Patent Document

CROSS REFERENCE TO RELATED APPLICATIONS 
       [0001]    This application claims the benefit of U.S. Provisional Application No. 61/541,792, filed Sep. 30, 2011, the contents of which are incorporated herein by reference. 
     
    
     BACKGROUND 
       [0002]    Many businesses rely on enterprise resource planning (ERP) computing architectures to electronically manage and coordinate business resources, information, and functions. However, the processing of incoming legal documents continues to involve a substantial amount of manual work. The content of the legal documents must often be analyzed manually by a user in order to decide which steps have to be carried out in the ERP system to cover the business processes associated with the legal document. Afterwards the required processing steps, like posting a goods receipt or invoice receipt, would be executed using standard ERP system transactions. Furthermore, some of the data contained in the incoming legal documents may have to be entered manually into the ERP system to execute the postings accordingly. 
         [0003]    For example, the Nota Fiscal eletrônica (NF-e) is a legal document and an electronic invoice which contains tax and logistical information in the form of an XML document with a layout defined by the Brazilian government. The NF-e can involve both Business to Government (B2G) communication (requesting authorization of NF-e from tax administration before billing may take place) as well as Business to Business (B2B) communication (sending the authorized NF-e to the customer). 
         [0004]    In the B2B case for an incoming NF-e, the information provided in the document will lead to certain processing steps having to be performed. The reason is that in addition to the regular processing of Goods Receipts (GR) and Invoice Receipts (IR), the processing of the XML messages results in additional process steps that are necessary to carry out, e.g. checking authorization of NF-e with Government etc. Because these documents contain information which belongs to different categories of documents in the ERP system like purchase order, delivery, goods movement or invoice, they can be viewed as a combination of different ERP system documents representing a whole business process which can be automatically executed. 
         [0005]    Therefore there is a need for flexible automated processing of electronic documents containing tax and logistical information by existing ERP systems. 
       SUMMARY OF THE INVENTION 
       [0006]    For the processing of electronic documents, an existing ERP system (or systems) can benefit from a connection to a separate Governance, Risk, and Compliance system, usually referred to as a GRC system. The goal of GRC is to help a company efficiently put policies and controls in place to address all its compliance obligations while at the same time gathering information that helps proactively run the business and assess potential risks. A GRC system can create a central nervous system that helps a company monitor compliance and manage their business risks more effectively. In this way a GRC system can help a company keep track of transactions and raise an alert when things go off track or when risks appear. 
         [0007]    A system for processing electronic documents includes a framework that enables a flexible and customizable process definition for handling incoming documents. Within the process definition all the steps which are desired for handling an incoming document can be predefined. Some of the processing steps like checking the signature and authorization of an incoming legal document can be executed in the GRC system, some other steps like posting a goods receipt or posting an invoice are executed in one of the connected ERP systems. The content of the incoming document is evaluated to determine which business process may be used to carry out the necessary processing steps. To this end an incoming document is automatically analyzed to extract information regarding the relevant parameters evaluated to assign the business process. The assigned business process and a related process flow sequence define the processing steps to be executed. 
         [0008]    The control of the execution of the processing steps is carried out in the GRC system. This is done using an extendable status concept for the processing flow so that a linear process where a follow on step always depends on the preceding step can be implemented as well as a more complex non linear process flow where a follow on step may depend on a subsequent step. The business process to be assigned, the process flow sequence and control can all be customized in a flexible manner and new processing steps can even be implemented. For example, the defined process flow sequence may be customized so that it varies depending on certain variables, such as the business partners involved in the assigned business process. If several ERP systems are assigned to one GRC system, the determination of the corresponding ERP system for an incoming document may be made based on the content of the document. 
     
    
     
       BRIEF DESCRIPTION OF THE DRAWINGS 
         [0009]      FIG. 1  shows an example system and processing flow according to the present invention. 
           [0010]      FIG. 2  shows an example system according to the present invention. 
           [0011]      FIG. 3  shows an example method according to the present invention. 
           [0012]      FIG. 4  shows an example process flow execution according to the present invention. 
           [0013]      FIG. 5  shows an example screenshot of a user interface according to the present invention. 
           [0014]      FIG. 6  shows an example screenshot of a user interface according to the present invention. 
       
    
    
     DETAILED DESCRIPTION 
       [0015]    Embodiments of the present invention will now be described in detail, by way of example only, with reference to the accompanying drawings in which identical or corresponding parts/features are provided with the same reference numerals in the figures. 
         [0016]      FIG. 1  shows the processing flow of electronic documents received by a system  10  for processing electronic documents. System  10  includes an existing business system (or systems), for example ERP system  20 , that is connected to a separate control system, for example GRC (Governance, Risk management, and Compliance) system  30 . Certain content  35  of an incoming electronic document, for example XML document  40 , is extracted to determine which business process  45  is associated with the extracted content  35 . When implementing the processing steps associated with the determined business process  45 , some of the processing steps like checking the signature and authorization of an incoming legal document can be executed hi the GRC system  30 , and other steps like posting a goods receipt or posting an invoice can be executed in connected ERP system  20 . 
         [0017]    XML document  40  can be, for example, a Nota Fiscal eletrônica (NF-e) which is a legal document and an electronic invoice which contains tax and logistical information in the form of an XML document with a layout defined by the Brazilian government, The NE-e can involve both Business to Government (B2G) communication (requesting authorization of NF-e from tax administration before billing may take place) as well as Business to Business/B2B) or Business to Customer (B2C) communication (sending the authorized NF-e to the customer). Because incoming electronic documents can contain information which requires processing steps like checking the signature and authorization of an incoming legal document that can be executed in the GRC system  30  and information which belongs to different categories of documents in the ERP system like purchase order, delivery, goods movement or invoice, they can be viewed as a combination of different GRC and ERP processes representing a larger business process which can be automatically executed. 
         [0018]      FIG. 2  shows example system  10  in further detail. As mentioned above, system  10  includes an existing business system (or systems), for example ERP system  20 , that is connected to a separate control system, for example GRC system  30 . Certain content  35  of an incoming electronic document, for example XML document  40 , is extracted to determine which business process  45  is associated with the extracted content  35 . GRC system  30  extracts content  35  from the at least one XML document  40  according to an extraction table  50  in the GRC system  30 . The extraction table  50  defines the contents  35  to be extracted for each type of electronic document that is processed. GRC system  30  includes an extracted content table  60  which defines an associated business process  45  for each of the at least one extracted content  35  of the at least one XML document  40 . Therefore a comparison of at least one of the extracted content  35  to the extracted content table  60  is performed in GRC system  30  to determine which business process  45  should be implemented. 
         [0019]    For example, in the case of the Nota Fiscal eletrônica the business process determination depends mainly on the CFOP code which is defined by the Brazilian authorities and describes the type of business transaction. However, the meaning of a CFOP code can be changed by the authorities so that the system behavior has to be adjusted. This type of situation can be handled by the extracted content table  60  of GRC system  30 , which can be customized so as to adjust the business process determination to changes of the meaning of the CFOP codes or any other extracted content  35 . 
         [0020]    The GRC system  30  includes a business processes table  70  which defines the processing steps  75  that need to be implemented for each of the business processes  45  that can be implemented by system  10 . For example, the definition of the required processing steps  75  for possible business processes  45  like ‘Normal Purchasing’ or ‘Stock Transfer’ which would be implemented in the ERP system  20  or “Signature Authentication” that would be implemented in the GRC system. The business processes  45  can be categorized to be valid for certain document types. The definition and implementation of each of the processing steps  75  is contained in a process steps table  80  in the GRC system. The process steps table  80  defines certain attributes of each processing step  75 , for example, if the step can be carried out automatically or also manually and if the step is optional or mandatory within the business process  45 . 
         [0021]    The GRC system  30  includes a process flow sequence table  90  which defines the sequence of processing steps  75  for a certain business process  45  and if each of the processing steps  75  are to be executed automatically or have been deactivated. The GRC system  30  also includes a control process flow table  100  which defines the prerequisites necessary before implementing each processing step  75  in each business process  45 . Therefore with an extendable status concept this allows the control process flow table  100  to define which status of the preceding or subsequent steps are necessary to carry out a certain processing step  75  in a certain business process  45 . This allows the implementation of a linear process flow where a follow on step always depends on the preceding step as well as a more complex non linear process flow. 
         [0022]    A control parameters table  110  in GRC system  30  allows users to influence the processing steps  75 . Depending on the definition of the processing step  75  in process steps table  80  and the at least one extracted content  35 , for example the business partners involved in the business process  45 , the execution of a processing step  75  can be defined as automatically or manually implemented or can be deactivated, for example for a certain combination of business partners. Therefore, control parameters table  110  allows users to overwrite the criteria defined in the process flow sequence table  90 . 
         [0023]      FIG. 3  shows an example embodiment of the method for processing electronic documents. In step  300  at least one electronic document, for example XML document  40 , is received in GRC system  30 . In step  310  GRC system  30  extracts contents  35  from the at least one XML document  40  according to an extraction table  50  in the GRC system  30 . In step  320  the business process  45  associated with the at least one XML document  40  is determined by comparing the at least one extracted contents  35  to the extracted content table  60  in GRC system  30  to determine which business process  45  should be implemented. In step  330  the sequence of processing steps  75  associated with business process  45  is determined by comparing the determined business process  45  to business processes table  70  in GRC system  30  to determine which processing steps  75  need to be implemented for business process  45  and comparing the determined business process  45  to process flow sequence table  90  in GRC system  30  to determine the sequence of processing steps  75  for the determined business process  45 . In step  340  the sequence of processing steps  75  associated with business process  45  is implemented in a function module  120  in GRC system  30 , based on the definition of each processing step  75  in process steps table  80  in GRC system  30 . The implementing of the sequence of processing steps  75  proceeds by comparing the status of each processing step  75  in the sequence of processing steps for business process  45  to pre-requisites for implementing a next processing step  75  in the sequence of processing steps for business process  45  as defined in control process flow table  100  in GRC system  30 . In step  350  the method concludes. 
         [0024]    As mentioned above the implementation of business process  45  is governed by a function module  120  which acts as the central engine responsible for execution and control of the business process flow. 
         [0025]      FIG. 4  shows an example embodiment of the business process flow as executed by function module  120 . In step  400  the business process flow which is associated with the business process  45  assigned to the incoming electronic document, for example XML document  40 , is determined. In step  410  the first processing step  75  to be implemented is determined by examining the process flow sequence table  90  for the business process  45  assigned to XML document  40 . After the first processing step  75  to be implemented is determined, in step  420  a loop will be performed on the processing steps  75  beginning with the reading of the first step. In step  430  the prerequisites for the current processing step  75  are checked against the control process flow table  100  to evaluate the status of the prerequisites related to current processing step  75 . In step  440  the attributes of the current processing step  75  are checked to determine if the step is implemented automatically and if the step is deactivated for XML document  40  which is currently being processed. This information is stored on document level as result of the combination of the settings in table process flow sequence table  90  and the control parameters table  110 . If all prerequisites are fulfilled, the current processing step  75  implementation defined in process steps table  80  is called in step  450 . In step  460  the current processing step  75  is implemented in GRC system  30  by a GRC system application  130  in function module  120  or it is implemented in ERP system  20  by an ERP system application  140 . After the processing of the current processing step  75  the result will be stored on document level in step  470  and the status of the current processing step  75  will be updated. In step  480  the loop continues and an attempt is made to implement the next step if there is one. If no further processing is possible e.g. due to an error or the necessity of a user interaction the process stops in step  490  to be automatically continued at a later time. 
         [0026]      FIG. 5  shows an example user interface for the system  10  for processing electronic documents. The user interface includes a list of incoming electronic XML documents  40  (NF-e) in the top half of the interface with the first such document selected and highlighted. The bottom half of the interface includes the processing steps  75  to be executed for the selected XML document  40  as well as the status of each of the processing steps  75 . 
         [0027]      FIG. 6  shows examples of a user interface for the system  10  for processing electronic documents. The user interface includes an extracted content table  60  which defines an associated business process  15  for each of the at least one extracted content  35  of the XML document  40  in the top half of the interface with the first associated business process  15  selected and highlighted. The bottom half of the interface includes a control parameters table  110  that allows users to influence the processing steps  75 . Depending on the at least one extracted content  35 , for example the business partners or tax number associated with business process  45 , the execution of a processing step  75  can be defined as automatically or manually implemented or can be deactivated, for example for a certain combination of business partners. 
         [0028]    Shown below are schematic displays of example extracts of some of the tables used in an example business process  45 : ‘Normal Purchasing’. 
         [0029]    Process flow sequence table  90  used to define the sequence and certain attributes of the processing steps  75  associated with business process  45 : ‘Normal Purchasing’: 
         [0000]    
       
         
               
               
               
               
             
               
               
               
               
             
           
               
                   
               
               
                   
                   
                 Auto- 
                   
               
               
                   
                   
                 matic 
                 Step 
               
               
                   
                 Step 
                 pro- 
                 deacti- 
               
               
                 Description of the Step 
                 number 
                 cessing 
                 vated 
               
               
                   
               
             
             
               
                   
               
             
          
           
               
                 Check the signature of the legal document 
                 10 
                 Yes 
                 No 
               
               
                 Check the authorization of the legal 
                 20 
                 Yes 
                 No 
               
               
                 document 
               
               
                 Assign related purchase order items 
                 30 
                 Yes 
                 No 
               
               
                 Simulate postings to be done in the ERP 
                 40 
                 Yes 
                 No 
               
               
                 system to check if the process can be 
               
               
                 completed using the assigned purchase order 
               
               
                 Trigger the creation of a delivery in the ERP 
                 50 
                 Yes 
                 No 
               
               
                 system based on the assigned purchase order 
               
               
                 Inform the vendor to start the transport of 
                 60 
                 Yes 
                 No 
               
               
                 the goods 
               
               
                 Arrival of the goods and recording of the 
                 70 
                 No 
                 No 
               
               
                 accompanying document 
               
               
                 Check if the legal document is still 
                 80 
                 Yes 
                 No 
               
               
                 authorized 
               
               
                 Counting and controlling of the goods 
                 90 
                 No 
                 No 
               
               
                 Get the confirmation to accept the goods 
                 100 
                 No 
                 No 
               
               
                 Prepare the posting of the goods receipt 
                 110 
                 No 
                 No 
               
               
                 Post the goods receipt in the ERP system 
                 120 
                 Yes 
                 No 
               
               
                 Post the invoice receipt and the 
                 130 
                 Yes 
                 No 
               
               
                 corresponding legal document in the ERP 
               
               
                 system 
               
               
                   
               
             
          
         
       
     
         [0030]    As shown above, some of the processing steps  75  are defined to be executed automatically and others need a user interaction and therefore are not automatic. In the above example all the steps are defined to be active. However, some of the processing steps  75  can be deactivated if they are not mandatory for business process  45 : ‘Normal Purchasing’ as per the definition of each processing step  75  in process steps table  80 . To deactivate processing steps  75  that are not mandatory the control parameters table  110  can be used. 
         [0031]    For example, if the steps shown below are not mandatory for business process  45 : ‘Normal Purchasing’, as per the definition of each processing step  75  in process steps table  80 , then control parameters table  110  could be used to influence the sequence (of process flow sequence table  90  above) as shown below: 
         [0000]    
       
         
               
               
               
               
               
             
           
               
                   
               
               
                   
                 Business 
                 Business 
                   
                   
               
               
                 Description 
                 Partner 
                 Partner 
                 Automatic 
                 Step 
               
               
                 of the Step 
                 Sender 
                 Receiver 
                 processing 
                 deactivated 
               
               
                   
               
             
             
               
                 Counting and 
                 74544297000435 
                   
                 No 
                 Yes 
               
               
                 controlling of 
               
               
                 the goods 
               
               
                 Get the 
                 74544297000435 
                   
                 No 
                 Yes 
               
               
                 confirmation 
               
               
                 to accept 
               
               
                 the goods 
               
               
                 Prepare the 
                 74544297000435 
                   
                 No 
                 Yes 
               
               
                 posting of 
               
               
                 the goods 
               
               
                 receipt 
               
               
                   
               
             
          
         
       
     
         [0032]    Furthermore, the control parameters table  110  can change the settings of the process flow sequence for some steps depending on the business partners. As shown above, tax numbers are used which identify a business partner that may be involved in business process  45 : ‘Normal Purchasing’. 
         [0033]    A control process flow table  100  defines the pre requisites necessary before implementing each processing step  75  in business process  45 : ‘Normal Purchasing’, for example by defining which status of the preceding or subsequent steps are necessary to carry out a certain processing step  75  as shown below: 
         [0000]    
       
         
               
               
             
           
               
                   
               
               
                 Processing step to be 
                   
               
               
                 executed 
                 Prerequisites for the processing step 
               
               
                   
               
             
             
               
                 Assign related purchase order 
                 Can be executed if: 
               
               
                 items (step number 30) 
                 the authorization check in step 20 was 
               
               
                   
                 successful and there is no delivery created 
               
               
                   
                 so far (step 50) because the delivery 
               
               
                   
                 creation is based on the assigned 
               
               
                   
                 purchase order and therefore the 
               
               
                   
                 assignment should not be changed 
               
               
                   
                 anymore once the delivery was created 
               
               
                 Post the invoice receipt and 
                 Can be executed if: 
               
               
                 the corresponding legal 
                 the step itself was not yet executed or 
               
               
                 document in the ERP system 
                 the step itself was already executed but 
               
               
                 (step 130) 
                 with an error so that you can retry posting 
               
               
                   
                 after correction of the error and step 
               
               
                   
                 120 for posting the goods receipt was 
               
               
                   
                 carried out successfully. 
               
               
                   
               
             
          
         
       
     
         [0034]    As shown below, process steps table  80  can be used to define the implementation of the processing steps  75  and the step attributes, for example the processing steps  75  shown below are defined as being implemented in the function module  120  of GRC system  30 : 
         [0000]    
       
         
               
               
               
               
               
             
           
               
                   
               
               
                   
                 Imple- 
                 Can be 
                 Can be 
                   
               
               
                 Description of the 
                 mentation 
                 executed 
                 executed 
                 Can be 
               
               
                 step 
                 of the step 
                 manually 
                 automatically 
                 deactivated 
               
               
                   
               
             
             
               
                 Check 
                 function 
                 No 
                 Yes 
                 Yes 
               
               
                 Authorization 
                 module 
               
               
                 After NF-e 
               
               
                 Receipt 
               
               
                 Assign Purchase 
                 function 
                 Yes 
                 Yes 
                 Yes 
               
               
                 Order Items 
                 module 
               
               
                 Post the invoice 
                 function 
                 No 
                 Yes 
                 No 
               
               
                 receipt and the 
                 module 
               
               
                 corresponding 
               
               
                 legal document 
               
               
                 in the ERP 
               
               
                 system 
               
               
                   
               
             
          
         
       
     
         [0035]    Embodiments of the present invention are described in the context of a fully functional computer system, however those skilled in the art will appreciate that modules of the present invention are capable of being distributed in a variety of forms across a plurality of systems. Embodiments consistent with the invention may also include one or more programs or program modules on different computing systems running separately and independently of each other, while in their entirety being capable of performing business transactions in a large enterprise environment or in a “software on demand” environment. These programs or program modules may be contained on signal bearing media that may include: recordable type media such as floppy disks and CD ROMS, and transmission type media such as digital and analog communication links, including wireless communication links. 
         [0036]    The foregoing description is not exhaustive and does not limit embodiments of the invention to the precise forms disclosed. Modifications and variations are possible in light of the above teachings or may be acquired from the practicing embodiments consistent with the invention. For example, some of the described embodiments may include software and hardware, but some systems and methods consistent with the present invention may be implemented in software or hardware alone. Additionally, although aspects of the present invention are described as being stored in memory, one skilled in the art will appreciate that these aspects can also be stored on other types of computer-readable media, such as secondary storage devices, for example, hard disks, floppy disks, or CD-ROM; the Internet or other propagation medium; or other forms of RAM or ROM.

Technology Category: g