JP2010079703A - Audit trail management system - Google Patents

Abstract

<P>PROBLEM TO BE SOLVED: To provide a means for improving the efficiency of audit trail collection in evaluating an operation state. <P>SOLUTION: A store terminal 2 includes a means for receiving input of audit trail information and a means for transmitting the received audit trail information to an audit trail management server 1. The audit trail management server 1 includes: an audit trail information database 8 storing preset audit planning condition data; a means for receiving audit trail information from the store terminal 2; a means for forming tabulation accumulation data obtained by calculating the total number of accumulated audit trail information for each store and for each business process; a means for determining a business process priority order P in which a total accumulated number Gd of tabulation data for each business process are arranged in ascending order; a means for determining a store priority order T in which the number of business process counts Gc for each store of tabulation data are arranged in ascending order; and a means for forming audit planning data by setting the number of audit trails to be audited for each store and for each business process based on the audit planning condition data in order from the business process at the of the business process priority order P and in order from the store at the top of the store priority order T in the business process. <P>COPYRIGHT: (C)2010,JPO&INPIT

Description

  The present invention relates to a trail management system used for creating an audit plan when collecting a plurality of trails for each business process from a large number of stores in an internal audit or the like.

In the conventional trail management system, when the trail input from each department's network system is centrally managed in chronological order by the trail management server, and the trail related to a specific event is analyzed, it is changed from the accumulated trail to the event. A plurality of corresponding trails are extracted and output (for example, refer to Patent Document 1).
JP 2007-26207 A (mainly paragraphs 0040-0043, FIGS. 1 and 6)

In recent years, corporate compliance systems have been tightened by the enforcement of the SOX (Sarbanes-Oxley) law in the United States, and the importance of corporate responsibility has increased socially.
In Japan, the Financial Instruments and Exchange Act was enacted, and from 2008, obligations to present internal control reports for listed companies such as financial institutions such as city banks, regional banks, insurance companies, consumer finance companies, and other companies. As a result, there is a need to pay more attention to the reliability of securities reports.

The internal control report has a deadline for presentation similar to financial reports, and the deadline must be strictly observed.
In a financial institution, the audit side checks the transaction documents such as slips to check whether or not the operations are being carried out as described in the manual for a large number of branches and branches that carry out similar business. The operation status is being evaluated, and high efficiency of the evaluation is required.

When evaluating the operational status of a financial institution, a certain number of trails are required for each business process, so a plan for the audit side to collect multiple trails for each business process from a large number of stores (referred to as an audit plan). Create and carry out continuous evaluation.
However, in the conventional technology described above, a large number of trails in the network system of each department are accumulated and managed in the trail management server, but each department manages when creating an audit plan. It is necessary to extract a trail by department from the trail management server, manually sort it by business process, determine the number of trails to be collected from each department, and create an audit plan. Time is required, and it is difficult to improve the efficiency of trail collection in the evaluation of operation status.

  The present invention has been made to solve the above problems, and an object of the present invention is to provide means for improving the efficiency of trail collection in the evaluation of operation status.

In order to solve the above problems, the present invention is a trail management system including a store terminal installed in a plurality of stores, and a trail management server connected to the store terminal, wherein the store terminal is
Means for accepting input of trail information; means for transmitting the accepted trail information to the trail management server; the trail management server storing preset audit plan creation condition data; and the store Means for receiving the trail information from a terminal, means for creating aggregate accumulation data in which the accumulation number of trail information is aggregated by store and business process based on the received trail information, and 1 of the aggregate accumulation data Means for determining the business process priority by arranging the total number of stored totals of the number of stored trail information for each business process for one business process, and the business for which there is trail information for one store of the aggregated accumulated data Means for arranging the business process counts obtained by counting processes in ascending order and determining store priority, and the business process priority Create audit plan data in which the number of trails to be audited is set for each store and for each business process based on the audit plan creation condition data in order from the top business process, in the order of stores with the highest store priority in the business process. Means and means for storing the created audit plan data.

  As a result, the present invention preferentially sets a store or a business process as an audit target even if there is a store where the business process to be audited is offset or a business process with a small number of trails to be audited exists. The number of business processes for each store to be audited and the number of trails for each business process can be equalized during the evaluation of operational status, and the number required when the person in charge of the audit visits the store. Thus, it is possible to reliably obtain the trail and improve the efficiency of trail collection in the evaluation of the operation status.

  Embodiments of a trail management system according to the present invention will be described below with reference to the drawings.

FIG. 1 is an explanatory diagram showing the configuration of the trail management system of the embodiment, and FIGS. 2 and 3 are flowcharts showing the audit plan creation processing of the embodiment.
In FIG. 1, 1 is a trail management server, which is installed at the headquarters of an internal audit room of a financial institution such as a city bank, a regional bank, an insurance company, or a consumer finance company, and is installed at a branch office or branch office of the financial institution. Connected to the installed store terminal 2 via a network 3 such as a dedicated line or a telephone line, and a function for counting the accumulation status of trail information and a function for creating an audit plan based on the accumulated trail information have.

  The store terminal 2 includes a display screen such as an LCD, a scanner for inputting image data of a trail including transaction documents such as slips (for example, a deposit slip), and a process type indicating the business process type (for example, a deposit process). It includes a keyboard, mouse, etc. for entering incidental information such as codes, store codes that indicate the names of stores where transactions were conducted, and document codes that indicate the types of transaction documents. It has a function of receiving input of trail information including information and transmitting it to the trail management server 1.

4 is a display terminal such as a personal computer, which is installed at the headquarters of a financial institution and connected to the trail management server 1 via a LAN or the like, receives an audit plan or the like transmitted from the trail management server 1, It has a function of displaying on a display screen such as an LCD, a function of accepting input from a keyboard, and the like.
The installation location of the trail management server 1 may be any location as long as it can manage the plurality of store terminals 2 at once.

Further, the installation location of the display terminal 4 does not have to be the same location as the installation location of the trail management server 1, and may be any location as long as it can be connected via the network 3.
A control unit 5 of the trail management server 1 is connected to the store terminal 2 via the network 3 by the communication unit 6, and controls each unit in the trail management server 1 to collect trail information and an audit plan. It has a function of executing creation processing and the like.

The communication unit 6 has a function of connecting the trail management server 1 and the store terminal 2 so as to be able to communicate with each other via the network 3 by its communication language conversion function.
An input unit 7 of the trail management server 1 includes a keyboard and a mouse and has a function of receiving various inputs such as audit plan creation condition data from a person in charge.
Reference numeral 8 denotes a trail information database, which is a database built in a storage device such as a hard disk device built in or externally attached to the trail management server 1, and includes audit plan creation condition data set in advance and the trail management server 1. In addition to storing the created audit plan data, a trail information storage area for storing and storing trail information transmitted from the terminal 2 for each store, and a total storage data storage area for storing total storage data are secured.

A storage unit 10 such as an internal memory of the trail management server 1 stores a program executed by the control unit 5, various data used for the program, processing results by the control unit 5, and the like.
The storage unit 10 of the trail management server 1 according to the present embodiment includes an application program having a function of performing a trail information totaling process to be described later and a function of performing an audit plan creation process described with reference to FIGS. The management process execution program is stored in advance, and each function unit as hardware of the trail management server 1 of this embodiment is formed by the steps of the management process execution program executed by the control unit 5.

  The storage unit 10 includes an audit plan creation condition data temporary storage area 11 for temporarily storing audit plan creation condition data read from the trail information database 8 when creating the audit plan data, and when creating the audit plan data. Total storage data temporary storage area 12 for temporarily storing the total storage data read from the trail information database 8, and audit plan data temporary storage area 13 for temporarily storing the audit plan data being created at the time of creation of the audit plan data Is stored, a code comparison table describing correspondence between process type codes and business process types, and correspondence between store codes and store names is stored.

  In preparing the audit plan, based on agreements with external audit corporations and various laws and regulations in advance, the total number of business processes Ap (six in this embodiment), which is the total number of business processes to be audited, and their The business process type (business processes 1 to 6 shown in FIG. 4), the total number of stores At which is the total number of stores to be audited (in this embodiment, the total number of stores (6 stores)) and their store names (FIG. 4) Stores A to F) are set.

In addition, as a basic policy for preparing the audit plan, the basic policy is to equalize the number of trails to be audited (called the number of trails to be audited K) in each store to be audited.
(A) Total number of trails target value Mg (in this embodiment, 6 trails / businesses) which is the target value of the total number of auditable trails K for each store in one business process (referred to as the total number of auditable trails Gk) process),
(B) Trail number target value Mk (in this example, 2 trails / business process), which is the target value of the number of audit target trails K for one business process in one store,
(C) Business process number target value Mp which is a target value of business process number Gp, which is a count number obtained by counting business processes having one or more audit target trail numbers K in one store (in this embodiment, 3 Business process / store),
Three conditions consisting of are preset.

  Therefore, in the trail information database 8 described above, the total number of business processes Ap and their business process types, the total number of shops At, and their shop names, which are necessary for creating an audit plan based on these audit plan creation conditions. , And the audit plan creation condition data including the trail total number target value Mg, the trail number target value Mk, and the business process number target value Mp are input and stored in advance by the input unit 7 of the trail management server 1.

The target number of business processes Mp is
The total number of trails to be audited is the total number of business processes to be audited Ap (6 business processes) x the total number of trails target value Mg (6 trails / business processes), and the average number of trails per store is audited. Total number of target trails (36 trails) ÷ 6 trails / stores based on the total number of audited stores At (6 stores), and the target number Mk for one business process at one store is 2 trails / business process So
Target number of business processes Mp = 6 trails / store ÷ 2 trails / business process
= 3 Value calculated as business process / store.

  In the total storage data storage area of the trail information database 8 described above, in order to store the total storage data composed of each data constituting the storage data totaling table shown in FIG. 4, a trail corresponding to the business process type and the store name is stored. Total number of storages for storing the total number of business processes Ap for storing the total number of stored information Ap × the total number of stores for store At, and the total number of stored G for each business process. A business process count number storage area for storing a business process count number Gc obtained by counting a business process having an accumulated number D of 1 or more in each store is set. The value is “0”.

Below, the trail information totaling process of a present Example is demonstrated.
The person in charge at the store of the financial institution inputs the image data of the transaction document by the store terminal 2 when the transaction document stored as a trail is processed as described in the manual and the processing is completed. Attached information such as the process type code of the business process type, the store code of the store, and the document code of the transaction document is input.

The store terminal 2 that has received this input transmits trail information including image data and incidental information of the input trail (transaction document) to the trail management server 1 via the network 3.
In addition, after sending the trail information, the person in charge stores the transaction document serving as a trail in a predetermined storage location defined in the manual.
On the other hand, the control unit 5 of the trail management server 1 installed at the headquarters of the financial institution waits for the arrival of trail information from the store terminal 2 by the management processing execution program stored in the storage unit 10. When the trail information from the store terminal 2 is received, the trail information totaling process is executed.

  In the trail information totaling process, the control unit 5 refers to the code comparison table stored in the storage unit 10 based on the process type code and the store code included in the accompanying information of the received trail information, and the trail information Is stored in the storage number storage area of the corresponding business process type of the corresponding store name of the total storage data (see FIG. 4) stored in the trail information database 8. “1” is added to the number D, the accumulated number D is updated, the accumulated total number Gd of the accumulated total number storage area of the business process is updated, and at least one accumulated number D of the store exists. When the number of processes increases, the business process count number Gc in the business process count number storage area is updated, and after the update, the trail information including the image data of the trail is converted into the trail information. And stores the trail information storage area of the database 8.

In this way, based on the trail information transmitted as needed on the trail information database 8, the accumulated number D of trail information is totaled for each store and each business process, and the total number Gd stored for each business process, and the store Aggregated accumulated data obtained by aggregating another business process count number Gc is created by the control unit 5.
In the following, the audit plan creation process of this embodiment will be described in accordance with the steps indicated by S in FIG. 2 and SX in FIG.

The control unit 5 of the trail management server 1 installed in the headquarters sends an audit plan creation request transmitted from the display terminal 4 periodically or by an instruction input from the person in charge of the headquarters through the input unit 7 as necessary. Audit plan creation processing is executed when a message is received.
S 1, the control unit 5 that has started the audit plan creation process by the management process execution program reads the accumulated data accumulated so far stored in the trail information database 8, and temporarily stores the accumulated data stored in the storage unit 10. The area 12 is temporarily stored in the same storage format as the trail information database 8.

In this embodiment, the trail information that is listed in each column of the accumulated data totaling table shown in FIG. , The accumulated total number Gd for each business process, and the business process count number Gc for each store are temporarily stored in each storage area.
The control unit 5 also stores the total number of business processes Ap stored in the trail information database 8 and their business process types, the total number of stores At and their store names, the total number of trails target value Mg, the target number of trails Mk, and the number of business processes. The audit plan creation condition data including the target value Mp is read out and temporarily stored in the audit plan creation condition data temporary storage area 11 of the storage unit 10.

  S2, the control unit 5 that has read out the audit plan data creation target value creates a business plan type and a store in order to create audit plan data composed of the data constituting the audit plan in the table format shown in FIGS. For writing the audit process number write area of the total number of business processes Ap × total number of stores At for writing the audit trail number K in correspondence with the name, and the business process priority P set for each business process Business process priority order writing area, store priority order writing area for writing store priority order T set for each store, and audit target trail that is the total number of audit target trails K for each store in each business process Total number of auditable trail writing area for writing the total number Gk, and the number of business processes with one or more auditable trail numbers K in each store are counted. The business processes number write area for writing each document business processes number Gp, sets the audit planning data temporary storage area 13.

Then, the audit trail number writing area, the business process priority order writing area, and the store priority order writing area are cleared, and the initial values of the business process number writing area and the audit trail total number writing area are set to “0”. Thus, each writing area of the audit plan data of the audit plan shown in FIG. 6 is initialized.
S3, the control unit 5 having completed the initialization of the audit plan data arranges the accumulated total number Gd of each business process stored in each accumulated total number storage area of the total accumulated data temporary storage area 12 in ascending order. The priority order P is determined, and the determined business process priority order P is written in the business process priority order writing area for each business process in the audit plan data temporary storage area 13.

S4, the control unit 5 also determines the store priority T by arranging the business process count Gc of each store stored in each business process count number storage area of the total accumulated data temporary storage area 12 in ascending order, The determined store priority order T is written in the store priority order writing area for each store in the audit plan data temporary storage area 13.
In this case, when there are stores with the same number of business process counts Gc, priority is determined in alphabetical order of store names.

In the present embodiment, the business process priority P and the store priority T shown in FIG. 7 are determined based on the accumulated total number Gd and the business process count number Gc of the total accumulated data shown in FIG.
In S5, the control unit 5 that has determined the business process priority P and the store priority T sets the initial value of the business process priority P in order to create the audit plan data in order from the business process higher in the business process priority P. Set to “0”.

In S6, the control unit 5 that has initialized the business process priority P adds “1” to the business process priority P and sets the priority of the business process for creating the audit plan data.
S7, the control unit 5 having set the business process priority P, sets the number of trails K to be audited in the audit plan data in order from the store having the highest priority of the store priority T in the business process. Set the value to “0”.

In S8, the control unit 5 that has initialized the store priority T adds “1” to the store priority T, and sets the priority of the store for which the number K of audit trails is set.
And the control part 5 which set the business process which creates audit plan data, and the store which sets the audit target trail number K in the said business process, for each store and each business process based on the above audit plan creation condition data. The audit trail number K is set according to the following procedure.

  S9, the control unit 5 having set the store priority T for setting the audit trail number K, sets the current number of business processes Gp of the set store priority T in the audit plan data temporary storage area 13 The business process number target value Mp is read from the audit plan creation condition data temporary storage area 11 from the process number writing area and compared, and if the business process number Gp is less than the business process number target value Mp, the process proceeds to step S12. Transition.

If the business process number Gp is equal to or greater than the business process number target value Mp, the process proceeds to step S10.
In S10, the control unit 5 that has determined that the number of business processes Gp of the store is equal to or greater than the business process number target value Mp reads the number of business processes Gp for each store at the current stage from each business process number write area. In the case where there is a store having the business process number target value Mp less than the store priority order of the store, it is determined that the setting of the audit target trail number K in the store is unnecessary, and the process proceeds to step S14. Transition.

If there is no store below the business process number target value Mp, that is, if the business process number Gp of all stores is greater than or equal to the business process number target value Mp, the process proceeds to step S11.
S11, the control unit 5 having determined that there is no store where the current number of business processes Gp is less than the business process number target value Mp, the business process number Gp of the store is the business process number target value Mp That is, if Gp = Mp, the process proceeds to step S12.

If the business process number Gp of the store exceeds the business process number target value Mp, it is determined that setting of the audit trail number K in the store is unnecessary, and the process proceeds to step S14.
S 12, the control unit 5 audits the total number of audit target trails Gk at the current stage of the business process from the total number of audit target trails writing area of the audit plan data temporary storage area 13 as the audit total number target value Mg. Reading from the creation condition data temporary storage area 11 and comparing them, if the total number of audit target trails Gk is equal to or greater than the total number of trail target value Mg, it is determined that setting the number of audit target trails K to the store is unnecessary. Then, the process proceeds to step S14.

If the audit trail total number Gk is less than the trail total count target value Mg, it is determined that it is necessary to set the audit trail number K for the store, and the process proceeds to step S13.
S13, the control unit 5 having determined that the setting of the audit trail number K to the store is necessary, reads the stored number D of the store in the business process from the stored number storage area of the total storage data temporary storage area 12, If the accumulated number D exceeds “0”, it is determined that the business process trail exists in the store, that is, the trail is stored, and the process proceeds to step S15.

If the accumulated number D is “0” or less, since there is no trail of the business process in the store, it is determined that setting of the audit target trail number K is unnecessary, and the process proceeds to step S14.
S14, the control unit 5 that has determined that setting the number of audit target trails K to the store is unnecessary sets the audit target trail number K of the business process of the store to “0”, and the store stores or The trail that does not exist in the store is set not to be an audit target in the business process, and the process proceeds to step S20.

S15, the control unit 5 having determined that the trail of the business process exists in the store, reads the trail number target value Mk from the audit plan creation condition data temporary storage area 11, and this is read of the store in the business process If the accumulated number D is less than the trail number target value Mk as compared with the accumulated number D, the process proceeds to step S16.
If the accumulated number D is equal to or greater than the trail number target value Mk, the process proceeds to step S17.

S16, the control unit 5 having determined that the accumulated number D is less than the trail number target value Mk, sets the audit target trail number K of the store to the accumulated number D so as not to exceed the number of stored trails in the store of the business process. Set and proceed to step S20.
In S17, the control unit 5 that has determined that the accumulated number D is equal to or greater than the trail number target value Mk calculates a difference obtained by subtracting the current audit total number of trails Gk from the trail total number target value Mg, and this difference is the trail number target. If it is less than the value Mk, the process proceeds to step S18.

If the difference is greater than or equal to the trail number target value Mk, the process proceeds to step S19.
S18, the control unit 5 having determined that the difference is less than the trail number target value Mk, the audit target trail number of the store so that the audit trail total number Gk of the business process does not exceed the trail total number target value Mg. K is set to a value obtained by subtracting the total number of audit target trails Gk at the current stage from the total trail target value Mg, and the process proceeds to step S20.

S19, the control unit 5 that has determined that the difference is equal to or greater than the target number of trails Mk, the audit trail number K is set to the target number of trails so that the auditable trail number K of the store does not exceed the target number of trails Mk. Set to Mk and proceed to step S20.
In S20, the control unit 5 that has finished setting the audit target trail number K for the store in the business process, sets the audit target trail set in the audit target trail number writing area of the audit plan data temporary storage area 13 The number K is written, and the audit trail total number Gk of the business process and the business process number Gp of the store are updated.

S21, the writing of the audit target trail number K, the update of the audit target trail total number Gk and the number of business processes Gp, the control unit 5 is the case where the current store priority T is less than the total store number At, that is, the lowest If the setting of the audit target trail number K for the other store is not completed, the process returns to step S8, and the setting of the audit target trail number K is continued for the store of the next store priority order T.
When the store priority T at the current stage is equal to or greater than the store total At, it is determined that the audit trail number K has been set for all stores in the business process, and the process proceeds to step S22.

S22, the control unit 5 that has set the audit trail number K for all stores in the business process compares the updated audit trail total number Gk with the trail total target number Mg, and the audit trail When the total number Gk is less than the trail total number target value Mg, that is, when the audit target trail total number Gk is insufficient, the process proceeds to step S23.
If the audit trail total number Gk is equal to or greater than the trail total count target value Mg, it is determined that the setting of the audit trail number K for each store in the business process is completed, and the process proceeds to step S24.

In this embodiment, since the audit trail number K is set so that the audit trail total number Gk does not exceed the trail total target value Mg, the audit trail total number Gk is equal to the trail total target value Mg. If Gk = Mg, the process proceeds to step S24.
In S23, after setting the number of audit target trails K for each store in the business process, the control unit 5 having determined that the total number of audit target trails Gk is insufficient is the total storage number of the total storage data temporary storage area 12 The accumulated total number Gd of the business process is read from the storage area and compared with the audit trail total number Gk. If the accumulated total number Gd exceeds the audit trail total number Gk, the audit in the business process is audited. It is determined that setting of the target trail number K can be continued, and the process proceeds to step SX1 in FIG.

If the accumulated total number Gd is equal to or less than the audit trail total number Gk, it is determined that it is impossible to continue setting the audit trail number K in the business process, and the process proceeds to step S24.
In this embodiment, since the audit trail number K is set so that the audit trail number K does not exceed the accumulated number D, it does not exist when the accumulated total number Gd is less than the audit trail total number Gk. If Gd = Gk, the process proceeds to step S24.

SX1 (FIG. 3), the control unit 5 that has determined that the setting of the audit target trail number K in the business process can be continued, starts again from the store with the highest priority of the store priority T in the business process. In order to set K, the initial value of the store priority T is set to “0”.
SX2, the control unit 5 that has initialized the store priority T adds “1” to the store priority T, and sets the priority of the store for which the number of audit target trails K is set.

  SX3, the control unit 5 having set the store priority T for setting the number of audit target trails K sets the audit target trail number K of the stores having the set store priority T in the business process to the audit plan data temporary storage area 13 When the number of audit target trails K read out from the audit target trail number writing area is “0” or less, that is, the audit target trail number K is set to “0” in step S14 in the previous setting, and the store In the case of a store that is set not to be audited in the business process, the process proceeds to step SX4.

If the read audit trail number K exceeds “0”, that is, if the store has already been set with an audit trail number K of 1 or more in the previous setting, the audit trail number K is set again. Is determined to be unnecessary, and the process proceeds to step SX13.
SX4, the control unit 5 that has determined that the number of audit target trails K read “0” or less is the same as step S9 (FIG. 2), and the current number of business processes Gp and the target number of business processes for the store. Mp is read and compared. If the number of business processes Gp is equal to or less than the business process number target value Mp, it is determined that the number of audit target trails K can be set again, and the process proceeds to step SX5.

If the business process number Gp exceeds the business process number target value Mp, it is determined that the setting of the audit trail number K is unnecessary, and the process proceeds to step SX13.
SX5, the control unit 5 that has determined that the number of audit target trails K can be set again reads the stored number D of the store in the business process in the same manner as in step S13 (FIG. 2). If it exceeds “0”, it is determined that there is a trail of the business process in the store, and the process proceeds to step SX6.

When the accumulated number D is “0” or less, since there is no trail of the business process in the store, it is determined that the setting of the audit target trail number K is unnecessary, and the process proceeds to Step SX13.
Subsequent operations of Steps SX6 to SX11 are the same as the operations of Steps S15 to S20 described above, and a description thereof will be omitted.
SX12, the control unit 5 having finished the writing of the newly set audit target trail number K and the update of the audit target trail number Gk and the business process number Gp, the updated total number of audit target trails Gk and the total number of trails The target value Mg is compared, and if the total number of audit target trails Gk is less than the total number of trail target values Mg, that is, if the total number of audit target trails Gk is insufficient, the process proceeds to step SX13.

If the total number of audit target trails Gk is equal to or greater than the total number of trail target value Mg (match in this embodiment), it is determined that the setting of the audit target trail number K for each store in the business process has been completed, and the connector Y Then, the process proceeds to step S24 in FIG.
SX13, the control unit 5 having determined that the audit trail total number Gk is insufficient, if the store priority T at the current stage is less than the total store number At, returns to step SX2 and the next store priority T The number of audit trails K is reset in the same manner as described above.

If the store priority T at the current stage is equal to or greater than the total number of stores At, it is determined that the number of audit trails K for all stores in the business process has been reset, and the connector Y of FIG. Control goes to step S24.
In this step, when the resetting of the audit trail number K is completed, the audit trail total count Gk reaches the trail total count target value Mg because the trail information accumulation count D is very small. However, in this case, the audit trail number K cannot be reset, so the audit trail total number Gk remains below the total trail target value Mg, and all of the business processes The end of resetting the number of audit target trails K in the store is determined, and the process proceeds to step S24 in FIG.

  S24 (FIG. 2), the control unit 5 that has determined that the setting of the number of audit trails K for each store in the business process has been completed, the business process priority P at the current stage is less than the total number of business processes Ap, that is, the lowest If the setting of the number of auditable trails K for each store of the business process has not been completed, the process returns to step S6 to set the number of auditable trails K for the next business process priority P in the same manner as described above. To do.

If the business process priority P at the current stage is equal to or greater than the total number of business processes Ap, it is determined that the creation of the audit plan data in which the number of audit trails K is set for each store and business process is completed, and the process proceeds to step S25.
In S25, the controller 5 that has completed the creation of the audit plan data stores the created audit plan data in the trail information database 8, and ends the audit plan creation process of the present embodiment.

By the steps S12 to S20 (FIG. 2) described above, the business process in the store exceeds the total number D of accumulated accumulated data and the target number Mk of trails within the range of the total number target value Mg of the business process. The audit trail number setting means of the present embodiment for setting the maximum number not to be used as the audit trail number K is formed.
In addition, if the store executing the audit trail number setting means in the above steps S8, S9, and S21 (FIG. 2) has the business process number Gp of the store less than the business process number target value Mp, Set to

  Furthermore, when the store executing the audit trail number setting means has the business process number Gp of the store equal to or greater than the business process number target value Mp in steps S8, S9, S10, S11, and S21 (FIG. 2). In addition, when there is a store with the store priority T lower than the target number of business processes Mp at a store lower than the store, the store priority T is set to the highest store among the stores.

  Furthermore, when the store executing the audit trail number setting means has the business process number Gp of the store equal to or greater than the business process number target value Mp in steps S8, S9, S10, S14, and S21 (FIG. 2). If the store priority order T is lower than the store, and there is no store with the business process number target value Mp less than the store, the business process number Gp is the store with the business process number target value Mp. The store priority T is set to the highest store.

  Furthermore, when the setting of the number of trails to be audited for all stores in the business process is completed by the above steps S22, S23 (FIG. 2) and SX1 to SX13 (FIG. 13), When the total number Gk of the audit target trail numbers K is less than the total trail target value Mg, and the accumulated total number Gd exceeds the total trail target value Gk, the audit target trail number K is not set. First, among the stores where the business process number Gp is equal to or less than the business process number target value Mp, the above-mentioned audit target trail number setting means, that is, the business process of the store, Means for setting the maximum number that does not exceed the accumulated number D of accumulated accumulated data and the target number of trails Mk within the range of the total number of trails target value Mg of the business process as the audit target trail number K It is executed.

Hereinafter, the procedure for setting the number of audit target trails K for each business process and each store will be described in detail with reference to FIGS.
Note that the parentheses indicate the step name of the audit plan creation process and / or the determination result at that step.
As shown in step S1 of FIG. 2, the audit plan creation condition data includes the total number of business processes Ap = 6, the total number of stores At = 6, the total number of trails target value Mg = 6, the number of trails target value Mk = 2, The process number target value Mp = 3 is set.

After the determination of the business process priority P (S3) and the store priority T (S4), the business process for first setting the number of audit trails K is the business process priority P shown in bold in FIG. The first business task 6 is set (S6), and the audit trail number K is set in order from the first store F with the store priority T (S8 to S21).
That is, for the store F having the first store priority T (S8), the number of business processes Gp is “0” (YES in S9) as shown in FIG. Since the target trail total number Gk is “0” (NO in S12) and the accumulated number D shown in FIG. 5 is “0” (NO in S13), the audit trail number K is set to 0 (S14).

For the store B having the second store priority T (S21, S8), the number of business processes Gp is “0” (YES in S9) at this stage, and the total number of audit trails Gk at that time is “ Since “0” (NO in S12) and the accumulated number D are “0” (NO in S13), the number of audit trails K = 0 is set (S14).
For the store C having the third store priority T (S21, S8), the business process number Gp is “0” (YES in S9) at this stage, and the audit trail total number Gk at that time is “ Since “0” (NO in S12) and the accumulated number D are “1” (YES in S13, NO in S15), the number of audit target trails K = D = 1 is set (S16).

For the store A having the fourth store priority T (S21, S8), the business process number Gp is “0” (YES in S9) at this stage, and the audit trail total number Gk at that time is “ Since “1” (NO in S20 and S12) and the accumulated number D are “1” (YES in S13 and NO in S15), the number of audit trails K = D = 1 is set.
For the store D having the fifth store priority T (S21, S8), the number of business processes Gp is currently “0” (YES in S9), and the audit trail total number Gk at that time is “ 2 ”(NO in S20, S12), the accumulated number D is“ 2 ”(YES in S13, YES in S15), and Mg−Gk = 4> 2 (YES in S17), so the number of audit target trails K = Mk = 2 is set (S19).

For the store E having the sixth store priority T (S21, S8), the business process number Gp is “0” (YES in S9) at this stage, and the audit trail total number Gk at that time is “ 4 ”(NO in S20, S12) and the accumulated number D is“ 1 ”(YES in S13, NO in S15), so the number of audit target trails K = D = 1 is set.
After the setting of the audit trail number K for each store for the six stores of “business process 6” is completed (S21), the updated audit trail total number Gk is “5” (YES in S20 and S22). Since the accumulated total number Gd shown in FIG. 5 is “5” (YES in S23), the “business process 2” is the second highest business process priority P in steps S24 and S6. In the same manner as in the case of the store F, the number of audit trails K for each store is set.

  In this case, for the store B having the second store priority T (S21, S8), the number of business processes Gp is “0” (YES in S9) as shown in FIG. The audit trail total number Gk at that time is “0” (NO in S20, S12), the accumulated number D is “5” (YES in S13, YES in S15), and Mg−Gk = 6> 2 (YES in S17). Therefore, the audit trail number K = Mk = 2 is set (S19).

  Further, for the store E having the sixth store priority T (S21, S8), the business process number Gp is “1” (YES in S9) as shown in FIG. The audit trail total number Gk is “5” (NO in S20 and S12), the accumulated number D is “2” (YES in S13, YES in S15), and Mg−Gk = 1 <2 (NO in S17). Therefore, the audit trail number K = Mg−Gk = 1 is set (S18).

In the same manner as described above, for each “business process 5” having the third highest business process priority P and “business process 4” having the fourth highest business process priority P (S24, S6), the auditable trails for each store When the number K is set, the audit trail number K shown in FIG. 8 is set for each store.
Next, for the “business process 4” having the fifth highest business process priority P, the number of audit target trails K for each store is set.

That is, for the store F having the first store priority T (S8), the number of business processes Gp is “1” (YES in S9) as shown in FIG. Since the target trail total number Gk is “0” (NO in S12) and the accumulated number D is “1” (YES in S13, NO in S15), the audit target trail number K = D = 1 is set (S16). .
For the store B with the second store priority T (S21, S8), the number of business processes Gp is “3” (NO in S9) as shown in FIG. Since there are stores D and stores E with less than the number of business processes Gp in the stores (YES in S10), the number of audit trails K is set to 0 (S14).

For store C with store priority T 3rd and store A with store priority T 4th, as in store B, the number of business processes Gp is “3” (NO in S9). ), And there are stores less than the number of business processes Gp in the stores lower than the store (YES in S10), the audit trail number K = 0 is set (S14).
For the store D having the fifth store priority T (S21, S8), the number of business processes Gp is “2” (YES in S9) at this stage, and the audit trail total number Gk at that time is “ 1 ”(NO in S20, S12), the accumulated number D is“ 21 ”(YES in S13, YES in S15), and Mg−Gk = 5> 2 (YES in S17), so the number of audit target trails K = Mk = 2 is set (S19).

  For the store E having the sixth store priority T (S21, S8), the number of business processes Gp is “2” (YES in S9) at this stage, and the total number of auditable trails Gk at that time is “ 3 ”(NO in S20, S12), the accumulated number D is“ 11 ”(YES in S13, YES in S15), and Mg−Gk = 3> 2 (YES in S17), so the number of audit target trails K = Mk = 2 is set (S19).

  Then, after the setting of the audit target trail number K for each of the six stores of “business process 4” is completed (S21), the updated total number of audit target trails Gk is “5” (YES in S20 and S22). Since the accumulated total number Gd shown in FIG. 5 is “108” (NO in S23), the process shifts to step SX1 (FIG. 3), and “business process with P5 as the business process priority P” For “4”, the number of audit trails K for each store is reset.

That is, for the store F having the first store priority T (SX2), the audit trail number K is “1” (NO in SX3) as shown in FIG. Skip resetting.
For the store B having the second store priority T (SX13, SX2), the audit trail number K is “0” (YES in SX3) as shown in FIG. Since Gp is “3” (NO in SX4), the accumulation number D is “31” (YES in SX5, YES in SX6), and Mg−Gk = 1 <2 (NO in SX8), as shown in FIG. The number of audit trails K = Mg−Gk = 1 is reset (SX9).

In step SX11, the updated total number of audit target trails Gk becomes “6” (YES in SX12), so the resetting of the audit target trail number K is finished.
Then, for the “business process 4”, after the resetting of the audit trail number K is completed (S21), the updated audit trail total number Gk is “6” (NO in SX11 and S22). In steps S24 and S6, the number of audit target trails K for each store is set for “business process 3” having the sixth business process priority P.

  That is, for the store F having the first store priority T (S8), the number of business processes Gp is “2” (YES in S9) as shown in FIG. The total number of target trails Gk is “0” (NO in S12), the accumulated number D is “2” (YES in S13, YES in S15), and Mg−Gk = 6> 2 (YES in S17). The number of trails K = Mk = 2 is set (S19).

  For the store B with the second store priority T (S21, S8), the business process number Gp is “4” (NO in S9) as shown in FIG. Since the number Gp is “3” in the above setting (S20), there is no store where the number of business processes Gp is less than “3” (NO in S10), and the number of business processes Gp exceeds “3”. (NO in S11), the audit trail number K is set to 0 (S14).

  For the store C with the third store priority T (S21, S8), the business process number Gp is “3” (NO in S9) as shown in FIG. 10 at this stage, and the business process number Gp is There are no stores less than “3” (NO in S20 and S10), the number of business processes Gp is “3” (YES in S20 and S11), and the audit trail total number Gk is “2” (S20, S20, Since the accumulated number D is “31” (YES in S13, YES in S15) and Mg−Gk = 4> 2 (YES in S17), the number of audit target trails K = Mk = 2 is set. (S19).

  For store A with store priority T 4th (S21, S8), the number of business processes Gp is currently “3” (NO in S9), and the number of business processes Gp is less than “3”. There is no (NO in S20, S10), the number of business processes Gp is “3” (YES in S20, S11), and the total number of audit target trails Gk is “4” (NO in S20, S12). Since the number D is “35” (YES in S13, YES in S15) and Mg−Gk = 2 = 2 (YES in S17), the number of audit target trails K = Mk = 2 is set (S19).

  For the store D with the store priority T of 5th (S21, S8), the number of business processes Gp is currently “3” (NO in S9), and the number of business processes Gp is less than “3”. There is no (NO in S20, S10), the number of business processes Gp is “3” (YES in S20, S11), and the audit trail total number Gk is “6” (YES in S20, S12) at this stage. Therefore, the number of audit trails K = 0 is set (S14).

For the store E having the sixth store priority T, the audit trail number K = 0 is set in the same procedure as in the case of the store D (S14).
In this way, the audit plan data composed of each data shown in FIG. 11 is written into each write area of the audit plan data temporary storage area, and this audit plan data is stored in the trail information database 8.

  After the audit plan data is stored in the trail information database 8, the control unit 5 sends an audit plan transmission request transmitted from the display terminal 4 periodically or by an instruction input as required by a person in charge at the headquarters on the auditing side. When received, based on the audit plan data read from the trail information database 8, an audit plan edited in the table format shown in FIG. 11 is created and transmitted to the display terminal 4.

The display terminal 4 that has received this displays the received audit plan on the display screen and provides it to the person in charge at the auditing side of the headquarters.
Then, after confirming the audit plan displayed on the display terminal 4, the person in charge on the audit side makes it portable by printing or the like, and when he visits the store set as the audit target in the audit plan, Based on the audited business process set for the store, the person in charge of the store randomly selects the number of trails corresponding to the number K of audited collection trails from a predetermined storage location. Extract and present.

In this way, the operation status is evaluated based on the audit plan created by the trail management server 1 of this embodiment.
As described above, in the audit plan creation process of the present embodiment, the audit plan is created based on the accumulated accumulation data obtained by counting the number of accumulated trail information. Thus, the necessary number of trails can be reliably obtained, the operation status can be evaluated steadily, and the efficiency of trail collection in the operation status evaluation can be improved.

  In addition, since the store priority T is determined in ascending order of the business process count number Gc, and the business process priority P is determined in the order of decreasing the accumulated total number Gd, the store where the business process to be audited is offset or the audit target. Even when there are business processes with a small number of trails, the stores and business processes can be preferentially set as audit targets, and the number of business processes for each audit target store and The number of trails by process can be made uniform.

  Further, when the number of trails to be audited K is set according to the priority order, the accumulated number D of accumulated accumulated data and the number of trail targets are set in the business process of the store within the range of the total number target value Mg of the business process. Since the maximum number that does not exceed the value Mk is set as the audit trail number K, the audit trail number K set in the business process of the store is limited to the trail number target value Mk or less to evaluate the operation status Sometimes, the number of trails of each store in the business process to be audited can be made uniform, and the audit for one business process can be executed by more stores.

  Furthermore, when setting the number of audit target trails K according to the priority order, if the number of business processes Gp of the store is less than the target number of business processes Mp, the number of audit target trails K is set for the store, When the number of business processes Gp in a store is equal to or greater than the business process number target value Mp, if there is a store whose business priority T is lower than the business process number target value Mp, The audit trail number K is set for the store with the highest priority in the store T and the store priority T is lower than the store with no business process number target value Mp. Among the stores whose business process number Gp is the business process number target value Mp, the audit trail number K is set for the store with the highest store priority T, so the business process number Gp is the number of business processes. The store less than a value Mp, preferentially can set the audit trail number K, when evaluating the operational status, it is possible to equalize the number of different business processes shops are to be audited.

  Furthermore, when the setting of the number of auditable trails for all the stores in the business process is completed, the total number of auditable trails Gk for each store in the business process is less than the total number of trails target value Mg and is accumulated. When the total number Gd exceeds the trail total number target value Gk, the audit trail number K is not set, and the store priority order among the stores whose business process number Gp is equal to or less than the business process number target value Mp. Since the number of audit target trails K is set in the store having the highest T, it is possible to equalize the number of trails for each business process to be audited when evaluating the operation status.

  As described above, in this embodiment, the store terminal of the trail management system includes means for receiving input of trail information and means for transmitting the received trail information to the trail management server, and the trail management of the trail management system. The server aggregates the number of trail information stored by store and business process based on the means for storing preset audit plan creation condition data, the means for receiving trail information from the store terminal, and the received trail information. Means for creating total accumulation data, means for determining the business process priority P by arranging the total accumulation number Gd obtained by summing the accumulation number D of the trail information for each store for one business process of the total accumulation data, in ascending order; Store the business process count number Gc, which counts the business processes for which trail information exists, for a single store of aggregated accumulated data in ascending order. By means of determining the priority T and the business process higher in the business process priority P, in the order of the store higher in the store priority T in the business process, based on the audit plan creation condition data, and by store By providing means for creating audit plan data in which the number of audit target trails K is set for each process and means for storing the created audit plan data, stores where the business process to be audited is offset, Even if there is a business process with a small number of trails to be audited, that store or business process can be preferentially set as an audit target, and the operational process for each store to be audited when evaluating the operational status And the number of trails by business process can be made uniform, and the number required when the person in charge of audit visits the store It is possible to reliably obtain a trail, it is possible to improve the efficiency of the trail collecting in the assessment of the operation status.

  In the above-described embodiment, when the business process number Gp of the store is equal to or greater than the business process number target value Mp, a store with a store priority T lower than the store has a store with a business process number target value Mp less than the store. In the case where the business process number Gp is the business process number target value Mp, the audit trail number K is described as being set in the store having the store priority T of “top” among the stores where the business process number Gp does not exist. Among the stores where the business process number Gp is the business process number target value Mp, the audit trail number K may be set in the store having the store priority T of “lowest”.

In the above embodiment, the audit plan creation conditions are described as the three conditions (A) to (C). However, the audit period may be added as a condition. You may make it set by increasing or decreasing a process.
Furthermore, in the above-described embodiment, it has been described that the audit plan is created based on the current aggregated accumulated data. However, the audit plan is prepared in advance assuming that all necessary trails are prepared in the store to be audited. In addition, the audit plan may be modified in accordance with the accumulation status of the trail information to improve the accuracy of the audit plan.

Explanatory drawing which shows the structure of the trail management system of an Example Flow chart showing the audit plan creation process of the embodiment Flow chart showing the audit plan creation process of the embodiment Explanatory drawing which shows the initial state of the accumulation | storage data total table of an Example Explanatory drawing which shows the accumulation data summary table of execution example Explanatory diagram showing the initial state of the audit plan in the table format of the embodiment Explanatory drawing which shows the creation procedure of the audit plan data of the embodiment Explanatory drawing which shows the creation procedure of the audit plan data of the embodiment Explanatory drawing which shows the creation procedure of the audit plan data of the embodiment Explanatory drawing which shows the creation procedure of the audit plan data of the embodiment Explanatory diagram showing the audit plan in the table format of the example

Explanation of symbols

DESCRIPTION OF SYMBOLS 1 Trail management server 2 Store terminal 3 Network 4 Display terminal 5 Control part 6 Communication part 7 Input part 8 Trail information database 10 Storage part 11 Audit plan creation condition data temporary storage area 12 Total storage data temporary storage area 13 Audit plan data temporary storage area

Claims (4)

A trail management system comprising a store terminal installed in a plurality of stores, and a trail management server connected to the store terminal,
The store terminal
Means for accepting input of trail information;
Means for transmitting the accepted trail information to the trail management server;
The trail management server
Means for storing preset audit plan creation condition data;
Means for receiving the trail information from the store terminal;
Based on the received trail information, a means for creating aggregate accumulation data in which the accumulation number of trail information is aggregated by store and business process;
Means for determining the business process priority by arranging the total number of accumulated totals of the number of stored trail information for each store for one business process in the aggregated accumulated data;
Means for determining store priorities by arranging the business process counts obtained by counting the business processes in which the trail information exists for one store in the aggregated accumulation data in ascending order;
Based on the audit plan creation condition data, the number of trails to be audited is set for each store and each business process in order from the top business process in the business process priority to the top store in the store priority in the business process. A means to create audit plan data;
And a means for storing the created audit plan data. In claim 1,
The audit plan creation condition data is
A trail total number target value that is a target value of the total number of auditable trails by store in one business process;
The target number of trails, which is the target value of the number of auditable trails for one business process in one store,
And a business process number target value that is a target value of the number of business processes in which one or more audit trails in one store are counted.
The trail management server
When setting the number of trails to be audited in order from the higher-order business process of the business process priority, in the order of the store of the higher priority of the store in the business process,
(1) The number of audit target trails is set in the business process of the store within the range equal to or less than the target total number of trails of the business process, and the maximum number not exceeding the target number of accumulated data and the number of trails. Means to set as
(2) When the number of business processes in the store is less than the business process number target value, means for executing the means (1) for the store;
(3) When the number of the business processes in the store is equal to or greater than the business process number target value, and there is a store with the store priority lower than the store in the store lower than the business process number target value , Means for executing the means (1) for the store having the highest store priority among the stores;
(4) When the number of business processes in the store is equal to or greater than the business process number target value, and there is no store with the store priority lower than the store in the store lower than the business process number target value Among the stores where the number of business processes is the business process number target value, means for executing the means (1) for the store with the highest store priority,
(5) When the setting of the number of audit target trails for all stores in the business process is completed, the total number of the audit target trails for each store in the business process is less than the target value for the total number of trails, And when the accumulated total number exceeds the trail total number target value, the number of trails to be audited is not set, and among the stores whose business process number is equal to or less than the business process number target value, the store priority A trail management system comprising: means for executing the means (1) with respect to a store having the highest rank. In claim 2,
When the means of (4) is such that when the number of business processes of the store in the business process is equal to or greater than the business process number target value, the store priority is set to a store lower than the store. When there is no store less than the value, among the stores where the number of business processes is the target value for the number of business processes, the means of (1) is applied to the store with the lowest store priority. A trail management system characterized by means for performing and what has been done. In any one of Claims 1 to 3,
Provide a display terminal connected to the trail management server,
The trail management server
Means for creating an audit plan based on the stored audit plan data;
Means for transmitting the created audit plan to the display terminal;
The display terminal is
A trail management system comprising means for displaying an audit plan received from the trail management server.

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