Petri Nets工作流及其在审计管理中的应用
摘要
审计是商业银行风险防范的最后一道防线。随着我国进入WTO,商业银行在经营过程中面临的风险也越来越大。做好内部审计防范经营风险,成为商业银行工作的重中之重。审计管理系统是审计部门的业务支撑系统。审计管理是商业银行规范审计过程、降低风险、保障银行平稳发展的必要手段。
商业银行内部审计不同于外部审计过程,其流程随着银行的发展不断变化,甚至其审计流程根据项目类型和行业不同而不同。从而对商业银行内部审计管理系统来说,在灵活性、可定制性等方面提出了更高的要求。同时随着风险监管力度的加强,审计的频度也不断增加。为了保障多个流程或者同一个流程的多个实例的平稳运行,对审计系统可靠性能提出了更高的要求。
Petri Nets工作流是当今的一个研究热点。Petri Nets在工作流应用中解决了语义描述、图形化表示、模型验证、复杂流程设计、工作流并发调度等工作流技术中的难点。
商业银行审计管理项目有着业务流程变化频繁,流程复杂的特性。传统的工作流技术无法证明审计业务流程的可靠性。Petri Nets模型在工作流建模过程中,通过对Petri Nets有界性和活性验证,证明了工作流的可靠性。本文将PetriNets工作流应用于审计管理系统中,做了以下有意义的尝试:
1.研究了银行审计业务,并据此设计了银行审计管理业务流程;
2.基于银行审计管理业务流程,设计了Petri Nets模型;
3.基于Petri Nets模型证明了业务流程的有界性和活性,确保其可靠性;
4.设计并实现了基于工作流的审计管理系统。
本文所设计的审计管理系统,已经在某商业银行审计管理平台系统的实际项目中得到了应用,并取得了较好的应用效果。
Audit is one of the most important risk-preventing jobs in commercial banks and the last gate keeping away from risk. Operations of commercial banks are getting harder because the risk has been rising since China entered the World Trade Organization. So how to enhance the efficiency and the qualities of audit becomes key job for commercial banks. Audit management platform which is responsible for audit department to support the audit becomes very necessary to form the processes of audit, to reduce the risk of fraud, to ensure the stable development in commercial banks.
Internal audit is different from external audit in commercial banks. The process is keeping change with the development, even with the different audit programs in one commercial bank. Thus for audit management platform, how to enhance the flexibility becomes the key problem. Besides the force of risk-controlling becomes stronger and the frequency of audit gets high, which give the audit management a new big challenge. Audit management is required to keep stable under multi-process and has the ability to dispatch different processes effectively.
Petri Nets are a very popular in field of workflow management. Pentri Nets are an established tool for modeling and analyzing processes. It can be used as a graphical design language for the specification of complex workflows. On the other hand, Petri Nets theory provides for powerful analysis techniques which can be used to verify the correctness of workflow procedures.
Changing frequently and complexity of audit process are hard to deal for audit management in commercial banks. Traditional workflow management cannot ensure the process of audit reliability. Petri Nets can validate the liveness and boundness, which can make sure the reliability of workflow. This paper uses Petri Nets in audit management platform system. The main jobs have been done are:
1. Studies the audit operation of commercial banks. Based on this, designs the process of audit management;
2. Based on the process of audit management, designs Petri Nets model;
3. Based on the Petri Nets model and the method of analysis of Petri Nets, proves the Boundness and the Liveness of workflow;
4. Designs and realizes audit management platform system based on workflow.
The designed system of this paper has been used in audit management in commercial bank audit and was proved that it is necessary and can enhance the efficiency of audit management.
商业银行内部审计不同于外部审计过程,其流程随着银行的发展不断变化,甚至其审计流程根据项目类型和行业不同而不同。从而对商业银行内部审计管理系统来说,在灵活性、可定制性等方面提出了更高的要求。同时随着风险监管力度的加强,审计的频度也不断增加。为了保障多个流程或者同一个流程的多个实例的平稳运行,对审计系统可靠性能提出了更高的要求。
Petri Nets工作流是当今的一个研究热点。Petri Nets在工作流应用中解决了语义描述、图形化表示、模型验证、复杂流程设计、工作流并发调度等工作流技术中的难点。
商业银行审计管理项目有着业务流程变化频繁,流程复杂的特性。传统的工作流技术无法证明审计业务流程的可靠性。Petri Nets模型在工作流建模过程中,通过对Petri Nets有界性和活性验证,证明了工作流的可靠性。本文将PetriNets工作流应用于审计管理系统中,做了以下有意义的尝试:
1.研究了银行审计业务,并据此设计了银行审计管理业务流程;
2.基于银行审计管理业务流程,设计了Petri Nets模型;
3.基于Petri Nets模型证明了业务流程的有界性和活性,确保其可靠性;
4.设计并实现了基于工作流的审计管理系统。
本文所设计的审计管理系统,已经在某商业银行审计管理平台系统的实际项目中得到了应用,并取得了较好的应用效果。
Audit is one of the most important risk-preventing jobs in commercial banks and the last gate keeping away from risk. Operations of commercial banks are getting harder because the risk has been rising since China entered the World Trade Organization. So how to enhance the efficiency and the qualities of audit becomes key job for commercial banks. Audit management platform which is responsible for audit department to support the audit becomes very necessary to form the processes of audit, to reduce the risk of fraud, to ensure the stable development in commercial banks.
Internal audit is different from external audit in commercial banks. The process is keeping change with the development, even with the different audit programs in one commercial bank. Thus for audit management platform, how to enhance the flexibility becomes the key problem. Besides the force of risk-controlling becomes stronger and the frequency of audit gets high, which give the audit management a new big challenge. Audit management is required to keep stable under multi-process and has the ability to dispatch different processes effectively.
Petri Nets are a very popular in field of workflow management. Pentri Nets are an established tool for modeling and analyzing processes. It can be used as a graphical design language for the specification of complex workflows. On the other hand, Petri Nets theory provides for powerful analysis techniques which can be used to verify the correctness of workflow procedures.
Changing frequently and complexity of audit process are hard to deal for audit management in commercial banks. Traditional workflow management cannot ensure the process of audit reliability. Petri Nets can validate the liveness and boundness, which can make sure the reliability of workflow. This paper uses Petri Nets in audit management platform system. The main jobs have been done are:
1. Studies the audit operation of commercial banks. Based on this, designs the process of audit management;
2. Based on the process of audit management, designs Petri Nets model;
3. Based on the Petri Nets model and the method of analysis of Petri Nets, proves the Boundness and the Liveness of workflow;
4. Designs and realizes audit management platform system based on workflow.
The designed system of this paper has been used in audit management in commercial bank audit and was proved that it is necessary and can enhance the efficiency of audit management.
引文
[1]罗海滨,范玉顺,吴澄.工作流技术综述.施普林格出版社,2001.4
[2]C.Mohan.Recent Trends in Workflow Management Products,Standards and Research.IBM Almaden Research Center 650 Harry Road,K01/B1 San Jose,CA 95120,USA mohan@almaden.ibm.com
[3]W.M.P.van der Aalst.Putting Petri nets to work in industry.Computers in Industry,25(1):45-54,1994.
[4]K.Jensen.Coloured Petri Nets.Basic concepts,analysis methods and practical use.EATCS monographs on Theoretical Computer Science.Springer-Verlag,Berlin,1996.
[5]W.M.P.van der Aalst.Three Good reasons for Using a Petri-net-based Workflow Management System.In S.Navathe and T.Wakayama,editors,Proceedings of the International Working Conference on Information and Process Integration in Enterprises(IPIC'96),Camebridge,Massachusetts,Nov 1996.
[6]M.Wolf and U.Reimer,editors.Proceedings of the International Conference on Practical Aspects of Knowledge Management(PAKM'96),Workshop on Adaptive Workflow,Basel,Switzerland,Oct 1996.
[7]G.De Michelis,C.Ellis,and G.Memmi,editors.Proceedings of the second Workshop on Computer-Supported Cooperative Work,Petri nets and related formalisms,Zaragoza,Spain,June 1994.
[8]C.Ellis,K.Keddara,and G.Rozenberg.Dynamic change within Workflow systems.In N.Comstock and C.Ellis,editors,Conf.on Organizational Computing Systems.ACMSIGOIS,ACM,Aug 1995.Milpitas,CA.
[9]C.A.Ellis and G.J.Nutt.Modeling and Enactment of Workflow Systems.In M.Ajmone Marsan,editor,Application and Theory of Petri Nets 1993,Berlin,1993.
[10]P.Lawrence,editor.Workflow Handbook 1997,Workflow Management Coalition.John Wiley and Sons,New York,1997.
[11]WfMC.Workflow Management Coalition Terminology and Glossary (WfMC-TC-1011).Technical report,Workflow Management Coalition,Brussels,1996.
[12]Will van der Aalst & Kees van Hee.Workflow Management:Models,Methods,and Systems.Academic Service,Schoonhoven,1997
[13]汪涛,黄力芹,吴耿锋.工作流管理的发展历程和趋势.计算机工程与科学,2001.3(1)
[14]K.Hayes and K.Lavery.Workflow management software:the business opportunity.Technical report,Ovum Ltd,London,1991.
[15]S.Joosten.Trigger Modelling for Workflow Analysis.In G.Chroustand A.Benczur,editors,Proceedings CON'94:Workflow Management,Challenges,Paradigms and Products,pages 236-247,Vienna,Oct 1994.
[16]W.M.P.van der Aalst,D.Hauschildt,and H.M.W.Verbeek.A Petrinet-based Tool to Analyze Workflows.In B.Farwer,D.Moldt,andM.O.Stehr,editors,Proceedings of Petri Nets in System Engineering(PNSE'97),Hamburg,Sept 1997.University of Hamburg(FBI-HH-B-205/97).
[17]D.Hauschildt,H.M.W.Verbeek,and W.M.P.van der Aalst.WOFLAN:a Petri-net-based Workflow Analyzer.Computing Science Reports 97/12,Eindhoven University of Technology,Eindhoven,1997.
[18]W.Reisig.Petri nets:an introduction,volume 4 of Monographsin theoretical computer science:an EATCS series.Springer-Verlag,Berlin,1985.
[19]袁崇义.Petri网原理与应用.电子工业出版社,2005
[20]W.M.P.van der Aalst.Structural Characterizations of Sound WorkflowNets.Computing Science Reports 96/23,Eindhoven University of Technology,Eindhoven,1996.
[21]T.Murata.Petri Nets:Properties,Analysis and Applications.Proceedings of the IEEE,77(4):541-580,April 1989.
[22]W.M.P.van der Aalst.A class of Petri net for modeling and analyzing business processes.Computing Science Reports 95/26,Eindhoven University of Technology,Eindhoven,1995.
[23]Qu Y,Lin C,Marinescu DC.Wrokflow model:From process Algebra to Petri net[C].Submitted to 23rd International Conference on Conceptual Modeling,April,2004
[24]张晨光,李西宁,张景.基于Petri网的公文管理工作流模型.计算机工程与应用,2004[25]
[25]李彤,王黎霞.一个基于Petri网的软件并行开发控制模型.计算机应用研究.1998年第三期.
[26]蒋昌俊.Petri网的行为理论及其应用.高等教育出版社,2003
[27]M.Ajmone Marsan,G.Balbo,G.Conte,et al.Modelling with Generalized Stochastic Petri Nets.Wiley series in parallel computing.Wiley,New York,1995.
[28]J.Esparza.Synthesis rules for Petri nets,and how they can lead to new results.In J.C.M.Baeten and J.W.Klop,editors,Proceedings of CONCUR 1990,volume 458 of Lecture Notes in Computer Science,Springer-Verlag,Berlin,1990.
[29]K.Barkaoui,J.M.Couvreur,and C.Dutheillet.On liveness in Extended Non Self-Controlling Nets.In G.De Michelis and M.Diaz,editors,Application and Theory of Petri Nets 1995,volume 935 of Lecture Notes in Computer Science,Springer-Verlag,Berlin,1995.
[30]P.A.Straub and C.Hurtado.The Simple Control Property of Business Process Models.In XV International Conference of the ChileanComputer Science Society,1995.
[31]M.H.T.Hack.Analysis production schemata by Petri nets.Master'sthesis,Massachusetts Institute of Technology,Cambridge,Mass.,1972.
[32]W.M.P.van der Aalst.Verification of WorkflowNets.In P.Azema and G.Balbo,editors,Application and Theory of Petri Nets 1997,Springer-Verlag,Berlin,1997.
[33]W.M.P.van der Alast.verification of workflow nets[J],in Proceding of 18th international conference,ICATPN'97:Toulouse,France;Jun 1997.
[34]Available at http://www.sf.net/projects/springframework
[35]Arnold,Gosling,Holmes.The Java Programming Language Third Edition Addison Wesley 2000
[2]C.Mohan.Recent Trends in Workflow Management Products,Standards and Research.IBM Almaden Research Center 650 Harry Road,K01/B1 San Jose,CA 95120,USA mohan@almaden.ibm.com
[3]W.M.P.van der Aalst.Putting Petri nets to work in industry.Computers in Industry,25(1):45-54,1994.
[4]K.Jensen.Coloured Petri Nets.Basic concepts,analysis methods and practical use.EATCS monographs on Theoretical Computer Science.Springer-Verlag,Berlin,1996.
[5]W.M.P.van der Aalst.Three Good reasons for Using a Petri-net-based Workflow Management System.In S.Navathe and T.Wakayama,editors,Proceedings of the International Working Conference on Information and Process Integration in Enterprises(IPIC'96),Camebridge,Massachusetts,Nov 1996.
[6]M.Wolf and U.Reimer,editors.Proceedings of the International Conference on Practical Aspects of Knowledge Management(PAKM'96),Workshop on Adaptive Workflow,Basel,Switzerland,Oct 1996.
[7]G.De Michelis,C.Ellis,and G.Memmi,editors.Proceedings of the second Workshop on Computer-Supported Cooperative Work,Petri nets and related formalisms,Zaragoza,Spain,June 1994.
[8]C.Ellis,K.Keddara,and G.Rozenberg.Dynamic change within Workflow systems.In N.Comstock and C.Ellis,editors,Conf.on Organizational Computing Systems.ACMSIGOIS,ACM,Aug 1995.Milpitas,CA.
[9]C.A.Ellis and G.J.Nutt.Modeling and Enactment of Workflow Systems.In M.Ajmone Marsan,editor,Application and Theory of Petri Nets 1993,Berlin,1993.
[10]P.Lawrence,editor.Workflow Handbook 1997,Workflow Management Coalition.John Wiley and Sons,New York,1997.
[11]WfMC.Workflow Management Coalition Terminology and Glossary (WfMC-TC-1011).Technical report,Workflow Management Coalition,Brussels,1996.
[12]Will van der Aalst & Kees van Hee.Workflow Management:Models,Methods,and Systems.Academic Service,Schoonhoven,1997
[13]汪涛,黄力芹,吴耿锋.工作流管理的发展历程和趋势.计算机工程与科学,2001.3(1)
[14]K.Hayes and K.Lavery.Workflow management software:the business opportunity.Technical report,Ovum Ltd,London,1991.
[15]S.Joosten.Trigger Modelling for Workflow Analysis.In G.Chroustand A.Benczur,editors,Proceedings CON'94:Workflow Management,Challenges,Paradigms and Products,pages 236-247,Vienna,Oct 1994.
[16]W.M.P.van der Aalst,D.Hauschildt,and H.M.W.Verbeek.A Petrinet-based Tool to Analyze Workflows.In B.Farwer,D.Moldt,andM.O.Stehr,editors,Proceedings of Petri Nets in System Engineering(PNSE'97),Hamburg,Sept 1997.University of Hamburg(FBI-HH-B-205/97).
[17]D.Hauschildt,H.M.W.Verbeek,and W.M.P.van der Aalst.WOFLAN:a Petri-net-based Workflow Analyzer.Computing Science Reports 97/12,Eindhoven University of Technology,Eindhoven,1997.
[18]W.Reisig.Petri nets:an introduction,volume 4 of Monographsin theoretical computer science:an EATCS series.Springer-Verlag,Berlin,1985.
[19]袁崇义.Petri网原理与应用.电子工业出版社,2005
[20]W.M.P.van der Aalst.Structural Characterizations of Sound WorkflowNets.Computing Science Reports 96/23,Eindhoven University of Technology,Eindhoven,1996.
[21]T.Murata.Petri Nets:Properties,Analysis and Applications.Proceedings of the IEEE,77(4):541-580,April 1989.
[22]W.M.P.van der Aalst.A class of Petri net for modeling and analyzing business processes.Computing Science Reports 95/26,Eindhoven University of Technology,Eindhoven,1995.
[23]Qu Y,Lin C,Marinescu DC.Wrokflow model:From process Algebra to Petri net[C].Submitted to 23rd International Conference on Conceptual Modeling,April,2004
[24]张晨光,李西宁,张景.基于Petri网的公文管理工作流模型.计算机工程与应用,2004[25]
[25]李彤,王黎霞.一个基于Petri网的软件并行开发控制模型.计算机应用研究.1998年第三期.
[26]蒋昌俊.Petri网的行为理论及其应用.高等教育出版社,2003
[27]M.Ajmone Marsan,G.Balbo,G.Conte,et al.Modelling with Generalized Stochastic Petri Nets.Wiley series in parallel computing.Wiley,New York,1995.
[28]J.Esparza.Synthesis rules for Petri nets,and how they can lead to new results.In J.C.M.Baeten and J.W.Klop,editors,Proceedings of CONCUR 1990,volume 458 of Lecture Notes in Computer Science,Springer-Verlag,Berlin,1990.
[29]K.Barkaoui,J.M.Couvreur,and C.Dutheillet.On liveness in Extended Non Self-Controlling Nets.In G.De Michelis and M.Diaz,editors,Application and Theory of Petri Nets 1995,volume 935 of Lecture Notes in Computer Science,Springer-Verlag,Berlin,1995.
[30]P.A.Straub and C.Hurtado.The Simple Control Property of Business Process Models.In XV International Conference of the ChileanComputer Science Society,1995.
[31]M.H.T.Hack.Analysis production schemata by Petri nets.Master'sthesis,Massachusetts Institute of Technology,Cambridge,Mass.,1972.
[32]W.M.P.van der Aalst.Verification of WorkflowNets.In P.Azema and G.Balbo,editors,Application and Theory of Petri Nets 1997,Springer-Verlag,Berlin,1997.
[33]W.M.P.van der Alast.verification of workflow nets[J],in Proceding of 18th international conference,ICATPN'97:Toulouse,France;Jun 1997.
[34]Available at http://www.sf.net/projects/springframework
[35]Arnold,Gosling,Holmes.The Java Programming Language Third Edition Addison Wesley 2000