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%-- University:		CURTIN University of Technology			--%
%--			Perth, Western Australia, Australia		--%
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%-- School:		School of Computing				--%
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%-- Education:		Masters by research in Computer Science 	--%
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%-- Project:		ebXML CPA creation/derivation/negotiation	--%
%--			  web: http://www.schlegel.li/ebXML		--%
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%-- Supervisor:		Andrew Marriott					--%
%--			  email: raytrace@cs.curtin.edu.au		--%
%--			Tim McGrath					--%
%--			  email: tmcgrath@portcomm.com.au		--%
%--									--%
%-- Student:		Sacha Schlegel					--%
%--			  email: sacha@schlegel.li			--%
%--			  web: http://www.schlegel.li			--%
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%-- Document:		candidacy_report.tex				--%
%-- Title:		Candidacy Report				--%
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%-- CVS Version:	$Revision: 1.18 $				--%
%-- CVS Date:		$Date: 2002/10/21 00:17:09 $			--%
%-- CVS Author:		$Author: sacha $				--%
%-- CVS Name:		$Name:  $					--%
%-- CVS RCS File:	$RCSfile: candidacy_report.tex,v $		--%
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%-- Copyright:		Sacha Schlegel @ 2002				--%
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% todo
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% - check all urls for correctness.
% - check all todo's in the text
% - smaller margins (in pagestyle)
% - remove filling space in references!
% - write links between chapters with small summary: This shows us that ........., In summary this approach .... shows ... but ....
%
% hard todos
% - add web based negotiation support systems.
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% tips
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% - \fbox{text} draws a box around a text.

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\title{Candidacy Report}
\author{CURTIN \\
University of Technology \\
Department School of Computing \\
\\
Masters by Research in Computer Science\\
\\
Project Supervisor: Andrew Marriott (raytrace@cs.curtin.edu.au)\\
Project Supervisor: Tim McGrath (tmcgrath@portcomm.com.au)\\
\\
Project Student: Sacha Schlegel \thanks{http://www.schlegel.li} \\
Student ID: 12253634 \\
E-Mail: sacha@schlegel.li \\
\\
Document $Revision: 1.18 $\\
\\
}
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% %-------------------------------------------------------------------------%
% %---Candidacy Report / Project Proposal-----------------------------------%
% %-------------------------------------------------------------------------%
% what is an empirical study from
% Mauch, J. E.<br>&amp; Birch, J. W. 1993, Guide to the Successful Thesis and 
%Dissertation, Kent, Allen, Marcel Dekker, Inc., New York., page 93
%
%  ``An empirical study emphasise control, in the sense that the investigator
%  sets up the conditions of the investigation and specifies detailed questions
%  that will be answered or hypotheses that will be tested. The application and
%  observation of a treatment effect is a common part of such studies, as is 
%  the statistical analysis of data.''
% 

% Outline of the Candidacy Report for Curtin University has the following chapters.

%0 Abstract
%1 Objectives
%2 Background
%3 Significance
%4 Research Method
%5 Ethical Issues
%6 Facilities and Resources
%7 Data Storage
%8 Time Line


\begin{document}
\maketitle
\newpage

\begin{abstract}
% background
Electronic business in the 20th century is a paradigm to utilise computer systems in order to make business easier, faster, better, and to lower costs. Electronic business is common business embedded in an electronic infrastructure (e.g. software systems, networks, security, communication, and messaging). With electronic business becoming more and more important, different world wide efforts are underway to define standards which help to achieve interoperability. Electronic Business XML (ebXML)\footnote{http://www.ebxml.org is the central website for ebXML} is such an open specification (not standard yet) which uses another well known open standard called Extensible Markup Language (XML)\footnote{http://www.w3.org/XML/ is the central website for XML}. 

% purpose
The purpose of this research is to find an algorithm to form an ebXML Collaboration Protocol Agreement (CPA) from two ebXML Collaboration Protocol Profiles (CPP) at three levels. First level is an algorithmic process which parses two CPPs and creates a draft CPA. Different information elements in both CPP are related so the algorithm has to find matching elements. The second level is an automated negotiation system which negotiates over negotiatable elements of a CPA. The third level is a basic human based web-enabled negotiation system to finalise the CPA. Algorithms and negotiations are used in this research.


% objectives
The objective is to provide free tools which allow the creation of a valid CPA from two CPP's. These are algorithms and a negotiation system for an automated negotiation. 

% background

% method
The research methodology is more quantitative than qualitative and also of type ``design and demonstration''. An evaluation of the tools will be done by an expert.

% results
The results will go into the summary in the masters thesis and the source code will be contributed to an open source ebXML project. The intelectual property (IP) will be held by the researcher. 
% conclusion
There does not exist a free ebXML CPA formation tool and this research can provide a CPA formation prototype. The results of this research can be used in further research in real world CPA formation. 
\end{abstract}
\newpage

\tableofcontents
\newpage



%-------------------------------------------------------------------------%
%-- Section								--%
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%\section{Objectives}
\section{Introduction}
% %-------------------------------------------------------------------------%
% %---Report Writing Help---------------------------------------------------%
% %-------------------------------------------------------------------------%
% Objectives: provides clearly defined statement of the objectives of the research
% objective - Ziel
% The researcher questions the process of how to create, derive or negotiate an ebXML Collaboration Protocol Agreement (CPA) from two Collaboration Protocol Profiles (CPPs) or from a CPA template. This process is also called CPA formation.

%Emphasis is on the requirements and the negotiation aspect of this process.

%A prototype implementation shall be evaluated and tested by an ebXML expert or company.
%Electronic business in the 20th century is a paradigm to utilise computer systems in order to make business easier, faster, better, and to lower costs. Electronic business is common business embedded in an electronic infrastructure (e.g. software systems, networks, security, communication, and messaging). Business as such is still the same: to sell services or products it is necessary to find buyers, for buying services or products it is necessary to find providers. A company itself is concerned with adding values to products (buying parts, adding value and selling value-added parts again). Companies today know their internal business processes very well but companies have to know how to electronically interact with their trading partners as well. Collaboration is the keyword which helps companies to look beyond their own boundaries and companies have to engage in collaborative business processes. 
This candidacy report summary states the objectives of this research followed by background information of electronic business and artificial intelligence (software agents and negotiation). After the significance of this research, the research methodology is shown. The ethical issues are presented and information about facilities and resources, data storage and a time line are provided. The summary finishes with a definition of terms and the references.

\section{Objectives of the Research}
The purpose of this research is to analyse, design and implement an informative part of the ebXML specifications called ``Collaboration Protocol Agreement (CPA) formation''. It is important to have a tool to create a valid CPA (automative or partly automative) from two Collaboration Protocol Profiles (CPPs). If there is no CPA there is no agreement between two trading partners to conduct defined electronic business.

\emph{The purpose of this research is to find an algorithm to form an ebXML Collaboration Protocol Agreement at three levels} (see \ref{cpa_formation_process} for three level details).

``CPA formation'' is a way to get a CPA from two CPPs or from a CPA template. Electronic business-to-business is about exchanging electronic information whereas the choreography and structure of the messages are clearly defined in the collaborative business processes. In the electronic age of doing business not only the business processes have to be defined but also technical attributes for the underlying executing software systems such as network, data channels, messaging, transportation and encryption. The question of how to reach this agreement leads to the statement of the research problem as:

\emph{the problem of this research is how to negotiate, calculate or form  a CPA from two CPPs or a CPA template}.

\noindent The aim of the research is to develop a CPA formation tool as proposed in various ebXML specifications \citep{auto_neg_cpa_spec:2002, ebXML_Negotiation_Requirements, cpa_simplenego:2002, ebXML_cpp:2001}.

The concrete outcome of this research will be:

\begin{list}{$\bullet$}{\itemsep=-0.2cm}
% remark: editing would be nice but too much!
%\item A basic, free web-based tool for parsing, viewing concrete XML documents such as CPP, CPA, NDD, and NCPA.
\item A free algorithm for the creation of a draft CPA from two CPPs.
\item A free algorithm for the creation of a further draft CPA from two CPPS and two Negotiation Description Document's (NDDs).
\item A basic, free CPA negotiation system for two software systems to negotiate over a CPA according to a Negotiation CPA (NCPA).
\item A basic, free CPA formation centric web-based negotiation support system for human to human negotiation.
\item Free test cases, based on official ebXML examples.
\item An evaluation report.
\end{list}

% todo remove
%\newpage

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%-- Section								--%
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\section{Background}
The following sections introduce electronic business and artificial intelligence.

%---------------------------------------------------
%------------ ebiz --------------------------------
%---------------------------------------------------
\subsection{Electronic Business}
It was realised early in computer history, that computers and computer systems have to exchange information. It also became obvious, that business documents (eg. request, request confirmation, order, invoice) should also be transferred over computer networks and several initiatives were born. Electronic Data Interchange (EDI) was a global approach to business related document interchange.

The idea of electronic data interchange was stated as ``conducting inter-organisational transaction electronically'' \citep{krcmar:1995}. EDI is computer-to-computer communication based on standard business transactions in a standard form. 

EDI has several normative benefits such as cost reduction and strategic benefits such as improved document handling and document processing. Typical economic transaction costs are, ``searching for a supplier; drafting, negotiating and safeguarding a contract; or adapting to contract misalignments, settling arbitration disputes, and establishing secure commitments'' (Williams (1975, 1985) in \citet{krcmar:1995}). EDI also has strategic benefits such as the know-how from a thorough internal analysis of how the current business processes work. From such an analysis, time consuming, complicated, redundant business processes can be reengineered and optimised or even removed. Once ``optimal'' internal business processes are achieved and in place, then inter organisational projects can be approached. 

%A general problem of messaging based systems, are the messages themselves. Each party has to know exactly what the structure of the message is and more importantly what the elements of the message mean. For example, is the date ``10/12/2002'', the 10th December 2002, or is it the 12th October 2002? A business ontology can help to overcome this problem (see \citet{chandrasekaran:1999} and \citet{noy:2001} for an ontology introduction). The Oasis\footnote{http://www.oasis-open.org} Universal Business Language (UBL) subcommittee is underway to define a common business language called UBL \citep{ubl_marketing:2001}.

High costs such as setup costs, EDI message translation costs, private network subscription and transaction costs, are a serious problem with EDI implementations so only big companies are able to use EDI. Value-added private EDI networks provide the following services: Mailboxing (incoming and outgoing EDI message queues), protocol conversion, standard conversion, implementation assistance, auditing, message tracking, archiving, query status, reporting, billing, security and more \citep{fu:1999}.

% from openxchange website.
%Unfortunately EDI was not affordable for Small to Medium Enterprises (SME) because of their inflexibility to install and maintain.
%

% summary and link
%-----------------
EDI embraced new web technologies such as Hypertext Transfer Protocol (HTTP) and Hypertext Markup Language (HTML) and private networks could be replaced with Internet network connections \citep{fu:1999}.With Web-based EDI the party without an EDI system reads and writes data through a webbrowser and a webserver, which is connected to an EDI system.

With XML EDI the message sent between sending EDI system and receiving EDI system is structured in Extensible Markup Language (XML). XML is used to define expressive data structures and is a world wide web consortium\footnote{http://www.w3.org} standard. The advantage of using XML EDI is to have a broad range of XML parsers available (also as free software). Conversion from EDI message structure to any other message structure can be done with the use of Extensible Stylesheet Language Transformation (XSLT) processors.

%eXtensible Markup Language (XML) in 10 points is a short XML introduction\footnote{taken from http://www.w3.org/XML/1999/XML-in-10-points}:

%\begin{enumerate}
%\item XML is for structuring data\\XML has basically two parts: the definition of a structure and one or many instances of it. First the structure is defined. An address for example has typically one street name, one street address, one country, one zip code, one area code. An instance address which conforms to the structure is created next. XML Schema provides data type definition and inheritance.
%\item XML looks like HTML\\XML also uses tags like HTML. The advantage is, that the tags can be defined. A tag can have attributes. A tag typically has attributes and content and/or sub tags (called child elements).
%\item XML is text, but is not meant to be read\\It is very convenient to have XML human readable. But XML is mainly used as application to application data format. At both ends (application) XML parsers parse the XML document for further processing its content.
%\item XML is verbose by design\\As mentioned above, XML is text based. The XML document can be read. To transfer the XML document (file) it can be compressed to save bandwidth.
%\item XML is a family of technologies\\There are many further technologies in connection with XML. XSLT adds a style-sheet with rules to an XML document. With a XSLT style-sheet XML can be converted to HTML by simple rules. XPointer can point to parts within an XML document. XLink is used to link to other XML documents.
%\item XML is new, but not very new\\XML is a subset of SGML which was developed in the early 1980s. SGML is too complicated for general usage and XML provides a good subset.
%\item XML leads HTML to XHTML\\HTML is a subset of XML or a defined vocabulary with elements like $<p>$ for paragraph. XHTML is XML-based but has more or less the same elements as general HTML.
%\item XML is modular\\An XML element can have multiple child elements. And each child element can have further child elements. When an XML document uses more than one XML definition it might happen, that there are elements with the same name. The solution to name collision is to use a namespace mechanism.
%\item XML is the basis for RDF and the Semantic Web\\The Semantic Web Group wants to add semantic to the content of the web. A browser does not know what an address is. If the browser could understand that the content of the address element is a geographical address the browser/computer could understand the content of web sites. RDF (Resource Description Framework) will address the semantic meaning of web.
%\item XML is license-free, platform-independent and well-supported\\XML is an open standard. Because of its nature to define data structure, it is platform and programming language independent. There are free available parsers in almost any programming language on almost any platform.
%\end{enumerate}


EDI, Web-based EDI and XML EDI are all steps forwards but still the SMEs (Small to Medium Enterprises) could not be part of the community as they should. Different approaches around the world to tackle the significant shortcomings of EDI (high costs, complexity, know-how) occured everywhere.

%ebXML. 

Electronic Business XML (ebXML) stands for electronic business XML and is one such new initiative. ebXML is a joint initiative by the United Nations Centre for Trade Facilitation and Electronic Business (UN/CEFACT)\footnote{http://www.uncefact.org} and the Organisation for the Advancement of Structured Information Standards (OASIS)\footnote{http://www.oasis-open.org}. It is not only an XML vocabulary but a general guideline and framework of how to achieve global electronic business. ebXML concentrates on collaborative business processes, which are inter-organisational business processes \citep{ebXML_architecture:2001}. 

A Collaboration Protocol Profile (CPP) is a companies capabilities whereas the Collaboration Protocol Agreement (CPA) is a final agreement of how to do business between two trading partners \citep{ebXML_cpp:2001}. An ebXML registry/repository is used to store CPPs and allows companies to query for CPPs \citep{ebXML_rss:2001}. Once company A has found a suitable CPP (a capable business partner) a CPA can be formed (please see the technical architecture specification \citep{ebXML_architecture:2001} for an ebXML scenario).

The CPP references the intended Collaborative Business Processes and the roles the company will play in this business process, plus technical aspects such as transportation (e.g. HTTP, HTTP over Secure Socket Layer (SSL), File Transfer Protocol (FTP)), messaging such as Simple Object Access Protocol (SOAP) with attachments and security constraints such as digital signatures, certificates, and non-repudiation. A Collaborative Business Process is defined is modelled using  UN/CEFACT Modelling Methodology (UMM) \citep{umm}, which is based on the Unified Modelling Language (UML\texttrademark) \citep{ebXML_bpss:2001}. In the first place one or many CPP's have to be created for each company with the help of specified worksheets \citep{ebXML_bpawg:2001}. 

In the early days of electronic business, EDI used the concept of a trading partner agreement (TPA). \citet{dan:2001} describe a TPA as
``\ldots contracts that define both the legal terms and conditions and the technical specifications that both partners must implement to put the electronic trading relationship into effect.''. Further the paper notes that ``In business-to-business electronic commerce, there is a need to agree not only on the traditional terms and conditions but also on Information Technology (IT) procedures ranging from communication protocols to business protocols.''.  
%todo put somewhere else
%IBM forgot to mention, that it owns two patents (one patent published yet) on the TPAml and in 2002 surprised everyone with its patent claims. So ebXML is not 100\% free as there are patents involved.
%Even though a low cost licence can be obtained from IBM, it is no longer free!

In ebXML the CPA is not only the technical agreement between the two companies but also the configuration (script) for the Business Service Interface (BSI). A BSI does the ebXML message handling, based on the ebXML Message Service Specification \citep{ebXML_mss:2001} and interacts with the internal business infrastructure/architecture.

This idea of having an executable CPA is very useful considering that a company might have 100 or more different CPA's \citep{sachs:2000}. In this way the company can ``just'' load the new CPA within the BSI system and the BSI system from then on has another CPA installed. Of course the interaction between the BSI and the internal business infrastructure has to be implemented as well (kickstart or update an internal business process).

ebXML does not specify how to get the CPA but provides some useful information. The ebXML technical architecture document \citep{ebXML_architecture:2001} says: ``A CPA is negotiated after the Discovery and Retrieval Phase \ldots An eventual goal of ebXML is to facilitate fully automated CPA generation.''. The Collaboration Protocol Profile and Agreement Specification document \citep{ebXML_cpp:2001} says: ``This specification defines and explains the contents of the CPP and CPA XML documents. Its scope is limited to these definitions.  It does not define how to compose a CPA from two CPPs nor does it define anything related to run-time support for the CPP and CPA.''. Further Appendix F says: ``The detailed procedures for CPA formation are currently left for implementers. Therefore, no normative specification is provided for algorithms for CPA formation.''. A typical normative specification would be a concrete algorithm. Some non-normative information is provided in the ebXML specifications \citep{ebXML_cpp:2001,cpa_simplenego:2002,ebXML_Negotiation_Requirements}.

There are two ways to get a CPA: either from two CPP's or from a CPA template. The later situation will be the case when one trading partner is ``dictating how to do business'' or when it is just easier for the smaller company to ``fill out'' the missing parts of a CPA template. The small company still needs the possibility to run an ebXML BSI and configure it with the CPA. Currently very little research is done in this problem area and this thesis will add some new knowledge.

At this point some background information on negotiation, which is part of the CPA formation is provided. Negotiation is a topic in computer science in the disciplines of Artificial Intelligence (AI) in particular with the sub-disciplines Intelligent Software Agents and Distributed Artificial Intelligence (DAI) with Multi Agent Systems (MAS). 

%---------------------------------------------------
%------------ short intro to AI --------------------
%---------------------------------------------------
\subsection{Artificial Intelligence}

After many years of philosophical and psychological research into the area of intelligence, with the invention of the computer, a new research area was born in 1956, called Artificial Intelligence (AI) \citep{weiss:2000}. The driving philosophical research question was how man sees, learns, remembers and reasons. Computer scientists started to explore these questions with the aid of computing power. 

\citet{weiss:2000} lists four main categories of AI: systems that think like humans, systems that act like humans, systems that think rationally, and systems that act rationally. The category ``systems that think like humans'' has several disciplines including natural language processing, knowledge representation, automated reasoning, machine learning, computer vision and robotics. The key processes of AI are problem solving, planning, decision making and learning \citep{weiss:2000}.

Distributed Artificial Intelligence (DAI) is a sub branch of AI and is split among multi-agent systems and distributed problem solving systems. Distributed problem solving systems decompose a task and then synthesis a solution. % is that right?

Some AI research was applied in the business world; business expert system and decision support systems. According to \citet{holsapple:1987}, a business expert systems has two cornerstones: the ability to understand natural language and the ability to reason. 

% summary and link
%-----------------

\citet{bradshaw:1997a} gives a very good introduction to intelligent software agents, one of the disciplines of artificial intelligence researchers. There are many views on software agents. Some attributes of the agents are: interaction and communication, decomposition and distribution of tasks, co-ordination and co-operation as well as conflict resolution via negotiation. Reactivity, autonomy, collaborative behaviour, communication ability, inferential capability, temporal continuity, personality, adaption and mobility are attributes an agent can have. Furthermore agents can be defined by intelligence, mobility and agency. Software agents are useful for simplifying the complexities of distributed computing \citep{jennings:1999}. 
%
Another common definition of software agent is that ``an agent is a pro-active software component that interacts with its environment and other agents'' \citep{griss:2001}. 
% single agent
% multi agent systems

An attribute of an agent system is whether the agents are cooperative or non-cooperative (also called competitive). Cooperative agents are software agents working together in order to achieve a common higher goal \citep{beam:1996}. A cooperative agent is non-selfish whereas a competitive agent is self-interested. Non-cooperative or competitive agents have different goals. If two competing agents have negotiation capabilities, it is possible that they achieve an agreement. 
One of the  main questions within Intelligent software agents research is ``When and how should agents interact - cooperate and compete - to successfully meet their design objectives'' \citep{weiss:2000}.

A multi-agent system (MAS) is a software system where multiple agents interact with each other and is researched for over two decades \citep{lomuscio:2001}.

% summary and link
%-----------------
Even in ebXML literature software agent are mentioned to be eventually the actors in a CPA negotiation. 
% todo: cite that.

\subsubsection{Negotiation}
``Leo Baekeland sold the rights to his invention, Velox photographic printing paper, to Eastman Kodak in 1899. It was the first commercially successful photographic paper and he sold it to Eastman Kodak for \$ 1 million. Baekeland had planned to ask \$50'000 and to go down to \$25'000 if necessary, but fortunately for him, Eastman spoke first'' (Asimov, 1982 in \citet{beam97automated}).

%-----------------------------------------------------
%Definitions of negotiation:
\citet{beam97automated} define negotiation in electronic commerce as ``the process by which two or more parties multilaterally bargain resources for mutual intended gain, using the tools and techniques of electronic commerce''. Oliver in \citet{beam:1996} uses the following definition: ``negotiators jointly searching a multi-dimensional space and then agreeing to a single point in space''. \citet{lomuscio:2001} use the following definition: ``Negotiation is the process by which group of agents communicate with one another and to try to come to a mutually acceptable agreement on some matter''. \citet{kersten:2001} say: ``The complexity of negotiation processes and the difficulty that they pose to participants are behind many efforts in constructing analytical models and negotiation support systems''. % The e-negotiation project \footnote{http://enegotiations.wu--wien.ac.at/classifications.html} presents the London classification of various negotiations. This classification helps to analyse many different aspects of negotiation such as people, goods, process and evaluation criteria.

It is important to mention, that in a negotiation it shall always be possible to not get an agreement. Real negotiation about anything and everything is called bargaining. Offers and counter-offers are typically bargaining negotiations. When looking at negotiations we see that there is the negotiation process and the negotiation strategy. \citet{lomuscio:2001} say about negotiation strategies: ``Negotiation strategies and their corresponding properties depend heavily on the specific characteristics of the scenarios under consideration'' and call variables of the negotiation itself the negotiation space. This quote leads to the assumption, that a generic negotiation implementation is complex.

% summary and link
%-----------------
Auctions are seen as a subset of negotiations where process efficiency, ease of use, reach and the ability to have auctions in parallel with a very large number of bidders are important features \citet{kersten:2001}. The problem with auctions is the fixation on the price, which is the main target of this kind of negotiation. Most often the goods auctioned are well-defined objects like a car, a house, or a chair.


% nss
%----

\citet{kersten:2001} define a Negotiation Support Systems (NSS) as: ``NSS are designed to help and advise negotiators; they are used to structure and analyse the problem, elicit preferences and use them to construct a utility function, determine feasible and efficient alternatives, visualise different aspects of the problem and the process, and facilitate communication.'' 

There are process driven NSS and solution driven NSS. 
% todo
%( proper referencing missing )
%\cite{someone}
Process driven NSS provide the infrastructure to guide the participants through the negotiation process. 
A solution driven NSS is concerned with the outcome of the negotiation itself, and provides the tools for the parties to make offers and evaluate offers (counter-offers).

% summary and link
%-----------------
The more the NSS is tailored to a specific negotiation (CPA negotiation in this case) the more support  the system can provide for the negotiators. Of course negotiators' personal charm and negotiation skills have less influence during an electronic negotiation. If software agents are actors of a NSS, they need intelligence to pursuit a negotiation strategy. 

Negotiation can be seen as a game and game theory is the study of how rational people make their decisions. Game Theory results from studies in schools of economics. Osborne and Rubinstein (1994) in \citet{bui:1998} describe game theory as:
%from Osborne, M.J. and Rubinstein, A. (1994); A course in Game Theory. MIT
%Press, Cambridge, MA
``Game theory is a bag of analytical tools designed to help us understand the phenomena that we observe when decision-makers interact. The basic assumptions that underlie the theory are that decision-makers pursue well-defined exogenous objectives (they are rational) and take into account their knowledge or expectations of other decision-makers' behaviour (they reason strategically)''. A typical competitive game is called prisoners' dilemma (see \citet{bui:1998} for a short overview of game theory). In non-cooperative (competitive) games there are no pre-game agreements allowed, as opposed to cooperative game theory where players can build coalitions in the pre-game phase, in order to increase their chances to reach their goals \citep{beam:1996}.

%Nash equilibrium is when the combination of all actions by the players (of a game) is such that there would not be a better combination for any player. The equilibrium must be found in order to know what the equilibrium is. For more common games there exists multiple equilibria, so to choose one of the set is problematic \citep{bui:1998}. 
%A zero-sum game is a strictly-competitive game thats when the players have opposite goals (buy low, sell high, maybe??).

%J. F. Nash published ``Equilibrium points in N-person games'' in 1950 in the proceedings of the National Academy of Sciences of the United States of America, volume 36, page 48--49.

% summary and link
%-----------------
Negotitation, negotiation support systems and mathematical calculations based on game theory can be applied to the CPA formation problem.
%There is a certain degree of negotiation necessary to come to an agreement (CPA in this instance)
%To apply game theory to a CPA formation negotiation problem, the NSS could provide such mathematical calculation interfaces for all participating agents.
%\newpage

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\section{Significance}
% %-------------------------------------------------------------------------%
% %---Report Writing Help---------------------------------------------------%
% %-------------------------------------------------------------------------%
% describe the significance of the proposed research program
% significance - Stellenwert, Bedeutung
One goal of the ebXML project is to enable SME's to do electronic business and to participate in a global electronic market. With free and open source software such as the ebXML Registry/Repository and tools from the openebxml project, this goal can be reached. \emph{A free CPA formation system is not available yet and this research can lead to it}. This research has the potential to apply academic knowledge (computer science knowledge) to a current, real world, global and business dominated problem space. The outcome of this research can become a reference CPA formation implementation for an ebXML project or provide guidelines for further implementations.

%-------------------------------------------------------------------------%
%-- Section								--%
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\section{Research Methodology}
% %-------------------------------------------------------------------------%
% %---Report Writing Help---------------------------------------------------%
% %-------------------------------------------------------------------------%
% include the sample selection; instrumentation; data collection; data analysis
% reference to any hazardous procedures or highly toxic chemicals

The research methodology is more quantitative than qualitative \citep{leedy:2001}. The official ebXML specifications are the strict guidelines for this research and the findings will be a collection of software tools including algorithms and a negotiation system. The official ebXML example data (CPPs) will be the core input data. A comparison between the official ebXML output example (example CPA) and the output of this research will go into the summary in the thesis.

The research is also of type ``design and demonstration'' research methodology \citep{mauch:1993}. The research will construct and describe a new operational software system. A formative evaluation of the usefulness of the outcome will be conducted by a qualified person or company. The concrete evaluation procedure and test cases are not defined yet.

%This person or company has to be named. As input the example files provided by ebxml.org shall be used.

%\subsection{Research Development}

%The next phase is the realisation, implementation phase which follows general software engineering rules including requirements analysis, software analysis, design, implementation, and evaluation. The research will be published in the masters by research thesis. 


\subsection{Research Implementation}
\label{cpa_formation_process}
The CPA formation process can be divided into three levels. The level number indicates the time flow (level two follows level one). The first level is the automatic, algorithmic creation of a draft (initial) CPA. The second level is a partial automated negotiation and the third level, if necessary, is a human guided negotiation for a final CPA. The final CPA shall be a valid and conforming XML document. The algorithm and negotiation follows the non-normative information in the Negotiation Requirements document \citep{ebXML_Negotiation_Requirements}, the ebXML Collaboration Protocol Agreement Simple Negotiation Business Process Model document \citep{cpa_simplenego:2002}, and the  Description of the Negotiation Descriptor Document \citep{ndd:03182002}.

The CPA formation process in three levels:

\begin{list}{$\bullet$}{\itemsep=-0.2cm}
\item First level. The problem for the first level is to find an \emph{algorithm} which has four input files, $CPP_1$ (CPP from partner 1), $NDD_1$ (NDD from partner 1), $CPP_2$ (CPP from partner 2) and $NDD_2$ and two output files: a draft CPA and a log file. The algorithm has to consider all four files. In the first run the algorithm will just consider $CPP_1$ and $CPP_2$ and check the following CPP specific elements and element relations: 1) business collaboration process reference and corresponding role elements, 2) bindings, 3) transportation, 4) packing, 5) security, 6) signals and 7) protocol patterns. In the second run the algorithm will further take the NDDs into account, besides the CPPs, and will try to match values from the NDDs and CPPS for which no negotiation is necessary. Visualisation of problem areas in the draft CPA will be made available in the form of a log file. The algorithm will detect problem areas and mark them as such, but will pass over the problem area and continue to finish the job.
% question: who does kickstart level one? service or both sides? both sides: problem one company mart algorithm, other company lame algorithm. smart algorithm company does not want to have lame algorithm draft CPA and vice versa.
\item Second level. Two services will  be running, one at each side of the two negotiators, or one service handling both sides. The services need access to $CPP_1$, $CPP_2$, $NDD_1$, $NDD_2$ and level-1-CPA. According to the bootstrap negotiation process (boot-NCPA) the later negotiation process will be negotiated (real-NCPA) first. Both services then need access to the real-NCPA. A general algorithm has to be implemented, which parses the boot NCPA and a simple NCPA, and acts accordingly. Offers and counter-offers (updated draft CPA or differences) will be  exchanged. The service which does the negotiation will have to implement a negotiation strategy. After some time the negotiation will be either successful, not successful or partly successful. The artefact (latest CPA, including problem areas log file), are input for level three of the CPA formation process.
\item Third level. The final CPA negotiation including real negotiator persons can be guided by a web-based negotiation support system to finalise the negotiation and hence the CPA formation process. The outcome can be successful, partly successful, or not successful at all. During the third level the level-2-CPA will consequently be updated to a level-3-CPA. The outcome ideally will be a successful final CPA.
\end{list}

%Figure \ref{level_of_cpa_formation} shows the three levels of the CPA formation.

%\begin{figure}[!hbp]
%\centering
%\includegraphics[width=5.5in]{dia_diagrams/cpa_formation_overview}
%\caption[Three levels of CPA formation]{Three levels of CPA formation}
%\label{level_of_cpa_formation}
%\end{figure}

%The CPA from a CPA template case can be adopted from levels of the previous case.

%First level: The side without a CPP fills out the template CPA
%Second level: Same as previous case
%Third level: Same as previous case.

%question: messaging (back and forth)..........ebxml style with encryption, channel etc ......... pewwwwwww.
%question: strategy implementation in level 2
%question: boot-NCPA messaging .... ebxml style???
%question: real-NCPA with all technical problems!
%question: Basically how to the two systems communicate?
% !!!!!!!!!!!! in case it is the ebXML way then I do need an ebXML messaging service up and running for message exchanges.


%\begin{list}{$\bullet$}{\itemsep=-0.2cm}
%\item 1. stage: Basic tools
%\item 2. stage: CPA draft formation tool
%\item 3. stage: negotiation over elements defined in NDD.
%\end{list}

%Problem 1: lots of related XML elements, atributes, lots of if then else.

%Problem 2: CPA specific negotiation, what kind of neg. system, neg. has to be configurable with a NCPA.

\subsection{Limitations}
% ``A limitation is a factor that may or will affect the study in an important way, but is not under control of the researcher.'' (from Mauch and Birch)
\begin{list}{$\bullet$}{\itemsep=-0.2cm}
\item There is no complete free ebXML reference implementation available at the time of writing. The research focuses on the CPA formation only.
\item There is no free web based negotiation support system available for reuse at the time of writing. The researcher might implement a rudimentary web based negotiation support system to support negotiation for the CPA formation process only. This implementation might not be sufficient to be called a valid web based negotiation support system as proposed in negotiation literature.
\end{list}

\subsection{Delimitations}
% A delimitation is a a factor that may or will affect the study in an important way and is controlled by the researcher (from Mauch, Birch)
\begin{list}{$\bullet$}{\itemsep=-0.2cm}
%\item Level three (human-based negotiation) from the three levels of the CPA formation process will be very basic. As human-based negotiation can be done in person without any computer or negotiation supported system aid.
\item No fully automated negotiation will result.
\item The strategy itself of a negotiation system is of less importance to the negotiator. A basic, simple strategy implementation is sufficient.
\item For level 3 negotiation (human to human) a system shall provide basic web-based communication possibilities for the negotiators. There is always the way for the negotiators to negotiate in real world.
%\item The system will be developed and tested on GNU/Linux only. Portability is of no concern at this stage.
\end{list}

%-------------------------------------------------------------------------%
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\section{Ethical Issues}
% %-------------------------------------------------------------------------%
% %---Report Writing Help---------------------------------------------------%
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% provide a clear statement that demonstrates consideration of all ethical issues
% which may arise and the manner in which they will be addressed. Where research 
% involves human participants, applicants should refer to the NHMRC National Statement
% on Ethical Conductin in Research Involving Humans, available at
% http://www.health.gov.au/nhmrc/publications/synopses/e35syn.htm
During research no ethical issues are present. For evaluation purposes an ebXML expert (private or company) shall test the software system. The exact evaluation procedure will be defined later during the research and shall be approved by the appropriate Curtin University Ethical Committee.

%Basically the evaluation should rate the tool with a value between 0 and 10 (0 not usable at all, 10 very usable).

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\section{Facilities and Resources}
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% provide details of the facilities and resources required to complete the
% research. Refer to the ``Guidelines for Essential Facilities for Higher
% Degree by Research Students'' at
% http://www.curtin.edu.au/corporate/research/graduate/forms.html

The researcher provides a working computer. The school has to provide Internet access and a study desk. At this stage no additional software is necessary. The researcher shall only use free and open source software including the programming language, development environment, documentation tools, operating system, system tools, web server, dynamic web pages and more.  
%ebXML specific code and documentation shall be released under either the GNU Public Licence or the GNU Document Licence, be donated to the projects openebXML, ebXML Registry/Repository or any new projects.

%If there is a need for specific commercial software (for example a Negotiating Support System) the researcher should ideally write the specific software and release it as free software but practically, if there is a chance to use the commercial software for research purpose, the researcher shall write an abstraction layer for the commercial software.

%\subsection{}
%With businessman Tim McGrath, an early electronic business pioneer as co-supervisor, this research has the necessary real world knowledge.  Tim McGrath was Chair leader of the ebXML Quality Assurance Committee. Currently he is still active with the Oasis organisation and Chair leader of the Universal Business Language (UBL) Library Content technical subcommittee\footnote{http://oasis-open.org/committees/ubl/lcsc/}. He is also co-author of the book \emph{Professional ebxml Foundations} \citep{chappell:2001}.

%The researcher visited the openebxml laboratory in January 2002 in Sweden and met the core team. The student is in regular contact with the openebXML project leader and is the administrator of the developer Internet Relay Chat (IRC) channel called \#openebxml at the IRC network irc.openprojects.org. The student is also the ebXML editor of the human edited directory called dmoz\footnote{http://www.dmoz.org}. The student attended the ``Australian ebXML registry/repository'' workshop in Sydney, 26th August 2002, organised by Standards Australia and National Office for the Information Economy (NOIE).



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\section{Data Storage}
% %-------------------------------------------------------------------------%
% %---Report Writing Help---------------------------------------------------%
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% provide details that confirm data storage provisions meet the guidelines under
% Section 2 of the Joint NHMRC/AVCC Statement and Guidelines on Research Practice
% on ``Data Storage and Retention'', available at the AVCC website:
% http://www.health.gov.au/nhmrc/research/general/nhmrcavc.htm
% Details should include a description of the data to be stored, the duration,
% location and security arrangements of stored data, and the persons who have
% access to the data. Note that the guidelines recommend data be stored for a
% minimum period of at least 5 years from the date of publication. Wherever
% possible, original data must be retained in the department or research unit
% in which they were generated.
A full backup of all data to a CDROM has to be done every month. If the researcher uses any confidential information it shall be encrypted. All non-confidential data shall be publicly available at all times at http://www.schlegel.li/ebXML. 

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%-- Section								--%
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\section{Time Line}
% %-------------------------------------------------------------------------%
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% %-------------------------------------------------------------------------%
% include the period from the beginning of the research to submission of the
% thesis
%The research started in July 2002 and will take between one year and two years. The researcher aims to finish by the end of 2003.
The research started in July 2002 and will take approximately 14 months. The research time is split into 3 months for candidacy report followed by 1 month for tool requirements analysis, 2 months of tool analysis and design, 5 months of implementation and 3 months for thesis writing. %between one year and two years. The researcher aims to finish by the end of 2003.

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\newpage

% \section{References}

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% ensure method of referencing is consistent


%\newpage

%-------------------------------------------------------------------------%
%-- CURTIN University related						--%
%-------------------------------------------------------------------------%
%\section{Curtin Thesis Policies}
%\subsection{Intellectual Property Issues} is in the CR form

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%-- APPENDIX								--%
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\begin{appendix}

\section{APPENDIX Definition of Terms}

\begin{description}
\item[XML (Extensible Markup Language)] A markup language to structure data, XML is human readable but intended for computer systems to process. XML tags are elements which make up the structure. Interoperability is not achieved with an XML tag soup. XML vocabularies for specific needs is necessary and computer systems in this area have to embrace the XML specific vocabulary.
\item[ebXML (Electronic Business XML)] ebXML is more than a vocabulary, it is a framework for electronic business. Messages used in electronic business, such as invoice, order are defined in XML. 
\item[CPP (Collaboration Protocol Profile)] A company's capabilities are the collaborative business process (terms and condition) and technical settings such as encryption, network transfer protocol, network messaging protocol.
\item[CPA (Collaboration Protocol Agreement)] An agreement between two companies and includes the terms and condition plus technical specifications.
\item[NCPA (Negotiation Collaboration Protocol Agreement)] A NCPA is a general CPA between two trading partners. The business collaboration, which this NCPA references is a negotiation business process. A negotiation business process is the definition of how to negotiate, generally speaking, how to offer and counter offer. 
\item[CPA formation] The process to get a CPA from two CPPs or a CPA template.
\item[NDD (Negotiation Description Document)] A NDD references one or more CPPs. The NDD lists elements from the CPPs which are negotiatable. Further it includes possible values for negotiatable elements. The NDD also has to take care of relations between elements in the CPP (if X then Y for example).
\end{description}

%ebXML\\
%CPP\\
%CPA\\
%TPA\\
%NDD\\
%NCPA\\
%XML\\
%HTML\\
%HTTP\\
%BSI\\
%many more\\
\end{appendix}

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