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Normative requirements for regulatory compliance: An abstract formal framework

Author

Listed:
  • Mustafa Hashmi

    (NICTA Queensland)

  • Guido Governatori

    (NICTA Queensland)

  • Moe Thandar Wynn

    (Queensland University of Technology (QUT))

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).

Suggested Citation

  • Mustafa Hashmi & Guido Governatori & Moe Thandar Wynn, 2016. "Normative requirements for regulatory compliance: An abstract formal framework," Information Systems Frontiers, Springer, vol. 18(3), pages 429-455, June.
    • Handle: RePEc:spr:infosf:v:18:y:2016:i:3:d:10.1007_s10796-015-9558-1
    DOI: 10.1007/s10796-015-9558-1
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    References listed on IDEAS

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    1. Linh Thao Ly & Stefanie Rinderle-Ma & Kevin Göser & Peter Dadam, 2012. "On enabling integrated process compliance with semantic constraints in process management systems," Information Systems Frontiers, Springer, vol. 14(2), pages 195-219, April.
    2. El Gammal, A. & Turetken, O. & van den Heuvel, W.J.A.M. & Papazoglou, M., 2010. "Root-cause analysis of design-time compliance violations on the basis of property patterns," Other publications TiSEM c3c81885-1432-416e-ae7f-7, Tilburg University, School of Economics and Management.
    3. Rafael Accorsi & Lutz Lowis & Yoshinori Sato, 2011. "Automated Certification for Compliant Cloud-based Business Processes," Business & Information Systems Engineering: The International Journal of WIRTSCHAFTSINFORMATIK, Springer;Gesellschaft für Informatik e.V. (GI), vol. 3(3), pages 145-154, June.
    4. Jörg Hoffmann & Ingo Weber & Guido Governatori, 2012. "On compliance checking for clausal constraints in annotated process models," Information Systems Frontiers, Springer, vol. 14(2), pages 155-177, April.
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    Cited by:

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    2. Haluk Demirkan & James C. Spohrer, 2016. "Emerging service orientations and transformations (SOT)," Information Systems Frontiers, Springer, vol. 18(3), pages 407-411, June.
    3. Pedro Antunes & Jose A. Pino & Mary Tate & Alistair Barros, 0. "Eliciting Process Knowledge Through Process Stories," Information Systems Frontiers, Springer, vol. 0, pages 1-23.
    4. Robert Muthuri & Sara Capecchi & Emilio Sulis & Ilaria Angela Amantea & Guido Boella, 2022. "Integrating value modeling and legal risk management: an IT case study," Information Systems and e-Business Management, Springer, vol. 20(1), pages 27-55, March.
    5. Pompeu Casanovas & Louis de Koker & Mustafa Hashmi, 2022. "Law, Socio-Legal Governance, the Internet of Things, and Industry 4.0: A Middle-Out/Inside-Out Approach," J, MDPI, vol. 5(1), pages 1-28, January.
    6. Mustafa Hashmi, 2022. "On Modelling Process Aspects With Deontic Event-Calculus," International Journal of Service Science, Management, Engineering, and Technology (IJSSMET), IGI Global, vol. 13(1), pages 1-19, January.

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