Intelligent audit portrait method and system for power grid enterprise

Abstract

The invention relates to the technical field of intelligent auditing, and discloses an intelligent auditing portrait method and system for a power grid enterprise, and the method comprises the steps: collecting the auditing result data of an auditing object; processing and converting the audit result data to form a first index describing audit object features; in combination with an audit portrait scene, key indexes are obtained through weight distribution, and a first analysis mechanism is established; and generating an audit portrait, and carrying out dynamic tracking and risk early warning on the key indexes. According to the method, from the perspective of quantitative and qualitative analysis, a specific'portrait 'is given for visual reflection of an operation and management result of a discovery problem based on economic responsibility auditing, a representation mode such as a'radar map' and the like is used as a tool to present a portrait result, and the last operation and auditing data is used for portraying before an auditing group enters a point; the auditing group can be guided to find weak links in time, auditing time is saved, and auditing efficiency is improved.

Description

Technical Field

[0001] The present invention relates to the field of smart audit technology, and specifically to a smart audit profiling method and system for power grid enterprises. Background Art

[0002] Under the current model, the results of economic responsibility audits are mainly presented in the form of audit reports themselves. In terms of the application of results, they rely more on the rectification of the problems found. Some of them can realize the functions of risk warning and prevention and control, but as far as the economic responsibility audit itself is concerned, the audit results cannot be presented and applied in an intuitive form. This determines that the current audit results mainly show a collection of point-like problems, and have not yet formed a comprehensive evaluation of the audited objects and units from point to surface. At the same time, the existing evaluation has the following problems:

[0003] First, the evaluation content is not comprehensive and the evaluation criteria are not clear. When implementing audit projects in accordance with relevant national laws, regulations and company rules and regulations, the economic responsibilities of leaders are mainly determined by verifying the financial indicators and business performance of the audited leaders during their tenure. There is little coverage of the changing trends of the company's financial and business conditions, the company's sustainable development, and the resolution of historical problems. Audit evaluation is mainly based on financial revenue and expenditure. There is no clear way to conduct audit evaluation, which evaluation indicators to use, and what standards to use to set indicators. The lack of a comprehensive evaluation system is not conducive to the appointment and management of leaders and the long-term development of the company.

[0004] Second, the evaluation method is unscientific and the evaluation standards are not unified. The economic responsibility audit evaluation is a complex and comprehensive task. At present, an indicator evaluation system that matches its economic responsibilities has not been established. The tenure economic responsibility audit evaluation mainly evaluates the performance of the person in charge during his tenure by assessing the completion rate of the performance indicators and financial indicators of the person in charge. It fails to evaluate the problems found in the audit, and the evaluation method is relatively simple and superficial. At the same time, the audit evaluation has a strong subjective color. The evaluation is mainly based on qualitative evaluation. There is a lack of clear and unified evaluation standards. It mainly relies on the professional judgment of auditors, which is easy to cause different evaluation scales, and the evaluation results vary from person to person, and the objectivity and fairness are not strong.

[0005] Third, risk orientation is not sufficiently reflected. After conducting the audit of economic responsibilities during the term of office, a large number of normative issues involving professional management areas were revealed, but there was a lack of risk-oriented thinking and risk-based evaluation.

[0006] In summary, based on the results of economic responsibility audit, a set of scientific and comprehensive evaluation methods is provided, which can not only give an intuitive evaluation based on corporate performance from the perspective of business management, but also provide a quantitative risk reference for risk-oriented problems. It can be provided to the management as a decision-making reference and to specific business departments as a management aid. At the same time, it can improve the audit business capabilities such as identifying the risks of audit objects, determining audit priorities, and effectively making audit recommendations, so as to better perform the internal audit supervision and service functions. Summary of the invention

[0007] In view of the above-mentioned problems, the present invention is proposed.

[0008] Therefore, the technical problems solved by the present invention are: the evaluation content of the existing audit method is not comprehensive, the evaluation standard is not clear; the evaluation method is unscientific, the evaluation standard is not unified; and the risk orientation is insufficiently reflected.

[0009] To solve the above technical problems, the present invention provides the following technical solutions: a smart audit profiling method for power grid enterprises, comprising: collecting audit result data of the audit object; processing and transforming the audit result data to form a first indicator describing the characteristics of the audit object; combining the audit profiling scenario, obtaining key indicators through weight allocation, and establishing a first analysis mechanism; generating an audit profiling, dynamically tracking key indicators and issuing risk warnings.

[0010] As a preferred solution of the smart audit profiling method for power grid enterprises described in the present invention, after collecting the audit result data of the audit object, it also includes establishing a profiling label library, which includes an organizational performance label library and a problem label library.

[0011] As a preferred solution of the smart audit profiling method for power grid enterprises described in the present invention, the processing and transformation of the audit result data includes assigning different scores to the labels in the organization performance label library; establishing unified labels for the problem label library labels, and performing secondary grading and classification according to the unified labels for the personalized classifications in the problems; the first indicator is a preliminary indicator generated by processing and analyzing the audit result data, including performance indicators and problem indicators.

[0012] As a preferred solution of the smart audit profiling method for power grid enterprises described in the present invention, the key indicators obtained through weight allocation include: for performance indicators, determining the main performance dimensions and setting standard total scores, allocating weights according to the evaluation ratio of each dimension, and obtaining key indicators for each dimension; for problem indicators, selecting key areas as scoring dimensions, and allocating secondary sub-indicators in each area, setting weights based on risk impact and benefits, and generating risk-oriented key indicators.

[0013] As a preferred solution of the smart audit profiling method for power grid enterprises described in the present invention, the establishment of the first analysis mechanism includes setting a scoring benchmark using the allocated indicator weights, setting a risk warning threshold for key indicators, and triggering a risk warning mechanism when the indicator value exceeds the threshold.

[0014] As a preferred solution of the smart audit profiling method for power grid enterprises described in the present invention, the generation of audit profiling includes obtaining the specific score of each indicator through a first analysis mechanism, inputting the specific score of each indicator into a profiling tool, and presenting the performance of the audit object in different dimensions through visual charts.

[0015] As a preferred solution of the smart audit profiling method for power grid enterprises described in the present invention, the dynamic tracking and risk warning of key indicators include updating the status of key indicators in the audit profiling based on dynamic monitoring of historical data and real-time data, and risk marking and warning of indicators that exceed the threshold.

[0016] A smart audit portrait system for power grid enterprises using any of the methods described in the present invention, wherein: a data acquisition module collects and stores audit result data of audit objects and establishes a portrait label library; a data processing module processes the collected data and generates preliminary indicators that describe the characteristics of the audit objects; an analysis module assigns weights and sets scoring benchmarks for the generated preliminary indicators, forms key indicators and sets risk warning thresholds; and a portrait generation module generates audit portraits through visualization tools to display the management level and risk status of the audit objects.

[0017] A computer device comprises: a memory and a processor; the memory stores a computer program, comprising: the steps of implementing any one of the methods of the present invention when the processor executes the computer program.

[0018] A computer-readable storage medium stores a computer program, comprising: when the computer program is executed by a processor, the steps of implementing any one of the methods of the present invention are implemented.

[0019] Beneficial effects of the present invention: The method of the present invention provides a specific "portrait" of the intuitive reflection of the results of business management based on the problems found in the economic responsibility audit from the perspective of quantitative and qualitative analysis, and uses "radar charts" and other expression methods as tools to present the results of the portrait. The last business and audit data are used to make the portrait before the audit team arrives at the site, which can guide the audit team to promptly discover weak links, save audit time, and improve audit efficiency. After the audit is completed, the portrait is made again and compared, so that the management improvement of the audited object over a certain period of time can be intuitively seen. BRIEF DESCRIPTION OF THE DRAWINGS

[0020] In order to more clearly illustrate the technical solutions of the embodiments of the present invention, the following briefly introduces the drawings required for describing the embodiments. Obviously, the drawings described below are only some embodiments of the present invention. For ordinary technicians in this field, other drawings can be obtained based on these drawings without creative work. Among them:

[0021] Figure 1 An overall flow chart of a smart audit profiling method for a power grid enterprise provided by an embodiment of the present invention. DETAILED DESCRIPTION

[0022] In order to make the above-mentioned purposes, features and advantages of the present invention more obvious and easy to understand, the specific implementation methods of the present invention are described in detail below in conjunction with the drawings of the specification. Obviously, the described embodiments are part of the embodiments of the present invention, but not all of the embodiments. Based on the embodiments of the present invention, all other embodiments obtained by ordinary persons in the art without creative work should fall within the scope of protection of the present invention.

[0023] Example 1, reference Figure 1 , is an embodiment of the present invention, and provides a smart audit profiling method for a power grid enterprise, including:

[0024] S1: Collect the audit result data of the audit object.

[0025] Furthermore, the data are mainly derived from the results of organizational performance appraisals in recent years and the audit issues listed in recent audit results.

[0026] Organizational performance comes from the company's organizational performance evaluation results in recent years.

[0027] The problem database is a summary of all problems found in economic responsibility audits under the same organizational structure in recent years (generally three years). The problem database can be updated dynamically in real time. At the end of the year, the problems found in the new year's economic responsibility audits are stored in the problem database. According to actual needs, the problems in the problem database will be updated in a rolling manner if they are not applicable.

[0028] Establish a portrait tag library, which includes the organizational performance tag library and the problem tag library.

[0029] The organizational performance label library comes from the organizational performance evaluation results of enterprises in recent years, and generally selects primary or secondary indicators.

[0030] The problem label library comes from the problem classification of all problems found in economic responsibility audits that have been dynamically updated under the same organizational structure in recent years (generally 3 years).

[0031] S2: Process and transform the audit result data to form the first indicator that describes the characteristics of the audit object.

[0032] Furthermore, the first indicator is a comprehensive quantitative indicator that describes the characteristics of the audit object extracted from the audit result data and the performance evaluation data, and serves as the core data for analysis and profiling. In one embodiment of the present invention, for a power grid enterprise, the first indicator can be a performance indicator and a problem indicator.

[0033] Among them, performance indicators are quantitative indicators extracted from the results of organizational performance evaluation, reflecting the performance of the enterprise in different management dimensions; problem indicators are quantitative risk indicators extracted from the problem label library, reflecting the occurrence of problems in specific risk areas of the enterprise.

[0034] Specifically, performance indicators include operating performance indicators, operating management indicators, development and innovation indicators, and social responsibility indicators; problem indicators include risk frequency indicators, risk impact indicators, and problem area indicators.

[0035] Furthermore, for organizational performance indicators that belong to data types, it is usually considered to assign different scores according to the trends of the three dimensions of rising, falling, and remaining the same, and generate performance indicators for each dimension.

[0036] For the question library labels, we clean up the labels, classify the labels, summarize the labels, and deduce the labels to establish unified labels. For the personalized classifications in the questions, we perform secondary classification according to the unified labels to generate problem indicators to reflect the specific performance of the audit object in risk management.

[0037] In another embodiment of the present invention, for the quality control and production efficiency audit scenario of a manufacturing enterprise, the first indicator may also be a quality indicator and an efficiency indicator.

[0038] Specifically, collect audit data such as production process data, quality inspection reports, customer feedback, and equipment operation data.

[0039] Based on the audit data and through the analysis of quality inspection reports, we extract quality indicators such as product qualification rate and defective product rate, and score the product qualification rate according to the monthly trend (such as increase, decrease, remain the same) to form a product quality trend indicator.

[0040] Analyze bottlenecks in the production process, such as equipment downtime and average production cycle of each batch of products, to form production efficiency indicators, assign weights according to equipment downtime, generate equipment operation efficiency indicators, and combine data mining to find out the reasons for downtime

[0041] S3: Combined with the audit profiling scenario, key indicators are obtained through weight allocation to establish the first analysis mechanism.

[0042] Furthermore, in different audit profiling scenarios, relevant analysis dimensions (such as operating performance, business management, development and innovation, social responsibility, etc.) are selected, and based on the selected analysis dimensions, an indicator system containing various indicators is constructed to quantify the various characteristics of the audit object.

[0043] Assign weights to each indicator in order to identify key indicators that are more critical in the overall evaluation. Based on the assigned weights, develop specific scoring benchmarks for each indicator. Integrate the above indicator system, weight allocation and scoring benchmarks into an analysis model to form the first analysis mechanism.

[0044] Specifically, the results of the organizational performance evaluation are: according to the four dimensions of business performance, business management, development and innovation, and social responsibility, the standard score is taken as 100 points, and the sub-item indicators are assigned. The proportion of the score of each evaluation indicator to the total score is the weight of each evaluation content. The weight is assigned according to the evaluation ratio of each dimension to obtain the key indicators of each dimension;

[0045] The scoring benchmarks of the four dimensions are set according to the set weights and proportions, which are used as the evaluation basis for input data scoring.

[0046] For the question library label: set up 10 field scoring indicators, and then subdivide each field into 5-15 secondary indicators according to the number of specific audit problems found in each field indicator and the amount involved in the problem. Set weight scores according to the risk size of the problem enterprise's operation and management and the amount of money involved in the problem, set weights according to risk impact and benefits, and generate risk-oriented key indicators.

[0047] All problems found in recent years (usually 3 years) are input as the benchmark library. According to the 10 field scoring indicators established in step 3, 5-15 secondary indicators are scored according to the weight setting as the basis for evaluating the input data.

[0048] Use the allocated indicator weights to set the scoring benchmark, set risk warning thresholds for key indicators, and form the first analysis mechanism.

[0049] In another embodiment of the present invention, the first analysis mechanism can focus on evaluating and improving product quality and production efficiency. Specifically, in the quality control and production efficiency audit scenario of a manufacturing enterprise, the first analysis mechanism focuses on product quality and production efficiency, and performs dynamic evaluation by establishing a core indicator system for quality and efficiency. The mechanism first selects key indicators such as product qualification rate, defective product rate, production cycle, and equipment utilization rate to build a comprehensive quality and efficiency indicator system. According to the company's target needs, weights are assigned to indicators of quality control and production efficiency. For example, quality control may account for 60% and production efficiency may account for 40%, focusing on indicators with large impacts, such as product qualification rate and equipment utilization rate.

[0050] The first analysis mechanism scores and evaluates quality and efficiency indicators by setting benchmark values ​​and scoring standards. Quality indicators such as product qualification rate will set qualified benchmarks, and failure to meet the standards will trigger early warnings; production efficiency is scored based on industry benchmarks for production cycle and equipment utilization. Finally, the analysis mechanism also compares current data with historical data in the benchmark library to identify changing trends in quality and efficiency, provide dynamic monitoring and risk warnings, and provide managers with directions for continuous improvement and a basis for quality improvement.

[0051] S4: Generate audit portraits, dynamically track key indicators and provide risk warnings.

[0052] Furthermore, the process of generating an audit portrait mainly includes dynamic tracking of key indicators, risk warning and visual display of the portrait.

[0053] Specifically, the scores of a specific unit in the organizational performance evaluation results are weighted according to the assigned weights, and then these weighted scores are input into the profiling tool. At the same time, all audit issues collected in the past three years are input into the benchmark library and scored in combination with the current audit findings to form a comparative sample, thereby revealing the frequency of recurring problems in a certain area or indicator in the organizational structure and its potential risk consequences.

[0054] When generating an audit portrait, use data chart display tools (such as radar charts) for visual display.

[0055] Specifically, through the polygonal graphic display of the radar chart, the management level, risk status and potential doubts of the audit object in various dimensions can be intuitively presented. The length and shape of the polygon reflect the performance level of different indicators, helping auditors to quickly understand the overall situation of the audit object.

[0056] Furthermore, the portrait tag library is dynamically updated, and data is imported and indicators are updated for the organizational performance tag library and problem tag library every year.

[0057] Through the annual update mechanism, the applicability of the portrait label library is guaranteed, and it is ensured that the latest audit data and indicator settings can be covered when profiling specific units in the next year.

[0058] Example 2: The following is an embodiment of the present invention, which provides a smart audit profiling method for a power grid enterprise. In order to verify the beneficial effects of the present invention, scientific demonstration is carried out through economic benefit calculation and simulation experiments.

[0059] In this embodiment, in order to evaluate the operating performance, risk management and innovation capabilities of power grid companies, three years of audit data of a power grid company are collected and analyzed to build a smart audit portrait. The core data of the audit object includes the organizational performance evaluation results of the past three years and the problem records in the economic responsibility audits of previous years. Specific data sources include: financial performance, operational management, innovation results, compliance, etc., in order to build an organizational performance label library and a problem label library, and subsequently generate key indicators for portraits.

[0060] Assign weights to each performance and problem indicator, such as 40% for operating performance, 30% for management efficiency, 20% for innovation and development, and 10% for social responsibility. For the 10 areas labeled in the problem library, set weighted benchmarks based on influence and amount involved, and input the weight configuration into the analysis model to conduct a comprehensive analysis of the current data. Set a scoring benchmark and input various data into the benchmark library to compare the current audit data with the benchmarks of previous years to ensure the consistency of the evaluation standards. The test data of a power grid company in the past three years is shown in Table 1.

[0061] Table 1 Experimental data of a power grid company

[0062]

[0063]

[0064] It can be seen from the table data that the audit portrait method of the invention content effectively reveals the performance of power grid enterprises in different management dimensions and risks, and shows advantages over the benchmark library in multiple dimensions. First, operating performance and management efficiency have continued to rise in three years, reaching 90% and 80% respectively in 2023, which is much higher than the average level of the benchmark library (80% and 70%). This upward trend shows that the company's business management is gradually optimized, reflecting that the invention content accurately identifies and quantifies the company's performance through weight allocation and comprehensive evaluation.

[0065] In addition, the innovation and development and social responsibility indicators show that the company is improving year by year. The innovation and development rate in 2023 reached 70%, 15 percentage points higher than the benchmark library, and the social responsibility index also increased to 74%. Behind these improvements, thanks to the scoring and weighting mechanism of the performance data of the present invention, by dynamically tracking various indicators, key indicators that have a key impact on the overall development of the enterprise are identified. The chart display tool (radar chart) used by the present invention intuitively presents the trend changes of these key indicators, helping management to quickly locate areas of strength and areas for improvement.

[0066] In terms of risk management, the table shows that financial non-compliance and safety hazards have dropped to 2 and 3 times respectively in 2023, both of which are below the benchmark library and risk warning threshold. This result proves the effectiveness of the risk warning mechanism of the invention. By setting a reasonable warning threshold, the present invention can promptly remind enterprises to pay attention to high-risk areas and take corrective measures, so that various risks can be effectively controlled. Compared with the static evaluation method in the prior art, the dynamic tracking and data update mechanism of the present invention is innovative, ensuring that the audit portrait is always timely and applicable, and enhancing the management decision support of the enterprise.

[0067] Example 3: In an exemplary embodiment, a smart audit portrait system for power grid enterprises is also provided, including a data acquisition module, a data processing module, an analysis module and a portrait generation module.

[0068] The data collection module collects and stores the audit result data of the audit object and establishes a portrait label library.

[0069] The data processing module processes the collected data and generates preliminary indicators describing the characteristics of the audit object.

[0070] The analysis module assigns weights and sets scoring benchmarks for the generated preliminary indicators, forms key indicators and sets risk warning thresholds.

[0071] The portrait generation module generates audit portraits through visualization tools to display the management level and risk status of the audit object.

[0072] If the above functions are implemented in the form of software functional units and sold or used as independent products, they can be stored in a computer-readable storage medium. Based on this understanding, the technical solution of the present invention, or the part that contributes to the prior art or the part of the technical solution, can be embodied in the form of a software product. The computer software product is stored in a storage medium, including several instructions for a computer device (which can be a personal computer, a server, or a network device, etc.) to perform all or part of the steps of the method described in each embodiment of the present invention. The aforementioned storage medium includes: U disk, mobile hard disk, read-only memory (ROM, Read-Only Memory), random access memory (RAM, Random Access Memory), disk or optical disk and other media that can store program codes.

[0073] The logic and / or steps represented in the flowchart or otherwise described herein, for example, can be considered as an ordered list of executable instructions for implementing logical functions, and can be embodied in any computer-readable medium for use by an instruction execution system, device or apparatus (such as a computer-based system, a system including a processor, or other system that can fetch instructions from an instruction execution system, device or apparatus and execute instructions), or in conjunction with such instruction execution systems, devices or apparatuses. For the purposes of this specification, "computer-readable medium" can be any device that can contain, store, communicate, propagate or transmit a program for use by an instruction execution system, device or apparatus, or in conjunction with such instruction execution systems, devices or apparatuses.

[0074] More specific examples of computer-readable media (a non-exhaustive list) include the following: an electrical connection with one or more wires (electronic device), a portable computer disk case (magnetic device), a random access memory (RAM), a read-only memory (ROM), an erasable and programmable read-only memory (EPROM or flash memory), an optical fiber device, and a portable compact disk read-only memory (CDROM). In addition, the computer-readable medium may even be a paper or other suitable medium on which the program is printed, since the program may be obtained electronically, for example, by optically scanning the paper or other medium, followed by editing, deciphering or, if necessary, processing in another suitable manner, and then stored in a computer memory.

[0075] It should be understood that the various parts of the present invention can be implemented by hardware, software, firmware or a combination thereof. In the above-mentioned embodiments, a plurality of steps or methods can be implemented by software or firmware stored in a memory and executed by a suitable instruction execution system. For example, if implemented by hardware, as in another embodiment, it can be implemented by any one of the following technologies known in the art or their combination: a discrete logic circuit having a logic gate circuit for implementing a logic function for a data signal, a dedicated integrated circuit having a suitable combination of logic gate circuits, a programmable gate array (PGA), a field programmable gate array (FPGA), etc.

[0076] It should be noted that the above embodiments are only used to illustrate the technical solutions of the present invention rather than to limit it. Although the present invention has been described in detail with reference to the preferred embodiments, those skilled in the art should understand that the technical solutions of the present invention may be modified or replaced by equivalents without departing from the spirit and scope of the technical solutions of the present invention, which should all be included in the scope of the claims of the present invention.

Claims

1. A smart audit profiling method for a power grid enterprise, characterized in that: include: Collect audit result data of audit objects; Process and transform the audit result data to form the first indicator describing the characteristics of the audit object; Combined with the audit profiling scenario, key indicators are obtained through weight allocation to establish the first analysis mechanism; Generate audit portraits to dynamically track key indicators and provide risk warnings.

2. The smart audit profiling method for a power grid enterprise according to claim 1, characterized in that: After collecting the audit result data of the audit object, it also includes: Establish a portrait label library based on the audit results data.

3. The intelligent audit profiling method for a power grid enterprise as claimed in claim 2, characterized in that: The processing and transformation of the audit result data includes assigning values, statistics, and data mining to the labels in the portrait label library to obtain the first indicator.

4. The smart audit profiling method for a power grid enterprise as claimed in claim 3, characterized in that: The generating of the audit portrait includes obtaining a specific score of the first indicator through a first analysis mechanism, and inputting the specific score into a portrait tool.

5. The intelligent audit profiling method for a power grid enterprise as claimed in claim 2, characterized in that: The portrait tag library includes an organizational performance tag library and a problem tag library; Assign different scores to the organizational performance tag library tags; For the question tag library labels, a unified label is established, and for the personalized classification in the question, a secondary classification is performed according to the unified label; The first indicator is a preliminary indicator generated by processing and analyzing the audit result data, including performance indicators and problem indicators.

6. The intelligent audit profiling method for a power grid enterprise as claimed in claim 5, characterized in that: The key indicators obtained by weight allocation include: For performance indicators, determine the main performance dimensions and set standard total scores, assign weights based on the evaluation ratio of each dimension, and obtain key indicators for each dimension; For problem indicators, key areas are selected as scoring dimensions, and secondary sub-indicators are allocated in each area. Weights are set according to risk impact and benefits to generate risk-oriented key indicators.

7. The intelligent audit profiling method for a power grid enterprise according to claim 6, characterized in that: The establishment of the first analysis mechanism includes setting a scoring benchmark using the allocated indicator weights and setting risk warning thresholds for key indicators.

8. A smart audit profiling system for a power grid enterprise using any of the methods of claims 1 to 7, characterized in that: include, The data collection module collects and stores the audit result data of the audit object and establishes a portrait label library; The data processing module processes the collected data and generates preliminary indicators describing the characteristics of the audit object; The analysis module assigns weights and sets scoring benchmarks for the generated preliminary indicators, forms key indicators and sets risk warning thresholds; The portrait generation module generates audit portraits through visualization tools to display the management level and risk status of the audit object.

9. A computer device comprising: Memory and processor; The memory stores a computer program, which is characterized in that when the processor executes the computer program, it implements the steps of the smart audit profiling method for power grid enterprises as described in any one of claims 1-7.

10. A computer-readable storage medium having a computer program stored thereon, characterized in that: When the computer program is executed by the processor, the steps of the intelligent audit profiling method for power grid enterprises as described in any one of claims 1-7 are implemented.

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