合同管理系统的设计与实现外文翻译

外文资料原文

A Web-based and Email Driven Electronic Contract Management

System

Thomas Kwok, Thao Nguyen, Linh Lam and Trieu Chieu

IBM Research Division

Thomas J. Watson Research Center

19 Skyline Drive, Hawthorne, NY 10532

kwok@https://www.360docs.net/doc/f17014229.html,

1. Introduction

Contracts are required in most transactions of the enterprise business, as they constitute the binding relationship between an enterprise and its suppliers, business partners, or customers. In many enterprises, the majority of their revenues are contract driven. At the same, a significant part of their expenses is also contract related. Automation of some contract management tasks in the electronic contract lifecycle presents a substantial value creation opportunity for the enterprise. This value stems from improved productivity and security, effectively aggregated contract information, accelerated contract transaction time and lifecycle processes, reduced contractual errors and risk, enabled revenue forecast and profit optimization, as well as better compliance enforcement.

With the advent of Internet technology and electronic commerce, there are growing research activities and implementation efforts on establishing and standardizing an electronic contract management system.

Currently, the International Association of Contract and Commercial Managers have listed over twenty commercial available software products for electronic contract management. Most research activities on the electronic contract reported are focus on electronic contract creation or representation language, management, negotiation and collaboration, execution, performance, security and signing, fulfillment and data mining. However, there is no study or product focus on a Web-based electronic contract management system that can support both internal and intra-enterprises workflows, or with multi-tenants hosting capability. There are some discussions in addressing the need to execute electronic contracts in a speedy way but there is no good method proposed. In addition, there is no good disclosed method to automate the watermarking of signature information on the signed electronic contracts although there are several automated electronic contract creation and process methods reported.

In this paper, we present a Web-based and email driven electronic contract management system that supports both internal and intra-enterprises workflows, and with multi-tenants hosting capability. This system sends out email notifications to request those users who are required to act on certain tasks to process their electronic contracts to act on their tasks immediately at every internal business process and document flow step within every workflow. For sequential tasks, this system also sends out email notifications to those users in line to act on the next task to process their electronic contracts to alert and remind them to take actions when other users have just completed the previous tasks. Thus, this system enables the electronic contract users to accelerate the transaction time and life cycle of their electronic contracts. We also describe several novel methods to automate some manual and tedious tasks, such as watermarking signature information on the signed electronic contract and life cycle management, in this paper.

2. The framework

Figure 1 shows an architectural framework of an email driven electronic contract management system. This electronic contract management system is Web-based and supports both internal and intra-enterprises workflows. It also has a capability of hosting multi-tenants at the same time using the same set of computing servers. The framework consists of a Web server, a DB2 server and an application server. The Web server dynamically creates, composes and delivers customized Web pages with inputs and interactions from contract administrators and representatives in an enterprise, as well as their counter parts in their suppliers, business partners, and their customers through either HTTP or HTTPS communications. The DB2 server hosts the database for the electronic contract metadata and the repository for all electronic contracts and their related documents. Each enterprise or tenant has its own set of database. A service provider, such as IBM, can use or host this electronic contract management system as common computing services to a number of enterprises to manage their electronic contracts at the same time using the same set of computing servers to minimize the cost and simplify the system integrations.

The application server hosts the main core engine of the electronic contract management system. The main core engine comprises eight important modules, an administration module and an access control module, a workflow module, an email notification module, an electronic signature module, a document management module, a data extraction and search module, and a lifecycle management module. The administration module is used by the contract administrators of each enterprise or tenant to setup, configure and customize all system and contract related parameters as this electronic contract management system supports multi-tenants or many enterprises at the same time. The access control module authenticates authorized users to access or enter the electronic contract management system as well as to perform and execute certain electronic contract management tasks. The workflow engine and its configuration tool in the workflow module supports both internal and intra-enterprises workflows. The email notification module creates and stores the metadata of those ready to send emails. It has a service daemon

to compose the content of the ready to send email as well as send it out

every 3 to 15 minutes. It also allows authorized users to track, retrieve and resend old emails. The SMTP server acts as an email server to propagate emails to the contract administrators and representatives in an enterprise, their suppliers, business partners and customers from this electronic contract management system. The electronic signature module records and stores electronic contract signing information. It also composes an electronic contract signature file in a viewable form, such as a PDF file format. Then, it superimposes a watermark of contract signing information on the signed electronic contract document. The document management module uploads, downloads, stores and retrieves all electronic contracts and their related documents. The data extraction and search module extracts metadata from the electronic contract document. It also provides a metadata and keyword search capabilities for users to retrieve their electronic contracts and related documents in the database and repository. The life cycle management module is also a service daemon. It performs a set of pre-defined automated electronic contract management tasks, such as activate signed contracts, cleanup all workflow steps of rejected contracts and delete already expired contracts beyond retention periods.

All communications, interactions and connections among contract administrators and representatives of enterprises, their suppliers, business partners and customers, the Web server, the application server and the remote or local databases go through one or more secure wired or wireless networks. As a result, this Web-based electronic contract management system enables authorized users to carry out different contract document tasks, as well as sign electronic contracts in real-time using a Web browser without additional hardware and software installation. Many contract representatives, each assigned to perform the same or different contract tasks on the same or different types of contracts with different workflow steps, can simultaneously access this electronic contract system using a Web browser.

3. An administration module and access control

The contract administrators of each enterprise use the administration module to setup, configure and customize all system and electronic contract related parameters. The administration module provides a set of graphical user interfaces (GUIs) for contract administrators in an enterprise to customize email message contents for different types of email messages send to contract users, as well as the warning and retention periods for soon to be expired and expired electronic contracts beyond retention period respectively, for their enterprise. The contract administrators also use the GUIs to assign users certain contract management tasks, as well as to configure the workflow of different types of electronic contracts used in the enterprise. The contract administrator also configures an access control list for each flow step of a workflow in each type of electronic contracts. This access control list authorizes a group of users from an enterprise to perform certain contract management tasks on a specific type of electronic contract at a specific flow step in the workflow. There are also different roles assigned to different users to support the administrative related tasks of the electronic contract management. Examples of these roles are approver, reviewer, signer, counter signer and so on. The administrator can assign one or more of these roles to an individual user or a group of users. Each role entitles them to perform certain tasks on the electronic contracts routed to them.

In addition to the access control governed by roles, the contract administrators can assign different access levels to different users to limit their accesses to the electronic contracts within their enterprise. For example, users can access any electronic contracts within their enterprise with assigned access level one. However, users are limited to access those electronic contracts belonging to their own departments within their enterprise with assigned access level two. With access level three, users can only access to those electronic contracts submitted by them. The

access control list can be reconfigured anytime to support delegation to cover users unavailability or in case of unexpected situations when a user cannot carry out their responsibilities. Further, the contract administrators can reconfigure the access control list to designate a specific user (by restricting the rest of the other users) to handle certain electronic contracts because of their particular nature i.e. the contract amount exceeds certain dollar limit.

4.Document management, data extraction and search

Electronic contract document management usually involved a large number of complex manual steps. These manual steps are often tedious and may cause security faults. In addition, an electronic contract can encompass a large number of collateral contract documents including master and customer agreements, supplements, addenda and the like. Therefore, there are a large number of complex and often tedious manual steps involved in the merging of individual documents into an electronic contract. As a result, the merging process is very inefficient and frequently subject to human error. A separate and independent merge tool for electronic documents has been developed to handle and automate the above document merging tasks and its detail description has been reported. The document management module calls the APIs of this document merge tool to carry out a number of document management tasks, such as merging several documents together, assigning new page numbers for the merged document, creating a new document for signing information, and execution or transaction history.

Moreover, data extraction and thus data mining for these electronic contracts composed of a number of different types of semi-structure documents is very difficult. A novel method to extract contract data automatically from a composed document consisted of several electronic contract related documents has been developed and reported. The data

extraction and search module calls the APIs of this automatic data extraction system for electronic contract documents to extract specific metadata of the electronic contract and propagates them into the contract metadata tables. When the contract user creates a new electronic contract based on an old electronic contract from an electronic contract template, the document module can automatically retrieve and propagate these useful old metadata into the new electronic contract template. The data extraction module has also found to be very accurate, efficient and useful in extracting contract data for search and data mining, as well as for revenue forecast and profit optimization.

5. Electronic contract life cycle management

Figure 5 is a flow diagram illustrating the electronic contract life cycle management service daemon. First, the service daemon has to access the database parameters, such as database name and password, for the database connection from a property file. Then, the service daemon uses these database parameters to access the database and retrieves the timer parameters. With the timer parameters, such as wakeup interval, it starts the timer. The wakeup interval is usually set around 24 hours to 1

week. If the interval is set less than 24 hours, the service daemon may find there is no task waiting for it to carry out. This is simply a waste of computing resource. If the interval is set longer than 1 week, users may find that the electronic contract management system does not keep the status of all the electronic contracts up to date.

For each timer tick, the daemon monitors the contract table and select those pending, rejected, soon to be expired, already expired and beyond retention period contracts by their tenant identification numbers and contract identification numbers. For each select electronic contract, the service daemon accesses the corresponding tenant database according to its tenant identification number. According to the contract identification number, the service daemon retrieves the warning and retention periods from the customization table. Then, the service daemon will activate a pending contract by changing its status from passive to active. For rejected electronic contract, the service daemon removes the rejected contract, cleans up its associated attributes and workflow steps from the database. For the soon to be expired electronic contract, the service daemon adds an email entry on the notification table if the number of days before its expiration days matches one of the warning periods. The warning periods usually set to be 3 days, 7 days and 21 days. Emails of this message type are to remind users that they should prepare to renew their contracts or to plan for alternative solutions before their contracts actually expire. For the already expired contract, the service daemon moves the electronic contract from the active to archive contract database, and cleans up its attributes and workflow steps. For the beyond retention contract, the service daemon deletes this expired electronic contract from the database.

外文资料译文

基于Web和电子邮件驱动下的电子合同管理系统

1.简介

企业的大部分业务交易活动都需要签署合同，它们成为了企业与其供应商、业务伙伴以及客户之间的桥梁。在许多企业，他们的大部分收入是由合同驱动。无独有偶，其开支的重要组成部分，也是合同关系。在生命周期内的一些电子合同的管理任务实现自动化处理，可以成为企业创造重大价值德机会所在。即生产力和安全性的提高，更有效地聚集合同信息，加速合约交易的时间和生命周期流程，减少错误和危险的合同，使收入和利润预测的优化，以及更好地遵守执行。

随着互联网技术和电子商务时代的到来，出现了越来越多关于建立和规范电子合同管理系统的研究活动和执行工作。目前，合同和商业经理协会已经列举了超过二十件可实现商业电子合同管理功能的软件产品。对电子合同的大部分研究报告是针对电子合同的建立或表述语言，管理，谈判和合作，执行，性能，安全性和签名，实施以及数据挖掘。然而，却没有任何一项研究或是产品是针对可以同时支持企业内部和企业间的工作流程，或者强大的电子合同管理能力的基于Web的电子合同管理系统。此外，也需要好的方法来自动地披露签署电子合同的签署信息水印尽管有几种自动化电子合同的创建和处理方法已经发表了报告。

在本文中，我们提出了一个基于Web和电子邮件驱动的电子合同管理系统，支持企业内部和企业间的工作流程，并与多租户之间的托管能力。该系统发送电子邮件通知要求那些用户都必须采取行动去处理他们作用于电子合同的特定任务时,其任务涉及内部各业务流程和文档在每个工作流程中的传输步骤。以此类推,此系统亦发送电子邮件通知那些排队等待处理电子合同的用户,警报和提醒他们，其他用户刚刚完成了前面的任务可以采取行动。因此,该系统使得电子合同用户缩短了电子合同的任务处理时间和生命周期。我们也描述几个新方法使得一些体力和繁琐的工作得到自动化的解决,如水印信号信息的电子合同签署与生命周期管理,都在本文中进行了论述。

2.框架

图1显示了一个电子邮件驱动的电子合同管理系统架构框架。这种电子合同

管理系统是基于Web的，支持内部和国内企业的工作流程。它也有在同一时间举办多住户使用同一组服务器的计算能力。该框架包括一个Web服务器，DB2服务器和应用服务器。 Web服务器动态地创建，撰写和提供个性化的投入和合同管理人员和企业代表，以及在他们的供应商，业务伙伴之间的部分柜台，与客户互动或者通过HTTP或HTTPS通讯的网页。 DB2服务器主机的元数据库和电子合同的所有电子合同及相关文件的存放。每个企业或租客都有自己的一套数据库。一个服务提供商，如IBM，可以使用或作为共同主办此次计算服务电子合同管理系统，以一批企业管理，同时利用其电子合同计算服务器相同的设置，以减少成本和简化系统集成。

应用服务器主机是[【需要完整的请联系【51毕业论文网】获取】电子合同管理系统的主要核心引擎。主要的核心引擎包括八个重要的模块：管理模块和访问控制模块，工作流模块，电子邮件通知模块，电子签名模块，文档管理模块，数据提取和搜索模块，生命周期管理模块。管理模块是由每个企业或承租人设置合同管理员使用，配置和定制，因为这所有的系统和电子合同管理系统合同的相关参数，同时支持多租户或多个企业。访问控制模块认证授权的用户访问或进入电子合同管理系统以及执行和执行某些电子合同的管理工作。工作流引擎和工作流模块的配置工具，同时支持内部和国内企业的工作流程。电子邮件通知模块创建和存储了那些准备发送电子邮件元数据。它有一个服务守护程序组成的现成内

容，发送电子邮件以及发送每隔3至15分钟。它还允许授权用户跟踪，检索和重发旧的电子邮件。 SMTP服务器作为邮件服务器的电子邮件传播的合同管理人员和企业，他们的供应商，业务伙伴和该电子合同管理系统的客户代表。电子签名模块记录和存储信息的电子合同的签署。这也构成了一个可视电子合同形式的签名文件，如PDF文件格式。然后，它叠加了电子签名签署的合同，合同文件水印信息。文件管理模块上传，下载，存储和检索所有的电子合同及其相关文件。数据提取和搜索模块提取电子合同文档元数据。它还提供了一个元数据和关键字，为用户检索数据库和信息库的电子合同及相关文件搜索功能。生命周期管理模块也是一个服务守护进程。它执行一个预先定义的管理任务自动化的电子合同的设置，如激活签订的合同，清理被拒绝的所有合同的工作流程，删除已经超过保存期限的合同期满。

所有的通信，交互和管理人员之间的合同和企业，他们的供应商，商业伙伴和客户，Web服务器，应用服务器和远程或本地数据库连接的代表经过一个或更安全的有线或无线网络。因此，这个基于Web的电子合同管理系统使授权用户进行不同的合同文件的任务，以及为标志的实时电子合同的使用，无需额外的硬件和软件安装一个Web浏览器。许多合同的代表，每个分配来执行不同的工作流程步骤与合同相同或不同类型相同或不同的合同任务，可以同时访问这个电子合同系统使用Web浏览器。

3.管理模块和访问控制

每个企业的合同管理员使用管理模块来安装，配置和定制的所有系统和电子合同的相关参数。管理模块提供了一个企业的图形用户界面（GUI）的合同管理员设置来定制不同类型的电子邮件发送到电子邮件的内容合同的用户，以及预警和保存期限为即将过期或已过期电子合同分别超过保存期限，为他们的企业。合同管理员还可以使用图形用户界面来分配用户的某些合同管理任务，以及配置在企业内使用的电子合同的不同类型的工作流程。合同管理员还为每个配置的电子合同在每个类型的工作流流程的步骤访问控制列表。此访问控制列表授权从企业一组用户执行的电子合同在工作流中的具体流程步骤某些特定类型的合同管理工作。也有分配给不同的用户支持的电子合同管理行政相关的任务不同的角色。这些角色的例子有审批，审阅，签名者，柜台签名等。管理员可以指定一个或更多的这些角色给单个用户或一组用户。每个角色赋予他们执行路由到他们的电子

合同的某些任务。

除了访问控制角色管辖，合同管理员可以分配不同的访问级别不同的用户限制他们的访问他们的企业内的电子合同。例如，用户可以访问在其指定的访问级别同一个企业的任何电子合同。但是，用户访问这些被限制在他们的归属感与分配访问级别两个企业各自部门的电子合同。随着三个访问级别，用户只能访问他们所提交的电子合同。访问控制列表可以随时进行重新配置，以支持代表团，包括用户不可用或在突发情况的情况时，用户无法履行其职责。此外，合同管理员可以重新配置的访问控制列表来指定一个特定的用户（通过限制其他地区的其他用户）来处理，因为他们的特殊性质即美元合同金额超过一定限制某些电子合同。

4. 合同文档管理，数据提取及搜索

电子合同文档管理通常涉及大量复杂的手工操作步骤。这些手工操作步骤繁琐，往往可能会导致安全故障。此外，电子合同可以涵盖包括船长及客户协议，补充，增编及类似担保合同的大量文件。因此，一个电子合同常由包含许多复杂和繁琐的手工程序的各个文档合并而成。这导致合并效率非常低效的，经常出现人为的错误。一个单独的和独立的电子文档合并工具已经开发出来，处理和自动化上述文件合并任务，并且其详细说明已经公布。文件管理模块调用文件合并工具的API进行一些文件管理工作，如合并若干文件、分配新合并文档的页码、为签名信息创建一个新文件，并执行。

此外，对由大量不同类型的半结构文件组成的电子合同数据的提取和挖掘，是非常困难的。自动从包括与文件相关的电子合同中提取合同数据的一种新的方法已开发和报道。数据提取和搜索模块调用这个数据自动提取电子合同文件系统的API来提取元数据和电子合同的具体传播到他们的合同元数据表。当合同用户创建一个新的以电子合同范本设计的老电子合同为基础的电子合同时，该文件模块可以自动检索并将有用的旧的元数据移植到新的电子合同范本中。数据提取模块也被认为在从合同中进行数据搜索和数据挖掘，以及收入预测和利润优化方面是非常准确，高效的。

5. 电子合同生命周期管理

图5是一个流动的图，它展示了电子合同的生命周期管理服务守护进程。首先，服务守护程序必须与数据库参数相连，如数据库名和密码。然后，服务守护

程序利用这些数据库参数来访问数据库和检索的定时器参数。程序利用定时器参数，如唤醒的时间间隔，来启动定时器。唤醒周围设置的时间间隔通常是24小时至1周。如果间隔设置少于24小时，服务守护进程可能会发现没有任务等待它来进行，这仅仅是一种计算资源的浪费。如果间隔时间设置超过1个星期，用户可能会发现，电子合同管理系统不能及时更新所有的电子合同。

对于每个定时器滴答，守护进程利用身份证号码和合同承租人身份证号码来监视合同表，并选择那些悬而未决，拒绝，即将过期，已经过期，超出了他们的保留期限的合同。对于每一个选择电子合同，服务守护程序根据其租户的识别号码访问数据库的相应租户。根据合同确定的数量，守护进程从检索服务定制表中的预警和保存期限。然后，该服务进程通过改变其被动地位为主动地位来启动待定合同。对于被拒绝的电子合同，服务守护进程删除被拒绝的合同，从数据库中清除的相关属性和工作流程的步骤。对于即将过期的电子合同，如果在到期前几天的天数与警告的时期之一相匹配，服务守护进程增加了一个通知表上的电子邮件项。该警告期间通常设置为3天，7天和21天。此类型消息电子邮件的发送是为了提醒用户在他们的合同到期之前应该准备续约或计划出替代的解决方案。对于已经过期的合同，服务守护进程将移动活动的电子合同来获得档案数据库，并清除其属性和工作流程的步骤。对于超出保留合同，服务守护进程从数据库中

删除该期满的电子合同。