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TERECOM 2017
Regulatory and Legal Compliance
Proceedings of the JURIX 2017 1st Workshop on
Technologies for Regulatory Compliance
Luxembourg, December 13th 2017
Víctor Rodríguez-Doncel, Pompeu Casanovas, Jorge González-Conejero
(eds.)
With the Support of:
Copyright © 2017 for the individual papers by the papers' authors. Copying
permitted for private and academic purposes. This volume is published and
copyrighted by its editors.
Proceedings of the 1st Workshop on Technologies for Regulatory Compliance
Foreword
We are delighted to collect in this volume some of the papers presented
during the 1st Workshop on Technologies for Regulatory Compliance. This
workshop was motivated by the launching of the H2020 project LYNX. The
workshop took place in Luxembourg, on December 13th 2017, as a joint
activity within the 30th International Conference on Legal Knowledge and
Information Systems (JURIX2017).
Technologies for regulatory compliance are at the second stage of their
hype cycle, and we believe that the peak of inflated expectations have been
surpassed. Business compliance has been attracting significant attention
since the enactment the US Sarbanes–Oxley Act in July 2002. According to
the existing surveys, business compliance studies reached their zenith in
2009. Since 2009 the interest has only declined slightly. In recent times,
however, increasing attention is given to the new possibilities opened up
by linked data, big data analysis, and the Internet of Things.
Compliance by Design has been extended from business compliance to
new legal areas, such as administrative and criminal law, privacy, security,
and data protection. Terms like legaltech and regtech, coined on the
pattern of fintech terminology, came into popular use only in the past two
years. In this early phase of what promises to be a very significant
development for regulators and regulated institutions, a project supported
with EU public funds is trying to leverage the potential of regtech services
to overcome the barriers that prevent the full realization of a Digital Single
Market in Europe: Building the Legal Knowledge Graph for Smart
Compliance Services in Multilingual Europe [LYNX].
The LYNX project is based on a very simple idea: the critical mass of legal
open data on the web has been reached and if duly collected, analysed and
interlinked as a Legal Knowledge Graph, it will be ready to enable a new
breed of multilingual services for compliance.
Companies operating internationally or wanting to branch out to other
countries and markets, face significant compliance challenges to ensure
compliance with a multitude of laws and regulations. The management of
compliance (i.e. managing conformance to a set of laws, regulations,
policies, standards or best practices) is one of the key factors of success,
and the latest developments in technology enable a new types of
applications that facilitate its management. In order to develop
appropriate regtech products, new types of technologies and services are
2
Proceedings of the 1st Workshop on Technologies for Regulatory Compliance
required. These would be based on recent AI advances and focused on
assisting lawyers, regulators, compliance officers and, in some cases, also
citizens. Institutions that employ more effective tools to support
compliance management will benefit from a reduction in compliance risks
and even potential reductions in fines where inadvertent and non-
systemic contraventions happen to occur. A higher level of confidence in
their ability to manage compliance risks may also provide them with a
competitive advantage.
The contributions included in this volume provide different perspectives
regarding the vision of a collection of regulatory compliance services built
on top of a Legal Knowledge Graph. During the workshop these
perspectives were discussed by a multi-disciplinary group of participants,
including EU officials, legal and computer science scholars and
representatives from the legaltech industry. We hope that these
contributions can deepen the engagement on these topics with the
relevant research communities.
In Madrid, Melbourne, and Barcelona
December 2017
Víctor Rodríguez Doncel
Pompeu Casanovas
Jorge González-Conejero
Chairs
Acknowledgments
We would like to thank the Programme Committee members who provided
feedback about the papers presented in this volume, the H2020 Lynx project
partners whose insight was crucial to model the shared approach in this book, and
the University of Luxembourg team whose diligent work organising JURIX enabled
a pleasant and productive day.
In addition, we would like to acknowledge that Lynx has received funding from
the Horizon 2020 European Union (EU) Research and Innovation programme.
The work has also been supported by project DER2016-78108-P, Ministerio de
Economía y Competitividad (Spain), and the Law and Policy program of the Data
to Decisions Cooperative Research Centre (Australia).
3
Proceedings of the 1st Workshop on Technologies for Regulatory Compliance
Organizers of the workshop and editors of this volume
Víctor Rodríguez-Doncel
Universidad Politécnica de Madrid (UPM), Ontology Engineering Group, School of
Computer Sciences Engineering and Mathematics, Ciruelos 28660 Boadilla del
Monte, Madrid, Spain
Pompeu Casanovas
La Trobe University, La Trobe Law School, 3086 Bundoora, VIC Australia;
Universitat Autònoma de Barcelona, Institute of Law and Technology (IDT-UAB),
08193 Bellaterra, Spain; and Royal Melbourne Institute of Technology (RMIT),
Melbourne, Australia.
Jorge González-Conejero
Universitat Autònoma de Barcelona, Institute of Law and Technology (IDT-UAB),
08193 Bellaterra, Spain
Program Committee
Aldo Gangemi (CNR-ISTC Rome)
Christian Sageder (OpenLaws)
Clemens Wass (Openlaws)
Cristiana Santos (HRCIR - Universidade do Minho)
Elena Montiel-Ponsoda (Univ. Politécnica Madrid)
Georg Rehm (DFKI)
Giovanni Sartor (Univ. Bologna)
Guido Governatori (CSIRO)
Jim Baird (EMRIL Limited)
Louis de Koker (La Trobe University, Melbourne)
Markus Stumptner (Univ. South Australia)
Martin Kaltenböck (Semantic Web Company)
Mercedes Martínez González (Universidad de Valladolid)
Moe Wynn (Quensland Univ. of Technology)
Monica Palmirani (Univ. di Bologna)
Sean Goltz (Univ. of Waikato)
Serena Villata (CNRS, Sophia Antipolis)
Nino Rotolo (Univ. Bologna)
Pascual Boil (Cuatrecases, Barcelona)
Simon Steyskal (Technische Universität Wien)
Tom Gordon (Fraunhofer Institute)
Tom van Engers (Univ. Amsterdam)
Wolfgang Mayer (Univ. South Australia)
4
Proceedings of the 1st Workshop on Technologies for Regulatory Compliance
Table of Contents
A Short Introduction to the Regorous Compliance by Design Methodology
Guido Governatori (Keynote speech)
....….………………………………………………………………………………………………… 7-13
Building the Legal Knowledge Graph for Smart Compliance Services in
Multilingual Europe (invited paper)
Elena Montiel-Ponsoda, Víctor Rodríguez-Doncel, Jorge Gracia
....….………………………………………………………………………………………………..15-17
Mapping Cross-Border Margin Requirements
Jim Baird (invited paper)
…………………………………………………………………………………………………….. 19-23
LawORDate: a web service for distinguishing legal references and temporal
expressions in Spanish news and dataset descriptions
MaríaNavas-Loro
……………………………………………………………………………………………………....25-31
Legal Compliance by Design (LCbD) and through Design (LCtD): Preliminary
Survey
Pompeu Casanovas, Jorge González-Conejero, Louis de Koker
…………………………………………………………………………………………………….. 33-49
Semantic Workflows in Law Enforcement Investigations and Legal
Requirements
Wolfgang Mayer, Pompeu Casanovas, Markus Stumptner, Louis de Koker,
Danuta Mendelson
.……………………………………………………………………….......................................... 51-63
Formal Contract Logic Based Patterns for Facilitating Compliance Checking
against ISO 26262
Julieth Patricia Castellanos Ardila, Barbara Gallina
………………………........................................................................................................... 65-72
SmaRT Visualisation of Legal Rules for Compliance
Selja Seppälä, Marcello Ceci, Hai Huang, Leona O'Brien, Tom Butler
…………………………………………………………………………………………………….. 73-85
Detecting and Editing Privacy PolicyPitfalls on the Web
Cristiana Santos, Aldo Gangemi, Mehwish Alam
…………………………………………………………………………………………………….. 87-99
5