Compliance Management with Digital Models of Decisions, Processes and the Law

EcoKnow conference

Søren Debois, Associate Professor, ITU

Hugo Andrés López, Assistant Professor, DIKU

Morten Marquard, CEO of DCR Solutions

We set out to build an engine that could build digital law…PRODUCT

TEXT IS MARKED UP DCR GRAPHS EXPRESSES THE SOP DECISIONS/ACTIONS ARE DISPLAYED

Action 1

Action 2

Action 3

Decision 1

Decision 2

Decision 3

All actions are documented and traceable—ready for audit

… and the product is now fully functional

Use case – landzonetilladelse – Planlovens§ 35

Embedded in system Simple ”decision graph” format

Tasks and decisions can either be embedded in an existing system or displayed in a simple ”decision graph” format

PRODUCT

.

Compliance Management with Digital Models of Decisions, Processes and the LawResearch highlights and main learnings

IT UNIVERSITY OF COPENHAGEN

Compliance

Business and Administrative Processes

Rules and Legislation

Security

Standard

Good Practice Guidelines

7

The act/process to ensure that business operations, processes, and practices arein accordance with prescriptive (often legal) documents. [1]

[1] G. Governatori, Representing business contracts in RuleML. Intl Journal of Cooperative Information Systems 14, 181-216. 2005

8

Size, complexity and variability of compliance sources are challenging

Antal paragraffer i hovedlove og antal ændrede paragraffer i hovedlove i perioden 1. januar 2007 - 1. juli 2019

Realitetsbehandlede klager og omgørelsesprocenter for kommunernes generelle behandling af sager på social- og beskæftigelsesområdet

9

Our goal is to reduce errors in case management by providing digital versions of processes, decisions and norms, so compliance can be enforced by-design

Laws, administrative procedures (text)

Process ModelsDigital Processes

§

What is Allowed?

What is legal?

What is possible?

Normative Models via DCR graphs12

• Norms define permissions, obligations, violations, and relations between articles/other laws.

• Declarative Process Models (ex. DCR graphs) prescribe the rules to be followed, rather than imposing a control flow

• Defines activities, roles, and behavioural constraints:• Conditions• Responses• Dynamic inclusion/exclusion.

Using Normative Models

13

§

Process ModelLegal Requirements Event logs/streams

Case Management System

Process Discovery Process DiscoveryConformance Checking/Monitoring

Model Testing

Legal Reasoning / Upskilling Compliant Process Execution

Legal Process Discovery

14

Legal Requirements

Manual Discovery Rule Patterns Machine Learning

Compliance as Process Refinement15

Process Model

The branch office manager checks whether the risks calculated by the supervisor or the clerk, are acceptable, after which he makes either the final approval or the rejection of the request

Digital traces

Executions permitted in the law

Normative Model

Model Testing & Law Comprehension• How do users mix textual/process views when modelling processes/properties?

17

• Case workers improve understanding of the lawCase worker: “My understanding of the law has improved, because I really need to think what does this specific line (sentence in a law) means in the (formal) context. I have got better understanding at service law in sections that I didn’t know, and I complement with my domain knowledge to complete the models”

Law student: “The process models and the highlighter in combination have changed the way I read the law. I read closer to the text. Having a visualization of the law and their effects help me understand better the law”.

Compliant Process Executions: Digitalization of the “Consolidation Act on Social Services” @ Syddjurs Municipality, Denmark

DCRSolutions.net

Case workerCompliance officer/Process owner

1. Import Relevant Regulations 2. Refine and simulate DCR models 3. Execute in DCR Open Case Manager

Some learnings on the approach

• Users need guidance in creating digital models of law

19

Article 50§

Laws

Measures:“What is a good

annotation?”

Knowledge workers:Understand the law

and the context

Construct Annotated Models

• Action: Annotation guidelines and NLP to guide process creation

• Metrics for Model-to-Model comparison

Lasse Starklit

Semantic-Preserving Process Discovery• Rule mining from legal documents is particularly challenging, as the

conditional structure of a rule is less apparent from texts:

20

“If the agent has completed his additional support and the clerk has issued the money order, the claim is closed.”

Syntactic parsingSemantic parsing

Exploring the conformance space

• When all executions are compliant-by-design, how can we discriminate between more or less desirable outcome?

• Necessary the quantification of outcomes • Combination between declarative models

and ML/Reinforcement Learning

21

CompliantTraces

Universe of Traces

Andrea Burattin DTU

Marco MontaliUniBZ

Alessandro GianolaUniBZ

Take home message

Digital Models of law bring benefits in transparency, compliance, and understanding of laws and their implementations.

“Declarative AI” blends rules, reasoning, AI, decisions, rule-based machine learning and explanations in a way that is compliant and understandable for

users

The construction of digital models of law needs requires an interdisciplinary team including law, ethics, computer and cognitive sciences

22

DCR Solutions’ application areas are primarily in the public sector and in healthcare/pharma

DCR AS A COMPANY

Digital processes and process mining in municipalities and

government agencies

Public sector Healthcare/Pharma

Digital SOP: a digital version of Standard Operating Procedures

(SOP)

Finance

Digital SOP: a digital version of Standard Operating Procedures

(SOP)

P 24

© D

CR

SO

LUTI

ON

S 2

02

0

Learn more about DCR at

DCR Portal: https://www.dcrgraphs.net

Documentation: https://documentation.dcr.design

Company: https://www.dcrsolutions.net

Thank you for listening

IT UNIVERSITY OF COPENHAGEN