arXiv:2606.03326cs.AI2026-06

为合规违规行为创建可持久追踪的图谱实体,实现审计可追溯。

The Violation Situation Pattern: Persistent Representation of Compliance Violations in Knowledge Graphs

  • 将违规行为建模为持久化的第一类图实体,关联规则、时间范围与证据
  • 规则演化时仍保持违规记录唯一性与审计历史完整
  • 适合法律、金融等领域需要合规可追溯的系统设计

现有合规流程将违规视为临时查询结果,缺乏对违规本身及其生命周期、证据和审计历史的持久表示。本文提出违规情境模式(Violation Situation Pattern, VSP),一种可复用的本体模式,通过扩展Gangemi和Mika的情境模式,将每个检测到的违规建模为持久的第一类图实体。每个违规关联规则标识符、时间有效性区间、生命周期状态,并链接至受影响实体的证据;不可变的生命周期事件构成完整且可查询的审计轨迹。我们在一个部署的法律知识图谱中实例化VSP,集成企业治理与合同数据,使用包含已知真实违规的公开合同语料库,实施四条道义合规规则。不评估检测算法,而是检验模式在规则演进下的鲁棒性。结果显示:重复执行规则不会产生重复违规;规则定义修改后审计历史完整保留;规则范围扩展仍维持违规身份与生命周期连续性。基于73份监管执法决定的案例研究进一步表明,合规规则可演化以捕获更多确认违规,而不破坏存储的身份、证据或审计历史完整性。这些发现证明VSP使合规知识图谱在演化过程中仍保持可追溯性、可解释性与历史一致性。完整实现、查询语句、SHACL约束及评估数据集均已公开,支持结果复现。

原文摘要 · Abstract (English)

Existing compliance pipelines identify violations as transient query results, leaving no persistent representation of the violation itself or its lifecycle, evidence, and audit history. We address this limitation with the Violation Situation Pattern (VSP), a reusable ontology pattern that extends the Situation pattern of Gangemi and Mika by modeling each detected violation as a persistent first-class graph entity. Each violation is associated with a rule identifier, temporal validity interval, lifecycle state, and evidence links to the affected entities, while immutable lifecycle events provide a complete and queryable audit trail. We instantiate VSP on the schema of a deployed legal knowledge graph integrating corporate governance and contract data, populated with public contract corpora containing violations with established ground truth, and operationalize four deontic compliance rules. Rather than evaluating detection algorithms, we evaluate the pattern's robustness under rule evolution. Results show that repeated rule execution creates no duplicate violations, modifications to rule definitions preserve complete audit histories, and expanding rule scope maintains violation identity and lifecycle continuity. A case study using 73 regulatory enforcement decisions further demonstrates that compliance rules can evolve to capture additional confirmed violations without compromising the integrity of stored identities, evidence, or audit histories. These findings show that VSP enables compliance knowledge graphs to evolve without sacrificing traceability, explainability, or historical consistency. The complete implementation, queries, SHACL shapes, and evaluation dataset are publicly available to support the reproducibility of the reported results.

知识图谱合规管理可追溯性本体建模

Thank you to arXiv for use of its open access interoperability. PaperDance 不是 arXiv 官方产品;中文卡片由大模型生成,请以原文为准。