Documenting Processes of an Organization

Abstract

A method and system for documenting processes and controls of an organization involve storing information describing the processes of the organization in a database and then accessing the database with a suitable user interface application. Preferably the user interface application is a web browser and the data in the database is provided to users as a series of web pages. Using the user interface application, users can review the documented processes, report errors, request changes, generate reports, and so forth. Users with suitable access privileges can modify the data in the database using the user interface application. An external auditor can audit the processes and controls of the organization from his own office by accessing the database over a network such as the Internet.

1 . A system for documenting the processes and controls of an organization, comprising:
 a database for storing information describing the steps of processes and controls of an organization, wherein the database stores different versions associated with a particular process, one version varying from another based on a process change request; and   a server computer in communication with the database for receiving information from the database and for providing the information to a user computer, wherein the information relates to a selected process.   
     
     
         2 . A system as claimed in  claim 1  wherein the information is provided to the user computer in at least one web page, and
 wherein the at least one web page includes a change request web page, which in response to the selected process and a change request input from a user, processes the change request. 
 
     
     
         3 . A system as claimed in  claim 2  wherein a reviewer is informed by an automatically generated email when the change request has been saved to the database. 
     
     
         4 . A system as claimed in  claim 1  wherein the information is provided to a user computer in at least one web page, and
 wherein the at least one web page includes a flowchart web page for displaying information describing the selected process in the form of a flowchart. 
 
     
     
         5 . A system as claimed in  claim 4 , wherein the flowchart includes a plurality of shapes each representing a procedure of the selected process,
 wherein the flowchart is divided into a plurality of regions, each region associated with an entity responsible for one or more of the procedures of the selected process, and   wherein the shapes are positioned in the flowchart in the region corresponding to the entity responsible for the associated procedure.   
     
     
         6 . A system as claimed in  claim 1  wherein the information is provided to a user computer in at least one web page, and
 wherein the at least one web page includes a process web page for displaying information related to steps of the selected process of the organization and comprising a link to a list of documents relating to the selected process and a link to a list of financial statement categories affected by the process. 
 
     
     
         7 . A system as claimed in  claim 1  wherein the information is provided to a user computer in at least one web page, and
 wherein the at least one web page includes a historical process web page for displaying, in response to a version selection, a historical version of the selected process corresponding to the version selection. 
 
     
     
         8 . A system as claimed in  claim 1  comprising:
 a user computer programmed to receive the information from the server computer and display the information in a user interface, and 
 wherein the display includes a change request interface, which in response to the selected process and a change request input from a user, processes the change request. 
 
     
     
         9 . A system as claimed in  claim 8  wherein a reviewer is informed by an automatically generated email when the change request has been saved to the database. 
     
     
         10 . A system as claimed in  claim 1 , comprising:
 a user computer programmed to receive the information from the server computer and display the information in a user interface, and   wherein the display includes a flowchart describing the selected process in the form of a flowchart.   
     
     
         11 . A system as claimed in  claim 10 , wherein the flowchart includes a plurality of shapes each representing a procedure of the selected process,
 wherein the flowchart is divided into a plurality of regions, each region associated with an entity responsible for one or more of the procedures of the selected process,   wherein the shapes are positioned in the flowchart in the region corresponding to the entity responsible for the associated procedure,   wherein the shapes include an indication of a risk amount of the associated procedure, the risk amount for each procedure corresponding to a risk amount of any controls associated with that procedure.   
     
     
         12 . A system as claimed in  claim 1 , comprising:
 a user computer programmed to receive the information from the server computer and display the information in a user interface,   wherein the display includes information related to steps of the selected process of the organization; and   wherein the display includes a link to a list of documents relating to the selected process and a link to a list of financial statement categories affected by the process.   
     
     
         13 . A system as claimed in  claim 1 , comprising:
 a user computer programmed to receive the information from the server computer and display the information in a user interface, and   wherein the display includes, in response to a version selection, a historical version of the selected process corresponding to the version selected.   
     
     
         14 . A system as claimed in  claim 1 , wherein the information includes an indication of a risk associated with the selected process, the indication of risk representing an overall assessment of the risk, calculated from at least one of the process procedures. 
     
     
         15 . A system as claimed in  claim 14 , wherein the information includes a saved summary report summarizing a problem with a process. 
     
     
         16 . A method for documenting the processes and controls of an organization, comprising:
 storing information in a database, wherein the information describes the steps of processes and controls of an organization, wherein the database stores different versions associated with a particular process, one version varying from another based on a process change request; and   providing information from the database to a user computer, wherein the information relates to a selected process.   
     
     
         17 . The method of  claim 16 , comprising:
 receiving, at the user computer, the information from the database;   displaying the information in a user interface, wherein the user interface includes a change request interface, which in response to the selected process and a change request input from a user, processes the change request.   
     
     
         18 . The method of  claim 16 , comprising:
 receiving, at the user computer, the information from the database;   displaying the information in a user interface, wherein the user interface includes a flowchart describing the selected process in the form of a flowchart.   
     
     
         19 . The method of  claim 16 , comprising:
 receiving, at the user computer, the information from the database;   displaying the information in a user interface, wherein the user interface includes information related to steps of the selected process of the organization; and   wherein the user interface includes a link to a list of documents relating to the selected process and a link to a list of financial statement categories affected by the process.   
     
     
         20 . The method of  claim 16 , comprising:
 receiving, at the user computer, the information from the database;   displaying the information in a user interface, wherein the user interface includes, in response to a version selection, a historical version of the selected process corresponding to the version selected.