Robust Compliance Research Articles

Analysis of the Role of Compliance Plan in AI Criminal Risk Prevention-Take AI Criminal Risk in Network Communication as Example

To address the criminal risks associated with artificial intelligence (AI) in network communications, such as privacy invasion, information leakage and abuse, prejudice and discrimination, and intelligent crime, it's crucial to implement robust compliance plans. These plans should ensure legal compliance by adhering to relevant laws and regulations, thus safeguarding against unlawful use of AI. Strengthening data privacy and protection is vital to prevent unauthorized access and misuse of sensitive information. Ensuring fairness and eliminating discrimination are essential to maintaining ethical AI practices and preventing biases in AI decision-making processes. Improving system transparency and interpretability is also critical; it involves making AI systems more understandable and accountable for their actions and decisions. Additionally, reinforcing security measures is necessary to defend against cyber threats and vulnerabilities, thereby reducing the probability of AI- enabled criminal activities. These comprehensive strategies are pivotal in mitigating the criminal risks of AI in network communication and promoting the responsible and ethical development of AI technology.

Development and validation of a network calculator model for safety and efficacy after pancreaticoduodenectomy in the elderly patients with pancreatic head cancer.

Benefiting from increased life expectancy and improved perioperative management, more elderly patients with pancreatic head cancer (PHC) underwent pancreaticoduodenectomy (PD). However, individualized predictive models for the safety and efficacy of PD is still lacking. this study aimed to developed three safety- and efficacy-related risk calculators for elderly (> = 65 years) PHC patients. This study was designed with two research cohorts, namely, the training cohort and the validation cohort, and comprises four general steps: (1) Risk factors were analyzed for the incidence of postoperative complications, cancer-specific survival (CSS), and overall survival (OS) in the training cohort (N = 271) using logistic and Cox-regression analysis. (2) Nomograms were then plotted based on the above results. (3) The accuracy of the developed nomogram models was then verified with the validation cohort (N = 134) data using consistency index (C-index) and calibration curves. (4) We then evaluated the efficacy of these nomograms using decision curve analysis (DCA) in both the training and validation cohorts, and ultimately constructed three online calculators based on these nomograms. We identified ASA, diabetes, smoking, and lymph node invasion as predisposing risk factors for postoperative complications, and the predictive factors that affected both OS and CSS were ASA, diabetes, BMI, CA19-9 level, and tumor diameter. By integrating the above risk factors, we constructed three nomograms on postoperative complication, CSS, and OS. The C-index for complication, CSS, and OS were 0.824, 0.784, and 0.801 in the training cohort and 0.746, 0.718, and 0.708 in the validation cohort. Moreover, the validation curves and DCA demonstrated good calibration and robust compliance in both training and validation cohorts. We then developed three web calculators (https://caiming.shinyapps.io/CMCD/, https://caiming.shinyapps.io/CMCSS/, and https://caiming.shinyapps.io/CMOS/) to facilitate the use of the nomograms. The calculators demonstrated promising performance as an tool for predicting the safety and efficacy of PD in elderly PHC patients.

Coverage factors for efficient demonstration of compliance of low-frequency magnetic near-field exposures with basic restrictions

Objective. Regulators require that wireless power transfer (WPT) systems and other strong magnetic field sources are compliant with the basic restrictions (BR) defined as the limits of the fields induced in the human body, i.e. the induced electric field/current density/specific absorption rate limits. This can be achieved by demonstrating compliance with the reference levels (RL) defined in air without the human body, i.e. the incident electric/magnetic field limits. Local sources, such as WPT transmitters, generate non-uniform fields that can locally exceed the RL while the induced fields are still well below the BR. In these cases, robust compliance with BR can be demonstrated, generally requiring a large number of simulations. In this study, we proposed an efficient evaluation using a homogeneous phantom and applying a coverage factor to account for the local field enhancements caused by the dielectric contrasts of the highly inhomogeneous human tissues. Approach. The generally applicable coverage factors were derived from a statistical analysis of the field enhancements observed on four magnetic near-field sources placed at different separation distances (2–80 mm) and locations on the back of 12 anatomical models. The field enhancements were characterized by the ratios between the peak induced fields in the anatomical models and those in the homogeneous half-space phantom (ϵ r = 55, σ = 0.75 S m−1, ρ = 1,000 kg m−3) at the same distance. Main results. The resulting 99th percentile coverage factors range from 1 and 9 depending on the dosimetric quantity. Significance. The use of these coverage factors reduces the compliance testing effort from hundreds of simulations to only one, and makes experimental testing feasible without the support of simulations. The study also demonstrates that running only a few use-case simulations with anatomical models may underestimate the exposure by more than 10 dB.

Corporate Governance and Legal Compliance: Strategies for Effective Management

This article explores the symbiotic relationship between corporate governance and legal compliance in the dynamic landscape of commerce and management. It emphasizes the strategic importance of aligning these principles to ensure transparency, accountability, and ethical conduct within organizations. The discussion encompasses the interplay between corporate governance and legal compliance in financial reporting, risk management, board composition, and ethical leadership. Strategies for effective implementation, such as board training, robust compliance programs, and stakeholder engagement, are highlighted. The article underscores the proactive integration of these principles as a strategic advantage for businesses, fostering resilience and responsible leadership.

Does the early bird catch the worm? Evidence and interpretation on the long-term impact of school entry age in China

The long-term impact of children's age at primary school entry on educational attainment and labor market outcomes is one of the primary concerns to families, educators, and policymakers. Using a nationally representative survey of families and individuals, this paper is among the first to explore these effects in a causal sense in the Chinese context and understand the underlying mechanisms. We use a regression discontinuity (RD) design that employs the threshold date for primary school entry set by the 1986 Compulsory Education Law of China as a source of exogenous variation in the timing of school entry. We first document a salient and robust compliance rate of school entry requirement. RD estimates indicate that being born right after the cutoff date significantly increases years of schooling and annual earnings for non-agricultural jobs for the full sample. We also observe remarkable heterogeneous effects on labor market performance by gender. Being born right after the cutoff increases the probability of being in the labor force for men, but decreases that for women. We find that the decline in female labor force participation is mainly driven by women who come from economically and socially disadvantaged families. Further evidence suggests that this decline can be explained by supply-side factors including fertility decision and childcare provisions.

Investigating weighted fishing hooks for seabird bycatch mitigation

Fisheries bycatch threatens the viability of some seabird populations and reduces fishing efficiency. Albatross bycatch in a US North Pacific tuna longline fishery has increased over the past decade and now exceeds 1000 annual captures. Seabirds interacting with this fishery reach hooks at depths up to 1 m. A branchline weight’s mass and distance from the hook affect seabird catch rates. We conducted experimental fishing to compare the commercial viability of a weighted hook relative to conventional gear with weights attached 0.75 m from the hook. We used a Bayesian random effects meta-analytic regression modelling approach to estimate pooled expected species-specific log relative risk of capture on conventional versus experimental gear. There was a significant 53% (95% HDI: − 75 to − 25%) decrease in retained species’ catch rates on experimental hooks, indicating an unacceptable economic cost, and no significant effect for discarded species. Using a Bayesian general linear mixed regression modelling approach, experimental hooks sank to 85 cm ca. 1.4 times (95% HDI: 1.37–1.48) faster than control hooks. Given their potential to reduce seabird catch rates, eliminate safety risks from bite-offs and facilitate robust compliance monitoring, it is a priority to find a weighted hook design with acceptable catch rates.

EDITORIAL COMMENT

As a prostate cancer survivor, myself, I am keenly interested in the evolving understanding of complex interactions between multiple factors: specific individual genome, overall immunity, gut immune contributions, environment, clinical family history, specific markers and diet. The authors correctly point out obvious shortcomings in the study namely it's retrospective analysis, use of potentially confounding multiple dietary interventions with lack of a control group and less than robust compliance with follow-up by study participants.

Robust topology optimization methodology for continuum structures under probabilistic and fuzzy uncertainties

AbstractOwing to the variations in geometric dimensions, material properties and external loads in engineering applications, robust topology optimization (RTO) has garnered increasing attention in recent years to account for the uncertain behaviors during the preliminary concept design phases. This paper presents a hybrid RTO method to simultaneously resolve the epistemic and aleatory uncertainties. First, based on the probabilistic and fuzzy methodologies, the hybrid RTO model is formulated with nested double optimization loops using Monte Carlo simulations. Second, an efficient iterative method is proposed based on the perturbation method to accelerate the rate of convergence of the proposed hybrid RTO model. The derivatives of the hybrid robust compliance objective function with respect to the deterministic design variables, random parameters, and fuzzy parameters are then derived using the adjoint variable method. Finally, a T‐shaped beam design, an L‐shaped beam design, and a three‐dimensional cantilever beam design are tested to validate the proposed hybrid RTO method.

Does the Early Bird Catch the Worm? Evidence and Interpretation on the Long-Term Impact of School Entry Age in China

The long-term economic impact of children's age at primary school entry on educational attainment and labor market outcomes is one of the primary concerns to families, educators, and policymakers. Using a nationally representative survey of families and individuals, this paper is the first to explore these effects in a causal sense in the Chinese context and understand the underlying mechanisms. We use a regression discontinuity (RD) design that employs the threshold date for primary school entry set by the 1986 Compulsory Education Law of China as a source of exogenous variation in the timing of school entry. We first document a salient and robust compliance rate of school entry requirement. RD estimates indicate that being born right after the cutoff date significantly increases years of schooling and log annual earnings for non-agricultural jobs for the full sample. We also observe remarkable heterogeneous effects on labor market performance by gender. Being born right after the cutoff increases the probability of being in the labor force for men, but decreases that for women. Further evidence suggests that the decline in the female labor force participation can be explained by supply-side factors including fertility decision and childcare provision.

The landscape from above: Continuous cloud monitoring for continuous assurance

The concept of monitoring information system security has long been recognised as sound and valuable management practice. For additional consideration, a large portion of compliance requirements for information security and privacy are supported by such monitoring. Security programmes must be aligned with privacy and compliance programmes to ensure those areas of data protection compliance are appropriately met and monitored, and then actions based on maturity levels must be aligned with information assurance programmes. Some key areas to consider in information security programmes include: 1) Continuous assurance (full data life cycle, continuous monitoring, continuous awareness, continuous compliance, challenges, benefits); 2) continuous supply chain management (continuous vendor management and oversight, benefits, challenges); 3) continuous cloud assurance (private cloud, community cloud, public cloud, hybrid cloud); and 4) continuous improvement (what is involved and necessary, including actions, monitoring and metrics). This paper posits that organisations, building out their digital transformation strategies, must think strategically about the way in which they manage privacy compliance in the cloud, committing to a data-driven continuous assurance privacy programme which would provide a more robust compliance posture.

Civilizing Space or Criminalizing Place: Using Routine Activities Theory to Better Understand How Legal Hybridity Spatially Regulates “Deviant Populations”

The combining of administrative, civil, and criminal law has broadened modern crime control mechanisms and greatly increased the legal authority and discretion of law enforcement officers. Such legal hybridity has contributed specifically to the pervasiveness of spatial regulatory practices (or spatial remedies), such as the use of banishment policies and civil gang injunctions (CGIs), by police in urban centers. While banishment policies and CGIs exemplify the reliance on legal hybridity to manage “deviant” populations spatially, empirical evidence suggests that spatial remedies guided by the theoretical underpinnings of deterrence and broken windows perspectives are not efficacious at predicting observed behavioral changes. We argue for a critical approach to understanding disobedience to spatial remedies, suggesting that routine activities theory is an appropriate framework to expose why these mechanisms fail to generate robust compliance or remedy problem areas.

Passivity-Based Robust Compliance Control of Electro-Hydraulic Robot Manipulators With Joint Angle Limit

This paper presents a robust compliance control scheme for an electro-hydraulic robot manipulator with an electro-hydraulic torque actuators (EHTAs) and joint torque sensors. The EHTA, a torque-sourced hydraulic actuator, consists of electro-hydraulic backdrivable servovalve and a rotary hydraulic vane actuator and it allows us to design controllers similar to those for robot manipulators with electric motors. However, unlike in electric motors, the EHTA has a limited rotational angle and this may lead to instability when using a non-passive robust controller that generates the energy. As a solution to this problem, this paper proposes a robust two-loop control structure that has a passivity-based disturbance observer as an inner-loop controller and a nominal state feedback compliance controller as an outer-loop controller. The proposed control method was evaluated through single-degree-of-freedom experiments.

Whistleblowing in the Compliance Era

International events over the last year have propelled the importance of whistleblowers to the forefront. It is increasingly evident that whistleblowers provide immense value to society. Yet, for years, whistleblowers have been victims of retaliation, commonly experiencing threats, discrimination, and employment termination due to their reporting. Against the backdrop of a society heavily defined by compliance-focused initiatives—where organizations and industries construct robust compliance programs, internal policies, and codes of conduct—this Article highlights a significant gap in legal protections for would-be whistleblowers. While compliance initiatives demonstrate that active self-regulation is increasingly a staple of organizational governance, this Article pinpoints the problems that arise when such initiatives extend beyond applicable legal thresholds for retaliation protection. This over-extension leaves vulnerable employees and potential whistleblowers without legal recourse following adverse employment actions, even if they comply with their employers' internal policies and compliance programs. We examine this gap in legal protections in the context of compliance initiatives in three domains: equal employment opportunity and sexual harassment; securities fraud; and anti-corruption. We then compare these initiatives with the legal and regulatory compliance postures under Title VII of the Civil Rights Act of 1964, the Dodd–Frank Wall Street Reform and Consumer Protection Act, and the Foreign Corrupt Practices Act, respectively, to illustrate how most compliance initiatives fail to mirror the retaliation protections under those statutes. To remedy this gap in protections, we propose complementary solutions under contract and tort law frameworks, coupled with soft law initiatives

The Italian Guidelines on Antitrust Compliance Programs and the Difficult Goal of Matching Deterrence, Education, and Business Ethics

In 2018, the Italian Competition Authority issued the “Guidelines on antitrust compliance programs”. The Guidelines identify the adoption and implementation of a robust and effective compliance program as a mitigating circumstance in the calculation of fines for anti-competitive violations. Specifically, the Guidelines allow for a reduction of up to 15% of the fine in the event the antitrust compliance program is adopted before the beginning of an investigation (so-called ex ante facto programs) and a more limited reduction, up to 5% of the fine, for compliance programs implemented during the investigation (so-called ex post facto programs). These reductions are applicable to fines imposed as a result of anticompetitive arrangements and abuses of a dominant position under both the European and Italian competition provisions. In this paper we argue that while the decision to incentivize compliance programs is justified by the lack of competition culture and the structure of the Italian industrial sector, the design of the incentive provided for in the Guidelines is wrong. In particular, the Guideines try to protect its most important enforcement tool, i.e. the leniency program, by conditioning the reward for successful compliance programs to the self-reporting to the competition authority. We suggest a different set of incentives that should protect the leniency program while maintaining the interest in adopting a compliance program. We furthermore suggest a change in the Italian fining Guidelines in order to make the incentives for the adoption of ex ante compliance programs more effective, especially for small and medium sized enterprises.

Cybersecurity, Encryption, and Defense Industry Compliance with United States Export Regulations

Cybersecurity, Encryption, and Defense Industry Compliance with United States Export Regulations

Compliance assessment for the ballast water convention: time for a re-think? A U.K. case study

The damaging introduction of invasive species continues unabated fourteen years after the adoption of the IMO Ballast Water Management Convention (BWMC). The Convention came into force in September, 2017, 13 years after its adoption. Qualifying commercial vessels will need to comply with international discharge regulations and must now contend with complex regulations, uncertain Ballast Water Treatment System performance and potentially inconsistent enforcement internationally. Part of the dilemma rests with the stringent standards which often take days to determine. When certification testing is superseded by rapid Port State Control (PSC) compliance assessment during a port visit, questions arise regarding the logistics of sampling/analysis and the functionality of the BWTS. Reflecting doubts about the performance of installed BWTS IMO have proposed an interim Experience Building Phase (EBP) wherein BWTS non-compliance would not be penalised if operated in good faith. This paper presents a rationale for a robust global programme to test the efficacy of BWTS through Port State Control, using the U.K. as a ‘Case Study’. Rapid prognostic testing during port visits would be employed using technologies certified by regulatory agencies. Such indicative testing would not necessarily address every single aspect of international standards, but would represent robust compliance assessment, that would provide feedback data vital to the improvement of BWTS. Abbreviations: AIS: Aquatic Invasive Species; BWMC: Ballast Water Management Convention; BWTS: Ballast Water Treatment System; CFC: Chlorofluorocarbons; EBP: (IMO) Experience Building Phase; FDOM: Fluorescent Dissolved Organic Matter; HC: Hydrocarbons; HCF: Hydrofluorocarbons; HCFC: Hydrochlorofluorocarbons; IMO: International Maritime Organization; IOPP: International Oil Pollution Prevention; MARPOL: Marine Pollution (Convention); MEPC: IMO Marine Environmental Protection Committee; NOx: Nitrogen oxides; SERC: Smithsonian Environmental Research Center, Edgewater, Maryland, U.S.A.

A New Compliance-function-shapeoriented Robust Approach for Volume-constrained Continuous Topology Optimization with Uncertain Loading Directions

The paper presents a new compliance-function-shape-oriented robust approach for the volume-constrained continuous topology optimization with uncertain loading directions. The pure set-based algorithm try to rearrange (take away) some amount of the material volume, originally used to minimize the nominal-compliance, to make a more balanced compliance-function-shape on the set of feasible directions which is less sensitive to the directional fluctuation. The objective is the area of the compliance function shape defined on the set of feasible directions. The area-minimal shape searching process is controlled by the maximum allowable increase of the nominal-compliance. The result will be a more robust compliance function shape which can be characterized by a higher nominal-compliance but a smaller curvature about it in any direction. Using the terminology of the classical variational problems, the proposed approach can be classified as a curve-length or surface-area minimizing inner-value problem where the inner condition, namely the maximum allowable increase of the nominal-compliance, expressed as a percentage of the original nominal compliance, the searching domain is defined implicitly as integration limits in the objective formulation and a usual equality relation is used to prescribe the allowable material volume expressed as a percentage of the total material volume. Two examples are presented to demonstrate the viability and efficiency of the proposed robust approach.

Persistent threats need persistent counteraction: Responding to PCB pollution in marine mammals

Polychlorinated biphenyls (PCBs) are a type of persistent organic pollutant (POP) that continues to pose a significant environmental threat to humans and wildlife. Recent scientific evidence shows that very high PCB concentrations are still major causes of contemporary declines in European cetacean populations, and potentially other marine apex predators globally. Currently, controls on PCBs are insufficient, on their own, to fully protect human health or to conserve wildlife. Although the Stockholm Convention provides a global framework to address PCBs, there appears to be a systemic shortfall of many parties of the Convention to provide sufficient prioritisation and resources for effective implementation. A 2015 United Nations Environment Programme assessment estimates that the vast majority of PCB-contaminated equipment and materials, around 14 million tonnes, still requires elimination. At present rates of PCB elimination or mitigation, many countries, including some European countries, will not achieve the 2025 and 2028 targets of the Stockholm Convention. It is imperative that the Conference of the Parties for the Stockholm Convention conclude article 17 negotiations on a compliance mechanism for the Convention as soon as possible. To help mobilise global efforts towards eliminating the threat from PCBs, an enforceable, effective and robust compliance mechanism should be established, along with capacity building support for developing countries. In Europe, renewed action is needed to reduce PCB contamination, in order to prevent some killer whale (Orcinus orca) and other dolphin populations from continuing to slowly decline, potentially towards extinction.

Estimation of Desired Motion Intention and compliance control for upper limb assist exoskeleton

In this paper, we have addressed two issues for upper limb assist exoskeleton. 1) Estimation of Desired Motion Intention (DMI); 2) Robust compliance control. To estimate DMI, we have employed Extreme Learning Machine Algorithm. This algorithm is free from traditional Neural Network based problems such as local minima, selection of suitable parameters, slow convergence of adaptation law and over-fitting. These problems cause lot of problem in tuning the intelligent algorithm for the desired results. Furthermore, to track the estimated trajectory, we have developed model reference based adaptive impedance control algorithm. This control algorithm is based on stable poles of desired impedance model, forcing the over all system to act as per desired impedance model. It also considers robot and human model uncertainties. To highlight the effectiveness of the proposed control algorithm, we have compared it with simple impedance and target reference based impedance control algorithms. Experimental evaluation is carried on seven degree of freedom upper limb assist exoskeleton. Results describe the effectiveness of ELM algorithm for DMI estimation and robust tracking of the estimated trajectory by the proposed model reference adaptive impedance control law.

D’un droit défensif à un droit coopératif : la nécessaire réforme de notre justice pénale des affaires

L’année 2014 a été marquée par deux affaires dans lesquelles de grandes entreprises françaises ont eu à verser des sommes conséquentes au ministère américain de la Justice (DOJ) au titre d’amendes transactionnelles. Les deux grandes entreprises françaises ont peut-être payé pour leurs fautes mais aussi ‒ voire surtout ‒ pour leur mauvaise compréhension d’une nouvelle règle du jeu du « business mondial ». Ces deux affaires illustrent l’apparition d’un nouveau paradigme en droit des affaires, largement inspiré par la culture du droit américain, qu’il est urgent de saisir pour adapter notre droit. Cet enjeu est devenu crucial pour la protection de nos entreprises à l’heure du droit global. Il l’est d’autant plus que le nouveau modèle en construction est en perpétuelle mutation et qu’il est nécessaire de s’adapter rapidement. À cette fin, il convient de détailler les enseignements de ces affaires, non seulement en vue de transformer notre système de justice mais, plus profondément encore, notre culture, et de la mettre ainsi au diapason de notre temps.