CN104217276A - Rule-based automatic auditing method and system - Google Patents
Rule-based automatic auditing method and system Download PDFInfo
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Abstract
The invention provides a rule-based automatic auditing system. The automatic auditing system comprises a business system part, a data transmission device and an auditing system part, which are sequentially connected, wherein the business system part comprises a plurality of business systems, each business system comprises a business system database and a data extracting device, the business system database is connected with the data transmission device through the data extracting device, the data transmission device is used for transmitting data prepared by all the business systems to a data receiving device of the auditing system part through an internet at regular intervals, and the auditing system part comprises the data receiving device, a database to be checked, a checking analyzing component, a rule engine, a doubtful point database, and a checked database. The rule-based automatic auditing system can continue auditing and monitoring automatically, can find abnormal data in a large number of business data automatically, improves the auditing efficiency, and can customize check rules; furthermore, the rule definition is described with natural language and is simple and easy to understand, so that the application range of the customized check rules is enlarged.
Description
Technical field
The invention belongs to field of computer technology, be specifically related to a kind of rule-based robotization auditing method and the system that are applicable to the internal auditing process of enterprise.
Background technology
Internal auditing refers to the one of organization internal independent objectively supervision and evaluation activity, and it promotes the realization of organizational goal by the appropriateness of review and appraisal business activities and internal control, legitimacy and validity.Along with continuous maturation and the development of internal audit function, at present from project-based audit form, develop into the pattern of the business activities of enterprise being carried out to continuous surveillance, thus Timeliness coverage Problems existing, for enterprise retrieves a loss.
Along with informationalized deeply development, a large amount of management datas is all stored in all kinds of operation systems of enterprise, pinpoint the problems just must be deep into operation system and go to obtain relevant data, then carries out checking and analyzing from the visual angle of auditing based on business datum.
Rule refers to that auditor checks data and analyzes the Logic judgment rule of time institute's foundation, find that abnormal occurrence inconsistent with normal business in business datum is (as the expense reimbursement of the integer amount of money of wholesale based on this Logic judgment rule, usual employee stays or has dinner or transport cost all there will not be the integer of ten thousand yuan of ranks, if there is the integer expense report of ten thousand yuan of ranks, emphasis is then needed to investigate its authenticity), thus determine the clue of audit.
Robotization refers to that requirement can not need artificial intervention, can automatically, termly be checked business datum by system, and the audit trail of discovery is pushed to auditor.
At present, the business activities of auditor to enterprise are audited the pattern still mainly rested on by project, go the business datum gathering unit under auditing, then analyze according to the requirement of project.Some computer assistant audit systems are developed in succession, can realize from financial system or operation system image data, and be sent to auditing system analysis.But these auditing systems or the data acquisition laid particular emphasis on financial accounting system; Only provide some fixing Inspection and analysis methods to data analysis; Very high to the requirement of customization inspection method, must understand that certain computerese can realize the customization to checking rule.All do not consider that the experience how accumulated for many years with auditor combines, and utilize advanced Information Technology Methods, the customization that a kind of mode be easily understood realizes checking rule is provided, and realize to enterprise operation data termly, automatically Inspection and analysis.Therefore, in today that the level of informatization deepens constantly, need the continuous surveillance realizing enterprise management condition by informationalized means, improve the efficiency of examination of auditor, note abnormalities phenomenon, thus give a clue for follow-up auditing in depth inspection.
Following patent documentation is found through retrieval:
Application number: 201110428419.3, title: a kind of Financial fraud audit backup system and assisted audit method.A kind of Financial fraud audit backup system of this disclosure of the invention and assisted audit method, system comprises data acquisition subsystem and data analytics subsystem; Described data acquisition subsystem is connected with 10M/100M/1000M switch by five class unshielded twisted pair UTP with data analytics subsystem, forms Financial fraud audit backup system LAN (Local Area Network); Described data acquisition subsystem is by the audit data of network collection from business data source; Described data analytics subsystem utilizes computer-aided tool software, analyzes the Audit data in data acquisition subsystem, searches data exception point, for follow-up Financial fraud audit professional judgment is given a clue.Based on the assisted audit method of this system, can according to knowledge base, by building audit middle table and data exception decision rule, contribute to the exceptional value of auditor's fast finding enterprise ' s financial data, and then help auditor to find doubtful point of auditing, thus reduce the working strength of auditor, improve audit efficiency.
Technical essential compares: do not realize data regularly automatic gather and analysis in this invention, therefore can not realize the lasting automatic monitoring of the management state to enterprise; And its analysis software relating in data analytics subsystem is EXCEL, SQL SERVER Analysis server and AO software, the formulation of rule is realized by related computer languages, because the auditor of a large amount of enterprise is ignorant of related computer languages, therefore these auditors are difficult to use so regular set-up mode.And our scheme can be regularly automatic from business system acquisition data, data analysis adopts regulation engine to realize, support large quantity automatic business processing, achieve the lasting automatic monitoring of Internal Audit personnel to enterprise management condition, and the man-machine dialog interface of rule definition is friendly, only need with similar natural language description dependency rule, facilitate the auditor being ignorant of computerese and use.
Summary of the invention
For defect of the prior art, the object of this invention is to provide a kind of periodic data collection that can realize carrying out with all kinds of operation system networking, auditor can define in the mode be easily understood and checks rule and realize the regularly automatically Inspection and analysis to business datum by these rules, discovery doubtful point.Thus make the operation of enterprise obtain the audit and supervision continued, reduce the working strength of auditor, improve audit efficiency.
According to an aspect of the present invention, provide a kind of rule-based robotization auditing system, comprise the operation system part, data transmission device, the auditing system part that connect successively, wherein:
Operation system part comprises multiple operation system, and each operation system comprises operation system database 101 and data pick-up device 102, and operation system database 101 is by data pick-up device 102 connection data transmitting device;
Data transmission device 103 is for being regularly sent to the data sink of auditing system part by network by ready for each operation system data, support to set different data transfer cycles and data file path according to different operation system data sources, realize regularly automatically obtaining data file to the assigned address of operation system, be sent to the data sink of auditing system part;
Auditing system part comprises data sink 104, examine database 105, Inspection and analysis assembly 106, regulation engine 107, doubtful point database 108, inspected database 109, data sink 104, examine database 105, Inspection and analysis assembly 106 connect successively, and Inspection and analysis assembly 106 is connected to regulation engine 107, doubtful point database 108, inspected database 109 respectively.
Preferably, operation system database 101 is for memory system data; Data pick-up device 102 for according to the data pick-up demand of audit to operation system, regularly extracts the business datum of needs, deposits as independent business datum file, prepare to transmit from business system database frequency as required.
Preferably, data sink 104 is for being undertaken all kinds of business datum files received processing after conversion stored in the examine database of auditing system part, and when carrying out data documents disposal, support to carry out different process conversion regimes according to different business datum files, form the primary data of the examine that audit needs;
Examine database 105 to obtain from each operation system collection for storing, and not yet carries out the business datum of Inspection and analysis;
The inspection method of Inspection and analysis assembly 106 for presetting according to auditor, checks regularly automatically to the business datum in examine database; Data after inspection are deleted from examine data, are transferred in inspected database;
Regulation engine 107 is for setting the inspection rule of service data object and making Logic judgment according to inspection rule;
Doubtful point database 108 is abnormal business datum for the result stored through checking, divides different tables of data to store according to service data object type;
Inspected database 109, for storing the business datum through checking, divides different tables of data to store according to service data object type.
Preferably, different data files is stored in tables of data different in examine database 105 according to different examine business objects by data sink 104.
Preferably, described in the inspection method that presets comprise concrete service data object corresponding to the method, the logic rules of inspection are arranged by regulation engine; During inspection, the business datum of examine is sent to regulation engine one by one, calls the logic rules preset and check, whether abnormal regulation engine return mark; If regulation engine returns abnormal mark, then these data are stored to doubtful point database.
Preferably, regulation engine 107 adopts and increases income regulation engine Drools or adopt business rules engines VisualRules, ILOG.
According to another aspect of the present invention, a kind of rule-based robotization auditing method is also provided, comprises the steps:
Step 201, determines business datum scope: for all kinds of operation system, determines the business datum scope, specifying information and the collection period that need to gather;
Step 202, formulates and checks rule: the service data object according to gathering is analyzed respectively, determines the inspection of business datum rule, and arranges in Inspection and analysis assembly in auditing system part, and describes concrete inspection logic with regulation engine;
Step 203, automatic capturing service data: the data pick-up device of operation system is according to the cycle determined and business datum table extracted data generation data file from business system database automatically; Data transmission device is regularly automatic obtains the data sink that generated data file is sent to auditing system from operation system; Data sink to data file carry out read conversion after respectively stored in the different pieces of information table in examine database;
Step 204, automatically perform and check rule: all tables of data in the Inspection and analysis assembly regularly timing inquiry examine database of auditing system part, if find there are data in certain tables of data, then corresponding according to definition calling rule engine inspection rule checks one by one to data in data table;
Step 205, abnormal data is screened: regulation engine checks the data imported into according to inspection rule, as found not meet check gauge data then, then returns check result for abnormal; After having checked, data are stored to tables of data corresponding in inspected database, and data are deleted from examine database; If the check result of a certain bar data is abnormal, then these data are stored to doubtful point database simultaneously.
Preferably, also comprise the steps:
Step 206, audit professional judgment: regularly the doubtful point data in doubtful point database are exported.
Compared with prior art, rule-based robotization auditing method provided by the present invention and system, the internal auditing for enterprise provide a kind of can realize robotization audit method and check rule define method, its concrete advantage shows:
1, system can realize the lasting auditing and supervisory of the robotization to enterprise operation based on the regular automatic data acquisition with all kinds of operation system, automatically note abnormalities data from a large number of services data, improve audit efficiency, reduce the working strength of auditor, can Timeliness coverage problem, for enterprise retrieves a loss.
2, auditor can self-defined inspection rule, and rule definition adopts natural language to be described, simple, understandable.This is ignorant of the auditor of computerese is very large help for those, expands the self-defined scope of application checking rule.
Accompanying drawing explanation
By reading the detailed description done non-limiting example with reference to the following drawings, other features, objects and advantages of the present invention will become more obvious:
Fig. 1 is the enforcement structure principle chart of the robotization auditing system that the present invention is based on rule;
Fig. 2 is the implementing procedure figure of the robotization audit that the present invention is based on rule.
Embodiment
Below in conjunction with specific embodiment, the present invention is described in detail.Following examples will contribute to those skilled in the art and understand the present invention further, but not limit the present invention in any form.It should be pointed out that to those skilled in the art, without departing from the inventive concept of the premise, some distortion and improvement can also be made.These all belong to protection scope of the present invention.
Form primarily of three parts according to rule-based robotization auditing system provided by the invention: operation system part, data transmission device, auditing system part, see Fig. 1:
Operation system database 101: the data storage device of each operation system memory system data, usual each operation system has oneself independently database, separately stores business datum.
Data pick-up device 102: according to the data pick-up demand of audit to this operation system, realizes regularly extracting from business system database frequency (moon, week, day) as required the business datum needed, deposits as independent file, prepare to transmit.Certain arrangement and conversion can be carried out according to the requirement of audit to data during data pick-up.
Data transmission device 103: realize the data sink ready for each operation system data being regularly sent to auditing system part by network.Support to set different data transfer cycles and data file path according to different operation system data sources in data transmission device, realize regularly automatically obtaining data file to the assigned address of operation system, be sent to the data sink of auditing system.
Data sink 104: realize all kinds of business datum files received to carry out processing the examine database stored in auditing system after conversion.When carrying out data documents disposal, supporting to carry out different process conversion regimes according to different files, forming the primary data of the examine that audit needs.Different data files is stored in tables of data different in examine database.
Examine database 105: store and to obtain from each operation system collection, not yet carry out the business datum of Inspection and analysis.Different examine business objects, is stored as different tables of data, as sales contract, invoice, voucher etc.
Inspection and analysis assembly 106: the inspection method preset according to auditor, every day checks the business datum in examine database automatically.Data after inspection are deleted from examine data, are transferred in inspected database.Auditor need specify the method corresponding concrete service data object (as sales contract, invoice, voucher etc.) when setting inspection method, the logic rules of inspection are arranged by regulation engine.During inspection, the business datum of examine is sent to regulation engine one by one, calls the logic rules preset and check, whether abnormal regulation engine return mark.If regulation engine returns abnormal mark, then these data are stored to doubtful point database.
Regulation engine 107: realize setting the inspection rule of service data object and make Logic judgment according to inspection rule.Due to the experience accumulation of the rule that checks service data object normally auditor, and constantly may optimize amendment, the regulation engine therefore selected need be supported to be ignorant of the auditor of computerese can carry out inspection rule settings by the simple semantic description mode of similar natural language.The regulation engine Drools that increases income can be adopted, or adopt business rules engines VisualRules, ILOG etc.
Such as need to find out wholesale from accounting voucher, and be the reimbursement record of integer, rule can be set to:
If:
The account title of present credential starts to be 6602 and amount of debit side is greater than 10000 and remainder (amount of debit side/10000)=0 and voucher summary comprise reimbursement
So:
Present credential check result is abnormal
Present credential returned specification is the abnormal reimbursement of wholesale
Doubtful point database 108: the result stored through checking is abnormal business datum, divides different tables of data to store according to service data object type, and these data are auditor's important clue when carrying out detailed inspection.
Inspected database 109: store the business datum through checking, divides different tables of data to store according to service data object type, and these data can be used for that auditor is follow-up carries out detailed check and analysis.
Implement rule-based robotization auditing system to comprise the steps, see Fig. 2:
Step 201, determines business datum scope: auditor analyzes all kinds of operation systems of enterprise, determines the business datum scope, specifying information and the collection period that need to gather.
Step 202, formulates and checks rule: auditor analyzes respectively according to the service data object gathered, and determines the inspection of business datum rule, and arranges in Inspection and analysis assembly in systems in which, and describes concrete inspection logic with regulation engine.
Step 203, automatic capturing service data: the data pick-up device of operation system is according to the cycle determined and business datum table extracted data generation data file from business system database automatically; Data transmission device is regularly automatic obtains the data sink that generated data file is sent to auditing system from operation system; Data sink to data file carry out read conversion after respectively stored in the different pieces of information table in examine database.
Step 204, automatically perform and check rule: all tables of data in the Inspection and analysis assembly timing every day inquiry examine database of auditing system, if find there are data in certain tables of data, then corresponding according to definition calling rule engine inspection rule checks one by one to data in data table.
Step 205, abnormal data is screened: regulation engine checks the data imported into according to inspection rule, as found not meet check gauge data then, then returns check result for abnormal.After having checked, data are stored to tables of data corresponding in inspected database, and data are deleted from examine database.If the check result of a certain bar data is abnormal, then these data are stored to doubtful point database simultaneously.
Step 206, audit professional judgment: auditor regularly carries out deep check and analysis to the doubtful point data in doubtful point database, to find possibility Problems existing.
Below by embodiment, the present invention is made a more detailed description.
Embodiment 1: certain company carries out the enforcement of this aspect.
1, business datum scope is determined
Auditor determines to need three system acquisition enterprise operation data from the said firm through investigation.First be accounting system, need monthly to gather voucher, general ledger and accounting statement; Then be JXC System, monthly need gather outbound list, storage bill, monthly status reporting, invoice for sales, purchase bill, advice of settlement, purchase order, sales order; Be finally contract management system, need monthly gather procurement contract, sales contract.
Close account owing to carrying out last month finance before corporate policy every month 10, therefore after every month 10, the data of last month are stablized, and no longer change.Data acquisition plan is defined as each system of 2:00 AM on every month 11 according to the data genaration data file of last month, and 3:00 AM obtains data file by data transmission device from each operation system and is sent to auditing system.
2, inspection rule is formulated
Auditor, according to audit experience in the past, has formulated corresponding inspection rule to all kinds of business object respectively.For invoice, in audit in the past, often find that there is the phenomenon of manual shift profit, be embodied in 2 points:
● the invoice for sales this month that this month is outputed, does not keep accounts, and in book keeping operation next month, the profit of this month has been adjusted to next month.
● this month, outputs wholesale invoice for sales, then carries out red punching (outputing the negative invoice of same amount) next month, carries out falseness and sells, increase emptily this month profit.
Based on this 2 point, auditor has formulated two rules and has checked invoice for sales
● rule 1, invoice for sales is not kept accounts in the current period
If:
The accounting date of present sales invoice is non-NULL and month (accounting date) is not equal to month (date of invoice)
So:
Present sales invoice check result is abnormal
Present sales invoice returned specification is do not keep accounts in the current period
● rule 2, false sale
If:
The accounting date of present sales invoice is non-NULL and redly rushes the date and be non-NULL and be not equal to month (red rush the date) month (accounting date) and invoice amount is greater than 1000000
So:
Present sales invoice check result is abnormal
Present sales invoice returned specification is false sale
3, automatic capturing service data
Every month 11 2:00 AM, accounting system, JXC System and contract management system generate the data file of last month respectively.3:00 AM data transmission device obtains data file from the assigned address of these three systems, and is sent to auditing system.The data sink of auditing system carries out parsing conversion to these data files, is stored in the corresponding data table of examine database: voucher, general ledger and accounting statement, outbound list, storage bill, monthly status reporting, invoice for sales, purchase bill, advice of settlement, purchase order, sales order, procurement contract, sales contract.
4, inspection rule is automatically performed
Every month 11 4:00 AM 30 points, the Inspection and analysis assembly of auditing system starts, and each tables of data of order scanning examine database, finds tables of data non-NULL, inquire result, call dependency rule inspection.For invoice for sales, Inspection and analysis assembly finds invoice for sales tables of data non-NULL, inquiry invoice for sales tables of data, first calls " regular 1 invoice for sales is not in current period book keeping operation " for each invoice data and checks, then calls " rule 2 is false sells " and check.
5, abnormal data is screened
Be described for an invoice for sales, invoice sequence number is XS20130300051, and the invoice date of formation is 2013-02-24, and invoice amount is 235540.23, and accounting date is 2013-03-12, redly rushes the date for empty.First regulation engine uses, and " regular 1 invoice for sales is not in current period book keeping operation " checks, find due to satisfied regular 1, then returning check result is "abnormal", returned specification is " not in current period book keeping operation ", this invoice data is then stored in the invoice for sales table of doubtful point database by Inspection and analysis assembly, and marks non-conformance description for " not in current period book keeping operation "; Then regulation engine uses, and " rule 2 is false sells " checks, finds not meet rule 2, then return check result for " normally ", two rules check complete.This invoice data is stored in the invoice for sales table of inspected database by Inspection and analysis assembly, and never checks in the invoice for sales table of database and delete this invoice data.
6, audit professional judgment
Auditor regularly checks the data table related of doubtful point database, carries out testing in depth testing to newly-increased doubtful point data.Still for invoice for sales, auditor checked the invoice for sales in doubtful point database on April 15th, 2013, found to have increased the invoice for sales that invoice sequence number is XS20130300051 newly, and doubtful point is described as " not in current period book keeping operation ".Auditor has transferred the relevant document of this invoice, finds that situation is true, then have sent audit issues rectification notice to treasurer's department, and marks these doubtful point data for " processed ".
Above specific embodiments of the invention are described.It is to be appreciated that the present invention is not limited to above-mentioned particular implementation, those skilled in the art can make various distortion or amendment within the scope of the claims, and this does not affect flesh and blood of the present invention.
Claims (8)
1. a rule-based robotization auditing system, is characterized in that, comprises the operation system part, data transmission device, the auditing system part that connect successively, wherein:
Operation system part comprises multiple operation system, and each operation system comprises operation system database (101) and data pick-up device (102), and operation system database (101) is by data pick-up device (102) connection data transmitting device;
Data transmission device (103) is for being regularly sent to the data sink of auditing system part by network by ready for each operation system data, support to set different data transfer cycles and data file path according to different operation system data sources, realize regularly automatically obtaining data file to the assigned address of operation system, be sent to the data sink of auditing system part;
Auditing system part comprises data sink (104), examine database (105), Inspection and analysis assembly (106), regulation engine (107), doubtful point database (108), inspected database (109), data sink (104), examine database (105), Inspection and analysis assembly (106) connect successively, and Inspection and analysis assembly (106) is connected to regulation engine (107), doubtful point database (108), inspected database (109) respectively.
2. rule-based robotization auditing system according to claim 1, is characterized in that, operation system database (101) is for memory system data; Data pick-up device (102) for according to the data pick-up demand of audit to operation system, regularly extracts the business datum of needs, deposits as independent business datum file, prepare to transmit from business system database frequency as required.
3. rule-based robotization auditing system according to claim 2, is characterized in that,
Data sink (104) is for being undertaken all kinds of business datum files received processing after conversion stored in the examine database of auditing system part, and when carrying out data documents disposal, support to carry out different process conversion regimes according to different business datum files, form the primary data of the examine that audit needs;
Examine database (105) to obtain from each operation system collection for storing, and not yet carries out the business datum of Inspection and analysis;
Inspection and analysis assembly (106) inspection method for presetting according to auditor, checks regularly automatically to the business datum in examine database; Data after inspection are deleted from examine data, are transferred in inspected database;
Regulation engine (107) is for setting the inspection rule of service data object and making Logic judgment according to inspection rule;
Doubtful point database (108) is abnormal business datum for the result stored through checking, divides different tables of data to store according to service data object type;
Inspected database (109), for storing the business datum through checking, divides different tables of data to store according to service data object type.
4. rule-based robotization auditing system according to claim 3, is characterized in that, different data files is stored in tables of data different in examine database (105) according to different examine business objects by data sink (104).
5. rule-based robotization auditing system according to claim 3, is characterized in that, described in the inspection method that presets comprise concrete service data object corresponding to the method, the logic rules of inspection are arranged by regulation engine; During inspection, the business datum of examine is sent to regulation engine one by one, calls the logic rules preset and check, whether abnormal regulation engine return mark; If regulation engine returns abnormal mark, then these data are stored to doubtful point database.
6. rule-based robotization auditing system according to claim 3, is characterized in that, regulation engine 107 adopts increases income regulation engine Drools or adopts business rules engines VisualRules, ILOG.
7. a rule-based robotization auditing method, is characterized in that, comprise the steps:
Step 201, determines business datum scope: for all kinds of operation system, determines the business datum scope, specifying information and the collection period that need to gather;
Step 202, formulates and checks rule: the service data object according to gathering is analyzed respectively, determines the inspection of business datum rule, and arranges in Inspection and analysis assembly in auditing system part, and describes concrete inspection logic with regulation engine;
Step 203, automatic capturing service data: the data pick-up device of operation system is according to the cycle determined and business datum table extracted data generation data file from business system database automatically; Data transmission device is regularly automatic obtains the data sink that generated data file is sent to auditing system from operation system; Data sink to data file carry out read conversion after respectively stored in the different pieces of information table in examine database;
Step 204, automatically perform and check rule: all tables of data in the Inspection and analysis assembly regularly timing inquiry examine database of auditing system part, if find there are data in certain tables of data, then corresponding according to definition calling rule engine inspection rule checks one by one to data in data table;
Step 205, abnormal data is screened: regulation engine checks the data imported into according to inspection rule, as found not meet check gauge data then, then returns check result for abnormal; After having checked, data are stored to tables of data corresponding in inspected database, and data are deleted from examine database; If the check result of a certain bar data is abnormal, then these data are stored to doubtful point database simultaneously.
8. rule-based robotization auditing system according to claim 7, is characterized in that, also comprise the steps:
Step 206, audit professional judgment: regularly the doubtful point data in doubtful point database are exported.
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