Towards a comprehensive framework for business process compliance

A.F.S.A. El Gammal

    Research output: ThesisDoctoral ThesisScientific

    720 Downloads (Pure)

    Abstract

    Everything in our lives is governed by a set of laws. Law is a system of rules and guidelines which are enforced through social institutions to govern behavior, wherever possible. Law shapes business, economics, politics and society in every aspect. It plays the role of the arbitrator between people and institutions in case a disputation arises. In the business world, business processes form the foundation for all organizations, and as such are impacted by industry laws and regulations. Ensuring the compliance of business processes with applicable laws and regulations is a key concern that has been paid much interest particularly after the recent high-profile business failures and scandals, such as Enron and WorldCom. These incidents resulted in the enactment of a broad body of strict legislations, e.g. Sarbanes-Oxley act. These laws extend the long-standing requirement for public companies to maintain systems of internal controls for managing compliance, requiring management to certify and the independent auditor to attest to the effectiveness of those systems. Subsequently, organizations are left struggling and spending billions of dollars on compliance by developing and/or deploying ad-hoc compliance solutions, which have inherent problems in terms of reusability, flexibility and evolution that make it difficult to verify and ensure continuous guaranteed compliance. Therefore, a business need for a comprehensive and structured compliance management solution for absolute compliance assurance becomes a must. The main contribution of this dissertation is meeting this business need by establishing a comprehensive compliance management framework and supporting solutions that manages and ensures compliance throughout the complete business process lifecycle, primarily with a preventive focus. This involves design-time business process compliance management and analysis, which is integrated and complemented with the subsequent monitoring of the corresponding running business process instances. Hence, achieving a preventive lifetime compliance support.
    Original languageEnglish
    QualificationDoctor of Philosophy
    Awarding Institution
    • Tilburg University
    Supervisors/Advisors
    • Papazoglou, Mike, Promotor
    • van den Heuvel, Willem-Jan, Promotor
    Award date27 Apr 2012
    Place of PublicationTilburg
    Publisher
    Print ISBNs9789056683139
    Publication statusPublished - 2012

    Fingerprint

    Business process
    Incidents
    Assurance
    Industry
    Ad hoc
    Enactment
    Monitoring
    Sarbanes-Oxley Act
    Life cycle
    Economics
    Integrated
    Scandal
    Enron
    Internal control
    Business failures
    Auditors
    Legislation
    Social institutions

    Cite this

    El Gammal, A. F. S. A. (2012). Towards a comprehensive framework for business process compliance. Tilburg: CentER, Center for Economic Research.
    El Gammal, A.F.S.A.. / Towards a comprehensive framework for business process compliance. Tilburg : CentER, Center for Economic Research, 2012. 290 p.
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    abstract = "Everything in our lives is governed by a set of laws. Law is a system of rules and guidelines which are enforced through social institutions to govern behavior, wherever possible. Law shapes business, economics, politics and society in every aspect. It plays the role of the arbitrator between people and institutions in case a disputation arises. In the business world, business processes form the foundation for all organizations, and as such are impacted by industry laws and regulations. Ensuring the compliance of business processes with applicable laws and regulations is a key concern that has been paid much interest particularly after the recent high-profile business failures and scandals, such as Enron and WorldCom. These incidents resulted in the enactment of a broad body of strict legislations, e.g. Sarbanes-Oxley act. These laws extend the long-standing requirement for public companies to maintain systems of internal controls for managing compliance, requiring management to certify and the independent auditor to attest to the effectiveness of those systems. Subsequently, organizations are left struggling and spending billions of dollars on compliance by developing and/or deploying ad-hoc compliance solutions, which have inherent problems in terms of reusability, flexibility and evolution that make it difficult to verify and ensure continuous guaranteed compliance. Therefore, a business need for a comprehensive and structured compliance management solution for absolute compliance assurance becomes a must. The main contribution of this dissertation is meeting this business need by establishing a comprehensive compliance management framework and supporting solutions that manages and ensures compliance throughout the complete business process lifecycle, primarily with a preventive focus. This involves design-time business process compliance management and analysis, which is integrated and complemented with the subsequent monitoring of the corresponding running business process instances. Hence, achieving a preventive lifetime compliance support.",
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    El Gammal, AFSA 2012, 'Towards a comprehensive framework for business process compliance', Doctor of Philosophy, Tilburg University, Tilburg.

    Towards a comprehensive framework for business process compliance. / El Gammal, A.F.S.A.

    Tilburg : CentER, Center for Economic Research, 2012. 290 p.

    Research output: ThesisDoctoral ThesisScientific

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    AB - Everything in our lives is governed by a set of laws. Law is a system of rules and guidelines which are enforced through social institutions to govern behavior, wherever possible. Law shapes business, economics, politics and society in every aspect. It plays the role of the arbitrator between people and institutions in case a disputation arises. In the business world, business processes form the foundation for all organizations, and as such are impacted by industry laws and regulations. Ensuring the compliance of business processes with applicable laws and regulations is a key concern that has been paid much interest particularly after the recent high-profile business failures and scandals, such as Enron and WorldCom. These incidents resulted in the enactment of a broad body of strict legislations, e.g. Sarbanes-Oxley act. These laws extend the long-standing requirement for public companies to maintain systems of internal controls for managing compliance, requiring management to certify and the independent auditor to attest to the effectiveness of those systems. Subsequently, organizations are left struggling and spending billions of dollars on compliance by developing and/or deploying ad-hoc compliance solutions, which have inherent problems in terms of reusability, flexibility and evolution that make it difficult to verify and ensure continuous guaranteed compliance. Therefore, a business need for a comprehensive and structured compliance management solution for absolute compliance assurance becomes a must. The main contribution of this dissertation is meeting this business need by establishing a comprehensive compliance management framework and supporting solutions that manages and ensures compliance throughout the complete business process lifecycle, primarily with a preventive focus. This involves design-time business process compliance management and analysis, which is integrated and complemented with the subsequent monitoring of the corresponding running business process instances. Hence, achieving a preventive lifetime compliance support.

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    El Gammal AFSA. Towards a comprehensive framework for business process compliance. Tilburg: CentER, Center for Economic Research, 2012. 290 p. (CentER Dissertation Series).