collaborative business and data privacy: toward a cyber-control?

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Collaborative business and data privacy: Toward a cyber-control? Fre ´de ´rique Biennier * , Joe ¨l Favrel PRISMa, INSA de Lyon, France Received 1 February 2004; received in revised form 18 November 2004; accepted 31 January 2005 Abstract The pervasive use of communication and information technologies can be seen as a driving force to develop distributed organisations. As far as collaborative business is concerned, short-term e-collaboration can be developed. In this case, security policies must be integrated in the common business process (BP) organisation so that trusted co-operation can be established. For this purpose we propose to couple a generic authorisation workflow to the business process own workflow and to report all the actions on the shared information systems. Nevertheless, reporting tools can be seen as threats on data privacy. We propose here a multi-level architecture to provide both a sufficient security level and a personal data privacy protection. # 2005 Elsevier B.V. All rights reserved. Keywords: Virtual enterprise; Security; Data privacy; Process models 1. Context Recent changes in the market have led enterprises to overcome their own borders so that economical partners are considered as members of a same organisation: it leads to organisations as virtual enterprise, extended enterprise or to the expansion of alliance based strategies. Moreover, the pervasive use of information and communication technologies can also be a driving force to support organisational mutations inside the enterprise: by bringing the right information at the right time to different actors, distributed decision systems can be set [25]. Such distributed organisations are based on responsibil- ities and competencies management so that actors are rather autonomous for the tasks they are responsible for. To support such organisations, dedicated inter- enterprise business process (BP) can be set [9], paying a particular attention on public/private processes inter- connection [8]. In order to provide more flexible information systems (IS) interconnection, open archi- tectures based on web technologies as Webflow [18] or on web services [29] can be used. These component based approaches fit well flexibility and reactivity requirements involved by the C-business. Nevertheless, www.elsevier.com/locate/compind Computers in Industry 56 (2005) 361–370 Abbreviations: BP, business process; eb-XML, electronic busi- ness extended markup language; EDI, electronic data interchange; IP, internet protocol; IS, information system; ISSO, information system security officer; OCTAVE, operationnally critical threats asset and vulnerability evaluation; PKI, public key infrastructure; QoS, quality of service; SDL, system description language; SRA, structured risk analysis; UML, unified modelling language; VE, virtual enterprise; XML, extended markup language * Corresponding author. E-mail address: [email protected] (F. Biennier). 0166-3615/$ – see front matter # 2005 Elsevier B.V. All rights reserved. doi:10.1016/j.compind.2005.01.004

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Page 1: Collaborative business and data privacy: Toward a cyber-control?

www.elsevier.com/locate/compind

Computers in Industry 56 (2005) 361–370

Collaborative business and data privacy: Toward a cyber-control?

Frederique Biennier *, Joel Favrel

PRISMa, INSA de Lyon, France

Received 1 February 2004; received in revised form 18 November 2004; accepted 31 January 2005

Abstract

The pervasive use of communication and information technologies can be seen as a driving force to develop distributed

organisations. As far as collaborative business is concerned, short-term e-collaboration can be developed. In this case, security

policies must be integrated in the common business process (BP) organisation so that trusted co-operation can be established.

For this purpose we propose to couple a generic authorisation workflow to the business process own workflow and to report all

the actions on the shared information systems. Nevertheless, reporting tools can be seen as threats on data privacy. We propose

here a multi-level architecture to provide both a sufficient security level and a personal data privacy protection.

# 2005 Elsevier B.V. All rights reserved.

Keywords: Virtual enterprise; Security; Data privacy; Process models

1. Context

Recent changes in the market have led enterprises

to overcome their own borders so that economical

partners are considered as members of a same

organisation: it leads to organisations as virtual

enterprise, extended enterprise or to the expansion of

alliance based strategies. Moreover, the pervasive

Abbreviations: BP, business process; eb-XML, electronic busi-

ness extended markup language; EDI, electronic data interchange;

IP, internet protocol; IS, information system; ISSO, information

system security officer; OCTAVE, operationnally critical threats

asset and vulnerability evaluation; PKI, public key infrastructure;

QoS, quality of service; SDL, system description language; SRA,

structured risk analysis; UML, unified modelling language; VE,

virtual enterprise; XML, extended markup language

* Corresponding author.

E-mail address: [email protected] (F. Biennier).

0166-3615/$ – see front matter # 2005 Elsevier B.V. All rights reserved

doi:10.1016/j.compind.2005.01.004

use of information and communication technologies

can also be a driving force to support organisational

mutations inside the enterprise: by bringing the right

information at the right time to different actors,

distributed decision systems can be set [25]. Such

distributed organisations are based on responsibil-

ities and competencies management so that actors

are rather autonomous for the tasks they are

responsible for.

To support such organisations, dedicated inter-

enterprise business process (BP) can be set [9], paying a

particular attention on public/private processes inter-

connection [8]. In order to provide more flexible

information systems (IS) interconnection, open archi-

tectures based on web technologies as Webflow [18] or

on web services [29] can be used. These component

based approaches fit well flexibility and reactivity

requirements involved by the C-business. Nevertheless,

.

Page 2: Collaborative business and data privacy: Toward a cyber-control?

F. Biennier, J. Favrel / Computers in Industry 56 (2005) 361–370362

both of them open the enterprise information system

and business process so that the IS security policy (i.e.

information access right, communication security, etc.)

must be taken into account [16]. For this purpose,

different standards and methods can be used to define a

convenient security policy (Section 2.1). As far as the

security policy implementation is concerned, different

security models can be used [15] so that IS (and

business process) consistency can be provided. Never-

theless, these necessary security features (authentica-

tion systems, message filters, etc.) provide also

consistent activity reports (workflow log files or

network reporting systems, etc.) that can be analysed

to rebuild the business processes execution [26]. As this

reporting activity is made on the value added process

itself and may lead to data privacy problems [31]

(Section 2.2).

As far as a virtual enterprise is concerned,

collaborative practices involve that the different

partners have to share parts of their own information

system. In this case,defining consistent security policies

rely mostly on access control systems. For this purpose,

we propose to couple a generic authorisation workflow

to business process specification (Section 3.1). Never-

theless, such a security policy implementation makes an

heavy use of reporting systems integrating large amount

of personal data. To solve both these security and data

privacy problems, we propose a multi-level architecture

used to separate the user authentication process from the

workflow reporting system. Thanks to a Kerberos like

architecture [28], reporting data cross-analysis can be

reduced so that data privacy requirements can be taken

into account (Section 3.2).

2. Security policy: protection versus cyber-control

As the information system consists in both tangible

(servers, physical devices, PC, etc.) and intangible (the

information system content, processes) parts of the

enterprise patrimony, different protection features

must be set: ‘‘Physical’’ protections are set for

physical equipment whereas ‘‘security services’’ have

to be defined to protect the intangible part:

� I

nformation confidentiality, i.e. the access must be

restricted to only authorised users (for both internal

and external actors).

� I

nformation integrity, i.e. information content

protection against malicious changes.

� I

nformation system availability.

Implementing a convenient protection involves first

to take into account the specific needs of a company,

then to define and to implement a consistent security

policy and lastly to continuously evaluate the current

security level. For this purpose, methods and stan-

dardised security evaluation criteria are proposed (-

Section 2.1). Nevertheless, to reach a convenient

protection level, additional security services as access

controls, authentication services (used to identify ‘‘-

surely’’ users) and non-repudiation services must be

introduced. Making an intensive use of user identi-

fication and reporting systems, these protection me-

chanisms can also be seen as threats on data privacy.

Consequently, a particular attention must be paid on

data privacy management while the security policy is

defined (Section 2.2).

2.1. Building a security policy: standards and

methods

Adding security features to fit the security

requirements involves the addition of particular

components (hardware and software). To define a

proper security organisation, the additional costs

involved by the infrastructure must be compared to the

non-security costs computed according to the risk

level, depending on vulnerability and threats.

Technically, the security policy involves two major

stakes:

� C

ommunication network security: This point deals

both with the Intranet security (access reduced to

authorised persons) and with the public commu-

nication network.

� I

nformation system security: Basically information

integrity, confidentiality and access control [24].

Building a security policy is often reduced to the

implementation of a ‘‘secure infrastructure’’ [22]. This

reduced point of view provides only a technical an-

swer to the technical identified threats and technical

vulnerabilities (Table 1). Nevertheless, organisational

vulnerability must also be taken into account. Acco-

rding to this more global point of view, the stress is put

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F. Biennier, J. Favrel / Computers in Industry 56 (2005) 361–370 363

Table 1

Technical answers to security troubles

Risk Mitigation Security services concerned

Unauthorised access Firewall filtering. Access control systems Confidentiality

Application level attack H-IDS probe on public servers. Access control systems Integrity, availability

Virus or Trojan horse attack Desktops anti-virus Integrity, availability

Password attack Reduced set of available services. IDS used to identify the threat Confidentiality, integrity, availability

Denial of service Firewall TCP configuration Availability

Address spoofing Local firewall address filtering (RFC 2827 and 1918) Confidentiality, integrity, availability

Packet sniffer Host-IDS Confidentiality

Network scan Host-IDS and protocol filtering Confidentiality, integrity, availability

Trust relation exploitation Private VLAN and restrictive trust model Confidentiality, integrity, availability

Port redirection Port filtering and host-IDS Confidentiality, integrity, availability

on the information system to be secured instead of on

the infrastructure to secure. Moreover, as enterprises

information systems are more or less interconnected

thanks to EDI, e-business tools, etc. the security policy

must include a global certification process: by this

way, global safe systems can be built. For this purpose

methods and standards have been defined since the

1980s, which aim at internationally recognised levels

of certification. Some of these standards are defined at

a national level (for example, TCSEC, Federal Crit-

eria, Canadian Criteria or BS 7799) whereas interna-

tional boards are involved in others (ITSEC, Common

Criteria, ISO 17799) (Fig. 1). The ISO standard de-

veloped recently (December 2000) [20] is quite dif-

ferent from the previous ones [11,12]. Risk oriented

instead of computer of information systems centred,

this standard consists in a generic method used to

define, implement and manage a consistent security

policy based on risk assessment.

Despite of its risk orientation, the ISO method lacks

of a systematic analysis of threats and vulnerabilities.

For this purpose, other methods must be used as the

operationally critical threats asset and vulnerability

evaluation method (OCTAVE), which provides a

Fig. 1. Standards chronology.

cross-analysis of the organisational point of view and

the technological solutions [2]. This method aims to

optimise security features use thanks to a three steps

process: threats identification, risks analysis and

actions scheduling. For this purpose, the OCTAVE

method provides a hierarchical description to guide

the vulnerability analysis [3] as well as an impact

evaluation according to six criteria (reputation,

financial, productivity, fines or legal penalties, safety

and other criteria). By this way, technological

‘‘actions’’ to reduce the risks consequences can be

proposed. Moreover, this risk analysis can be

combined with other methods as the structured risk

analysis (SRA) method used to compute more

precisely the non-security costs according to both

damage importance and attack probability [27].

Once defined, the global security policy has to be

integrated into the BP models. For this purpose, the

modelling approach should provide particular seman-

tics to describe security components, i.e. tag the

information security level (black/grey/white), define

secure channel, specify security protocols and key

generation systems, etc. as proposed in the UML Sec

extension, for example [21]. Moreover, reengineering

secured BP involves to integrate information protection

while processes are build. For this purpose, role-based

access controls can be set. Coupled to the enterprise

workflow specification and user authentication system

[23], such authorisation models needs to relate the

global security policy to role-based access control

rules [24]. Then, automated agents associated to user

can be introduced to secure workflow systems [19].

Apart from an access control point of view, BP

specification consistency must also be taken into

account. For this purpose, each BP can be split among

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F. Biennier, J. Favrel / Computers in Industry 56 (2005) 361–370364

an ordered set of business transaction defined as a

‘‘contract’’ between two or more parties describing

business activities involved and security requirements.

Due to the multiplicity of BP, actors and security

constraints, formal specifications must be used to

check each transaction, atomic and non-atomic

activities consistency [1].

As far as virtual enterprises (VEs) are concerned,

trust based organisation favoured the emergence of a

consistent incrementally built secured organisation

[4]. In such virtual enterprises, different partners may

share sensitive information. Consequently, each

business process must be analysed to define public

and private parts leading to multi-level workflow

description used in a white/black boxes logic [8].

Moreover, a particular attention has to be paid on

reporting abilities to provide non-repudiation features

as well as a-posteriori access controls. In this case,

user identification must be certified and this can lead to

personal data storage and process so that data privacy

constraints must be taken into account while inter-

enterprises business processes are defined.

2.2. Data privacy: threats and protection

Personal data can be defined as a set of data related

to an identified person. At work with dedicated

software, while using internet browsers, etc. lots of

well identified information can be registered:

� A

uthenticated messages with a digital signature

using a public key infrastructure (PKI) can be

collected and related to interchange contracts so

that workflow based processes can be partly rebuilt

by other enterprise partners.

� I

dentification information (login, IP address, com-

puter name, etc.) are exchanged while browsing the

web. Moreover, cookies can be used to report the

activity on a particular server.

� P

roxy servers used to improve both the system

security and the communication quality of service

(QoS) register all the web pages visited.

� D

ata access control systems can report both

identification information and copies of the file

modification.

All these ‘‘cyber-control’’ processes are designed

to protect the information system against intrusions

(filtering on names or IP addresses, for example), to

provide a global safety towards system breakdown or

misused (for that purpose log files report and files

saving processes can be coupled to rebuild parts of

interrupted processes for example), to implement c-

ontrols on dematerialised processes (authentication

and non-repudiation processes). Moreover, some end-

users practices (as sharing a common mail account)

may also involve data privacy violation: by this way, a

process can ‘‘go on’’ even when one actor is not pr-

esent, but correspondence privacy (i.e. email protec-

tion) is not provided.

Data privacy protection must be taken into account

both for the data collection (users must be aware of the

personal information collected), the personal data

processing (internally and externally). Moreover,

particular security features must be set to provide a

sufficient safety and security level on these personal

data.

To provide an acceptable data privacy protection,

different strategies are set by different countries:

whereas a market self-regulation is promoted in the

US [17], legal protection is used in EEC [13] both for a

private use and a ‘‘professional’’ use [14] of

information and communication technologies. As

the privacy protection must be understood world

wide, particular agreements must be set by the foreign

sites in order to exchange personal data as the safe

harbour principle [32].

Despite of these ‘‘legal’’ differences, common

‘‘fair’’ practices are defined:

� T

ransparency: Users must be aware of the personal

data collection and processing.

� N

ecessity: The cyber-control must be used as a

complement of other security tools.

� E

quity: The goal of the personal data processing

must be recognised.

� P

roportionality: The cyber-control level must fit the

risks.

Consequently, cross-processes on personal data

must be limited and involve particular agreements

from the different countries regulation institutions.

As far as virtual enterprises are concerned, legal

and contractual requirements (each transaction must

be authenticated and registered) involve an heavy use

of inter-enterprise authentication and non-repudiation

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F. Biennier, J. Favrel / Computers in Industry 56 (2005) 361–370 365

services. To fit the data privacy fair practices as well as

the different enterprises security policy, common

business processes and agreement services must be

defined.

3. Security policy organisation in virtual

enterprises

The inter-enterprise business process engineering

specification has to satisfy opposite goals: respecting

each enterprise autonomy and patrimony while

building a consistent super-enterprise organisation

which involves a common information system and

well defined processes, able to support efficiently both

formal and informal collaboration.

Specifying an organisation involves to take into

account how its actors are organised, the role they take

in the common goal achievement as well as the way

they dynamically adapt the existing structure [30].

Depending on the autonomy let to the different actors,

two main descriptions can be set: tasks precise

specifications can be used for well formalised

processes whereas information flows and information

access rights are sufficient for less formalised or non-

formalised exploratory processes.

To define both the virtual enterprise and each partner

own security policies, we put the stress on the way

information is shared and acceded. This approach

involves first to define precisely consistent inter-

enterprise authorisation processes and then to integrate

them in the different business processes specification

(Section 3.1). Lastly, data privacy constraints must be

taken into account to implement a convenient

authentication system. For this purpose, a multi-level

architecture is proposed, separating the user identifica-

tion from the BP reporting system (Section 3.2). By this

way the privacy fair practices can be implemented.

3.1. Integration of security policy in inter-enterprise

BP model

Traditional security policy oriented methods focus

on a stand-alone security policy definition. As far as

the virtual enterprise is concerned, these approaches

have to be adapted to integrate the partnership

environment into account. We propose here a

complementary strategy to organise the VE business

process. Based on the VE security policy definition,

this approach puts the stress on the information access

control system and aim at preserving each enterprise

autonomy and information patrimony to support both

formal and informal collaboration.

To fit transparency requirements generic authorisa-

tion processes are defined, federating the different

security policies. For this, we propose to organise the

common business processes in a common meta-model

shared by the partners, describing globally the

distributed business process (Fig. 2). This architecture

is built around the actor description (person or part of

an enterprise). The security policy is defined at two

levels: first access controls on informational resources

are described second a multi-area infrastructure is

proposed. By developing adapted replication pro-

cesses, the access control system represents a

convenient basis for the global security system.

To identify surely the involved actor, the access

control system uses a PKI certification architecture

coupled to the organisation of access areas on the

information system. Access rights are described

thanks to ‘‘certificates’’, associated to a set of pieces

of information (called domain) and an accreditation

level (called a certification level according to the PKI

organisation). By this way, for each actor and each

requested piece of information access rights can be

computed and checked dynamically. The certification

process is defined by a workflow controlled by the

information system security officers (ISSO). Stored on

the different authentication servers, cross-controls on

access rights insure the global consistency of the

system.

As far as the distributed business process specifica-

tion is concerned, our description environment includes

both the formal and informal process specification. On

one hand, formal collaboration can be described

precisely thanks to a classical workflow approach.

Nevertheless, this inter-enterprise business process

organisation must respect the enterprise autonomy

constraint. For this purpose, a multi-level workflow

description relying on an embedded description of

treatments (i.e. providing different abstraction/service

levels) and on synchronisation points inside a treatment

is necessary. These points have been studied for a long

time in telecommunications software development and

have lead to the specification and development of

graphical and textual tools, like the functional

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F. Biennier, J. Favrel / Computers in Industry 56 (2005) 361–370366

Fig. 2. Information control and business process description data model.

specification and description language (SDL) [10], to

organise treatments into services and to define precisely

synchronisation between treatments. These descrip-

tions consist of different automata with structured and

well-defined interactions (Fig. 3). Abstraction levels in

inter-enterprises business process models are integrated

thanks to macro-operations: depending on the actors

they involve, macro operations can be described

according to a more precise automaton or, if they

Fig. 3. Main SDL gra

involve different actors and responsibilities, they can

represent a more precise workflow. For example, Fig. 4

presents in a reflexive way the certification process

agreement.

On the other hand, informal collaboration is taken

into account thanks to an ad-hoc workflow organisa-

tion. Based on the segmentation of the information

systems into different domains, this data driven

approach describes the organisation thanks to infor-

phical elements.

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F. Biennier, J. Favrel / Computers in Industry 56 (2005) 361–370 367

Fig. 4. SDL specification of the distributed certification process. The VE certification process is built according to a generic model of enterprise

validation process. Then, for each enterprise certification workflow can be developed. In our example, the enterprise xx certification workflow

involves the enterprise different information system security officers (ISSO) who may apply directly the enterprise certification rules or request a

strategic committee for a case-based certification.

mation flows and business process achievement is

monitored according to a strict definition of the

information life-cycle. For this purpose, we split each

part of information into a ‘‘logical information’’ and

contents which may evolve according to the informa-

tion status [5].

Access rights are devoted to the actors according to

the work they should do and to their certification level

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F. Biennier, J. Favrel / Computers in Industry 56 (2005) 361–370368

Fig. 5. Data model storing the information validation workflow.

for the information domain. For this purpose, common

authorisation processes are defined thanks to certifica-

tion workflow stored on each authentication server

(see Fig. 5) so that the global security policy

consistency can be achieved [6].

This authorisation based security organisation

provides both transparency and authentication ser-

vices. Thanks to the use of the digital signature

provided by the PKI systems, non-repudiation services

are provided as well. Nevertheless, the reporting

systems involved can also be seen as a major threat on

actor personal data privacy.

3.2. Integration of the authorisation service in the

BP model

To fit the privacy fair practices, only simple

controls can be made and elementary log files can be

registered. As far as the authorisation-based archi-

tecture we proposed previously is concerned, the

reporting system can be used to rebuild parts of the

executed BP, i.e. provides a consistent cyber-control

on the actors own activities. Such a cyber-control

breaks data privacy requirements. Nevertheless,

workflow rebuilding processes must also be imple-

mented to control continuously the process efficiency,

the inter-enterprises collaborative practices, etc.

The main problem is that cross-processes with

identified data cannot be implemented without a

particular agreement given by regulation committees

(as set by the EEC directive). For this purpose, we

propose a multi-level architecture separating the

planned workflow organisation and the reporting

system thanks to an authentication service:

� B

usiness process management: In this ‘‘concep-

tual’’ level, BPs are defined recursively so that

‘‘black box’’ or ‘‘white box’’ approaches can be

mixed without loosing the global consistency.

Thanks to ‘‘core processes’’, inspired by the eb-

XML (electronic business XML) core components,

reusing abilities are improved and the collaborative

business processes can be defined according to an

‘‘interface based’’ process. In this part, reports are

limited to anonymous processes.

� O

rganisational controls: BPs are turned into

‘‘organisational processes’’. For this purpose, each

conceptual process is divided into a set of

‘‘collaborations’’ described according to elemen-

tary units called ‘‘transactions’’. Each transaction is

associated either to a part of the conceptual process

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F. Biennier, J. Favrel / Computers in Industry 56 (2005) 361–370 369

(described in terms of core processes) or associated

to ‘‘exchange processes’’ defined according to the

collaboration framework. The way partners colla-

borate is defined contractually thanks to ‘‘organisa-

tion management BP’’ [7]. Actors (or groups) are

directly managed for the process planning while the

reporting system relates only tasks and transaction

execution to ‘‘authenticated users’’.

� A

uthentication service: This level implements the

BP association with actors who have performed it.

Each transaction is associated to access controls

processes and collaboration profiles so that actors

can be certified. Then only these ‘‘authenticated

user’’ identifications are transmitted to the BP

reporting system. As each authentication identifica-

tion is given separately, the different tasks involving

the same actor cannot be directly related by the BP

reporting system. At a technical level, the authen-

ticated users are created and ‘‘forward’’ links are

made between these ‘‘authenticated user account’’

and the real actor account.

� C

ommunication level: This is the ‘‘operational’’

level of our architecture. It consists of communica-

tion infrastructure management and/or configura-

tion data. The personal data collection and

processes are directly related to the infrastructure

use and not to the process involving this use.

Consequently, there is no cyber-control on actors

‘‘intellectual processes’’.

Such an architecture fits globally the fair practices

and may support cross-controls (by coupling different

files) if necessary. In this case, actors must explicitly

agree with such a cross-analysis process finality.

4. Conclusion

To fit personal data privacy requirements as well as

to integrate inter-enterprise security policies, we

propose to couple an authentication service to BP

and infrastructure reporting systems. By this way,

contractual collaboration constraints can be integrated

in the BP definition and security constraints are

fulfilled without integrating personal data in the

working process reporting system. Thanks to this

multi-level architecture a ‘‘personal’’ cyber-control

can be more or less avoided.

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Frederique Biennier is a full Professor

at the Information Technology and Com-

puting Department of the INSA de Lyon,

a French Engineering University. She

received her engineering degree (MSc)

in Computer Science in 1988 and the PhD

in Computer Science and Automatics in

1990. Her main teaching activities con-

cern telecommunication systems and ser-

vices, real time systems and industrial

engineering. Her main research areas

are related to virtual organisation focusing on distributed architec-

ture paying a particular attention on service oriented architecture,

business process intelligence and security management.

Joel Favrel is a professor at the Informa-

tion Technology and Computing Depart-

ment of the INSA. He graduated to an

engineer degree from this University in

1964 and obtained his PhD degree from

Lyon-1 University in 1968, before being

an Associate Professor at the Electrical

Engineering Department of the University

at Sherbrooke (P.Q., Canada) for 2 years.

He created, and he is currently the

Director of ‘‘PRISMa’’, Laboratory whose activities are dealing with

industrial engineering, architecture of information systems, virtual

enterprise and production system control. His main research interests

include enterprise modelling and integration, virtual enterprise and

collaborative work. He has been the advisor of more than 50 PhD

candidates. He is a member of IFIP, WG 5.7 and WG 5.12.