Search results for: planar shape models

Authors: Shih-Wen Hsiao, Chu-Hsuan Lee, Rong-Qi Chen

Abstract:

When it comes to last, it is regarded as the critical foundation of shoe design and development. Not only the last relates to the comfort of shoes wearing but also it aids the production of shoe styling and manufacturing. In order to enhance the efficiency and application of last development, a computer aided methodology for customized last form designs is proposed in this study. The reverse engineering is mainly applied to the process of scanning for the last form. Then the minimum energy is used for the revision of surface continuity, the surface of the last is reconstructed with the feature curves of the scanned last. When the surface of a last is reconstructed, based on the foundation of the proposed last form reconstruction module, the weighted arithmetic mean method is applied to the calculation on the shape morphing which differs from the grading for the control mesh of last, and the algorithm of subdivision is used to create the surface of last mesh, thus the feet-fitting 3D last form of different sizes is generated from its original form feature with functions remained. Finally, the practicability of the proposed methodology is verified through later case studies.

Keywords: 3D last design, Customization, Reverse engineering, Weighted morphing, Shape blending.

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Authors: Toshihiko Matsuka, James E. Corter

Abstract:

Most neural network (NN) models of human category learning use a gradient-based learning method, which assumes that locally-optimal changes are made to model parameters on each learning trial. This method tends to under predict variability in individual-level cognitive processes. In addition many recent models of human category learning have been criticized for not being able to replicate rapid changes in categorization accuracy and attention processes observed in empirical studies. In this paper we introduce stochastic learning algorithms for NN models of human category learning and show that use of the algorithms can result in (a) rapid changes in accuracy and attention allocation, and (b) different learning trajectories and more realistic variability at the individual-level.

Keywords: category learning, cognitive modeling, radial basis function, stochastic optimization.

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Authors: Shunzuo Wu, Xudong Luo, Yuanxiu Liao

Abstract:

Recently, the rapid development of deep learning makes artificial intelligence (AI) penetrate into many fields, replacing manual work there. In particular, AI systems also become a research focus in the field of automatic office. To meet real needs in automatic officiating, in this paper we develop an automatic form filling system. Specifically, it uses two classical neural network models and several word embedding models to classify various relevant information elicited from the Internet. When training the neural network models, we use less noisy and balanced data for training. We conduct a series of experiments to test my systems and the results show that our system can achieve better classification results.

Keywords: Personal information, deep learning, auto fill, NLP, document analysis.

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Authors: Gustavo Rodrigues, Hans Weber, Larissa Driemeier

Abstract:

The prevision of post-impact conditions and the behavior of the bodies during the impact have been object of several collision models. The formulation from Hertz’s theory is generally used dated from the 19^th century. These models consider the repulsive force as proportional to the deformation of the bodies under contact and may consider it proportional to the rate of deformation. The objective of the present work is to analyze the behavior of the bodies during impact using the Finite Element Method (FEM) with elastic and plastic material models. The main parameters to evaluate are, the contact force, the time of contact and the deformation of the bodies. An advantage of using the FEM approach is the possibility to apply a plastic deformation to the model according to the material definition: there will be used Johnson–Cook plasticity model whose parameters are obtained through empirical tests of real materials. This model allows analyzing the permanent deformation caused by impact, phenomenon observed in real world depending on the forces applied to the body. These results are compared between them and with the model-based Hertz theory.

Keywords: Collision, finite element method, Hertz’s Theory, impact models.

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Authors: Moussa Hamdan, Abdulati Abdullah

Abstract:

This paper presents an investigation of the fabrication of the optical devices in terms of their characteristics based on the use of the electromagnetic waves. Planar waveguides are used to examine the field modes (bound modes) and the parameters required for this structure. The modifications are conducted on surface plasmons based waveguides. Simple symmetric dielectric slab structure is used and analyzed in terms of transverse electric mode (TE-Mode) and transverse magnetic mode (TM-Mode. The paper presents mathematical and numerical solutions for solving simple symmetric plasmons and provides simulations of surface plasmons for field confinement. Asymmetric TM-mode calculations for dielectric surface plasmons are also provided.

Keywords: Surface plasmons, optical waveguides, semiconductor lasers, refractive index, slab dialectical.

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Authors: Dimitrios Zarpalas, Anastasios Zafeiropoulos, Petros Daras, Nicos Maglaveras

Abstract:

Segmentation techniques based on Active Contour Models have been strongly benefited from the use of prior information during their evolution. Shape prior information is captured from a training set and is introduced in the optimization procedure to restrict the evolution into allowable shapes. In this way, the evolution converges onto regions even with weak boundaries. Although significant effort has been devoted on different ways of capturing and analyzing prior information, very little thought has been devoted on the way of combining image information with prior information. This paper focuses on a more natural way of incorporating the prior information in the level set framework. For proof of concept the method is applied on hippocampus segmentation in T1-MR images. Hippocampus segmentation is a very challenging task, due to the multivariate surrounding region and the missing boundary with the neighboring amygdala, whose intensities are identical. The proposed method, mimics the human segmentation way and thus shows enhancements in the segmentation accuracy.

Keywords: Medical imaging & processing, Brain MRI segmentation, hippocampus segmentation, hippocampus-amygdala missingboundary, weak boundary segmentation, region based segmentation, prior information, local weighting scheme in level sets, spatialdistribution of labels, gradient distribution on boundary.

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Authors: Lavish Ordia, A. Venugopal, Amit Agrawal, S. V. Prabhu

Abstract:

The present study explores flow visualization experiments with various blunt shaped bluff bodies placed inside a circular pipe. The bodies mainly comprise of modifications of trapezoidal cylinder, most widely used in practical applications, such as vortex flowmeters. The present configuration possesses the feature of both internal and external flows with low aspect ratio. The vortex dynamics of bluff bodies in such configuration is seldom reported in the literature. Dye injection technique is employed to visualize the complex vortex formation mechanism behind the bluff bodies. The influence of orientation, slit and after body shape is studied in an attempt to obtain better understanding of the vortex formation mechanism. Various wake parameters like Strouhal number, vortex formation length and wake width are documented for these shapes. Vortex formation both with and without shear layer interaction is observed for most of the shapes.

Keywords: Flow visualization, Reynolds number, Strouhal number, vortex, vortex formation length, wake width.

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Authors: Loke Kean Koay, Horizon Gitano-Briggs, Mani Maran Ratnam

Abstract:

Today air-core coils (ACC) are a viable alternative to ferrite-core coils in a range of applications due to their low induction effect. An analytical study was carried out and the results were used as a guide to understand the relationship between the magnet-coil distance and the resulting attractive magnetic force. Four different ACC models were fabricated for experimental study. The variation in the models included the dimensions, the number of coil turns and the current supply to the coil. Comparison between the analytical and experimental results for all the models shows an average discrepancy of less than 10%. An optimized ACC design was selected for the scanner which can provide maximum magnetic force.

Keywords: Air-Core Coils, Electromagnetic, Linear Optical Scanner

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Authors: RajPal Garg, Kapil Sharma, Rajive Kumar, R. K. Garg

Abstract:

This paper presents a computational methodology based on matrix operations for a computer based solution to the problem of performance analysis of software reliability models (SRMs). A set of seven comparison criteria have been formulated to rank various non-homogenous Poisson process software reliability models proposed during the past 30 years to estimate software reliability measures such as the number of remaining faults, software failure rate, and software reliability. Selection of optimal SRM for use in a particular case has been an area of interest for researchers in the field of software reliability. Tools and techniques for software reliability model selection found in the literature cannot be used with high level of confidence as they use a limited number of model selection criteria. A real data set of middle size software project from published papers has been used for demonstration of matrix method. The result of this study will be a ranking of SRMs based on the Permanent value of the criteria matrix formed for each model based on the comparison criteria. The software reliability model with highest value of the Permanent is ranked at number – 1 and so on.

Keywords: Matrix method, Model ranking, Model selection, Model selection criteria, Software reliability models.

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Authors: Abir Yahya, Hacen Dhahri, Khalifa Slimi

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The present paper deals with a numerical simulation of temperature field inside a solid oxide fuel cell (SOFC) components. The temperature distribution is investigated using a co-flow planar SOFC comprising the air and fuel channel and two-ceramic electrodes, anode and cathode, separated by a dense ceramic electrolyte. The Lattice Boltzmann method (LBM) is used for the numerical simulation of the physical problem. The effects of inlet temperature, anode thermal conductivity and current density on temperature distribution are discussed. It was found that temperature distribution is very sensitive to the inlet temperature and the current density.

Keywords: Solid oxide fuel cell, Heat sources, temperature, Lattice Boltzmann method.

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Authors: Stepan Petrosyan, Ashkhen Yesayan, Suren Nersesyan

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We have developed an analytic model for the radial pn-junction in a nanowire (NW) core-shell structure utilizing as a new building block in different semiconductor devices. The potential distribution through the p-n-junction is calculated and the analytical expressions are derived to compute the depletion region widths. We show that the widths of space charge layers, surrounding the core, are the functions of core radius, which is the manifestation of so called classical size effect. The relationship between the depletion layer width and the built-in potential in the asymptotes of infinitely large core radius transforms to square-root dependence specific for conventional planar p-n-junctions. The explicit equation is derived to compute the capacitance of radial p-n-junction. The current-voltage behavior is also carefully determined taking into account the “short base" effects.

Keywords: Snanowire, p-n- junction, barrier capacitance, high injection.

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Authors: Wei Lei, Hui Chen, Lin Lu

Abstract:

Microscopic emission and fuel consumption models have been widely recognized as an effective method to quantify real traffic emission and energy consumption when they are applied with microscopic traffic simulation models. This paper presents a framework for developing the Microscopic Emission (HC, CO, NOx, and CO2) and Fuel consumption (MEF) models for light-duty vehicles. The variable of composite acceleration is introduced into the MEF model with the purpose of capturing the effects of historical accelerations interacting with current speed on emission and fuel consumption. The MEF model is calibrated by multivariate least-squares method for two types of light-duty vehicle using on-board data collected in Beijing, China by a Portable Emission Measurement System (PEMS). The instantaneous validation results shows the MEF model performs better with lower Mean Absolute Percentage Error (MAPE) compared to other two models. Moreover, the aggregate validation results tells the MEF model produces reasonable estimations compared to actual measurements with prediction errors within 12%, 10%, 19%, and 9% for HC, CO, NOx emissions and fuel consumption, respectively.

Keywords: Emission, Fuel consumption, Light-duty vehicle, Microscopic, Modeling.

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Authors: V. Fayaz , F. Felegary

Abstract:

Here, in this work we study correspondence the energy density New agegraphic and the energy density Gauss- Bonnet models in flat universe. We reconstruct Λ  and Λ ω for them with 0 ( ) 0 h a t = a t .

Keywords: dark energy, new age graphic, gauss- bonnet, late time universe

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Authors: Thevaneyan K. David, John P. Forth

Abstract:

Integral Abutment Bridges (IAB) are defined as simple or multiple span bridges in which the bridge deck is cast monolithically with the abutment walls. This kind of bridges are becoming very popular due to different aspects such as good response under seismic loading, low initial costs, elimination of bearings, and less maintenance. However the main issue related to the analysis of this type of structures is dealing with soil-structure interaction of the abutment walls and the supporting piles. Various soil constitutive models have been used in studies of soil-structure interaction in this kind of structures by researchers. This paper is an effort to review the implementation of various finite elements model which explicitly incorporates the nonlinear soil and linear structural response considering various soil constitutive models and finite element mesh.

Keywords: Constitutive Models, FEM, Integral AbutmentBridges, Soil-structure Interactions

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Authors: Elison Eduardo Jardim Bierhals, Claudineia Brazil, Deivid Pires, Rafael Haag, Elton Gimenez Rossini

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The objective of this work is to evaluate the results of solar radiation projections between 2006 and 2013 for the state of Rio Grande do Sul, Brazil. The projections are provided by the General Circulation Models (MCGs) belonging to the Coupled Model Intercomparison Phase 5 (CMIP5). In all, the results of the simulation of six models are evaluated, compared to monthly data, measured by a network of thirteen meteorological stations of the National Meteorological Institute (INMET). The performance of the models is evaluated by the Nash coefficient and the Bias. The results are presented in the form of tables, graphs and spatialization maps. The ACCESS1-0 RCP 4.5 model presented the best results for the solar radiation simulations, for the most optimistic scenario, in much of the state. The efficiency coefficients (CEF) were between 0.95 and 0.98. In the most pessimistic scenario, HADGen2-AO RCP 8.5 had the best accuracy among the analyzed models, presenting coefficients of efficiency between 0.94 and 0.98. From this validation, solar radiation projection maps were elaborated, indicating a seasonal increase of this climatic variable in some regions of the Brazilian territory, mainly in the spring.

Keywords: climate change, projections, solar radiation, validation.

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Authors: Aman Agarwal, Georg Klepp

Abstract:

Impinging jets are used in various industrial areas as a cooling and drying technique. The current research is concerned with the means of improving the heat transfer for configurations with a minimum distance of the nozzle to the impingement surface. The impingement heat transfer is described using numerical methods over a wide range of parameters for an array of planar jets. These parameters include varying jet flow speed, width of nozzle, distance of nozzle, angle of the jet flow, velocity and geometry of the impingement surface. Normal pressure and shear stress are computed as additional parameters. Using dimensionless characteristic numbers the parameters and the results are correlated to gain generalized equations. The results demonstrate the effect of the investigated parameters on the flow.

Keywords: Heat Transfer Coefficient, Minimum distance jet impingement, Numerical simulation, Dimensionless coefficients.

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Authors: Mir Shahriar Emami

Abstract:

Although it is fully impossible to ensure that a software system is quite secure, developing an acceptable secure software system in a convenient platform is not unreachable. In this paper, we attempt to analyze software development life cycle (SDLC) models from the hardware systems and circuits point of view. To date, the SDLC models pay merely attention to the software security from the software perspectives. In this paper, we present new features for SDLC stages to emphasize the role of systems and circuits in developing secure software system through the software development stages, the point that has not been considered previously in the SDLC models.

Keywords: Systems and circuits security, software security, software process engineering, SDLC, SSDLC.

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Authors: Anastasia K. Eleftheriadou, Athanasios Sfetsos, Nikolaos Gounaris

Abstract:

The current paper presents an extensive bottom-up framework for assessing building sector-specific vulnerability to climate change: energy supply and demand. The research focuses on the application of downscaled seasonal models for estimating energy performance of buildings in Greece. The ARW-WRF model has been set-up and suitably parameterized to produce downscaled climatological fields for Greece, forced by the output of the CFSv2 model. The outer domain, D01/Europe, included 345 x 345 cells of horizontal resolution 20 x 20 km2 and the inner domain, D02/Greece, comprised 180 x 180 cells of 5 x 5 km2 horizontal resolution. The model run has been setup for a period with a forecast horizon of 6 months, storing outputs on a six hourly basis.

Keywords: Urban environment, vulnerability, climate change, energy performance, seasonal forecast models.

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Authors: Viriyavudh Sim, WooYoung Jung

Abstract:

Damage due to high wind is not limited to load resistance components such as beam and column. The majority of damage is due to breach in the building envelope such as broken roof, window, and door. In this paper, wind fragility of window glass in residential apartment was determined to compare the difference between two window configuration models. Monte Carlo Simulation method had been used to derive damage data and analytical fragilities were constructed. Fragility of window system showed that window located in leeward wall had higher probability of failure, especially those close to the edge of structure. Between the two window models, Model 2 had higher probability of failure, this was due to the number of panel in this configuration.

Keywords: Wind fragility, glass window, high rise apartment, Monte Carlo Simulation method.

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Authors: Pavel Vazan, Pavol Tanuska, Michal Kebisek

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The paper gives the pilot results of the project that is oriented on the use of data mining techniques and knowledge discoveries from production systems through them. They have been used in the management of these systems. The simulation models of manufacturing systems have been developed to obtain the necessary data about production. The authors have developed the way of storing data obtained from the simulation models in the data warehouse. Data mining model has been created by using specific methods and selected techniques for defined problems of production system management. The new knowledge has been applied to production management system. Gained knowledge has been tested on simulation models of the production system. An important benefit of the project has been proposal of the new methodology. This methodology is focused on data mining from the databases that store operational data about the production process.

Keywords: data mining, data warehousing, management of production system, simulation

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Authors: Vu Ngoc Pi

Abstract:

This paper presents a new study on the applications of optimization and regression analysis techniques for optimal calculation of partial ratios of four-step helical gearboxes for getting minimal gearbox length. In the paper, basing on the moment equilibrium condition of a mechanic system including four gear units and their regular resistance condition, models for determination of the partial ratios of the gearboxes are proposed. In particular, explicit models for calculation of the partial ratios are proposed by using regression analysis. Using these models, the determination of the partial ratios is accurate and simple.

Keywords: Gearbox design; optimal design; helical gearbox, transmission ratio.

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Authors: Jonathan Bohn, Jorge Rebaza, Kaitlin Speer

Abstract:

The dynamics of a predator-prey model with continuous threshold policy harvesting functions on the prey is studied. Theoretical and numerical methods are used to investigate boundedness of solutions, existence of bionomic equilibria, and the stability properties of coexistence equilibrium points and periodic orbits. Several bifurcations as well as some heteroclinic orbits are computed.

Keywords: Predator-prey models, threshold harvesting, dynamicalsystems

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Authors: Nishant Shrivastava, D. K. Sehgal

Abstract:

In Finite Element Technique nodal stresses are calculated through displacement as nodes. In this process, the displacement calculated at nodes is sufficiently good enough but stresses calculated at nodes are not sufficiently accurate. Therefore, the accuracy in the stress computation in FEM models based on the displacement technique is obviously matter of concern for computational time in shape optimization of engineering problems. In the present work same is focused to find out unique points within the element as well as the boundary of the element so, that good accuracy in stress computation can be achieved. Generally, major optimal stress points are located in domain of the element some points have been also located at boundary of the element where stresses are fairly accurate as compared to nodal values. Then, it is subsequently concluded that there is an existence of unique points within the element, where stresses have higher accuracy than other points in the elements. Therefore, it is main aim is to evolve a generalized procedure for the determination of the optimal stress location inside the element as well as at the boundaries of the element and verify the same with results from numerical experimentation. The results of quadratic 9 noded serendipity elements are presented and the location of distinct optimal stress points is determined inside the element, as well as at the boundaries. The theoretical results indicate various optimal stress locations are in local coordinates at origin and at a distance of 0.577 in both directions from origin. Also, at the boundaries optimal stress locations are at the midpoints of the element boundary and the locations are at a distance of 0.577 from the origin in both directions. The above findings were verified through experimentation and findings were authenticated. For numerical experimentation five engineering problems were identified and the numerical results of 9-noded element were compared to those obtained by using the same order of 25-noded quadratic Lagrangian elements, which are considered as standard. Then root mean square errors are plotted with respect to various locations within the elements as well as the boundaries and conclusions were drawn. After numerical verification it is noted that in a 9-noded element, origin and locations at a distance of 0.577 from origin in both directions are the best sampling points for the stresses. It was also noted that stresses calculated within line at boundary enclosed by 0.577 midpoints are also very good and the error found is very less. When sampling points move away from these points, then it causes line zone error to increase rapidly. Thus, it is established that there are unique points at boundary of element where stresses are accurate, which can be utilized in solving various engineering problems and are also useful in shape optimizations.

Keywords: Finite element, Lagrangian, optimal stress location, serendipity.

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Authors: Emir H. Pernet, Jeimy J. Cano

Abstract:

Maturity models, used descriptively to explain changes in reality or normatively to guide managers to make interventions to make organizations more effective and efficient, are based on the principles of statistical quality control and PDCA continuous improvement (Plan, Do, Check, Act). Some frameworks developed over the concept of maturity models include COBIT, CMM, and ITIL. This paper presents some limitations of traditional maturity models, most of them related to the mechanistic and reductionist principles over which those models are built. As systems theory helps the understanding of the dynamics of organizations and organizational change, the development of a systemic maturity model can help to overcome some of those limitations. This document proposes a systemic maturity model, based on a systemic conceptualization of organizations, focused on the study of the functioning of the parties, the relationships among them, and their behavior as a whole. The concept of maturity from the system theory perspective is conceptually defined as an emergent property of the organization, which arises as a result of the degree of alignment and integration of their processes. This concept is operationalized through a systemic function that measures the maturity of organizations, and finally validated by the measuring of maturity in some organizations. For its operationalization and validation, the model was applied to measure the maturity of organizational Governance, Risk and Compliance (GRC) processes.

Keywords: GRC, Maturity Model, Systems Theory, Viable System Model.

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Authors: M. Y. Ismail, M. Inam, A. F. M. Zain, N. Misran

Abstract:

Progressive phase distribution is an important consideration in reflectarray antenna design which is required to form a planar wave in front of the reflectarray aperture. This paper presents a detailed mathematical model in order to determine the required reflection phase values from individual element of a reflectarray designed in Ku-band frequency range. The proposed technique of obtaining reflection phase can be applied for any geometrical design of elements and is independent of number of array elements. Moreover the model also deals with the solution of reflectarray antenna design with both centre and off-set feed configurations. The theoretical modeling has also been implemented for reflectarrays constructed on 0.508mm thickness of different dielectric substrates. The results show an increase in the slope of the phase curve from 4.61°/mm to 22.35°/mm by varying the material properties.

Keywords: Mathematical modeling, Progressive phase distribution, Reflectarray antenna, Reflection phase.

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Authors: Abeer Samy, Oliver C. Saavedra Valeriano, Abdelazim Negm

Abstract:

The Blue Nile Basin is the most important tributary of the Nile River. Egypt and Sudan are almost dependent on water originated from the Blue Nile. This multi-dependency creates conflicts among the three countries Egypt, Sudan, and Ethiopia making the management of these conflicts as an international issue. Good assessment of the water resources of the Blue Nile is an important to help in managing such conflicts. Hydrological models are good tool for such assessment. This paper presents a critical review of the nature and variability of the climate and hydrology of the Blue Nile Basin as a first step of using hydrological modeling to assess the water resources of the Blue Nile. Many several attempts are done to develop basin-scale hydrological modeling on the Blue Nile. Lumped and semi distributed models used averages of meteorological inputs and watershed characteristics in hydrological simulation, to analyze runoff for flood control and water resource management. Distributed models include the temporal and spatial variability of catchment conditions and meteorological inputs to allow better representation of the hydrological process. The main challenge of all used models was to assess the water resources of the basin is the shortage of the data needed for models calibration and validation. It is recommended to use distributed model for their higher accuracy to cope with the great variability and complexity of the Blue Nile basin and to collect sufficient data to have more sophisticated and accurate hydrological modeling.

Keywords: Blue Nile Basin, Climate Change, Hydrological Modeling, Watershed.

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Authors: Mahesh Chudasama, Harit Raval

Abstract:

Conical sections and shells of metal plates manufactured by 3-roller conical bending process are widely used in the industries. The process is completed by first bending the metal plates statically and then dynamic roller bending sequentially. It is required to have an analytical model to get maximum bending force, for optimum design of the machine, for static bending stage. Analytical models assuming various stress conditions are considered and these analytical models are compared considering various parameters and reported in this paper. It is concluded from the study that for higher bottom roller inclination, the shear stress affects greatly to the static bending force whereas for lower bottom roller inclination it can be neglected.

Keywords: Roller-bending, static-bending, stress-conditions, analytical-modeling.

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Authors: L. Tani, N. El Ouzzani

Abstract:

Crosstalk among interconnects and printed-circuit board (PCB) traces is a major limiting factor of signal quality in highspeed digital and communication equipments especially when fast data buses are involved. Such a bus is considered as a planar multiconductor transmission line. This paper will demonstrate how the finite difference time domain (FDTD) method provides an exact solution of the transmission-line equations to analyze the near end and the far end crosstalk. In addition, this study makes it possible to analyze the rise time effect on the near and far end voltages of the victim conductor. The paper also discusses a statistical analysis, based upon a set of several simulations. Such analysis leads to a better understanding of the phenomenon and yields useful information.

Keywords: Multiconductor transmission line, Crosstalk, Finite difference time domain (FDTD), printed-circuit board (PCB), Rise time, Statistical analysis.

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Authors: Anjushi Verma, Tirthankar Gayen

Abstract:

Although, reliability is an important attribute of quality, especially for mission critical systems, yet, there does not exist any versatile model even today for the reliability assessment of component-based software. The existing Black Box models are found to make various assumptions which may not always be realistic and may be quite contrary to the actual behaviour of software. They focus on observing the manner in which the system behaves without considering the structure of the system, the components composing the system, their interconnections, dependencies, usage frequencies, etc.As a result, the entropy (uncertainty) in assessment using these models is much high.Though, there are some models based on operation profile yet sometimes it becomes extremely difficult to obtain the exact operation profile concerned with a given operation. This paper discusses the drawbacks, deficiencies and limitations of Black Box approaches from the perspective of various authors and finally proposes a conceptual model for the reliability assessment of software.

Keywords: Black Box, faults, failure, software reliability.

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Authors: Abdel-Aziz M. Mohamed

Abstract:

This paper presents a state-of-the-art survey of the operations research models developed for internal audit planning. Two alternative approaches have been followed in the literature for audit planning: (1) identifying the optimal audit frequency; and (2) determining the optimal audit resource allocation. The first approach identifies the elapsed time between two successive audits, which can be presented as the optimal number of audits in a given planning horizon, or the optimal number of transactions after which an audit should be performed. It also includes the optimal audit schedule. The second approach determines the optimal allocation of audit frequency among all auditable units in the firm. In our review, we discuss both the deterministic and probabilistic models developed for audit planning. In addition, game theory models are reviewed to find the optimal auditing strategy based on the interactions between the auditors and the clients.

Keywords: Operations research applications, audit frequency, audit planning, audit-staff scheduling.

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