Enterprise system and process compliance verification method and tool
Through a compliance verification method and tool for enterprise systems and processes, the problems of inefficient and high error rates in identifying external regulatory requirements and implementing compliance in the prior art are solved, and efficient and accurate compliance verification and management optimization are achieved.
Patent Information
- Application Number
- CN202510089216.8
- Authority / Receiving Office
- CN · China
- Patent Type
- Applications(China)
- Current Assignee / Owner
- Filing Date
- 2025-01-21
- Publication Date
- 2025-05-02
AI Technical Summary
When the prior art recognizes external regulatory requirements and implements compliance, there are problems such as inefficiency, high error rate and difficulty in delving into the daily operations of enterprises.
Provide a compliance verification method and tool for enterprise systems and processes. By obtaining enterprise systems and processes information, refining keywords, determining key terms, and conducting multiple verifications, ensuring that regulatory requirements are consistent with business practices.
It improves search efficiency and accuracy, ensures that the enterprise system and process are consistent with regulatory requirements, reduces compliance defects, avoids regulatory penalties, and guides the optimization of compliance management.
Smart Images
Figure CN119917655A_ABST
Abstract
Description
Technical Field
[0001] The present application relates to the field of information retrieval, and in particular to a compliance verification method and tool for enterprise systems and processes. Background Art
[0002] With the continuous development of the economy, the legal risks faced by enterprises are increasing, and the construction of corporate compliance systems has become an important requirement for the steady development of enterprises. Compliance management is an important guarantee for enterprises to operate in accordance with the law and prevent and control compliance risks, and it is an important support for enterprises to enhance their core competitiveness and high-quality development. However, it is not easy for enterprises to identify external regulatory requirements and implement compliance, that is, there is a lack of a scientific and effective method to judge whether they are compliant. Therefore, the present invention proposes an effective methodology-consistency verification of external regulations, systems and processes, and develops a compliance retrieval assistant to match it. By quickly and efficiently identifying regulatory requirements from external regulations, it evaluates the degree to which each enterprise complies with external regulatory regulations and internal systems in the practical operation of its business, so as to accurately judge whether the business situation of the enterprise complies with external regulatory regulations and whether the system and process design is scientific and effective.
[0003] There are several major problems with existing technologies for identifying external regulatory requirements and implementing compliance: First, it is inefficient. If you want to fully understand the regulatory requirements of external laws and regulations on systems and processes, you need to search for keywords in dozens or even hundreds of related documents one by one. A single document needs to search for a large number of keywords, and a document must be screened for at least a dozen keywords, which means more than a dozen repetitive mechanical operations such as searching, exporting, copying, and pasting; second, the error rate is high. The above work requires rigorous and meticulous work and strong concentration, and it is easy to miss something; third, it only stays at the level of matching external regulations and systems, and it is difficult to go deep into the daily operations of the enterprise. Summary of the invention
[0004] In view of this, this application provides a compliance verification method and tool for enterprise systems and processes to improve the efficiency and accuracy of retrieval, and through the verification of external regulations and systems, the verification of systems and processes, and the verification of external regulations and processes, ensure that various regulatory requirements and internal management requirements are consistent with business operations, so as to comply with regulations.
[0005] In a first aspect, the present application provides a compliance verification method for enterprise systems and processes, which is applied to a verification platform, wherein the verification platform is connected to a pre-established knowledge base containing external regulatory regulations, and the method comprises:
[0006] Obtain the target enterprise's system information and process information, sort them according to the system, process definition, semantic relevance, and combine the compliance department's professional understanding of the wording and wording of regulatory laws and regulations to extract several keywords related to the enterprise system and enterprise process regulatory requirements;
[0007] Determining corresponding key terms from the knowledge base according to the plurality of keywords, wherein the key terms include system requirement terms and process requirement terms;
[0008] The target enterprise's system information is verified according to the system requirement clauses to determine a first verification result; the target enterprise's process information is verified according to the process requirement clauses to determine a second verification result; the target enterprise's process information is verified according to the target enterprise's system information to determine a third verification result, and management optimization suggestions for the enterprise are determined based on the first, second, and third verification results.
[0009] Optionally, the knowledge base contains multiple sub-data blocks, and the external regulatory regulations and corporate systems are divided according to type, and each different type of external regulatory regulations and corporate systems are stored in different sub-knowledge bases, one-to-one correspondingly.
[0010] Optionally, after determining corresponding key terms from the knowledge base according to the plurality of keywords, the method further includes:
[0011] The key terms are exported in the form of Excel, wherein a hyperlink is attached to the key terms, and the original document of the key terms is determined through the hyperlink.
[0012] Optionally, verifying the target enterprise's system information according to the system requirement clause to determine a first verification result includes:
[0013] Determine the target system that the enterprise needs to establish according to the system requirement clauses, compare the target enterprise system information with the target system one by one, and determine the system information of the target enterprise system information that is omitted, deviated, or contradictory compared with the target system information as the first verification result;
[0014] Verifying the target enterprise process information according to the process requirement clause to determine the second verification result includes:
[0015] Determine the target process that the enterprise needs to establish according to the process requirement clauses, compare the target enterprise process information with the target process one by one, and determine the process information that is omitted, deviated, or contradictory compared to the target process information as the second verification result.
[0016] Optionally, verifying the target enterprise process information according to the target enterprise system information to determine a third verification result includes:
[0017] The target enterprise's system information is checked to determine the target chapters and articles involving operating procedures and approval paths, and the target chapters and articles are compared with the target enterprise's process information one by one. The target chapters and articles that are missing, deviated, or contradictory compared to the target enterprise's process information are determined as the third verification result.
[0018] The second aspect of the present application provides a compliance verification tool for enterprise systems and processes, which is applied to a verification platform, wherein the verification platform is connected to a pre-established knowledge base containing external regulatory regulations, and the tool includes:
[0019] The keyword determination unit is used to obtain the target enterprise's system information and target enterprise process information, sort the system and process definitions, and semantic relevance, and combine the compliance department's professional understanding of the wording and wording of regulatory laws and regulations to extract several keywords related to the enterprise system and enterprise process regulatory requirements;
[0020] A key clause determination unit, used to determine corresponding key clauses from the knowledge base according to the plurality of keywords, wherein the key clauses include system requirement clauses and process requirement clauses;
[0021] A verification unit is used to verify the target enterprise's system information according to the system requirement clauses to determine a first verification result; to verify the target enterprise's process information according to the process requirement clauses to determine a second verification result; to verify the target enterprise's process information according to the target enterprise's system information to determine a third verification result, and to determine management optimization suggestions for the enterprise based on the first, second, and third verification results.
[0022] Optionally, the knowledge base contains multiple sub-data blocks, and the external regulatory regulations and corporate systems are divided according to type, and each different type of external regulatory regulations and corporate systems are stored in different sub-knowledge bases, one-to-one correspondingly.
[0023] Optionally, after the key term determination unit determines corresponding key terms from the knowledge base according to the plurality of keywords, the tool further includes:
[0024] The clause export unit is used to export the key clause in the form of Excel, wherein a hyperlink is attached to the key clause, and the original document of the key clause is determined through the hyperlink.
[0025] Optionally, the verification unit verifies the target enterprise's system information according to the system requirement clause, and determines the first verification result includes:
[0026] Determine the target system that the enterprise needs to establish according to the system requirement clauses, compare the target enterprise system information with the target system one by one, and determine the system information of the target enterprise system information that is omitted, deviated, or contradictory compared with the target system information as the first verification result;
[0027] The verification unit verifies the target enterprise process information according to the process requirement clause, and determines the second verification result includes:
[0028] Determine the target process that the enterprise needs to establish according to the process requirement clauses, compare the target enterprise process information with the target process one by one, and determine the process information that is omitted, deviated, or contradictory compared to the target process information as the second verification result.
[0029] Optionally, the verification unit verifies the process information of the target enterprise according to the system information of the target enterprise, and determining the third verification result includes:
[0030] The target enterprise's system information is checked to determine the target chapters and articles involving operating procedures and approval paths, and the target chapters and articles are compared with the target enterprise's process information one by one. The target chapters and articles that are missing, deviated, or contradictory compared to the target enterprise's process information are determined as the third verification result.
[0031] In the embodiment provided in the present application, the verification platform is connected to a pre-established knowledge base containing regulatory external regulations. When verifying the systems and processes of the target enterprise, multiple keywords in the systems and processes of the target enterprise are extracted, and then key terms are determined from the knowledge base based on the keywords and compared one by one, so as to determine whether the systems and processes of the target enterprise need to be improved. This realizes cross-document retrieval of keywords, one-click export of hit terms, improves retrieval efficiency, and avoids omissions. Through the compliance verification of external regulations-systems-processes, compliance defects that deviate from regulatory requirements and internal management requirements in the execution of systems and business can be discovered in a timely manner, and hidden dangers can be eliminated in response to external inspections to avoid regulatory penalties. It can also provide refined guidance on the formulation of company systems and processes to ensure that the regulatory requirements of external regulations are effectively implemented. BRIEF DESCRIPTION OF THE DRAWINGS
[0032] Figure 1 A flow chart of the method provided in the embodiment of the present application;
[0033] Figure 2 A diagram of the tool structure provided for the embodiment of the present application;
[0034] Figure 3 A schematic diagram of the internal structure of a computer device provided in an embodiment of the present application. DETAILED DESCRIPTION
[0035] Exemplary embodiments will be described in detail herein, examples of which are shown in the accompanying drawings. When the following description refers to the drawings, unless otherwise indicated, the same numbers in different drawings represent the same or similar elements. The implementations described in the following exemplary embodiments do not represent all implementations consistent with the present application. Instead, they are merely examples of tools and methods consistent with some aspects of the present application as detailed in the appended claims.
[0036] The terms used in this application are for the purpose of describing specific embodiments only and are not intended to limit this application. The singular forms of "a", "said" and "the" used in this application and the appended claims are also intended to include plural forms unless the context clearly indicates other meanings. It should also be understood that the term "and / or" used herein refers to and includes any or all possible combinations of one or more associated listed items.
[0037] It should be understood that although the terms first, second, third, etc. may be used in the present application to describe various information, these information should not be limited to these terms. These terms are only used to distinguish the same type of information from each other. For example, without departing from the scope of the present application, the first information may also be referred to as the second information, and similarly, the second information may also be referred to as the first information. Depending on the context, the word "if" as used herein may be interpreted as "at the time of" or "when" or "in response to determining".
[0038] This application provides a compliance verification method for enterprise systems and processes. The technical solution of this application is described in detail with specific embodiments below. These specific embodiments can be combined with each other, and the same or similar concepts or processes may not be repeated in some embodiments.
[0039] like Figure 1 As shown, it is a flow chart of a compliance verification method for enterprise systems and processes provided by this application. The method is applied to a verification platform, and the verification platform is connected to a pre-established knowledge base containing external regulatory regulations. The process may include the following steps:
[0040] Step S101, obtain the target enterprise system information and target enterprise process information, sort according to the system, process definition, semantic relevance, and combine the compliance department's professional understanding of the wording and wording of regulatory laws and regulations to extract several keywords related to the enterprise system and enterprise process regulatory requirements.
[0041] In this embodiment, the target enterprise system information and target enterprise process information can be the target enterprise internal system and process documents. By identifying the core concepts that appear repeatedly in the documents, such as "compliance", "risk", "audit", etc., the keywords and phrases related to compliance are extracted from the documents. Semantic analysis tools or manual analysis are used to determine the correlation and connection between the keywords. The keywords are then sorted according to their importance and relevance. They can be sorted according to the frequency of occurrence, the strictness of relevant regulations, or the degree of impact on the operation of the enterprise. For example, the keyword list is: System, process, procedure, mechanism system, manage, establish, improve, strengthen, perfect, standardize, control, improve, specify, report, implement etc.
[0042] In another embodiment, the above-mentioned knowledge base includes multiple sub-data blocks, and the regulatory regulations are divided according to types, and each different type of regulatory regulations is stored in a different sub-knowledge base.
[0043] In this embodiment, by storing different types of external regulatory rules in different sub-knowledge bases, it is possible to switch freely between different sub-knowledge bases when using keywords in batches to retrieve and export multiple documents, thereby improving the retrieval speed.
[0044] Step S102, determining corresponding key terms from the knowledge base according to the plurality of keywords, wherein the key terms include system requirement terms and process requirement terms.
[0045] In this embodiment, after determining the above keywords, the keywords can be input on the search assistant, and then the corresponding key terms can be determined from the knowledge base. The search assistant can be an APP installed on the client or an electronic device, which is not limited in this application.
[0046] In another embodiment, after determining corresponding key terms from the knowledge base according to the plurality of keywords, the method further includes:
[0047] The key terms are exported in the form of Excel, wherein a hyperlink is attached to the key terms, and the original document of the key terms is determined through the hyperlink. This realizes the function of formatted output.
[0048] Step S103, verify the target enterprise's system information according to the system requirement clauses to determine a first verification result; verify the target enterprise's process information according to the process requirement clauses to determine a second verification result; verify the target enterprise's process information according to the target enterprise's system information to determine a third verification result, and determine management optimization suggestions for the enterprise based on the first, second, and third verification results.
[0049] In this embodiment, the method for determining the first verification result is as follows:
[0050] Determine the target system that the enterprise needs to establish according to the system requirement clauses, compare the target enterprise system information with the target system one by one, and determine the system information that is omitted, deviated, or contradictory compared to the target system information as the first verification result.
[0051] The method for determining the second verification result is as follows:
[0052] Determine the target process that the enterprise needs to establish according to the process requirement clauses, compare the target enterprise process information with the target process one by one, and determine the process information that is omitted, deviated, or contradictory compared to the target process information as the second verification result.
[0053] The method for determining the third verification result is as follows:
[0054] The target enterprise's system information is checked to determine the target chapters and articles involving operating procedures and approval paths, and the target chapters and articles are compared with the target enterprise's process information one by one. The target chapters and articles that are missing, deviated, or contradictory compared to the target enterprise's process information are determined as the third verification result.
[0055] After determining the first, second, and third verification results through the above method, the verification platform can provide optimization and solutions for the omitted, deviated, and contradictory process information and system information in each verification result, and generate a management optimization suggestion document so that the target enterprise can optimize according to the document.
[0056] So far, completed Figure 1 The process shown.
[0057] In the above embodiment, the verification platform is connected to a pre-established knowledge base containing external regulatory regulations. When verifying the systems and processes of the target enterprise, multiple keywords in the systems and processes of the target enterprise are extracted, and then key terms are determined from the knowledge base based on the keywords and compared one by one, so as to determine whether the systems and processes of the target enterprise need to be improved. This realizes cross-document keyword retrieval and one-click export of hit terms, improves retrieval efficiency, and avoids omissions. Through compliance verification of external regulations, systems, and processes, compliance defects in systems and business execution that deviate from regulatory requirements and internal management requirements can be discovered in a timely manner, and hidden dangers can be eliminated in response to external inspections to avoid regulatory penalties. It can also provide refined guidance on the formulation of company systems and processes to ensure that the regulatory requirements of external regulations are effectively implemented. .
[0058] like Figure 2As shown, the present application also provides a compliance verification tool for enterprise systems and processes, which is applied to a verification platform, and the verification platform is connected to a pre-established knowledge base containing external regulatory regulations. The tool includes:
[0059] The keyword determination unit 201 is used to obtain the target enterprise system information and the target enterprise process information, and determine a number of keywords of the target enterprise system information and the target and enterprise process information according to the relevance sorting of the system, process definition, and semantics, and in combination with the compliance department's professional understanding of the wording and wording of regulatory laws and regulations;
[0060] A key clause determining unit 202, configured to determine corresponding key clauses from the knowledge base according to the plurality of keywords, wherein the key clauses include system requirement clauses and process requirement clauses;
[0061] The verification unit 203 is used to verify the target enterprise's system information according to the system requirement clauses to determine a first verification result; to verify the target enterprise's process information according to the process requirement clauses to determine a second verification result; to verify the target enterprise's process information according to the target enterprise's system information to determine a third verification result, and to determine management optimization suggestions for the enterprise based on the first, second, and third verification results.
[0062] In another embodiment, the knowledge base includes a plurality of sub-data blocks, the regulatory rules are divided according to type, and each different type of regulatory rules is stored in a different sub-knowledge base.
[0063] In another embodiment, after the key term determination unit determines the corresponding key terms from the knowledge base according to the plurality of keywords, the tool further includes:
[0064] The clause export unit 204 is used to export the key clause in the form of Excel, wherein a hyperlink is attached to the key clause, and the original document of the key clause is determined through the hyperlink.
[0065] In another embodiment, the verification unit verifies the target enterprise's system information according to the system requirement clause, and determines the first verification result includes:
[0066] Determine the target system that the enterprise needs to establish according to the system requirement clauses, compare the target enterprise system information with the target system one by one, and determine the system information of the target enterprise system information that is omitted, deviated, or contradictory compared with the target system information as the first verification result;
[0067] The verification unit verifies the target enterprise process information according to the process requirement clause, and determines the second verification result includes:
[0068] Determine the target process that the enterprise needs to establish according to the process requirement clauses, compare the target enterprise process information with the target process one by one, and determine the process information that is omitted, deviated, or contradictory compared to the target process information as the second verification result.
[0069] In another embodiment, the verification unit verifies the target enterprise process information according to the target enterprise system information, and determining the third verification result includes:
[0070] The target enterprise's system information is checked to determine the target chapters and articles involving operating procedures and approval paths, and the target chapters and articles are compared with the target enterprise's process information one by one. The target chapters and articles that are missing, deviated, or contradictory compared to the target enterprise's process information are determined as the third verification result.
[0071] The above-mentioned embodiment of the present invention provides a compliance verification method for enterprise systems and processes, and based on this method provides a compliance verification tool for enterprise systems and processes. Through the above-mentioned method and tool, the present application can verify the compliance of external regulations, systems and processes, and can promptly discover compliance defects in systems and business execution that deviate from regulatory requirements and internal management requirements, thereby eliminating hidden dangers in response to external inspections and avoiding regulatory penalties.
[0072] This embodiment also discloses a computer device, such as Figure 3 As shown, the computer device includes a processor and a memory, wherein the memory stores at least one instruction, and the at least one instruction is loaded and executed by the processor to implement any of the above-mentioned compliance verification methods for enterprise systems and processes.
[0073] In addition, in the implementation of the compliance verification tool for enterprise systems and processes in the above-mentioned example, the logical division of each program module is only an example. In actual application, the above-mentioned functions can be assigned to different program modules as needed, for example, for the configuration requirements of the corresponding hardware or the convenience of software implementation. That is, the internal structure of the compliance verification tool for enterprise systems and processes is divided into different program modules to complete all or part of the functions described above.
[0074] The above description is only a preferred embodiment of the present application and is not intended to limit the present application. Any modifications, equivalent substitutions, improvements, etc. made within the spirit and principles of the present application shall be included in the scope of protection of the present application.
Claims
1. A compliance verification method for enterprise systems and processes, characterized in that: Applied to a verification platform, the verification platform is connected to a pre-established knowledge base containing external regulatory rules, the method comprising: Obtain the target enterprise's system information and target enterprise's process information, sort them according to the relevance of system, process definition and semantics, and extract several keywords related to the enterprise system and enterprise process supervision requirements by identifying the core concepts that appear repeatedly in the target enterprise's system information and target enterprise's process information; Determining corresponding key terms from the knowledge base according to the plurality of keywords, wherein the key terms include system requirement terms and process requirement terms; The target enterprise's system information is verified according to the system requirement clauses to determine a first verification result; the target enterprise's process information is verified according to the process requirement clauses to determine a second verification result; the target enterprise's process information is verified according to the target enterprise's system information to determine a third verification result, and management optimization suggestions for the enterprise are determined based on the first, second, and third verification results.
2. The method according to claim 1, characterized in that The knowledge base includes a plurality of sub-data blocks, and the regulatory regulations are divided according to types, and each different type of regulatory regulations is stored in a different sub-knowledge base.
3. The method according to claim 1, characterized in that After determining corresponding key terms from the knowledge base according to the plurality of keywords, the method further includes: The key terms are exported in the form of Excel, wherein a hyperlink is attached to the key terms, and the original document of the key terms is determined through the hyperlink.
4. The method according to claim 1, characterized in that: Verifying the target enterprise's system information according to the system requirement clauses and determining the first verification result includes: Determine the target system that the enterprise needs to establish according to the system requirement clauses, compare the target enterprise system information with the target system one by one, and determine the system information of the target enterprise system information that is omitted, deviated, or contradictory compared with the target system information as the first verification result; Verify the target enterprise process information according to the process requirement clauses, and determine the second verification result including: Determine the target process that the enterprise needs to establish according to the process requirement clauses, compare the target enterprise process information with the target process one by one, and determine the process information that is omitted, deviated, or contradictory compared to the target process information as the second verification result.
5. The method according to claim 1, characterized in that Verifying the target enterprise process information according to the target enterprise system information to determine the third verification result includes: The target enterprise's system information is checked to determine the target chapters and articles involving operating procedures and approval paths, and the target chapters and articles are compared with the target enterprise's process information one by one. The target chapters and articles that are missing, deviated, or contradictory compared to the target enterprise's process information are determined as the third verification result.
6. A compliance verification tool for enterprise systems and processes, characterized by: Applied to a verification platform that is connected to a pre-established knowledge base containing external regulatory rules, the tool includes: A keyword determination unit is used to obtain the target enterprise system information and the target enterprise process information, sort them according to the relevance of the system, process definition, and semantics, and extract several keywords related to the enterprise system and enterprise process supervision requirements by identifying the core concepts that appear repeatedly in the target enterprise system information and the target enterprise process information; A key clause determination unit, used to determine corresponding key clauses from the knowledge base according to the plurality of keywords, wherein the key clauses include system requirement clauses and process requirement clauses; A verification unit is used to verify the target enterprise's system information according to the system requirement clauses to determine a first verification result; to verify the target enterprise's process information according to the process requirement clauses to determine a second verification result; to verify the target enterprise's process information according to the target enterprise's system information to determine a third verification result, and to determine management optimization suggestions for the enterprise based on the first, second, and third verification results.
7. The tool according to claim 6, characterized in that The knowledge base includes a plurality of sub-data blocks. The external regulatory rules and enterprise systems are divided according to types. Each different type of external regulatory rules and enterprise systems are stored in different sub-knowledge bases, one-to-one correspondingly.
8. The tool according to claim 6, characterized in that After the key term determination unit determines the corresponding key terms from the knowledge base according to the plurality of keywords, the tool further includes: The clause export unit is used to export the key clause in the form of Excel, wherein a hyperlink is attached to the key clause, and the original document of the key clause is determined through the hyperlink.
9. The tool according to claim 6, characterized in that The verification unit verifies the target enterprise's system information according to the system requirement clauses, and determines the first verification result includes: Determine the target system that the enterprise needs to establish according to the system requirement clauses, compare the target enterprise system information with the target system one by one, and determine the system information of the target enterprise system information that is omitted, deviated, or contradictory compared with the target system information as the first verification result; The verification unit verifies the target enterprise process information according to the process requirement clause, and determines the second verification result includes: Determine the target process that the enterprise needs to establish according to the process requirement clauses, compare the target enterprise process information with the target process one by one, and determine the process information that is omitted, deviated, or contradictory compared to the target process information as the second verification result.
10. The tool according to claim 6, characterized in that The verification unit verifies the target enterprise process information according to the target enterprise system information, and determines the third verification result includes: The target enterprise's system information is checked to determine the target chapters and articles involving operating procedures and approval paths, and the target chapters and articles are compared with the target enterprise's process information one by one. The target chapters and articles that are missing, deviated, or contradictory compared to the target enterprise's process information are determined as the third verification result.