This document proposes a method for constructing policy models in financial institutions to improve requirements engineering. The method defines responsibilities and ensures policies align across organizational levels from strategic to technical. It focuses on managers' responsibilities for business process outcomes and defines an ontology for policy model interoperability. The goal is to analyze policy reliability and its impact on operational reliability, which is important for governance regulations.
The document provides an overview of chapter 17 from the textbook on controlling and management. It discusses the key topics of:
1) The process of controlling including measuring performance, comparing to standards, and taking corrective action if needed.
2) Tools for measuring organizational performance such as financial ratios, balanced scorecards, and benchmarks.
3) Contemporary issues in controlling such as cross-cultural differences, workplace concerns like privacy and violence, and ensuring customer satisfaction.
The document discusses project monitoring and control. It describes the plan-monitor-control cycle as an ongoing process of planning work, checking progress, comparing to plans, taking corrective actions if needed, and re-planning. Key items to monitor and control are time, cost, and scope. An effective monitoring system requires designing mechanisms to gather and report data on project performance. Routine reports keep stakeholders informed, while exception reports document changes or problems. Earned value analysis compares actual costs to planned costs and progress to evaluate performance.
This document appears to be a course syllabus and textbook on management accounting and control. It covers several topics related to the subject including a history of management accounting approaches, the role of management controllers and how it is changing, budgeting, capital budgeting, cash flow analysis, cost accounting techniques, and performance measurement. The document contains chapter summaries and outlines for each topic, exam information, and case studies.
Production/operations management (POM) involves planning, organizing, and controlling the production process. As part of management, the key functions of POM are to optimize resource utilization, make decisions about production, and ensure goals are aligned with the overall organization's strategy. The POM manager seeks to effectively plan, organize, control, and model human behavior during the conversion of raw materials into finished goods.
I. This book analyzes the evolution of organizational structures in large US companies from the 1800s to 1960. It focuses on four major companies that pioneered the "multidivisional" structure in the 1920s: Du Pont, General Motors, Standard Oil, and Sears.
II. In the 1800s, railroads developed more complex administrative hierarchies of field units, departments, and central offices to manage growth. Later, other industries integrated vertically through acquisitions or consolidation, but lacked strong administrative structures.
III. By the 1920s, centralized functional departments had become standard, but lacked flexibility. The four pioneering companies responded to new strategies of diversification and global expansion by decentralizing into product/regional divisions
Pp the three lines of defense in effective risk management and control
This document outlines the Three Lines of Defense model for effective risk management and control. It describes the three lines as:
1) Operational management as the first line who owns and manages risks on a day-to-day basis.
2) Functions like risk management, compliance, and controllership as the second line who oversee risks and monitor controls.
3) Internal audit as the third line who provides independent assurance on governance, risk management, and controls to the governing body and senior management.
While governance and senior management set strategy, the Three Lines of Defense model provides a framework for clearly defining roles and coordinating risk management and assurance activities across the organization.
Red Flag Reporting - Organizational Level Controls
This document discusses organizational level controls, which are one of two types of controls according to COSO. It focuses on the control environment component, which sets the tone at the top and influences all other aspects of internal control. Key aspects of an effective control environment discussed include integrity and ethical values, commitment to competence, oversight by the board of directors, management's operating philosophy, organizational structure, assignment of authority and responsibilities, and human resource policies.
Control is the process of ensuring actual activities conform to plans by measuring performance and correcting deviations. It involves establishing standards, measuring performance, comparing to standards, and taking corrective actions if needed. There are three types of control systems - feed forward, concurrent, and feedback. Budgetary control compares actual spending to planned spending to see if plans need adjusting. It involves preparing budgets of different types based on factors like time period, conditions, capacity, and coverage area. Non-budgetary techniques like statistical data, break-even analysis, audits, and observation also aid managerial control.
The document discusses various aspects of project planning and management including:
1. The planning process which involves project identification, formulation, and preparation including market analysis, technical factors, and project appraisal.
2. Methods of project budgeting, cost estimation, and risk management.
3. Tools used in project planning such as the work breakdown structure, scheduling, budgeting, and forecasting.
4. The importance of market analysis and demand forecasting in the planning process.
The document discusses the strategic management process and environmental scanning. It describes the external environment as consisting of the societal environment made up of PEST factors (political, economic, social, technological), and the task environment including stakeholders. The internal environment includes analyzing a company's strengths, weaknesses, opportunities, and threats. Environmental scanning involves analyzing these external and internal factors. Strategies are then formulated using SWOT analysis and considering strategic groups within the industry.
The document provides an overview of controlling concepts including:
- The definition and importance of controlling as monitoring activities to ensure plans are followed.
- Types of control include budgetary control, standard costing, just-in-time and ABC analysis.
- Control techniques help managers identify variances from plans, take corrective actions, and improve future performance.
- Effective control systems empower employees and protect organizations from disruptions.
This document discusses integrating risk management with existing strategic control methods to avoid duplication. It argues that risk management and performance management have significant overlap and integrating them can provide efficiency benefits. The document reviews literature on corporate governance, strategic control, and risk management. It proposes that risk management be treated as an amendment to existing performance management systems rather than a separate process, in order to best manage endogenous risks.
The document provides an overview of chapter 17 from the textbook on controlling and management. It discusses the key topics of:
1) The process of controlling including measuring performance, comparing to standards, and taking corrective action if needed.
2) Tools for measuring organizational performance such as financial ratios, balanced scorecards, and benchmarks.
3) Contemporary issues in controlling such as cross-cultural differences, workplace concerns like privacy and violence, and ensuring customer satisfaction.
The document discusses project monitoring and control. It describes the plan-monitor-control cycle as an ongoing process of planning work, checking progress, comparing to plans, taking corrective actions if needed, and re-planning. Key items to monitor and control are time, cost, and scope. An effective monitoring system requires designing mechanisms to gather and report data on project performance. Routine reports keep stakeholders informed, while exception reports document changes or problems. Earned value analysis compares actual costs to planned costs and progress to evaluate performance.
This document appears to be a course syllabus and textbook on management accounting and control. It covers several topics related to the subject including a history of management accounting approaches, the role of management controllers and how it is changing, budgeting, capital budgeting, cash flow analysis, cost accounting techniques, and performance measurement. The document contains chapter summaries and outlines for each topic, exam information, and case studies.
Production/operations management (POM) involves planning, organizing, and controlling the production process. As part of management, the key functions of POM are to optimize resource utilization, make decisions about production, and ensure goals are aligned with the overall organization's strategy. The POM manager seeks to effectively plan, organize, control, and model human behavior during the conversion of raw materials into finished goods.
I. This book analyzes the evolution of organizational structures in large US companies from the 1800s to 1960. It focuses on four major companies that pioneered the "multidivisional" structure in the 1920s: Du Pont, General Motors, Standard Oil, and Sears.
II. In the 1800s, railroads developed more complex administrative hierarchies of field units, departments, and central offices to manage growth. Later, other industries integrated vertically through acquisitions or consolidation, but lacked strong administrative structures.
III. By the 1920s, centralized functional departments had become standard, but lacked flexibility. The four pioneering companies responded to new strategies of diversification and global expansion by decentralizing into product/regional divisions
Pp the three lines of defense in effective risk management and controlErwin Morales
This document outlines the Three Lines of Defense model for effective risk management and control. It describes the three lines as:
1) Operational management as the first line who owns and manages risks on a day-to-day basis.
2) Functions like risk management, compliance, and controllership as the second line who oversee risks and monitor controls.
3) Internal audit as the third line who provides independent assurance on governance, risk management, and controls to the governing body and senior management.
While governance and senior management set strategy, the Three Lines of Defense model provides a framework for clearly defining roles and coordinating risk management and assurance activities across the organization.
Red Flag Reporting - Organizational Level ControlsSmith-Howard
This document discusses organizational level controls, which are one of two types of controls according to COSO. It focuses on the control environment component, which sets the tone at the top and influences all other aspects of internal control. Key aspects of an effective control environment discussed include integrity and ethical values, commitment to competence, oversight by the board of directors, management's operating philosophy, organizational structure, assignment of authority and responsibilities, and human resource policies.
Control is the process of ensuring actual activities conform to plans by measuring performance and correcting deviations. It involves establishing standards, measuring performance, comparing to standards, and taking corrective actions if needed. There are three types of control systems - feed forward, concurrent, and feedback. Budgetary control compares actual spending to planned spending to see if plans need adjusting. It involves preparing budgets of different types based on factors like time period, conditions, capacity, and coverage area. Non-budgetary techniques like statistical data, break-even analysis, audits, and observation also aid managerial control.
The document discusses various aspects of project planning and management including:
1. The planning process which involves project identification, formulation, and preparation including market analysis, technical factors, and project appraisal.
2. Methods of project budgeting, cost estimation, and risk management.
3. Tools used in project planning such as the work breakdown structure, scheduling, budgeting, and forecasting.
4. The importance of market analysis and demand forecasting in the planning process.
Organization structure specifies the division of work activities and how functions are linked. It gives shape to an organization by establishing objectives like the division of work and channels of communication. Organization structure can take different forms like functional or divisional structures, and is influenced by internal factors like goals and size or external factors like the environment and technology.
1. This document presents a Risk Management Standard published jointly by three major risk management organizations in the UK. It provides terminology, processes, organizational structures, and objectives for effective risk management.
2. The standard recognizes that risk management involves both upside opportunities and downside threats. It should be integrated into an organization's culture and strategy to help achieve objectives. The core components of the risk management process include risk identification, analysis, evaluation, and treatment.
3. External and internal factors can both drive key risks for an organization. Examples of risk categories include strategic, operational, financial, compliance and knowledge-based risks. Carrying out risk assessment and prioritizing risks is important for informed decision-making.
The opening of London Heathrow Airport's new Terminal 5 by British Airways was plagued with problems handling baggage. On the first day, arriving passengers waited over an hour for their bags and some flights departed without luggage due to issues with the baggage handling system, including belts jamming. While planning accounted for processing 12,000 bags per hour, inexperienced staff and technical issues disrupted operations. The Department of Transportation called for resolving issues to limit passenger disruptions. British Airways responded by testing systems more thoroughly to prevent future problems.
Business process reengineering module 5POOJA UDAYAN
This document discusses reengineering knowledge work and business processes for growth. It argues that a participative, bottom-up approach to reengineering is more effective than a top-down approach. Reengineering knowledge work requires addressing cultural and social aspects as well as linking business strategy to knowledge requirements. Rapid reengineering can be done using tools that evolve over time, such as through software reengineering. Post-BPR organizations should focus on enhancing value for customers while reducing costs, realigning processes for growth opportunities, and developing employee capabilities.
1) The document analyzes operational risk management at the operational level in a broking company. It proposes a client profiling model to assess credit risk and calculate margins.
2) A key issue is undefined responsibilities leading to bottlenecks in information flow. The report recommends restructuring operations with Key Result Areas to streamline information flow and increase accountability.
3) It suggests measuring operational and market risk separately. Operational risk is measured using a Delta-EVT model combining actual losses with scenarios. Market risk follows standards of stock exchanges.
The document discusses key aspects of organizational control including definitions, approaches, importance, processes, types, qualities of effective systems, and contemporary issues. Specifically, it defines control as monitoring activities to ensure plans are followed and deviations addressed. The three basic approaches are market control using external mechanisms, bureaucratic control using rules/procedures, and clan control using shared values/culture. An effective control system is described as flexible, reasonably criteria, timely, emphasizing exceptions. Contemporary issues addressed are workplace privacy, employee theft, and violence.
This document proposes an innovative approach called SIM (Secure Identity Management) that aims to make access management policies closer aligned with business objectives. It does this in two ways:
1) By focusing the policy engineering process on business goals and responsibilities defined in processes, using concepts from the ISO/IEC 15504 standard. This links capabilities and accountabilities to process outcomes and work products.
2) By defining a multi-agent system architecture to automate the deployment of policies across heterogeneous IT components and devices. The agents provide autonomy and ability to adapt rapidly according to context.
The approach was prototyped using open source components and aims to improve how access rights are defined according to business needs and deployed across an organization
Sim an innovative business oriented approach for a distributed access managementchristophefeltus
This document proposes an innovative approach called SIM (Secure Identity Management) that aims to define access control policies in a way that is closely aligned with business objectives. It does this by linking concepts from the ISO/IEC 15504 process-based model for organizing work to concepts of responsibility. The approach also defines a multi-agent system architecture to automate the deployment of access policies across an organization's heterogeneous IT components and devices. This provides autonomy and adaptability. The goal is to improve how access rights are defined according to business needs and how those rights are deployed throughout the IT infrastructure.
Methodology to align business and it policies use case from an it companychristophefeltus
This document proposes a methodology for aligning business and IT policies using a responsibility model. The methodology is a five-step approach consisting of collecting information, defining capabilities, accountabilities and commitments, linking responsibilities to processes, validating the model, and defining policies. It is illustrated with a case study from an IT company where they define an access control policy using this methodology and responsibility model. The responsibility model defines three components - capabilities, accountabilities, and commitments - to clarify roles and responsibilities for policy definition.
This document proposes a methodology for aligning business and IT policies using a responsibility model. The methodology is a five-step approach consisting of collecting information, defining capabilities, accountabilities and commitments, linking responsibilities to processes, validating the model, and defining policies. It is illustrated with a case study from an IT company where they define an access control policy using this methodology and responsibility model. The responsibility model defines three components - capabilities, accountabilities, and commitments - to clarify roles and responsibilities for policy definition.
Enterprise Governance in Web 2.0 World OverviewMichael Ruiz
Enterprise Governance is a framework that was created by the Enterprise Governance Working Group at BearingPoint, Inc and continued at Deloitte Consulting. Enterprise Governance is a well-define set of processes, procedures, and feedback mechanisms for more effectively governing large scale enterprises. Enterprise Governance leverages the power of crowd sourcing to solicit and elicit input from the enterprise at large. This presentation was given as a series of lecture at Virginia Commonwealth University School of Business.
1) The document discusses seven enablers for managing risk: principles, policies and frameworks; processes; organizational structures; culture, ethics and behavior; information; services, infrastructure and applications; and people, skills and competencies.
2) It provides examples of how each enabler contributes to governance and management of the risk function, such as defining risk processes or establishing an enterprise risk committee.
3) The seven enablers also apply to managing IT risk, with examples given for how each enabler supports risk governance and management over enterprise IT.
This document discusses various techniques for evaluating projects, including:
- Strategic assessment to evaluate how projects align with organizational goals and strategies.
- Technical assessment to evaluate functionality against available hardware, software, and solutions.
- Cost-benefit analysis to compare expected project costs and benefits in monetary terms over time.
- Cash flow forecasting to estimate costs and benefits over the project lifecycle.
- Risk evaluation to assess potential risks and their impacts.
Project evaluation is important for determining progress, outcomes, effectiveness, and justification of project inputs and results. The challenges include commitment, establishing baselines, identifying indicators, and allocating time for monitoring and evaluation.
The document provides an overview of management control systems and cost accounting. It defines management control systems as a framework that allows managers to control subordinates' actions and entire organization operations. It discusses the key phases of management control systems: programming, budgeting, operating and accounting, and reporting and analysis. It also summarizes different costing methods like job costing, process costing, and standard costing, and differences between cost accounting, financial accounting, and management accounting.
Governance relates to management, policies, procedures, and decisions for a given area of enterprise responsibility.Hence IT related assets should be governed in way that it will of profitability to the company in order to achieve its goals and objectives.
The document outlines the typical steps involved in a risk management process, including identifying risks, assessing and prioritizing them, determining a course of action, and reviewing and monitoring risks over time. It defines roles and responsibilities and describes how risks should be tracked in a risk log. The overall goal is to provide a framework to systematically manage project risks throughout the lifecycle.
Proven Paradigm for Creating Enterprise Project and Portfolio Management Adop...UMT
Capability Maturity Assessment is one of the tools consistently leveraged by Enterprise Project and Portfolio Manage-ment (EPM) practitioners in the creation of adoption roadmaps for organizations that are creating momentum for change with the objective of improving internal governance. Historically, the problem has been addressed in parallel at the Project, Program, or Portfolio levels, and in many cases the solutions devised have been independent of one anoth-er, potentially missing on integration aspects that could greatly improve overall results. In the past couple of years, new methodologies that attempt to encompass all three disciplines have been developed, including OPM3 from the PMI.
The document provides an overview of operational risk for practitioners. It defines operational risk and outlines a framework called the "Operational Risk Triptych" to systematically approach operational risk. The framework includes examining an organization's timeline, business value chain, capabilities, and external factors, as well as improving risk-based decision making processes. It also discusses tools for assessing culture of risks and creating an operational risk balanced scorecard.
Operational Risk Management for practitioners v1.0Ignacio Reclusa
The document provides an overview of operational risk management for practitioners. It defines operational risk and outlines a framework called the "Operational Risk Triptych" for systematically assessing operational risk. The triptych examines an organization's timeline, business value pipeline, and risk-based decision making process. It also discusses tools for analyzing a company's risk culture and creating an operational risk balanced scorecard to monitor key risk metrics. The goal is to help practitioners communicate operational risks to directors using common business language.
I need response to the discussion post in 200 words.docxwrite4
ISO 31000 provides a robust framework for enterprise risk management that can be applied to organizations of any size or sector. It increases the likelihood of achieving risk management objectives and improving identification of opportunities and threats. For Intuit, ISO 31000 is recommended over PM2 Risk Scorecard because it meets Intuit's needs for flexibility, rigorous risk assessment, and alignment with strategic goals through continuous measurement of key performance indicators.
I need response to the discussion post in 200 words.docxsdfghj21
ISO 31000 would be the best framework for Intuit to implement for their enterprise risk management strategy. It provides robust, globally recognized guidelines and principles that can be applied regardless of organization size or sector. ISO 31000 also aligns well with Intuit's goals of continuous risk assessment, clear accountability, and quantitative performance measurement. While PM2 Risk Scorecard is a powerful tool, it is very complex and difficult to implement across all levels of an organization. ISO 31000 allows for flexible implementation and risk ownership by all employees.
The strategic management process involves four phases: strategic assessment, strategic planning, strategy implementation, and performance evaluation. Strategic assessment includes analyzing the external environment, conducting a SWOT analysis, and determining strategic direction. Strategic planning develops scenarios and contingency plans. Strategy implementation allocates resources and assigns responsibility. Performance evaluation compares actual and desired results to evaluate strategy and make adjustments.
Similar to An ontology for requirements analysis of managers’ policies in financial institutions (20)
Multi-Agent System (MAS) monitoring solutions are designed for a plethora of usage topics. Existing approach mostly used cloned back-end architectures while front-end monitoring interface tends to constitute the real specificity of the solution. These interfaces are recurrently structured around three dimensions: access to informed knowledge, agent’s behavioural rules, and restitution of real-time states of specific system sector. In this paper, we propose prototyping a sector-agnostic MAS platform (Smart-X) which gathers in an integrated and independent platform all the functionalities required to monitor and to govern a wide range of sector specific environments. For illustration and validation purposes, the use of Smart-X is introduced and explained with a smart-mobility case study.
This document provides an agenda and overview for a joint workshop on security modeling hosted by the ArchiMate Forum and Security Forum. The workshop aims to identify opportunities to improve the conceptual and visual modeling of enterprise information security using TOGAF and ArchiMate. The agenda includes introductions, a research spotlight on strengthening role-based access control with responsibility modeling, an open discussion on complementing TOGAF and ArchiMate with enhanced security modeling, and identifying next steps. The workshop purpose is to enable better security architecture decisions and drive usage of TOGAF and ArchiMate for security architecture.
Aligning the business operations with the appropriate IT infrastructure is a challenging and critical activity. Without efficient business/IT alignment, the companies face the risk not to be able to deliver their business services satisfactorily and that their image is seriously altered and jeopardized. Among the many challenges of business/IT alignment is the access rights management which should be conducted considering the rising governance needs, such as taking into account the business actors' responsibility. Unfortunately, in this domain, we have observed that no solution, model and method, fully considers and integrates the new needs yet. Therefore, the paper proposes firstly to define an expressive Responsibility metamodel, named ReMMo, which allows representing the existing responsibilities at the business layer and, thereby, allows engineering the access rights required to perform these responsibilities, at the application layer. Secondly, the Responsibility metamodel has been integrated with ArchiMate® to enhance its usability and benefits from the enterprise architecture formalism. Finally, a method has been proposed to define the access rights more accurately, considering the alignment of ReMMo and RBAC. The research was realized following a design science and action design based research method and the results have been evaluated through an extended case study at the Hospital Center in Luxembourg.
This document proposes an innovative systemic approach to risk management across interconnected sectors. It suggests using enterprise architecture models to manage cross-sector risks in Luxembourg's complex ICT ecosystem. The approach would provide regulators an overview of all players and systems, as well as models of different sectors to analyze collected data and risks at a national level, fostering accurate and reactive risk mitigation across economic domains.
This document proposes extending the HL7 standard with a responsibility perspective to better manage access rights to patient health records. It presents the ReMMo responsibility metamodel, which defines actors' responsibilities and associated access rights. The paper aims to align ReMMo with the HL7-based eSanté healthcare platform model in Luxembourg to semantically enhance access controls based on users' real responsibilities rather than just roles. It will first map concepts between the two models, then evaluate the alignment through a prototype applying inference rules.
This document presents a study that aims to develop and validate a responsibility model to improve IT governance. It analyzes concepts of responsibility from literature and frameworks like COBIT. The researchers developed a responsibility model with key concepts like obligation, accountability, right, and commitment. They then compare this model to COBIT's representation of responsibility to identify areas for potential enhancement, like adding concepts that COBIT lacks. The document illustrates how the responsibility model could be used to refine COBIT's process for identifying system owners and their responsibilities.
This document proposes a methodological approach for specifying services and analyzing service compliance considering the responsibility dimension of stakeholders. The approach includes a product model and process model. The product model has three layers: an informational layer describing service context and concepts, an organizational layer describing business rules and roles, and a responsibility dimension layer linking the two. The process model outlines steps for service architects to identify context, define concepts and rules, specify services, and analyze compliance. The approach is illustrated with an example of managing access rights for sensitive healthcare data exchange between organizations.
This document discusses integrating responsibility aspects into service engineering for e-government. It proposes a multi-layered approach including an ontological layer defining legal concepts, an organizational layer describing roles and stakeholders, an informational layer representing data structures and integrity constraints, and a technical layer representing IT components. A responsibility meta-model is also introduced to align responsibilities across these layers and facilitate interoperability between services that share data. The approach aims to ensure service compliance and manage risks associated with e-government services.
1) The document proposes a dynamic approach for assigning functions and responsibilities to agents in a multi-agent system for critical infrastructure management.
2) The approach uses an agent's reputation, which is based on past performance, to determine which agents receive which responsibilities as crisis situations change over time.
3) Assigning responsibilities dynamically based on reputation allows the system to continue operating effectively if an agent becomes isolated or has reduced capabilities during a crisis.
This document proposes a responsibility modeling language (ReMoLa) to align access rights with business process requirements. ReMoLa is a responsibility-centered meta-model that integrates concepts from the business and technical layers, with the concept of employee responsibility bridging the two. It incorporates four types of obligations from the COBIT framework to refine employee responsibilities and better assign access rights. ReMoLa maps responsibilities to roles in the RBAC model to leverage its advantages for access right management while ensuring responsibilities align with business tasks and employee commitment.
The document describes the NOEMI assessment methodology, which was developed as part of a research project to help very small enterprises (VSEs) improve their IT practices. The methodology aims to assess VSEs' IT capabilities in order to facilitate collaborative IT management across organizations. It was designed to be aligned with common IT standards like ISO/IEC 15504 and ITIL, but adapted specifically for VSEs. The methodology has been tested through several case studies with VSEs in Luxembourg, with promising results.
This document provides a preliminary literature review of policy engineering methods related to the concept of responsibility. It summarizes key access control models and discusses how they address concepts like capability, accountability, and commitment. The document also reviews engineering methods and how they incorporate responsibility considerations. The overall goal is to orient further research towards a new policy model and engineering method that more fully addresses stakeholder responsibility.
This document proposes an extension of the ArchiMate enterprise architecture framework to model multi-agent systems for critical infrastructure governance. The authors develop a responsibility-driven policy concept and metamodel layers to represent agent behavior and organizational policies across technical, application, and organizational layers. The approach is illustrated through a case study of a financial transaction processing system.
This document summarizes an experimental prototype of the OpenSST protocol for secured electronic transactions. OpenSST was developed to achieve high security, simplicity in software engineering, and compatibility with existing standards. The prototype uses OpenSST for the authorization portion of electronic payments in an e-business clearing solution. It describes the OpenSST message format and types, and discusses how OpenSST is implemented in the prototype's three-element architecture of an OpenSST proxy, reverse proxy, and server.
This document proposes an automatic reaction strategy for critical infrastructure SCADA systems. It defines a three-layer metamodel for modeling SCADA components and two types of policies (cognitive and permissive) that govern component behavior. It then presents a two-phase method for identifying these policies from the SCADA architecture and formalizing them to support an automatic reaction strategy. This strategy is modeled as an integral part of the SCADA architecture using the defined metamodel and policy identification method. It includes organizational and application layers with main actors, strategies, and components that realize the reaction policies based on expected automation levels.
This document discusses the NOEMI model, a collaborative management model for ICT processes in SMEs. The model was developed by the Centre Henri Tudor and tested with a cluster of 8 partner SMEs. Key aspects of the model include defining ICT activities across 5 domains, assessing each SME's capabilities, and having an operational team manage activities for the cluster under a coordination committee. The experiment showed improved cost control, management, and partner satisfaction compared to alternatives like outsourcing or hiring individual IT staff. The research is now ready for market transfer as the successful model is adopted long-term by participating SMEs.
The document proposes an agent-based architecture for multi-level security incident reaction in distributed telecommunication networks. The architecture has three levels: a low level interface with the infrastructure, an intermediate level using multi-agent systems to correlate alerts and deploy reactions across domains, and a high level for global supervision and policy management. The architecture was designed based on requirements like scalability, availability, autonomy, and robust reaction and alert management across distributed systems. It was successfully tested for implementing data access control policies.
More from Luxembourg Institute of Science and Technology (20)
Molecular biology of abiotic stress tolerence in plantsrushitahakik1
### Molecular Biology of Abiotic Stress Tolerance in Plants
Abiotic stress refers to the non-living environmental factors that can cause significant harm to plants, including drought, salinity, extreme temperatures, heavy metals, and oxidative stress. Understanding the molecular biology underlying abiotic stress tolerance is crucial for developing crops that can withstand these conditions, ensuring food security in the face of climate change and environmental degradation. Here, we explore the key molecular mechanisms, pathways, and genetic strategies plants use to cope with abiotic stress.
#### 1. Signal Perception and Transduction
**1.1. Signal Perception:**
Plants possess various sensors and receptors to detect abiotic stress signals. For instance, membrane-bound receptors such as receptor-like kinases (RLKs) and ion channels play critical roles in sensing changes in environmental conditions.
**1.2. Signal Transduction Pathways:**
Upon sensing abiotic stress, plants activate complex signal transduction pathways that involve:
- **Calcium Signaling:** Changes in cytosolic calcium levels act as secondary messengers. Calcium-binding proteins, such as calmodulins (CaMs) and calcineurin B-like proteins (CBLs), decode these signals and activate downstream responses.
- **Reactive Oxygen Species (ROS) Signaling:** ROS are produced under stress and function as signaling molecules. Controlled ROS production is crucial for activating defense mechanisms, while excessive ROS can cause cellular damage.
- **Mitogen-Activated Protein Kinase (MAPK) Cascades:** These cascades amplify the stress signal and regulate the expression of stress-responsive genes.
#### 2. Transcriptional Regulation
**2.1. Transcription Factors (TFs):**
TFs are pivotal in regulating the expression of genes involved in stress responses. Key TF families include:
- **AP2/ERF (APETALA2/ETHYLENE RESPONSE FACTOR):** Involved in drought and salinity tolerance.
- **NAC (NAM, ATAF, and CUC):** Play roles in responding to dehydration and high salinity.
- **bZIP (Basic Leucine Zipper):** Associated with responses to various stresses, including drought and oxidative stress.
- **WRKY:** Participate in the regulation of genes involved in stress responses and pathogen defense.
**2.2. Epigenetic Regulation:**
Epigenetic modifications, such as DNA methylation, histone modifications, and chromatin remodeling, influence gene expression without altering the DNA sequence. These modifications can lead to the activation or repression of stress-responsive genes.
#### 3. Stress-Responsive Genes and Proteins
**3.1. Osmoprotectants:**
Plants accumulate osmoprotectants like proline, glycine betaine, and sugars (e.g., trehalose) to maintain cellular osmotic balance under stress conditions.
**3.2. Antioxidant Defense:**
To mitigate oxidative stress, plants enhance the production of antioxidants, such as superoxide dismutase (SOD), catalase (CAT), and peroxidases, which scavenge harmful ROS.
Ethical considerations play a crucial role in research, ensuring the protection of participants and the integrity of the study. Here are some subject-specific ethical issues that researchers need
Possible Anthropogenic Contributions to the LAMP-observed Surficial Icy Regol...Sérgio Sacani
This work assesses the potential of midsized and large human landing systems to deliver water from their exhaust
plumes to cold traps within lunar polar craters. It has been estimated that a total of between 2 and 60 T of surficial
water was sensed by the Lunar Reconnaissance Orbiter Lyman Alpha Mapping Project on the floors of the larger
permanently shadowed south polar craters. This intrinsic surficial water sensed in the far-ultraviolet is thought to be
in the form of a 0.3%–2% icy regolith in the top few hundred nanometers of the surface. We find that the six past
Apollo Lunar Module midlatitude landings could contribute no more than 0.36 T of water mass to this existing,
intrinsic surficial water in permanently shadowed regions (PSRs). However, we find that the Starship landing
plume has the potential, in some cases, to deliver over 10 T of water to the PSRs, which is a substantial fraction
(possibly >20%) of the existing intrinsic surficial water mass. This anthropogenic contribution could possibly
overlay and mix with the naturally occurring icy regolith at the uppermost surface. A possible consequence is that
the origin of the intrinsic surficial icy regolith, which is still undetermined, could be lost as it mixes with the
extrinsic anthropogenic contribution. We suggest that existing and future orbital and landed assets be used to
examine the effect of polar landers on the cold traps within PSRs
Lunar Mobility Drivers and Needs - ArtemisSérgio Sacani
NASA’s new campaign of lunar exploration will see astronauts visiting sites of scientific or strategic
interest across the lunar surface, with a particular focus on the lunar South Pole region.[1] After landing
crew and cargo at these destinations, local mobility around landing sites will be key to movement of
cargo, logistics, science payloads, and more to maximize exploration returns.
NASA’s Moon to Mars Architecture Definition Document (ADD)[2] articulates the work needed to achieve
the agency’s human lunar exploration objectives by decomposing needs into use cases and functions.
Ongoing analysis of lunar exploration needs reveals demands that will drive future concepts and elements.
Recent analysis of integrated surface operations has shown that the transportation of cargo on the
surface from points of delivery to points of use will be particularly important. Exploration systems will
often need to support deployment of cargo in close proximity to other surface infrastructure. This cargo
can range from the crew logistics and consumables described in the 2023 “Lunar Logistics Drivers and
Needs” white paper,[3] to science and technology demonstrations, to large-scale infrastructure that
requires precision relocation.
This an presentation about electrostatic force. This topic is from class 8 Force and Pressure lesson from ncert . I think this might be helpful for you. In this presentation there are 4 content they are Introduction, types, examples and demonstration. The demonstration should be done by yourself
Collaborative Team Recommendation for Skilled Users: Objectives, Techniques, ...Hossein Fani
Collaborative team recommendation involves selecting users with certain skills to form a team who will, more likely than not, accomplish a complex task successfully. To automate the traditionally tedious and error-prone manual process of team formation, researchers from several scientific spheres have proposed methods to tackle the problem. In this tutorial, while providing a taxonomy of team recommendation works based on their algorithmic approaches to model skilled users in collaborative teams, we perform a comprehensive and hands-on study of the graph-based approaches that comprise the mainstream in this field, then cover the neural team recommenders as the cutting-edge class of approaches. Further, we provide unifying definitions, formulations, and evaluation schema. Last, we introduce details of training strategies, benchmarking datasets, and open-source tools, along with directions for future works.
SCIENTIFIC INVESTIGATIONS – THE IMPORTANCE OF FAIR TESTING.pptxJoanaBanasen1
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Keys of Identification for Indian Wood: A Seminar ReportGurjant Singh
Identifying Indian wood involves recognizing key characteristics such as grain patterns, color, texture, hardness, and specific anatomical features. These identification keys include observing the wood's pores, growth rings, and resin canals, as well as its scent and weight. Understanding these features is essential for accurate wood identification, which is crucial for various applications in carpentry, furniture making, and conservation.
Additionally, the application of Convolutional Neural Networks (CNN) in wood identification has revolutionized this field. CNNs can analyze images of wood samples to identify species with high accuracy by learning and recognizing intricate patterns and features. This technological advancement not only enhances the precision of wood identification but also accelerates the process, making it more efficient for industry professionals and researchers alike.
Transmission Spectroscopy of the Habitable Zone Exoplanet LHS 1140 b with JWS...Sérgio Sacani
LHS 1140 b is the second-closest temperate transiting planet to the Earth with an equilibrium temperature low enough to support surface liquid water. At 1.730±0.025 R⊕, LHS 1140 b falls within
the radius valley separating H2-rich mini-Neptunes from rocky super-Earths. Recent mass and radius
revisions indicate a bulk density significantly lower than expected for an Earth-like rocky interior,
suggesting that LHS 1140 b could either be a mini-Neptune with a small envelope of hydrogen (∼0.1%
by mass) or a water world (9–19% water by mass). Atmospheric characterization through transmission
spectroscopy can readily discern between these two scenarios. Here, we present two JWST/NIRISS
transit observations of LHS 1140 b, one of which captures a serendipitous transit of LHS 1140 c. The
combined transmission spectrum of LHS 1140 b shows a telltale spectral signature of unocculted faculae (5.8 σ), covering ∼20% of the visible stellar surface. Besides faculae, our spectral retrieval analysis
reveals tentative evidence of residual spectral features, best-fit by Rayleigh scattering from an N2-
dominated atmosphere (2.3 σ), irrespective of the consideration of atmospheric hazes. We also show
through Global Climate Models (GCM) that H2-rich atmospheres of various compositions (100×, 300×,
1000×solar metallicity) are ruled out to >10 σ. The GCM calculations predict that water clouds form
below the transit photosphere, limiting their impact on transmission data. Our observations suggest
that LHS 1140 b is either airless or, more likely, surrounded by an atmosphere with a high mean molecular weight. Our tentative evidence of an N2-rich atmosphere provides strong motivation for future
transmission spectroscopy observations of LHS 1140 b.
An ontology for requirements analysis of managers’ policies in financial institutions
1. An Ontology for Requirements Analysis of Managers’
Policies in Financial Institutions
C. Feltus1
and A. Rifaut1
1
Centre de Recherche Public Henri Tudor, 29, Avenue John F.Kennedy, L-1855
Luxembourg-Kirchberg, Luxembourg (http://www.tudor.lu)
{Christophe.Feltus, Andre.Rifaut}@tudor.lu
Abstract. Policies are an important organizational tool giving an effective support
for building business systems, from the strategic level down to the operational and
technical levels. In particular, policies are a cornerstone for the governance system
of financial institutions. In international organizations, a lot of policies span all
country-local representatives and span all organizational levels. This work is part
of a series concerning the improvement of requirements engineering methods for
process-based organizations. This requires enhancing a shared vision between
employees of the process responsibilities, by advocating cross-functional thinking
with the focus set to the outcomes of the processes, and defining the outcomes in
relationship with the business goals. We complement the works on business
process models by the managers’ concerns, i.e. the managers’ responsibilities for
value to be delivered by the processes. This research proposes a method for
constructing policy models. Ontology is defined for interoperability purposes of
the models of different organizational levels. The main formal analyse that is used
for verification purposes is the reliability of the policy system and its impact on the
reliability of the operational system which is one important objective of recent
governance regulations.
1 Introduction
Policies are an important organizational tool giving an effective support for
building business systems, from the strategic level down to the operational and
technical levels. In particular, policies are a cornerstone for the governance system
of financial institutions. In international organizations, a lot of policies span all
country-local representatives (e.g. policies addressing the organization strategy, or
the international regulations) and span all organizational levels.
2. 2 C. Feltus and A. Rifaut
This work is part of a series concerning the improvement of requirements
engineering methods for process-based organizations, in particular for financial
institutions. This requires enhancing a shared vision between employees of the
process responsibilities, by enhancing cross-functional thinking with the focus set
to the outcomes of the processes, and defining the outcomes in relationship with
the business goals [1]. We complement the works on business process models [2]
by the managers’ concerns, i.e. the managers’ responsibilities for value to be
delivered by the processes. This research proposes a method for constructing those
policy models, i.e. defining sets of assigned responsibilities in the organization.
Ontology is defined for interoperability purposes between the different models and
grounded in a standard first-order linear temporal logic semantics when more
expressive power is needed than descriptive logics [3]. The main formal analyse
that can be used for verification purposes is the reliability of the policy system and
its impact on the reliability of the operational system. Actually, reliability is one
important objective of recent governance regulations [4][5].
For each process, define the core outcomes
of the business and the manager’s
commitments for fulfillingthem.
Collect the business objectives.
Collect the value delivery assurance
level forthe business objectives.
For each process,
select the assurance
profile
For each process, add accountabilities and
commitments to ensure capabilities
required bythe assurance profile
For each process, define the employees’ commitments, accountabilities
and capabilities and addthe separation of duties for all resources
Analysefinancial,operational,technical
feasibility.Assesscostsandbenefits
For each process, define the
manager’s capabilities (rights) to
fulfil its commitments.
For each process, select
the minimal cardinality
of the cut-sets based on
the human resources
For each process, define the core outcomes
of the business and the manager’s
commitments for fulfillingthem.
Collect the business objectives.
Collect the value delivery assurance
level forthe business objectives.
For each process,
select the assurance
profile
For each process, add accountabilities and
commitments to ensure capabilities
required bythe assurance profile
For each process, define the employees’ commitments, accountabilities
and capabilities and addthe separation of duties for all resources
Analysefinancial,operational,technical
feasibility.Assesscostsandbenefits
For each process, define the
manager’s capabilities (rights) to
fulfil its commitments.
For each process, select
the minimal cardinality
of the cut-sets based on
the human resources
Fig. 1. Method for defining policies ensuring a value delivery assurance level
The main focus of research about policy in IT systems concerns the design of
policies and the design of IT systems that efficiently operate those policies, the
ability of those policies to express concepts such as segregation of duties,
delegation (of rights, permissions, and obligations), accountability, ... [6][7]. Our
proposal complements those results by easing the elicitation of requirements for
managers’ policies and relies on 4 principles. First, the design of policies must be
done in tight relationship with objectives, strategies, and key indicators. Second, all
organizational levels must be addressed including aspects outside the scope of IT
systems and Information System (IS). Third, responsibilities must be fully
decomposed into the capabilities (i.e. permissions and rights), the commitments
(i.e. the obligations or goals to fulfil) and the accountability requirements. Fourth,
policies must always be related to the enforcement of an optimal resource usage in
regard to the defined objectives, strategies, and indicators. This paper details the
method presented in Figure 1.
3. An Ontology for Requirements Analysis of Managers’ Policies in Financial Institutions 3
Table 1. Purpose and outcomes of the Operational Risk Mitigation/Control process
Operational Risk Mitigation/Control (BORO.1)
Purpose The purpose of the Operational Risk Mitigation/Control process is to miti-
gate the assessed operational risks and to manage operational risk impact.
Outcome
1
An operational risk mitigation and control strategy is developed, including
the principles of how operational risk is to be mitigated and how its
realization is to be control, according to the size, the sophistication, the
nature and the complexity of the bank’s activity;
Outcome
2
The existing option to mitigate risk are analyzed and, for each risk, the most
in accordance with bank's strategy is chosen;
…
The rest of this Section presents the case study that will be used and the aims and
context of our research for process-based organizations. The ontology of
operational assurance level of business process is explained in Section 2. For all
step of the construction process analyses of policies are described in Section 3.
Then the ontology of more IT-oriented policies is presented in Section 4, with an
example how to derive those policies from managers’ policies. The last section
concludes on the originality of our work and presents the future works.
Our case study is based on the Basel II Accord [5] that defines the requirements
of operational risk management systems that must be implemented in Banks. Those
requirements have been structured in our previous works [9] (the result is freely
accessible on the website of CSSF, the Luxemburg Bank Regulators, [10]; see the
example in Table 1 about the operational risk mitigation process).
Our case study focuses concerns an operational risk management system
implementation. The corporate operational risk management team (CORMT) has
specialized sub-teams for each Business Unit, in particular for Venture Capital
Management (i.e. CORMT-AM related to the Business Line “Asset Management”)
and for Securities Management (i.e. CORMT-CF related to the Business Line
“Corporate Finance”). The Basel II corporate policy imposes that each business
line is responsible for the day-to-day management of its own risks; however, the
implementation of the risk management system is the responsibility of the
corporate operational risk management team. Each business unit manager assigns
clerks to collect the operational risk data.
Technicallevel
Operationallevel
Tacticallevel
Strategiclevel
E.g. in the IT domain:
applications, components, …Procedures
Business
processes
Business
value
Objectives
Indicators
StrategiesPolicies
Goals
Indicators
StrategiesPolicies
Goals
Indicators
StrategiesPolicies
Standard view of
organizational layers
Concepts
and artifacts of
organizational layers
Goals
Indicators
StrategiesPolicies
Goals
Indicators
StrategiesPolicies
Goals
Indicators
StrategiesPolicies
Goals
Indicators
StrategiesPolicies
Technicallevel
Operationallevel
Tacticallevel
Strategiclevel
E.g. in the IT domain:
applications, components, …Procedures
Business
processes
Business
value
Technicallevel
Operationallevel
Tacticallevel
Strategiclevel
Technicallevel
Operationallevel
Tacticallevel
Strategiclevel
E.g. in the IT domain:
applications, components, …Procedures
Business
processes
Business
value
E.g. in the IT domain:
applications, components, …Procedures
Business
processes
Business
value
Objectives
Indicators
StrategiesPolicies
Goals
Indicators
StrategiesPolicies
Goals
Indicators
StrategiesPolicies
Standard view of
organizational layers
Concepts
and artifacts of
organizational layers
Goals
Indicators
StrategiesPolicies
Goals
Indicators
StrategiesPolicies
Goals
Indicators
StrategiesPolicies
Goals
Indicators
StrategiesPolicies
Fig. 2. The alignment of policies in management methods
4. 4 C. Feltus and A. Rifaut
1.1 Process Models for Business Process Managers
Our global approach, presented in [11], is based on the organizational pyramid [12]
used in international financial institutions in order to align policies with business
processes described with goal-oriented models [13]. In the context of financial
regulations, a good governance system is based on the 4 organizational layers [14]
(strategic, tactical, operational and technical levels on Figure 2) for aligning
business value[15], business processes, procedures and technical artefacts [16]
(such as IT applications in the IT domain). The core of the ontology used for this
alignment is presented at the bottom of Figure 1: objectives, strategies, policies and
indicators [17]. The formal definition of those 4 core concepts of the ontology
relies on goal-oriented models [18][19], with their semantics presented in the
context of the requirements engineering language i* [20][13].
This framework allows abstracting requirements from implementation details
as much as possible in order for managers being able to assess the effectiveness
and efficiency of the processes in relationship with the business goals. A number of
methods exist for assessing this alignment that have been created for managers,
such as e.g. the Balanced Score Card [21]. Our proposal complements those
methods by using a goal-oriented description of business processes similar to the
one used for process models used in the standard ISO/IEC 15504 [13]. For each
process, this standard imposes to define the main goal of the process (the purpose),
the sub-goals (outcomes) for which an objective judgment can be made upon their
fulfilment on the basis of the indicators of the outcomes. Indicators are categorized
into base practices, work-products, and resources.
Fig. 3. Ontology of business process goal, indicators and assurance profile.
5. An Ontology for Requirements Analysis of Managers’ Policies in Financial Institutions 5
1.2 Operational assurance profile
A number of case studies [22][9][23] have shown that with this goal-oriented
model, the goals concerning managers can easily be described (together with the
expected outcomes) and linked to the business goals and the business system
implementation goals. Indeed, in addition to process-specific outcomes shown in
the preceding table, other generic outcomes (not shown) concern the process
performance management (i.e. planning and monitoring, availability of resources
and information, …), the work-product management (work-product control and
review, …), the process definition, the process deployment, … In Section 2, those
typical outcomes are the main concern of operational policies imposed by business
process managers. In [9] it is shown how the interaction between processes can be
precisely analyzed at that high-level of abstraction suited for business unit
managers, allowing them to delegate process implementation and still being able to
assess that the implemented system is faithful to the requirements. On Figure 3 is
shown the ontology for modelling process goals and indicators. For clarity
purposes, the concepts “process system implementation” and “goal” have not been
displayed on the diagram, but the concepts “purpose”, “outcome”, “indicator”
(refining the outcomes) and “business goal” (this latter not shown) are sub-classes
of the concept “goal”.
Op. risk
system implemented
(achievement)
Risk
categories reviewed
(doing)
Risk
categories reviewed
(doing)
Obligation Obligation
Oblig-
ation
Operational
risk managed
(goal)
Op. risk
system used
(achievement)
Oblig-
ation
Head of CORMT
Member CORMT-AM Member CORMT-CF
Head of BU
Venture-Capital
Risk data assessed
(doing)
Obligation
Member BU Venture-Capital
Op. risk
system implemented
(achievement)
Risk
categories reviewed
(doing)
Risk
categories reviewed
(doing)
Obligation Obligation
Oblig-
ation
Operational
risk managed
(goal)
Op. risk
system used
(achievement)
Oblig-
ation
Head of CORMT
Member CORMT-AM Member CORMT-CF
Head of BU
Venture-Capital
Risk data assessed
(doing)
Obligation
Member BU Venture-Capital
Fig. 4. Vertical responsibility refinement
With this ontology assurance profiles are sets of outcomes that defines the
operational assurance of each system implementation. The generic outcomes have
a comprehensive set of pre-defined indicators. Those generic outcomes and
indicators are typical concerns of managers. So, it easy for them to select the best
assurance level and assess its financial, organizational and technical feasibility. For
instance, the “venture capital work-product management” assurance profile
includes all outcomes imposing that the venture capital documents are controlled
and reviewed. Process system implementations (e.g. one for each country) must be
compliant to this profile. This assurance profile depends on the business domain of
the business process, showing the specificities of each country-local system
6. 6 C. Feltus and A. Rifaut
implementation made by managers. When an assurance profile is selected, it is
easier to constructively build an integrated set of policies (i.e. set of assigned
responsibilities) ensuring the profile.
2 Policies for Business Process Managers
This section details the ontology used for defining policies that is adequate for
business process managers which aim is to address the completeness of the
responsibilities included in a policy to ensure the operational reliability as required
by the selected operational assurance profile. Recall that a policy is a set of
responsibilities, including the associated goals, and assignments to resources.
Fig. 5. Ontology of vertical responsibility refinement
2.1 Vertical responsibility decomposition
The ontology distinguishes between, first, high-level policies concerning the work
of managers aiming at the creation, maintenance, and optimization of their process
(“responsibility-for-achievement”), and, second, the policies imposed on, for
instance, clerks when doing the work (or executing the procedures) described in
the business processes (“responsibility-for-doing”).
In the example shown on Figure 4, the corporate goal of managing operational
risks is split into two main parts: first the implementation of the operational risk
management system is assigned to the head of the CORMT, and the second part,
the operational use of the system is assigned to each business unit manager (e.g.
the head of venture capital business unit). They have to organize the work of
employees belonging to their unit: the specialized team members (CORMT-AM
and CORMT-CF) must have the knowledge (through coaching or attendance to
courses) for dealing with operational risk categories. In Figure 4, (neutral)
graphical notations are used (instead of showing ontology instances) to ease the
readability: ovals are responsibilities represented by their goals, arrows with labels
are assignments (that will be explained hereafter), and arrows without labels are
goal refinements. Recall that this is a goal-oriented model and this is why
responsibilities are identified with their goal (Figure 5) just like processes are
modelled with their goals decomposition (Figure 3). The three kinds of refinements
in Figure 5 are just refinements of the responsibilities’ goals. This is an advantage
for steering processes because the goal-refinements are driven by the assurance
profile and by the responsibility decomposition.
In most of requirements engineering models of business processes, the scope of
the model tend to show that for the risk data being collected, it is sufficient for the
clerk to (timely and accurately) input the data (and for CORMT-AM or CORMT-
7. An Ontology for Requirements Analysis of Managers’ Policies in Financial Institutions 7
CF to validate the data entered). However, this is only the description of
“responsibility-of-doing”, i.e. the low-level operational aspect. However,
depending on the level of reliability that is required, the goal is reached if and only
if all “sub-responsibilities-of-doing” are fulfilled together with the “responsibi-
lities-of-achievement”. In real case studies the bottom of the tree, i.e. the
“responsibility-of-doing” are rarely sufficient. Indeed, the “principle of exception”
of management theory, shows that it is nearly impossible to detail all managers’
responsibilities into “responsibilities-for-doing” due to unforeseen events. In the
ORDIT methodology [24][25] similar concepts are presented, but not fully
formalized in goals-oriented models and business process models for managers.
Operational
risk managed
(goal)
Op. risk budget
(achievement)
Op. risk
accountability
(achievement)
Op. risk
system used
(achievement)
Right
Right
ObligationObligationObligation
Op. risk account-
ability feedback
(achievement)
Obligation
Board of directors Board of directorsHead of BU Venture-Capital
Operational
risk managed
(goal)
Op. risk budget
(achievement)
Op. risk
accountability
(achievement)
Op. risk
system used
(achievement)
Right
Right
ObligationObligationObligation
Op. risk account-
ability feedback
(achievement)
Obligation
Board of directors Board of directorsHead of BU Venture-Capital
Fig. 6. Full cover of responsibility decomposition
2.2 Full cover of responsibility decomposition
When decomposing responsibilities, all 3 aspects must be covered: in order for a
person being committed to fulfilling a responsibility and accepting to be
accountable for that responsibility, that person always must get the right for having
the capabilities needed to fulfil both its commitment and accountability. A missing
aspect, induced weaknesses in the responsibility system decrease its reliability.
In the running example (see Figure 6), the corporate goal of having an
operational risk management system can be split into the following responsibilities:
the business unit manager is responsible for the day-to-day operational risk
management, whereas the corporate risk manager is responsible for creating an
operational risk system. Of course, both managers must have the capabilities (e.g.
budgets) corresponding to these responsibilities. Moreover, in order to ensure their
commitment, both managers must be accountable for their responsibilities (i.e.
their commitments) and the usage of their rights (i.e. the usage of the capabilities
received). Similarly, when managers are assigning “responsibilities-for-doing”,
then they have to provide all resources needed for employees belonging to their
unit to have sufficient time allocated for operational risk data assessment.
The capabilities required are the resources needed such as some budget and
manpower, the description of the tasks, input/output information, … Those
capabilities are rights for the person responsible of the commitment, but it is an
8. 8 C. Feltus and A. Rifaut
obligation for another person (to provide the capabilities for the first one, see
Figure 6). Accountability is important: one is accountable for both its commitment
and the usage of its rights (i.e. the time usage, the access to some information, the
budget, …) The 3 concepts involved in this decomposition (classes “Responsibility
capability”, “Responsibility commitment”, “Responsibility accountability”) are
subclass of the class “Responsibility” (not shown on Figure 5).
3 Analyses of policy requirements models
Relying on goal-oriented models within which all formal definitions are related to
goals, formal analyses are made through the analysis of the goal model. In practice,
lightweight formal analysis tools such as model checkers, or automatic theorem
provers are used. It has been shown that those tools, although having a limited
formal analysis capability, are efficient with goal-oriented models because most of
errors can be pointed out by making local analyses of the goal model. [26][27]. Our
analysis tool is based on the SWI-Prolog-XPCE Semantic Web Library package
[28] in conjunction of the Otter automated theorem prover [37][36] and using
bounded-model checking techniques for dealing with temporal logic formulae [29].
As said above, there is no intent to have a formal proof of the properties (hence, no
intent to prove the inexistence of counter-examples), but the intent is to exhibit
counter-examples. Formal analyses are presented hereafter.
Reliable responsibility assignment (minimal cut-set) analysis. Policies are a
tool for managers for creating a robust business process implementation system. In
particular, lots of review and control responsibilities that are defined in organiza-
tions and described in our model through the use of operational assurance profiles,
could be seen as redundant work. A traditional concept in reliability theory is the
minimal cut-set of a system [30]. In our case, the cut-set of a process implementa-
tion is a set of goals that when no longer reliable can put at risk the business goals.
Our model allows 3 different minimal cut-sets analyses of the system. First, the
minimal cut-sets of the process assurance profile that points out the different
redundancies (such as a reviewing process). Second, the minimal cut-sets with the
responsibility-for-achievement that represents a degree of redundancy: if the clerk
fails to fulfil its responsibility, the manager might be able to mitigate that failure.
Third, the minimal cut-sets in regard to the completeness of responsibilities
concerning reliable commitments, accountabilities and required capabilities.
Separation-of-duties analyses [31] are made with minimal-cut sets. Indeed,
separation-of-duties aims at increasing the minimal cardinality of all minimal-cut
sets. So, the failure of the process implementation will require the failure of more
independent resources (managers and clerks), hence decreasing its probability.
This analysis is appropriate for non-intentional misbehaviours of managers and
clerks. Basel II statistics indicates the majority of operational risks in financial
institutions occur due to those weaknesses. Dishonest, fraudulent and criminal
behaviours have a limited impact [32].
Minimal obligation set and least privilege analysis. The set of obligations can
be analysed in order to be minimal in accordance to the business goals and in
accordance to the required assurance profile. For each policy, the refinement of the
9. An Ontology for Requirements Analysis of Managers’ Policies in Financial Institutions 9
policy goal into responsibilities must be complete, and the set of responsibilities
must be minimal (i.e. the policy goal is not entailed when removing one
responsibility of the policy). Least privilege requires that the minimal set of rights
be granted in order for the obligations being realizable. Moreover, the
responsibility of accountability imposes that the usage of rights are accounted for.
This implies that the minimal set of rights is also allowed. This actually depends on
the selected assurance profile. For instance, in our case study, a clerk having the
“responsibility-for-doing” of assessing the operational risk data will have the right
of using time-slots for doing that just in case the selected assurance profile includes
the resource allocation outcome of the process performance management purpose.
maybe_non_minimal_policy(Policy) :-
bagof(GoalFormalDefinition #<=> B,
Responsibility^(Goal^(Resource
(rdf_db:rdf(Policy, has_responsibility, Responsibility),
rdf_db:rdf(Responsibility, obligation_is_assigned_to, Resource),
rdf_db:rdf(Responsibility, has_goal, Goal),
rdf_db:rdf(Goal, has_formal_definition, GoalFormalDefinition)
)), ConstraintSet),
rdf_db:rdf(Policy, policy_has_goal, PolicyGoal),
rdf_db:rdf(PoliyGoal, has_formal_definition, PolicyGoalFormalDefinition),
length(ConstraintSet,L), L1 is L-1, + run_OTTER(
select_constraint(ConstraintSet, L1), PolicyGoalFormalDefinition #<=> 0 ).
Fig. 7. SWI-Prolog code for identifying non-minimal policy obligation sets
The example shown in the Figure 7, detects a non-minimal obligation set by
removing one obligation that do not produce any goal violation for the new
refinement. (Note that out tool cannot to detect all non-minimal obligation sets due
to the limitations of bounded model checking.) The Prolog predicate
“select_constraint” just selects successively (on backtracking) all possible subsets
of constraints having a cardinality given in the argument, and the predicate
“run_OTTER” feeds the automated theorem prover with the formulae. (The
namespaces of concepts are not shown for a better readability or the Prolog code.)
Fig. 8. Policy profile for usage control policies
Delegation of responsibilities analyses. [31] The delegation of responsibilities is
implicitly handled in the model. Indeed, one can say that when a manager splits its
“responsibility-for-achievement” into a number of “responsibility-for-doing” that
are assigned to clerks, this is a kind of delegation. Dynamics aspects of the
delegation can be defined in the temporal formulae. However, all delegation chains
have their length and pattern fixed into the goal refinement model because, in
10. 10 C. Feltus and A. Rifaut
financial institutions, the length of delegation chains cannot be fully dynamic.
Analyses on responsibility models (coded in Prolog) are described in [33], but no
method is given for constructing those models from business processes and goals.
Fig. 9. Dynamics of usage right decisions and of attributes
4 The mapping onto policies for IT systems
It is not the intent of this section to describe in details this ontology, but it aims at
showing the principles of the mapping between policies for managers and policies
for IT systems. The mapping onto policies for IT systems is made through the
Usage CONtrol policy family of models [34] because it can represents classical
policy models and can be implemented, for instance, with XACML [35].
permission(Role, Object, Right) :-
rdfs:rdfs_individual_of(Object,
'Work_product'),
rdfs:rdfs_individual_of(Role, 'Resource'),
rdf_db:rdf(Act, has_resource, Role),
((rdf_db:rdf(Act, has_input,Object),
Right=input
);(rdf_db:rdf(Act, has_output,Object),
Right=output )).
ucon_rbac_allowed(Subject, Object, Right) :-
rdfs:rdfs_individual_of(Subject, 'Subject'),
rdfs:rdfs_individual_of(Object, 'Object'),
rdf_db:rdf(Practice, has_resource, Subject),
( rdf_db:rdf(Practice, has_input, Object) ;
rdf_db:rdf(Practice, has_output, Object) ),
rdf_db:rdf(Subject, has_role,Role),
rdf_db:rdf(Object, has_work_product, Work_product),
permission(Role, Work_product, Right).
permission(Role, Object, Right) :-
rdfs:rdfs_individual_of(Object,
'Work_product'),
rdfs:rdfs_individual_of(Role, 'Resource'),
rdf_db:rdf(Act, has_resource, Role),
((rdf_db:rdf(Act, has_input,Object),
Right=input
);(rdf_db:rdf(Act, has_output,Object),
Right=output )).
ucon_rbac_allowed(Subject, Object, Right) :-
rdfs:rdfs_individual_of(Subject, 'Subject'),
rdfs:rdfs_individual_of(Object, 'Object'),
rdf_db:rdf(Practice, has_resource, Subject),
( rdf_db:rdf(Practice, has_input, Object) ;
rdf_db:rdf(Practice, has_output, Object) ),
rdf_db:rdf(Subject, has_role,Role),
rdf_db:rdf(Object, has_work_product, Work_product),
permission(Role, Work_product, Right).
Fig. 10. Prolog code querying the rights allowed to resources (subjects) for a target (object)
The policy model UCON (Figure 8) generalizes of the usual access control policy
model to usage control policy model. This family of models (or meta-model) is
based the well-known concepts: a subject gets some rights for target resources.
However, the focus is no longer on how to structure the attributes of the subjects
and resources (for instance, in a hierarchy of roles and permissions as in RBAC
[34]), but to structure the decision concerning the rights. This is why in addition to
authorizations there are obligations and external conditions that are defined.
Moreover, the dynamics of the decision is considered through the concepts of
ongoing decision controls, and the mutability of attributes. With the concept of
policy profile, RBAC profile (not shown on the Figures) is a specialisation of the
UCON profile “pre authorization immutable” (Figure 9). The Figure 10 illustrates
the link between each ontology by giving the Prolog predicates that are used to
query the rights allowed to resources (subjects) for a target (object). The RBAC
concept of “role” is just mapped onto the concept “subject attribute” of Figure 8.
11. An Ontology for Requirements Analysis of Managers’ Policies in Financial Institutions 11
5 Conclusions and work plan
By using a set of concepts structuring the alignment of policies (goals, indicators,
policies, strategies), structuring the assurance profile of business processes
(purpose and outcomes), structuring the policies themselves, one can provide a set
of analyses that help managers to build their policies, and allow experts to use
lightweight goal-oriented formal analyses. The reliability of policy system can be
formally defined and be the basis of usual requirements on policies such separation
of duties, delegation of responsibilities, … To our knowledge, the operational
assurance profile is not present in requirements engineering models of business
processes. Although sometimes parts of the models concern operational assurance
of the process, it is often too technical and/or spread within the model that makes
difficult for managers to understand and analyse the models.
The work in progress concerns the definition of the value delivery assurance
underlying good governance principles. The reliability of policy systems is an
important basis for analysing the value delivery assurance. A tool is under
construction, based on our ontology-based database. New real case studies in
financial institutions are still in progress (e.g. a model of venture capital fund-of-
funds management). The link between the our models and the technical policies is
still under study with UCON in order to provide a technical layer for the policies
defined by the managers which is based on new technologies, such as DRM.
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