Understanding Formal and Informal Governance on Infrastructure Projects - Literature Review [industry report]

In Australia, collaborative contracts have been increasingly used to govern infrastructure projects. These contracts combine formal and informal mechanisms to manage project delivery. Formal mechanisms (e.g. financial risk sharing) are specified in the contract, while informal mechanisms (e.g. integrated team) are not. The paper reports on a literature review to operationalise the concepts of formal and informal governance, as the literature contains a multiplicity of, often un-testable, definitions. This work is the first phase of a study that will examine the optimal balance of formal and informal governance structures. Desk-top review of leading journals in the areas of construction management and business management, as well as recent government documents and industry guidelines, was undertaken to to conceptualise and operatinalise formal and informal governance mechanisms. The study primarily draws on transaction-cost economics (e.g. Williamson 1979; 1991), relational contract theory (Feinman 2000; Macneil 2000) and social psychology theory (e.g. Gulati 1995). Content analysis of the literature was undertaken to identify key governance mechanisms. Content analysis is a commonly used methodology in the social sciences area. It provides rich data through the systematic and objective review of literature (Krippendorff 2004). NVivo 9, a qualitative data analysis software package, was used to assist in this process. Formal governance mechanisms were found to be usefully broken down into four measurable categories: (1) target cost arrangement (2) financial risk and reward sharing regime (3) transparent financials and (4) collaborative multi-party agreement Informal governance mechanisms were found to be usefully broken down into three measurable categories: (1) leadership structure (2) integrated team (3) joint management system We expect these categories to effectively capture the key governance drivers of outcomes on infrastructure projects. These categories will be further refined and broken down into individual governance mechanisms for assessment through a large-scale Australian survey planned for late 2012. These individual mechanisms will feature in the questionnaire that QUT will deliver to AAA in October 2012.

Normative requirements for regulatory compliance: An abstract formal framework

By definition, regulatory rules (in legal context called norms) intend to achieve specific behaviour from business processes, and might be relevant to the whole or part of a business process. They can impose conditions on different aspects of process models, e.g., control-flow, data and resources etc. Based on the rules sets, norms can be classified into various classes and sub-classes according to their effects. This paper presents an abstract framework consisting of a list of norms and a generic compliance checking approach on the idea of (possible) execution of processes. The proposed framework is independent of any existing formalism, and provides a conceptually rich and exhaustive ontology and semantics of norms needed for business process compliance checking. The possible uses of the proposed framework include to compare different compliance management frameworks (CMFs).

Legal mechanisms for maximising community engagement with formal evacuation messaging: How well are these understood?

Study/Objective This program of research examines the effectiveness of legal mechanisms as motivators to maximise engagement and compliance with evacuation messages. This study is based on the understanding that the presence of legislative requirements, as well as sanctions and incentives encapsulated in law, can have a positive impact in achieving compliance. Our objective is to examine whether the current Australian legal frameworks, which incorporate evacuation during disasters, are an effective structure that is properly understood by those who enforce and those who are required to comply. Background In Australia, most jurisdictions have enacted legislation that encapsulates the power to evacuate and the ability to enforce compliance, either by the use of force or imposition of penalty. However, citizens still choose to not evacuate. Methods This program of research incorporates theoretical and doctrinal methodologies for reviewing literature and legislation in the Australia context. The aim of the research is to determine whether further clarity is required to create an understanding of the powers to evacuate, as well as greater public awareness of these powers. Results & Conclusion Legislators suggest that powers of evacuation can be ineffective if they are impractical to enforce. In Australia, there may also be confusion about from which legislative instrument the power to evacuate derives, and therefore whether there is a corresponding ability to enforce compliance through the use of force or imposition of a penalty. Equally, communities may lack awareness and understanding of the powers of agencies to enforce compliance. We seek to investigate whether this is the case, and whether even if greater awareness existed, it would act as an incentive to comply.

Formal modelling and analysis of DNP3 secure authentication

Supervisory Control and Data Acquisition (SCADA) systems are one of the key foundations of smart grids. The Distributed Network Protocol version 3 (DNP3) is a standard SCADA protocol designed to facilitate communications in substations and smart grid nodes. The protocol is embedded with a security mechanism called Secure Authentication (DNP3-SA). This mechanism ensures that end-to-end communication security is provided in substations. This paper presents a formal model for the behavioural analysis of DNP3-SA using Coloured Petri Nets (CPN). Our DNP3-SA CPN model is capable of testing and verifying various attack scenarios: modification, replay and spoofing, combined complex attack and mitigation strategies. Using the model has revealed a previously unidentified flaw in the DNP3-SA protocol that can be exploited by an attacker that has access to the network interconnecting DNP3 devices. An attacker can launch a successful attack on an outstation without possessing the pre-shared keys by replaying a previously authenticated command with arbitrary parameters. We propose an update to the DNP3-SA protocol that removes the flaw and prevents such attacks. The update is validated and verified using our CPN model proving the effectiveness of the model and importance of the formal protocol analysis.

Formal total synthesis of 2-pupukeanone via radical mediated cyclisation of an enyne

Diels-Alder reaction of the dienone 12, obtained by C-alkylation of sodium 2,6-dimethylphenoxide, with acrylonitrile and phenyl vinyl sulfones generate the enynes 14 and 17. Tributyltin radical addition to the terminal acetylene in 14 and 17 lead to the vinylstannanes 15 and 18 via 5-exo trig cyclisation of the resulting vinyl radical, which on oxidative cleavage furnishes the isotwistane-diones 16 and 19. Reductive desulfonylation of the diketosulfone 19 furnishes the dione 11, constituting a formal total synthesis of 2-pupukeanone 5 and 2-isocyanopupukeanone 3.

WISENOM. A formal organic chemical nomenclature system

A formal chemical nomenclature system WISENOM based on a context-free grammar and graph coding is described. The system is unique, unambiguous, easily pronounceable, encodable, and decodable for organic compounds. Being a formal system, every name is provable as a theorem or derivable as a terminal sentence by using the basic axioms and rewrite rules. The syntax in Backus-Naur form, examples of name derivations, and the corresponding derivation trees are provided. Encoding procedures to convert connectivity tables to WISENOM, parsing, and decoding are described.

Towards formal specification of a distributed computing system

Onboard spacecraft computing system is a case of a functionally distributed system that requires continuous interaction among the nodes to control the operations at different nodes. A simple and reliable protocol is desired for such an application. This paper discusses a formal approach to specify the computing system with respect to some important issues encountered in the design and development of a protocol for the onboard distributed system. The issues considered in this paper are concurrency, exclusiveness and sequencing relationships among the various processes at different nodes. A 6-tuple model is developed for the precise specification of the system. The model also enables us to check the consistency of specification and deadlock caused due to improper specification. An example is given to illustrate the use of the proposed methodology for a typical spacecraft configuration. Although the theory is motivated by a specific application the same may be applied to other distributed computing system such as those encountered in process control industries, power plant control and other similar environments.

A formal synthesis of 18-hydroxyestrone

A formal synthesis of Image -18-hydroxyestrone has been achieved by the preparation of Image -3-methanesulfonyloxy-13β,17β-dicarboxy-18--norestra-1,3,5(10)-triene anhydride, the dextrorotatory enantiomer of which is an intermediate in Barton's conversion of Image -estrone to Image -1β-hydroxyestrone (KC-6A).

A formal synthesis of 18-hydroxyestrone

A formal synthesis of -18-hydroxyestrone has been achieved by the preparation of -3-methanesulfonyloxy-13β,17β-dicarboxy-18--norestra-1,3,5(10)-triene anhydride, the dextrorotatory enantiomer of which is an intermediate in Barton's conversion of -estrone to -1β-hydroxyestrone (KC-6A).

Formal description, compression and transformation of digital pictures II. Picture algebra and geometry

In an earlier paper (Part I) we described the construction of Hermite code for multiple grey-level pictures using the concepts of vector spaces over Galois Fields. In this paper a new algebra is worked out for Hermite codes to devise algorithms for various transformations such as translation, reflection, rotation, expansion and replication of the original picture. Also other operations such as concatenation, complementation, superposition, Jordan-sum and selective segmentation are considered. It is shown that the Hermite code of a picture is very powerful and serves as a mathematical signature of the picture. The Hermite code will have extensive applications in picture processing, pattern recognition and artificial intelligence.

Formal description, compression and transformation of digital pictures

This paper describes the application of vector spaces over Galois fields, for obtaining a formal description of a picture in the form of a very compact, non-redundant, unique syntactic code. Two different methods of encoding are described. Both these methods consist in identifying the given picture as a matrix (called picture matrix) over a finite field. In the first method, the eigenvalues and eigenvectors of this matrix are obtained. The eigenvector expansion theorem is then used to reconstruct the original matrix. If several of the eigenvalues happen to be zero this scheme results in a considerable compression. In the second method, the picture matrix is reduced to a primitive diagonal form (Hermite canonical form) by elementary row and column transformations. These sequences of elementary transformations constitute a unique and unambiguous syntactic code-called Hermite code—for reconstructing the picture from the primitive diagonal matrix. A good compression of the picture results, if the rank of the matrix is considerably lower than its order. An important aspect of this code is that it preserves the neighbourhood relations in the picture and the primitive remains invariant under translation, rotation, reflection, enlargement and replication. It is also possible to derive the codes for these transformed pictures from the Hermite code of the original picture by simple algebraic manipulation. This code will find extensive applications in picture compression, storage, retrieval, transmission and in designing pattern recognition and artificial intelligence systems.

Formal network behaviour analysis using model checking

In this research we modelled computer network devices to ensure their communication behaviours meet various network standards. By modelling devices as finite-state machines and examining their properties in a range of configurations, we discovered a flaw in a common network protocol and produced a technique to improve organisations' network security against data theft.

Formal security analysis of the DNP3-secure authentication protocol

This thesis evaluates the security of Supervisory Control and Data Acquisition (SCADA) systems, which are one of the key foundations of many critical infrastructures. Specifically, it examines one of the standardised SCADA protocols called the Distributed Network Protocol Version 3, which attempts to provide a security mechanism to ensure that messages transmitted between devices, are adequately secured from rogue applications. To achieve this, the thesis applies formal methods from theoretical computer science to formally analyse the correctness of the protocol.