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CN-121979906-A - Cross-industry audit template dynamic collaboration method and system

CN121979906ACN 121979906 ACN121979906 ACN 121979906ACN-121979906-A

Abstract

The invention discloses a cross-industry audit template dynamic collaboration method and system, which relate to the technical field of audit field, and are characterized in that multi-format policy original data are obtained and structured through responding to audit template updating requests, policy-audit influence mapping data are constructed through semantic mapping, three-dimensional dimension feature extraction and associated weight quantification are carried out on mapping entries, subjective weights of a coupling sequence relation analysis method and objective weights of a gray association analysis method, three-dimensional comprehensive associated weights are generated, entry priorities are judged, an industry-applicable search key is used for searching a preset cross-industry basic audit template library, an initial industry dedicated audit template is generated by combining with a priority matching orientation adjustment policy, template structure consistency and integration compliance are completed based on preset industry knowledge graphs, and a cross-industry audit template is finally determined, so that the problems of lack of pertinence and low cross-industry adaptation efficiency of audit template updating in the prior art are solved.

Inventors

  • TAN HAI

Assignees

  • 南京审计大学

Dates

Publication Date
20260505
Application Date
20260126

Claims (10)

  1. 1. A cross-industry audit template dynamic collaboration method is characterized by comprising the following steps: Responding to the audit template update request, obtaining a plurality of policy original data in different formats, and carrying out structuring processing to obtain structured policy data; Semantic mapping is carried out on the structured policy data to obtain policy and audit influence mapping data; Performing three-dimensional association weight quantization and item priority judgment on a plurality of policy-audit influence mapping items in the policy-audit influence mapping data to obtain corresponding item priorities; carrying out industry template retrieval by utilizing the policy and audit influence mapping data, and determining an initial industry exclusive audit template corresponding to each applicable industry by combining the item priority; and integrating and conforming the cross-industry template of each initial industry exclusive audit template according to a preset industry knowledge graph, and determining the cross-industry audit template corresponding to each applicable industry.
  2. 2. The cross-industry audit template dynamic collaboration method according to claim 1, wherein responding to an audit template update request, obtaining a plurality of policy raw data in different formats and performing a structuring process to obtain structured policy data, includes: responding to the audit template update request to obtain a plurality of policy original data in different formats; carrying out format standardization on the original policy data to obtain a plurality of plain text data; coding all the plain text data to obtain standardized policy text data; performing regular extraction on the standardized policy text data to obtain core metadata; performing keyword retrieval and clause classification on the standardized policy text data to obtain key clauses; And mapping the core metadata and the key clauses to obtain the structured policy data.
  3. 3. The cross-industry audit template dynamic collaboration method according to claim 1 wherein the semantically mapping the structured policy data to obtain policy and audit impact mapping data includes: filtering the structured policy data to obtain core corpus data; carrying out synonym normalization on the core corpus data to obtain standardized core corpus data; semantic analysis is carried out on the standardized core corpus data by using a preset fine-tuning large language model, and an initial mapping result of policies and audits is obtained; performing confidence assessment on the initial mapping result of the policy and the audit; Screening the policy and audit initial mapping result with the confidence coefficient larger than or equal to the preset confidence coefficient threshold value as a target confidence coefficient mapping result; correcting the initial mapping result of the policy and the audit with the confidence coefficient smaller than the preset confidence coefficient threshold value to obtain a complete mapping result; and merging and de-duplication is carried out on the target confidence level mapping result and the complete mapping result, so as to obtain policy and audit influence mapping data.
  4. 4. The cross-industry audit template dynamic collaboration method according to claim 1, wherein said performing three-dimensional associated weight quantization and entry priority determination on a plurality of policy-audit impact map entries within the policy and audit impact map data to obtain corresponding entry priorities includes: extracting three-dimensional dimension characteristics of a plurality of policy-audit influence mapping entries in the policy-audit influence mapping data to obtain dimension characteristic vectors corresponding to the three-dimensional dimensions; Performing order relation weighting on the three-dimensional dimension by using an order relation analysis method to obtain three-dimensional dimension subjective weight vectors corresponding to a plurality of policy-audit influence mapping items; based on a gray correlation analysis method, carrying out gray correlation analysis by adopting all the dimension feature vectors and associated preset ideal feature vectors to obtain three-dimensional objective weight vectors corresponding to a plurality of policy-audit influence mapping items; weighting and coupling the three-dimensional subjective weight vector and the three-dimensional objective weight vector by using a fuzzy comprehensive evaluation method to obtain three-dimensional comprehensive association weights corresponding to a plurality of policy-audit influence mapping items; And sorting a plurality of policy-audit impact mapping entries in a descending order based on the three-dimensional comprehensive association weight, and determining the entry priority corresponding to each policy-audit impact mapping entry according to a preset entry priority partition interval to which the three-dimensional comprehensive association weight belongs.
  5. 5. The cross-industry audit template dynamic collaboration method according to claim 4, wherein the extracting three-dimensional feature of the plurality of policy-audit impact map entries in the policy and audit impact map data to obtain a three-dimensional feature vector corresponding to the three-dimensional dimension includes: performing policy dimension feature extraction on a plurality of policy-audit influence mapping entries in the policy and audit influence mapping data to construct a policy dimension feature vector; Extracting industry dimension characteristics from a plurality of policy-audit influence mapping entries in the policy-audit influence mapping data to construct an industry dimension characteristic vector; and extracting audit node dimension characteristics of a plurality of policy-audit influence mapping entries in the policy-audit influence mapping data, and constructing an audit node dimension characteristic vector.
  6. 6. The cross-industry audit template dynamic collaboration method according to claim 1 wherein the utilizing the policy and audit impact mapping data to conduct industry template retrieval and combining the entry priorities to determine an initial industry-specific audit template corresponding to each applicable industry includes: extracting target field data from the policy and audit impact mapping data as a search key, wherein the target field data comprises applicable industries; searching a preset cross-industry basic audit template library by adopting the search key to obtain a corresponding basic audit template of each applicable industry; Carrying out integrity verification processing on each reference audit template to obtain verification reference audit templates corresponding to each applicable industry; and matching the corresponding adjustment strategy according to the item priority, and adjusting each verification benchmark audit template according to the adjustment strategy to obtain an initial industry exclusive audit template corresponding to each applicable industry.
  7. 7. The method for dynamically coordinating cross-industry audit templates according to any of claims 1-6, wherein the step of integrating and conforming cross-industry templates of each of the initial industry-specific audit templates according to a preset industry knowledge graph to determine a cross-industry audit template corresponding to each applicable industry comprises the steps of: carrying out structural consistency on each initial industry exclusive audit template according to a preset industry knowledge graph to obtain an intermediate industry exclusive audit template corresponding to each applicable industry; Labeling the exclusive audit templates of each intermediate industry to obtain the exclusive audit templates of the target industry corresponding to each applicable industry; And carrying out compliance verification on each target industry exclusive audit template, and taking the target industry exclusive audit templates passing the compliance verification as cross-industry audit templates.
  8. 8. The cross-industry audit template dynamic collaboration method according to claim 6 further including: analyzing a compliance problem list for the target industry exclusive audit template which does not pass the compliance verification, and skipping to execute the step of matching the corresponding adjustment strategy according to the item priority.
  9. 9. A cross-industry audit template dynamic collaboration system, comprising: The policy acquisition and analysis module is used for responding to the audit template update request, acquiring a plurality of policy original data in different formats and carrying out structuring processing to obtain structured policy data; The policy semantic understanding and influence analysis module is used for carrying out semantic mapping on the structured policy data to obtain policy and audit influence mapping data; the weight quantization and priority judgment module is used for carrying out three-dimensional association weight quantization and item priority judgment on a plurality of policy-audit influence mapping items in the policy-audit influence mapping data to obtain corresponding item priorities; The audit template generation and management module is used for carrying out industry template retrieval by utilizing the policy and audit influence mapping data and determining an initial industry exclusive audit template corresponding to each applicable industry by combining the item priority; And the cross-industry template collaborative configuration module is used for integrating and conforming the cross-industry templates of the special audit templates of the initial industries according to the preset industry knowledge graph to determine the cross-industry audit templates corresponding to the applicable industries.
  10. 10. An electronic device comprising a memory and a processor, wherein the memory stores a computer program that, when executed by the processor, causes the processor to perform the steps of the cross-industry audit template dynamic collaboration method of any of claims 1-8.

Description

Cross-industry audit template dynamic collaboration method and system Technical Field The invention relates to the technical field of audit, in particular to a cross-industry audit template dynamic collaboration method and system. Background Under the push of digitized wave tide, enterprise cross-industry operation modes are increasingly popularized, the iterative update frequency of various policy regulations is continuously accelerated, the auditing industry faces urgent requirements of fast adapting to multi-element supervision requirements and optimizing auditing flows and templates, and the dynamic collaboration of auditing templates in cross-industry scenes becomes a core topic for improving auditing compliance and efficiency. At present, although the automatic auditing tool has been broken through in the basic links of data processing, anomaly detection and the like, and can replace part of repeated auditing work, most of the automatic auditing tool is limited to template solidification updating or shallow layer analysis of policy texts in a single industry, dynamic retrieval adaptation and structure integration compliance of auditing templates cannot be realized based on business characteristics of different industries, so that the auditing templates are insufficient in updating pertinence and low in cross-industry adaptation efficiency, the requirements of different chemical rules of each industry are difficult to respond quickly, the time and cost of manual intervention are increased, hidden danger of compliance risk omission exists, and a technical scheme capable of realizing accurate quantification of policy influence and intelligent cooperation of the cross-industry templates is needed. Disclosure of Invention The invention provides a cross-industry audit template dynamic collaboration method and a cross-industry audit template dynamic collaboration system, which solve the technical problems of lack of pertinence of audit template updating and low cross-industry adaptation efficiency in the prior art. The invention provides a cross-industry audit template dynamic collaboration method, which comprises the following steps: Responding to the audit template update request, obtaining a plurality of policy original data in different formats, and carrying out structuring processing to obtain structured policy data; Semantic mapping is carried out on the structured policy data to obtain policy and audit influence mapping data; Performing three-dimensional association weight quantization and item priority judgment on a plurality of policy-audit influence mapping items in the policy-audit influence mapping data to obtain corresponding item priorities; carrying out industry template retrieval by utilizing the policy and audit influence mapping data, and determining an initial industry exclusive audit template corresponding to each applicable industry by combining the item priority; and integrating and conforming the cross-industry template of each initial industry exclusive audit template according to a preset industry knowledge graph, and determining the cross-industry audit template corresponding to each applicable industry. Optionally, the responding to the audit template update request obtains a plurality of policy raw data with different formats and performs structuring processing to obtain structured policy data, including: responding to the audit template update request to obtain a plurality of policy original data in different formats; carrying out format standardization on the original policy data to obtain a plurality of plain text data; coding all the plain text data to obtain standardized policy text data; performing regular extraction on the standardized policy text data to obtain core metadata; performing keyword retrieval and clause classification on the standardized policy text data to obtain key clauses; And mapping the core metadata and the key clauses to obtain the structured policy data. Optionally, the performing semantic mapping on the structured policy data to obtain policy and audit impact mapping data includes: filtering the structured policy data to obtain core corpus data; carrying out synonym normalization on the core corpus data to obtain standardized core corpus data; semantic analysis is carried out on the standardized core corpus data by using a preset fine-tuning large language model, and an initial mapping result of policies and audits is obtained; performing confidence assessment on the initial mapping result of the policy and the audit; Screening the policy and audit initial mapping result with the confidence coefficient larger than or equal to the preset confidence coefficient threshold value as a target confidence coefficient mapping result; correcting the initial mapping result of the policy and the audit with the confidence coefficient smaller than the preset confidence coefficient threshold value to obtain a complete mapping result; and merging and de-duplication i