Prior Art Discussion In recent years there has been much progress in development of work now engines tc manage flow of work represented as documents. An example is the system described in Japanese Patent Specification No. JP11025199 (NEC), in which the circulation order of an electronic document is defined in a hierarchy.

This approach has arisen because of the need for electronic document management in organisations such as insurance companies or financial institut :. ons, and indeed the : approach has been very effective for the intended purpose. Such work flow engine ; typically reside in what are known as electronic document management : (EDMS).

However, a problem which such organisations encounter is achieving effective : control of processes which are not document related and obtaining dynamic management reports indicating process status. An example o : ~ such a process i Corrective Action Reporting in which an organisation icentifies a problem requiring correction and implements a process to follow it through to solving tht problem and implementing appropriate preventative actions.

Objects of the Invention

There is therefore a need for a management system for use by organisationshaving EDMS systems which allows management of such processes in a simple and effective manner.

SUMMARY OF THE INVENTION According to the invention, there is provided a management system for contrclling performance of a work flow process, the system comprising:- create means for creating a database process record in which data defines cl sequence of work stages and a person responsible for each stage, and the recorcl further comprises data fields for receiving work performance data inputted by said persons; submit means for submitting the record to a work flow engine of a separate electronic document management system as a document to be processed in ii work flow instance with sequential mailing to said persons; processing means for setting access rights to the record which enable write : only by one of said persons when a message is currently in his or her mail. box. namely an owner, and for allowing the mail engine transmit a message to the person responsible for a next work stage when editing is complete ; and reporting means for interrogating a process record database and generating status reports according to the current stages of the process records.

In one embodiment, the create means comprises means for preventing deletion of a work stage definition to ensure integrity of a process lifecycle.

In one embodiment, the create means comprises means for storingaplurali:yof process record templates, each defining persons responsible for the work stages.

In one embodiment, the create means comprises means for instantiating a template as a work flow router associated with a dummy document and with a process record.

In one embodiment, the submit means comprises means for submitting the router tc the work flow engine and for separately storing the process record in a database within the management system.

In one embodiment, the processing means comprises means for trapping an AP : I method of the work flow engine when a viewing or an editing function is selected by an owner, and for retaining control of the editing and viewing functions until editing is complete.

In one embodiment, the processing means comprises means for allowing a process : be terminated as a state arising from a stage.

In another embodiment, the processing means comprises means for capturing explanatory text from its owner to the process record before termination.

In one embodiment, the processing means comprises means for allowing terminatior only for a stage which has a pre-set termination state.

In a further embodiment, the processing means comprises means for storing process records in a folder associated in a one-to-one relationship with the current ; stage or state.

In one embodiment, the processing means comprises means for dynamically building a virtual document on-the-fly from a process record when requested by an owne ; when a message is in his or her mailbox.

In one embodiment, the virtual document is an HTML document In one embodiment, the create means and the processing means comprise means fo : writing document relational objects to the process record, said objects relating the process record to a document in a storage structure of the electronic document management system.

In one embodiment, the create means and the processing means comprise means fo,-- providing a view in the document storage structure and for allowing selection ancl access to related documents.

In another embodiment, the create means comprises means for setting access control levels in the process record, in which there is data identifying in erested persons and data setting an access permission for each of said interested persons.

In one embodiment, the interested persons data comprises identifiers of the person responsible for each work stage, all interested persons, and a group which is a sub-sel : of all interested persons.

In one embodiment, the processing means comprises mean ; for automaticall) updating the access control levels when an owner has completed editing.

In one embodiment, the processing means comprises means for capturing dates fb ; stages and the reporting means comprises means for generating historical report : according to interrogation of said dates.

In another embodiment, the system comprises means for operating according tc object-oriented methodology, in which each process is an object, and a ma ;. Ibo message is a graphical view of an object.

In one embodiment, the process record database is managed using embedded SQI code.

In one embodiment, the process is a corrective action management process.

In the latter embodiment, the stages preferably include submit a corrective a, tior process, investigate the process, implement corrective action, and implement preventative action.

According to another aspect, the invention provides a computer program product ; comprising software code whereby a system as defined above is completed when the product is loaded into the memory of a digital computer.

DETAILED DESCRIPTION OF THE INVENTON Brief Description of the Drawings The invention will be more clearly understood from the following descripticn o some embodiments thereof, given by way of example only with reference to thf : accompanying drawings in which:- Fig. 1 is a schematic representation of a management system of the invention and the manner in which it interfaces with an EDMS; Fig. 2 is diagram illustrating stages and states implemented by the system; and

Figs. 3 to 9 inclusive are display screens illustrating operation of the system.

Description of the Embodiments Referring to the drawings, and initially to Fig. 1, there is shown a corrective action management system 1 of the invention. The system 1 is for interaction with a separate and external electronic document management system (EDMS) 2. The system 1 comprises a create function 5 which creates a database corrective action record (CAR). This comprises data defining a sequence of work stages and a person responsible for each stage. It also includes data fields for subsequently receiving work performance data inputted by these persons.

In more detail, the create function 5 comprises SQL and EDMS APIs rvritten tc implement object-orientated methodology and embedded SQL code for management of a database 6.

The system 1 manages lifecycle stages and states, shown in Fig. 2. The stages are !-. follows:- 21 : submit 22: investigate, 23: corrective action, 24: review corrective action, 25: preventative action, 26: review preventative action In this specification, a"stage"is defined as a work flow operation in response to ar input by a pre-defined person responsible for that operation. At any one point in time there is only one person responsible and who has access rights to make the input

for the operation. That person is referred to as the"owner". The stages 21 to 25 are implemented by the submit and processing functions 7 and 9.

The lifecycle states arise from the stages. These are:- a discard state 30 which arises from the investigate stage 22, and a close state 31 which arises from the corrective action review stage 24 o : from the review stage 26.

Each of the stages 21 to 26 and of the states 30 and 31 have an associated storage directory or folder. The corrective action record is stored in the current stage or state folder.

The system 1 comprises a set of stored templates which provide a lifecycle model ol the stages 21 to 26 and the states 30 and 31. This is because all of the template include these stages and states. An instance of a template is a work flow route : associated with a dummy (empty) document.

The create function 5 generates a corrective action record, the data structure of which is set out in the table below.

Table-Corrective Action Record Data Object Name Corraction Object No. Cacomments Title Careviewer Subject Carevcomm Initiator Parespons Ownername Prevaction Owner_permit Pacomments group_name Pareviewer group_permit Parevcomm world_permitForwarded discard text Catargetdate prevactionreq Patargetdate priority Inv signoff date status Ca rev_signoff_date source dept Pa_signoff_date response dept Parevsignondate problemdesc Problem type manager Auditnumber investigator inv_comments cause response name An individual corrective action record (CAR) is a single object which has a name and a number. The create function 5 generates a screen which automatically includes the name of the initiator according to that person's user name and ID. Thc : record is also automatically populated with the date that the CAR is created. The screen allows the initiator to select a"source of non-conformancc"from a (trop down list. Options are, for example, customer complaint, employee suggestion product non-conformance, or supplier non-conformance. The initiator then select "responsible department"within the organisation from a drop-lisc. The : selected provide default data in which the identity of the functional manager i

automatically populated. However, alternative data may be inputted by the initiator As shown in Fig. 3, the initiator is prompted to input descriptive text and to selec data such as the customer number, the customer name and the type of problem.

Problems of this type are also displayed for other sources of non-conformance such as those listed above.

The system 1 also automatically populates the CAR with additional data, as showr in the Table above. An important set of data generated by the create function 5 are access control levels (ACLs). There is an ACL for each stage. Each ACL comprise a permission for each of the owner, a group, and the world. The owner is thai : person responsible who is currently authorised to progress the corrective action process. The circumstances in which a person is for the time being in this role are described in more detail below. The world is the maximum-sized group of people : within the organisation who can access the system 1. A group is a subset of the world, such as a particular department. Thus, as shown in the Table above, there a name and a permission level for each of the owner, the group, and the world.

Data such as the relevant manager in the department involved and the identity cf the source department are automatically populated. At the create stage, the initiato : inputs some additional data as illustrated in Fig. 3.

The create function 5 creates a CAR, in which many of the fields shown in the Table above are populated. Creation of a process also involves instantiating a template : selected by the initiator. This instance is an EDMS work flow router associated with a dummy (empty) document. This router user EDMS work flow engine criteria tc :. define the persons responsible for all of the stages 21 to 26.

The submit function 7 operates in response to a person responsible for the submil : stage 21 (owner) to submit a corrective action work flow process to a work flo A ;- engine 8 of the EDMS 2. The submit operation involves transferring the work flow

engine 8, as it"sees"a conventional router and the router identifies a sequence ol addressee persons (persons responsible) and a reference to a document. However, the document is a dummy document and the process is implemented instead by the : router in combination with the CAR in the database 6.

The work flow engine 8 then operates in a conventional manner by transmitting a message containing a pointer to the dummy document and ro the CAR to the mailbox of the person responsible for the investigate stage 22.

The system processing function 9 is programmed to automatically trap a method ir the EDMS 2 via an API whereby when the person responsible selects view or redit options for the message. The system 1 takes over control using the processing ; function 9. In this way, the processing of the CAR is centred around the inbox of the persons responsible for the various stages. The person responsible for a current stage and whose inbox contains such a message is referred to as"cwner"for the time being.

In this embodiment, the first stage is the investigation stage and a screen such as that shown in Fig. 4 is generated. The CAR includes a"Discard"field to allow owner a ! the investigation stage to discard the corrective action. This brings the process to the discard state 30 shown in Fig. 2, and the CAR is written to the discard folder. The investigator may select a priority level from a drop-down list and may inpu 1- comments in a text box. If the investigator selects a"view"option, the system 1 automatically generates an HTML document displaying the CAR details. This i :' generated on-fly and exists only during the viewing session and so is referred to as a "virtual"document. Fig. 5 illustrates an example of an HTML document which i created from the CAR.

The system 1 is programmed to access a document storage structure within the EDMS 2 whereby it may retrieve documents and attach them to the CAR by writing relational objects to the CAR.

The"FYI"option allows the owner to send a message to the relevant funct. onal manager as a way of informing him or her of the progress of a corrective action.

The"save"command allows the owner to transfer the process to the next stage namely the corrective action stage 23. In the corrective action stage 23, the owne, wne-- receives a message in his or her mailbox and again the processing function 9 i : ake : over processing of the record at that stage. As shown in Fig. 6 the"priority field"i : populated automatically, as defined in the investigation stage. The"Responsibility' field is automatically populated with the owner, namely the person responsible fo the corrective action as pre-defined. This person may input a target date for closing the preventative action. The type of corrective action may be selected from a drop- down list and the owner may enter"Comments"as free text. Again, the owner may view the CAR data, may attach documents, or may send an FYI notification. The "Save"button transfers control over to the next stage.

As shown in Fig. 7, the next stage arises when the person responsible for reviewing the corrective action receives a message in his or her mailbox and a screen such :' that shown in Fig. 7 is displayed. The date for the review is automatically written and the reviewer may input"Comments"as free text. The owner inputs a"Targei Date"for closing the process. An important aspect of the review correction action stage 24 is that the owner may select whether there should be preventative action or the process should move to the closed state 31. The preventative action and associated stages are a fixed part of the template, however, the cycle may be terminated at this stage when preventative action is not appropriate. These :. may only be performed by the person responsible for reviewing the corrective action

The selection is made by clicking one of the radio buttons Yes or No as shown in the bottom left hand comer or the display screen of Fig. 7.

The next stage is definition of the preventative action 25 and this is performed by th (., person responsible for this stage, as defined during creation of the CAR. As shown in Fig. 8 a"Date"field is automatically populated with the date that the preventative action is defined. The"Target Date"is the date for closing the preventative action The"Type of Preventative Action"is selected from a drop-dov-n list, and the "Comments"text box is used by the owner to enter free text. The owner may click a "Save"button, causing the workflow engine 8 to take over control again and route message to the person responsible for the review preventative action stage 26.

This owner is presented with a screen as shown in Fig. 9, and again the date and the person responsible are automatically written by the system, and the system receive : free text comments. When the corrective action data is saved by pressing the"Save' button it is automatically closed by the system and no further editing of the CAR i : allowed. The CAR is automatically written to the Closed folder associated with the : state 31.

It will be appreciated that progression of the corrective action hrcugh the va : fioul stages results in population of the CAR fields illustrated in the Table. The corrective action may be terminated early at some of the stages, however, this is carried out in a strictly controlled manner with only the owner being allowed to : erminate and being required to input explanatory text. As the corrective action moves from one stage tc another the system automatically updates the permissions for the next stage according to the ACL data for that stage. This is set by default from the template and inputs from the initiator.

Referring again to Fig. 1, a reporting function 11 generates management reports by interrogating the database 6. The CARs at any point in time contain the up-to date

information on all of the processes being managed. There is no need for an intermediate database or for processing the data from the CARs in any significant manner. The reporting function 11 is coded with Visual Basic to generate line : graphs and bar charts indicating the current process stages. The reporting function 11 generates historical reports by simply reading from those fields stcring data for the stages and data inputted at those stages. Thus, the CAR itself provides both current and historical data. The data is very quickly accessed because each stage and state has an associated storage folder so that the CAR locations inherently provide basic current stage data. The fields within the CARs provide the historical data.

The invention is not limited to the embodiments described, but may be varied in construction and detail within the scope of the claims.