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Sagar Sunkle, Deepali Kholkar, and Vinay Kulkarni.
Tata Consultancy Services, India
Toward Better Mapping between Regulati...
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Toward Better Mapping between Regulations and Operational Details of Enterprises Using Vocabularies and Semantic Similarity

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Industry governance, risk, and compliance (GRC) solutions stand to gain from various analyses offered by formal compliance checking approaches. Such adoption is made difficult by the fact that most formal approaches assume that a mapping between concepts of regulations and models of operational specifics exists. We propose to use Semantics of Business Vocabularies and Rules along with similarity measures to create an explicit mapping between concepts of regulations and models of operational specifics of enterprises. We believe that this proposal takes a step toward adapting and leveraging formal compliance checking approaches in industry GRC solutions.

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Toward Better Mapping between Regulations and Operational Details of Enterprises Using Vocabularies and Semantic Similarity

  1. 1. Sagar Sunkle, Deepali Kholkar, and Vinay Kulkarni. Tata Consultancy Services, India Toward Better Mapping between Regulations and Operational Details of Enterprises UsingVocabularies and Semantic Similarity Disparity between Labels in Formal Regulations and Operational Specifics Mapping the vocabularies of regulations and operational specifics Sadiq et al., Governatori et al., Kamada et al. Formal Contract Language based on Defeasible Logics; Operational Specifics as a Business Process Model Ramezani et al. Rules as Petri-net Patterns, Operations from the Event Log Regulation:“A discount of 10% is granted if the customer is a gold customer; 5% are granted if the customer is a silver customer.” Knuplesch et al., Ly et al. Rules in terms of Compliance Rule Graph; Operations in terms of Events Regulation:“For payment runs with amount beyond euro 10,000, the payment list has to be signed before being transferred to the bank and has to be led afterwards for later audits.”+ Event“payment list A is transferred to the bank” Rule 1: Before opening an account, customer information must be obtained and verified. Rule 2: Whenever a customer requests to open a deposit account, customer information must be recorded before opening the account. Awad et al. Rules in Business Process Modeling Notation (BPMN) Query (BPMN-Q), later in Temporal Logic; operational specifics in terms of BPMN Models Regulation Text Formal Representation Enterprise Data VocabularyReg Conceptual Mapping based on Semantic Similarity BPMN Models Petri Net Models Other Operational Specifics Terminological Dictionaryoperations • Mapping between labels of formal representations of regulations and operational specific is usually implicitly assumed • A terminological mapping is necessary to tell where in the operational activities a rule from regulations becomes applicable • Semantics of business vocabulary and rules (SBVR) provides a semantic model for formal terminology with support for disambiguation of concepts via semantic communities Liu et al., Mueller et al. Rules in graphical Business Property Specification Language, later into Linear Temporal Logic; operational specifics in terms of BP models in the Business Process Execution Language, later into Pi calculus Vocabulary Terminological dic onary Body of shared concepts Body of shared meanings Body of shared guidance Element of guidance Seman c community presents unites Text ExpressionRepresenta on Designa on Defini on Verb Concept Wording Statement expression isUsedToExpress subCommunity meaning Meaning Concept Noun concept Verb concept Characteris c incorporates Logical Formula on Modal Formula on Obliga on Formula on Logical Opera on Logical Operand isBasedOn embeds Proposi on Legends Business Vocabulary Terminological Dic onary Meaning and Representa on Vocabulary Business Rule Vocabulary or Logical Formula on of Seman cs • Create vocabulary to capture regulatory and business domain using business vocabulary • Model regulation body of concepts with meaning and representation vocabulary concepts • Model body of guidance in terms of regulatory rules using business rules vocabulary • Model various representations of concepts used by regulatory and business communities including operational concepts using terminological dictionary • Ongoing- Exploit SBVR structure along with word/concept similarity measures This enables semantic mapping between concepts of regulations and operational specifics and streamlines regulatory compliance.

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