Two-party auditing management system and method

Abstract

The invention discloses a two-party audit management system and method. The system comprises the following modules: a tenant creation module, a dynamic form module, a report template module, an order management module, a field audit module, an audit result query module, a rectification record module, a review module, a statistical report module and an authority management module. According to the technical scheme, the system is introduced, a traditional auditing process is digitalized, data are automatically recorded and processed, and efficiency and accuracy are improved. The dynamic form module supports an enterprise to customize auditing processes of different industry standards, and it is ensured that the auditing processes conform to specific requirements. And field data acquisition: a field auditing module allows to use mobile equipment to acquire data in real time, so that the accuracy and the real-time performance of information are ensured. And the system automatically generates the report and rectifies the task according to the data, so that the process is simplified, and the standardization and the convenience are improved.

Description

Technical Field

[0001] The present invention relates to a second-party audit management system and method, belonging to the field of computer technology. The system and method aim to provide a management system for conducting audits to achieve flexible customization and efficient management of different audit tasks and processes. It covers multiple modules, including a tenant creation module, a dynamic form module, a report template module, an order management module, an on-site audit module, an audit result query module, a rectification record module, a recheck module, a statistical report module, and a permission management module. Through this system and method, users can quickly create and manage audit tasks, collect on-site data, record problems and the rectification process, generate audit reports, conduct data statistics and analysis, etc., to achieve the efficiency, accuracy, and standardization of the audit process. The technical field involved in the present invention is closely related to enterprise management, quality control, security audits, etc., providing an effective audit management solution for enterprises.

Background Art

[0002] In traditional audit management, paper forms, spreadsheets, or simple databases are usually used to collect and manage audit data. This method has many problems, such as low data collection efficiency, difficulty in ensuring data accuracy, lack of unity and standardization in the audit process, etc. With the expansion of enterprise scale and the increase in audit tasks, the traditional audit management method can no longer meet the fast, efficient, and accurate audit requirements.

[0003] To solve the problems of traditional audit management, some specialized audit management software and systems have emerged. These systems are mainly based on computer technology and Internet technology, digitalizing and automating the audit process, and improving the efficiency and accuracy of audits. However, traditional audit management software often lacks flexibility and is difficult to adapt to the customized needs of different enterprises and audit projects.

[0004] With the development of artificial intelligence and big data technologies, audit management systems have begun to adopt more advanced technical means, such as automated data collection, intelligent data analysis, data visualization, etc. The application of these technologies makes the audit management system more intelligent and efficient, providing better decision-making support and data analysis capabilities for auditors and managers.

[0005] However, despite the certain progress made by audit management systems in digitalization and intelligence, there is still a lack of a comprehensive and flexible second-party audit management system and method. Such a system needs to be able to meet the customized needs of different enterprises, organizations, and audit projects, while improving the efficiency and accuracy of audit management and ensuring the consistency and standardization of the audit process.

Summary of the Invention

[0006] The present invention provides a two-party audit management system and method, aiming to solve many problems existing in the traditional audit management process, such as complex data collection and management, lack of unified standardization, inefficiency in audit task assignment and tracking, on-site audit difficulties, complexity in the rectification and recheck process, and difficulties in audit data statistics and analysis, etc.

[0007] To overcome the limitations of traditional audit management, the present invention creatively designs a multi-functional and flexibly customizable audit management system. Through the organic combination of modules such as digital and automated management, customized audit processes, on-site data collection, automatic report and task generation, and data statistics and rectification records, the system realizes an efficient, accurate, and secure audit process. Specifically, the present invention includes the following modules:

[0008] Tenant creation module: Used for administrators to create and manage tenants of the audit system, realizing data isolation and security for multi-tenants.

[0009] Dynamic form module: Allows the creation and customization of flexible dynamic forms for collecting information required in the audit process, simplifying the data collection and management process.

[0010] Report template module: Administrators can create and manage standardized audit report templates to ensure the consistency and standardization of audit reports.

[0011] Order management module: Administrators can create audit tasks and assign them to auditors, and real-time track the progress and status of tasks, improving the efficiency of task assignment and tracking.

[0012] On-site audit module: Provides dynamic forms and report templates, supports on-site data collection and problem recording, and simplifies the on-site audit process.

[0013] Audit result query module: Allows querying of completed audit tasks and audit results, and conveniently viewing audit results.

[0014] Rectification record module: Records the process of store rectification and the audit of rectification results to ensure that problems are effectively solved.

[0015] Recheck module: Rechecks and confirms the completed rectification to improve the reliability of audit results.

[0016] Statistical report module: Generates statistical and analysis reports of the audit process to help users discover problems and improvement directions.

[0017] Permission management module: Realizes precise control of user permissions and security management to ensure data security and the standardization of the audit process.

[0018] In summary, the second-party audit management system can highly customize and flexibly meet the personalized needs of different industries, enterprises, and audit projects, improve the efficiency of the audit process and data quality, and provide users with a convenient and efficient audit management solution.

[0019] The system has the following main advantages:

[0020] Highly customizable: The system allows administrators to flexibly customize audit processes, forms, and report templates according to the needs and business processes of different tenants, meeting the specific audit requirements of various industries and organizations.

[0021] Multi-tenant support: The system supports multi-tenant management, where each tenant independently owns its own data and user permissions, ensuring data isolation and information security.

[0022] Unified standardization: The system provides standardized audit report templates and forms, ensuring the consistency and standardization of audit results and reducing possible errors during the audit process.

[0023] Task assignment and tracking: The order management module enables effective assignment and real-time tracking of audit tasks. Administrators and auditors can understand the task progress and status at any time, improving the efficiency of task management.

[0024] Rectification and re-inspection processes: The rectification record module and the re-inspection module standardize the management of rectification and re-inspection during the audit process, ensuring that problems are effectively solved and enhancing the reliability and compliance of audit results.

[0025] Data statistics and analysis: The statistical report module realizes the functions of data statistics and analysis. Users can intuitively understand the audit situation and trends through charts and reports, which helps to discover problems and improve the audit process.

[0026] Data security and permission control: Through the permission management module, the system ensures that users can only access and operate the data and functions for which they have permissions, guaranteeing data security and privacy.

Description of the Drawings

[0027] Figure 1 Schematic diagrams of each module of the second-party audit management system.

[0028] Figure 2 Schematic diagram of the process of the second-party audit management system.

Detailed Implementation Modes

[0029] Example 1: As Figure 1 - Figure 2 shown, a testing company conducts audit tasks through the second-party audit management system. The company's work process is as follows:

[0030] 1) Create a tenant:

[0031] The system administrator uses the audit management system to create a new tenant (such as a chain supermarket), and then creates a new audit order under this tenant. The order is used to record the tasks to be audited, including information such as items to be audited, requirements, deadlines, etc.

[0032] 2) Create an audit template:

[0033] In the dynamic form module, the system administrator can create audit templates according to different audit requirements. The audit template defines each stage of the audit process, audit items, scoring criteria, etc. An order can be associated with multiple audit templates to adapt to different types of audit tasks.

[0034] 3) Assign on-site auditors:

[0035] After the order and the audit template are associated, the system will automatically notify the corresponding on-site auditors (audit team members). After receiving the notice, the on-site auditors go to the corresponding store or site to conduct on-site audit work.

[0036] 4) On-site audit:

[0037] The on-site auditors conduct on-site inspections and record information such as problems, anomalies, non-conformities found on-site according to the audit template. Fill in the problem records in the dynamic form and submit the audit records.

[0038] 5) Review by the audit team leader:

[0039] After receiving the audit records, the audit team leader evaluates the audit results. If it is found that information needs to be modified or supplemented, the auditor can be instructed to make minor modifications. After confirming that the audit records are correct, the audit team leader generates an audit report.

[0040] 6) Audit report:

[0041] The audit report includes detailed information such as an overview of the audit task, audit records, problems found on-site, and rectification measures. The audit report is automatically generated by the system and can also be edited and customized by the audit team leader.

[0042] 7) Tenant administrator views the audit results:

[0043] The tenant administrator can query the audit results through the audit management system. The audit report will be stored in the system for the tenant administrator to view and download at any time.

[0044] 8) Issue rectification tasks:

[0045] If problems or non-conformities are found during the audit, the tenant administrator can issue rectification tasks to the corresponding departments or responsible persons. The rectification tasks will be recorded in the system to ensure the tracking and management of the rectification process.

[0046] 9) Record the rectification information:

[0047] After the department or the person responsible completes the rectification task, submit the rectification information to the tenant administrator. The rectification information includes rectification measures, rectification time, rectification results, etc.

[0048] 10) Generate a rectification report:

[0049] The tenant administrator can generate a rectification report based on the rectification information. The report details the rectification process and results. The rectification report can also be stored in the system for easy viewing and downloading by the tenant administrator.

[0050] 11) Arrange a re-inspection task:

[0051] Based on the rectification report, the tenant administrator can arrange a re-inspection task for the re-inspector. The re-inspector will perform the re-inspection task and generate a re-inspection report.

[0052] 12) Re-inspection report:

[0053] The re-inspection report includes the confirmation and evaluation of the rectification results to confirm whether the rectification measures are effective. The re-inspection report will be stored in the system as the final result of the audit process.

[0054] 13) End of the audit process:

[0055] Once the re-inspection report confirms that the rectification results are qualified, the audit process ends. The entire audit process will be recorded in the system for easy reference and traceability at any time.

[0056] By using the second-party audit management system, the testing company can achieve efficient management and tracking of audit tasks, improving the accuracy and transparency of the audit process. At the same time, the automated functions and data storage of the system make the audit results and reports more reliable and convenient to manage.

[0057] Finally, it should be noted that the above embodiments are only used to illustrate the technical solutions of the present invention and are not intended to limit them. Although the present invention has been described in detail with reference to the preferred embodiments, those of ordinary skill in the art should understand that the technical solutions of the present invention can be modified or equivalently replaced without departing from the spirit and scope of the technical solutions of the present invention, and they should all be covered by the scope of the claims of the present invention.

Claims

1. A two-party audit management system and method, the main features of which are: 1) Tenant creation module: Administrators can create and manage tenants of the audit system to achieve data isolation and security for multiple tenants; 2) Dynamic Form Module: allows the creation and customization of flexible dynamic forms for collecting information required for the audit process; 3) Report template module: Administrators can create and manage standardized audit report templates to improve the consistency and standardization of reports; 4) Order management module: Administrators can create audit tasks and assign them to auditors, and track task progress and status; 5) On-site audit module: provides dynamic forms and report templates, supports on-site data collection and problem recording; 6) Audit result query module: allows querying completed audit tasks and audit results; 7) Correction record module: records the process of store correction and correction result review; 8) Review module: review and confirm the completed rectification; 9) Statistical reporting module: Generate statistical and analytical reports of the audit process; 10) Rights management module: realize precise control and security management of user rights.

2. A two-party audit management system and method according to claim 1, characterized in that The tenant creation module is mainly used to manage the tenant information and permission settings of the system, and has the following main features: 1) Tenant Information Management: This module allows system administrators to create and manage information of different tenants. Tenants can be different companies or organizations. Each tenant has independent data and user permissions. Administrators can add new tenants in this module and enter basic information of tenants, such as name, address, contact person, etc. 2) Permission setting: The tenant creation module supports the setting and allocation of permissions for different tenants. System administrators can specify different audit permissions and function access permissions for each tenant according to the needs of the tenants. This ensures that different tenants can only access and operate their own relevant data and functions when using the system, thus achieving data isolation and information security; 3) User management: In the tenant creation module, the administrator can add and manage the users of the tenant. Each tenant can have multiple users, and different users have different login accounts and passwords. The administrator can set the user's role and permissions to control the user's operation scope and permission level in the system; 4) Data sharing: The tenant creation module also supports data sharing settings. For data involving multiple tenants, administrators can set data sharing rules to allow certain data to be shared and accessed between different tenants. This helps to achieve data sharing and collaboration and improve the efficiency and accuracy of the audit process. 5) Tenant configuration: This module also provides tenant configuration functions, allowing tenant administrators to personalize and adjust the system according to their own needs. Tenant administrators can configure the system's review process, report templates, rectification process, etc. according to actual conditions to adapt to their own business needs and management requirements; 6) Through the tenant creation module, the two-party audit management system can realize multi-tenant management, ensuring that different enterprises or organizations can independently operate and manage when using the system. At the same time, through permission setting and data sharing, data security and privacy can be guaranteed, ensuring the rigor and reliability of the audit process.

3. A two-party audit management system and method according to claim 1, characterized in that Dynamic form module, which is the core component of the system, has the following main features: 1) Form customization: The dynamic form module allows administrators or users to customize the review form according to actual needs. Users can flexibly create new forms in the system according to specific review requirements and processes, including defining form fields, field types, validation rules, etc.; 2) Multiple field types: The module supports multiple field types, such as text, numbers, dates, drop-down options, check boxes, etc., to meet different types of audit information recording and management needs; 3) Form version management: The system supports form version management to ensure that form updates and modifications can be traced back historically. Each time a form is modified or updated, the system will save the previous version for subsequent reference and comparison; 4) Form permission control: The dynamic form module supports flexible settings of form access permissions. Administrators can control users' permissions to view, fill in and modify different forms based on user roles and permission levels to ensure data security and confidentiality; 5) Data collection and display: Users can enter relevant audit information in the dynamic form and view and edit the filled data at any time. The system will automatically collect and save the data submitted by the user, and provide data visualization and export functions to facilitate data analysis and report generation; 6) Form validation and integrity: The dynamic form module supports validation and integrity checking of user input data to ensure that the filled-in information complies with the specified format and requirements, and avoids the entry of erroneous or incomplete data; 7) Through the dynamic form module, the two-party audit management system achieves a high degree of customization and flexibility in the audit process, meeting the personalized needs of different industries, enterprises and audit projects. At the same time, the module also provides users with convenient and efficient data collection and management tools, which helps to improve audit efficiency and data quality.

4. According to the two-party audit management system and method described in claim 1, the report template module has the following main features: 1) Template creation and management: The report template module allows administrators to create and manage standardized audit report templates. Administrators can customize different report templates according to different audit projects and requirements. Template creation can include text descriptions, data tables, pictures, signatures and other elements to meet different types of audit report requirements; 2) Diverse template types: This module supports the creation of diverse template types, such as inspection reports, review reports, acceptance reports, etc., to meet the needs of different audit tasks; 3) Custom fields: The report template module allows administrators to add custom fields according to actual needs. Administrators can flexibly add, edit and delete fields in the report template to ensure that the template can cover all necessary information; 4) Data import and export: This module supports importing data from external data sources into report templates, or exporting data in report templates to other formats, such as Excel, PDF, etc. This makes it convenient for users to use existing data during the audit process and interact with other systems with the generated reports; 5) Uniformity and consistency of reports: The use of the report template module can improve the consistency and standardization of audit reports. Since all reports are generated based on pre-defined templates, the format and content of the audit reports can be kept uniform, which enhances the readability and comparability of the reports. 6) Filling in and generating audit reports: After completing the audit task, the auditor can fill in the audit results into the system according to the corresponding audit report template. The system automatically generates the audit report according to the template settings and saves the report in the database for subsequent viewing and management; 7) Visual presentation of reports: Audit reports can be presented to administrators and relevant personnel in a visual manner, which can present audit results and problems more intuitively through a combination of charts, images and text; 8) Sharing and delivery of reports: The report template module supports the sharing and delivery of audit reports. Administrators can send audit reports to relevant stores, suppliers or partners so that they can review the audit results and rectification suggestions.

5. A two-party audit management system and method according to claim 1, characterized in that The order management module has the following main features: 1) Order creation and allocation: This module allows administrators or auditors to create new audit orders and allocate orders to corresponding stores or suppliers based on specific audit requirements. The order can contain detailed information about the audit task, such as audit scope, audit date, auditor, etc. 2) Audit progress tracking: The order management module in the system can track the progress of audit tasks in real time. Auditors can update the audit progress, record the audit results, and check the status and completion of tasks at any time in the system; 3) Reminders and Notifications: The order management module can automatically send reminders and notifications to relevant auditors and stores to ensure that the audit tasks are completed on time and remind relevant personnel to submit the required audit materials and reports; 4) Centralized data management: This module centrally manages the data of all audited orders, including order information, audit results, rectification status, etc. Administrators and auditors can easily find and access these data in the system, which is convenient for comprehensive management and statistical analysis of audit tasks; 5) Integrated data export: The order management module supports exporting order data into Excel, PDF and other formats to facilitate the generation of audit reports, statistical analysis and data connection with other systems; 6) Task Scheduling and Priority: Administrators can schedule and prioritize audit tasks in the order management module to ensure that urgent and important tasks are given priority, thereby improving audit efficiency and accuracy; 7) History record and audit function: This module records the history of all orders, including order creation, modification and completion, to provide support for subsequent audit and data analysis.

6. A two-party audit management system and method according to claim 1 is characterized by The on-site audit module has the following main features: 1) Audit task management: The on-site audit module allows administrators or audit leaders to create and manage audit tasks. They can specify the specific content, time and location of the audit tasks and assign the tasks to the corresponding auditors; 2) On-site data collection: Auditors can use mobile devices or computers in the system to collect and record data on site. They can collect information and data on site by taking photos, recording videos, filling out forms, etc. 3) Real-time data synchronization: The data collected on-site will be synchronized to the system database in real time to ensure the accuracy and timeliness of the data. In this way, other related modules such as report templates and rectification record modules can directly obtain the latest on-site data; 4) Audit progress tracking: Auditors and managers can track the progress and status of audit tasks in real time. They can check the auditors' check-in status, data collection progress, etc., so as to adjust and arrange work in a timely manner; 5) On-site problem recording: The on-site audit module allows auditors to record problems and non-conformities found. They can take photos and add text descriptions to accurately reflect the problems in the system; 6) Signature and confirmation: After completing the on-site audit, the auditor can sign and confirm in the system to ensure the authenticity and credibility of the data.

7. A two-party audit management system and method according to claim 1 is characterized by The audit result query module has the following main features: 1) Query condition setting: This module allows users to filter and retrieve audit results based on different query conditions. Users can locate specific audit tasks and results based on time, location, auditor and other conditions; 2) Result display: The query results are presented to users in an intuitive way. The audit results and related data can be displayed in the form of tables, charts, etc., so that users can quickly understand the audit situation; 3) View detailed information: Users can view detailed information of each audit task, including data collected on site, problem records, auditor's signature confirmation, etc., so that they can have a comprehensive understanding of the audit results; 4) Data export: Users can export query results to Excel, PDF and other formats to facilitate further data analysis and report generation. 5) Data statistics: The audit result query module supports statistical analysis of data. Users can view statistical charts of audit results for different time periods, locations or auditors to identify potential problems and trends.

8. A two-party audit management system and method according to claim 1 is characterized by The rectification record module has the following main features: 1) Non-conformity record: This module allows auditors to record problems and non-conformities found during on-site audits in the system. Problems can be described in detail through text descriptions, photos, videos, etc. 2) Assignment of corrective measures: The audit leader can assign corresponding corrective measures to relevant responsible persons in the system. The responsible persons can be store managers or heads of relevant departments; 3) Correction progress tracking: The correction record module can track the progress and status of the correction task in real time. The responsible person can update the correction progress and confirm it after completion; 4) Generation of rectification report: After the rectification task is completed, the responsible person can generate a rectification report in the system. The rectification report should include information such as the resolution of the problem, measures taken, and rectification date; 5) Evaluation of rectification results: The audit leader can evaluate and confirm the rectification report. If the rectification measures are effectively implemented, the audit leader can confirm that the problem has been resolved.

9. A two-party audit management system and method according to claim 1 is characterized by The review module has the following main features: 1) Review task setting: The review module allows the audit leader to create and arrange review tasks. They can decide which audit tasks need to be reviewed based on the audit results and rectification status; 2) Review progress tracking: Audit leaders can track the progress and status of review tasks in real time. They can check the check-in status of reviewers, data collection progress, etc., so as to adjust and arrange work in a timely manner; 3) Review results record: Reviewers can record the review results and problems found in the system. They can compare the previous review results and rectification records to ensure that the problems are completely resolved; 4) Generation of review report: After the review task is completed, the reviewer can generate a review report in the system. The review report should include an assessment and confirmation of the rectification of the problem; 5) Feedback and improvement: The audit leader can evaluate and provide feedback on the review report. If the corrective measures are effective, the system will confirm that the problem has been resolved. If there are still problems, the corrective measures can be further improved.

10. A two-party audit management system and method according to claim 1 is characterized in that The statistical reporting module has the following main features: 1) Data statistics and analysis: The statistical report module can count and analyze the audit data in the system. It can generate various charts and reports to show the number of audit tasks, the status of audit results, rectification progress, etc.: 2) Customized reports: Users can customize statistical reports according to their needs. They can select the statistical time range, location, auditor and other conditions to generate reports that meet their needs; 3) Trend analysis: The statistical report module allows users to analyze the trends of audit results and rectification situations. They can find changes and trends in problems and take corresponding measures to improve them. 4) Data export: Users can export statistical reports into Excel, PDF and other formats to facilitate further analysis and sharing of data.

11. A two-party audit management system and method according to claim 1 is characterized by The rights management module is one of the core modules in the system and has the following main features: 1) User identity identification: The authority management module can identify the identities of different users, including administrators, auditors, audit leaders, etc. Each user has different permissions and functions; 2) Role and authority allocation: System administrators can assign corresponding permissions to different user roles. They can set the data collection permissions of auditors and the task management permissions of audit leaders to ensure the security and efficient operation of the system; 3) Audit task allocation: The audit leader can assign audit tasks to the corresponding auditors based on the user's authority and capabilities. They can view the task allocation in real time to ensure that the tasks are appropriately allocated; 4) User login and access control: The permission management module is responsible for user login and access control. Users need to verify their identity before entering the system and can only access functions and data for which they have permission. 5) Through the authority management module, the two-party audit management system can realize effective user management and authority control, ensure the security of data and the standardization of the audit process. The function and authority allocation of different user roles enables the system to meet the needs of different users and provide customized audit services.

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