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Document Type
Dissertation
Major/Program
Business Administration
First Advisor's Name
Ronald M. Lee
First Advisor's Committee Title
Committee Chair
Second Advisor's Name
Anastasia Pagnoni
Second Advisor's Committee Title
Committee Member
Third Advisor's Name
Debra VanderMeer
Third Advisor's Committee Title
Committee Member
Fourth Advisor's Name
Kaushik Dutta
Fourth Advisor's Committee Title
Committee Member
Fifth Advisor's Name
Xudong He
Fifth Advisor's Committee Title
Committee Member
Keywords
formal modeling, business process, procedure, control, Deontic, redesign
Date of Defense
5-28-2008
Abstract
This research focuses on the design and verification of inter-organizational controls. Instead of looking at a documentary procedure, which is the flow of documents and data among the parties, the research examines the underlying deontic purpose of the procedure, the so-called deontic process, and identifies control requirements to secure this purpose. The vision of the research is a formal theory for streamlining bureaucracy in business and government procedures. Underpinning most inter-organizational procedures are deontic relations, which are about rights and obligations of the parties. When all parties trust each other, they are willing to fulfill their obligations and honor the counter parties’ rights; thus controls may not be needed. The challenge is in cases where trust may not be assumed. In these cases, the parties need to rely on explicit controls to reduce their exposure to the risk of opportunism. However, at present there is no analytic approach or technique to determine which controls are needed for a given contracting or governance situation. The research proposes a formal method for deriving inter-organizational control requirements based on static analysis of deontic relations and dynamic analysis of deontic changes. The formal method will take a deontic process model of an inter-organizational transaction and certain domain knowledge as inputs to automatically generate control requirements that a documentary procedure needs to satisfy in order to limit fraud potentials. The deliverables of the research include a formal representation namely Deontic Petri Nets that combine multiple modal logics and Petri nets for modeling deontic processes, a set of control principles that represent an initial formal theory on the relationships between deontic processes and documentary procedures, and a working prototype that uses model checking technique to identify fraud potentials in a deontic process and generate control requirements to limit them. Fourteen scenarios of two well-known international payment procedures -- cash in advance and documentary credit -- have been used to test the prototype. The results showed that all control requirements stipulated in these procedures could be derived automatically.
Identifier
FI08121910
Recommended Citation
Nguyen, Vu, "A Deontic Analysis of Inter-Organizational Control Requirements" (2008). FIU Electronic Theses and Dissertations. 69.
https://digitalcommons.fiu.edu/etd/69
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