Many institutions must comply with various rules, policies, regulations, and guidelines, whether established internally, by a regulatory entity, or as a result of legislation (hereinafter “rules”). Because some of these rules may place responsibility on the institution for overseeing consistent compliance or adherence to the rules, there is an increasing need for a comprehensive process to manage rule compliance and task management across an entire business organization. For very large and geographically diverse organizations, these requirements can create a significant challenge and resource expenditure.
Prior efforts to manage rule based tasks required separate systems without readily available task oversight and management or reporting of task compliance across an enterprise. Moreover, the entity or individual charged with ensuring task compliance must manage a number of disparate systems where the day-to-day workflow cannot be conveniently and efficiently prioritized, monitored and scheduled. The use of separate systems also makes it difficult to ensure that tasks are handled in a consistent and uniform manner across the enterprise. Additionally, effective task management can at times uncover areas where improvements or remedial actions must be implemented. Generally, these efforts can lack currency and are sometimes not adequately monitored and tracked over time. Therefore, there is a need for an integrated process and system for efficiently managing and monitoring rule governed task compliance.
This invention provides task management processes and tools for any task that is governed by rules where completion of the task is best accomplished by uniform, systematic treatment of the task. In some embodiments, the invention is described with respect to organizations where the rules are implemented across a large enterprise by multiple business units or divisions but compliance is monitored through a central governance and reporting process. However, the principles of the invention can be applied in enterprises of any size. The invention can be adapted to any type of task monitoring and compliance function, including legal or regulatory requirements, compliance with internal policies, or the policies of non-governmental organizations such as trade associations or accrediting agencies. An example of one such function is risk management.
In some embodiments the task management system of the invention includes various modules, applications, or “application modules” that work together to accomplish task monitoring, scheduling, prioritization, compliance and reporting. These can be implemented by a computer system or systems, software, and networks, or by other similar means. In some embodiments a task management module facilitates the development of task compliance by scheduling and prioritizing tasks based on the needs of the enterprise. The tasks are provided in task modules that set out specific steps for completing the tasks. The task management module controls the tasks based on the rules and policies governing the entity by providing the task modules having tasks and task related material to the individuals that are ultimately responsible for completing the tasks. A common database is operatively connected to the task management module, task module and other modules to maintain the rules and policies, the tasks to be completed and the responses to those tasks. A reporting function can be provided to monitor the tasks of an enterprise over time.
The task management process implemented by a task management module preferably includes identifying the tasks to be performed for a relevant time period. Included with the task modules are scripts including questionnaires, tests and the like that must be completed or satisfied, instructions as to the data that must be collected, as well as general guidelines and background information. When a task is initiated a relevant task module is launched to provide a script to follow when completing the task. Information collected during completion of the task is saved in a predetermined format such that it can be retrieved by the organization to perform follow-up analysis such as compliance assessments, worker efficiency evaluations and the like. The use of task management modules allows the system manager to prioritize and schedule the tasks of the enterprise, perform follow-up analysis and ensure the uniform handling of like tasks.
In some embodiments, the invention is implemented via a computing platform or a collection of computing platforms interconnected by a network, such as a corporate intranet, in which case a web browser can facilitate use of the invention. A computer program product or products containing computer programs with various instructions cause the hardware to carry out, at least in part, the methods of the invention. Applications, or modules, such as the previously mentioned task management module and task module, are operated on a server or workstation. If the applications are running on a server, the modules are accessed from a client workstation. A database is operatively connected to the modules. The database can reside on the same platform as one or more of the application modules, but more typically will reside on a database server. In this computer-based embodiment, the hardware and software together form the means for carrying out the invention.
The present invention can most readily be understood by considering the detailed embodiments presented herein. Some of these embodiments are presented in the context of a large enterprise using a corporate intranet to facilitate the carrying out of the task management function; however, these embodiments are examples only. The invention has applicability to any type of task management activity in any type of organization.
The terms “enterprise” or “organization” typically are being used to refer to an entity such as a company or association that is making use of the invention. The entity can be large or small. A “business unit” generally refers to a division within an enterprise or organization. The “system administrator” is the person, persons or entity that is authorized to approve and direct the activities related to the task management system on behalf of an enterprise, either for the enterprise as a whole, or for a business unit.
A “role” is used in this application to represent a function defined by the institution that is required to complete one or more tasks such as a compliance officer, auditor or other function. Typically a role will be filled by an individual or team of individuals authorized and trained to perform the function required by the specific task.
The terms, “module”, “application module”, and in some cases, simply “application” are meant to refer to a specific process that is performed as part of the task management system discussed throughout. Often a module corresponds to a software application. Some modules are for processes in which a role provides a response for each of a series of questions or otherwise collects and inputs data to the system. The term “response” is used to refer to information that is provided to the system in response to a task.
It must be noted that the entire function of the invention, including the common database can be implemented in whole or in part on a single computing platform like that shown in
In any case, a computer program which implements parts of the invention through the use of a system like that illustrated in
Initiation and set up of the system of the invention will now be described with reference to
Referring again to
An example of a screen shot showing a sample output from task module is illustrated in
Opening Questionnaire field 505 would launch the questionnaire screen shot 600, an example of which is shown in
Referring again to
Further, Attachments 512 such as can be included.
In addition to the task module used by the role on a particular activity, the system includes task management modules 136 that are created and used by the task management module to control the work flow of the roles. The task management module 136 is shown in greater detail in
A more complex version of the task management module 136 will be described with reference to
The system is modular in that for any activity for which the system administrator has responsibility the activity can be broken down into one or more tasks each of which can be grouped and prioritized. By assigning the appropriate priority the system administrator can control not only the activity to be worked but also can control the order of the specific tasks needed to complete the activity. Because the system is modular and dynamic it can be continuously updated to control the task list.
Input of the activities, priorities and tasks into the system allows the system administrator to allocate activities and tasks to particular work stations/roles. It is to be noted that tasks could be assigned to a work station such that any individual logging in at that work station handles the assigned tasks or tasks could be assigned to a specific role such that the log-in identification is used to identify the role working at a particular work station. Prior to the beginning of each work period, the system administrator assigns activities to particular roles or work stations. For example, for a one day work period, prior to beginning of the day the system administrator identifies the tasks to be performed during that day. The work period can be any period of time. The selection of the tasks can be automated such that the system stores the number and types of tasks to be completed during the work period based on previous averages for completing similar activities. It is also contemplated that the system administrator could prioritize work irrespective of a set real time work period and simply prioritize the tasks for an indeterminate period of time.
Once the activities/tasks for the work period are identified, the tasks are prioritized and, if desired, grouped according to a group commonality or combination or hierarchy of commonalities. The tasks are then assigned to the appropriate work station/role by priority with the next activity on the priority list given to, for example, the first available work station/role. Alternatively all activities of the same type could be given to a subset of work stations/role specializing in those activities. Or all activities related to the same matter could be given to the same work station/role such that a single work station/role works on all related activities for a common activity. The activities could be broken down based on other criteria or using multiple criteria. The tasks assigned, the work station/role to which a task is assigned, and the due date for completing the task are stored by the system.
The role opens the next task 1005 from the system and is presented with any information relevant to that activity including a matter identification, status and the like as previously described with reference to
In response to this message the system administrator updates the task management module 136 by, for example, removing the task from the priority list as described with reference to block 801 in
Typically, a large enterprise would be asked to evaluate its overall business model and complete tasks at a level where there is commonality of processes, oversight, monitoring and control structure. Thus, an enterprise may desire to perform tasks along business units or regional lines. The invention is designed to be sufficiently flexible to handle tasks at whatever level a business unit or the enterprise desires. The hardware systems shown in
Note that the common database is shown at 118. This database is continually accessed and updated throughout an assessment. It is schematically shown as being accessed during the collection of information, the completion of the assessment and the approval process. However, it may also be accessed at any other step. Additional access indications are not shown for clarity.
Once the responses are captured in data base 118 the data can be retrieved by the enterprise to review either the substance of the tasks and responses or to monitor the activity of the roles and the performance of the system itself. For example, the data might be used to determine the average number of tasks performed per work period to be used when setting up future task lists. Referring to
In at least one embodiment, the system of the invention takes place via the World Wide Web and is computer-based. Further details of the computer system implementation will be discussed with respect to
In this example embodiment, the application servers run using Microsoft's Internet Information Services (IIS). These servers are the launch point for the system modules and will direct action back and forth among the other servers and databases. The common database which has been previously discussed, is implemented on an SQL server shown at 209. The network of
The login procedure is as follows. A login request is directed through the IP switch to one of the portal application servers. The app server directs the request to the LDAP server for authentication and the LDAP server authenticates and forwards the request to the SQL database for authentication, confirming that the role is known to the task management system. Confirmation and information about the role is forwarded back to the app server at.
Next, a query is forwarded to the corporate directory, where information about the role is obtained, as well as information about business units for which the role is handling any tasks. The type of employee information will be name, telephone number and possibly postal and Email addresses. For business units the information may be the business unit name, executive associated with that business unit, and hierarchy information. The information is included in a reply and the app server copies it to the SQL database, where the information is stored. This operation is confirmed, and a welcome screen is generated for the role. From that welcome page, the role will be presented with the tasks and task scripts for which the role is responsible. The role opens the task or script template via the task module on the app server. The role enters responses interactively and the database is continually updated at shown. The template resides on the app server and the data in the SQL database.
In this example embodiment, the invention is implemented in a web-based system. The browser “skin” (forward and back buttons, scroll bars, etc.) is not shown for clarity.
Specific embodiments of an invention are described herein. One of ordinary skill in the computing and networking arts will quickly recognize that the invention has other applications in other environments. In fact, many embodiments and implementations are possible. The following claims are in no way intended to limit the scope of the invention to the specific embodiments described above.
This application is a non-provisional of provisional patent application Ser. No. 60/651,500, filed Dec. 20, 2004, entitled “System and Method for Task Management of Rule Governed Tasks”, which was originally filed as patent application Ser. No. 10/905,164, filed Dec. 20, 2004, entitled “System and Method for Task Management of Rule Governed Tasks”, and was converted into a provisional application after filing. Patent application Ser. No. 60/651,500 is incorporated herein in its entirety by reference.
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