JP2009093285A - Todo navigation device in internal control - Google Patents

Abstract

<P>PROBLEM TO BE SOLVED: To provide a TODO navigation device in internal control, performing support such that a mistake, an error, or injustice as the internal control does not occur by performing navigation by a TODO when taking the next action, and starting the next workflow. <P>SOLUTION: On a TODO execution screen 110, a TODO outline and titles (111, 112) to be TODO-executed registered in a fixed-form TODO execution registration part 400 are displayed, and the effect that it is an alarm (113) and an outline of the alarm are displayed when a TODO button 520 is pressed by a processing method of an alarm processing part 500. When selecting one of form creation buttons 114-116, navigation contents corresponding to selected contents are displayed on a screen of a navigation processing part 200. A format list (not shown in Figure) is displayed by complying with the navigation. When selecting a displayed format, the workflow 10-30 corresponding thereto is started, the form creation of the next action is performed on a form creation screen ( not shown in Figure) of the workflow. <P>COPYRIGHT: (C)2009,JPO&INPIT

Description

  The present invention relates to a TODO navigating apparatus in internal control that can efficiently support the next action without overlooking mistakes, errors, and fraud that occur in the operation of the internal control system.

  Generally speaking, internal control has been thought of as an activity that ensures the appropriateness of financial accounting. However, in the 1990s, in addition to the appropriateness of financial accounting, compliance, compliance with management policies and business rules, improvement of management and business effectiveness and efficiency, risk management (risk management), etc. The scope is targeted, and it has come to have functions and roles for corporate governance (corporate governance). And now, internal control establishes predetermined standards and procedures for each business so that the organization can be operated soundly, effectively and efficiently without any illegal activities, fraud, mistakes or errors inside the company. It is defined as management, monitoring and assurance based on that.

  An information system using IT (Information Technology) is an indispensable element in realizing internal control. In general, the conventional internal control is based on the premise of "mutual check through people" where one person's work is checked by another person. Today, however, business process tools such as a workflow system. The information system is indispensable for internal control so that operations cannot be performed without input to the information system (or approval by the authorized person through the information system). Content management and document management tools that support business records and their reporting and reference, and security tools that prevent unauthorized access and information leakage, etc., have also been incorporated into internal controls. The Sarbanes-Oxley Act (SOX Act) was enacted in the United States in 2002 in order to prevent the occurrence of the settlement due to the breakdown of bankruptcy by a large company exposed in the United States. The management system is obliged to build and operate a control system, and the audit and audit opinion is the responsibility of an external auditor. In June 2006, the Financial Instruments and Exchange Act (Japanese version of the SOX Act) was enacted, and since the fiscal year ended March 2009, listed companies are obliged to submit internal control reports and be checked by a certified public accountant. Regardless of whether it is unfavorable or not, there is an obligation to submit an internal control report. Therefore, establishing and operating an internal control system and realizing internal control is an urgent issue for companies.

  As mentioned above, IT-based information systems are considered essential for internal control, and business process tools such as workflow systems are used in daily operations, but all operations are IT-based information systems. It is not realized, and paper documents used in the real world, such as receipts, invoices and quotations, must be processed under the accounting law, and the workflow system is not configured in a consistent manner. There are cases where multiple workflows exist independently for each process, and PDCA (Plan Do Check Action: Planning, Execution, Verification, Improvement) cycles circulate within the independent workflow, but they are connected in the process. The PDCA cycle has not yet circulated continuously to other workflows. For this reason, it is indispensable for internal control to prevent mistakes, errors, frauds, etc. from occurring between processes that should be connected in the process.

Under such circumstances, in Patent Document 1, the current person in charge presents a destination and a requested action according to the type of action, and the presented destination and requested action are the next destination (person in charge) and default action. In addition, a workflow system is disclosed in which the current person in charge designates the next person in charge and the processing content by referring to the past history.
JP 2004-334379 A

  In the workflow system disclosed in Patent Document 1, the current person in charge presents a destination and a requested action according to the type of action, and designates the next person in charge and processing contents by referring to the past history. However, since the current person in charge designates the next person in charge and processing details, errors and errors may occur depending on the designation of the current person in charge. There was a problem that it was not guaranteed.

  Therefore, in the present invention, when taking the next action, the TODO navigation device in the internal control is provided that navigates with the TODO to launch the next workflow and supports the error, error, and fraud as an internal control. The purpose is to provide.

  In order to solve the above-mentioned problems, the TODO navigating device for internal control according to the present invention includes a standard TODO display means for displaying a case to be introduced during business processing in the internal control as a standard TODO and displaying the standard for each case. A navigation transition means for selecting a case converted to TODO and transferring it to the navigation screen, and a format for displaying a list of formats based on a question for solving the case on the navigation screen and a check of “Yes” or “No” format for the question. It comprises a list display means, a format selection means for selecting one format from the format list, and a workflow activation means for activating a workflow corresponding to the selected format.

  According to the present invention, the next workflow (work) can be launched by navigating the raised TODO, so that the action to be taken next can be efficiently performed without overlooking mistakes, errors and frauds that occur in the operation of the internal control system. Can support well.

Hereinafter, embodiments of the present invention will be described with reference to the drawings.
FIG. 1 is a conceptual diagram showing the overall configuration of a TODO navigation device in internal control according to an embodiment of the present invention. In FIG. 1, the TODO execution screen 110 of the standard TODO execution processing unit 100 displays the subject (111, 112) and the TODO outline to be executed by TODO registered in the standard TODO execution registration unit 400. The TODO execution screen 110 of the standard TODO execution processing unit 100 displays an alarm (113) and an outline of the alarm when the TODO button 520 is pressed by the processing method of the alarm processing unit 500. When any of the contents displayed on the TODO execution screen 110 of the standard TODO execution processing unit 100 is selected, that is, when any of the draft buttons 114 to 116 is selected, the navigation corresponding to the selected contents is performed. The gate contents are displayed on the screen of the navigation processing unit 200 (details will be described later). On the navigation screen, a question corresponding to the TODO selected by any of the draft buttons 114 to 116 is displayed. After checking the “Yes” and “No” items for the question, an execution button (not shown) is displayed. 1), a list of formats not shown in FIG. 1 is displayed on the screen. When the displayed format is selected, the corresponding workflows 10 to 30 are started. Draft the action. In the illustrated example, the inspection workflow 10, the approval workflow 20, and the equipment application workflow 30 are illustrated as workflows, but are not limited to these workflows.

The standard TODO draft processing unit 300 is standardized to launch the following actions for the estimate 41, completion report 42, equipment application 43, etc. in the paper format 40 that is invited from the process workflow (not shown). A person in charge of a user terminal (not shown) issues a draft as TODO. In the fixed form TODO list screen 310 of the fixed form TODO draft processing unit 300, the fixed form TODO that has been drafted is accumulated, for example, under the items of estimated arrival 311, completion report 312, and facility application 313. When the selection buttons 314 to 316 are pressed for any of the standard TODOs that are drafted and accumulated under the items of estimated arrival, completion report, and equipment application, the subject 411 and the name of the person in charge are entered in the above-mentioned standard TODO execution registration unit 400 If there are 412, affiliation 413, and attached file, attached file name 414 is registered as TODO to be executed.

  In the above description, the process workflow refers to a series of workflows that are consistent as processes but are independent of each other. For example, when considering the purchasing management process, it is necessary to obtain an estimate request workflow (not shown), an approval workflow 20, an ordering workflow (not shown), and an inspection workflow 10 until the acceptance workflow, which is the final form of purchasing management. There is an independent workflow. Among them, for example, an estimate request workflow is output from an estimate request workflow (not shown), and an estimate 41 in a paper format 40 submitted in response to the request is delivered to the deliberation workflow 20, and an order workflow (not shown) 3), a purchase order (not shown) is output, and a completion report 42 of the paper format 40 is delivered to the inspection workflow 10 correspondingly. When the inspection process by the inspection workflow 10 is completed, a series of processing as a purchase management process is completed. Therefore, a workflow that handles these series of processes is called a 'process workflow'.

  On the other hand, the alarm processing unit 500 recognizes the occurrence of an event such as an unauthorized operation 51, an unauthorized master update 52, an unauthorized proxy approval 53, an unauthorized printing 54, etc. as an alarm 50, and performs processing for eliminating the alarm to the user who generated the alarm To select. In general, in internal control, a requirement for an alarm is defined in advance for an operation of a user terminal, and an alarm is notified to a user when the defined requirement for an alarm occurs as an event. Then, the user who generated the alarm selects a process for canceling the alarm (process A to process E in the illustrated example). One process (corresponding to process C in the illustrated example) is selected in the present invention as the TODO button 520. It has been devised to eliminate the alarm by selecting. Therefore, when the user selects the TODO button 520 on the alarm processing screen (not shown), the alarm processing unit 500 registers to execute the TODO in the standard TODO execution processing unit 100. By this registration, as described above, the alarm 113 and the outline of the alarm are displayed on the TODO execution screen 110 of the standard TODO execution processing unit 100. In addition, when registration for execution of a standard TODO from another system (not shown) is made and displayed on the TODO execution screen 110, an action corresponding to the TODO is displayed on the navigation display screen and navigated. It is also possible to lead to a drafting screen for a predetermined workflow.

  As described above, according to the TODO navigation apparatus of the present invention, the next workflow (work) can be launched by navigating the raised TODO, so overlooking mistakes, errors and frauds that occur during the operation of the internal control system. It is possible to efficiently support the next action to be taken.

  FIG. 2 is a block diagram showing a hardware configuration of the TODO navigation device in the internal control according to the embodiment of the present invention. 2, the TODO navigating device in internal control according to the embodiment of the present invention includes a database 700 that is accessible via a server 600. The server 600 is shown in FIG. Other system 840 including various workflow systems such as acceptance workflow 10, deliberation workflow 20, equipment application workflow 30, and internal control alarm detection system 860 for detecting that an alarm condition defined in internal control has occurred as an event It is configured to be connectable to.

  The database access module 610 of the server 600 is realized by executing software on the server 600, manages the various tables 710 to 800 provided in the database 700, communicates with the user terminal 820, etc. Execute operations related to internal control. Therefore, as a function realization means realized by executing software in the server 600, in addition to the database access module 610 described above, the standard TODO drafting processing unit 620, the standard TODO execution registration unit 630, the standard TODO execution processing unit 640, An alarm processing unit 650, a navigation processing unit 660, and a workflow processing unit 670 are provided. The standard TODO drafting processing unit 620 corresponds to the standard TODO drafting processing unit 300 shown in FIG. 1, and the standard TODO execution registration unit 630 corresponds to the standard TODO execution registration unit 400 shown in FIG. The unit 640 corresponds to the routine TODO execution processing unit 100 shown in FIG. 1, the alarm processing unit 650 corresponds to the alarm processing unit 500 shown in FIG. 1, and the navigation processing unit 660 corresponds to the navigation processing unit 200 shown in FIG. Corresponding to Although the workflow processing unit 670 is not shown in FIG. 1, it manages the interface between the various workflows 10 to 30 shown in FIG. 1. In FIG. 2, the interface with the other system 840 including the workflow system is shown. It is something to control. As a configuration format of the server 600, it is possible to adopt a format such as a Web server or an IIS (Internet Information Services) server.

  The database 700 is realized by a storage device known in the information processing field, and various tables necessary for navigating and processing the TODO, that is, the standard TODO master 710, the TODO management table 720, the Navigate master 730, and the attached file table 740. Alarm master 750, alarm-TODO link table 760, TODO-Navigate link table 770, question-format link table 780, question master 790, and format master 800. The data structure of the fixed form TODO master 710, which is a table that defines the general form of the fixed form TODO, includes a TODO_ID 711, a TODO_NAME 712, a related NaviID 713, and an attached file ID 714. Further, the data structure of the TODO management table 720, which is a table for registering the standard TODO by drafting, includes a serial number 721, TODO_ID 722, a subject 723, and a type (alarm / normal) 724. Here, “normal” in the category refers to a case in which a case invited during business processing in internal control is related to a matter.

  As a data structure of Navigate master 730 which is a table for defining general navigation, NAVI_ID 731, NAVI_NAME 732, and NAVI contents 733 are provided. The data structure of the attached file table 740, which is a table for storing attached files, includes an attached file number 741, TODO_ID 742, a file name 743, a file entity 744, a file size 745, and a registration time 746. It has. The data structure of the alarm master 750, which is a table defining alarms in general, includes an alarm_ID 751, an alarm_NAME 752, and an alarm content 753. The alarm master 750 can be the one in the internal control alarm detection system 860. As a data structure of the alarm-TODO link table 760, an alarm_ID 761 and a TODO_ID 762 are provided. The data structure of the TODO-Navigate link table 770 includes a TODO_ID 771 and a related NAVI_ID 772.

The data structure of the question-format link table 780 specifies the question code 781 and the format number / serial number (here, the format number in the case of Form (electronic format), and the serial number in other cases). ) 782, a format name 783, a format format (which defines the format of paper, Excel, or Form (electronic format)) 784, and a display order 785. The data structure of the question master 790, which is a table that stores the questions to be asked based on the content to be navigated, includes NAVI_ID 791, question code 792, parent question code (used for hierarchical display) 793, question 794 and display order 795. The data structure of the format master 800, which is a table for defining the format, includes a format number 801, detailed format information 802, a format name 803, and a format format 804. The mutual relationship of information in the various tables described above will be described again with reference to FIG.

  The user terminal 820 is realized by a personal computer (PC) or the like and has a client function for the server. Then, the server 600 is accessed via the network 880, and necessary information is exchanged with the database 700 by communicating with the database access module 610. The communication between the user terminal 820 and the server 600 and the communication between the user terminal 820 and the database 700 via the database module 610 of the server 600 are realized using a known protocol technique. Therefore, it will not be mentioned in the present invention. In FIG. 2, only one server 600 is shown, but a plurality of servers can be distributed on the network 880. The database 700 can also be provided on the network 880 in a distributed manner. Further, the user terminal 820 shown in FIG. 2 is merely an example, and the number of users can be arbitrarily increased or decreased. As the network 880, various existing networks such as LAN, WAN, and the Internet can be used as appropriate.

  FIG. 3 is a diagram showing a screen transition of the TODO navigation device in the internal control according to the embodiment of the present invention. In the TODO navigation device in internal control according to the embodiment of the present invention shown in FIG. 3, the screen transitions from the bottom to the top of the figure for the case, and the screen transitions from the left to the top in the middle for the alarm. . As shown in the lower part of the figure, when the estimate 41 arrives in the paper format 40, the screen of the person in charge of the user terminal 820 is changed to the standard TODO list screen 310, and the standard TODO list screen 310 is displayed. This is drafted under the definition of the standard TODO master 710, and this is accumulated under the item of the estimated arrival 311. When you press the selection button 314 of the estimated arrival 311 and select the standard TODO that has been drafted and accumulated, the screen changes to the standard TODO registration screen 410, and the subject 411, the person in charge 412, the affiliation 413, and the attachment are attached on the standard TODO registration screen 410 If there is a file, the attached file name 414 is described, and these are registered in the TODO management table 720. When this processing is completed, the screen shifts to the TODO execution screen 110 of the user terminal (which is different from the user terminal shown in the lower part of FIG. 3) that actually needs to execute the TODO. 112: “Quote arrived” is displayed. When the user presses the draft button 114 to process the TODO of the displayed subject, the navigation screen 210 is transitioned with reference to the TODO-Navigate link table 770.

  On the navigation screen 210, the sub screen displays "Quote deliberation", and the main screen displays the question under the definition of the question master 790, which is selected by checking "Yes" or "No" Let In the illustrated example, since “Yes” is checked, no more questions will be expanded. However, if “No” is checked, further questions will be expanded under the original question, and “Yes” will be similarly applied to the question. A “No” check is made. In any case, by pressing “OK” after checking “Yes”, the screen transitions to the format list screen 230. On the format list screen 230, the sub screen displays “estimate deliberation” as described above, and a list of formats related to the main screen is displayed. In the example shown in the figure, "Order Request", "Quote", and "Quotation Request" are listed as related formats. A "Form" button 240 is displayed at the left end of "Order Request", and at the left end of "Quote". The “paper” button is displayed, and the “paper” button is displayed at the left end of the “request for quotation”. In the illustrated example, pressing the “form” button 240 causes a transition to the drafting screen (order creation request creation screen) 22 of the approval workflow 20, where the order request document is drafted. Subsequent screen transitions follow the approval workflow 20. In this specification, the details of each workflow will not be described because they are commercially available. When the “paper” button is pressed, the form is requested to be submitted in accordance with the paper form.

Next, the alarm will be described. As an example of an alarm, “No license!” Is displayed on the alarm processing screen 510 in the middle left part of the figure. When a user who has displayed an alarm presses a “TODO” button 520 in the alarm elimination process, the contents are registered in the TODO management table 720. When this processing ends, the alarm processing screen 510 transitions to the TODO execution screen 110, and on the TODO execution screen 110, for example, an alarm is displayed: “License shortage”. When the user presses the draft button to process the displayed alarm TODO, the navigation screen 210 is transitioned with reference to the TODO-Navigate link table 770. In this case, the contents displayed on the sub screen and the main screen of the navigation screen 210 are different from those in the illustrated example, but the display is omitted here. Subsequent screen transitions are the same as in the case described above, but the contents displayed on the draft screen 22 are different due to different workflows to be taken over. That is, in order to eliminate the alarm by TODO, the equipment update workflow 30 shown in FIG. 1 is taken over.

  FIG. 4 is a diagram showing the relationship between various tables provided in the database of FIG. In FIG. 4, TODO_ID 711 of the standard TODO master 710 is linked to TODO_ID 722 of the TODO management table 720, TODO_ID 762 of the alarm-TODO link table 760, and TODO_ID 771 of the TODO-Navigate link table 770. The serial number 721 of the TODO management table 720 is linked to the TODO serial number 742 of the attached file table 740. The alarm_ID 761 of the alarm-TODO link table 760 is linked to the alarm_ID 751 of the alarm master 750.

  The related NAVI_ID 772 of the TODO-Navigate link table 770 is linked to the NAVI_ID 731 of the Navigate master 730. The NAVI_ID 731 of the Navigate master 730 is linked to the NAVI_ID 791 of the question master 790. On the other hand, the question code 792 of the question master 790 is linked to the question code 781 of the question-format link table 780. Further, the format number / serial number 782 of the question-format link table 780 is linked to the format number 801 of the format master 800.

It is a conceptual diagram which shows the whole structure of the TODO navigation apparatus in the internal control which concerns on embodiment of this invention. It is a block diagram which shows the hardware constitutions of the TODO navigation apparatus in the internal control which concerns on embodiment of this invention. It is a figure which shows the screen transition of the TODO navigation apparatus in the internal control which concerns on embodiment of this invention. It is a figure which shows the relationship between the various tables provided in the database of FIG.

Explanation of symbols

100 Standard TODO execution processing part
110 TODO execution screen
200 Navigation processor
300 Standard TODO drafting section
310 Standard TODO list screen
400 Standard TODO execution registration part
410 Standard TODO registration screen
500 Alarm processor
600 servers
610 Database access module
620 Standard TODO drafting section
630 Standard TODO execution registration part
640 Standard TODO execution processing part
650 Alarm processor
660 Navigation processor
670 Workflow processing part
700 databases
710 Standard TODO Master
720 TODO management table
730 Navigate master
740 Attachment table
750 Alarm master
760 Alarm-TODO link table
770 TODO-Navigate link table
780 Question-Form Link Table
790 question master
800 Format master
820 user terminal
840 Other system
860 Internal Control Alarm Detection System
880 network

Claims (4)

A standard TODO display means for displaying a case to be invited during business processing in internal control as a standard TODO and displaying each case;
A navigation transition means for selecting the displayed standard TODO case and shifting to a navigation screen;
A format list display means for displaying a format list based on a question for solving the case on the navigation screen and a check of the “yes” or “no” format for the question;
Format selecting means for selecting one format from the format list;
Workflow activation means for activating a workflow corresponding to the selected format;
A TODO navigating device comprising: When the case is a matter before the case to be invited during business processing in internal control is displayed as a standard TODO and displayed for each case, a standard TODO drafting means for drafting in advance for each case;
A standard TODO registration means for registering the drafted standard TODO to be displayed on the standard TODO display means;
The TODO navigation device according to claim 1, further comprising:   3. The TODO navigating apparatus according to claim 2, wherein the item is generated for a paper format that is invited by forwarding a process workflow.   An alarm processing means is further provided for registering the alarm as a standard TODO when the case is an alarm before the case to be invited during business processing in internal control is displayed as a standard TODO and displayed for each case. The TODO navigation apparatus according to claim 1.

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