mentioned above, the first embodiment of the invention is configured as a classic server-client application. 4 shows the exemplary layered software structure of such a client-server application.

The 4 shown software structure is basically subdivided into a user layer located at the client component and an application layer located at the server component (Lotus Notes / Domino Server). The user layer includes a web browser as a primary user interface, an e-mail client, and one or more office applications, such as a word processor.

The Interaction between the user layer and the application layer becomes main in accordance with TCP / IP over an HTTP server (included in the Lotus Notes / Domino platform) carried out. The actual application includes a lot of individual components like a mailbox for the transfer of e-mails from and to the e-mail client of the user layer. additionally a reporting database is provided in which previously generated Reports in the form of HTML documents are stored. Earlier generated reports stored in the reporting database can be generated by a User for a later Time retrieved and e.g. exported to an Office application for further processing become. The original reports stored in the reporting database are read-only and can not changed become.

Further Components of the application running on the server component a database for electronic dossiers, a knowledge management component, a reference database, an administration component and a management component externally provided reference data.

The above with reference to the 1 - 4 described first embodiment is based on a client-server approach. 5 shows a client component not covered by the invention. In this client component, the server component is optional because the program code that is executed by the client component in connection with the creation or update of an electronic dossier may not necessarily be provided by a host server component but may be stored in a data store of that client component external media such as a CD-ROM or DVD or from an internal disk such as a hard disk.

In 5 can be similar to the network architecture in 1 and the access control scheme may be based on that described with reference to FIG 3 was declared.

How out 5 can be seen comprises a client component 40 an interface 42 between a communication network 43 on the one hand and a report generation processor 44 and an electronic dossier processor 46 the client component 40 arranged on the other side. The electronic dossier processor 46 the client component 40 is between the interface 42 and a program code memory 48 arranged. In program code memory 48 are the program code required to generate the GUIs and those below with reference to the 6 - 11 and 13 - 18 explained prompt. These program codes were over another interface 50 the client component 40 from an external medium in the form of a CD-ROM or DVD 52 in the program code memory 48 loaded.

The program code memory 48 contains a program code containing the electronic dossier processor 46 controls the data required by a user of the client component to create or update an electronic dossier 40 requests. Once an electronic dossier has been created or updated, the program code controls the electronic dossier processor 46 to the generated or updated electronic dossier via the communication network 43 to the other network component 56 transferred to. This additional network component 56 can be a server component or another client component.

That over the communication network 43 from the client component 40 received, generated or updated electronic dossier is via an interface 54 the network component 56 received and in a central network database 58 saved. In the database 58 electronic dossiers are stored by the network component 56 have been received by a plurality of client components having a similar structure to that in FIG 5 shown client component 40 to have.

If the client component 40 executes a program code part that triggers the creation of a risk report, the report generation processor takes action 44 the client component 40 to the database 58 the network component 56 to, by automated processing of the standardized risk-related data, which in the database 58 stored electronic dossiers are included to generate an electronic risk report.

Hereinafter, the data input and data processing operations will be described with reference to the screen prints of FIG 6 - 11 and 13 - 20 described under the control of the program code parts of the in the 1 and 3 represented acting as a host server units 12 . 14 provided and / or in the in 5 represented data memory 48 the client component 40 are stored. In the following embodiment, the management of electronic dossiers will be exemplified with respect to events occurring in connection with typical business operations. For such events, risk assessments and the safe reporting of risks are essential.

Each time a new electronic dossier related to a legal event is created or an existing one is to be updated, the Universal Resource Locator (URL) of the server component hosting the program code must be entered or entered into the web browser of a client component corresponding link can be activated (first embodiment as in the 1 - 4 shown). At the in 5 The second embodiment shown must be that in the program code memory 48 the client component 40 contained program code are executed.

In a next step, authentication and authorization steps are performed to determine the authenticity of a user and to verify that the authenticated user is actually authorized to create or update the electronic dossier. Once authentication and authorization have been successfully completed, a first GUI will be created 60 with the in 6 displayed content through the browser of the client component.

The GUI 60 has a control in the form of egg No links 54 , referred to as "create file" (the term "file" refers to an electronic dossier) which can be activated by means of, for example, a mouse for generating a control signal. A program code part responsive to generating this control signal generates another GUI 64 in the form of a register sheet entitled "General".

6 shows the GUI 64 in a state after the confirmation of general data input earlier. During data entry, the GUI has 64 a like in 7 shown appearance.

Like from the 6 and 7 As can be seen, there are six other tabs labeled Special, Background, Finance, Risk, Data, and Access. The function of the other tabs will be explained below.

The GUI in the state according to 7 includes the request to input various, standardized and non-standardized general data characterizing a particular event that occurred in the context of a business operation. The non-standardized field 66 For example, it asks the user to enter a specific name for the electronic dossier to be created. The next data field "file type" 68 only accepts standardized entries. If the data field 68 is activated, a pull-down menu pops up and the user can view between various standardized dossier types such as general affairs, disputes (ie a process in which the company is involved either as a plaintiff, as a defendant or as a witness) Case (ie a case that may cause a special risk in the future) that selects a legal complaint (ie a complaint from a client or client that might have a legal or fulfillment implication), etc. Additional data fields for entering general data related to a particular event include a data field 70 for references to the responsible person, who is responsible for the processing of the event, a variety 72 of data fields for the determination of the legal entity involved in the event and a data field 74 for the registration of an external legal assistant who assists in the handling of the event.

Once all available data fields of the GUI 64 With the appropriate standardized or non-standardized general data characterizing the particular matter, further general data may be entered in the "Special" and "Background" tabs. In the GUI 64 all "Special" to "Access" tabs form controls that can be activated by clicking on them with a mouse to generate a corresponding control signal. In response to the generation of such a control signal, a special program code part responsive to the generation of the special control signal is executed and the particular program code part generates a corresponding GUI allowing additional data input. For example, clicking on the tab "Special" 76 from GUI 64 the corresponding in 8th illustrated GUI 80 and by clicking on the "Background" tab, the corresponding in 9 illustrated GUI 82 displayed.

Each of the GUIs 80 . 82 includes a plurality of prompts (data fields) for inputting general data further characterizing the event. For example, the GUI includes 80 a data field 81 with the term "insurance claim", which prompts the user to specify insurance-related data. Regarding the call 81 The user can choose between the standard options "No", "Yes" and "Not known". "No" does not give access to electronic dossiers to users handling insurance matters, while the other two options add such users to the access list. The forms of access to the electronic dossier are in the form of a message on the right side of the data field "Insurance claim" 81 shown. If a user processing the insurance matters sets the value to "No", access to the electronic dossier is revoked for all users handling the insurance matters. Because the remaining data fields of the GUI 80 . 82 have appropriate designations, is dispensed with a more detailed description of the input options here.

One important aspect of the risk reporting process is a standardized one Risk estimation process. The risk measurement process starts with the collection of "hard" numbers that come with a special event (e.g., disputes, prospect of a case, legal complaint, etc.).

By activating the in the GUIs 64 . 80 and 82 contained register sheet labeled "Finance", a control signal is generated, which is responsive to the generation of this control signal special program code part for generating the in 10 illustrated GUI 84 causes. The GUI 84 Contains various data fields for entering both general data and risk-related data for the event. For example, the data field 86 the GUI 84 configured as a pull-down menu that allows the selection of the specific currency in which the general and risk-related numbers are subsequently entered. The other data fields 88 allow the input of special numbers that the event and that to further characterize associated risks.

Standardized risk-related numbers across the data fields 88 of the "Financials" tab are now explained by way of example. The data field "baseline" refers to the first total demanded by the claimant in a particular procedure. The Current Value data field indicates the most recent value required by the Claimant, including any interest. The "Comparative Value" data field refers to the sum that, in the opinion of the person responsible for the settlement of the legal event, is likely to be paid or will be received. In a next step, the expected costs are assessed and entered into the appropriate data field. The expected cost is the expected loss associated with the particular event. In other words, the Expected Cost data field helps record the expected net outcome that arises, for example, from a particular dispute or request.

The person responsible for processing the special event must request the creation of the reserve in accordance with the sum of the costs to be expected. This reserve process refers in detail to all types of consequential (also called "operational") risks. As a rule, the total in data field "Reserve Legal Expenses" should be the same as in the "Expected Legal Expenses" data field. The reserves are posted to the account to which the selected risk type relates. For example, reserves for an event with a liability risk are posted to "liability reserve account". Details regarding the selection of a particular risk type will be made with reference to FIGS 11 and 12 explained below. If an event involves only primary risks such as credit risk or market risk ( 12 ), the reserve process can be initiated directly by the business unit in whose field of activity the legal event occurred. Regardless of the risk type, information about the account numbers and the "booking unit" responsible for the reserve process must be entered in the appropriate data fields 90 be entered.

One Further financial risk arises from those with the particular Event related Legal costs. Such legal costs include e.g. Costs for external Legal assistance, fees for legal proceedings etc. If an electronic dossier is created for a specific event, must have a corresponding number for the approximate ones Legal costs and entered into the data field "Initially Expected Legal Expenses". If the expected legal costs exceed a certain amount, a reserve must be formed become. For this purpose, a suitable value is entered in the data field "reserve legal costs".

each Whenever an invoice is registered for payment, the corresponding must Sum using a (not shown in the drawings) GUI to be booked. This allows automated determination and View the total legal and court costs incurred for a particular legal event.

The above with respect to the 10 The standardized risk assessment approach described above helps to considerably facilitate the processes of automatic risk reporting and automatic reserve management. This will be described in more detail below.

By activating the control element in the form of the "risk" register sheet 94 from eg the in 10 illustrated GUI 84 A control signal is generated which causes a request to enter additional risk-related data. In 11 will be a corresponding GUI 94 displayed. The following are the relevant data fields 96 this GUI 94 and the standardized options for completing these data fields 96 explained in more detail.

The first data field of the plurality of data fields 96 refers to the one or more specific risk types associated with the particular event for which the electronic dossier was generated. An overview of the standardized risk types that can be entered in the "Risk Type" data field is in 12 shown.

How to get the 12 A distinction is made between three different risk categories, namely primary risk, risk of reputational damage and consequential (or operational) risk. In the in 11 In the embodiment shown, the risk type "fulfillment risk" belonging to the risk category of consequential risk has been entered. The risk type "performance risk" refers to the risk that the company will fail to comply with applicable laws, internal or external regulations or restrictions and may be subject to some form of sanction. Other risk types include market risk (risk of loss arising from movements in market prices including interest rates, etc.), credit risk (risk that a counterparty or issuer of a debt will default on its liability or that its / its ability to settle the liability becomes questionable), risk of reputational damage ( Risk of loss of business arising as a result of failure to conduct business activities in an appropriate manner), liability risk (risk of loss caused thereby, that the company is held responsible for a contractual or legal claim, liability or action), legal risk (risk of loss because contracts can not be enforced, including risks resulting from poor documentation, insufficient capacity, etc.).

After this the standardized risk type has been selected, this must be done with the special event associated risk with regard to one of the predefined Categories "low", "medium" and "high". A low risk means having an estimated probability between 0% and 25%, that e.g. the company will lose a controversial procedure. The corresponding percentage range for a medium risk is 26% to 70% and for a high risk 71% to 100%.

The Data fields "Danger damage to reputation and PR risk must be completed, if the event affects the reputation of the company. In one first step must be selected be, with what intensity the reputation of the company is affected by the event. For this purpose, a must the standardized classifications "low", "medium", "high" or "no danger of Reputation damage ". In a second step, by filling out the "PR risk" data field, the way must be described in which the event will receive public attention becomes. The following standardized inputs are available: "no external impact", "no media coverage", "restricted local Meaning or local media coverage "," restricted national Meaning "and" persistent national and limited international media coverage ".

The data field "other risk" of the plurality of data fields 96 the GUI 94 helps to identify such legal events that have characteristics that could affect the direction of the company in which it must carry out its activities in the future. Standardized input options include, for example, "risk precedent loss" (this option should be selected if an adverse verdict could arise from the event having a strong impact on the ability of the entity to access certain jurisdictions or market products), "symptom of a regulatory failure" (the Existence of a particular event may indicate significant control failure within the enterprise) and others.

• – Gruppenrisikobericht (group risk report, GRR) nicht relevant: Das Ereignis sollte nicht in den GRR aufgenommen werden
• – GRRneu: Das Ereignis wird zum ersten Mal in den GRR aufgenommen werden. In der Regel sollten alle rechtlichen Ereignisse mit erwarteten Kosten (rechtliches Risiko) höher als ein vordefinierter Wert oder mit einer sehr hohen Gefahr der Rufschädigung in den GRR aufgenommen werden.
• – GRR wesentliche Entwicklungen seit dem letzten Bericht: Das Ereignis wurde bereits in den letzten GRR aufgenommen. Seither sind einige neue Entwicklungen erfolgt, die es wert sind, im GRR erwähnt zu werden.
• – GRR keine materiellen Entwicklungen seit dem letzten Bericht: Über das Ereignis wurde bereits im letzten GRR berichtet. Jedoch sind seither keine wesentlichen Entwicklungen eingetreten, die es wert sind, in den GRR aufgenommen zu werden.

An important data field for automated risk reporting is the "Group Risk Report" data field of GUI 94 , This data field allows control of aspects related to the reporting of a specific event for which the electronic dossier is generated. In particular, this data field allows selection of whether and in what way a particular event is included in a "global" risk report related to all risks associated with a particular (eg geographical or functional) business area of the enterprise or the whole enterprise. The following standardized inputs are accepted:

• - Group risk report (GRR) not relevant: The event should not be included in the GRR
• - GRRnew: The event will be included in the GRR for the first time. As a rule, all legal events with expected costs (legal risk) should be included in the GRR higher than a predefined value or with a very high risk of reputation damage.
• - GRR significant developments since the last report: The event has already been included in the last GRR. Since then, there have been some new developments worth mentioning in the GRR.
• - GRR no material developments since the last report: The event was already reported in the last GRR. However, no significant developments have occurred since then that are worth inclusion in the GRR.

As can be seen from the above, the in 11 illustrated GUI 94 next to the in 10 illustrated GUI 84 the main interface for entering standardized risk-related data for a particular event.

In many cases the risks associated with an event are covered by insurance. Therefore, it is beneficial to include insurance-related data in the electronic Dossier of this event to include. This allows the insurance notification to automate and, in particular, late notification, which is to Refusal to cover can, prevent.

In the 11 illustrated GUI 94 has an indicator 92 with the term "insurance assessment". The display element 92 shows the above about the "insurance work" -GUI, referring to below 15 explained in more detail, entered value.

The automatic generation of an electronic insurance report requires the entry of corresponding insurance-related data for the particular event for which the elec tronic dossier is generated. By activating a control in the form of the "data" register sheet, eg from the in 7 presented "General" -GUI 64 off, a control signal is generated to which the in 13 and a "data" GUI comprising an input prompt for insurance-related data 100 is shown.

Insurance-related data is about a variety 102 entered from data fields, including a data field for requesting the incident date. The Incident Date is the date on which the Incident, Error or Injury occurred that caused the Incident and the associated risk. Another data field requests the discovery date of the incident. This data field is of great importance in connection with the automated insurance reporting, because the insurance usually has to be notified within a certain period after the discovery date of the incident. By means of the automated electronic insurance report, which is initiated immediately after the creation of a new electronic dossier, too late notification can be prevented. The other data fields 102 the in 13 illustrated GUI 100 contain a data field for entering the claim date (ie the date on which an opposing party asserts a formal claim for damages).

The Application is configured to be used for a specific event Insurance report is automatically generated when the event, as listed in the electronic dossier, special requirements Fulfills. These prerequisites may e.g. that included the initial required amount and / or the expected costs are higher as a pre-defined amount and / or that the event is a personal claim involves against a company employee. Will be at least meets one of these requirements, The event of insurance will automatically go one way electronic insurance report. This means, that it does not interest the person unwinding the event must, if the event is actually through any insurance program is covered.

If, after the evaluation of an electronic insurance report, the responsible entity determines that the reported event is not relevant for insurance purposes, that event will be deleted from the event list for which subsequent updates must be reported. In this case, the option "no" in the data field "insurance claim" 81 in the in 8th presented "special" -GUI 80 to be selected. However, if the event becomes an insurance matter, the option "yes" must be selected. In this case, an update of the risk-related data is regularly requested along with the specific update process of the risk reports.

In In such a case, an updated electronic insurance report based on the during Updating the risk-related data entered information automatically generated.

In the 14 and 15 become two optional GUIs 103 . 105 shown, which allow the collection of insurance-related data. On the GUIs 103 . 105 can be accessed through optional tabs labeled "Insurance Work" and "Insurance Details". The GUIs 103 . 105 contain a variety of data fields for entering standardized and non-standardized insurance-related information. For example, the GUI contains 105 an insurance-related data field 107 , The selected option is via the display element 92 the in 11 illustrated GUI 94 displayed. The GUI 105 further includes a control 109 in the form of a hyperlink to an applicable insurance policy. Because the individual data fields on the GUIs 103 . 105 are self-explanatory, here is omitted a more detailed description.

As previously mentioned, access control is an important feature of the invention. One aspect of access control refers to the single definition of users allowed access to a particular electronic dossier. For this purpose, a control is provided in the form of the "Access" tab, eg in the "General" GUI 64 from 7 , By activating the "Access" tab of the "General" GUI 64 will the in 16 illustrated GUI 104 displayed. The GUI 104 prompts for input of access control data. The data fields 106 the GUI 104 allow the creation of user lists or user groups that are allowed to read (read) and / or modify (write) the particular electronic dossier. There are two data fields 108 that can not be modified by the person who creates the electronic dossier. These data fields 108 are referred to as system "read access" and system "write access". The in the data fields 108 listed users or user groups automatically have read or write access to the particular electronic dossier. The data fields 108 are provided for informational purposes.

Once all relevant data characterizing a particular event has been incorporated into or existing in a new electronic dossier When the electronic dossier has been updated, the relevant data must be included in an electronic report for that electronic dossier. To create such a report, a control must be in the form of a "Reports" tab at the beginning of 6 illustrated GUI 60 to be activated. In the view of 6 is the "Reports" tab behind the "General" GUI 64 hidden.

If the "Reports" tab is activated, the in 17 illustrated GUI 110 generated. In the 17 illustrated GUI 110 includes a control 112 labeled "Create report". By clicking this control 112 All the information needed for the reporting process is automatically stored in a (risk) report for a particular newly created or updated electronic dossier on a given date. Such a report can thus be considered as a snapshot of the information of a specific electronic file on a specific date. Before the report is backed up and released for the risk reporting process, it is necessary to check the information contained in the report for accuracy. Changes can not be made in the report itself, but only in the electronic dossier via the corresponding tabs of the individual GUIs.

Once the risk reports are generated as HTML documents in a suitable database ( 4 ) saved. By activating the control 114 named "View Report" in 15 illustrated GUI 110 The risk report of each electronic dossier for which a user has access rights can be retrieved from the corresponding database and displayed by the browser.

If an electronic risk report for a specific electronic Dossier is stored in the electronic dossier information automatically with respect to those discussed above Evaluated criteria to decide whether an electronic Insurance notification is required or not. Should an electronic insurance notification will be required will be an electronic insurance report for that particular electronic Dossier generated automatically and over a communication network to which for the processing of electronic Insurance report Place transmitted.

In the 17 illustrated GUI 110 has a variety 116 other controls (links) that allow you to manage risk reports, view deleted risk reports, and view risk reports sorted by "Closed by Date", "Closed by Business Group / Business Unit", "Open Defendant" or "Open Claimant". In addition, a variety 118 of other controls that may be activated to generate control signals that trigger the generation and presentation of a group risk report with respect to all electronic dossiers available in a particular database. The use of standardized risk-related data greatly facilitates the generation of the group risk report. Possible options include generating and displaying a group risk report related to new electronic dossiers, electronic dossiers depending on tangible development, electronic dossiers without tangible development and electronic dossiers relating to a particular group or business area.

For example, by activating the control labeled "new" the plurality 118 generates a control signal from controls that causes the generation of an electronic risk report regarding newly created electronic dossiers selected for entry in the group risk report.

In 18 becomes a GUI 124 in the form of an electronic group risk report for newly created electronic dossiers. How out 18 For each event that is part of the group risk report, the group risk report contains a variety of data including the group of companies, business unit, type, subject, person responsible, the risk of reputational damage associated with the event, etc 18 electronic risk report exemplified contains only a single event. However, if a multitude of events had been classified as "GRR New", the corresponding group risk report would list multiple events.

In order to allow an authorized user to generate a risk report that includes individually specified data, an authorized user may himself define a specific report format by entering appropriate report format data. 19 shows a corresponding GUI prompting for input of report format data 130 which are processed by the report generation processor during generation of a special electronic risk report. The GUI 130 allows a user to generate a report format by using a plurality of data fields 132 the information to be collected in the custom risk report is selected.

In 20 is an exemplary, custom nated electronic risk report in the form of an HTML document displayed by a browser running on the client component of a user. How out 20 is apparent, the electronic risk report refers to all newly reported events that are subject to legal risk. For each of these requirements fulfilling event a variety of information such as background, development, responsible lawyer, etc. is reported. For each event included in the report, relevant figures such as current value, expected cost and risk reserve are shown. Optionally, for everyone in the electronic risk report 140 events accumulated, ie accumulated, in the electronic risk report 140 be recorded.

alternative Report formats could e.g. for the Generation of an electronic risk report, all by one handled by certain internal controllers or external lawyers Contains events, be used. Such risk reports help, e.g. Events with a higher one Risk more evenly sprinkle. In connection with the generation of risk reports should It should be borne in mind that by implementing special replication and access control mechanisms, the contents of one of a special User generated risk report can be controlled.

The Embodiments described above are intended as examples of the present invention will be understood by those skilled in the art changes and Modifications can be made thereto without departing from the scope of the invention, which is defined solely by the following claims.

Claims (17)

Network system serving at least two groups of network components (CC), the network system comprising: - a first server unit ( 12 ) and a second server unit ( 14 ), each of which is a host unit ( 32 ), a database ( 20 . 22 ), which stores a plurality of electronic dossiers for the respective group of network components (CC), and a report generation processor ( 34 ); A replication unit ( 36 ) for establishing a replication connection ( 24 ) between the database ( 20 ) of the first server unit ( 12 ) and the database ( 22 ) of the second server unit ( 14 ), wherein the replication compound ( 24 ) is built according to a one-way replication strategy in order to 22 ) of the second server unit ( 14 stored dossiers in the database ( 20 ) replicate the first server unit, not the other way round; and an ACL controller ( 30 ); the network system being characterized in that 1) the host unit ( 32 ) of the first server unit ( 12 ) and the host unit of the second server unit ( 14 ), the host function each take over a first group of network components (CC) and a second group of network components (CC), the second group of network components (CC) being different from the first group of network components (CC) for at least: A first program code part for, when executed by one of the network components (CC), generating one or more graphical user interfaces GUIs, wherein a first GUI ( 60 ) of said GUIs at least one first control ( 62 ) for creating or updating an electronic dossier of said electronic dossiers, the first control element ( 62 ) can be activated to generate a first control signal; - a second program code portion responsive to the generation of the first control signal for generating, when executed by one of the network components (CC), a request for input of general data for a particular matter included in the electronic dossier of the particular matter; and a third program code portion responsive to the generation of the first or second control signal for generating, when executed by one of the network components (CC), a request to enter standardized risk-related data for the particular matter that is included in the electronic dossier be involved in a specific matter; 2) each report generation processor ( 34 ) has access to the database ( 20 . 22 ) of its server unit ( 12 . 14 ) to generate an electronic risk report by means of automated processing of the standardized risk-related data contained in one or more of the electronic dossiers; and 3) means comprising the ACL controller are arranged to force the network components (CC) of the second group to have no access to those in the database ( 20 ) of the second server unit ( 12 ) and that the network components (CC) of the first group contain all electronic dossiers stored in the database ( 20 ) of the first server unit ( 12 ) are allowed to read, unless their access rights have been individually limited. Network system according to claim 1, wherein the second server unit ( 14 ) together with the first server unit ( 12 ) is housed. Network system according to Claim 1 or 2, in which the first server unit ( 12 ) the first group of network components (CC) via a first Network ( 16 ) and the second server unit ( 14 ) the second group of network components (CC) over a second network ( 18 ) from the first network ( 16 ) is different. Network system according to one of Claims 1 to 3, in which at least the first server unit ( 12 . 14 ) is an HTTP server. Network system according to one of Claims 1 to 4, in which the first server unit ( 12 ) and the second server unit ( 14 ) are physically separated from each other. Network system according to one of claims 1 to 5, where the first group of network components and the second Group of network components arranged in two different access areas are geographically separated from each other. Network system according to one of claims 1 to 6, where the generation of the request to enter standardized, risk-related data, the generation of at least one menu for the selection of predefined Risk classifications and a data field for entering standardized, including risk-related figures. Network system according to one of claims 1 to 7 in the alternative mentioned in claim 1, in which the third program code part responds to the second control signal in which the network system is designed such that the first GUI ( 60 ) or a second GUI ( 84 ) of said GUIs a second control ( 94 ) to produce or update standardized risk-related data to be included in an electronic dossier, the second control ( 94 ) can be activated to generate a second control signal. Network system according to one of claims 1 to 8, wherein the first or a fourth program code part for generating a third GUI ( 110 ) of said GUIs, the third GUI ( 110 ) a third control ( 112 ) for triggering generation of the electronic risk report and wherein the third control element ( 112 ) can be activated to generate a third control signal that the report generation processor ( 34 . 44 ) causes the electronic risk report to be generated. A network system as claimed in any one of claims 1 to 9, wherein the first or fifth program code portion is programmed to generate a fourth GUI of said GUIs, the fourth GUI having a fourth control for triggering the definition of a report format, the fourth control for generating a fourth control signal can be activated and further wherein a sixth program code part responds to the generation of the fourth control signal to a request ( 130 ) for input of report format data to be generated by the report generation processor ( 34 . 44 ) should be processed when generating the electronic risk report. A network system according to any one of claims 1 to 10, further comprising a seventh program code portion responsive to the generation of the first or a fifth control signal for requesting ( 102 ) to enter insurance-related data to be included in the electronic dossier of a particular matter. Network system according to a combination of claims 9 and 11, wherein the report generation processor ( 34 . 44 ) is configured to generate an electronic liability report upon receipt of the third or sixth control signal by automated processing of the insurance-related data contained in one or more of the electronic dossiers. A method of controlling a network system serving at least two sets of network components (CC), the method comprising: - providing a first server unit ( 12 ) and a second server unit ( 14 ), each of which is a host unit ( 32 ), a database ( 20 . 22 ), which stores a plurality of electronic dossiers for the respective group of network components (CC), and a report generation processor ( 34 ); - Establish a replication connection ( 24 ) between the database ( 20 ) of the first server unit ( 12 ) and the data bank ( 22 ) of the second server unit ( 14 ), wherein the replication compound ( 24 ) is built according to a one-way replication strategy in order to 22 ) of the second server unit ( 14 stored dossiers in the database ( 20 ) replicate the first server unit, not the other way round; and - performing the access control; the method being characterized by: 1) accepting the host function by the host unit ( 32 ) of the first server unit ( 12 ) and the host unit of the second server unit ( 14 ) for each of a first group of network components (CC) and a second group of network components (CC), the second group of network components (CC) being different from the first group of network components (CC), for at least: - a first program code part when executed by one of the network components (CC), generating one or more graphical user rippled GUIs, with a first GUI ( 60 ) of said GUIs at least one first control ( 62 ) for creating or updating an electronic dossier of said electronic dossiers, the first control element ( 62 ) can be activated to generate a first control signal; - a second program code portion responsive to the generation of the first control signal for generating, when executed by one of the network components (CC), a request for input of general data for a particular matter included in the electronic dossier of the particular matter; and a third program code portion responsive to the generation of the first or second control signal for, when executed by one of the network components (CC), generating a request to enter standardized risk-related data for the particular matter entered in the electronic dossier involved in the specific matter; 2) Providing access for each report generation processor ( 34 ) to the database ( 20 . 22 ) of its server unit ( 12 . 14 ) to generate an electronic risk report by means of automated processing of the standardized risk-related data contained in one or more of the electronic dossiers; and 3) performing the access control to force the network components (CC) of the second group to have no access to those in the database ( 20 ) of the second server unit ( 12 ) and that the network components (CC) of the first group contain all electronic dossiers stored in the database ( 20 ) of the first server unit ( 12 ) are allowed to read, unless their access rights have been individually limited. The method of claim 13, wherein the processing the standardized ones contained in the large number of electronic dossiers risk-related data accumulating in the multitude of electronic Dossiers contain standardized risk-related data according to one includes a predefined report profile. The method of claim 13 or 14, wherein different access control lists are related to the first and second server entities ( 12 . 14 ) are provided. A computer program product comprising program code for carrying out the steps of any one of claims 13 to 15 when stored on a computer system ( 10 , CC) is running. Computer program product according to claim 15 on a computer readable recording medium.