Construction Plan for Dynamic Monitoring and Management System of Financial Treasurycatalogue1. Ov

Construction Plan for Dynamic Monitoring and Management System of Financial Treasury
catalogue
1. Overall design concept 3
2 Business Description 3
3 Business Process 3
4 Functional Structure 5
5 Functional Design 6
5.1 Monitoring Settings 6
5.2 Fund monitoring and management 7
5.3 Early warning monitoring management (classified by business type) 9
5.4 Business Monitoring Console 16
5.5 Monitoring and Statistical Analysis 16
1. Overall design concept
The dynamic monitoring system of the national treasury is based on the single account system of the national treasury. By integrating financial budget, indicators, plans and other information data, it provides comprehensive and comprehensive automatic warning and manual monitoring of the receipt and payment of national treasury funds in real time, and takes corresponding measures to deal with various violations. The system designs a scientifically complete and continuously updated warning rule system based on the requirements of national laws and regulations for budget execution and specific measures for financial management.
2 Business Description
Build a dynamic monitoring and management system for the national treasury based on a technical support platform, design and implement a scientifically complete and continuously updated warning rule system, and implement the requirements of national laws and regulations for budget execution and specific measures for financial management through software. Realize seamless connection between the dynamic monitoring system of the national treasury and centralized payment of the national treasury, conduct in-depth analysis of the budget execution process through data mining, and achieve real-time monitoring of payment business in Dalian based on financial regulations and rules. Implement electronic and automated management mode between the financial treasury, budget units, and agency banks. This mainly includes: process monitoring (process supervision), execution progress monitoring, payment process warning monitoring, and other content.
3 Business processes
There are two options for dynamic monitoring of budget execution and overall business operation process to choose from. The main difference between the two lies in the different stages of manual verification. Option 1: Financial personnel can directly verify in the business system; Option 2: Due to the lack of entry points for financial personnel in the business system, they can only add one position in the dynamic monitoring system, that is, verify it in the dynamic monitoring system. Specifically, as follows:
1. Plan One
Option one is a dynamic monitoring system for business process control, which does not require any changes to the business process, such as direct payment. The finance department is already in the business process and can directly verify the monitoring. The financial business system sends the business data to be monitored to the platform at each monitoring point. The monitoring system directly extracts the business data through the platform and analyzes it according to pre-set monitoring rules. The monitoring system feeds back the analysis results to the business system and monitoring database, and normal business directly proceeds to subsequent processes; The system feeds back data that violates rules to the business system and prevents subsequent processes, and then the financial personnel directly process the business in the business system for manual processing. After verifying the reasons, a decision is made on whether to "pass" or "reject and return" the data.
The specific process is shown in the following figure:
Figure 5.1 1: Business Process of Scheme 1
2. Option 2
Option 2 is to have a dynamic monitoring system control the business system process, requiring changes to the business system workflow, such as authorization for payment, where finance is not included in the business process, and there is no entry point for verifying monitoring in the business process. Therefore, it is necessary to change the business process through the dynamic monitoring system. The financial business system sends the business data to be monitored to the platform at each monitoring point. The monitoring system directly extracts the business data through the platform and analyzes it according to pre-set monitoring rules. The monitoring system feeds back the analysis results to the business system and monitoring database, and normal business directly proceeds to subsequent processes; The system feeds back data that violates rules to the business system and prevents subsequent processes, which are then manually processed by financial personnel in the dynamic monitoring system. After verifying the reasons, a decision is made on whether to "pass" or "reject and return" the data.
The specific process is shown in the following figure:
Figure 5.12: Business Process of Scheme 2
4 Functional structure
The dynamic monitoring system of the national treasury is divided into three major functions: monitoring settings, monitoring management, and monitoring statistical analysis. Its functional structure is shown in the figure:
Figure 5.1 1: National Treasury Dynamic Monitoring System
5 Functional Design
5.1 Monitoring Settings
Monitoring settings include basic information settings, monitoring rule management, violation type settings, data collection, and system scheduled tasks. The dynamic monitoring system of the national treasury monitors the business system in real time. Firstly, basic information needs to be set up, and the specific content is as follows:
1. Violation type setting
This function mainly completes the setting of violation types, which are mainly used for users to classify and statistically analyze violation results.
The initialization interface is as follows:
Figure 5.1 1: Rule Type Setting initialization interface
2. Monitoring Rule Management
This function mainly completes system initialization settings such as early warning rule maintenance, process monitoring setting, verification stage setting, and monitoring stage setting in the dynamic monitoring system. Including account management rules, blacklist rules, transaction control rules, etc., various rules can be easily and concisely formulated according to needs to achieve various monitoring.
Warning rules: pre warning and mid warning.
The rule management interface is as follows:
Figure 5.12: Main page of warning rule settings
5.2 Fund monitoring and management
It monitors the payment of budget unit funds, automatically controls and prevents their payment based on custom monitoring rules, and automatically records them for later reference. Special measures such as agreeing to pay or freezing budget unit quotas can be taken after obtaining approval from leaders for partial fund payments. Including pre event monitoring and in-process monitoring.
1. Pre monitoring console
When the user saves the input document, the system automatically detects whether there is any violation in the input content. If there is, a prompt will be given to mark it.
The pre monitoring console interface is as follows:
Figure 5.2 1: Pre monitoring console
2. In process monitoring console
In process monitoring is the monitoring of ongoing business, and monitoring points can be set between the starting and ending stages of the business.
The in-process regulatory console is a control platform for handling business data that violates regulatory rules, displaying unprocessed business data that violates regulatory rules in the regulatory console. Users investigate and understand the business data one by one to determine whether the business is truly violating regulations. If there is no violation, cancel the warning; otherwise, the operation will be blocked. Special measures such as agreeing to pay or freezing budget unit quotas can be taken after obtaining approval from leaders for partial fund payments
The interface of the in-process monitoring console is as follows:
Figure 5.22: In process monitoring console
Case 1: Dynamic monitoring of the entire process of authorized payment
The monitoring of authorized payments by the system can be divided into two types: "rule-based fund monitoring" and "manual online monitoring". Regular fund monitoring is achieved by inputting monitoring rules into the system, which is automatically controlled by the system. Authorization payment applications that do not comply with management rules are directly controlled in the input stage, making it impossible to complete business operations. If it can be stipulated that the single withdrawal of cash by the unit on the same day shall not exceed 50000 yuan, the cumulative withdrawal of cash on the same day shall not exceed 100000 yuan, and the cumulative withdrawal of cash in the current year shall not exceed 10% of the approved payment limit, etc. After setting rules through the system, any cash withdrawal activity that exceeds the prescribed limit will be automatically controlled and prompted to the operator by the system. Artificial online monitoring refers to the implementation of online monitoring by dedicated personnel arranged by the national treasury department for the normal authorized payment business of the unit. For payment business that violates budget indicators and does not implement dedicated funds, the financial department can prevent the continuation of the business at any stage before the confirmation of bills by the proxy bank. The financial department can customize the "Financial Monitoring Statistics Table" and "Financial Authorization Payment Monitoring Details Table" by refining the filtering conditions, time period, budget unit, fund nature, functional classification, and monitoring rules, etc., summarize and analyze the financial authorization payment situation, and export relevant monitoring reports as needed.
5.3 Early warning monitoring management (classified by business type)
1) Authorization payment monitoring
This function mainly completes the monitoring of ongoing authorized payment business data in the dynamic monitoring system. During the execution of authorized payment business data, monitoring services are called at corresponding monitoring points according to the set monitoring scheme to monitor business data according to pre customized warning rules.
The monitoring of authorized payments by the system can be divided into two types: "rule-based fund monitoring" and "manual online monitoring". Regular fund monitoring is achieved by inputting monitoring rules into the system, which is automatically controlled by the system. Authorization payment applications that do not comply with management rules are directly controlled in the input stage, making it impossible to complete business operations. If it can be stipulated that the single withdrawal of cash by the unit on the same day shall not exceed 50000 yuan, the cumulative withdrawal of cash on the same day shall not exceed 100000 yuan, and the cumulative withdrawal of cash in the current year shall not exceed 10% of the approved payment limit, etc. After setting rules through the system, any cash withdrawal activity that exceeds the prescribed limit will be automatically controlled and prompted to the operator by the system. Artificial online monitoring refers to the implementation of online monitoring by dedicated personnel arranged by the national treasury department for the normal authorized payment business of the unit. For payment business that violates budget indicators and does not implement dedicated funds, the financial department can prevent the continuation of the business at any stage before the confirmation of bills by the proxy bank. The financial department can customize the "Financial Monitoring Statistics Table" and "Financial Authorization Payment Monitoring Details Table" by refining the filtering conditions, time period, budget unit, fund nature, functional classification, and monitoring rules, etc., summarize and analyze the financial authorization payment situation, and export relevant monitoring reports as needed.
Authorization payment monitoring first involves the financial business system sending the required monitoring data to the dynamic monitoring system at the business monitoring point; The dynamic monitoring system receives the business system data that needs to be monitored and analyzes whether the received business data is normal according to the pre-set warning rules; If the business data is normal (without violation) and the data status is returned as normal (passed), the business will continue; If the business data is abnormal, there are two situations:
1. Business data violations will be automatically processed by the dynamic monitoring system as violations (blocked), and the data status will be returned as violations (blocked). At the same time, the external interface of the business system will be called for special business processing to block the business;
2. There are two processing methods for storing business data:
(1) If the data is verified by the dynamic monitoring system, the business acceptance personnel will verify and process it in the dynamic monitoring system based on the materials provided by the unit. If it can be released after verification, the data status will be returned to normal (passed), and the business will continue after calling the external interface of the business system for business processing; If it is confirmed through verification that the violation needs to be rectified, the data status will be returned as non compliant (blocked). After calling the external interface of the business system for business processing, the business will be blocked and returned;
(2) If the inventory is verified by the business system, the business acceptance personnel will manually verify and process it according to the materials provided by the unit in the acceptance position of the business system. If it can be released after verification, the business data will be reviewed and approved. If it is confirmed that the violation needs to be rectified after verification, the business data will be returned; At the same time, the processing result information is fed back to the dynamic monitoring system, and the dynamic monitoring verification processing interface is called. The dynamic monitoring system automatically processes the warning information based on the result information (pass/block).
Authorization payment business monitoring can be carried out through verification processing in the business system or through verification processing in the dynamic monitoring system. Then, the financial monitoring post that authorizes payment business does not handle the business itself. It is recommended to verify and process in the dynamic monitoring system to separate the monitoring post from the business post;
Business process: Unit handling: Enter authorized payment voucher ->Send to financial payment center for acceptance ->Payment center acceptance post for acceptance ->Bank payment
Example 1: Authorization payment with a single transfer amount that is too large
Rule Description: A single withdrawal cannot exceed 10000 yuan.
[Business Process]
The company handles the entry of the authorized payment voucher, such as 011001 the Communist Youth League Mount Huangshan Municipal Party Committee, and the entered settlement method is cash, and the amount is 20000 yuan.
Click [Review and Send], and the business document you see will be returned, as shown in the following figure:
In the authorized payment voucher information, by querying the voucher information, you can view the alert status, alert rules, alert results, and other query items in the information. As shown in the above figure, the default alert processing method is "1- Block", and the document business status is "40- Accept Return". This indicates that the voucher has been automatically returned by the monitoring system for violating the return rules.
Click on the value of the violation warning rule, such as S001001, and a specific monitoring rule description will pop up to view the specific warning rule information
The unit handles the same entry of authorization payment vouchers, and the settlement method entered is cash, with an amount of 30000 yuan.
Click [Review and Send], and the business document you see will be returned, as shown in the following figure:
In the authorized payment voucher information, by querying the voucher information, you can view the alert status, alert rules, alert results, and other query items in the information. As shown in the above figure, the default alert processing method is "3-Reminder", and the document business status is "119- Accepting".
Click on the value of the violation warning rule, such as S001001, and a specific monitoring rule description will pop up to view the specific warning rule information
Enter the dynamic monitoring system ->Authorization payment warning, as shown in the following figure:
This payment voucher requires manual intervention from the payment center acceptance post. In the budget console, select the voucher document information and click [Process]
Select violation types, handling results, etc,
Select 2- Cancel alert, click OK, the processing result will be automatically approved, and the voucher will be directly accepted and approved;
Select processing method 1- Confirm violation, click OK, the voucher will be accepted and returned.
The query business system is shown in the following figure:
At this point, the authorization payment business monitoring process for accounting processing in the dynamic monitoring system has been completed.
Example 2: Monitoring of bank accounts temporarily reserved by the unit (specific operations can be referred to as Example 1)
All bank account information temporarily reserved by all units will be entered into the system. By setting management rules such as budget units not transferring funds from zero balance accounts to their other accounts or to accounts of subordinate units, the system will automatically investigate the payees and accounts authorized by the units for payment transfer business. Payment business systems that violate regulations will be automatically controlled and budget unit operators will be prompted; For special circumstances that require the transfer of funds, it can only be completed with the consent of the financial department and the removal of interference.
2) Direct payment monitoring
This function mainly completes the monitoring of ongoing direct payment business data in the dynamic monitoring system. During the execution of direct payment business data, monitoring services are called at corresponding monitoring points according to the set monitoring scheme to monitor business data according to pre customized warning rules.
Financial direct payment monitoring first involves the financial business system sending the required monitoring data to the dynamic monitoring system at the business monitoring point; The dynamic monitoring system receives the business system data that needs to be monitored and analyzes whether the received business data is normal according to the pre-set warning rules; If the business data is normal (without violation) and the data status is returned as normal (passed), the business will continue; If the business data is abnormal, there are two situations:
1. Business data violations will be automatically processed by the dynamic monitoring system as violations (blocked), and the data status will be returned as violations (blocked). At the same time, the external interface of the business system will be called for special business processing to block the business;
2. There are two processing methods for storing business data:
(1) If the data is verified by the dynamic monitoring system, the business acceptance personnel will verify and process it in the dynamic monitoring system based on the materials provided by the unit. If it can be released after verification, the data status will be returned to normal (passed), and the business will continue after calling the external interface of the business system for business processing; If it is confirmed through verification that the violation needs to be rectified, the data status will be returned as violation (blocked), and the business will be called