海关风险管理平台设计与实现
摘要
海关工作领域中存在着许许多多风险,风险的产生往往与利益尤其是经济利益密切相关。中国海关分析了外国海关成功做法和海关实际需要,做出了以风险管理机制为中心环节的重大战略决策。海关风险管理的发展方向有许多方面,其中应用海关风险管理平台是不可或缺重要环节。风险管理平台是海关开展风险分析的工具,是建立统一风险管理机制的重要载体,能建立涵盖所有管辖范围和业务系统的分析监控、决策处置、反馈评估、维护保障为一体的风险管理运作体系,能有效地识别、度量、分析、评估、处置和监控风险,在有限的人力资源情况下,做到最大程度的监管。
本文首先对海关风险管理的国内外现状进行概括,总结了海关引进风险管理的重要性和必要性,阐述了中国海关构建风险管理平台的重大意义。提出了利用数据库技术搭建风险管理平台的思想,构建了基于浏览器/服务器模式(B/S)数据库系统的中国海关风险管理平台框架。本文的主要工作成果有以下四个方面:
1)提出了中国海关风险管理平台的整体框架设计方案。风险管理平台可实现对风险管理相关的信息流、数据流的汇集、分析、发布,形成一整套完善的处理机制,为各级海关提供相应的风险管理情报。
2)利用基于浏览器/服务器模式(B/S)的数据库系统建立中国海关风险管理平台架构,使用海关内部管理网资源,用简易的平台将风险管理信息发布到各个海关,并在各个海关之间进行信息的交换。
3)对以往查询需求的分析研究,根据数据使用的频繁程度不同,将数据库中的数据分为常用数据和非常用数据。这样解决了风险分析平台中对关系数据的查询时间较长等问题,加快了数据查询的速度,提高了数据的使用效率。
4)针对海关风险管理信息管理的不同需求,开发了风险作业单管理和风险热线管理等模块以及简单的数据应用,实现了风险管理平台的初步应用。
There are a variety of risks during the work at the Customs, which are closely related to the interests, especially the economic interests. According to the successful experience of foreign countries and the practical demand of itself, the Customs of China has made important decisions to focus on the mechanism of risk management, in the development of which the Risk Management Platform is one of the most indispensable parts. As the instrument of risk analysis for the Customs and the crucial carrier of a united risk management mechanism, the Risk Management Platform play the role as a risk management system covering almost every business unit under administration, capable of the recognition, measurement, analysis, assessment, processing and monitoring of risks in order to achieve the goal of supervising to the greatest degree under limited human resources.
This article outlines the current situation both domestic and abroad in the field of risk management for the Customs to illustrate its importance and necessity, and more specifically the significance of constructing the Risk Management Platform for the Customs of China. It is proposed in the article that data base technology could be used to build it on the basis of Explorer or Server Mode. The main achievements of the article are as following:
1. Put forward the overall frame for the Risk Management Platform to collect or analysis relative data-flows and provide information for the subordinate Customs with a integrated mechanism.
2. Use the data base on the basis of Explorer or server mode to build the Risk Management Platform. Take advantage of the resources on the internal website to establish information concerned to the subordinate Customs and to make exchange between them.
3. With references to researches before, differ common data from uncommon data by its use frequency and build the subordinate data base on personal computer or other servers in conformity to different demands, which solve the problem of wasting time on inquiring data by accelerating the speed of inquiry and improving the efficiency of processing data.
4. Realize the fundamental application of Risk Management Platform by developing task risk management modules and hotline risk management modules with simple data application to satisfy different needs of risk management of the Customs.
本文首先对海关风险管理的国内外现状进行概括,总结了海关引进风险管理的重要性和必要性,阐述了中国海关构建风险管理平台的重大意义。提出了利用数据库技术搭建风险管理平台的思想,构建了基于浏览器/服务器模式(B/S)数据库系统的中国海关风险管理平台框架。本文的主要工作成果有以下四个方面:
1)提出了中国海关风险管理平台的整体框架设计方案。风险管理平台可实现对风险管理相关的信息流、数据流的汇集、分析、发布,形成一整套完善的处理机制,为各级海关提供相应的风险管理情报。
2)利用基于浏览器/服务器模式(B/S)的数据库系统建立中国海关风险管理平台架构,使用海关内部管理网资源,用简易的平台将风险管理信息发布到各个海关,并在各个海关之间进行信息的交换。
3)对以往查询需求的分析研究,根据数据使用的频繁程度不同,将数据库中的数据分为常用数据和非常用数据。这样解决了风险分析平台中对关系数据的查询时间较长等问题,加快了数据查询的速度,提高了数据的使用效率。
4)针对海关风险管理信息管理的不同需求,开发了风险作业单管理和风险热线管理等模块以及简单的数据应用,实现了风险管理平台的初步应用。
There are a variety of risks during the work at the Customs, which are closely related to the interests, especially the economic interests. According to the successful experience of foreign countries and the practical demand of itself, the Customs of China has made important decisions to focus on the mechanism of risk management, in the development of which the Risk Management Platform is one of the most indispensable parts. As the instrument of risk analysis for the Customs and the crucial carrier of a united risk management mechanism, the Risk Management Platform play the role as a risk management system covering almost every business unit under administration, capable of the recognition, measurement, analysis, assessment, processing and monitoring of risks in order to achieve the goal of supervising to the greatest degree under limited human resources.
This article outlines the current situation both domestic and abroad in the field of risk management for the Customs to illustrate its importance and necessity, and more specifically the significance of constructing the Risk Management Platform for the Customs of China. It is proposed in the article that data base technology could be used to build it on the basis of Explorer or Server Mode. The main achievements of the article are as following:
1. Put forward the overall frame for the Risk Management Platform to collect or analysis relative data-flows and provide information for the subordinate Customs with a integrated mechanism.
2. Use the data base on the basis of Explorer or server mode to build the Risk Management Platform. Take advantage of the resources on the internal website to establish information concerned to the subordinate Customs and to make exchange between them.
3. With references to researches before, differ common data from uncommon data by its use frequency and build the subordinate data base on personal computer or other servers in conformity to different demands, which solve the problem of wasting time on inquiring data by accelerating the speed of inquiry and improving the efficiency of processing data.
4. Realize the fundamental application of Risk Management Platform by developing task risk management modules and hotline risk management modules with simple data application to satisfy different needs of risk management of the Customs.
引文
[1]孙毅彪.海关风险管理理论与应用研究[M].上海:复旦大学出版社,2007:P39.
[2]ANNE-MARIE GEOURJON.RISK MANAGEMENT FOR TARGETING CUSTOMS CONTROLS IN DEVELOPING COUNTRIES:A RISKY VENTURE FOR REVENUE PERFORMANCE?[J].public administration and development,2005,Public Admin Dev.25:105-113.
[3]US Customs.Managing Trade Risk[EB].:http://www.cbp.gov/xp/cgov/import/informed_compliance/managing_risk.x ml 2007:
[4]US Customs.COMPLIANCE ASSESSMENT AUDIT PROGRAM[EB].:http://www.cbp.gov/linkhandler/cgov/import/reg_audit/archive/complian ce_assessment/exhibit2.ctt/exhibt2.doc 2001:
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[6]Jacques A.M.van Blijswijk.Beyond Ethical Codes:The Management of Integrity in the Netherlands Tax and Customs Administration[J].Public Administration Review,2004,Vo.164 No.6:718-727.
[7]中荷现代海关管理第26期研讨班代表团.关于赴荷参加研讨班的情况报告[EB].:中国海关网2004:
[8]李晓东.荷兰海关风险管理谁最权威——荷兰海关情报信息分析中心观览[J].北京:中国海关2000:52-54.
[9]张旭.美国海关风险管理过程研究及启示[J].吉林:工业技术经济,2005,第24卷第9期:135、136.
[10]海关总署.现代海关制度第二步发展战略规划[EB].:中国海关网2006
[11]Australian Customs.Customs Risk Management Policy[EB]:http://www.customs.gov.au 20021
[12]Australia Customs.Australia Customs Corporate Strategic Risk Profile[EB].:http://www.customs.gov.au
[13]牟新生.全国海关关长会议暨海关系统“双先”表彰大会直播实录[EB].:http://www.customs.gov.cn/YWStaticPage/10604/fcd36574.htm 2008:
[14]孙百昌.当代西方国家行政改革与我国实施行政许可法[EB].:http://law-sbc.vip.sina.com/sunbai_file/file_2/xingzhengxukefa3.htm
[15]海关总署政策法规司.中国海关报关实用手册[M].北京:2008:69-81.
[16]李延海.信息技术在海关风险管理中的应用[J].湖北:科技进步与对策,2005年,9月号:140-142.
[17]苗跃学.试论科学的海关风险防控观[J].北京:海关研究,2007年,第三期,总第112期:22-25.
[18]黄元超.浅析由“虚”变“实”——推进海关风险管理的思考[J].北京:海关研究,2007年,第三期,总第112期:25-28.
[19]林根华.风险分析监控中心的理念创新与机制构建[J].北京:海关研究,2006年,第六期,总第109期:48-52.
[20]中国管理传播网.经典回顾(10):经理人员的职能[EB].http://manage.org.cn/Article/200304/1225.html 2003:
[21]郑阿奇.ASP程序设计教程[M].北京:机械工业出版社,2005:133-139.
[22]陈季.ASP快速建站全程实录[M].北京:电子工业出版社,2007:13-28.
[23]Angshuman Chakraborti..NET Framework专业项目实例开发[M].北京:中国水利水电出版社,2003:45-58.
[24]郝刚.ASP.NET服务器控件开发技术与实例[M].北京:人民邮电出版社,2005:40-46.
[25]灯芯工作室.用XML轻松开发Web网站[M].北京:北京希望电子出版社,2001:173-229.
[26]Matt Butler.ASP.NET服务器控件高级编程[M].北京:清华大学出版社,2002:208-279.
[27]戎马工作室.ASP与ACCESS动态网站开发自学导航[M].北京:机械工业出版社,2007:99.
[28]耿冲.SQL Server 2000数据库管理[M].北京:机械工业出版社,2001:106-108.
[29]James L.Johnson.数据库-模型、语言与设计[M].北京:电子工业出版社,2004:459-462.
[30]Adam Drozdek.数据结构与算法Java语言版[M].北京:机械工业出版社,2006:164-175.
[31]何薇.网络数据库技术与应用[M].北京:清华大学出版社,2005:57-79.
[32]Mark Allen Weiss.数据结构与问题求解Java语言描述(第3版)[M].人民邮电出版社,2006:296-317.
[2]ANNE-MARIE GEOURJON.RISK MANAGEMENT FOR TARGETING CUSTOMS CONTROLS IN DEVELOPING COUNTRIES:A RISKY VENTURE FOR REVENUE PERFORMANCE?[J].public administration and development,2005,Public Admin Dev.25:105-113.
[3]US Customs.Managing Trade Risk[EB].:http://www.cbp.gov/xp/cgov/import/informed_compliance/managing_risk.x ml 2007:
[4]US Customs.COMPLIANCE ASSESSMENT AUDIT PROGRAM[EB].:http://www.cbp.gov/linkhandler/cgov/import/reg_audit/archive/complian ce_assessment/exhibit2.ctt/exhibt2.doc 2001:
[5]李晓东.中国海关赴荷兰海关风险管理跟班作业学习情况报告[EB].:中国海关网2000:
[6]Jacques A.M.van Blijswijk.Beyond Ethical Codes:The Management of Integrity in the Netherlands Tax and Customs Administration[J].Public Administration Review,2004,Vo.164 No.6:718-727.
[7]中荷现代海关管理第26期研讨班代表团.关于赴荷参加研讨班的情况报告[EB].:中国海关网2004:
[8]李晓东.荷兰海关风险管理谁最权威——荷兰海关情报信息分析中心观览[J].北京:中国海关2000:52-54.
[9]张旭.美国海关风险管理过程研究及启示[J].吉林:工业技术经济,2005,第24卷第9期:135、136.
[10]海关总署.现代海关制度第二步发展战略规划[EB].:中国海关网2006
[11]Australian Customs.Customs Risk Management Policy[EB]:http://www.customs.gov.au 20021
[12]Australia Customs.Australia Customs Corporate Strategic Risk Profile[EB].:http://www.customs.gov.au
[13]牟新生.全国海关关长会议暨海关系统“双先”表彰大会直播实录[EB].:http://www.customs.gov.cn/YWStaticPage/10604/fcd36574.htm 2008:
[14]孙百昌.当代西方国家行政改革与我国实施行政许可法[EB].:http://law-sbc.vip.sina.com/sunbai_file/file_2/xingzhengxukefa3.htm
[15]海关总署政策法规司.中国海关报关实用手册[M].北京:2008:69-81.
[16]李延海.信息技术在海关风险管理中的应用[J].湖北:科技进步与对策,2005年,9月号:140-142.
[17]苗跃学.试论科学的海关风险防控观[J].北京:海关研究,2007年,第三期,总第112期:22-25.
[18]黄元超.浅析由“虚”变“实”——推进海关风险管理的思考[J].北京:海关研究,2007年,第三期,总第112期:25-28.
[19]林根华.风险分析监控中心的理念创新与机制构建[J].北京:海关研究,2006年,第六期,总第109期:48-52.
[20]中国管理传播网.经典回顾(10):经理人员的职能[EB].http://manage.org.cn/Article/200304/1225.html 2003:
[21]郑阿奇.ASP程序设计教程[M].北京:机械工业出版社,2005:133-139.
[22]陈季.ASP快速建站全程实录[M].北京:电子工业出版社,2007:13-28.
[23]Angshuman Chakraborti..NET Framework专业项目实例开发[M].北京:中国水利水电出版社,2003:45-58.
[24]郝刚.ASP.NET服务器控件开发技术与实例[M].北京:人民邮电出版社,2005:40-46.
[25]灯芯工作室.用XML轻松开发Web网站[M].北京:北京希望电子出版社,2001:173-229.
[26]Matt Butler.ASP.NET服务器控件高级编程[M].北京:清华大学出版社,2002:208-279.
[27]戎马工作室.ASP与ACCESS动态网站开发自学导航[M].北京:机械工业出版社,2007:99.
[28]耿冲.SQL Server 2000数据库管理[M].北京:机械工业出版社,2001:106-108.
[29]James L.Johnson.数据库-模型、语言与设计[M].北京:电子工业出版社,2004:459-462.
[30]Adam Drozdek.数据结构与算法Java语言版[M].北京:机械工业出版社,2006:164-175.
[31]何薇.网络数据库技术与应用[M].北京:清华大学出版社,2005:57-79.
[32]Mark Allen Weiss.数据结构与问题求解Java语言描述(第3版)[M].人民邮电出版社,2006:296-317.