1. 1 Carlo Biagioli Some remarks on singling out and using provisions metadata Workshop on Legislative XML Kobaek, September 22-24, 2004

2. 2 Some remarks on singling out and using provisions metadata –Meanings and notes –Partitions, Provisions, Norms –Provisions typology and structure –Detecting provisions in law texts –Manual analysis and marking up of provisions metadata in law texts –Automated analysis and marking up of provisions metadata in law texts –Employing provisions metadata Norms extracting tool Law texts drafting guide Norms relationships diagnostics

3. 3 Meanings and notes I will adopt a simplified vision of law text, to capture the basic meanings, to support the modeling process. In general, the meaning in texts surfaces in the entire text, in its words and in the intermediate level (sentence / paragraph). The minimum content of the intermediate level, that makes sense, may be understood, from the content point of view, as a speech act. These are the places in texts where relevant meanings may be caught more frequently. The three-fold NIR (act, provisions, terms) metadata reflect these considerations in their development.

4. 4 Partitions, provisions, norms In legal texts the intermediate level (in the formal point of view) corresponds to minimum partitions with texts (Paragraph). Paragraph may be simple or complex, with internal lists (sub- paragraphs). The content of the minimum Partition with text (paragraph) is usually a Speech act; sometimes more than one. In the law context, the notion of Speech act corresponds greatly with the notion of Provision. Provision can be intended as the meaning of the Paragraph. Partition-Provision may be seen as the body-text of the Norm or as its vehicle. Concrete Norms (at decision level) are developed through the Interpretation the relevant provision(s).

5. 5 Typology and structure of provisions In DTD NIR two families of metadata-provisions occur: rules and amendments. The former discipline a subject (domain), the latter intervene on the normative system. Provisions-rules are divided into three groups: preliminary rules, concerning the act itself; constitutive rules, introducing bodies (entities) and roles; and regulative rules, disciplining actions and their effects. Provisions-amendments are divided into groups according to the aspects of the norms they intervene upon (text, meaning, time, extension (coverage)).

6. 6 Detecting provisions in law texts –The first indication on the main provisions included in text partitions is given by the lawmakers themselves through the titles of the partitions themselves. Here either the kind of the most significant provision (functional title), or its subjects (theme title), or both, usually in an partial manner. –Mainly functional title: –Chapter II - OBLIGATIONS RELATING TO THE CONTROLLER – Thematic title: –Chapter III - PROCESSING OF PERSONAL DATA –The provision metadata intends to formalize and systemize partition titles (re-writing, integrating, re-organizing titles components), making such authentic notation easier and more complete thanks to the XML metadata and drafting tools such as XML Editors

7. 7 Typology and structure of provisions –Every kind of provision has its function, its deep structure, and its own (logically necessary) components named arguments. :,. :. –The provision argument may be single or multiple: in other words it may include one or more instances. ------------>

8. 8 Manual Notation All this results in a great flexibility in the singling out and description of provisions. For instance, a top partition including some lower partitions carrying all provisions of the same type, may produce as many notations as the lower partitions, all with single topics; or a single cumulative notation with multiple topics.  Protection of individuals and other subjects with regard to the processing of personal data, ACT no. 675 of 31.12.1996 –2. For the purposes of this Act: a)"data bank" shall mean any set of personal data, divided into ….; b)"processing" shall mean any operation, or set of operations, …..; Single notation: – data bank – processing Multiple notation : – data bank,processing

9. 9 Manual Notation The insertion of the metadata may occur in many parts of the text, and it may consist in free notation or in the labeling of part of the text itself (and copy- paste). Here we will consider examples of the second kind: Article 2 (Scope ) This Act shall apply to the processing of personal data carried out by any person whomsoever on the State's territory Provision Metadata: Provision = Scope ; Arguments: –Activities = The processing of personal data –Addressees = Any person whomsoever on the State's territory

10. 10 Typology and structure of provisions Provisions may sometimes be considered both as rule and as amendment: this is what happens with derogations. –Protection of individuals and other subjects with regard to the processing of personal data, ACT no. 675 of 31.12.1996 Article 2 (Scope ) 1. This Act shall apply to the processing of personal data carried out by any person whomsoever on the State's territory. Article 3 (Processing for exclusively personal purposes ) 1. This Act shall not apply to the processing of personal data carried out by natural persons for exclusively personal purposes, provided that the data are not intended for systematic communication or dissemination. Note : Paragraph 1 of article 2 contains a “scope” type description ; Paragraph 1 of article 3 is likewise of the “scope” type, but is at the same time a “derogation” to paragraph 1 of article 2. Both notes may be done. One concerns it rule nature, the other its relations with the other rule.

11. 11 Singling out of the provisions in legislative texts In complex paragraphs, structured in sub-paragraphs, such internal partitions may include fragments of sufficiently complete and autonomous dispositions. Provisions thus usually reside in the paragraph, rarely in its inner partitions (letters/numbers) Article 9 (Modalities for the collection and quality of personal data ) 1. Personal data undergoing processing shall be: a) processed lawfully and fairly; b) collected and recorded for specific, explicit and legitimate purposes and …… c) accurate and, when necessary, kept up to date; Possible notes: The most convenient notation is a single provision (obligation) with multiple object (actions). Each sub-paragraphs contain a single action. But it is also possible to define as many obligations as the actions, repeating the notation of the first fragment of the obligation contained in the introductory sentence (alinea).

12. 12 Manual Notation –In case of co-presence of more provisions in one partition, it is up to the discretion of the documentalist to choose whether to highlight all present provisions, or to favor the one considered as more significant and ignore that, or those, of the less prominent ones. –Significant notations may be usefully associated with container partitions. This solution is selected by the Legislator in the recording of entries: the most analytical notation concerns the partition of articles, while the most generic one concerns top partitions. CHAPTER III PROCESSING OF PERSONAL DATA PART I COLLECTION AND QUALITY OF PERSONAL DATA Article 9 (Modalities for the collection and quality of personal data )

13. 13 Manual Notation The Italian lawmaker does not annotate the paragraphs, although the discussion is open here, and on different sides the rubricating of the paragraph-partitions is suggested alongside all other dispositions. The use of metadata on provisions may solve the problem, by flanking or replacing the headings or allowing their automatic generation, as we will discuss later. In fact, the heading of a paragraph is a discursive, partial description of the provision under it, that metadata describe briefly and in its complete formula.

14. 14 Manual Notation : examples Article 42 (Amendments to laws in force ) 4. For the words "Garante for data protection" in article 9(2) and article 10(2) of Act no. 388 of 30 September 1993 there shall be substituted the following: " Garante for the protection of personal data ". Provision Metadata: Provision = Substitution; Arguments: –references = article 9(2) and article 10(2) of Act no. 388 of 30 September 1993 –novellando = Garante for data protection –novella = Garante for the protection of personal data

15. 15 Manual Notation : examples CHAPTER VII GARANTE FOR THE PROTECTION OF PERSONAL DATA Article 30 (Garante ) 1. The Garante for the protection of personal data is hereby set up. Provision Metadata: Provision = Establishment; Arguments: –addressee = Garante

16. 16 Manual Notation : examples Article 43 (Repealed provisions ) 1. Laws and regulations which are incompatible with this Act, in particular article 8(4) and article 9(4) of Act no. 121 of 1 April 1981, are hereby repealed.. Provision Metadata: Provision = Repeal; Arguments: –references = article 8(4) of Act no. 121 of 1 April 1981 article 9(4) of Act no. 121 of 1 April 1981

17. 17 Manual Notation : examples CHAPTER II OBLIGATIONS RELATING TO THE CONTROLLER Article 7 (Notification ) 1. A controller intending to process personal data falling within the scope of application of this Act shall have to notify the Garante thereof, exclusively in the cases and manner set out in the regulations as per Article 33(3), if the processing is liable to adversely affect the data subject's rights and freedoms on account of either the relevant mechanisms or the nature of the personal data. Provision Metadata: Provision = Obligation; Arguments: –addressees = controller –actions = to notify the Garante –conditions = if the processing is liable to adversely affect the data subject's rights and freedoms on account of either the relevant mechanisms or the nature of the personal data

18. 18 Manual Notation : examples 1. The notification shall be undersigned both by the subject giving it and by the processor. Provision Metadata: Provision = Procedure (formal obligation) Arguments: –addressees = the subject giving it (notification) »the processor –actions = The notification shall be undersigned

19. 19 Manual Notation : examples Article 34 (Failure to Submit a Notification and Submission of an Incomplete Notification) 1. Whoever fails to promptly submit the notification required under Articles 7, 16(1) and 28 or provides incomplete information in a notification, in breach of his/her duties, shall be the subject of an administrative sanction entailing payment of an amount ranging between Lit 10 million (i.e., euro 5.164,6) and Lit 60 million (i.e., euro 30.987,4), as well as of the additional sanction consisting in publication of the relevant injunction/order. Provision Metadata: Provision = Penalty Arguments: –addressees = Whoever –actions = fails to promptly submit the notification required under Articles 7, 16(1) and 28 –provides incomplete information in a notification –punishments = administrative sanction entailing payment of an amount ranging between Lit 10 million (i.e., euro 5.164,6) and Lit 60 million (i.e., euro 30.987,4 - the additional sanction consisting in publication of the relevant injunction/order

20. 20 Automatic notation of documents Automatic classification of the contents of the text partitions, according to the preset schedule of provisions (DTD NIR). Provisions automatic classifier: –It automatically classifies paragraphs into provisions according to the NIR analytical metadata schemes; –A naïve Bayes approach of text classification has been tested: The membership degree to a class of provisions is obtained in terms of probability. –An approach based on Support Vector Machine is currently under test;

21. 21 Automatic notation of documents Automatic classification of the contents of the text partitions, according to the preset schedule of provisions (DTD NIR). Classification system by computational linguistics tools: – Provisions automatic classifier –Automatic extraction of the provision arguments –Domain vocabulary or ontology semi-automatic building (bottom up)

22. 22 Automatic notation of documents

23. 23 Automatic notation of documents

24. 24 Automatic notation of documents

25. 25 Use of metadata– Searching provisions Search by act + search by norms: –1 Retrieval of relevant acts –2 Automatic extraction of the provisions required by the query, out of the acts finded –3 Implicit formations deduction through references and logic relations –4 Visualization Explicit direct Answers: example Query = Controller Obligations Metadata: > Answer 1: CHAPTER II OBLIGATIONS RELATING TO THE CONTROLLER Article 7 (Notification ) 1.A controller intending to process personal data falling within the scope of application of this Act shall have to notify the Garante thereof …………………. Answer 2: - Etc.

26. 26 Indirect explicit answers through references Query = Controller Penalties Metadata : > Answer: Penalties + (automatically) related Obligations Article 34 (Failure to Submit a Notification and Submission of an Incomplete Notification ) 1. Whoever fails to promptly submit the notification required under Articles 7, 16(1) and 28 or provides incomplete information in a notification, in breach of his/her duties, shall be the subject of an administrative sanction entailing payment of an amount ranging between Lit 10 million ….. + automatically (through references in the argument action) Article 7 (Notification ) 1. A controller intending to process personal data falling within the scope of application of this Act shall have to notify the Garante thereof, exclusively in the……….. + automatically Article 16 (Discontinuation of data processing ) 1. Should data processing be discontinued, for whatever reason, the controller shall be bound to preliminarly notify the destination of such data to the Garante. + automatically Article 28 (Transfer of personal data across national borders ) 1. Cross-border transfer of personal data undergoing processing, temporarily or not, in any form and by any means whatsoever, shall have to be notified in advance to the Garante if the country … Etc.

27. 27 Implicit answers : deontic inferences of norms through logic relations among rules (provisions) Query = Addressee (Controller) Obligations  Metadata = > Answer 1: Article 7 (Notification ) 1. A controller intending to process personal data falling within the scope of application of this Act shall have to notify the Garante ….. Answer 2: ….. Etc. ------>

28. 28 Implicit answers : deontic inferences of norms through logic relations among rules (provisions) + automatically Query = CounterParties (Controller) Duties Metadata = >, > Answer 3: (through logic relations) >, > Article 13 (Data subject's rights ) 1. In respect of the processing of personal data, any data subject shall have the right to: a) …………. b) be informed of what is mentioned under paragraph 4, subheadings a), b) and h), of article 7; Answer 4: (through references) ……… Artticle 7 (Notification ) 4. The notification shall specify: a) the name, denomination or trade name, the domicile, residence or registered office of the controller; b) the purposes and methods of the processing; h) the name, denomination ……; Etc.

29. 29 Use of the Metadata provisions in the Drafting process Helps drafting new complex acts, with planning its deep (functional) structure through graphic instrument based on metadata provisions and arguments. Selection from the ruled domain ontology of relevant terms Otherwise introduction of domain significant terms as arguments Partial conversion in definitional provisions Creation of regulatory relations (provisions outlines) Visualization of the act’s logical scheme: assessments and amendments Automatic conversion of the chart in the partitions structure Help in drafting the text for each provision Automatic titles of partitions, starting from the metadata of the provisions they include

30. 30 Use of the metadata Diagnostic provisions Automatic analysis of the relations between the provisions and their arguments inside an act ( internal check ) and between several acts ( external check ), in the light of the general rules of the law theory and lawmaking technique.