REGNET: Information Infrastructure for Regulation Management and Compliance Checking

3. The Public and Scientific Problem Regulations are established to protect the public Many organizations participate to set and use regulations Regulations greatly constrain businesses� actions Interpretation of regulations is costly and inconsistent Regulations are written in natural language They are voluminous, often incomplete, sometimes conflicting The objects and interests being regulated are often encoded Many sources of supportive documents � interpretative documents, guidelines, etc..

7. Some (Very) Preliminary Results Parsing unstructured documents into �tagged� processable format Investigating methodology to establish concepts and classification structures in the regulatory documents Developing a �logic-based� compliance assistance system

9. Parsing Process

10. Parsing Process (cont.) a) Check for wrapped-around words at end of each line. b) If part-word with hyphenation occurs(at the end of a line), combine it with the part-word at the beginning of the next line.

11. Parse Process(Cont.) c) Check the newly combined word against the Webster dictionary. 1) call �$> webster [word]� 2) get the responding message 3) parse the response (i) If the combined word is a legal word, leave it in the document. (ii) If the combined word is indeed an hyphenated word(or the word has been misspelled), print it in an error file with its location(in file) and error message itself. 4. Represent the documents with an hierarchical structure.

13. Levels of Hierarchy Part Subpart A, B, etc. Section 262.34, etc. Subsection (a), (b), etc. Subsection (a)(1). Subsection (a)(1)(i). Subsection (a)(1)(i)(A). Subsection (a)(1)(i)(A)(3).

14. Result Output in XML format: <regulation level = �1� title = �Part 262�> text describing Part 262. <regulation level = �2� title = �Subpart A�> text describing Subpart A. <regulation level = �3� title = �262.34�> text describing Section 262.34. <regulation level = �4� title = �(a)�> text describing Subsection a. <regulation level = �5� title = �(1)�> text describing Subsection a(1). </regulation> </regulation> </regulation> </regulation> </regulation>

17. Home pagehttp://eil.stanford.edu/regnet/

18. Semio � Establishing Classification Structures

19. Classification Structures(EPA List of Extremely Hazardous Substances)

20. Classification Structures (cont�d)

21. Classification Structures (cont�d)

22. Displaying Context using Semio

23. Access to Actual pdf Documents

29. This is the main webpage. From here users can elect to change the display setting (click on �settings), start a compliance check session, view a regulation (with all the attached meta-data), or edit the logic for a regulation provision (not yet implemented ? not show in this screen shot).This is the main webpage. From here users can elect to change the display setting (click on �settings), start a compliance check session, view a regulation (with all the attached meta-data), or edit the logic for a regulation provision (not yet implemented ? not show in this screen shot).

30. The user can choose what he/she would like displayed from this page. In this screen shot, I have turned all the options on.The user can choose what he/she would like displayed from this page. In this screen shot, I have turned all the options on.

31. This slide starts an example where we are looking at the regulation provision 40.cfr.279.12.aThis slide starts an example where we are looking at the regulation provision 40.cfr.279.12.a

32. Here we can see the regulation text for the provision, �(a) Surface impoundments��, the Help associate with this provision (references to other regulations, guidance docs, etc � not yet done), the legal interpretation (also not yet done), and the source logic that the compliance checking system works with when it reads this provision.Here we can see the regulation text for the provision, �(a) Surface impoundments��, the Help associate with this provision (references to other regulations, guidance docs, etc � not yet done), the legal interpretation (also not yet done), and the source logic that the compliance checking system works with when it reads this provision.

33. This slide starts a compliance checking example where the user is non-compliant. This is a long example, but demonstrates several features of the system. First, it shows how the system walk users step-by-step through the system. Second, it shows how the system automatically checks are required provisions when they are referenced. Third, it shows how the system helps non-compliant users identify where the problem is.This slide starts a compliance checking example where the user is non-compliant. This is a long example, but demonstrates several features of the system. First, it shows how the system walk users step-by-step through the system. Second, it shows how the system automatically checks are required provisions when they are referenced. Third, it shows how the system helps non-compliant users identify where the problem is.

34. This slide shows the simple question and answer system used by the compliance checker to gather input. The exact provision the question is related to is show in bold. The help, legal interpretation, and logic are off the page. I chose to cut these parts out so that screen shot would be readable. (the help and legal interpretation sections are empty anyway)This slide shows the simple question and answer system used by the compliance checker to gather input. The exact provision the question is related to is show in bold. The help, legal interpretation, and logic are off the page. I chose to cut these parts out so that screen shot would be readable. (the help and legal interpretation sections are empty anyway)

35. The regulation provision display needs some work, and does not do a good job of showing the regulation hierarchy. (1) and (2) fall under (c) but I don�t have a good way to get this to indent properly in HTML yet.The regulation provision display needs some work, and does not do a good job of showing the regulation hierarchy. (1) and (2) fall under (c) but I don�t have a good way to get this to indent properly in HTML yet.

39. The system identifies we are not in compliance. It lists the questions and answers that resulted in the non-compliance, and lists the regulation provisions that were involved. Here we see that 40.cfr.279.12.c.2.iii requires compliance with 279.23 if space heaters are used. We said we are using space heaters. 279.23 says the space heater cannot have a capacity greater then 0.5 million BTU, a requirement that we said our space heater does not meet. Therefore we are not in compliance with 279.23, so we are not in compliance with 279.12.The system identifies we are not in compliance. It lists the questions and answers that resulted in the non-compliance, and lists the regulation provisions that were involved. Here we see that 40.cfr.279.12.c.2.iii requires compliance with 279.23 if space heaters are used. We said we are using space heaters. 279.23 says the space heater cannot have a capacity greater then 0.5 million BTU, a requirement that we said our space heater does not meet. Therefore we are not in compliance with 279.23, so we are not in compliance with 279.12.

40. Ongoing Works Improve regulation parser � generalization and link references within regulations Refine the regulation taxonomy � through collaboration with knowledgeable experts Develop regulation logic and define standard structures Integrate concepts and compliance checking Build links to State regulations, interpretative documents, and other sources. Build alliances with small business coalitions, public citizen groups, EPA offices, other collaborators, etc.