Semantic-Based Logic Representation and Reasoning for Automated Regulatory Compliance Checking

2017 ◽  
Vol 31 (1) ◽  
pp. 04016037 ◽  
Author(s):  
Jiansong Zhang ◽  
Nora M. El-Gohary
Keyword(s):  
Regulatory Compliance ◽  
Compliance Checking ◽  
Logic Representation

Semantic Policies for Modeling Regulatory Process Compliance

2011 ◽  
pp. 311-336
Author(s):  
Marwane El Kharbili ◽  
Elke Pulvermueller
Keyword(s):  
Process Management ◽  
Business Processes ◽  
Regulatory Compliance ◽  
Information Systems Management ◽  
Policy Modeling ◽  
Compliance Requirements ◽  
Compliance Checking ◽  
Process Compliance ◽  
Abstraction Levels ◽  
And Control

Business process management (BPM) as a paradigm for enterprise planning and governance is nowadays a core discipline of information systems management. Growing up from the first process re-engineering initiatives in the 1980’s, BPM technologies now seek to span all of the organizational silos of enterprises, and also expand vertically from the strategy layers where visions and goals are defined to the lower data transaction layers. Ensuring the compliance of processes to the guidance and control provided to the business by regulations is an obligation to every enterprise. In this work, we motivate the need for automation in compliance management and propose the use of policies as a modeling concept for regulations. We introduce the CASE model for structuring regulatory compliance requirements as policies. Policies shall allow to model regulations at abstraction levels adequate to implementing platform independent mechanisms for policy verification. We describe the CASE model and explain how it can be used to structure and model policies extracted from regulations. This chapter also defines a policy modeling ontology that we propose as a language for formally modeling CASE policies. The basic CASE model and the corresponding policy modeling ontology support compliance of enterprise processes to regulations by enabling automation to compliance checking (verification). The utilization of the CASE method as well as the policy ontology is showcased using an example of resource access control in business processes.

scholarly journals Semantic Business Process Regulatory Compliance Checking Using LegalRuleML

2016 ◽  
pp. 746-761 ◽  
Author(s):  
Guido Governatori ◽  
Mustafa Hashmi ◽  
Ho-Pun Lam ◽  
Serena Villata ◽  
Monica Palmirani
Keyword(s):  
Business Process ◽  
Regulatory Compliance ◽  
Compliance Checking

scholarly journals Towards the adoption of automated regulatory compliance checking in the built environment

2020 ◽  
Vol 118 ◽  
pp. 103285
Author(s):  
Thomas H. Beach ◽  
Jean-Laurent Hippolyte ◽  
Yacine Rezgui
Keyword(s):  
Built Environment ◽  
Regulatory Compliance ◽  
Compliance Checking

Authoring Models of Regulations

2020 ◽  
pp. 90-112
Author(s):  
Sagar Sunkle ◽  
Suman Roychoudhury ◽  
Deepali Kholkar
Keyword(s):  
Regulatory Compliance ◽  
Turnaround Time ◽  
Content Management ◽  
Domain Experts ◽  
Natural Language Text ◽  
Industry Practice ◽  
Compliance Checking ◽  
Regulatory Model ◽  
Language Text

Modern enterprises operate in an unprecedented regulatory environment with the possibility of heavy penalties for non-compliance. Previous research in the field of compliance has established that the manual specification/tagging of the regulations not only fails to ensure their proper coverage but also negatively affects the turnaround time both in proving and maintaining the compliance. The contribution in this chapter is a framework that aids the domain experts in the transformation of regulations present in legal natural language text (English) to a model form via authoring and validation of structured English rules. This generated regulatory model is eventually translated to formal logic that enables formal compliance checking contrary to current industry practice, that provides content management-based, document-driven, and expert-dependent ways of managing regulatory compliance. The authors draw statistics from a real-world case study of money market statistical reporting (MMSR) regulations for a large European bank to demonstrate the benefits of aided authoring and validation.

Semantic Policies for Modeling Regulatory Process Compliance

2013 ◽  
pp. 218-243
Author(s):  
Marwane El Kharbili ◽  
Elke Pulvermueller
Keyword(s):  
Process Management ◽  
Business Processes ◽  
Regulatory Compliance ◽  
Information Systems Management ◽  
Policy Modeling ◽  
Compliance Requirements ◽  
Compliance Checking ◽  
Process Compliance ◽  
Abstraction Levels ◽  
And Control

Business process management (BPM) as a paradigm for enterprise planning and governance is nowadays a core discipline of information systems management. Growing up from the first process re-engineering initiatives in the 1980’s, BPM technologies now seek to span all of the organizational silos of enterprises, and also expand vertically from the strategy layers where visions and goals are defined to the lower data transaction layers. Ensuring the compliance of processes to the guidance and control provided to the business by regulations is an obligation to every enterprise. In this work, we motivate the need for automation in compliance management and propose the use of policies as a modeling concept for regulations. We introduce the CASE model for structuring regulatory compliance requirements as policies. Policies shall allow to model regulations at abstraction levels adequate to implementing platform independent mechanisms for policy verification. We describe the CASE model and explain how it can be used to structure and model policies extracted from regulations. This chapter also defines a policy modeling ontology that we propose as a language for formally modeling CASE policies. The basic CASE model and the corresponding policy modeling ontology support compliance of enterprise processes to regulations by enabling automation to compliance checking (verification). The utilization of the CASE method as well as the policy ontology is showcased using an example of resource access control in business processes.

Communication Disordered: Program Implementation in Long-Term Care

2016 ◽  
Vol 1 (15) ◽  
pp. 64-67
Author(s):  
George Barnes ◽  
Joseph Salemi
Keyword(s):  
Program Implementation ◽  
Long Term Care ◽  
Family Satisfaction ◽  
Regulatory Compliance ◽  
Care Staff ◽  
Term Care ◽  
Staff Members ◽  
Change Policy

The organizational structure of long-term care (LTC) facilities often removes the rehab department from the interdisciplinary work culture, inhibiting the speech-language pathologist's (SLP's) communication with the facility administration and limiting the SLP's influence when implementing clinical programs. The SLP then is unable to change policy or monitor the actions of the care staff. When the SLP asks staff members to follow protocols not yet accepted by facility policy, staff may be unable to respond due to confusing or conflicting protocol. The SLP needs to involve members of the facility administration in the policy-making process in order to create successful clinical programs. The SLP must overcome communication barriers by understanding the needs of the administration to explain how staff compliance with clinical goals improves quality of care, regulatory compliance, and patient-family satisfaction, and has the potential to enhance revenue for the facility. By taking this approach, the SLP has a greater opportunity to increase safety, independence, and quality of life for patients who otherwise may not receive access to the appropriate services.

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