1. 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

2. Innovation & Technology Law

3. State of the Art

4. Compliance Management Workflow (ICAIL 2013)

5. 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)

6. 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

7. 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.

8. 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

9. 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

10. 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

11. 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

12. Many thanks for the attention