Normative requirements for regulatory compliance: An abstract formal framework

Abstract

By definition, regulatory rules (in legal context called norms) intend to achieve specific behaviour from business processes, and might be relevant to the whole or part of a business process. They can impose conditions on different aspects of process models, e.g., control-flow, data and resources etc. Based on the rules sets, norms can be classified into various classes and sub-classes according to their effects. This paper presents an abstract framework consisting of a list of norms and a generic compliance checking approach on the idea of (possible) execution of processes. The proposed framework is independent of any existing formalism, and provides a conceptually rich and exhaustive ontology and semantics of norms needed for business process compliance checking. Apart from the other uses, the proposed framework can be used to compare different compliance management frameworks (CMFs).

Norms modeling constructs of business process compliance management frameworks: a conceptual evaluation

“…Norms Constructs Evaluation: In the last step, we evaluated the norms modeling constructs of the selected CMFs for which we used the classes of classification model (discussed in Section 2) and provided semantic definitions of norms. The semantic definitions capture the meanings of norms (obligations) in terms of validity of a norm (i.e., the applicability conditions), what constitutes a violation and the effects of violations-and they are independent of any specific formalism (Hashmi et al, 2016). We use the formal definitions as benchmark for the evaluation where we examine one-to-one correspondence between the modeling constructs of a CMF and the semantic definition of a specific class of norms.…”

“…Next, we describe in details each of these modalities, their semantics giving the conditions of applicability, and provide real-life examples from regulatory documents. In the rest of this section we are going to introduce the definitions of the normative concepts presented in Hashmi et al (2016), and to discuss how they apply into the present setting. First, we formally define the meanings of obligations.…”

“…For an obligation to be compensable a number of requirements must be followed, see formal definitions of Compensable and compensation for details on the Comp(o) function(Hashmi et al, 2016). 7 http://www.yawlfoundation.org/files/YAWLDeedOfAssignmentTemplate.pdf, retrieved on March 28, 2013.…”

Semantic Business Process Regulatory Compliance Checking Using LegalRuleML

“…Non-compliance to such regulations would not only affect the added-value of the business processes, but may also result in judiciary pursuits. The scope of norms is to regulate the behaviour of their subjects and to define what is legal and what is not [18]. In BPM, checking the compliance of a business process with respect to a set of relevant regulations means to identify whether a process violates or not a set of norms.…”

Emerging service orientations and transformations (SOT)

“…In the recent years several works addressed the issue of (regulatory) compliance in the context of of business process management, service computing and cloud computing domains (Becker et al (2012);Fellmann and Zasada (2014) for recent surveys of existing approaches). BNormative Requirements for Regulatory Compliance: An Abstract Formal Framework^by Hashmi et al (2016) offer a formal foundational framework to evaluate the ability of a compliance framework to representing the norms a system has to comply with. In this paper, they study the normative component of business process compliance and proposed an abstract formal framework comprising a classification of norms and formal semantics.…”