A compliance internal control management system based on process architecture supervision

Abstract

The present application belongs to the field of compliance internal control supervision, and relates to a data analysis technique, which is used to solve the problems that the existing compliance internal control management system is difficult to accurately identify the process with potential compliance risks and the process with time-consuming, and cannot judge the rationality of the process architecture design; in particular, the present application is a compliance internal control management system based on process architecture supervision, which comprises a process architecture analysis module, a process compliance management module, a process internal control management module and a process architecture optimization module; the process architecture analysis module, the process compliance management module, the process internal control management module and the process architecture optimization module are sequentially connected in communication; the process architecture analysis module is used to analyze the process architecture according to business decomposition, and the process compliance management module and the process internal control management module are used to manage the compliance and internal control of the process according to the process architecture; the present application can locate the process with compliance internal control risks, and improve the management efficiency.

Description

Technical Field

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

[0002] Compliance and internal control management include compliance management and internal control management. Compliance management ensures the legality of corporate operations through measures such as formulating compliance policies, conducting compliance risk assessments and compliance reviews. Enterprises conduct internal control management to achieve their business goals and ensure that accounting information is accurate and reliable. The goal of compliance and internal control management is to prevent corporate operational risks and promote sustainable development of the enterprise.

[0003] In today's complex and ever-changing business environment, enterprises' business processes are becoming increasingly complex and management difficulties are increasing. Enterprises often find it difficult to clearly sort out their business processes, resulting in confusion in the logical relationships between processes, affecting work efficiency and quality. The decomposition of business is not detailed enough, making it difficult to ensure the rationality of the process architecture, thus affecting the overall efficiency and effectiveness of the business.

[0004] Existing compliance and internal control management systems are often unable to accurately grasp the levels and number of processes, making it difficult to accurately identify processes with potential compliance risks, unable to promptly discover key processes that take too long, and unable to judge the rationality of the process architecture design, resulting in difficulty in targeted monitoring and management of high-risk processes.

[0005] In response to the above technical problems, this application proposes a solution. Summary of the Invention

[0006] The present invention aims to provide a compliance and internal control management system based on process architecture supervision, which is used to address the problems that existing compliance and internal control management systems cannot accurately grasp the level and number of processes, and thus have difficulty accurately identifying processes with potential compliance risks, cannot promptly discover key processes that are too time-consuming, and cannot determine the rationality of process architecture design.

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

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

[0009] A compliance and internal control management system based on process architecture supervision, comprising a process architecture combing module, a process compliance management module, a process internal control management module, and a process architecture optimization module; the process architecture combing module, the process compliance management module, the process internal control management module, and the process architecture optimization module are sequentially communicatively connected;

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

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

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

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

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

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

[0016] Furthermore, the predecessor number QQ and the successor number HJ are numerically calculated to obtain the complexity index FZ of the process [M, n]; the L1 processes [M, n] with the largest complexity index FZ are marked as risk processes with compliance risks, and all risk processes are included in the compliance risk library. Managers conduct real-time monitoring and management based on the risk processes in the compliance risk library.

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

[0018] Furthermore, the time consumption coefficient SH is compared with the preset time consumption threshold SHmax: if the time consumption coefficient SH is less than the time consumption threshold SHmax, it is judged that the time consumption of the process [M, n] meets the requirements, and the process is marked as a general process; if the time consumption coefficient SH is greater than or equal to the time consumption threshold SHmax, it is judged that the time consumption of the process [M, n] does not meet the requirements, and the process is marked as a critical process; all critical processes are sent to the mobile phone terminal of the manager, and the manager takes corresponding measures to optimize the critical processes.

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

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

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

[0022] 1. The process architecture module decomposes business processes and draws process logic diagrams, presenting the relationships and hierarchies between processes. This provides enterprises with a comprehensive and accurate view of the process architecture, helping them to gain a deeper understanding of business processes, improve management efficiency, and lay the foundation for compliance and internal control management.

[0023] 2. The process compliance management module analyzes process elements and calculates complex indices, accurately locating processes with compliance risks and incorporating them into the risk database for real-time monitoring and management, significantly reducing the company's compliance risks.

[0024] 3. Through the process internal control management module, the calculation of process time consumption and the comparison of time consumption coefficients can timely identify and mark key processes, making it easier for managers to optimize, improving the efficiency and effectiveness of business execution, and enhancing the company's internal control capabilities;

[0025] 4. Through the process architecture optimization module, the variance of the input and output time difference of the process is calculated and compared with the threshold, so as to accurately identify the processes that need to be optimized and reorganized, making the process architecture more reasonable, better adapting to the development and changes of the enterprise, and improving the competitiveness of the enterprise. BRIEF DESCRIPTION OF THE DRAWINGS

[0026] In order to more clearly illustrate the embodiments of the present invention or the technical solutions in the prior art, the following briefly introduces the drawings required for use in the embodiments or the description of the prior art. 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 paying any creative work.

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

[0028] Figure 2This is a flow chart of the method of embodiment 2 of the present invention;

[0029] Figure 3 This is a schematic diagram of the process logic diagram in Example 1 of the present invention. DETAILED DESCRIPTION

[0030] The technical solutions of the present invention will be clearly and completely described below with reference to the embodiments. Obviously, the embodiments described are only some embodiments of the present invention, not all embodiments. Based on the embodiments of the present invention, all other embodiments obtained by ordinary technicians in this field without making any creative efforts shall fall within the scope of protection of the present invention.

[0031] Example 1: Figure 1 As shown, a compliance and internal control management system based on process architecture supervision includes a process architecture combing module, a process compliance management module, a process internal control management module, and a process architecture optimization module; the process architecture combing module, the process compliance management module, the process internal control management module, and the process architecture optimization module are sequentially communicated with each other;

[0032] The process architecture combing module is used to comb the process architecture according to business decomposition: collect the company's existing business information, and according to the actual business operation process, decompose the complex business into a series of processes [M, n]. The processes are connected according to the logical relationship, where M is a positive integer representing the logical level of the process, and n is a positive integer representing the number of processes in the same logical level. Draw a process logic diagram based on the process after business decomposition: mark the first process at the beginning of the business as the logical starting point of the business, and mark the last process at the end of the business as the logical end point of the business. The number of logical levels of the process is the maximum number of processes required to reach the logical end point from the logical starting point, and the logical level of the process is determined by the logical level of the next process of the process.

[0033] For example, Figure 3 As shown, when a business is decomposed into a series of processes, process [1, 1] represents the logical starting point of the business, processes [2, 1], [2, 2] and [2, 3] are all processes at the same logical level and are also the successors of process [1, 1], process [4, 1] represents the logical end point of the business, processes [3, 1], [3, 2], [3, 3] and [3, 4] are all processes at the same logical level and are also the predecessors of process [4, 1]; in the process logic diagram of this business, the number of logical levels of the process is the maximum number of processes required to reach the logical end point from the logical starting point, that is, 4 levels; the next process of process [3, 1] is process [4, 1], so it is at the third level of the logical level;

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

[0035] The process compliance management module is used to analyze the compliance risks of processes based on the process architecture. Each process consists of five basic elements: executing department, executing role, required resources, input, and output. Output is the result passed to the next-level process after a process completes execution, and input is the result of the previous-level process received before a process begins execution. The previous-level process from which a process [M, n] receives input is marked as the predecessor process of process [M, n], and the next-level process to which process [M, n] sends output is marked as the successor process of process [M, n].

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

[0037] The process internal control management module is used to perform internal control management on the process according to the process architecture: during business execution, the input time of all inputs of the process [M, n] is obtained according to the process logic diagram, and the earliest input time is marked as the wake-up time HS of the process [M, n]; the output time of all outputs of the process [M, n] is obtained, and the latest output time is marked as the termination time ZS; the termination time ZS is calculated as the difference with the wake-up time HS to obtain the maximum execution time SC of the process [M, n]; the maximum execution time SC of the process [M, n] is calculated as the ratio of the complexity index FZ using the formula SH = SC / FZ to obtain the time consumption coefficient SH of the process [M, n]; the time consumption coefficient SH is compared with the preset The time consumption threshold SHmax is used for comparison: if the time consumption coefficient SH is less than the time consumption threshold SHmax, the time consumption of the process [M, n] is judged to meet the requirements, and the process is marked as a general process; if the time consumption coefficient SH is greater than or equal to the time consumption threshold SHmax, the time consumption of the process [M, n] is judged to not meet the requirements, and the process is marked as a key process; all key processes are sent to the mobile phone terminal of the manager, and the manager takes corresponding measures to optimize the key processes; through the process internal control management module, the process time consumption is calculated and the time consumption coefficient is compared, and the key processes are discovered and marked in time, which is convenient for managers to optimize, improve the efficiency and effectiveness of business execution, and enhance the internal control capabilities of the enterprise.

[0038] The process architecture optimization module is used to evaluate and optimize the process architecture of the business: according to the process logic diagram, the input time of all inputs of the process [M, n] is obtained and the variance is calculated to obtain the input time difference RC of the process [M, n]; the output time of all outputs of the process [M, n] is obtained and the variance is calculated to obtain the output time difference CC of the process [M, n]; the input time difference RC and the output time difference CC are compared with the preset time difference threshold SXmax: if the input time difference RC and the output time difference CC are both less than or equal to the time difference threshold SXmax, it is judged that the architectural design of the process [M, n] in the process logic diagram meets the requirements, and the process [M, n] is marked as a standard process; if only one of the input time difference RC and the output time difference CC is greater than the time difference threshold SXmax x, then the architectural design of process [M, n] in the process logic diagram is judged to be unsatisfactory, and the process [M, n] is marked as an optimized process; if the input time difference RC and the output time difference CC are both greater than the time difference threshold SXmax, then the architectural design of process [M, n] in the process logic diagram is judged to be unsatisfactory, and the process [M, n] is marked as an abnormal process; all optimized processes and abnormal processes are sent to the mobile phone terminal of the manager, and the manager can take corresponding measures to split and reorganize the processes; the variance of the input and output time differences of the processes is calculated by the process architecture optimization module and compared with the threshold, so as to accurately identify the processes that need to be optimized and reorganized, so as to make the process architecture more reasonable, better adapt to the development and changes of the enterprise, and improve the competitiveness of the enterprise.

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

[0040] Step 1: Collect the company's existing business information and decompose the complex business into a series of processes [M, n] based on the actual business operation process, and draw a process logic diagram;

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

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

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

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

[0045] The above content is merely an example and explanation of the structure of the present invention. Those skilled in the art may make various modifications or additions to the described specific embodiments or replace them in a similar manner. As long as they do not deviate from the structure of the invention or exceed the scope defined by the claims, they should all fall within the scope of protection of the present invention.

[0046] The above formulas are all obtained by collecting a large amount of data and performing software simulation to obtain a formula close to the actual value. The coefficients in the formula are set by those skilled in the art based on actual conditions; for example: formula FZ = k1*QQ+k2*HJ; those skilled in the art collect multiple groups of sample data and set a corresponding complexity index for each group of sample data; the set complexity index and the collected sample data are substituted into the formula, and any three formulas form a system of linear equations of two variables. The calculated coefficients are screened and averaged, and the values ​​of k1 and k2 are obtained as 2.44 and 1.79, respectively;

[0047] The size of the coefficient is to quantify each parameter to obtain a specific numerical value, which is convenient for subsequent comparison. The size of the coefficient depends on the amount of sample data and the corresponding complex index initially set by technical personnel in this field for each set of sample data; as long as it does not affect the proportional relationship between the parameter and the quantized value, such as the complex index is proportional to the value of the predecessor number.

[0048] Throughout this specification, references to terms such as "one embodiment," "example," or "specific example" indicate that the specific features, structures, materials, or characteristics described in conjunction with that embodiment or example are included in at least one embodiment or example of the present invention. In this specification, schematic representations of these terms do not necessarily refer to the same embodiment or example. Furthermore, the specific features, structures, materials, or characteristics described may be combined in any suitable manner in any one or more embodiments or examples.

[0049] The preferred embodiments of the present invention disclosed above are intended only to help illustrate the present invention. These preferred embodiments do not exhaustively describe all details, nor do they limit the present invention to specific embodiments. Obviously, many modifications and variations are possible based on the contents of this specification. These embodiments are selected and described in detail in this specification to better explain the principles and practical applications of the present invention, thereby enabling those skilled in the art to better understand and utilize the present invention. The present invention is limited only by the claims and their full scope and equivalents.

Claims

1. A compliance internal control management system based on process architecture supervision, characterized by: It includes a process architecture combing module, a process compliance management module, a process internal control management module and a process architecture optimization module; the process architecture combing module, the process compliance management module, the process internal control management module and the process architecture optimization module are communicated and connected in sequence; The process architecture combing module is used to comb the process architecture according to business decomposition: collect the existing business information of the enterprise, and according to the actual business operation process, decompose the business into a series of processes [M, n], where M is a positive integer representing the logical level of the process, and n is a positive integer representing the number of processes in the same logical level; draw a process logic diagram based on the decomposed business process; The process compliance management module is used to analyze the compliance risk of the process according to the process architecture: obtain the number of predecessors QQ and the number of successors HJ of the process [M, n], calculate the complexity index FZ of the process [M, n] based on the number of predecessors QQ and the number of successors HJ, and mark the L1 processes [M, n] with the largest complexity index FZ as risky processes with compliance risks; The process internal control management module is used to perform internal control management on the process according to the process architecture: obtaining the time consumption coefficient SH of the process [M, n], and marking the process [M, n] as a general process or a key process by judging the time consumption coefficient SH; The process architecture optimization module is used to evaluate and optimize the process architecture of the business: obtain the input time difference RC and the output time difference CC of the process [M, n], and mark the process [M, n] as a standard process, an optimized process, or an abnormal process by comparing the input time difference RC and the output time difference CC with a preset time difference threshold SXmax; The process of obtaining the time consumption coefficient SH of process [M, n] includes: during business execution, obtaining the input time of all inputs of process [M, n] according to the process logic diagram, and marking the earliest input time as the wake-up time HS of process [M, n]; obtaining the output time of all outputs of process [M, n], and marking the latest output time as the termination time ZS; calculating the difference between the termination time ZS and the wake-up time HS to obtain the maximum execution time SC of process [M, n]; calculating the ratio of the maximum execution time SC of process [M, n] to the complexity index FZ using the formula SH = SC / FZ to obtain the time consumption coefficient SH of process [M, n]; Compare the time consumption coefficient SH with the preset time consumption threshold SHmax: If the time consumption coefficient SH is less than the time consumption threshold SHmax, it is determined that the time consumption of the process [M, n] meets the requirements, and the process is marked as a normal process; If the time consumption coefficient SH is greater than or equal to the time consumption threshold SHmax, it is judged that the time consumption of process [M, n] does not meet the requirements, and the process is marked as a critical process; all critical processes are sent to the mobile terminal of the manager, and the manager takes corresponding measures to optimize the critical processes.

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

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

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

5. A compliance internal control management system based on process architecture supervision according to claim 4, characterized in that: The process of obtaining the input time difference RC and output time difference CC of process [M, n] includes: obtaining the input time of all inputs of process [M, n] according to the process logic diagram and performing variance calculation to obtain the input time difference RC of process [M, n]; obtaining the output time of all outputs of process [M, n] and performing variance calculation to obtain the output time difference CC of process [M, n].

6. A compliance internal control management system based on process architecture supervision according to claim 5, characterized in that: Compare the input time difference RC and the output time difference CC with the preset time difference threshold SXmax: If both the input time difference RC and the output time difference CC are less than or equal to the time difference threshold SXmax, then it is determined that the architectural design of the process [M, n] in the process logic diagram meets the requirements, and the process [M, n] is marked as a standard process; If only one of the input time difference RC and the output time difference CC is greater than the time difference threshold SXmax, then it is determined that the architectural design of the process [M, n] in the process logic diagram does not meet the requirements, and the process [M, n] is marked as an optimized process; If the input time difference RC and the output time difference CC are both greater than the time difference threshold SXmax, it is determined that the architectural design of the process [M, n] in the process logic diagram does not meet the requirements, and the process [M, n] is marked as an abnormal process.

Images