From Subject Databases to Flow of Responsibility A Retrospective of Three Decades of Modelling

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From Subject Databases to Flow of Responsibility

A Retrospective of Three Decades of Modelling

Henk GazendamUniversity of Twente; University of Groningen

Presentation at ICISO 2010, July 19-21, Reading, England

Henk Gazendam. From Subject Databases to Flow of Responsibility

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What we are going to do

I. Make OS ontology charting betterII. Learn from some models I madeI11. Conclusion


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I. Make OS ontology charting better

Affordances, Representations and Objects

The Peircean Triad

Code SystemsFlows of Responsibility


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Referenced Object (Dynamical Object)

Actor Inner World (Affordance)

World

Anatomy of an Affordance 1aThe Peircean Triad

Sign System

Representation (Representamen)

Habit of Action(Interpretant)


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Affordances, Representations and Objects

RelationshipsPassive ->Active

Affordances, Habits of Action

Representations.Code Systems

Objects

Affordances, Habits of Action

OD, RT, WP, TS, TS/ Aspects, TS/ Phases

Creates/ Uses Refers To

RepresentationsCode Systems

(Is Created/ Used)

Creates/ Uses, WP, TS

Refers To

Objects (Is Referred To) (Is Referred To) WP, TS

OD=Ontological Dependency, RT = Responsibility Transfer,WP = Whole-Part, TS = Type-Subtype


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Stamperian Affordance 1

Is a package of behaviour afforded, expected, forbidden, or obligatory in a communityIs a social constructIs created whenever a coordination impasse is solvedExists as a habit of action in the mind of people


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Stamperian Affordance 2An affordance refers to

Its constitutive event, the event and situation in which it was createdIts corresponding social knowledge, the instances of itself known in a communityIts determiners, properties of the (external) situation that make its conditions true and activate it


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Eco’s Code System 1A Code System is a set of rules an actor needs to understand in order to translateSignal structures

E.g., messages in a language

Part of a Syntactic System

into Notions about states of the world and

Part of a Semantic System

Behavioural responses Part of a Behavioural (Pragmatic) System


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Eco’s Code System 2For understanding, the code systems of communicating actors must be compatibleFor the functioning of social constructs, the conceptual representations of actors in a community must be compatible


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Actor

Referenced Object

Actor Inner World

World

Anatomy of an Affordance 20Communication

Conceptual Representation

Class of Referenced

Objects

Habit of ActionImmediate

Representation

Code System

Actor

Actor Inner World

Conceptual Representation

Language ActionImmediate

Representation

Code SystemUnderstanding

Social Behaviour

Gesture, Image,

Message


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Responsibility

Responsibility Transfer (RT) is a relationship between affordances next to Ontological Dependency (OD)

Normal ontological dependency = OD+RT+ subsequent RTOntological dependency without responsibility transfer = ODAuthorization = OD+RT without subsequent RT


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MEASUR 4c1Responsibility Transfer

Actor A

Affordance COntological Dependency

Actor B

Ontological Dependency

Ontological Dependency Without Responsibility Transfer

Actor A


Actor B

Affordance DOntological Dependency


Affordance D


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MEASUR 4c2Responsibility Transfer

Actor A


Actor B

Authority

Affordance DOntological Dependency


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Actor


Affordance(Responsibility, Transaction)

Ontological Dependency with Authorization or Delegation of Authority

Whole- Part

Creates/ Uses Representation/ Code System

MEASUR 1Ontology Charting

Society Role

Directed Ontological Dependency Recursive Whole-Part

Object, Situation,

Event

MEASUR Ontology Chart

Extended Ontology Chart

Ontological Dependency Showing Flow of Responsibility

Representation, Determiner

Code System

Ontological Dependency Without Responsibility Transfer

phase aspect

Affordance - Affordance Phase Affordance - Affordance Aspect

Refers to Object

Type-Subtype (Generalization)


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Actor1

Actor2

Actor3

SC 2

SC 1

SC 3

SC 4

SC 5

aspect

Classification1

Classification2

Domain1

Thesaurus1

Classification3

Language System 1

Language System 2

Overall Human CodeSystem

MEASUR 10Ontology Chart Pattern 2

determiner1

determiner5

determiner4

determiner3

determiner2

determiner6

Society

Object 1 Situation 2 Event 3 Object 4

The Universe


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II. Learn from some models I made

Learn design principles and modelling improvements from themModels to be explained

Government AgencyFinancial ManagementBicycle ShopLogistics


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Government Agency

It is 1975-1985Transition of tapes to relational databasesTransition of mainframes to terminals and PCs

I was involved in making an information system architecture for the Government Agency

And started with the information chain


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P1 The Information Chain

Distinguish Data registration at the sourceExecution of laws and rules Aspect coordinationData gathering for policy makingDecision support

as separate tasks to be performed by separate actors


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Government Agency 1The Information Chain

Laws, Royal Decrees, Rules

and Norms

Central Financial Database

Basic Registrations of

ObjectsTransactions

Data Warehouse

1. Registration ofLaws and Rules

2. ObjectRegistration

3. Execution ofLaws and Rules

4. Aspect Coordination(Finance, Personnel,

Information)

6. Support PolicyDecisions

Society

GovernmentInformational Functioning

Phase

5. CollectRelevant Data

Government


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Indicators and

MetadataKG

Students OO

Research Programs

OZ

Other Tasks

OT

PersonnelP

Buildings and

TerrainsB

Material Goods

M

Institutions IN

Education/ Research Content

OI

Funding Rules and

ParametersPR

FinanceF

Government Agency 2Information Chain 3 Execution of Laws and Rules.Elaboration of Funding Process Phases

Society

Government Agency

Funding

Institution

Determination ofQuality and Task Size

Determination ofRequired Means

Application ofFunding Rules

Financial Control

Phases


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Government Agency

I learned thatInformation systems must be based on

Tasks of organization units Responsible persons

Information systems differ based on their tasks

Large-scale data processingSupport a specific organization unitSupport a person

Information systems must reckon with the division of powers within an organization


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Government Agency 3Many Actors

Society

Government Agency

Funding BO

Institution

Financial Control

Directorate DI

Directorate HW

Directorate VO

Directorate BO

Information Aspect Coordination

Financial Aspect Coordination

Funding DI

Funding HW

Funding VO

Funding Basic RegistrationControl

Primary Data BO

Primary Data VO

Primary Data HW

Primary Data DI

Secondary Aggregate

Data

Financial Central

Data

Sector

Sector

Sector

Sector


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Government Agency 4Check Flow of Responsibility

Society

Government Agency

Funding BO

Institution

Financial Control

Directorate DI

Directorate HW

Directorate VO

Directorate BO

Information Aspect Coordination

Financial Aspect Coordination

Funding DI

Funding HW

Funding VO

Funding Basic RegistrationControl

Primary Data BO

Primary Data VO

Primary Data HW

Primary Data DI

Secondary Aggregate

Data

Financial Central Data

Sector

Sector

Sector

Sector


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Government Agency

Information System Development can be done an order of magnitude cheaper, and better

Then, relational databases, 4th generation languages, modelling tools

A factor 29 less costly than previous development (my thesis)


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P2 Correspondence Principle

The information system you want to design has to correspond to a specific responsible organization unit, user group, or person

Information systems that are too large in scope and cross many organizational boundaries tend to be subject of discussion, struggle and failure


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P3 Information System Metaphors

The Mill is a kind of factory that processes information like water

A centralized information system for a large organization.

The Cell is an organic information system adapting to the needs of an organization module

It should have capabilities for regeneration, change and self-repair

The Mind is an intelligent assistant of a person with built-in capabilities for specific task support

It can be based on cognitive science, knowledge elicitation and operations research


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P4 Division of Powers

In society and in organizations there should be a division of powers

Trias Politica (legislative, executive, and judiciary) Separation of Church and StateAdministrative Function Separation within an Organization

This leads to a system of checks and balances


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P4 Division of Powers

Administrative function separation Different Actors responsible for

Proposing decisions Financial aspect coordination Cash transfersBookkeeping Accountant review

Each important decision needs at least two sources of information/ opinionSeparation of

Application ProgramsDatabases of objects, laws and decrees


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P5 Mapping to Current Technology

Use current analysis patternsFowler. Analysis Patterns (1997)Hay. Data Model Patterns (1994)Eriksson & Penker. Business Modeling with UML (2000)


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P5 Mapping to Current Technology

Use current architecture patternsFowler. Patterns of Enterprise Application Architecture (2003)Hohpe & Woolf. Enterprise Integration Patterns (2004)

Use development environments that offerModel-Driven Software GenerationTest-Driven DevelopmentImplementation of current standards (e.g., FIPA)


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Financial Management

Around 1985, financial management at the GA needed a new information systemTwo budget types had to be implemented

EncumbranceCommitments, for instance decisions to provide funds to an institution

CashActual cash flow


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P6 The Aspect Phase Model

Distinguish (Wisse, 1991)Aspects: decision types to be controlledPhases: steps in decision making, often following a general pattern

As orthogonal dimensions of an account


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Financial Management 6Phases in an Aspectless World

Budget Control Estimation Policy Intention Draft Budget

Accepted BudgetAvailable Budget

(Unblocked)Committed Budget

Space (Encumbrance)Accepted

Achievement

Invoice or ClaimLegal Commitment toPay (Acquired Richts)

Cash FlowAccountability

Report

Phases


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Financial Management 7Aspects of Budget Control

Budget Control

Committed BudgetSpace (Encumbrance)

Legal Commitment toPay (Acquired Rights)

Cash Flow

Property Value

Aspect

Aspect

Aspect

Aspect

Required for Dutch Central Government


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Financial Management 8Phases of Budget Control

Budget ControlProposed Budget/

NormApproved Budget/

NormMessage Triggering

Expenditure

ProposedExpenditure

ApprovedExpenditure

Evaluated/Reported Expenditure

RejectedExpenditure

Phases

Directorate

External Institution

Financial Coordination

Accountant

RealizedExpenditure


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Parliament

Minister of Finance

Minister A

Institution

AcknowlegeInstitution

Qualify for Funding

Account HoldershipDetail Account

Holdership

Make FundingDecision

Budget Law Approval

Aspect

Phase

Year

RegisterTransaction

Make Account Entry

F Law Approval

Financial Management 2RCheck Flow of Responsibility

Cost Activity

Cost Center

Cost Type

Financial Control

Budget Control

Funding

Society

Funding LawApproval

Account Entry Event

Account

Money

Decision Event

Transaction Event


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Parliament

Minister of Finance

Minister A

Institution

Budget Law Approval

F Law Approval

Financial Management 13Constitutive and Executive Processes

Financial Control

Budget Control

Funding

Society

Funding LawApproval

Actors Constitutive Processes Executive Processes


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Bicycle Shop

A bicycle shop purchases and sells bicyclesI used this example for a course in rapid application development

Detect requirements, design and program an information system in 3 weeks


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Society

Supplier

Bicycle Shop

Customer

Purchasing

Selling/ Buying

Request Offer

Offer

Order

Accept Order Deliver

Accept Delivery Pay

Accept Payment

Bicycle Type

Bicycle Collection

Bicycle Individual

Bicycle Shop 3Check Flow of Responsibility

Request Offer

Offer

Order


Accept Delivery Pay

Accept Payment


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Bicycle Shop 2Exceptions and Extensions for Order

Order

Accept Order

Cancel Order

Accept Cancel Order

Use Order Formula

Supplier

Bicycle Shop

Purchasing


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P7 The Category Model

DistinguishActorsRolesResponsibilitiesTransactionsPhases of transactionsCode systemsObjects or Events


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Society

Supplier

Bicycle Shop

Customer

Purchasing

Selling/ Buying

Request Offer

Offer

Order


Accept Delivery Pay

Accept Payment

Bicycle Type

Bicycle Collection

Bicycle Individual

Bicycle Shop 4Identify Actors, Transactions, Phases, Code Systems and Objects

Request Offer

Offer

Order


Accept Delivery Pay

Accept Payment

Actors Transactions Phases

Referenced Objects/ Events

Phase

Phase

Phase

Phase

Bicycle ModelDescription

Code Systems


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Parliament

Minister of Finance

Minister A

Institution

AcknowlegeInstitution

Qualify for Funding

Account HoldershipDetail Account

Holdership

Make FundingDecision

Budget Law Approval

AspectPhase

Year

RegisterTransaction

Make Account Entry

F Law Approval

Financial Management 4Identify Actors, Transactions, Phases, Code Systems, Objects/ Events

Cost Activity Cost Center

Cost Type

Phases

Financial Control

Budget Control

Funding

Society

Funding LawApproval

Account

Money

PhasesPhases

Transactions

Code Systems

Phases

Objects/ Events

Account Entry Event

Decision Event

Transaction Event

Actors


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Bicycle Shop

If you have ordered the ontology chart using the category model, it is easy to distinguish object types for design

Transaction is added as a supertype for Purchasing =g and Selling/BuyingThe phases of a transaction are stored in the Transaction using a Phase Code SystemAn Event object type is added to register events in the Transaction life cycle


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Purchasing

Selling/ Buying

Bicycle Type

Bicycle Collection

Bicycle Individual

Bicycle Shop 5Object Types in Design

Actors Transactions

Referenced Objects/ Events

Actor

Phase Codes

Transaction Event

Transaction

Code Systems

Bicycle ModelDescriptionSupplier

Bicycle Shop

Customer


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Bicycle Shop

It is also easy to distinguish use cases based on the phases in the ontology chart

And the exceptions and extensions


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Bicycle Shop 6Use Cases from Phases

Request PurchaseOffer Sales Offer

Purchase Order Sales Order

Sales DeliveryPurchase Delivery

Pay Purchase Sales Payment

Cancel PurchaseOrder

Purchase UsingOrder Formula

Cancel Sales OrderSupplier Bicycle Shop Customer

Request Reply

Perform Accept

Perform Accept

Accept

Accept

PerformPerform

Accept

Perform

ReplyRequest

Accept Perform

Accept

Perform AcceptPerform

Accept Perform


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P8 Interaction LevelsInteraction level

Knowledge level

What is modelled Type of diagram

Economic / administrative transaction

Ontological knowledge

Community, actors, social constructs (affordances), responsibility

Ontology Chart

Social construct (affordance) phases

Process knowledge

Social construct (affordance) phases

Ontology Chart

Interaction pattern (e.g., DEMO)

Interaction knowledge

Interaction between two or more actors

Interaction Diagram

Norm Normative knowledge

Norm condition, state, responsible actor, deontic operator, action

Norm Specification


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Logistics

A logistics company offers an information system for tracking and tracing of goods in the chain consisting of suppliers, shipping companies, factories and storage facilities.The information system has to cooperate with a diversity of customer information systems


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Logistics 2Check Flow of Responsibility

SOP Initiative

Contracted Service

Planned ServiceOffered Service

Ordered ServiceRequested ServiceSRP Initiative

Executed ServiceMilestones

Disturbance

Service-Offering Party (SOP)

Service-Requesting Party (SRP)

SOP Commitment

SRP Commitment

Society

Goods Unit

Service Unit

Shipment

Means of Service

Event


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Logistics 3Identify Actors, Transactions, Phases and Objects

Contracted Service

Planned ServiceOffered Service

Ordered ServiceRequested Service

Executed ServiceMilestones

Disturbance

Service-Offering Party (SOP)

Service-Requesting Party (SRP)

Contract ServiceSociety

Goods Unit

Service Unit

Shipment

Means of Service

Event

Actors Transactions

Phases

Phases

Phases Referenced Objects/ Events


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Logistics 3aBasic Object Types for Design

Actor

Contract Service

Society

Goods Unit

Service Unit

Shipment

Means of Service

Constitution Event

Actors Transactions Code Systems Referenced Objects/ Events

Actor Role

Phase Type

Execution Event

Responsibilities

Goods UnitOwnership

Means of ServiceOwnership Event Type


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P9 Semiotic Operators

Start with basic object typesGet derived object types for

Types (e.g., a bicycle model)Collections (e.g., an order line) and states of collectionsPart-whole structures

Goods structures (BOM structures)Shipment/ packaging structuresContracted services structures

Network structuresPhases network


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Logistics 4Application of Semiotic Operators

Goods Unit

Contracted Service

Goods Serviced

(Shipment Line)

GoodsShipment

Goods Production Structure

Goods Packaging Structure

Means of Service

Means of Service

Structure

Constitution Event

Basic Objects/ Events

Types (Code Systems)

Collections, Collection States

Structures

Actor

Actor Role

Contract ServiceTransaction

Goods UnitOwnership

Means of ServiceOwnership

Actors, Roles

Actor Role Type

Goods Type

Phase Type

Means of ServiceType

Service Type

Event Type

Goods Serviced State


(Abstract)

Goods Serviced (Abstract)

Execution Event

Default Phase Structure

Responsibilities

Transactions

Contracted Service

Structure


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Logistics 6Database Model for Logistics Company (Coloured)

Actor Role

Transaction

Actor

Phase Type


Actor Role Type

Constitution Event

Contracted Service

Service Type


Means of Service Type

Goods Type

Event Type

Means of Service

Goods Serviced

(Shipment Line)

Goods Unit

Goods Shipment

Execution Event

Contracted Service

Structure



Means of Service

Ownership

Goods Unit Ownership


(Abstract)

before

after


before

after

Means of Service

Structure


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III. Principles DiscoveredGovernment Agency

The Information ChainCorrespondenceInformation System MetaphorsDivision of PowersMapping to Current Technology


The Aspect-Phase Model

Bicycle Shop The Category ModelLevels of Interaction

Logistics Semiotic Operators


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Modelling ImprovementsGovernment Agency

Semantic and Object-Oriented Modelling


Flow of ResponsibilityCode SystemsConstitutive and Executive Processes

Bicycle Shop

Transform Ontology Chart into Object ModelTransform Ontology Chart into Use Case DiagramElaborate Interactions with LAP methods

Logistics Fine-tuning of Object Model with Semiotic Operators

Thank You for Your Attention

transparencies will be published athttp://www.gazendam.net/research


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Financial Management 9Interactions in Financial Control

Directorate (Budget Holder)

Financial Coordination Accountant

Give Goals, BoundaryConditions, Norms

Propose Decision

Approve Decision Check Decision

Rework RejectedDecision

Negotiate Decision

Reject Decision

Reject Decision

Approve Decision

Premise Model Negotiation Model Review Model


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Bicycle Shop 5aDatabase Model

Transaction Type

Transaction

Actor

Actor Role

Bicycle Model Code

Phase Type

Bicycle Type

Bicycle Collection

Bicycle

Transaction Event

Actor Role Type

Bicycle Model Code - Type


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Logistics 7Database Model for Constitution of Transactions and the Contracted Serviceswithin each Transaction.

Actor Role

Transaction

Actor

Phase Type


Actor Role Type

Constitution Event

Contracted Service

Service Type

Event Type

Contracted Service

Structure

Goods

Serviced State (Abstract)

before

after


Means of Service Type

Goods Type


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Logistics 8Database Model forGoods Structures

Goods Serviced

(Shipment Line)

Goods Unit

Goods Shipment

Execution Event




before

after

Contracted Service

Contracted Service

Structure

Goods

Serviced State (Abstract)

before

after

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From Subject Databases to Flow of Responsibility A Retrospective of Three Decades of Modelling

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