Robert Muthuri, Guido Boella, Joris Hulstijn Augmenting Legal Knowledge Management Systems with Model-based Compliance Patterns Robert Muthuri, Guido Boella, Joris Hulstijn LAST-JD 27th March 2015 Dagstuhl

Innovation & Technology Law

State of the Art

Compliance Management Workflow (ICAIL 2013)

Compliance Pattern Scheme Eunomos: Terminological Concepts & Relations Legal Prescriptions Data & Process Models: UML & BPMN Business Processes Business Goals: e3Value Modelling Business Goals A compliance pattern captures a commonly occurring mode of compliance violation, including both the compliance requirement that is violated and the actions required to restore compliance. (Aditya 2007)

Compliance Pattern Scheme: Business Goals Each pattern is a triple (Context, Requirement, Solution) Modelling: Actor descriptions; roles; institutions: UML Process descriptions: BPMN domain: open time: open place: open

Compliance Pattern Scheme: Context Legal Context: Eunomos Ontology Concept: language; jurisdiction; domain; natural language description; refs to articles, links, concepts Prescription: deontic clause, active role, passive role, violation, sanction Pattern representation: Legal URN (User Requirements Notation) for expressing legal objectives (ITU-T Standard) [possible conflict RuleML] LegalRuleML: accommodates defeasibility (OASIS Standard) Links – Input & output conditions, business rules and constraints A second and more abstract challenge in creating composite services is that the separate processes must have enough overlap in their goals and requirements to justify bringing them together. Some amount of contextual overlap is essential, but there mist also be some buisiness neccessity for the combination, and both are difficult to specify.

Compliance Pattern Scheme: Pattern Applications: Step 2: Decision Support to determine relevant laws and regulations – links to Eunomos ontology Step 4: Determine specific legal regulations – risk- based orientation to real business compliance issues Step 5: Recommendation system of scenarios of non- compliance An action or procedure to reach the to-be situation, from the current as-is A description of the 'to-be' situation; the ideal; the norm

Compliance Pattern Scheme: American Broadcasting Companies vs. Aereo 573 US Supreme Court (2014) Broadcast copyright pattern: Context: The firm transmits local TV channels to the user’s mobile device in the US. However, the Firm does not own the TV channels. Requirement: The Firm’s shall have the Permission necessary to transmit digital content Solution: Before the firm can transmit, it must obtain appropriate Licences from TV channel owners An action or procedure to reach the to-be situation, from the current as-is A description of the 'to-be' situation; the ideal; the norm

Compliance Pattern Scheme: Rule Engine Recommendation Warning and/or Compliance Pattern Business Process An action or procedure to reach the to-be situation, from the current as-is A description of the 'to-be' situation; the ideal; the norm

Compliance Pattern Scheme: Example Recommendation Warning and/or Broadcast copyright Transmit digital content An action or procedure to reach the to-be situation, from the current as-is A description of the 'to-be' situation; the ideal; the norm

Many thanks for the attention http://www.last-jd.eu/ muthuri.r@gmail.com