JP2002373245A - Audit supporting system, method and program - Google Patents

Abstract

PROBLEM TO BE SOLVED: To eliminate the need of the interview of a person concerned by utilizing a communication network, freely using the terminals of respective relating parts and presenting/ confirming/approving audit information. SOLUTION: An audit supporting system is provided with the terminal 20 on an audit side preparing an audit plan, presenting it to a side to be audited, questioning and confirming the side to be audited and carrying out an audit according to a check list based on the audit plan and registering an audited result, the terminal 10 on the side to be audited acquiring the audit plan, presenting data relating to the audit, registering them as the audit information and responding to questions on the audit side, an approver terminal 30 closely auditing and approving the audited result and the audit information, an audit server 50 managing information including the audit plan, the check list, the audit information and the audited result, and the communication network 100 interconnecting the terminal on the audit side, the terminal on the side to be audited, the approver terminal and the audit server.

Description

DETAILED DESCRIPTION OF THE INVENTION

[0001]

TECHNICAL FIELD The present invention relates to an audit support system,
The present invention relates to an audit support system, a method, and a program that enable an auditing side and an audited side to perform an audit without an interview using a communication network.

[0002]

2. Description of the Related Art Conventionally, auditing has been performed in such a manner that an auditing side and an audited side gather at a place such as a conference room and directly ask questions. Therefore, if the organization to be audited is not on the same premises, both the auditing side and the audited side often have inconvenience and inconvenience. In particular, when the distance between the two is large, it is inevitable that it takes time to move or contact the concerned parties.

[0003] Further, when the organization to be audited is large, the number of persons involved also increases, and the management of the audit status in the audit office becomes complicated, making it difficult to grasp the audit information accurately and quickly. Sometimes.

[0004]

As described above, in the conventional auditing operation, the auditing side and the audited side perform an auditing process while presenting together to present a question-and-answer session and documents. Therefore, if the auditing side and the audited side are located at a distance from each other, there is a disadvantage that it takes time to move and contact the concerned parties.

[0005] In addition, when the organization to be audited is large, it is difficult to grasp the audit status accurately and quickly.

SUMMARY OF THE INVENTION An object of the present invention is to solve the above-mentioned problems by utilizing the communication network and making full use of the terminals of the relevant departments to present, confirm and approve the audit information. It is an object of the present invention to provide an audit support system, method, and program that eliminates the need for interviews with persons.

[0007]

An audit support system according to the present invention creates an audit plan, presents it to the auditee, asks the auditee to ask and confirm the audit according to a checklist based on the audit plan, and performs an audit. And an audited terminal that obtains the audit plan, presents materials related to the audit, registers it as audit information, and responds to questions of the audit side. An approver terminal that examines and approves the results and the audit information, an audit server that manages information including the audit plan, the checklist, the audit information, and the audit result; an audit terminal; And a communication network for interconnecting the terminal, the approver terminal, and the audit server.

Further, in the audit support system according to the present invention, the audited terminal has a function of responding to a query from the auditing terminal by voice and a function of presenting a video to the auditing terminal. I do.

Further, in the audit support system of the present invention, the auditing terminal has a function of querying the audited terminal by voice and a function of acquiring and displaying a video from the audited terminal. I do.

Further, the audit support system of the present invention is provided with a workflow system for setting in advance an approval route for reporting the audit result and the audit information and approving the same, and managing the passing status of the approval route. It is characterized by.

In the audit support method of the present invention, prior audit information including an audit policy and basic data of a checklist based on the audit policy is stored in advance in an audit server via a communication network, and an auditor is operated by an audit terminal by an audit terminal. Referencing the pre-audit information via the communication network,
An audit plan and a checklist are created for the audit object and registered in the audit server. The auditee obtains the audit plan and the checklist of the audit object from the auditee terminal via the communication network, and A question-and-answer session with the side terminal, presents the audit data, registers the first audit information including the items pointed out by the audit and the countermeasures in the audit server, and the auditor uses the audit side terminal to perform the audit. A second audit information including a report is registered in the audit server, and an approver accesses the audit server via the communication network by an approver terminal, and the content of the first audit information and the second audit information And registering the approval result.

Further, in the audit support method of the present invention, in the above-described audit support method, an approval route for reporting the first audit information and the second audit information and approving them is set in advance. A workflow system for managing the passage status of the approval route is provided.

The audit support program according to the present invention further comprises a step of storing prior audit information including an audit policy and basic data of a checklist based on the audit policy in an audit server via a communication network. A terminal that refers to the preliminary audit information via the communication network, creates an audit plan and a checklist for an audit target, and registers the checklist in the audit server; Obtains the audit plan and checklist of the audit target via Q & A, presents the audit data by questioning and answering with the auditing terminal, and sends the first audit information including the items pointed out and the measures to be taken by the audit. Registering with an audit server, wherein the auditor includes a second report including the audit report by the auditing terminal. Registering audit information with the audit server, the approver accesses the audit server via the communication network by an approver terminal to check the contents of the first audit information and the second audit information, Registering the approval result.

Furthermore, the audit support program of the present invention
In the above-mentioned audit support program, a workflow system for setting the approval route for reporting the first audit information and the second audit information and approving the same in advance and managing the passing status of the approval route is included. It is characterized by.

That is, according to the present invention, the monitored side presents the evidence necessary for the audit by using the document management system on the communication network, the video input device connected to the terminal, and the Internet telephone, Answering by voice becomes possible on the terminal.

Further, the auditing side can also audit an audit located at a distant place in an ordinary business place, so that all parties can always grasp the audit status.

Further, the secretariat prepares the basic data of the audit checklist based on the overall audit policy in the audit server, and the auditing side customizes the auditing checklist according to the audited side. An audit checklist corresponding to the side can be easily created.

The results of the audit are input from the terminals by the auditing side and the audited side, and are approved using a workflow system, and are registered in the auditing server as audit information.

The secretariat can summarize the audit using the information registered in the audit server. Further, the status of the audit can be referred to from all terminals via the communication network.

[0020]

DESCRIPTION OF THE PREFERRED EMBODIMENTS The present invention will be described below with reference to the drawings.

FIG. 1 is an explanatory diagram showing an embodiment of the present invention. In the figure, the audit support system according to the present invention creates an audit plan, presents it to the auditee, queries and confirms the auditee in accordance with a checklist based on the audit plan, performs an audit, and executes the audit result. An auditing terminal 20, which acquires the audit plan, presents materials related to the audit, registers it as audit information, and responds to questions of the auditing side, and An approver terminal 30 for examining and approving audit information, an audit server 50 for managing information including the audit plan, the checklist, the audit information, and the audit result; an audit terminal; Communication network 1 for mutually connecting the approver terminal and the audit server
00.

Here, it is assumed that the communication network 100 is the Internet.

The terminal 10 to be inspected has a microphone / speaker, and performs an audit response through the screen of the terminal and the microphone / speaker. Further, a document or a video presented as evidence from a document management system or a video input device described later is presented to the auditing terminal via the Internet. Further, reference and registration to the audit server can be performed.

The above-mentioned image input device 11 is used when the inspected side presents an image to the inspecting side. That is,
Using a camera or scanner, input moving images and still images to the audited terminal.

The document management system 40 is a system for collectively managing documents to be audited via the Internet, and has a function of excluding access other than authorized access.

The above-mentioned auditing terminal 20 has a microphone / speaker, and confirms an audit document or makes a voice question through the terminal screen and the microphone / speaker. Also,
Refer to the document management system that manages the document of the auditee via the Internet. Further, reference and registration to the audit server can be performed.

The approver terminal 30 performs an approving action on the audit results of the auditee and the inspector. For approval of approval, a predetermined person performs approval using a workflow system described later.

The above-mentioned workflow system 80 is based on the We
This is an approval system using b. In this system, an approver of an audit report is set in advance, and when an audit result is reported, an approver is automatically requested to perform the approval. It also manages the status of approval.

The audit server 50 is a database for managing information generated in an audit, and has a function of excluding an access other than an authorized access.

The secretariat terminal 60 is used when storing the audit policy and the basic data of the checklist in the audit server. Further, access to the audit server can be performed at all times.

Further, the general terminal 70 can refer to the audit server and know its status.

FIG. 2 is an explanatory diagram showing the operation of the above-described audit support system. Hereinafter, description will be made sequentially according to the inspection procedure with reference to FIG.

(S1) The secretariat inputs pre-audit information (overall policy in auditing, status of the auditee (phase, etc.), basic data of an audit checklist based on the overall policy) from the secretariat terminal. Prior audit information input from the secretariat terminal is registered in the audit server via the Internet.

(S2) The auditing side can refer to the auditing advance information input to the auditing server in (S1) from the terminal on the auditing side via the Internet.

The auditing side prepares an audit plan based on the pre-audit information referred to. Then, the created audit plan is registered in the audit server from the auditing terminal via the Internet.

Further, the auditing side customizes the audit checklist basic data of the prior audit information and creates an auditing checklist according to the situation of the audited side. Then, the created audit check list is registered in the audit server from the auditing terminal via the Internet.

(S3) The auditee refers to the audit plan and the audit checklist registered in the audit server in (S2) on the auditee terminal, and checks the audit in advance.

(S4) The auditing side refers to the document management system of the audited side from the terminal on the auditing side, and checks in advance a document serving as evidence of the audit.

(S5) The auditing side uses the auditing terminal to perform an audit while referring to an audit checklist registered in the audit server.

(S6) The auditee uses the auditee terminal to
Receive an audit while referring to the audit checklist registered in the audit server.

(S7) The auditing side is connected to the auditing side terminal and the audited side is connected to the audited side terminal via the Internet, and an audit is performed between the terminals. Audits are conducted in real-time by transmitting voices and interviews.

(S8) At the time of the audit in the interview format at the auditee terminal, the auditee extracts a document as evidence of the answer to the question from the document management system together with the voice answer, and sends the Internet to the auditee. And provide evidence in audits. Then, the auditing side confirms the document which is transmitted at the auditing side terminal and is the evidence of the auditing.

(S9) The auditing side refers to the document management system of the audited side from the terminal on the auditing side, and checks a document serving as evidence of the audit.

(S10) The auditee uses the video input device connected to the auditee terminal together with a voice response at the time of auditing in the interviewee terminal at the auditee terminal, using the video input device. (Presenting the workplace situation) or a still image using a scanner (presenting a tag or label attached to hardware, for example, which has not been incorporated into the document management system) to the auditing terminal via the Internet,
Provide evidence during the audit.

(S11) The auditee inputs audit information (points pointed out by the audit and their countermeasures) at the auditee terminal. The input audit information is transmitted via the Internet according to an approval route set in advance by the workflow system.

The approver checks the content on the approver terminal and inputs the approval result. Audit information (points pointed out by the audit and countermeasures thereof) and the status of passage through the approval route are sequentially registered in the audit server via the Internet.

(S12) The audit side inputs audit information (audit report) at the audit side terminal. The input audit information is transmitted via the Internet according to an approval route set in advance by the workflow system.

The approver checks the content on the approver terminal and inputs the approval result. The audit information (audit report) and the passing status of the approval route are sequentially registered in the audit server via the Internet.

(S13) The secretariat can check the status of the audit by referring to the audit information on the secretariat terminal. The audit status can be referred from all terminals via the Internet.

(S14) The secretariat summarizes the audit based on the information collected as audit information at the secretariat terminal.
The compiled information is registered in the audit server via the Internet, and can be referenced from all terminals via the Internet.

The above-described audit support system operates by executing programs stored in the main memory of the audit server and each terminal. This program is usually stored in secondary storage such as a hard disk,
When the audit support system is operated, it is loaded into each of the above main memories and executed.

[0052]

As described above, according to the present invention, the following effects can be obtained.

The first effect is that it is not necessary for the persons involved in the audit to meet in one place, so that the time and cost spent for moving and the like when the auditing side and the audited side are separated from each other can be reduced.

The second effect is that not only the presentation of evidence by the document management system but also the voice interview can be performed on the Internet, so that the same question and answer as in the audit in a normal meeting format can be performed.

The third effect is that the secretariat presents the overall policy in the audit by managing the audit server, and the auditing side can create an audit checklist based on the audit server. Therefore, it is possible to carry out an audit in accordance with the situation (phase, etc.) of the auditee.

The fourth effect is that all processes from the start of the audit to the audit report can be sequentially grasped on the audit support system, so that the audit can be easily managed even when the target of the audit is large. It is.

[Brief description of the drawings]

FIG. 1 is an explanatory diagram showing one embodiment of the present invention.

FIG. 2 is an explanatory diagram showing the operation of the present invention.

[Explanation of symbols]

 DESCRIPTION OF SYMBOLS 10 Audited terminal 11 Video input device 20 Auditing terminal 30 Approver terminal 40 Document management system 50 Audit server 60 Secretariat terminal 70 General terminal 80 Workflow system 100 Communication network

Claims (8)

[Claims] 1. An auditing terminal that creates an audit plan, presents it to the auditee, queries and confirms the auditee in accordance with a checklist based on the audit plan, performs an audit, and registers an audit result. An audited terminal that obtains the audit plan, presents materials related to the audit, registers it as audit information, and responds to questions of the audit side, and an approver that examines and approves the audit result and the audit information. A terminal, an audit server that manages the audit plan, the checklist, the audit information, and information including the audit result; and an audit terminal, the audited terminal, the approver terminal, and the audit server. An audit support system comprising: a communication network interconnecting with each other. 2. The audit support system according to claim 1, wherein the audited terminal has a function of responding to a query from the auditing terminal by voice and a function of presenting a video to the auditing terminal. An audit support system characterized by: 3. The auditing support system according to claim 1, wherein the auditing terminal has a function of querying the audited terminal by voice and a function of acquiring and displaying a video from the audited terminal. An audit support system characterized in that: 4. The audit support system according to claim 1, wherein an approval route for reporting the audit result and the audit information and approving the report is set in advance, and a passing status of the approval route is determined. An audit support system comprising a management workflow system. 5. An audit policy and preliminary audit information including basic data of a checklist based on the audit policy are stored in advance in an audit server via a communication network, and an auditor uses an audit terminal to perform the audit via the communication network. Referring to the prior information, an audit plan and a checklist are created for the audit target and registered in the audit server, and the auditee uses the auditee terminal to perform the audit plan and the checklist of the audit target via the communication network. And presents audit data by questioning and answering with the auditing terminal, registers first audit information including matters pointed out by the audit and action items in the audit server, and the auditor performs the audit. The second terminal registers second audit information including the report of the audit in the audit server by the terminal, and the approver uses the approver terminal to communicate the communication network. An audit support method comprising: accessing the audit server via a network, confirming the contents of the first audit information and the second audit information, and registering the approval result. 6. The audit support method according to claim 5, wherein
The first audit information and the second audit information are reported in advance and an approval route for approving the report is set in advance,
An audit support method, comprising: a workflow system that manages the passing status of the approval route. 7. A method of storing in advance an audit policy and basic audit check information including basic data of a checklist in an audit server via a communication network; Creating an audit plan and a checklist for the audit target with reference to the audit preliminary information and registering the check plan and the check list in the audit server, and the auditee performs an audit of the audit target by the auditee terminal via the communication network. Obtaining a plan and a checklist, presenting audit data by questioning and answering with the auditing terminal, and registering first audit information including matters pointed out and actions to be taken by an audit in the audit server; The auditor registers the second audit information including the audit report in the audit server by the auditing terminal. And an approver accessing the audit server via the communication network by an approver terminal, confirming the contents of the first audit information and the second audit information, and registering the approval result. An audit support program characterized by the following: 8. The audit support program according to claim 7, wherein an approval route for reporting the first audit information and the second audit information and approving them is set in advance, and the passing status of the approval route is set. An audit support program characterized by including a workflow system that manages audits.