金融機構會針對內部單位的營運狀況進行定期性的稽核，例如一年一次或半年一次的稽核。對金融機構及該金融機構之所有分行的財務、風險管理及法令遵循辦理一次專案業務查核，並作成內部稽核報告交付審計委員會查閱，及主管機關規定申報。
現行的稽核方式是由人工辦理，根據相關規範制定評分項目，做成考核標準表。隨後將表單印出，由稽核人員至各部門進行考核，並且以手動方式登記平分，稽核完成後遂以人工方式加總評分，計算稽核結果。
而這樣的稽核方式需要耗費大量的人力與時間，而且需要印製大量的紙本查核單，造成嚴重的紙張浪費，並且人工計算也容易產生錯誤。因此，如何讓稽核人員進行金融機構之內部稽核作業時能夠節省時間與減少紙張之使用，且提升整體內部稽核作業之便捷性與效率，便是本領域具有通常知識者值得去思量地。
Financial institutions conduct periodic audits of the operating conditions of internal units, such as annual or semi-annual audits. The financial, risk management and decrees of financial institutions and all branches of the financial institution shall be subject to a special business check, and shall be submitted to the Audit Committee for internal audit reports and the competent authorities shall declare the declaration.
The current audit method is handled manually, and the scoring project is formulated according to relevant specifications to make an assessment standard table. The form is then printed out, and the auditor conducts an assessment to each department, and the score is manually registered. After the audit is completed, the score is manually added to calculate the audit result.
Such an audit method requires a lot of manpower and time, and requires a large amount of paper check sheets to be printed, resulting in serious paper waste, and manual calculations are prone to errors. Therefore, how to enable auditors to save time and reduce the use of paper when conducting internal auditing operations of financial institutions, and to improve the convenience and efficiency of the overall internal auditing work, is worthy of consideration in the field of ordinary knowledge.
本創作提供一種稽核工作績效考評系統，具有電子化的稽核標準資訊建置與填寫功能，並可自動計算與統計評分項目，大幅提高稽核效率。
本創作提供一種稽核工作績效考評系統，包括一稽核端裝置、一伺服主機及多個部門裝置。稽核端裝置包括一建檔模組，該建檔模組適於輸入一稽核標準資訊。伺服主機通訊連接至該稽核端裝置，該伺服主機包括一資料庫，儲存有多筆該稽核標準資訊。多個部門裝置通訊連接至該伺服主機，該部門裝置還包括一填表模組，適於讀取該稽核標準資訊，並輸入一評分資訊。其中，該評分資訊是對應至該稽核標準資訊，並儲存於該資料庫中。
上述之稽核工作績效考評系統，其中，該伺服主機還包括一統計模組，適於統計該評分資訊與該稽核標準資訊。
上述之稽核工作績效考評系統，其中，該稽核端裝置還包括一調閱模組，適於讀取該統計模組的統計結果。
上述之稽核工作績效考評系統，其中，該伺服主機還適於傳送一通知訊息至該部門裝置。
上述之稽核工作績效考評系統，其中，該統計模組還適於產生一報表資訊。
上述之稽核工作績效考評系統，其中，該伺服主機還適於將該稽核標準資訊分組。
This creation provides an audit performance appraisal system, with electronic auditing standards information construction and filling functions, and can automatically calculate and statistical scoring projects, greatly improving audit efficiency.
This creation provides an audit performance appraisal system, including an auditing device, a servo host and multiple department devices. The auditing end device includes a filing module, and the archiving module is adapted to input an auditing standard information. The servo host communication is connected to the audit end device, and the server host includes a database for storing a plurality of the audit standard information. A plurality of department devices are communicatively coupled to the server. The department device further includes a form filling module adapted to read the audit standard information and input a rating information. The rating information is corresponding to the auditing standard information and stored in the database.
The above-mentioned audit performance evaluation system, wherein the server host further includes a statistical module, which is suitable for counting the rating information and the audit standard information.
The above-mentioned audit performance appraisal system, wherein the audit end device further includes a review module adapted to read the statistical result of the statistical module.
The above audit performance evaluation system, wherein the server is further adapted to transmit a notification message to the department device.
The audit performance evaluation system described above, wherein the statistical module is further adapted to generate a report information.
The audit performance evaluation system described above, wherein the server host is further adapted to group the audit standard information.
本創作提供一種稽核工作績效考評系統，提供電子化的稽核表單建立平台，受稽核的單位也能從系統上直接填寫表單，並且自動計算分數、儲存與產生報表，可有效提高稽核效率。
請參閱圖1，圖1所繪示為本創作之稽核工作績效考評系統。稽核工作績效考評系統100包括一稽核端裝置110、一伺服主機120與多個部門裝置130。稽核端裝置110是稽核人員所使用的裝置，較佳實施例中是一種可聯網的電腦裝置，並且通訊連接至伺服主機120。稽核端裝置110包括一建檔模組111與一調閱模組112。
建檔模組111適於輸入一稽核標準資訊。在本實施例中，稽核標準資訊是根據相關規範所制定的稽核內容，包括稽核項目、評分標準以及稽核群組設定等內容。並且在建檔時，可進一步對稽核標準資訊進行編輯與修改。建檔完成之後，稽核端裝置110會將稽核標準資訊傳送至伺服主機120，並加以保存。調閱模組112適於從伺服主機120中讀取過去保存的稽核標準資訊，或是讀取經過部門裝置131所填寫的稽核標準資訊。也就是調閱模組112還適於讀取伺服主機120統計模組122所統計的資料。
請參閱圖2，圖2所繪示為稽核標準資訊的建立示意圖。在本實施例中，稽核標準資訊中包括多個稽核項目1111。在建立稽核標準資訊時，可逐一建立稽核項目1111，並且選取其中一個稽核項目1111，可進一步編輯稽核項目的子項目1112。子項目1112包括稽核項目內容、評分標準、概要說明、加分/扣分上限與分組。其中稽核項目內容、評分標準、概要說明為文字說明，可根據項目規範輸入說明文字。加分/扣分上限則是設定稽核項目1111屬於加分或扣分項，並設定上限值。分組則是設定稽核項目1111的組別，例如企劃管理組、追蹤考核組與業務稽核組，在一實施例中，伺服主機120會自動將稽核項目1111分組。
伺服主機120是稽核工作績效考評系統100的主要運算裝置。可為單一伺服器運算或多個伺服器聯合運算，因此伺服主機120分別通訊連接至稽核端裝置110與部門裝置130。在本實施例中，伺服主機120包括一資料庫121與一統計模組122。資料庫121適於儲存稽核標準資訊，也就是說從稽核端裝置110接收稽核標準資訊並加以儲存。在一實施例中，當伺服主機120收到稽核標準資訊時，會傳送一通知訊息至部門裝置130，通知受稽核單位的人員準備進行稽核。
統計模組122則適於統計稽核標準資訊的數量，進一步的統計模組122還能夠統計部門裝置130傳送至伺服主機120的評分資訊。在一實施例中，統計模組122還適於產生一報表資訊，報表資訊可依據使用者設定排列條件，篩選出稽核標準資訊與對應的評分資訊，並加以排列。可設定的條件例如區域分行、稽核組別與評分等項目。
部門裝置130為受稽核部門所使用的裝置，較佳實施例中是一種可聯網的電腦裝置，並且通訊連接至伺服主機120。部門裝置130包括一填表模組131，填表模組131適於從伺服主機120讀取對應的稽核標準資訊，並根據稽核標準資訊輸入一評分資訊。
在本實施例中，部門裝置130讀取稽核標準資訊後，便會看到稽核端裝置110所設定的內容，而部門裝置130僅能輸入加分或扣分的部分，完成輸入評分資訊。輸入評分資訊後，部門裝置130會將評分資訊與對應的稽核標準資訊傳送至伺服主機120，並且由伺服主機120的資料庫121儲存。
綜上所述，當稽核單位欲進行稽核時，即可使用稽核端裝置110建立稽核標準資訊，或是從伺服主機120中調閱所要使用的稽核標準資訊。同時可修改稽核標準資訊內容，使其符合最新的稽核規範。稽核標準資訊建立完成之後，即存入伺服主機120的資料庫121。
接下來伺服主機120發送通知訊息至部門裝置130，通知受稽核單位準備進行稽核，並可透過部門裝置130接收到稽核標準資訊。受稽核單位便可依據稽核標準資訊進行稽核，並且依據稽核項目輸入評分資訊。所輸入的評分資訊會傳送至伺服主機120，伺服主機120會透過統計模組122統計稽核標準資訊與評分資訊。稽核人員便可設定各種篩選條件來排列稽核標準資訊與評分資訊，檢閱稽核結果。
本創作之稽核工作績效考評系統100，提供電子化的稽核標準資訊建立與填表的平台。相關人員可透過稽核工作績效考評系統100完成稽核工作，達到稽核無紙化的功效。並且稽核工作績效考評系統100可自動統計各項加分與扣分項目，完成稽核的評分，漸少人為計算的錯誤，大大提高稽核的效率。
本創作以實施例說明如上，然其並非用以限定本創作所主張之專利權利範圍。其專利保護範圍當視後附之申請專利範圍及其等同領域而定。凡本領域具有通常知識者，在不脫離本專利精神或範圍內，所作之更動或潤飾，均屬於本創作所揭示精神下所完成之等效改變或設計，且應包含在下述之申請專利範圍內。
This creation provides an audit performance appraisal system, which provides an electronic audit form building platform. The audited unit can also fill out the form directly from the system and automatically calculate the score, store and generate the report, which can effectively improve the audit efficiency.
Please refer to FIG. 1 , which illustrates the performance evaluation system of the audit work of the present creation. The audit work performance evaluation system 100 includes an audit end device 110, a server host 120, and a plurality of department devices 130. The audit end device 110 is a device used by an auditor. In the preferred embodiment, it is a networkable computer device and is communicatively coupled to the server host 120. The auditing end device 110 includes a filing module 111 and a viewing module 112.
The profile module 111 is adapted to input an audit standard information. In this embodiment, the audit standard information is an audit content determined according to relevant specifications, including audit items, scoring standards, and audit group settings. And when the file is filed, the audit standard information can be further edited and modified. After the archiving is completed, the auditing end device 110 transmits the auditing standard information to the server host 120 and saves it. The review module 112 is adapted to read the audited standard information saved in the past from the server host 120 or to read the audit standard information filled in by the department device 131. That is, the access module 112 is further adapted to read the data counted by the statistical module 122 of the server host 120.
Please refer to FIG. 2, which is a schematic diagram of the establishment of auditing standard information. In this embodiment, the auditing standard information includes a plurality of auditing items 1111. When establishing the audit standard information, the audit project 1111 can be established one by one, and one of the audit projects 1111 can be selected, and the sub-project 1112 of the audit project can be further edited. Sub-item 1112 includes audit item content, scoring criteria, summary description, plus/deductible caps and groupings. The content of the audit project, the scoring standard, and the summary description are written descriptions, and the explanatory text can be input according to the project specifications. The bonus/deduction limit is to set the audit item 1111 to be a bonus or deduction item and set the upper limit. The grouping is a group that sets the auditing item 1111, such as a planning management group, a tracking evaluation group, and a business auditing group. In an embodiment, the server host 120 automatically groups the auditing items 1111.
The servo host 120 is the primary computing device of the audit work performance evaluation system 100. The servo server 120 can be connected to the audit end device 110 and the department device 130, respectively, for a single server operation or a plurality of servers. In this embodiment, the server host 120 includes a database 121 and a statistics module 122. The database 121 is adapted to store auditing standard information, that is, to receive auditing standard information from the auditing end device 110 and store it. In an embodiment, when the server host 120 receives the audit standard information, it sends a notification message to the department device 130 to notify the personnel of the audit unit to prepare for the audit.
The statistical module 122 is adapted to count the number of auditing standard information, and the further statistical module 122 can also count the rating information transmitted by the department device 130 to the server host 120. In an embodiment, the statistic module 122 is further adapted to generate a report information, and the report information can be sorted according to the user's setting conditions, and the audit standard information and the corresponding rating information are filtered and arranged. Settable conditions such as regional branches, audit groups, and ratings.
The department device 130 is a device used by the audit department. In the preferred embodiment, it is a network-connectable computer device and is communicatively coupled to the server host 120. The department device 130 includes a form filling module 131. The form filling module 131 is adapted to read the corresponding auditing standard information from the server host 120, and input a rating information according to the auditing standard information.
In this embodiment, after the department device 130 reads the audit standard information, the content set by the audit end device 110 is seen, and the department device 130 can only input the bonus or deducted portion to complete the input of the rating information. After the rating information is input, the department device 130 transmits the rating information and the corresponding auditing standard information to the server host 120, and is stored by the database 121 of the server host 120.
In summary, when the auditing unit wants to perform the auditing, the auditing end device 110 can be used to establish the auditing standard information, or the auditing standard information to be used can be accessed from the server host 120. At the same time, the audit standard information content can be modified to comply with the latest audit specifications. After the audit standard information is established, it is stored in the database 121 of the server host 120.
Next, the server host 120 sends a notification message to the department device 130, notifying the audited unit that it is ready to perform the audit, and receiving the audit standard information through the department device 130. The audited unit can audit according to the auditing standard information, and input the scoring information according to the auditing project. The input rating information is transmitted to the server host 120, and the server host 120 collects the auditing standard information and the rating information through the statistical module 122. Auditors can set various screening conditions to arrange auditing standard information and rating information, and review audit results.
The audit performance appraisal system 100 of this creation provides a platform for electronic auditing standard information establishment and filling. Relevant personnel can complete the audit work through the audit work performance evaluation system 100, and achieve the effect of audit paperless. And the audit performance appraisal system 100 can automatically count the bonus points and deduction points, complete the audit score, and gradually reduce the human error, greatly improving the efficiency of the audit.
The present invention is described above by way of example, but it is not intended to limit the scope of patent rights claimed herein. The scope of patent protection is subject to the scope of the patent application and its equivalent fields. Any changes or modifications made by those skilled in the art without departing from the spirit or scope of this patent are subject to the equivalent changes or designs made in the spirit of the present disclosure and should be included in the scope of the patent application below. Inside.