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CHAPTER 4. BUILDING A COMPLIANCE ASSISTANCE SYSTEM

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Figure 4.27 Example of checking multiple answers during compliance checking

4.4.4 Tracking Compliance with an Audit Trail

Following a completed compliance check, a user may view and download a log of the

compliance checking session. This is shown in Figure 4.28. This is a feature companies

we met with felt would be valuable for record keeping or when revisiting the regulations

at a later date. Log files are not only useful for record keeping audit trails; they may be

uploaded to the system at a later date. Uploading log files allows users to check for

compliance against regulations that have been modified since the previous compliance

check. Log files may also be modified to reflect changing operations or allow checking

of different scenarios. Modifications to the log file are made by simply removing the

answers that a user does not wish to keep. This is shown in Figure 4.29.

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CHAPTER 4. BUILDING A COMPLIANCE ASSISTANCE SYSTEM

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Figure 4.28 Viewing log of compliance check

Figure 4.29 Editing a compliance checking log

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CHAPTER 4. BUILDING A COMPLIANCE ASSISTANCE SYSTEM

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4.5 Related Research

Representation of regulations and laws has been an active research area for decades.

There has been a great deal of work done on building expert systems for law [87, 104,

111]. T. Bench-Capon provided a review on the applications of knowledge-based

systems for legal applications, particularly the research and development efforts related to

the Alvey DHSS Demonstrator project in the U.K. [10]. The reference includes a large

number of citations that appeared before 1990 that are related to logic and rule based

approaches and their application in legal systems. Much of the earlier work in IT and law

focused on building systems to optimize decisions with respect to laws, particularly tax

law [59]. Some of the recent work has focused on investigations into case-based

reasoning and information retrieval [19, 97]. Methodologies for tailoring legal

documents to users’ needs have also b een studied [82]. While legal knowledge

representation and reasoning has been an active research topic [73-75], an integrated

approach covering the management of regulations, efficient access and retrieval of

documents and tools for compliance checking is missing.

In the past thirty years great strides have been achieved in advancing theorem-proving

technology [110]. Research for new formalisms and specialized logics [40, 88] continue

to improve reasoning speed and non-monotonic reasoning capabilities. The work

presented in this thesis builds on these trends in both legal informatics and theorem

proving technology.

Two research projects in particular are closely related to the work presented in this thesis.

Royles wrote his thesis on the intelligent presentation and tailoring of online legal

information [83]. His goal was to take a new look at how expert systems could be

interacted with over the Internet to provide advice and document customization services

[82]. A prototype implementation was built to provide private consultations with users to

help them identify relevant benefits they might be able to collect from the government.

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CHAPTER 4. BUILDING A COMPLIANCE ASSISTANCE SYSTEM

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Some of the main features of this prototype are document customization to reduce the

amount of unnecessary information provided to users, the use of simple knowledge

representation via HTML meta-tags, and a proxy-server to do the intelligent document

customization and protect the user’s privacy from the primary information source. The

problem areas addressed by Royles’ research work are complementary to those the work

this thesis addresses. Royles’ work provi des important guidance for how many of the

privacy questions that might arise from work in this thesis could be addressed, and

provides a model for how a tiered implementation of the compliance system might be

implemented.

Jie Wang [106] discussed in his thesis the development of an integrated and distributed

information management infrastructure to support hazardous waste compliance, research

work that was a precursor to the work presented in this thesis and laid much of the

groundwork for it. This thesis develops an information broker model as a solution to the

problem. The thesis investigates the information organization of regulations, a

distributive framework for the compliance process, and issues of information

interoperability for the compliance process. These are important issues in the design of

any regulation compliance assistance system.

4.6 Summary

This chapter has discussed the development of a regulation assistance system and related

work. The development of a first order predicate calculus based regulation compliance-

assistance system and the required extensions to the XML regulation standard has been

examined in detail in this chapter. We have described in detail the prototype effort for

the regulation assistance system, and the regulation assistance system is illustrated in the

domain of used oil management. First, an overview of how the regulation assistance

system works, and the motivation for it, was provided as a point of reference. Second,

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CHAPTER 4. BUILDING A COMPLIANCE ASSISTANCE SYSTEM

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propositional and predicate logic were briefly introduced. Third, the types of metadata

added to XML regulations to enable a logic-based compliance-assistance system were

discussed. Fourth, the algorithms used for compliance checking were examined. Fifth,

use of the RAS system was illustrated. Finally, related research work in this area was

reviewed.

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Chapter 5

Broader Compliance Perspective

5.1 The Overall Compliance Process

The work presented in the previous chapters has primarily focused on the issue of how

one can determine the requirements for a specific regulation provision. Given a

particular regulation provision, the work in earlier chapters helps one determine if one is

in compliance with the regulation, and what needs to be done if one is not in compliance.

This chapter presents how that work fits in the overall compliance process.

The compliance process from the perspective of the regulated community can be broken-

down into three general steps, which are illustrated in Figure 5.1. In the first step, one

must determine which sets of regulations one must comply with. As mentioned earlier,

this can be a very challenging task. Searching for relevant regulations can be done by

checking with trade groups, regulators, or searching the Internet. In unfortunate cases,

relevant regulations can still be identified by environmental inspectors when they audit

the company. This initial step of identifying regulations to comply with is critical, since

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CHAPTER 5. BROADER COMPLIANCE PERSPECTIVE

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What regulations do I

need to comply with?

Am I in compliance?

How can I comply?

Implement the

compliance requirements.

Information

Problem

Figure 5.1 Three general steps for the compliance process

if regulations are overlooked the company is unlikely to be in compliance with them.

Identifying regulations that need to be complied with is clearly an information problem,

so information technology can be applied to address this problem.

In the second step of compliance process, one must determine if one is in compliance

with the regulations, or what needs to be done in order to comply with them. This has

been discussed at length in this thesis, and can be a very complicated task. Determining

if one is in compliance with a regulation can require extensive research into the

regulation requirements, often by investigating supplementary information associated

with the regulation.

The third step of the compliance process is to implement the requirements of the relevant

regulations in one’s busine ss processes. Implementing the required processes for

compliance may be expensive and time-consuming, but the cost associated with

complying with the regulations is generally difficult to address with information

technology. From an economic perspective, environmental regulation is often the

government’s approach to forcing polluters to internalize their external costs by somehow

CHAPTER 5. BROADER COMPLIANCE PERSPECTIVE

153

taking into account the cost of particular waste discharges [69]. External costs are costs

that are incurred by the environment or society, but are not adequately reflected in market

prices. An example of an external cost might be the damage done to the environment

when a company disposes of its waste into a river. The government might force a

company to internalize this cost by taxing waste disposed into the river or requiring a

different method of disposal altogether. If wastes must be disposed in a different, more

expensive manner to prevent them from contaminating the environment, there may not be

an information technology solution that significantly reduces the cost of this disposal.

Information technology may be applicable in some instances to reduce the cost of

complying with a regulation. For example, this might be possible by reducing the cost of

reporting requirements by streamlining the paperwork and data transfer. In general

though, the cost of complying with the requirements of a regulation is associated with

taxes or changes in business processes. Unlike the previous two steps in the compliance

process, this third step of complying with a regulation generally is not primarily an

information problem.

This thesis presents work that has sought to address the information problem component

of the compliance process. The RAS system primarily addresses the second of these two

compliance steps, i.e., helping to determine if one is in compliance with a regulation, by

guiding users through regulations. The RAS system is designed, however, such that it

can be used as a component in a larger system that would also assist a user in identifying

regulations that need to be investigated, thus addressing the broader information problem

of the first two steps in the compliance process. Towards that end, the RAS system is

designed such that it can initiate compliance checks at any point within a regulation, and

a compliance check can be started by connecting to the RAS system with a target

regulation encoded in a web browser’s URL. With this de sign, our work contributes

towards reducing the overall information problem associated with complying with

environmental regulations.

CHAPTER 5. BROADER COMPLIANCE PERSPECTIVE

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5.2 Example Internet-Enabled Guidance System

To demonstrate how straightforward it can be to build a compliance guide for a specific

application utilizing the RAS system and the document repository as a component

system, a sample online guide has been built for vehicle maintenance shops. The vehicle

maintenance shop online guide is adapted from a paper-based guide developed by the

New York State Department of Environmental Conservation Pollution Prevention Unit

[67]. Our adaptation is for demonstration purposes only since the original guide provides

state regulation references while our online guide links users to federal regulations

analogous to the state requirements. Linking to federal regulations is sufficient for

developing a research demonstration system, since implementing the state’s version of

the regulations in a fully annotated XML form can be done using the same methodology

that is used for the federal regulations and discussed earlier. In addition, for the case of

used oil regulations the New York state regulations are similar to the federal regulations,

so linking to federal regulations adequately illustrates the functionality possible with the

system.

The online guide for vehicle maintenance shops explains what regulations apply to

typical work done in that industry. The guide explains in plain language why vehicle

maintenance shops are regulated, and how it is important for the health of the

environment that vehicle maintenance shops follow the regulations. The guide then lists

a number of common materials and activities used by vehicle maintenance shops in the

course of business. Each of these materials or activities has a web page dedicated to

explain in plain language regulatory requirements governing the material or activity. The

original paper-based guide explains general requirements and then references applicable

regulations for more detail. This creates a problem, because when readers are referred to

the regulation, they are back to the original dilemma that the guide is attempting to

address; the problem of dealing with all the issues associated with finding, working with,

and interpreting regulations. Our online adaptation provides a solution to the reference

CHAPTER 5. BROADER COMPLIANCE PERSPECTIVE

155

problem in the form of an additional feature that links references to the RAS system.

These links enable users to click on referenced regulations, which will connect to the

RAS system, to check for compliance by guiding the user through the regulation itself.

Figure 5.2 through Figure 5.4 illustrate the link between the vehicle maintenance shop

online guide and the regulation assistance system. Figure 5.2 shows the starting web

page for the vehicle maintenance shop online guide, from which users may access

information on specific materials or processes, like used oil. Selecting the used oil link

brings the user to the web page illustrated in Figure 5.3, which shows the regulatory

requirements for used oil. Note the reference in Figure 5.3 to a regulatory provision, 40

CFR 279.23, which is used as a link to the regulation assistance system. Figure 5.4

shows the RAS system, as accessed from the used oil web page of the vehicle

maintenance shop online guide. From the RAS system users can check for compliance

with the referenced used oil regulation provision or connect to the document repository to

look for related supplementary documents. The linking to the RAS system allows users

to check for compliance with specific regulatory requirements referenced from the

vehicle maintenance shop guide.

Figure 5.5 illustrates how the regulation assistance system and many different online

regulation guides can work together. There can be many online guides with functionality

similar to that of the vehicle maintenance guide. An individual (the client) attempting to

comply with regulatory requirements could identify a relevant online guide addressing

the appropriate industry focus for his or her situation. The online guide can then refer the

client to the relevant parts of applicable regulations by using hyperlinks to a regulation

assistance system. This design allows many different online guides to all refer back to a

single regulation assistance system.

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