Four Reference Models for Transparency Requirements in Information Systems

Transparency is a key emerging requirement in modern businesses and their information systems. Transparency refers to the information which flows amongst stakeholders for the purpose of informed decision-making and taking the right action. Transparency is generally associated with positive connotations such as trust and accountability. However, it has been shown that it could have adverse effects such as information overload and affecting decisions objectiveness. This calls for systematic approaches for transparency to ensure its cost-effectiveness and avoid such adverse side effects. This is especially true considering that the relatively few works in the literature on transparency requirements have focused mainly on making information available and accessible and have paid little focus on the information receivers’ side and making it meaningful for them. In this paper, we reflect on our previous research on transparency and its multi-faceted constructs and review multi-disciplinary conceptualisation and propose four reference models which are meant to form a holistic conceptual baseline for transparency require- ments in information systems. These reference models cover transparency actors, transparency meaningfulness, transparency usefulness, and information quality in transparency. We also discuss the interdependencies amongst these four reference models and their implications for requirements engineers and information system analysts. As a proof of concept, we analyse a mainstream transparency document, the United Kingdom Freedom of Information Act, in the light of our reference models and demonstrate the need to consider transparency more holistically and the need to include the information receiver’s perspective and the inter-relations amongst various properties and constituents of transparency as well. We then highlight areas of improvement informed by our analysis

Engineering of transparency requirements in business information systems

Transparency is defined as the open flow of high quality information in a meaningful and useful manner amongst stakeholders in a business information system. Therefore transparency is a requirement of businesses and their information systems. It is typically linked to positive ethical and economic attributes, such as trust and accountability. Despite its importance, transparency is often studied as a secondary concept and viewed through the lenses of adjacent concepts such as security, privacy and regulatory requirements. This has led to a reduced ability to manage transparency and deal with its peculiarities as a first-class requirement. Ad-hoc introduction of transparency may have adverse effects, such as information overload and reduced collaboration. The thesis contributes to the knowledge on transparency requirements by proposing the following. First, this thesis proposes four reference models for transparency. These reference models are based on an extensive literature study in multiple disciplines and provide a foundation for the engineering of transparency requirements in a business information system. Second, this thesis proposes a modelling language for modelling and analysing transparency requirements amongst stakeholders in a business information system. This modelling language is based on the proposed four reference models for transparency. Third, this thesis proposes a method for the elicitation and adaptation of transparency requirements in a business information system. It covers the entire life cycle of transparency requirements and utilises the transparency modelling language for modelling and analysis of transparency requirements. It benefits from three concepts of crowdsourcing, structured feedback acquisition and social adaptation for the elicitation and adaptation of transparency requirements. The thesis also evaluates the transparency modelling language in terms of its usefulness and quality using two different case studies. Then, the feedback acquisition section in the transparency elicitation and adaptation method is evaluated using a third case study. The results of these case studies illustrate the potentials and applicability of both the modelling language and the method in the engineering of transparency requirements in business information systems

Aligning business processes and IT of multiple collaborating organisations

When multiple organisations want to collaborate with one another they have to integrate their business processes. This requires aligning the collaborative business processes and the underlying IT (Information Technology). Realizing the required alignment is, however, not trivial and is the subject of this thesis. We approached the issue of alignment in three steps. First, we explored business-IT alignment problems in detail in a real-life business case. This is done in order to clarify what alignment of business processes and IT systems across a collaboration network entails. Second, we provided a business-IT alignment framework called BITA* (pronounce bita-star). The framework provides modelling abstractions for alignment. Third, we applied the framework in two real-life case studies, including the real-life business case used in step one. By applying the framework in practice we showed that the framework can, in fact, help to address the business-IT alignment problems that we identified in the first step. The work presented in this thesis is conducted over a number of years in the context of four large EU sponsored research projects. The projects focused on alignment problems in two very distinct application areas. Two projects were about realizing transparency systems for meat supply chains and constitute the first case study. The other two projects were about realizing multidisciplinary modelling collaboration systems and constitute the second case study. Although the projects were conducted sequentially the research questions were addressed iteratively over the years. The research methodology that shows how the framework is designed and how the case studies are applied is discussed in detail in chapter 2. In chapter 3 we present BITA*, a Business-IT Alignment framework for multiple collaborating organisations. The main challenges in designing BITA* have been what models to consider for alignment and how to compare them in order to make explicit statements about alignment. We addressed this problem by introducing allocation and alignment modelling constructs to help the alignment process, and the concept of business collaboration model to represent the models that have to be aligned. We identified three groups of stakeholders for whom we designed explicit design viewpoints and associated allocation and alignment models. The Business Process to Business Process (BP2BP) alignment viewpoint is designed for business analysts who have to align diverse business collaboration process models. The IT to IT (IT2IT) alignment viewpoint is designed for software architects to align the distribution of data and IT systems across a collaboration network. The Business Process to IT (BP2IT) alignment viewpoint is designed for an interdisciplinary team of business analysts and software architects who have to align the different ways of supporting business collaboration processes with distributed IT system. An essential element of this thesis has been elaborating how business-IT alignment problems occur in the context of multi-organisational collaboration. The case studies were used to demonstrate business-IT alignment concerns. Particularly, the details of the first case study presented in chapters 4 and 5 were used in chapter 3 to help derive the alignment framework. The case study presented an ideal problem scenario since realizing transparency across supply chains is intrinsically a collaborative effort. The second case study was used to enhance the validity of our approach. The results of the second case study are presented in chapter 6. The alignment framework was designed during the iterative process we followed when realizing a generic transparency system for meat supply chains. To realize the required generic transparency system we needed a reference architecture. To derive the reference architecture we adapted an already existing and broadly-accepted generic reference architecture. We have to adapt the generic reference architecture in order to address specific requirements of the meat sector that were not considered in the generic reference architecture. The adaptation process made it clear that we needed models for representing business collaborations. We, therefore, introduced the notion of business collaboration model, which we used both to model reference architectures and to adapt them. Adaptation required aligning the generic reference architecture with the diverse business collaboration models adopted by the organisations that have to collaborate. The alignment framework is thus used for adapting a generic reference architecture in order to create a reference architecture that the collaborating organisations can, and are willing to, adopt. We identified three types of business collaboration models: business collaboration process model, business collaboration IT model, and a model for representing the relationship between these two. A business collaboration process model is a business process model that spans a collaboration network. A business collaboration IT model is a model of the distribution of the IT across the collaboration network. A business collaboration process-IT model is a model of the relationships between the elements of the business collaboration processes and the elements of the distributed IT. Each organisation is considered to adopt its own business collaboration models. For instance, different actors in meat supply chains have different views on how chain-wide transparency should be realized. Which business processes and IT systems each organisation has to deploy and use depends on the business collaboration models each food operator adopts. If two different food operators adopt the same set of business collaboration models, they are aligned; otherwise they are misaligned. Hence, alignment entails comparing the different business collaboration models adopted by the participating organisations. The results of the alignment process are explicit statements about how convergent or divergent the organisations are from the chosen generic reference architecture. The explicit statements of alignment guide how best the generic and the corresponding organisational business collaboration models can be adapted to create a better state of alignment. To further enhance the validity of the overall approach the second case study was conducted. The second case study was a retrospective investigation of two past research projects focusing on aligning environmental modelling processes and IT systems. A retrospective case study was chosen because launching a new business-IT alignment project involving multiple collaborating organisations was not feasible. The projects were undertaken to support the European Water Framework Directive, which mandated, among other things, participatory, multidisciplinary, river-basin wide and model-based studies to manage the water resources of Europe. The directive particularly required a collaborative approach to building environmental decision support systems and to deriving methodologies for applying existing decision support systems. We applied BITA* to aligning environmental modelling processes and IT systems in order to evaluate the suitability of the framework to addressing alignment problems in other application areas. The contributions of the thesis are summarized in chapter 7. The contributions include a number of design artefacts, which can be grouped into four categories: constructs, models, methods, and instantiations. The contribution in the first category includes the conceptualization of allocation and alignment. The contributions in the second category include allocation and alignment models, and reference architectures. Allocation models are representations of business collaboration models in a form that can be compared and are the basis for alignment modelling. The main contribution in the third category is the BITA* systematic approach to alignment modelling. The contributions in the fourth category are the software systems developed with the help of the reference architectures.</p

Joint Report of Peer Review Panel for Numeric Nutrient Criteria for the Great Bay Estuary New Hampshire Department of Environmental Services June, 2009

This peer review was authorized through a collaborative agreement sponsored by the New Hampshire Department of Environmental Services (DES) and the Cities of Dover, Rochester and Portsmouth, New Hampshire. The purpose was to conduct an independent scientific peer review of the document entitled, “Numeric Nutrient Criteria for the Great Bay Estuary,” dated June, 2009 (DES 2009 Report)

The South African Medicines Control Council: Comparison of Its Registration Process With Australia, Canada, Singapore, and Switzerland

© 2019 Keyter, Salek, Banoo and Walker.Introduction: Comparisons between regulatory authorities of similar size and regulatory characteristics facilitate value-added benchmarking and provide insight into regulatory performance. Such comparisons highlight areas for improvement as authorities move toward achieving their regulatory goals and stakeholders’ demands. The aims of this study were to compare the registration process and the regulatory review model of the South African Medicines Control Council (MCC) to that of four other similar-sized regulatory authorities and to identify areas for improvement that may inform recommendations to the South African Health Products Regulatory Authority (SAHPRA) as it looks to re-engineer and enhance the registration process in South Africa. Methods: A questionnaire describing the organisational structure, the registration process, good review and decision-making practices of the MCC was completed by the author (AK) for the purpose of this study and validated by the Registrar of the MCC. Similar questionnaires were also completed and validated by Australia’s Therapeutic Goods Administration (TGA), Canada’s Health Canada, Singapore’s Health Science Authority (HSA) and Switzerland’s Swissmedic. Results: A comparison of the MCC regulatory process with the four comparative agencies indicated that they all have similar requirements and employ a full-review model although the timelines for the MCC were considerably longer. However, similar quality measures were implemented by all authorities as part of their good review practices (GRevP) including prioritising transparency, communication, continuous improvement initiatives and training. Conclusion: Comparisons made through this study provided insight into the areas of the MCC registration process that may be improved and have informed recommendations to SAHPRA including the implementation of facilitated regulatory pathways, definition of targets for key milestones in regulatory review and formal implementation and monitoring of GRevP. In order to build quality into the review process the application of a standardised template for the clinical assessment of medicines such as the Universal Methodology for Benefit-Risk Assessment (UMBRA) could be considered as well as enhancing transparency and communication through the application of an electronic management system and the development of publicly available summaries for the basis of approval.Peer reviewedFinal Published versio

A Survey on Economic-driven Evaluations of Information Technology

The economic-driven evaluation of information technology (IT) has become an important instrument in the management of IT projects. Numerous approaches have been developed to quantify the costs of an IT investment and its assumed profit, to evaluate its impact on business process performance, and to analyze the role of IT regarding the achievement of enterprise objectives. This paper discusses approaches for evaluating IT from an economic-driven perspective. Our comparison is based on a framework distinguishing between classification criteria and evaluation criteria. The former allow for the categorization of evaluation approaches based on their similarities and differences. The latter, by contrast, represent attributes that allow to evaluate the discussed approaches. Finally, we give an example of a typical economic-driven IT evaluation

Extending the Scope of Prudential Supervision: Regulatory Developments during and beyond the “Effective” Periods of the Post BCCI and the Capital Requirements Directives.

The main argument of this paper is, namely, the need for greater emphasis on disclosure requirements and measures – particularly within the securities markets. This argument is justified on the basis of lessons which have been drawn from the recent Financial Crises, one of which is the inability of bank capital requirements on their own to address funding and liquidity problems. The engagement of market participants in the corporate reporting process, a process which would consequently enhance market discipline, constitutes a fundamental means whereby greater measures aimed at facilitating prudential supervision could be extended to the securities markets. Auditors, in playing a vital role in financial reporting, as tools of corporate governance, contribute to the disclosure process and towards engaging market participants in the process. This paper will however consider other means whereby transparency and disclosure of financial information within the securities markets could be enhanced, and also the need to accord greater priority to prudential supervision within the securities markets. Furthermore, the paper draws attention to the need to focus on Pillar 3 of Basel II, namely, market discipline. It illustrates how through Pillar 3, market participants like credit agencies can determine the levels of capital retained by banks – hence their potential to rectify or exacerbate pro cyclical effects resulting from Pillars 1 and 2. The challenges encountered by Pillars 1 and 2 in addressing credit risk is reflected by problems identified with pro cyclicality, which are attributed to banks’ extremely sensitive internal credit risk models, and the level of capital buffers which should be retained under Pillar Two. Such issues justify the need to give greater prominence to Pillar 3. As a result of the influence and potential of market participants in determining capital levels, such market participants are able to assist regulators in managing more effectively, the impact of systemic risks which occur when lending criteria is tightened owing to Basel II's procyclical effects. Regulators are able to respond and to manage with greater efficiency, systemic risks to the financial system during periods when firms which are highly leveraged become reluctant to lend. This being particularly the case when such firms decide to cut back on lending activities, and the decisions of such firms cannot be justified in situations where such firms’ credit risk models are extremely sensitive – hence the level of capital being retained is actually much higher than minimum regulatory Basel capital requirements. In elaborating on Basel II's pro cyclical effects, the gaps which exist with internal credit risk model measurements will be considered. Gaps which exist with Basel II's risk measurements, along with the increased prominence and importance of liquidity risks - as revealed by the recent financial crisis, and proposals which have been put forward to mitigate Basel II's procyclical effects will also be addressed

Counterfactual Explanations without Opening the Black Box: Automated Decisions and the GDPR

There has been much discussion of the right to explanation in the EU General Data Protection Regulation, and its existence, merits, and disadvantages. Implementing a right to explanation that opens the black box of algorithmic decision-making faces major legal and technical barriers. Explaining the functionality of complex algorithmic decision-making systems and their rationale in specific cases is a technically challenging problem. Some explanations may offer little meaningful information to data subjects, raising questions around their value. Explanations of automated decisions need not hinge on the general public understanding how algorithmic systems function. Even though such interpretability is of great importance and should be pursued, explanations can, in principle, be offered without opening the black box. Looking at explanations as a means to help a data subject act rather than merely understand, one could gauge the scope and content of explanations according to the specific goal or action they are intended to support. From the perspective of individuals affected by automated decision-making, we propose three aims for explanations: (1) to inform and help the individual understand why a particular decision was reached, (2) to provide grounds to contest the decision if the outcome is undesired, and (3) to understand what would need to change in order to receive a desired result in the future, based on the current decision-making model. We assess how each of these goals finds support in the GDPR. We suggest data controllers should offer a particular type of explanation, unconditional counterfactual explanations, to support these three aims. These counterfactual explanations describe the smallest change to the world that can be made to obtain a desirable outcome, or to arrive at the closest possible world, without needing to explain the internal logic of the system