Managing Regulatory Compliance: a Business-CentredApproach

SCHEME: CORE

CALL: 2009

DOMAIN: IS - Business Service Design

FIRST NAME: Pierre

LAST NAME: Kelsen

INDUSTRY PARTNERSHIP / PPP: No

INDUSTRY / PPP PARTNER:

HOST INSTITUTION: University of Luxembourg

KEYWORDS: Compliance Management, Business Process Management, Policy Management, Normative Systems, Enterprise Models, Visual Languages, Formal Methods

START: 2010-05-01

END: 2013-04-30

WEBSITE: https://www.uni.lu

Submitted Abstract

The processes that underpin the businesses of our everyday lives are governed by regulations of ever growing complexity. In this context, it is important (a) to be able to describe these complex regulations rigorously, precisely and nambiguously, (b) that business practitioners are actually able to specify both regulations and business processes, and (c) to be able to check in an automated way that business processes comply with their underlying regulations. This project proposes to tackle these three issues. On one hand we want to improve existingapproaches to formally describe (or model) norms. On the other hand we would like to make this practical and usable by practitioners in such a way that the mathematical based formalisms involved in norm specification do not constitute a barrier to practitioners that know the business domain, but not the underlying mathematical formalism being used and so we propose a visualbased approach to norm specification. Finally, we intend to check the compliance of business processes against the norms that govern them in order to be able to detect in an automated way business processes that violate their underlying regulations.The proposed research project aims at creating added value for service-related industries (e.g. in the banking sector) by making the specification of business processes and norms rigorous and precise yet accessible to domain experts, and enabling an automated approach to compliance checking. This should provide means to ensure that services are aligned with their underlying local and international regulations. With the growing need for regulatory compliancethis will strengthen the expertise in service science in Luxembourg.

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