An action framework for compliance and governance

Abstract

Purpose – The purpose of this paper is to propose a framework for clinical governance, in particular, the compliance of data privacy in a healthcare organisation. Design/methodology/approach – The approach of the research was to highlight problem areas in compliance and governance risk management (governance, risk and compliance (GRC)) in general, and then identify knowledge in other domains that could be combined and applied to improve GRC management, and ultimately improve governance outcomes. Findings – There is a gap in the literature is respect of systems and frameworks to assist organisations in managing the complex minutiae associated with compliance. This paper addresses this gap by proposing a “compliance action framework” which builds on work existing in other domains in relation to education, process control and governance. Research limitations/implications – The present research provides a starting point for an implementation of the framework within a number of organisations, and opens questions for further research in the field. Originality/value – The GRC framework proposed in this paper contributes to the state of the art, by proposing processes for improving the governance capability and compliance outcomes within an organisation for governance of data privacy risk and data protection.

Are we done with business process compliance: state of the art and challenges ahead

“…This attention is also motivated by recent regulations such as Sarbanes-Oxley (SOX) Act [191], which requires the establishment of stronger and more enforceable strategies to meet the enterprise's compliance reporting requirements. According to O'Neill [158] enterprises initiate compliance related activities due to a number of factors that affect enterprises processes: (i) imposition of external rules and regulations, (ii) decision to adhere and define its own internal policies, and (iii) manage the regulatory processes within the enterprise to fulfill the social requirements. However, the identification of the relevant regulations may cause frustration when regulations are ambiguous and require a great deal of efforts to be understood.…”

Getting it Right: A Model for Compliance Assessment

“…Compliance behaviour have been shown to be impacted by many factors which may include incentives, governance, controls, culture and behavioural issues. Because of this, researches in different disciplines have looked at compliance effects (for example, [1], [2] and [3]) but there are still some gaps in theories and models to support compliance assessment. According to [4], management of compliance relies on the agents' behaviour to either follow requirements or not.…”

“…Consequently, tools, frameworks and models have been put in place to assess practice and to ensure that compliance requirements are met. Some of these tools include Compliance Action Framework [1], Analytical Framework for Behaviour Analysis [2] and ICT Approach [3]. However, non-compliances have been reported as most of the existing systems have failed to assess the reasons behind the non-compliance behaviour or the compliance intention.…”

Conversion of Legal Text to a Logical Rules Set from Medical Law Using the Medical Relational Model and the World Rule Model for a Medical Decision Support System

“…Conversion to a logical rules set from a legal text document remains an important and difficult task [1] due to the complex structure of legal text documents. The legal text document consists of different sections, subsections, clauses, sub-clauses and sub-sub-clauses.…”