Conformance internal control management system based on process architecture supervision

Abstract

The invention belongs to the field of compliance internal control supervision, relates to a data analysis technology, and is used for solving the problems that an existing compliance internal control management system is difficult to accurately identify a flow with potential compliance risks and too long time consumption and cannot judge the rationality of a flow architecture design. The compliance internal control management system comprises a process architecture carding module, a process compliance management module, a process internal control management module and a process architecture optimization module. The process architecture carding module, the process compliance management module, the process internal control management module and the process architecture optimization module are in communication connection in sequence; the flow architecture carding module is used for carding the flow architecture according to service decomposition, and the flow compliance management module and the flow internal control management module are used for performing compliance internal control management on the flow according to the flow architecture; according to the method, the process with compliance internal control risks can be positioned, and the management efficiency is improved.

Description

Technical Field

[0001] The present invention belongs to the field of compliance internal control supervision, relates to data analysis technology, and specifically is a compliance internal control management system based on process architecture supervision. Background Art

[0002] Compliance internal control management includes compliance management and internal control management. Compliance management ensures the legal operation of an enterprise through measures such as formulating compliance policies, conducting compliance risk assessments, and compliance reviews. An enterprise conducts internal control management to achieve its business objectives and ensure the accuracy and reliability of accounting information. The goal of compliance internal control management is to prevent enterprise operation risks and promote the sustainable development of the enterprise.

[0003] In today's complex and ever-changing business environment, the business processes of enterprises are becoming increasingly complex, and the management difficulty is continuously increasing. Enterprises often have difficulty clearly sorting out business processes, resulting in chaotic logical relationships between processes, affecting work efficiency and quality. The decomposition of business is not fine enough, making it difficult to guarantee the rationality of the process architecture, thus affecting the overall efficiency and effect of the business.

[0004] Existing compliance internal control management systems often cannot accurately grasp the levels and quantities of processes, and thus it is difficult to accurately identify processes with potential compliance risks, cannot timely discover key processes that take too long, and also cannot judge the rationality of the process architecture design, resulting in difficulty in monitoring and managing high-risk processes in a targeted manner.

[0005] In view of the above technical problems, the present application proposes a solution. Summary of the Invention

[0006] The purpose of the present invention is to provide a compliance internal control management system based on process architecture supervision, which is used to solve the problems that existing compliance internal control management systems cannot accurately grasp the levels and quantities of processes, and thus it is difficult to accurately identify processes with potential compliance risks, cannot timely discover key processes that take too long, and also cannot judge the rationality of the process architecture design.

[0007] The technical problem that the present invention needs to solve is: how to provide a compliance internal control management system based on process architecture supervision that can accurately grasp the levels and quantities of processes, and thus can accurately identify processes with potential compliance risks, timely discover key processes that take too long, and can judge the rationality of the process architecture design.

[0008] The purpose of the present invention can be achieved through the following technical solutions:

[0009] A compliance internal control management system based on process architecture supervision, including a process architecture sorting module, a process compliance management module, a process internal control management module, and a process architecture optimization module; the process architecture sorting module, the process compliance management module, the process internal control management module, and the process architecture optimization module are communicatively connected in sequence;

[0010] The process architecture sorting module is used to sort the process architecture according to business decomposition: collect the existing business information of the enterprise, and according to the operation process of the actual business, decompose the business into a series of processes [M, n], where M is a positive integer representing the logical level of the process, and n is a positive integer representing the number of processes in the same logical level; draw a process logic diagram according to the processes after business decomposition;

[0011] The process compliance management module is used to analyze the compliance risks of processes according to the process architecture: obtain the predecessor number QQ and the successor number HJ of the process [M, n], calculate the complexity index FZ of the process [M, n] according to the predecessor number QQ and the successor number HJ, and mark the L1 processes [M, n] with the largest complexity index FZ as risk processes with compliance risks;

[0012] The process internal control management module is used to conduct internal control management on processes according to the process architecture: obtain the time consumption coefficient SH of the process [M, n], and mark the process [M, n] as a general process or a key process by judging the time consumption coefficient SH;

[0013] The process architecture optimization module is used to evaluate and optimize the process architecture of the business: obtain the input time difference RC and the output time difference CC of the process [M, n], and mark the process [M, n] as a standard process, an optimized process, or an abnormal process by comparing the input time difference RC, the output time difference CC with the preset time difference threshold SXmax.

[0014] Further, the process of drawing the process logic diagram also includes: marking the first process at the start of the business as the logical starting point of the business, and marking the last process at the end of the business as the logical ending point of the business. Then, the number of logical levels of the process is the maximum number of processes required to reach the logical ending point starting from the logical starting point, and the logical level of the process is determined by the logical level of the next process of this process.

[0015] Further, the process of obtaining the predecessor number QQ and the successor number HJ includes: Each process includes five basic elements: the execution department, the execution role, the required resources, the input, and the output; among them, the output is the result passed to the next-level process after a process completes execution, and the input is the result of the previous-level process received before a process starts execution; the previous-level process that a process [M, n] receives input from is marked as the predecessor process of this process [M, n], and the next-level process that the process [M, n] sends output to is marked as the successor process of this process [M, n]; the number of predecessor processes of the process [M, n] is marked as the predecessor number QQ, and the number of successor processes of the process [M, n] is marked as the successor number HJ.

[0016] Further, perform numerical calculations on the predecessor number QQ and the successor number HJ to obtain the complexity index FZ of the process [M, n]; mark the L1 processes [M, n] with the largest complexity index FZ as risk processes with compliance risks, incorporate all risk processes into the compliance risk library, and managers conduct real-time monitoring and management based on the risk processes in the compliance risk library.

[0017] Further, the process of obtaining the time consumption coefficient SH of the process [M, n] includes: during business execution, obtain the input times of all inputs of the process [M, n] according to the process logic diagram, and mark the earliest input time as the wake-up time HS of the process [M, n]; obtain the output times of all outputs of the process [M, n], and mark the latest output time as the termination time ZS; calculate the difference between the termination time ZS and the wake-up time HS to obtain the maximum execution duration SC of the process [M, n]; calculate the ratio of the maximum execution duration SC of the process [M, n] to the complexity index FZ to obtain the time consumption coefficient SH of the process [M, n].

[0018] Further, compare the time consumption coefficient SH with the preset time consumption threshold SHmax: If the time consumption coefficient SH is less than the time consumption threshold SHmax, it is determined that the time consumption of the process [M, n] meets the requirements, and this process is marked as a general process; if the time consumption coefficient SH is greater than or equal to the time consumption threshold SHmax, it is determined that the time consumption of the process [M, n] does not meet the requirements, and this process is marked as a key process; send all key processes to the mobile terminals of managers, and managers take corresponding measures to optimize the key processes.

[0019] Further, the process of obtaining the input time difference RC and the output time difference CC of the process [M, n] includes: obtain the input times of all inputs of the process [M, n] according to the process logic diagram and perform variance calculation to obtain the input time difference RC of the process [M, n]; obtain the output times of all outputs of the process [M, n] and perform variance calculation to obtain the output time difference CC of the process [M, n].

[0020] Further, compare the input time difference RC, the output time difference CC with the preset time difference threshold SXmax: If both the input time difference RC and the output time difference CC are less than or equal to the time difference threshold SXmax, it is determined that the architecture design of process [M, n] in the process logic diagram meets the requirements, and this process [M, n] is marked as a standard process; If only one of the input time difference RC and the output time difference CC is greater than the time difference threshold SXmax, it is determined that the architecture design of process [M, n] in the process logic diagram does not meet the requirements, and this process [M, n] is marked as an optimized process; If both the input time difference RC and the output time difference CC are greater than the time difference threshold SXmax, it is determined that the architecture design of process [M, n] in the process logic diagram does not meet the requirements, and this process [M, n] is marked as an abnormal process.

[0021] The present invention has the following beneficial effects:

[0022] 1. Through the decomposition of business by the process architecture sorting module and the drawing of the process logic diagram, the relationships and hierarchies between processes can be presented, providing a comprehensive and accurate process architecture view for the enterprise, helping to deeply understand the business process, improve management efficiency, and laying a foundation for compliance and internal control management;

[0023] 2. Through the analysis of process elements and the calculation of complex indexes by the process compliance management module, processes with compliance risks can be accurately located and incorporated into the risk library for real-time monitoring and management, greatly reducing the compliance risks of the enterprise;

[0024] 3. Through the calculation of process time consumption and the comparison of time consumption coefficients by the process internal control management module, key processes can be discovered and marked in a timely manner, facilitating optimization by management personnel, improving the efficiency and effect of business execution, and enhancing the internal control ability of the enterprise;

[0025] 4. Through the calculation of the variance of the process input and output time differences and the comparison with the threshold by the process architecture optimization module, processes that need to be optimized and reorganized can be accurately identified, making the process architecture more reasonable, better adapting to the development and changes of the enterprise, and improving the competitiveness of the enterprise. BRIEF DESCRIPTION OF THE DRAWINGS

[0026] In order to more clearly illustrate the technical solutions in the embodiments of the present invention or the prior art, the following will briefly introduce the drawings required for the description of the embodiments or the prior art. Obviously, the following drawings are only some embodiments of the present invention. For those of ordinary skill in the art, other drawings can be obtained based on these drawings without creative efforts.

[0027] Figure 1 It is the system block diagram of Embodiment 1 of the present invention;

[0028] Figure 2It is the method flow chart of the second embodiment of the present invention;

[0029] Figure 3 It is the schematic diagram of the process logic diagram in the first embodiment of the present invention. Detailed implementation manners

[0030] Next, the technical solutions of the present invention will be described clearly and completely in conjunction with the embodiments. Obviously, the described embodiments are only a part of the embodiments of the present invention, rather than all of the embodiments. Based on the embodiments of the present invention, all other embodiments obtained by those of ordinary skill in the art without making creative efforts belong to the scope of protection of the present invention.

[0031] Embodiment 1: As Figure 1 shown, a compliance and internal control management system based on process architecture supervision includes a process architecture sorting module, a process compliance management module, a process internal control management module, and a process architecture optimization module; the process architecture sorting module, the process compliance management module, the process internal control management module, and the process architecture optimization module are sequentially communicatively connected;

[0032] The process architecture sorting module is used to sort the process architecture according to business decomposition: collect the existing business information of the enterprise, and according to the operation process of the actual business, decompose the complex business into a series of processes [M, n], and the processes are connected according to the logical relationship, where M is a positive integer representing the logical level of the process, and n is a positive integer representing the number of processes in the same logical level; draw a process logic diagram according to the processes after business decomposition: mark the first process at the start of the business as the logical starting point of the business, and mark the last process at the end of the business as the logical ending point of the business. Then, the number of levels of the process logic is the maximum number of processes required to reach the logical ending point starting from the logical starting point, and the logical level of the process is determined by the logical level where the next process of this process is located;

[0033] Exemplarily, as Figure 3 shown, when decomposing a certain business into a series of processes, the process [1, 1] represents the logical starting point of the business, the processes [2, 1], [2, 2], and [2, 3] are all processes in the same logical level and are also the successors of the process [1, 1], the process [4, 1] represents the logical ending point of the business, and the processes [3, 1], [3, 2], [3, 3], and [3, 4] are all processes in the same logical level and are also the predecessors of the process [4, 1]; in the process logic diagram of this business, the number of levels of the process logic is the maximum number of processes required to reach the logical ending point starting from the logical starting point, which is 4 levels; the next process of the process [3, 1] is the process [4, 1], so it is at the 3rd level of the logical level;

[0034] The process architecture combing module decomposes the business and draws the process logic diagram, which can present the relationship and hierarchy between processes, providing enterprises with a comprehensive and accurate process architecture view, helping to deeply understand business processes, improve management efficiency, and lay the foundation for compliance and internal control management.

[0035] The process compliance management module is used to analyze the compliance risks of processes according to the process architecture: each process includes five basic elements: execution department, execution role, required resources, input and output; among them, the output is the result of a process passed to the next level process after the execution is completed, and the input is the result of the previous level process received before the execution of a process starts; the previous level process that a process [M, n] receives input is marked as the predecessor process of the process [M, n], and the next level process that the process [M, n] sends output is marked as the successor process of the process [M, n];

[0036] Obtain the number of predecessor processes of process [M, n] and record it as the predecessor number QQ, obtain the number of successor processes of process [M, n] and mark it as the successor number HJ; numerically calculate the predecessor number QQ and the successor number HJ through the formula FZ = k1*QQ+k2*HJ to obtain the complexity index FZ of process [M, n], where k1 and k2 are both proportional coefficients, and k1>k2>1; mark the L1 processes [M, n] with the largest complexity index FZ as risk processes with compliance risks, include all risk processes in the compliance risk library, and managers conduct real-time monitoring and management based on the risk processes in the compliance risk library; analyze process elements and calculate the complexity index through the process compliance management module, so as to accurately locate processes with compliance risks, and include them in the risk library for real-time monitoring and management, which greatly reduces the compliance risks of enterprises.

[0037] The process internal control management module is used to perform internal control management on processes according to the process architecture: during business execution, obtain the input times of all inputs of process [M, n] according to the process logic diagram, and mark the earliest input time as the wake-up time HS of process [M, n]; obtain the output times of all outputs of process [M, n], and mark the latest output time as the termination time ZS; calculate the difference between the termination time ZS and the wake-up time HS to obtain the maximum execution duration SC of process [M, n]; calculate the ratio of the maximum execution duration SC of process [M, n] to the complexity index FZ through the formula SH = SC / FZ to obtain the time consumption coefficient SH of process [M, n]; compare the time consumption coefficient SH with the preset time consumption threshold SHmax: if the time consumption coefficient SH is less than the time consumption threshold SHmax, it is determined that the time consumption of process [M, n] meets the requirements, and the process is marked as a general process; if the time consumption coefficient SH is greater than or equal to the time consumption threshold SHmax, it is determined that the time consumption of process [M, n] does not meet the requirements, and the process is marked as a critical process; send all critical processes to the mobile terminals of management personnel, and the management personnel take corresponding measures to optimize the critical processes; through the calculation of process time consumption and the comparison of time consumption coefficients by the process internal control management module, critical processes are discovered and marked in a timely manner, facilitating optimization by management personnel, improving the efficiency and effectiveness of business execution, and enhancing the internal control ability of the enterprise.

[0038] The process architecture optimization module is used to evaluate and optimize the process architecture of the business: obtain the input times of all inputs of process [M, n] according to the process logic diagram and calculate the variance to obtain the input time difference RC of process [M, n]; obtain the output times of all outputs of process [M, n] and calculate the variance to obtain the output time difference CC of process [M, n]; compare the input time difference RC and the output time difference CC with the preset time difference threshold SXmax: if both the input time difference RC and the output time difference CC are less than or equal to the time difference threshold SXmax, it is determined that the architecture design of process [M, n] in the process logic diagram meets the requirements, and this process [M, n] is marked as a standard process; if only one of the input time difference RC and the output time difference CC is greater than the time difference threshold SXmax, it is determined that the architecture design of process [M, n] in the process logic diagram does not meet the requirements, and this process [M, n] is marked as an optimized process; if both the input time difference RC and the output time difference CC are greater than the time difference threshold SXmax, it is determined that the architecture design of process [M, n] in the process logic diagram does not meet the requirements, and this process [M, n] is marked as an abnormal process; send all the optimized processes and abnormal processes to the mobile terminal of the management personnel, and the management personnel can take corresponding measures to split and reorganize the processes; through the variance calculation of the input and output time differences of the process by the process architecture optimization module and the comparison with the threshold, accurately identify the processes that need to be optimized and reorganized, make the process architecture more reasonable, be able to better adapt to the development and changes of the enterprise, and improve the competitiveness of the enterprise.

[0039] Embodiment 2: As Figure 2 shown, a compliance and internal control management method based on process architecture supervision includes the following steps:

[0040] Step 1: Collect the existing business information of the enterprise, and according to the operation process of the actual business, decompose the complex business into a series of processes [M, n], and draw a process logic diagram;

[0041] Step 2: Obtain the complexity index FZ of process [M, n], mark the L1 processes [M, n] with the largest complexity index FZ as risk processes with compliance risks and incorporate them into the compliance risk library;

[0042] Step 3: Obtain the time-consuming coefficient SH of process [M, n], compare the time-consuming coefficient SH with the preset time-consuming threshold SHmax, mark the process as a general process or a key process, and the management personnel take corresponding measures to optimize the key process;

[0043] Step 4: Obtain the input time difference RC and the output time difference CC of process [M, n], compare the input time difference RC and the output time difference CC with the preset time difference threshold SXmax, and mark the process as a standard process, an optimized process or an abnormal process.

[0044] A compliance and internal control management system based on process architecture supervision. When working, it collects the existing business information of an enterprise, decomposes complex business into a series of processes [M, n] according to the actual business operation process, and draws a process logic diagram; obtains the complexity index FZ of the process [M, n], marks the L1 processes [M, n] with the largest complexity index FZ as risk processes with compliance risks and incorporates them into the compliance risk library; obtains the time-consuming coefficient SH of the process [M, n], compares the time-consuming coefficient SH with the preset time-consuming threshold SHmax, marks the process as a general process or a key process, and managers take corresponding measures to optimize the key process; finally, by calculating and comparing the input time difference RC and the output time difference CC, the process is marked as a standard process, an optimized process or an abnormal process.

[0045] The above content is only an example and illustration of the structure of the present invention. Those skilled in the art of this technology can make various modifications or supplements to the described specific embodiments or use similar methods to replace them. As long as they do not deviate from the structure of the invention or exceed the scope defined by this claim book, they should belong to the protection scope of the present invention.

[0046] The above formulas are all obtained by collecting a large amount of data for software simulation and selecting a formula close to the true value. The coefficients in the formula are set by those skilled in the art according to the actual situation; for example: the formula FZ = k1 * QQ + k2 * HJ; those skilled in the art collect multiple groups of sample data and set corresponding complexity indexes for each group of sample data; substitute the set complexity indexes and the collected sample data into the formula, and any three formulas form a binary linear equation system, screen and take the average of the calculated coefficients to obtain the values of k1 and k2 as 2.44 and 1.79 respectively;

[0047] The magnitude of the coefficient is a specific value obtained by quantifying each parameter for subsequent comparison. Regarding the magnitude of the coefficient, it depends on the amount of sample data and the initial setting of the corresponding complexity index for each group of sample data by those skilled in the art; as long as it does not affect the proportional relationship between the parameter and the quantified value, such as the complexity index is proportional to the value of the predecessor number.

[0048] In the description of this specification, the description referring to terms such as "one embodiment", "example", "specific example", etc. means that the specific features, structures, materials or characteristics described in connection with the embodiment or example are included in at least one embodiment or example of the present invention. In this specification, the schematic expressions of the above terms do not necessarily refer to the same embodiment or example. Moreover, the specific features, structures, materials or characteristics described can be combined in a suitable manner in any one or more embodiments or examples.

[0049] The preferred embodiments of the present invention disclosed above are only used to help illustrate the present invention. The preferred embodiments do not describe all the details in detail, nor do they limit the invention to only the specific embodiments. Obviously, many modifications and variations can be made according to the content of this specification. These embodiments are selected and specifically described in this specification to better explain the principles and practical applications of the present invention, so that those skilled in the art can well understand and utilize the present invention. The present invention is only limited by the claims and their full scope and equivalents.

Claims

1. A compliance internal control management system based on process architecture supervision, characterized in that: It includes a process architecture combing module, a process compliance management module, a process internal control management module and a process architecture optimization module; the process architecture combing module, the process compliance management module, the process internal control management module and the process architecture optimization module are sequentially communicated and connected; The process architecture combing module is used to comb the process architecture according to business decomposition: collect the existing business information of the enterprise, and according to the actual business operation process, decompose the business into a series of processes [M, n], where M is a positive integer representing the logical level of the process, and n is a positive integer representing the number of processes in the same logical level; draw a process logic diagram according to the process after business decomposition; The process compliance management module is used to analyze the compliance risk of the process according to the process architecture: obtain the number of predecessors QQ and the number of successors HJ of the process [M, n], calculate the complexity index FZ of the process [M, n] according to the number of predecessors QQ and the number of successors HJ, and mark the L1 processes [M, n] with the largest complexity index FZ as risky processes with compliance risks; The process internal control management module is used to perform internal control management on the process according to the process architecture: obtain the time consumption coefficient SH of the process [M, n], and mark the process [M, n] as a general process or a key process by judging the time consumption coefficient SH; The process architecture optimization module is used to evaluate and optimize the process architecture of the business: obtain the input time difference RC and output time difference CC of the process [M, n], and mark the process [M, n] as a standard process, an optimized process or an abnormal process by comparing the input time difference RC, the output time difference CC and the preset time difference threshold SXmax.

2. According to claim 1, a compliance internal control management system based on process architecture supervision is characterized in that: The process of drawing a process logic diagram also includes: marking the first process at the beginning of the business as the logical starting point of the business, and marking the last process at the end of the business as the logical end point of the business. The number of logical levels of the process is the maximum number of processes required to reach the logical end point from the logical starting point, and the logical level of the process is determined by the logical level of the next process of the process.

3. A compliance internal control management system based on process architecture supervision according to claim 2, characterized in that: The process of obtaining the predecessor number QQ and the successor number HJ includes: each process includes five basic elements: execution department, execution role, required resources, input and output; among them, the output is the result passed to the next-level process after a process is completed, and the input is the result of the previous-level process received before a process starts to execute; the previous-level process that a process [M, n] receives input is marked as the predecessor process of the process [M, n], and the next-level process that the process [M, n] sends output is marked as the successor process of the process [M, n]; the number of predecessor processes of the process [M, n] is marked as the predecessor number QQ, and the number of successor processes of the process [M, n] is marked as the successor number HJ.

4. A compliance internal control management system based on process architecture supervision according to claim 3, characterized in that: The predecessor number QQ and the successor number HJ are numerically calculated to obtain the complexity index FZ of the process [M, n]; the L1 processes [M, n] with the largest complexity index FZ are marked as risk processes with compliance risks, and all risk processes are included in the compliance risk library. Managers conduct real-time monitoring and management based on the risk processes in the compliance risk library.

5. A compliance internal control management system based on process architecture supervision according to claim 4, characterized in that: The process of obtaining the time consumption coefficient SH of the process [M, n] includes: when the business is executed, the input time of all inputs of the process [M, n] is obtained according to the process logic diagram, and the earliest input time is marked as the wake-up time HS of the process [M, n]; the output time of all outputs of the process [M, n] is obtained, and the latest output time is marked as the termination time ZS; the termination time ZS and the wake-up time HS are calculated to obtain the maximum execution time SC of the process [M, n]; the maximum execution time SC of the process [M, n] is calculated by ratio with the complexity index FZ to obtain the time consumption coefficient SH of the process [M, n].

6. A compliance internal control management system based on process architecture supervision according to claim 5, characterized in that: Compare the time consumption coefficient SH with the preset time consumption threshold SHmax: if the time consumption coefficient SH is less than the time consumption threshold SHmax, it is judged that the time consumption of the process [M, n] meets the requirements, and the process is marked as a general process; If the time consumption coefficient SH is greater than or equal to the time consumption threshold SHmax, it is judged that the time consumption of process [M, n] does not meet the requirements, and the process is marked as a critical process; all critical processes are sent to the mobile phone terminal of the manager, and the manager takes corresponding measures to optimize the critical processes.

7. A compliance internal control management system based on process architecture supervision according to claim 6, characterized in that: The process of obtaining the input time difference RC and the output time difference CC of the process [M, n] includes: obtaining the input time of all inputs of the process [M, n] according to the process logic diagram and performing variance calculation to obtain the input time difference RC of the process [M, n]; obtaining the output time of all outputs of the process [M, n] and performing variance calculation to obtain the output time difference CC of the process [M, n].

8. A compliance internal control management system based on process architecture supervision according to claim 7, characterized in that: Compare the input time difference RC and the output time difference CC with the preset time difference threshold SXmax: if the input time difference RC and the output time difference CC are both less than or equal to the time difference threshold SXmax, then it is determined that the architectural design of the process [M, n] in the process logic diagram meets the requirements, and the process [M, n] is marked as a standard process; If only one of the input time difference RC and the output time difference CC is greater than the time difference threshold SXmax, it is determined that the architectural design of the process [M, n] in the process logic diagram does not meet the requirements, and the process [M, n] is marked as an optimized process; If the input time difference RC and the output time difference CC are both greater than the time difference threshold SXmax, it is determined that the architectural design of the process [M, n] in the process logic diagram does not meet the requirements, and the process [M, n] is marked as an abnormal process.

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