Information Systems Frontiers

, Volume 18, Issue 3, pp 429–455 | Cite as

Normative requirements for regulatory compliance: An abstract formal framework

  • Mustafa Hashmi
  • Guido Governatori
  • Moe Thandar Wynn


By definition, regulatory rules (in legal context called norms) intend to achieve specific behaviour from business processes, and might be relevant to the whole or part of a business process. They can impose conditions on different aspects of process models, e.g., control-flow, data and resources etc. Based on the rules sets, norms can be classified into various classes and sub-classes according to their effects. This paper presents an abstract framework consisting of a list of norms and a generic compliance checking approach on the idea of (possible) execution of processes. The proposed framework is independent of any existing formalism, and provides a conceptually rich and exhaustive ontology and semantics of norms needed for business process compliance checking. Apart from the other uses, the proposed framework can be used to compare different compliance management frameworks (CMFs).


Norms Normative requirements Norms compliance Business process regulatory compliance Compliance frameworks 



This paper revises and extends ASSRI’13 (Hashmi et al. 2013) and AP-BPM 2013 (Hashmi and Governatori 2013) conference papers respectively. NICTA is funded by the Australian Government by the Department of Communication and the Australian Research Council through the ICT center of Excellence program.


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Copyright information

© Springer Science+Business Media New York 2015

Authors and Affiliations

  • Mustafa Hashmi
    • 1
  • Guido Governatori
    • 1
  • Moe Thandar Wynn
    • 2
  1. 1.NICTA QueenslandBrisbaneAustralia
  2. 2.Queensland University of Technology (QUT)BrisbaneAustralia

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