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Terminology Matching of Requirements Specification Documents and Regulations for Compliance Checking
1. Terminology Matching of
Requirements Specification
Documents and Regulations
for Compliance Checking
Tokyo Institute of Technology, Japan
Ryotaro Nakamura,Yu Negishi,
Shinpei Hayashi, and Motoshi Saeki
1
2. 2
Goal: Regulation-Compliant
Requirements Elicitation
Many regulations, laws, rules, etc. to follow
How to obtain requirements compliant to
regulations?
☞Verification &Validation to check compliance
after/during eliciting requirements
3. 3
Our Approach:
Systematic Checking
Formal and iterative ways to improve
compliance!
Requirements
Specification
Regulation
Regulation
Regulation
Regulation
Systematic check
of compliance
Feedback
4. Compliance Checking
w/ Model Checker [Saeki 09]
4
RegulationRegulationRegulation
Regulation
Compliance checking using
Model Checker
Feedback
Actor
UC1
S1 S2
State transition diag.
Use case desc.
Logical formula
Requirements Specification
p → AF q
5. Regulation
[Act on the Protection of Personal Information]
Use case description
Terminology Matching
5
...
3. The system gets from
a customer her address.
...
6. The system notifies the
purpose of utilization
to the customer.
When having acquired personal
information, a business operator
handling personal information
shall, ..., promptly notify the
person of the Purpose of
Utilization or publicly announce
the Purpose of Utilization.
How to associate these sentences?
6. Regulation
[Act on the Protection of Personal Information]Use case description
6
Case Grammar Approach
Requires semantic relationship of words
6
3. The system gets from
a customer her address
When having acquired personal
information, a business operator
handling personal information shall, ...
(Get,
actor: System,
object: Address,
source: Customer)
(Acquire,
actor: Business operator,
object: Personal information,
source: Person)
7. Dictionaries
Overview of OurTechnique
7
State transition
model
Use case
desc.
Case frames
w/ concepts
Sentences
in case
frame form
Properties
concept
hierarchy
: :
Case
frames
Regulations
Detecting
concepts
Generating
props.
Words
Model
checker
1st step 2nd step
Checking
consistency
8. Step 1: Detecting Concepts
8
verb actor object source
Learn Human |
Organization
Habit |
Studies
Human |
Organization
verb actor object source
Acquire Human |
Organization
Thing Human |
Organization
Dictionary of Case Frames
“The system gets from the
customer her address”
Case Structure
verb actor object source
Get System Address Customer
P
System Address Customer
Customer
HumanThing
Address
Dictionary of
Hierarchical Concepts
Get
Acquire
Learn
Term
Personal
information Person
✘
✔
Institution
Organization
Business
operator
9. Step 2: Instantiating
PropertyTemplate
9
(Acquire, ...)
∧ ¬ (Announce, ...)
→ AF ((Notify, ...) ∨ (Announce, ...))
verb actor object source
Get System Address Customer
Case frame from RD
Template
Instantiate every
possible candidates
(Get, System,Address, Customer)
∧ ¬ (Announce, ...)
→ AF ((Notify, ...) ∨ (Announce, ...)
(Get, System,Address, Customer)
∧ ¬ (Announce, ...)
→ AF ((Notify, ...) ∨ (Announce, ...))
(Get, System,Address, Customer)
∧ ¬ (Announce, ...)
→ AF ((Notify, ...) ∨ (Announce, ...))
10. 10
Implementation
Components
– Cabocha (Japanese lexical and dep. analyzer)
– NuSMV (Model checker)
– Dictionary: EDR Japanese dictionary
# words # concepts # frames
From EDR dic. 270000 410000 13000
Newly added by us 61 59 10
11. 11
Case Studies and Acts
Case 1: Online shopping (like Amazon)
– Act on Protection of Personal Information
• Article 18
– Act on Regulation of Transmission of Specified
Electronic Mail
• Article 3
– Act on Specified Commercial Transactions
• Articles 11 and 13
Case 2: Pet Store
– Act on Welfare and Management of Animals
• Articles 21 and 22
12. 12
Case 1: Online Shopping
Including 16 use cases
Show Change password
Send an ad-mail
Reject receiving
ad-mails
Confirm privacy
policy
Remove an item
from the cart
Open the items
of the cart
<<include>>
Sign up
Customer Admin
Log out
Delete account
Display the
detail of an item
Add an item to
the cart
<<include>>
Open search
page
<<include>>
<<include>>
Log in
<<include>>
Check out
Accept receiving
ad-mails
<<include>>
Open account
setting page
13. 13
Case 1: Results
Precision: 0.50 (4/8)
Recall: 0.66 (4/6)
Reason of failures:
– Structural differences of case frames
• “System receives payment” vs.“System approves payment”
– Regardless of relationships between formulas
14. 14
Case 2: Pet Store
Confirmed violation by comparing the results
– Operator shall show a buyer the cats/dogs that she
likes to by directly in advance
Reserve an appointment
to see cats/dogs
Register
animals
Show
cats/dogs
suggested to add
15. 15
Concluding Remarks
Conclusion
– A technique to support matching the words in a RD
and regulations for checking the consistency
– Word matching based on the concept hierarchy
– Confirmed the feasibility
Future work
– Improving accuracy of matching
– Larger case studies