Compliance closed-loop traceability control method and system, storage medium and electronic equipment

Abstract

The invention relates to the technical field of enterprise compliance management, in particular to a compliance closed-loop traceability control method and system, a storage medium and electronic equipment, and provides a compliance closed-loop traceability control method in order to solve the problems of lack of compliance management systems, discovery of violation problems, imperfect rectification mechanisms and incapability of blocking management vulnerabilities. Comprising a preparation stage, a traceability stage and a closed loop stage, the preparation stage comprises sample extraction, sample description and abnormal point extraction, the traceability stage comprises suspected abnormal subject search, correlation confirmation and non-compliance item confirmation, and the closed loop stage provides corresponding rectification measures for feeding back non-compliance items. The method makes up for the lack of compliance management systems, can timely find problems and block management vulnerabilities, and improves the level of compliance operation management according to laws.

Description

Technical Field

[0001] The present invention relates to the technical field of enterprise compliance management, and in particular to a compliance closed-loop traceability control method, system, storage medium and electronic equipment. Background Art

[0002] The essence of compliance is the adherence to and obedience to national laws, regulations, regulatory requirements, industry standards, international treaties and rules, as well as the company's articles of association, relevant rules and regulations, etc. At present, there is a general poor awareness of compliance, a lack of compliance management system, and an imperfect mechanism for discovering and rectifying violations, which makes it impossible to plug management loopholes and improve the level of legal and compliant business management. Summary of the invention

[0003] Based on the above shortcomings of the prior art, the present invention proposes a compliance closed-loop traceability control method, including establishing a traceability model, including the following steps: forming a sample library, collecting abnormal events and non-compliant items to build a sample library, and providing a brief text description of the sample without losing key information;

[0004] Extract abnormal points, conduct logical and professional analysis on them, find out suspicious points that go against common sense, and list them by number;

[0005] Look for suspected abnormal subjects, and find the suspected abnormal subjects that caused the abnormal points according to laws, regulations, rules and logical reasoning;

[0006] Confirm the mapping relationship, analyze and determine the mapping relationship between the abnormal subject and the abnormal point, confirm the correlation, and provide feedback.

[0007] Furthermore, the control method further comprises the following steps: initiating sample extraction for compliance management items;

[0008] Describe the samples and extract outliers based on the traceability model, and confirm non-compliance issues through mapping relationships;

[0009] Provide feedback on non-compliance issues;

[0010] Propose corresponding corrective measures.

[0011] Furthermore, the establishment of the traceability model also includes sample library maintenance, regular collection of abnormal events, and regular collection of abnormal points of transfer of other application entities.

[0012] Furthermore, the control method also includes the following steps: regularly or irregularly extracting samples from previous compliance management projects for compliance traceability testing.

[0013] Furthermore, the compliance closed-loop traceability control method includes a preparation stage, a traceability stage, and a closed-loop stage. The preparation stage includes sample extraction, sample description, and anomaly point extraction. The traceability stage includes searching for suspected abnormal entities, confirming correlations, and confirming non-compliant matters. The closed-loop stage is to provide feedback on non-compliant matters and propose corresponding corrective measures.

[0014] A compliance closed-loop traceability control system, comprising a traceability model module, wherein the traceability model module comprises a sample module, which is used to collect samples of abnormal events and non-compliant items to build a sample library, and to provide a brief text description of the samples without losing key information;

[0015] The outlier extraction module is used to perform logical and professional analysis on the sample description, find out suspicious points that are contrary to common sense, and list them by number;

[0016] The abnormal subject search module is used to find the suspected abnormal subject that caused the abnormal point according to laws, regulations, rules and regulations and logical reasoning;

[0017] The mapping relationship confirmation module is used to analyze and determine the mapping relationship between the abnormal subject and the abnormal point, and provide feedback;

[0018] Furthermore, the control system further comprises an input module for acquiring a compliance target to be detected;

[0019] The analysis module obtains the compliance targets to be tested from the input module, compares and analyzes the compliance targets to be tested and the non-compliant items, and finds the root cause of the problem, which serves as the basis for evaluation, decision-making, and actual adjustment and improvement.

[0020] The feedback module obtains the analysis results of the abnormal subject search module in the traceability model module and feeds back the non-compliant items to the input module;

[0021] The control module is used to analyze the results of the analysis module and propose corresponding corrective measures.

[0022] On the other hand, an embodiment of the present invention further provides a computer-readable storage medium, wherein the computer-readable storage medium includes a stored program, wherein when the program is run, any one of the compliance closed-loop traceability control methods described in claims 1 to 4 is executed.

[0023] On the other hand, an embodiment of the present invention further provides an electronic device, comprising a memory and a processor, wherein the memory stores a computer program, and the processor is configured to execute any one of the compliance closed-loop traceability control methods described in claims 1 to 4 through the computer program.

[0024] Compared with the prior art, the effect of the present invention is reflected in that when the traceability subject initiates the compliance closed-loop traceability work of an abnormal event, the sample extraction, sample description and abnormal point extraction are completed in the preparation stage; in the traceability stage, the abnormal subject is determined and the non-compliant matters are clarified through abnormal point search and correlation confirmation; in the closed-loop stage, the abnormal subject proposes rectification measures for the non-compliant matters to complete the business closed loop, and the rectification situation is attributed to the traceability subject; the traceability subject comprehensively analyzes the problems existing in the compliance management according to the feedback from the abnormal subject, puts forward suggestions for improving the compliance management and feeds back to the compliance work responsible department, which promotes the completion of the compliance management closed loop. This method makes up for the lack of compliance management system, can timely discover problems, plug management loopholes, and improve the level of legal and compliant business management. BRIEF DESCRIPTION OF THE DRAWINGS

[0025] Figure 1 It is a flow chart of a compliance closed-loop traceability control method;

[0026] Figure 2 It is a schematic block diagram of a compliant closed-loop traceability control system module;

[0027] Figure 3 A flow chart of establishing a traceability model in a compliant closed-loop traceability control method; DETAILED DESCRIPTION

[0028] In order to make the objects and advantages of the present invention more clearly understood, the present invention is further described below in conjunction with embodiments; it should be understood that the specific embodiments described herein are only used to explain the present invention and are not used to limit the present invention.

[0029] The preferred embodiments of the present invention are described below with reference to the accompanying drawings. It should be understood by those skilled in the art that these embodiments are only used to explain the technical principles of the present invention and are not intended to limit the protection scope of the present invention.

[0030] It should be noted that, in the description of the present invention, terms such as "up", "down", "left", "right", "inside" and "outside" indicating directions or positional relationships are based on the directions or positional relationships shown in the drawings. This is merely for the convenience of description and does not indicate or imply that the device or element must have a specific orientation, be constructed and operated in a specific orientation. Therefore, it cannot be understood as a limitation on the present invention.

[0031] In addition, it should be noted that in the description of the present invention, unless otherwise clearly specified and limited, the terms "installed", "connected", and "connected" should be understood in a broad sense, for example, it can be a fixed connection, a detachable connection, or an integral connection; it can be a mechanical connection or an electrical connection; it can be a direct connection, or it can be indirectly connected through an intermediate medium, or it can be the internal communication of two components. For those skilled in the art, the specific meanings of the above terms in the present invention can be understood according to specific circumstances.

[0032] Combination Figures 1 to 3 ,The present invention provides a compliance closed-loop traceability control method including establishing a traceability model, including the following steps: forming a sample library, collecting abnormal events and non-compliant items to build a sample library, and providing a brief text description of the sample without losing key information;

[0033] Extract abnormal points, conduct logical and professional analysis on them, find out suspicious points that go against common sense, and list them by number;

[0034] Look for suspected abnormal subjects, and find the suspected abnormal subjects that caused the abnormal points according to laws, regulations, rules and logical reasoning;

[0035] Confirm the mapping relationship, analyze and determine the mapping relationship between the abnormal subject and the abnormal point, confirm the correlation, and provide feedback.

[0036] Maintain the sample library, regularly collect abnormal events, and regularly collect abnormal points of transfer of other application entities.

[0037] The control method further comprises the following steps: initiating sample extraction for compliance management items;

[0038] Describe the samples and extract outliers based on the traceability model, and confirm non-compliance issues through mapping relationships;

[0039] Provide feedback on non-compliance issues;

[0040] Propose corresponding corrective measures.

[0041] The establishing of the traceability model also includes that the control method further includes the following steps: regularly or irregularly extracting samples from previous compliance management projects for compliance traceability testing.

[0042] The compliance closed-loop traceability control method includes a preparation stage, a traceability stage, and a closed-loop stage. The preparation stage includes sample extraction, sample description, and abnormal point extraction. The traceability stage includes the search for suspected abnormal subjects, confirmation of correlation, and confirmation of non-compliant matters. The closed-loop stage is to feedback non-compliant matters and propose corresponding corrective measures.

[0043] A compliance closed-loop traceability control system, comprising a traceability model module, wherein the traceability model module comprises a sample module, which is used to collect samples of abnormal events and non-compliant items to build a sample library, and to provide a brief textual description of the samples without losing key information. The more types or numbers of abnormal events or non-compliant items in the sample library, the more abnormal points can be extracted from the traceability model, and the more accurate the abnormal subject search and mapping relationship confirmation can be;

[0044] The outlier extraction module is used to perform logical and professional analysis on the sample description, find out suspicious points that are contrary to common sense, and list them by number;

[0045] The abnormal subject search module is used to find the suspected abnormal subject that caused the abnormal point according to laws, regulations, rules and regulations and logical reasoning;

[0046] The mapping relationship confirmation module is used to analyze and determine the mapping relationship between the abnormal subject and the abnormal point, and provide feedback;

[0047] An input module is used to obtain compliance targets to be detected;

[0048] The analysis module obtains the compliance targets to be tested from the input module, and compares and analyzes the compliance targets to be tested and the non-compliant items in the sample module based on the data of the traceability model module, as a basis for evaluation, decision-making, and actual adjustment and improvement;

[0049] The feedback module obtains the analysis results of the analysis module and feeds back the non-compliant items to the input module;

[0050] The control module is used to analyze the results of the analysis module and propose corresponding corrective measures.

[0051] The present invention is not limited to the above-mentioned specific implementation modes. Various changes made by ordinary technicians in this field based on the above-mentioned concepts without creative work are all within the protection scope of the present invention.

Claims

1. A closed-loop tracing control method for compliance, characterized in that: The method includes establishing a traceability model, wherein the establishing the traceability model includes the following steps: Establish a sample library, collect abnormal events and non-compliant items to build a sample library, and provide a concise text description of the samples without losing key information; Extract abnormal points, conduct logical and professional analysis on them, find out suspicious points that go against common sense, and list them by number; Look for suspected abnormal subjects, and find the suspected abnormal subjects that caused the abnormal points according to laws, regulations, rules and logical reasoning; Confirm the mapping relationship, analyze and determine the mapping relationship between the abnormal subject and the abnormal point, confirm the correlation, and provide feedback.

2. The compliance closed-loop traceability control method according to claim 1 is characterized in that: The control method further comprises the following steps: Initiate sampling of compliance management projects; Describe the samples and extract outliers based on the traceability model, and confirm non-compliance issues through mapping relationships; Provide feedback on non-compliance issues; Propose corresponding corrective measures.

3. The compliance closed-loop traceability control method according to claim 1 is characterized in that: The establishment of the traceability model also includes sample library maintenance, regular collection of abnormal events, and regular collection of abnormal points of transfer of other application entities.

4. The compliance closed-loop traceability control method according to claim 2 is characterized in that: The control method also includes the following steps: regularly or irregularly extracting samples from previous compliance management projects for compliance traceability testing.

5. The compliance closed-loop traceability control method according to claim 2 is characterized in that: The compliance closed-loop traceability control method includes a preparation stage, a traceability stage, and a closed-loop stage. The preparation stage includes sample extraction, sample description, and abnormal point extraction. The traceability stage includes searching for suspected abnormal entities, confirming correlations, and confirming non-compliant matters. The closed-loop stage is to feedback non-compliant matters and propose corresponding corrective measures.

6. A compliant closed-loop traceability control system, characterized in that: It includes a traceability model module, which includes a sample module for collecting samples of abnormal events and non-compliant items to build a sample library, and providing a brief text description of the samples without losing key information; The outlier extraction module is used to perform logical and professional analysis on the sample description, find out suspicious points that are contrary to common sense, and list them by number; The abnormal subject search module is used to find the suspected abnormal subject that caused the abnormal point according to laws, regulations, rules and regulations and logical reasoning; The mapping relationship confirmation module is used to analyze and determine the mapping relationship between the abnormal subject and the abnormal point, and provide feedback.

7. The compliance closed-loop traceability control system according to claim 6 is characterized in that: The control system further comprises an input module for acquiring a compliance target to be detected; The analysis module obtains the compliance targets to be tested from the input module, compares and analyzes the compliance targets to be tested and the non-compliant items, and determines whether the problem is with the compliance targets themselves, other issues, or both, as a basis for evaluation, decision-making, and actual adjustments and improvements; The feedback module obtains the analysis results of the abnormal subject search module in the traceability model module and feeds the results back to the input module; The control module is used to analyze the results of the analysis module and propose corresponding corrective measures.

8. A computer-readable storage medium, characterized in that: The computer-readable storage medium includes a stored program, wherein the program executes any one of the compliance closed-loop traceability control methods described in claims 1 to 4 when running.

9. An electronic device, comprising a memory and a processor, characterized in that: A computer program is stored in the memory, and the processor is configured to execute any one of the compliance closed-loop traceability control methods described in claims 1 to 4 through the computer program.

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