Governance Analysis Method – PhD Thesis Waël Hassan
Governance Analysis is a logic-based, computer assisted framework for validating legal compliance of enterprise governance models. This framework is intended to help check whether governance systems are consistent with the law. My approach to Governance Analysis includes legal and enterprise models, a governance analysis method (GAM), a governance analysis language (GAL), and an implemented governance analysis tool (GAT) (see Publications). GAM consists in extracting legal requirements and translating them into GAL statements by using patterns and translating them into a logic model for consistency checking.
The GAM, GAL, and GAT evolved as a result of their application to governance laws related to privacy and financial management. The method’s main processes were validated through application to Canadian and US laws (mainly PIPEDA and Sarbanes-Oxley) combined with various examples taken from enterprise systems.
Governance Analysis begins with an extraction process, which uses patterns to match legal and enterprise requirements. Next, the representation process maps extracted requirements to GAL statements. The generation process takes as input GAL statements to generate a logic model, and the Alloy logic analyser is used to check legal consistency. Three legal compliance validation techniques can then be applied: model, ontology, and scenario checks (see What are the Methods for Validating Legal Compliance?). Model checks validate the combined legal and enterprise requirements for logical consistency; ontology checks validate the enterprise structure and process; and scenario checks validate enterprise scenarios.
These Governance Analysis techniques have proven to be useful not only for identifying conflicts between laws and enterprise governance models, but for identifying the specific scenarios in the enterprise which threaten legal compliance.