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REGNET: Logic-Based Regulation Compliance Assistance. Shawn Kerrigan Bill Labiosa Gloria Lau Haoyi Wang Jie Wang Civil and Env. Engr. Pooja Trivedi Li Zhang Liang Zhou (former students) Computer Science Charles Heenan Researcher, Law Student.
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REGNET: Logic-Based Regulation Compliance Assistance Shawn Kerrigan Bill Labiosa Gloria Lau Haoyi Wang Jie Wang Civil and Env. Engr. Pooja Trivedi Li Zhang Liang Zhou (former students) Computer Science Charles Heenan Researcher, Law Student Kincho H. LawProf., Civil and Env. Engr. Jim Leckie Prof., Civil and Env. Engr. Barton Thompson Prof., School of Law Gio Wiederhold Prof., Computer Science Stanford University, Stanford, CA 94305
Motivation The complexity, diversity, and volume of federal and state regulations: • Require considerable expertise to understand • Increase the risk of companies failing to comply with environmental regulations • Hinder public understanding of the government • How would IT help • to make “applicable” regulations easily accessible? • to assist parties involved in regulation compliance?
Vision • Current state of compliance checking: • Paper-based process • Locating and interpreting the relevant regulations is complex, even with the help of supplementary information • Vision for future: • Up-to-date regulations and compliance-checking assistance procedures available online • Improved regulation and compliance-requirement transparency through clear presentation and linking • Research Goal • Developing information management frameworks that can facilitate public access to regulations and facilitate the compliance process.
Document Repository and RAS • Documents organized according to hierarchical structures • Includes a variety of documents – guidelines, background information, etc. • Developed a logic-based compliance assistance methodology and prototype • Integrates compliance assistance with the document repository
Classification Structures(EPA List of Extremely Hazardous Substances)
Research Questions • How can we make the information and rules more accessible? • How can we represent the information and rules in environmental regulations in a computer interpretable format? • How can we structure this information to assist with regulation compliance checking?
General Approach • Information integration • Formalization of meaning and relationships • Regulation-centric • Tie the information to the appropriate portion of the regulation
HTML to XML Regulation Parsing XML Structured Document
40 CFR 279 … Subpart A Subpart B Subpart I (a) Surface impoundment prohibition. Used oil shall not be managed in surface impoundments or waste piles unless the units are subject to regulation under parts 264 or 265 of this chapter. … … Section 279.10 Section 279.11 Section 279.12 Subsection (a) Subsection (b) Subsection (c) Example: … (a) Surface impoundment prohibition. Used oil shall not be managed in surface impoundments or waste piles unless the units … contains Translate To Hierarchical Structure PART 279—Standards For The Management Of Used Oil Subpart B – Applicability … § 279.12 Prohibitions. (a) Surface impoundment prohibition. Used oil shall not be managed in surface impoundments or waste piles unless the units are subject to regulation under parts 264 or 265 of this chapter. (b) Use as a dust suppressant. The use of used oil as a dust suppressant is prohibited, except when such activity takes place in one of the states listed in § 279.82(c). (c) Burning in particular units. Off-specification used oil fuel may be burned for energy recovery in only the following devices: (1) Industrial furnaces identified in § 260.10 of this chapter; (2) Boilers, as defined in § 260.10 of this chapter, that are identified as follows: (i) Industrial boilers located on the site of a facility engaged in a manufacturing process where substances are transformed into new products, including the component parts of products, by mechanical or chemical processes; ….
Regulation Parsing § 279.12 Prohibitions. (a) Surface impoundment prohibition. Used oil shall not be managed in surface impoundments or waste piles unless the units are subject to regulation under parts 264 or 265 of this chapter. • <regElement id = “40.cfr.279.12” title = “Prohibitions”> < regElement id = “40.cfr.279.12.a” title = “Surface Impoundment prohibition”> <regText> • Used oil shall not be managed in surface impoundments or waste piles unless the units are subject to regulation under parts 264 or 265 of this chapter. • </regText> </regElement></regElement>
Abbreviated XML Representation <regulation id="40.cfr.279" name="Standards For The Management Of Used Oil" type="US Federal" versionDate="January 24, 2003“ source="http://www.access.gpo.gov/ecfr/" > … <regElement id="40.cfr.279.B" name="Subpart B"> … < regElement id="40.cfr.279.12" name="Prohibitions"> < regElement id="40.cfr.279.12.a" name="Surface Impoundment prohibition"> <regText> <paragraph> Used oil shall not be managed in surface impoundments or waste piles… </paragraph> </regText> </regElement> <regElement id="40.cfr.279.12.b" name="Use as a dust suppressant"> … </regElement> … </regElement> … </regElement> …</regulation>
Document Program Adding Meta-Data to Regulations Add Concepts Add Definitions Original XML document Regulation tagged with meta-data Reference Extraction Add LogicalInterpretation Add LegalInterpretation
What is a “Concept”? • Examples: • emission requirement • leaked hazardous substance • disposal of solvents • principal hazardous constituent • Why are they useful? • identify similar regulations even when they do not reference each other • provide a “context” for the regulation provision
Tagging with Concepts <regText>Used oil shall not be managed in surface impoundments or waste piles unless the units are subject to regulation under parts 264 or 265 of this chapter. </regText> <regText>Used oil shall not be managed in surface impoundments or waste piles unless the units are subject to regulation under parts 264 or 265 of this chapter. </regText> <concept name = “waste pile” /><concept name = “surface impoundment” />
Parsing References PART 279—Standards For The Management Of Used Oil Subpart B – Applicability … § 279.12 Prohibitions. (a) Surface impoundment prohibition. Used oil shall not be managed in surface impoundments or waste piles unless the units are subject to regulation under parts 264 or 265 of this chapter. (b) Use as a dust suppressant. The use of used oil as a dust suppressant is prohibited, except when such activity takes place in one of the states listed in § 279.82(c). (c) Burning in particular units. Off-specification used oil fuel may be burned for energy recovery in only the following devices: (1) Industrial furnaces identified in § 260.10 of this chapter; (2) Boilers, as defined in § 260.10 of this chapter, that are identified as follows: (i) Industrial boilers located on the site of a facility engaged in a manufacturing process where substances are transformed into new products, including the component parts of products, by mechanical or chemical processes; (ii) Utility boilers used to produce electric power, steam, heated or cooled air, or other gases or fluids for sale; or (iii) Used oil-fired space heaters provided that the burner meets the provisions of § 279.23. (3) Hazardous waste incinerators subject to regulation under subpart O of parts 264 or 265 of this chapter. § 262.11 Used Oil Specification. …..
Parsing References Original XML document Reference Extraction XML with Reference List Before: <regText>(a) Surface impoundment prohibition. Used oil shall not be managed in surface impoundments or waste piles unless the units are subject to regulation under parts 264 or 265 of this chapter.</regText> After: <regText>(a) Surface impoundment prohibition. Used oil shall not be managed in surface impoundments or waste piles unless the units are subject to regulation under parts 264 or 265 of this chapter.</regText><reference id = "40.cfr.264" /><reference id = "40.cfr.265" />
Regulation Assistance System (RAS) • Provides a unifying web interface for the regulation documents and meta-data • Demonstrates the usefulness of XML structured regulation documents with meta-data • Works with a logic-based compliance-checking assistance system to demonstrate web-based regulation services
RCCsession • Implements compliance checking procedure Otter* • Attempts to find proof by contradiction from input file RAS System Structure XML-based Regulations RASweb Regulation Compliance Decision Additional Input Files • Provides web interface • Displays regulation information Interactive User Input User input Results / requested information Logic input file Found proof / no proof found * Otter is an automated-deduction program developed by William McCune at Argonne National Laboratory
XML Embedded Logic • Using FOPC • Target area is regulation compliance assistance tools • Model regulations in a simplified form • Does not handle issues of open texture, deontic modality, or subjunctive conditionals
XML Embedded Logic 40.CFR.279.12.b – Use as a dust suppressant: “The use of used oil as a dust suppressant is prohibited…” Rule logic approximately models the rules specified by the regulation: <logicSentence>all _o (usedOil(_o) ForwardImplies -(dustSuppressant(_o))).</logicSentence>
XML Embedded Logic LogicOption elements define the user interface: <logicOption> <question> Is the used oil used as a dust suppressant? </question> <logicOpt answer = "yes"> (usedOil(oil1) AND dustSuppressant(oil1)). </logicOpt> <logicOpt answer = "no"> (usedOil(oil1) AND (-(dustSuppressant(oil1))). </logicOpt></logicOption>
Control Statements Control statements specify processing instructions for compliance-checking <control> <goto target = "40.cfr.279.65" /> <switchTo target = "40.cfr.279.73" /></control> <control> <end target = "40.cfr.279.12" /></control>
Standard logic syntax XML compliant substitution XML Substitutions -> ForwardImplies <- ReverseImplies <-> EquivalentTo & AND | OR Logic substitutions:
PTP stack maintains a list of provisions that need to be investigated PTP Provisions to Process • APP list keeps track of provisions for which processing is complete APP Already ProcessedProvisions Processing Algorithm • Depth-first tree traversal starting at a selected provision
Determining Compliance Three Steps • Verify regulation • Interactive Q&A • Compile results
Determining Compliance Start • Verify XML against DTD • Verify logic rule sentences are consistent VerifyRegulation InteractiveQ&A CompileResults End
Determining Compliance Start • Depth-first traversal of XML regulation • Ask user questions • Follow appropriate control elements • Check for logic sentence contradictions • Compile results if tree traversal is complete or logic sentence contradiction is found VerifyRegulation InteractiveQ&A CompileResults End
Determining Compliance Start • Check logic sentences are consistent • If sentences are inconsistent, find the source of inconsistency • Inconsistency implies non-compliance; assume compliance if sentences are consistent VerifyRegulation InteractiveQ&A CompileResults End
Processing FOPC with Otter • Use Otter to identify logic sentence contradictions • Read proof output by Otter to identify logic sentences that are involved • Can map logic sentences in proof back to regulation rules or user responses
Information Problem Broader Perspective • What regulations? • Implement compliant procedures. How to comply?
Summary • Can decompose regulations into a structured XML document • Adding rich meta-data about regulations enables more sophisticated interaction with the documents • Automated assistance with environmental compliance-checking may be possible
Thank You! Questions?