Legal compliance by design (LCbD) and through design (LCtD) : preliminary survey

1st Workshop on Technologies for Regulatory Compliance co-located with the 30th International Conference on Legal Knowledge and Information Systems (JURIX 2017). The purpose of this paper is twofold: (i) carrying out a preliminary survey of the literature and research projects on Compliance by Design (CbD); and (ii) clarifying the double process of (a) extending business managing techniques to other regulatory fields, and (b) converging trends in legal theory, legal technology and Artificial Intelligence. The paper highlights the connections and differences we found across different domains and proposals. We distinguish three different policydriven types of CbD: (i) business, (ii) regulatory, (iii) and legal. The recent deployment of ethical views, and the implementation of general principles of privacy and data protection lead to the conclusion that, in order to appropriately define legal compliance, Compliance through Design (CtD) should be differentiated from CbD

Theory of Regulatory Compliance for Requirements Engineering

Regulatory compliance is increasingly being addressed in the practice of requirements engineering as a main stream concern. This paper points out a gap in the theoretical foundations of regulatory compliance, and presents a theory that states (i) what it means for requirements to be compliant, (ii) the compliance problem, i.e., the problem that the engineer should resolve in order to verify whether requirements are compliant, and (iii) testable hypotheses (predictions) about how compliance of requirements is verified. The theory is instantiated by presenting a requirements engineering framework that implements its principles, and is exemplified on a real-world case study.Comment: 16 page

Anglo-American corporate governance and the employment relationship: a case to answer

The corporate governance environment in the UK and US is generally thought to be hostile to the emergence of cooperative employment relations of the kind exemplified by labour-management partnerships. We discuss case study evidence from the UK which suggests that, contrary to this widespread perception, enduring and proactive partnerships may develop, in conditions where management can convince shareholders of the long-term gains from this approach, and where other regulatory factors operate to extend the time-horizon for financial returns. We conclude that there is more scope than is commonly allowed for measures which could reconcile liquidity in capital markets with cooperation in labour relations

Labor Flexibility, Legal Reform and Economic Development

The current global financial crisis has provoked intense criticism of the regulatory framework for financial markets. Financial market flexibility, once considered the key to successful financial institutions and economic growth, has now come under intense scrutiny. In contrast, labor market flexibility is still promoted by scholars and international policymakers as an essential part of the recipe for economic development. This Article argues that the predominant understanding of labor flexibility is misguided and needs to be revised. To illustrate why, the Article undertakes a critical examination of labor flexibility as developed by a leading World Bank project, called “Doing Business.” It argues that the project mischaracterizes countries’ labor regulations by failing to consider the full range of legal sources, surveying only the law in the books, and remaining blind to the realities of lack of enforcement and rampant economic informality. More importantly, the project promotes a binary understanding of flexibility that fails to capture the relational character of legal entitlements. Proposed legal reforms in the direction of “flexibilization” can therefore be both costly and ineffective. As an alternative, this Article develops a framework which, incorporating insights from comparative law and legal theory, proceeds in two steps. First, it undertakes a doctrinal assessment of the respective rights, duties, and privileges of employers and employees in the labor market, and asks whose flexibility is enhanced. Second, it pays attention to the link between the formal and informal economic sectors. Using the examples of the United States and Mexico, the Article illustrates how this new framework can lead to a better sense of the relationship between labor law and a country’s economy, and can be used as a better map for regulatory reforms

GDPR Privacy Policies in CLAUDETTE: Challenges of Omission, Context and Multilingualism

The latest developments in natural language processing and machine learning have created new opportunities in legal text analysis. In particular, we look at the texts of online privacy policies after the implementation of the European General Data Protection Regulation (GDPR). We analyse 32 privacy policies to design a methodology for automated detection and assessment of compliance of these documents. Preliminary results confirm the pressing issues with current privacy policies and the beneficial use of this approach in empowering consumers in making more informed decisions. However, we also encountered several serious issues in the process. This paper introduces the challenges through concrete examples of context dependence, omission of information, and multilingualism