A deontic analysis of inter -organizational control requirements

This research focuses on the design and verification of inter-organizational controls. Instead of looking at a documentary procedure, which is the flow of documents and data among the parties, the research examines the underlying deontic purpose of the procedure, the so-called deontic process, and identifies control requirements to secure this purpose. The vision of the research is a formal theory for streamlining bureaucracy in business and government procedures. ^ Underpinning most inter-organizational procedures are deontic relations, which are about rights and obligations of the parties. When all parties trust each other, they are willing to fulfill their obligations and honor the counter parties’ rights; thus controls may not be needed. The challenge is in cases where trust may not be assumed. In these cases, the parties need to rely on explicit controls to reduce their exposure to the risk of opportunism. However, at present there is no analytic approach or technique to determine which controls are needed for a given contracting or governance situation. ^ The research proposes a formal method for deriving inter-organizational control requirements based on static analysis of deontic relations and dynamic analysis of deontic changes. The formal method will take a deontic process model of an inter-organizational transaction and certain domain knowledge as inputs to automatically generate control requirements that a documentary procedure needs to satisfy in order to limit fraud potentials. The deliverables of the research include a formal representation namely Deontic Petri Nets that combine multiple modal logics and Petri nets for modeling deontic processes, a set of control principles that represent an initial formal theory on the relationships between deontic processes and documentary procedures, and a working prototype that uses model checking technique to identify fraud potentials in a deontic process and generate control requirements to limit them. Fourteen scenarios of two well-known international payment procedures—cash in advance and documentary credit—have been used to test the prototype. The results showed that all control requirements stipulated in these procedures could be derived automatically.^

A Deontic Analysis of Inter-Organizational Control Requirements

This research focuses on the design and verification of inter-organizational controls. Instead of looking at a documentary procedure, which is the flow of documents and data among the parties, the research examines the underlying deontic purpose of the procedure, the so-called deontic process, and identifies control requirements to secure this purpose. The vision of the research is a formal theory for streamlining bureaucracy in business and government procedures. Underpinning most inter-organizational procedures are deontic relations, which are about rights and obligations of the parties. When all parties trust each other, they are willing to fulfill their obligations and honor the counter parties’ rights; thus controls may not be needed. The challenge is in cases where trust may not be assumed. In these cases, the parties need to rely on explicit controls to reduce their exposure to the risk of opportunism. However, at present there is no analytic approach or technique to determine which controls are needed for a given contracting or governance situation. The research proposes a formal method for deriving inter-organizational control requirements based on static analysis of deontic relations and dynamic analysis of deontic changes. The formal method will take a deontic process model of an inter-organizational transaction and certain domain knowledge as inputs to automatically generate control requirements that a documentary procedure needs to satisfy in order to limit fraud potentials. The deliverables of the research include a formal representation namely Deontic Petri Nets that combine multiple modal logics and Petri nets for modeling deontic processes, a set of control principles that represent an initial formal theory on the relationships between deontic processes and documentary procedures, and a working prototype that uses model checking technique to identify fraud potentials in a deontic process and generate control requirements to limit them. Fourteen scenarios of two well-known international payment procedures -- cash in advance and documentary credit -- have been used to test the prototype. The results showed that all control requirements stipulated in these procedures could be derived automatically.

Socio-ecological vulnerability to climate change in South Florida

Awareness of extreme high tide flooding in coastal communities has been increasing in recent years, reflecting growing concern over accelerated sea level rise. As a low-lying, urban coastal community with high value real estate, Miami often tops the rankings of cities worldwide in terms of vulnerability to sea level rise. Understanding perceptions of these changes and how communities are dealing with the impacts reveals much about vulnerability to climate change and the challenges of adaptation. ^ This empirical study uses an innovative mixed-methods approach that combines ethnographic observations of high tide flooding, qualitative interviews and analysis of tidal data to reveal coping strategies used by residents and businesses as well as perceptions of sea level rise and climate change, and to assess the relationship between measurable sea levels and perceptions of flooding. I conduct a case study of Miami Beach's storm water master planning process which included sea level rise projections, one of the first in the nation to do so, that reveals the different and sometimes competing logics of planners, public officials, activists, residents and business interests with regards to climate change adaptation. By taking a deeply contextual account of hazards and adaptation efforts in a local area I demonstrate how this approach can be effective at shedding light on some of the challenges posed by anthropogenic climate change and accelerated rates of sea level rise. ^ The findings highlight challenges for infrastructure planning in low-lying, urban coastal areas, and for individual risk assessment in the context of rapidly evolving discourse about the threat of sea level rise. Recognition of the trade-offs and limits of incremental adaptation strategies point to transformative approaches, at the same time highlighting equity concerns in adaptation governance and planning. This new impact assessment method contributes to the integration of social and physical science approaches to climate change, resulting in improved understanding of socio-ecological vulnerability to environmental change.^