Dissertations / Theses on the topic 'Compliance management'
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Dittmers, Claudia [Verfasser]. "Werteorientiertes Compliance-Management : Die Werte von Compliance-Beauftragten und ihr Einfluss auf die Compliance-Kultur im Unternehmen / Claudia Dittmers." Baden-Baden : Nomos Verlagsgesellschaft mbH & Co. KG, 2018. http://d-nb.info/1160310645/34.
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Klopp, Thorben [Verfasser]. "Der Compliance-Beauftragte. : Arbeitsrechtliche Stellung und Funktion in der Compliance. / Thorben Klopp." Berlin : Duncker & Humblot, 2012. http://d-nb.info/1238426913/34.
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Lowis, Lutz [Verfasser], and Günter [Akademischer Betreuer] Müller. "Automatisierte Compliance-Prüfung von Geschäftsprozessen." Freiburg : Universität, 2011. http://d-nb.info/1123462925/34.
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Sandner, Thorben [Verfasser]. "Beiträge zum IT-Compliance Management / Thorben Sandner." Hannover : Technische Informationsbibliothek und Universitätsbibliothek Hannover (TIB), 2011. http://d-nb.info/1015460968/34.
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Lambers, Mechthild, and Hendrik Schneider. "Compliance management at the Düsseldorf University Hospital." Universitätsbibliothek Leipzig, 2016. http://nbn-resolving.de/urn:nbn:de:bsz:15-qucosa-208944.
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In light of the demanding requirements inherent to the operation of a university hospital, a multitude of compliance risks are entailed in the medical care, training, and research entail which such institutions are engaged in. If such risks materialize, the public will notice, which will substantially tarnish not only the public’s confidence in the proper functioning and the integrity of the impacted hospital, but ultimately, the whole German health care system. In examining the structural and requisite prevention protocols, three risk groups can be distinguished. The Düsseldorf University Hospital provides a leading example in the area of compliance management.
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Allmann, Ivonne [Verfasser]. "Open Source Compliance / Ivonne Allmann." Baden-Baden : Nomos Verlagsgesellschaft mbH & Co. KG, 2019. http://d-nb.info/1183471742/34.
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Koch, Cora, Gisela Schott, David Klemperer, Thomas Lempert, Wolf-Dieter Ludwig, and Klaus Lieb. "Conflicts of interest in medicine and their management." Universitätsbibliothek Leipzig, 2016. http://nbn-resolving.de/urn:nbn:de:bsz:15-qucosa-208954.
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Conflicts of interest (COI) in healthcare have increasingly gained attention in the lay press as well as among healthcare professionals. COIs increase the risk of undue influence on professional decision making and may have far-reaching consequences in healthcare. Therefore, it is essential to develop strategies to deal with such risk situations in order to prevent negative outcomes for patients and the health care system. This article describes recent research on COIs in Germany as well as initiatives aiming at more transparency and better management of COIs in Germany.
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Awad, Ahmed Mahmoud Hany Aly. "A compliance management framework for business process models." Phd thesis, Universität Potsdam, 2010. http://opus.kobv.de/ubp/volltexte/2010/4922/.
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Companies develop process models to explicitly describe their business operations. In the same time, business operations, business processes, must adhere to various types of compliance requirements. Regulations, e.g., Sarbanes Oxley Act of 2002, internal policies, best practices are just a few sources of compliance requirements. In some cases, non-adherence to compliance requirements makes the organization subject to legal punishment. In other cases, non-adherence to compliance leads to loss of competitive advantage and thus loss of market share.
Unlike the classical domain-independent behavioral correctness of business processes, compliance requirements are domain-specific. Moreover, compliance requirements change over time. New requirements might appear due to change in laws and adoption of new policies. Compliance requirements are offered or enforced by different entities that have different objectives behind these requirements. Finally, compliance requirements might affect different aspects of business processes, e.g., control flow and data flow. As a result, it is infeasible to hard-code compliance checks in tools. Rather, a repeatable process of modeling compliance rules and checking them against business processes automatically is needed.
This thesis provides a formal approach to support process design-time compliance checking. Using visual patterns, it is possible to model compliance requirements concerning control flow, data flow and conditional flow rules. Each pattern is mapped into a temporal logic formula. The thesis addresses the problem of consistency checking among various compliance requirements, as they might stem from divergent sources. Also, the thesis contributes to automatically check compliance requirements against process models using model checking. We show that extra domain knowledge, other than expressed in compliance rules, is needed to reach correct decisions.
In case of violations, we are able to provide a useful feedback to the user. The feedback is in the form of parts of the process model whose execution causes the violation. In some cases, our approach is capable of providing automated remedy of the violation.Firmen entwickeln Prozessmodelle um ihre Geschäftstätigkeit explizit zu beschreiben. Geschäftsprozesse müssen verschiedene Arten von Compliance-Anforderungen einhalten. Solche Compliance-Anforderungen entstammen einer Vielzahl von Quellen, z.B. Verordnung wie dem Sarbanes Oxley Act von 2002, interne Richtlinien und Best Practices. Die Nichteinhaltung von Compliance-Anforderungen kann zu gesetzlichen Strafen oder dem Verlust von Wettbewerbsvorteilen und somit dem Verlust von Marktanteilen führen. Im Gegensatz zum klassischen, domänen-unabhängigen Begriff der Korrektheit von Geschäftsprozessen, sind Compliance-Anforderungen domain-spezifisch und ändern sich im Laufe der Zeit. Neue Anforderungen resultieren aus neuen Gesetzen und der Einführung neuer Unternehmensrichtlinien. Aufgrund der Vielzahl der Quellen für Compliance-Anforderungen, können sie unterschiedliche Ziele verfolgen und somit widersprüchliche Aussagen treffen. Schließlich betreffen Compliance-Anforderungen verschiedene Aspekte von Geschäftsprozessen, wie Kontrollfluss- und Datenabhängigkeiten. Auf Grund dessen können Compliance-Prüfungen nicht direkt Hard-coded werden. Vielmehr ist ein Prozess der wiederholten Modellierung von Compliance-Regeln und ihrer anschließenden automatischen Prüfung gegen die Geschäftsprozesse nötig. Diese Dissertation stellt einen formalen Ansatz zur Überprüfung der Einhaltung von Compliance-Regeln während der Spezifikation von Geschäftsprozessen vor. Mit visuellen Mustern ist es möglich, Compliance-Regeln hinsichtlich Kontrollfluss- und Datenabhängigkeiten sowie bedingte Regeln zu spezifizieren. Jedes Muster wird in eine Formel der temporalen Logik abgebildet. Die Dissertation behandelt das Problem der Konsistenzprüfung zwischen verschiedenen Compliance-Anforderungen, wie sie sich aus unterschiedlichen Quellen ergeben können. Ebenfalls zeigt diese Dissertation, wie Compliance-Regeln gegen die Geschäftsprozesse automatisch mittels Model Checking geprüft werden. Es wird aufgezeigt, dass zusätzliche Domänen-Kenntnisse notwendig sind, um richtige Entscheidungen zu treffen. Der vorgestelle Ansatz ermöglicht nützliches Feedback für Modellierer im Fall eines Compliance-Verstoßes. Das Feedback wird in Form von Teilen des Prozessmodells gegeben, deren Ausführung die Verletzung verursacht. In einigen Fällen ist der vorgestellte Ansatz in der Lage, den Compliance-Verstoß automatisch zu beheben.
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Beckman, Gyllenstrand Anna. "Medication management and patient compliance in old age /." Stockholm, 2007. http://diss.kib.ki.se/2007/978-91-7357-166-1/.
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Karlin, David [Verfasser]. "IT-gestütztes Compliance Management für Geschäftsprozesse / David Karlin." Karlsruhe : KIT Scientific Publishing, 2016. http://www.ksp.kit.edu.
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Briscoe, Hilary Noyo. "Legal compliance management in perspective: a lawyer's guide." Master's thesis, University of Cape Town, 2013. http://hdl.handle.net/11427/4581.
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Mulugeta, Bruke Mekuria. "Perceptions on an effective Compliance Management System : An approach to compliance with EU Data Regulations." Thesis, Internationella Handelshögskolan, Högskolan i Jönköping, IHH, Informatik, 2016. http://urn.kb.se/resolve?urn=urn:nbn:se:hj:diva-31603.
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The purpose of this thesis is, through an exploratory study, to examine how organizations can effectively comply with data regulations. The following are the research questions: What are the elements of an effective compliance management system? In light of the elements of an effective compliance management system, how are organizations complying with EU data regulations? A holistic multiple case study approach was implemented where four companies with services handling personally identifiable information were interviewed and then requested to participate in a Likert scale questionnaire to find points of consensus. Based on literature the elements of an effective compliance management system were shortlisted. These elements are policies and procedures; communicate and train; culture; respond to incidents and prevent future incidents; resources; incentives and rewards; exercise due diligence to prevent and detect criminal conduct; governance; objectivity; risk management; prohibited persons; monitoring and auditing program effectiveness; ethics. Based on the interviews and questionnaire, organizations were not systematically managing compliance with EU data regulations. Also, there was not an awareness of the regulations. There was a lack of understanding on the details of the regulations and a drive to comply with these regulations. It was noted that issues that do come about due to data protection were handled on the go. To summarize the interviewees, there is a reactive mentality instead of a proactive one towards compliance with data regulations. From a regulator’s perspective, a means of including service providers in the process of data regulation may first help in creating awareness. On the note of awareness, it is necessary for organizations handling personally identifiable information to comply with the law. Again, this is not viewed as a priority for the organizations that have been interviewed or at least for organizations that are relatively small in size or in a startup phase. The value provided by this thesis is in providing an aggregated view of the elements of an effective compliance management system.
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Halinár, Martin. "Compliance analýza v oblasti IT managementu." Master's thesis, Vysoké učení technické v Brně. Fakulta podnikatelská, 2013. http://www.nusl.cz/ntk/nusl-223989.
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Tato práce se zabývá jednou z významných částí fungování velkých korporací, tedy Compliance, se zvláštní pozorností na IT management. Diplomová práce zevrubně prozkoumává danou oblast. Tento průzkum si klade zároveň za cíl nalezení obtíží, ke kterým dochází v každodenní praxi. Následně je nastíněn způsob možných řešení zjištěných problematických jevů.
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Makowicz, Bartosz [Herausgeber]. "Global Ethics, Compliance & Integrity Yearbook 2021." Frankfurt a.M. : Peter Lang GmbH, Internationaler Verlag der Wissenschaften, 2021. http://d-nb.info/1230717994/34.
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Irmscher, Bettina. "New compliance management system of the University Hospital Frankfurt, Germany." Universitätsbibliothek Leipzig, 2016. http://nbn-resolving.de/urn:nbn:de:bsz:15-qucosa-208915.
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The meaning of Corporate Governance is all values and principles guiding or regulating good and responsible business management.
Clearly defined roles and responsibilities for managing compliance, risks and checks is the prerequisite for the latter. For that reason, a compliance management system was set up at the University Hospital
Frankfurt in 2015.
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Stavretis, Lyn, and lstavret@bigpond net au. "The Dance of Compliance: Performance Management in Australian Universities." RMIT University. Management, 2007. http://adt.lib.rmit.edu.au/adt/public/adt-VIT20080521.123556.
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This qualitative study identified the formal and informal performance management (PM) practices in use in Australian public universities for academic staff Levels A, B and C. It asked the following research questions. What PM practices are currently in use in these universities? What are the similarities in approach and what issues does PM raise? How do academic staff who take part in these practices (as either staff or management) experience them? What cultural and contextual factors (if any) contribute to this experience? What are the perceived effects of these practices on the performance of individuals, teams and the organisation? Which system elements do academic staff and academic managers perceive to be most effective in academic cultures and why? The context of substantive change within Australian universities was outlined and literature pertaining to the field of PM in general, and in educational organisations in particular, was explored. The existence, structure, purposes and other factual details of formal PM systems were identified, although the study focused on the opinions, perceptions and attitudes of the respondents. Findings suggested that current PM practice in Australian public universities did little to meet the needs of any of the key stakeholders and remained fundamentally unsatisfying to all concerned. Furthermore, the failure to clearly articulate the purposes and to consider the implementation and ongoing costs of a formal PM system typically resulted in widespread cynicism and a ritual dance of compliance that demonstrated palpably low engagement with systems. Formal PM systems helped to clarify objectives and workload allocation for some staff, but were found to be poorly linked to organisational planning processes, poor at differentiating levels of performance, not valued by academic staff as a vehicle for meaningful feedback, failing to follow through on development outcomes and thus did little to build team, individual or organisational capability. Study recommendations suggested that developmental models of PM were more appropriate and acceptable in academia and that considerable work would be required to incorporate evaluative links such as performance-related pay successfully. More rigorous evaluation, consultation processes regarding user preferences, piloting of PM systems prior to full implementation, and dedicated resources for the PM function and its outcomes (such as staff development), would be required as a part of a comprehensive change management strategy to overcome historical resistance. A thorough capability analysis of the people management skills for Heads of School and above was seen as a priority, given that feedback skill and the management of under-performance were consistently identified as problematic. The costs of under-performance warranted this expenditure. A national evaluation study of PM practice in higher education was recommended to assess the real outcomes, costs and benefits and determine whether continued investment in PM systems was actually merited. Alternative models and approaches such as modular PM systems for the different stages of an academic career, promotion portfolios, reflective practice or peer learning groups were suggested as potentially more successful in enhancing the accountability and performance of academic staff than mandated hierarchical PM.
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Carpenter, Roger D. "Cognitive appraisal of perceived threat of diabetes and adherence to self-management behaviors." Morgantown, W. Va. : [West Virginia University Libraries], 2008. https://eidr.wvu.edu/etd/documentdata.eTD?documentid=5813.
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Thesis (Ph. D.)--West Virginia University, 2008.Title from document title page. Document formatted into pages; contains v, 113 p. : ill. Includes abstract. Includes bibliographical references (p. 96-113).
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Travis-Johnson, Cheryl. "Mortgage Regulations and Compliance Strategies." ScholarWorks, 2018. https://scholarworks.waldenu.edu/dissertations/6285.
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In 2010, regulators established new rules for single-family mortgage services that tightened the loan amount consumers could qualify for, restricted fees lenders could charge, and placed numerous financial penalties for improper servicing of loans. Regulatory fee restrictions made it difficult for leaders to offset the compliance costs through the price of services provided. Leaders responsible for mortgage regulatory compliance experienced increased operating costs for single-family mortgage services due to the new regulations, and some leaders found it challenging to comply and remain competitive. The purpose of this multiple case study was to explore strategies leaders in the single-family mortgage services industry used to comply with federal regulations and remain competitive. The study population included 5 leaders responsible for single-family mortgage regulatory compliance from the southwestern and northern regions of the United States Porter's 5 forces analysis was the conceptual framework. Data were collected using semistructured interviews and analysis of data from a website hosted by government regulators. Data were analyzed using color-coded transcriptions, methodological triangulation, member checking, and coding software. Themes that emerged from data analysis revealed that costs and control methods for regulatory compliance strategies required leaders to change their infrastructure to remain competitive and profitable. The implication of this study for positive social change relates to competitive pricing for single-family mortgage loans for consumers yielding an increase in home ownership.
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Shaw, Reena L. "Enforcement and compliance in the Northeast groundfish fishery : perceptions of procedural justice in fishery management, the effects of regulatory methods, and prospects for compliance /." View online ; access limited to URI, 2005. http://0-wwwlib.umi.com.helin.uri.edu/dissertations/dlnow/3206256.
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Oonk, Andreas [Verfasser]. "Strafrechtliche Verantwortlichkeit im Unternehmen im Zeitalter der Compliance : Zur individuellen strafrechtlichen Unterlassensverantwortung von Geschäftsleitung und Compliance-Beauftragtem in Bezug auf außenstehende Dritte unter besonderer Berücksichtigung von Aspekten der Compliance-Diskussion / Andreas Oonk." Frankfurt a.M. : Peter Lang GmbH, Internationaler Verlag der Wissenschaften, 2019. http://d-nb.info/1202695558/34.
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Kehlenbeck, Matthias [Verfasser]. "Beiträge zu Business Intelligence und IT-Compliance / Matthias Kehlenbeck." Hannover : Technische Informationsbibliothek und Universitätsbibliothek Hannover (TIB), 2011. http://d-nb.info/1013290267/34.
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Traudes, Philipp [Verfasser]. "Zertifizierung als Maßnahme der (Criminal) Compliance / Philipp Traudes." Baden-Baden : Nomos Verlagsgesellschaft mbH & Co. KG, 2017. http://d-nb.info/1160484074/34.
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Başbuğ, Gökçe. "Essays on job search, unemployment, and regulatory compliance." Thesis, Massachusetts Institute of Technology, 2017. http://hdl.handle.net/1721.1/112038.
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Thesis: Ph. D., Massachusetts Institute of Technology, Sloan School of Management, 2017.Cataloged from PDF version of thesis.
Includes bibliographical references.
This dissertation is composed of four essays, each studying limits to the means that are famously known to be effective. In the first essay, I investigate the effect of using social ties on the quality of opportunities pursued in job search. Using fixed effects models, I show that when the job seeker uses contacts, she pursues jobs that pay less than the jobs she pursues through formal methods. In addition, the analysis show that networks limit the geographical and occupational diversity of jobs pursued. In the second essay, using a mixed methods approach I examine how the negative emotional toll of long-term unemployment (LTU) is shaped by the interaction of gender and marital status. The interviews reveal a pattern with more marital tensions that exacerbate the emotional toll of LTU reported by married men than married women. The analysis of survey data show that overall marriages are helpful to the wellbeing of both unemployed men and women. Yet, for married men but not for married women, the analysis revealed that the significance of the benefits derived from marriage disappears once household income is controlled. The third essay examines whether introducing choice into a mandatory training program makes any difference in Unemployment Insurance recipients' job search performance. Using a field experiment design, I compare job search outcomes of individuals who have unconstrained workshop choices to others who only have a constrained option. Analyses show that providing the option of selecting which workshop to attend does not improve outcomes for unemployed. In the fourth essay, using data from safety inspections in laboratories at a large university, I investigate whether conducting semi-annual inspections and reporting findings back to responsible constituencies decreases the number of violations. The analyses show that the Environmental, Health, and Safety Management System did not reduce the number of violations. Rather, the results show a widening gap between compliant and non-compliant scientists. Using both lab-level quantitative data and interviews with inspectors and EHS personnel, I delineate the factors that impede the success of the system.
by Gökçe Başbuğ.
1. Do Social Networks Lead to Better Opportunities to Pursue? Evidence from Job Applications -- 2. The Emotional Toll of Long-Term Unemployment: Examining the Interaction Effects of Gender and Marital Status -- 3. Activation Programs for Unemployed Insurance Recipients: Comparison of Two Training Delivery Formats -- 4. Why Is Regulatory Compliance Difficult? Variable Performance and the Insulation of Economically Resourceful Actors.
Ph. D.
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Graf, Tobias [Verfasser]. "Die rechtliche Zulässigkeit von Compliance-Amnestieprogrammen / Tobias Graf." Baden-Baden : Nomos Verlagsgesellschaft mbH & Co. KG, 2020. http://d-nb.info/1222361191/34.
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Namiri, Kioumars. "Model-driven management of internal controls for business process compliance." [S.l. : s.n.], 2008. http://digbib.ubka.uni-karlsruhe.de/volltexte/1000009242.
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Klint, Robin. "What role does top management play in BYOD policy compliance?" Thesis, Högskolan i Skövde, Institutionen för informationsteknologi, 2021. http://urn.kb.se/resolve?urn=urn:nbn:se:his:diva-20106.
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Bring Your Own Device (BYOD) fortsätter öka i popularitet bland många organisationer. Problem, risker, och hot kopplade till denna enhetsstrategi har blivit noggrant studerat och diskuterat i många olika artiklar. Dock, rollen som toppchefer spelar i BYOD policyefterlevnad, är en aspekt som har blivit försummad och behöver ytterligare forskning. Toppchefers medverkan, stöd, och attityd mot informationssäkerhetsarbete påverkar anställdas intentioner att följa säkerhetspolicys. Därav, kasta ljus på effekten chefer och företagskultur kan ha, bedöms förmånligt för både organisationer såväl som deras ledare. En systematisk litteraturrecension utfördes med syftet att besvara vilken roll toppchefer spelar i BYOD policyefterlevnad. Specifika söktermer användes i fyra olika databaser för att hitta artiklar, som sedan utsattes för en process för att bedöma deras kvalitet baserat på förbestämda urvalskriterier. Denna process ledde till 14 artiklar som bedömdes vara bidragande till denna uppsats. Koncept som diskuterades och inträffade i flera av de valda artiklarna blev markerade och vidare analyserade. Fem koncept blev extraherade, och slutsatser drogs från dem. Fem intervjuer utfördes och resultaten både styrkte slutsatserna dragna från koncepten, och gav nya intressanta vinklar och aspekter.Bring Your Own Device (BYOD) continues to rise in popularity among many organisations. Problems, risks, and threats connected to this device strategy have been thoroughly studied and discussed in many different articles. However, top managers’ role in BYOD policy compliance is an aspect that has been neglected and needs further research. Top managers' involvement, support, and attitude towards information security work affect employee’s intentions to comply with security policies. Hence, shedding light on the effect managers and corporate culture can have is deemed beneficial for both organisations and their leaders. A systematic literature review was conducted to answer what role top managers play in BYOD policy compliance. Specific search terms were used in four different databases to find articles which were then put through a process to assess their quality based on pre-defined selection criteria. This process led to 14 articles that were deemed to be contributory to this thesis. Concepts that were discussed and occurred in several of the selected articles were highlighted and further analysed. Five concepts were extracted, and conclusions were drawn from them. Five interviews were conducted, and the results supported the conclusions drawn from the concepts and provided interesting new angles and aspects.
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Alotaibi, Mutlaq. "A model for monitoring end-user security policy compliance." Thesis, University of Plymouth, 2017. http://hdl.handle.net/10026.1/10237.
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Organisations increasingly perceive their employees as a great asset that needs to be cared for; however, at the same time, they view employees as one of the biggest potential threats to their cyber security. Organizations repeatedly suffer harm from employees who are not obeying or complying with their information security policies. Non-compliance behaviour of an employee, either unintentionally or intentionally, pose a real threat to an organization’s information security. As such, more thought is needed on how to encourage employees to be security compliant and more in line with a security policy of their organizations. Based on the above, this study has proposed a model that is intended to provide a comprehensive framework for raising the level of compliance amongst end-users, with the aim of monitoring, measuring and responding to users’ behaviour with an information security policy. The proposed approach is based on two main concepts: a taxonomy of the response strategy to non-compliance behaviour, and a compliance points system. The response taxonomy is comprised of two categories: awareness raising and enforcement of the security policy. The compliance points system is used to reward compliant behaviour, and penalise noncompliant behaviour. A prototype system has been developed to simulates the proposed model in order to provide a clear image of its functionalities and how it is meant to work. Therefore, it was developed to work as a system that responds to the behaviour of users (whether violation or compliance behaviour) in relation to the information security policies of their organisations. After designing the proposed model and simulating it using the prototype system, it was significant to evaluate the model by interviewing different experts with different backgrounds from academic and industry sectors. Thus, the interviewed experts agreed that the identified research problem is a real problem that needs to be researched and solutions need to be devised. It also can be stated that the overall feedback of the interviewed experts about the proposed model was very encouraging and positive. The expert participants thought that the proposed model addresses the research gap, and offers a novel approach for managing the information security policies.
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Alnamlah, Abdullah Khaled. "Corporate Leverage, Constraints, and Compliance." ScholarWorks@UNO, 2019. https://scholarworks.uno.edu/td/2660.
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The first chapter evaluates the zero-leverage effect on firms' financial constraints. Moreover, using investment- and cash-to-cash-flow sensitivities as financial constraint indicators, the results suggest that unleveraged firms are expected to face lower constraints relative to leveraged firms. Lastly, the results indicate that the zero-leverage effect on firms’ financial constraints is more likely stronger for smaller firms, zero-dividend firms, firms with lower proportions of tangible assets, and growth firms. The second chapter develops a new quantitative measure that reflects the extent to which a firm complies to Shariah relative to the other firms located in a certain region at a certain time. This measure can be customized to be consistent with each investor’s objectives, constraints, and beliefs. We argue that the use of this measure is preferable to the existing use of ratio thresholds for the following two reasons. First, it is more Shariah-appropriate because it provides the Shariah-compliant investor with a clear understanding of the relative compliance status of each firm he wishes to invest in. Second, it can be incorporated into any portfolio optimization model to create a balance between improving Shariah compliance and not compromising investment returns.
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Oremade, Babatunde Timothy. "Perception of petroleum profits tax compliance in Nigeria." Thesis, Bournemouth University, 2010. http://eprints.bournemouth.ac.uk/17520/.
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The aim of this research is to examine whether the extent of tax compliance by oil producing companies in Nigeria is determined by the knowledge, remuneration and incentives of government tax officials. This study sets out to investigate the extent of compliance of oil and gas (exploration and production) companies with the Petroleum Profits Tax Act and to confirm whether lack of sufficient knowledge of the PPT law and poor remuneration and incentives of government tax officials affect tax administration in the upstream sector of the petroleum industry in Nigeria. An extensive literature review was conducted on the historical and legislative background and the incentives available to petroleum companies in Nigeria. The review also covered theories of taxation, tax administration and compliance, tax reforms, tax avoidance and evasion. The literature review revealed gaps which this study attempts to fill. This research has concepts that require both qualitative and quantitative approaches in its design, data collection and data analyses. Consequently, a combination of quantitative and qualitative methods was adopted for this study. Face to face interviews were held with experienced regulatory, tax, petroleum companies’ officials and tax and audit practitioners. The researcher uses literature to develop hypotheses which are tested using survey results and backed up by personal interviews. This helps in obtaining results about the behaviour of taxpayers and tax officials in the upstream sector of the petroleum industry in Nigeria. By using a survey, the researcher is able to assess the perceptions of a cross-section of stakeholders in the Nigerian oil industry about the level of compliance with the PPT law. The personal interviews with oil experts provide the benefit of their in-depth knowledge of the oil industry in Nigeria and furnish an understanding of their social world. This research seems to support the perception that the oil producing companies may not be complying fully with the provisions of the Petroleum Profits Tax Act and the Petroleum Act in relation to the payments of royalty and PPT. Interview results suggest that there is a lack of an adequate database of all company taxes paid in Nigeria, minimisation of monthly Royalties and PPT instalments, a dearth of experts on fiscal issues, overwhelming influence of the oil producing companies, poor attitude and inadequate knowledge of the operations of the petroleum industry amongst government tax officials.
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Kanzenbach, Katrin [Verfasser]. "The Model of the Corporate Compliance Officer / Katrin Kanzenbach." Frankfurt a.M. : Peter Lang GmbH, Internationaler Verlag der Wissenschaften, 2020. http://d-nb.info/1206077913/34.
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Wallner, Gerald L. "Developing a proactive framework for e-discovery compliance." [Denver, Colo.] : Regis University, 2008. http://165.236.235.140/lib/GWallner2008.pdf.
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Nelson, Susan Elaine. "Nursing Staff Participation in Chart Audits Increases Documentation Compliance." ScholarWorks, 2015. https://scholarworks.waldenu.edu/dissertations/1417.
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Clinical documentation is an essential quality element that is often not adequately completed. Current data demonstrate that 32% of home health claims do not meet the requirements for federal reimbursement. Rogers's diffusion of innovation was used as a conceptual framework to guide this quality improvement project which determined whether home health nurses with education and chart audit experience demonstrate increased documentation compliance relative to nurses with education only. After completing a 1-hour education program on documentation, a convenience sample of home health nurses (n = 8) was divided between a chart-audit group (n = 4) and a no-chart-audit group (n = 4). Each nurse in the chart-audit group reviewed 4 charts for adequacy of documentation related to pain assessment, homebound status, and skilled nursing notes. Charts of all nurses who attended the education program were independently assessed for documentation compliance 3 weeks after they completed the chart audit session. Based on Fisher's exact test analysis, no significant difference in adequacy of documentation was noted between nurses who conducted chart audits and those who did not; however, all nurses in the audit group had adequate documentation compliance for pain, homebound status, and skilled nursing notes. Nurses with > 4 years in nursing charted more adequately than nurses with -?¤ 4 years in nursing, and nurses with -?¤ 4 years in homecare were found to chart more adequately than nurses with > 4 years in homecare. Staff participation in chart audits, as a quality improvement strategy, may improve compliance with documentation requirements.
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Karlin, David [Verfasser], and A. [Akademischer Betreuer] Oberweis. "IT-gestütztes Compliance Management für Geschäftsprozesse / David Karlin. Betreuer: A. Oberweis." Karlsruhe : KIT-Bibliothek, 2015. http://d-nb.info/1100529632/34.
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Trenn, Ilko [Verfasser]. "Empirical Essays on Tax Compliance Management and Tax Disclosures / Ilko Trenn." Hannover : Gottfried Wilhelm Leibniz Universität, 2021. http://d-nb.info/1234147823/34.
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Wilson, M. "Patient education and compliance in non-insulin dependent diabetes mellitus." Thesis, University of Surrey, 1991. http://epubs.surrey.ac.uk/844504/.
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This prospective study investigated many compliance-related aspects involving a population of Type II (non-insulin-dependent) diabetics, who attended the out-patients' clinic of a District General hospital. The investigations were undertaken from both qualitative and quantitative perspectives; activities within the clinic were observed and knowledge levels concerning diabetes mellitus were measured. A teaching programme was constructed, drawing on general educational principles; each stage was subjected to analysis and evaluation. Information, teaching and counselling skills were incorporated and a quality assurance model described. Two groups of subjects - one diagnosed less than one year (n=20), the other diagnosed more than one year (n=18) - were entered into a teaching programme; weight change was chosen as the study variable. Three interventions were planned for each subject. No statistically significant differences were found between the study groups and an historical control group, but clinically significant trends towards the target weight were recorded. Following the intervention study, a clinic-specific video was made, which was positively evaluated by subjects after it was viewed in their own homes. An innovative method of analysis was applied to health belief attributes, including vulnerability and social support-dynamic concept analysis (Kontiainen, 1973) - and models were constructed to determine whether there were common patterns of interview response from which prediction of compliance with clinical advice could be deduced. From the analysis it was concluded that computerised models could be constructed, which would be used in the clinic setting to predict, and subsequently monitor and guide, the behaviour required of individuals with NIDDM. The home viewing of clinic-specific videos would provide an adjunct to effective management through the dissemination of information outside the immediate physician-patient interaction. The main aim of Type II diabetes management is control of body weight. A means of depicting movement out of the obesity grading (Garrow and Webster, 1985) was devised, which could be utilised in a collaborative way by the health care professional and the diabetic person. From this longitudinal study it was concluded that the unique educational needs of individuals must be met by a range of inter-linked skills, methods and materials, if a solution to the non-compliance problem is to be found.
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Cheung, Yee Chung. "Compliance flow : an intelligent workflow management system to support engineering processes." Thesis, Loughborough University, 2003. https://dspace.lboro.ac.uk/2134/35616.
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This work is about extending the scope of current workflow management systems to support engineering processes. On the one hand engineering processes are relatively dynamic, and on the other their specification and performance are constrained by industry standards and guidelines for the sake of product acceptability, such as IEC 61508 for safety and ISO 9001 for quality. A number of technologies have been proposed to increase the adaptability of current workflow systems to deal with dynamic situations. A primary concern is how to support open-ended processes that cannot be completely specified in detail prior to their execution. A survey of adaptive workflow systems is given and the enabling technologies are discussed. Engineering processes are studied and their characteristics are identified and discussed. Current workflow systems have been successfully used in managing "administrative" processes for some time, but they lack the flexibility to support dynamic, unpredictable, collaborative, and highly interdependent engineering processes.
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Onyegwu, Chidinma. "Patient's Compliance with Diabetes Self-Management in the Primary Care Setting." ScholarWorks, 2019. https://scholarworks.waldenu.edu/dissertations/6733.
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Diabetes is a chronic disease that can be self-managed to control the disease and its adverse consequence. The purpose of this systematic literature review was to examine the barriers to patients' successful adherence to the self-management plan and to examine strategies used to improve patients' compliance with self-care behaviors. Three practice-focused questions focused on the personal characteristics or factors influencing patients' compliance with self-management, the barriers to patient compliance regarding diabetes self-management, and the effective strategies used to improve patients' compliance with diabetes self-management at primary care clinics. The literature review used the preferred reporting items for systematic reviews and meta-analyses model and the Johns Hopkins nursing evidence-based practice models. Findings showed that implementation of strategies using technology messages and texts can significantly decrease hemoglobin A1c levels, reduce complications of people with diabetes, and bring about social change by minimizing the prevalence of diabetes in the United States. The implementation of the project's outcomes can improve proper self-management practices among patients with diabetes, decrease the diabetes incidence among adults, and minimize health-related complications.
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Du, Plessis Riana. "Exercise compliance and health outcome in a chronic disease management programme." Diss., University of Pretoria, 2009. http://hdl.handle.net/2263/28512.
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In the latter part of the 20th century chronic diseases, especially cardio vascular-related diseases (CVDs) and Type 2 diabetes mellitus (DM) seemed to have emerged as substantial problems. This can be seen in the prevalence and the cost of CVDs in South Africa and worldwide. It was predicted that by the year 2030 more people would be dying from CVDs than from Human Immunodeficiency Virus/Acquired Immunodeficiency Syndrome (HIV/Aids). The reasons for the occurrence of CVDs are linked to biological (i.e. hypertension, hyperlipidemia, obesity, insulin resistance, etc), psychological (i.e. emotional stress), and behavioural or lifestyle risk factors. It is known that physical exercise can aid in the treatment of CVDs. Institutions such as the American College of Sports Medicine (ACSM) recommended an exercise frequency of three times per week for 20 minutes. According to literature, a third of patients in exercise studies do not comply with their exercise protocol, and after three to six months, 50 percent will drop out of organised training groups. Less than a third of South Africans complied with exercising 30 minutes a day on most days of the week. Thus, there has been much interest among health-care providers to manage exercise compliance. Exercise compliance is a complex construct, and thus in the present study the role that behavioural patterns play was also investigated via psychological behavioural models. The major objectives of the study were the following: - Firstly, to determine if exercise compliance or non-compliance had an influence on shifts measured in the clinical parameters (i.e. blood pressure, blood lipid levels, blood glucose levels, body mass index, body fat percentage and cardiac risk percentage) over time.
- Secondly, to determine whether there were any correlation between the psychological behavioural models and the exercise compliance of the members over the course of the Best Med/Access Health-Disease Management Programme (BM/AH-DM Programme).
- Biologiese (met inbegrip van hipertensie, insulienweerstandigheid, hoë bloedcholesteroltellings, ens)
- Sielkundige (bv emosionele spanning) • Risikofaktore wat verband hou met lewenstyl.
Dissertation (MA)--University of Pretoria, 2009
Biokinetics, Sport and Leisure Sciences
unrestricted
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Bugg, Samuel R. IV. "Internship with Environmental Quality Management, Inc. - Technical Communication and Environmental Compliance." Miami University / OhioLINK, 2008. http://rave.ohiolink.edu/etdc/view?acc_num=miami1212758588.
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Mvelase, Thokozile Olivia. "The impact of non-compliance with Eskom procurement policies." Thesis, Nelson Mandela Metropolitan University, 2015. http://hdl.handle.net/10948/9140.
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Supply Chain Management (SCM) has an overwhelming impact on firms as it directly impacts on sales and costs. Therefore, it must be a core competency for any organization and thus SCM expertise is highly valued in organisations. Procurement of goods and services has a major impact on the successful execution of the project. Procurement can help the business, ensuring that all the goods and services they buy will be of the right quality, quantity and price, and they will be delivered ‘just in time’. The application of procurement policies and practices, using fair and open procedures, is crucial not only for attracting efficient contractors and suppliers, but also to safeguard the principle of accountability and the cost-effective use of funds. Before awarding a tender, there is a substantial amount of work to be undertaken by the project manager, contracts manager, end user, buyer, and authorising committees. Commitment from personnel involved in contract awarding is not adequate. Furthermore, the Eskom governance process sometimes contributes to delays in awarding a contract. before the enquiry and tender documentation is sent out to the suppliers on the tender list, the core team involved in the procurement process verifies that the enquiry is complete and correct. Should there be contractual or legal issues during the execution of the project in the form of say a contract that has been issued with unsuitable clauses, solving the problem becomes difficult. Contractors will sometimes use contract clauses to suit themselves, and take advantage of the employer, causing cost overruns due to the difficulties in managing the contract. Eskom’s commercial activities are governed by the Public Finance Management Act (PFMA) and Constitution of South Africa, which states that an organisation such as Eskom should have in place “an appropriate procurement and provisioning system which is fair, equitable, transparent, competitive, and cost-effective.” This can eliminate irregularities in contracts, since they can have a serious economic impact, interfere with fair competition, and destroy confidence in the integrity and functioning of public administration Such irregularities may lead to costs overruns on projects where incompetent contractors are awarded a contract. Incorrect financial forecasting is a very serious issue, and needs to be addressed in order to help strengthen the cash flow and forecasting within Eskom. This research strategy is intended for quantifying observations of human behaviour, with the emphasis on exact measurements. The primary data for this study was generated through the administration of a structured questionnaire survey conducted among engineers, project managers, contract managers, and forensics personnel. The secondary data for the present study was gathered from literature in the form of open ended questionnaire from the same personnel. Poor commitment of buyers and chain approval meetings being shifted affect the delays in awarding of contracts. Lack of training of contract managers, absence of legal representative’s advice and squad checking meetings not being represented properly contributes to contracts being awarded with unsuitable clauses. Managers specifically forcing contracts to be awarded to a specific contractor, nepotism or favoritism, politics and contractor greediness, relate to irregularities in contracts. Lack of experience, revision of scope (unclarified scope), project delays, less effort being made when forecasting and unforeseen circumstances, such as strikes, and forces of nature, relate to incorrect financial forecasting. Continuous training and commitment of all personnel involved in the project environment is important, therefore Eskom personnel in the project environment should work as a team in an integrated way. Adequate time should be spent, and thorough checks made, to ensure that documents sent out for tendering conform to requirements. Involvement of all the supporting functions must be maximised. Code of ethics training and application is very crucial in the project environment, and the current governance policies should be adhered to by all stakeholders in the project.
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Haack, Lutz-Ulrich [Verfasser], and Abdolkarim [Akademischer Betreuer] Sadrieh. "Interne Compliance-Kommunikation : ein Reifegradmodell / Lutz-Ulrich Haack. Betreuer: Abdolkarim Sadrieh." Magdeburg : Universitätsbibliothek, 2013. http://d-nb.info/1054420025/34.
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Bulgurcu, Burcu. "The antecedents of information security policy compliance." Thesis, University of British Columbia, 2008. http://hdl.handle.net/2429/1121.
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Information security is one of the major challenges for organizations that critically depend on information systems to conduct their businesses. Ensuring safety of information and technology resources has become the top priority for many organizations since the consequences of failure can be devastating. Many organizations recognize that their employees, who are often considered as the weakest link in information security, can be a great resource as well to fight against information security-related risks. The key, however, is to ensure that employees comply with information security related rules and regulations of the organization. Therefore, understanding of compliance behavior of an employee is crucial for organizations to effectively leverage their human capital to strengthen their information security.
This research aims at identifying antecedences of an employee’s compliance with the information security policy (ISP) of his/her organization. Specifically, we address how employees without any malicious intent choose to comply with requirements of the ISP with regards to protecting the information and technology resources of their organizations. Drawing on the Theory of Planned Behavior, we show an employee’s attitude towards compliance results in his/her intention to comply with the ISP. Of those, Benefit of Compliance and Cost of Non-Compliance are shown to be shaped by positive and negative reinforcing factors; such as, Intrinsic Benefit, Safety of Resources, Rewards and Intrinsic Cost, Vulnerability of Resources, and Sanctions, respectively. We also investigate the role of information security awareness on an employee’s ISP compliance behavior. As expected, we show that information security awareness positively influences attitude towards compliance. We also show that information security awareness positively influences the perception of reinforcing factors and negatively increases perception of the Cost of Compliance. As organizations strive to get their employees to follow their information security rules and regulations, our study sheds light on the role of an employee’s information security awareness and his/her beliefs about the rationality of compliance and non-compliance with the ISP.
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Waterman, K. Krasnow. "Knowledge discovery in corporate email : the compliance bot meets Enron." Thesis, Massachusetts Institute of Technology, 2006. http://hdl.handle.net/1721.1/37574.
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Thesis (M.B.A.)--Massachusetts Institute of Technology, Sloan School of Management, 2006.Includes bibliographical references (leaves 101-107).
I propose the creation of a real-time compliance "bot" - software to momentarily pause each employee's email at the moment of sending and to electronically assess whether that email is likely to create liability or unanticipated expense for the corporation. My thesis describes the confluence of historical events making such a product necessary and desirable - increase in corporate regulation, explosive growth of email, acceptance of email as evidence in litigation. The cautionary tale of Enron provides the backdrop for the thesis. The government released hundreds of thousands of Enron management emails and they have become research fodder for those interested in "Knowledge Discovery," a computer science discipline that gleans meaningful information from data otherwise indecipherable due to its sheer size. CEO's and other C-level corporate managers are my intended audience, so I have attempted to counter the weightiness of the technical topics by focusing on the search for readily understandable management headaches such as the loss of productivity due to high participation in the fantasy football pool or the potential for dirty jokes to become evidence in an employment law claim.
by K. Krasnow Waterman.
M.B.A.
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König, Ulrich Matthias [Verfasser], and Maximilian [Akademischer Betreuer] Röglinger. "Advanced Process Digitalization, Compliance, and Automation / Ulrich Matthias König ; Betreuer: Maximilian Röglinger." Bayreuth : Universität Bayreuth, 2021. http://d-nb.info/1230468927/34.
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Lane, Tim. "Information security management in Australian universities : an exploratory analysis." Queensland University of Technology, 2007. http://eprints.qut.edu.au/16486/.
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Australian Universities increasingly rely on Information Technology (IT) systems for essential business operations, including administration, teaching, learning and research. Applying information security to university IT systems is strategically important to maintaining overall business continuity in universities. However, the process of effectively implementing information security management in the university sector is challenging for security practitioners. University environments consist of a cultural mix of academic freedoms, student needs and compliance mandates. Consequently, unique and divergent demands are placed on securing and accessing university IT systems. This research undertook a qualitative based exploratory analysis of information security management in Australian universities. The aims and objectives of the research (represented as the research questions) were to determine: 1) What is the current status of information security management practices in the Australian university sector? 2) What are the key issues and influencing factors surrounding the effectiveness of information security management practices? 3) How could improvements in information security management be achieved? The findings from the research led to a comprehensive and insightful examination of the current status, issues and challenges facing information security practitioners in Australian universities. The research findings culminated in the development of a Security Practitioner's Management Model. An essential aim of the model is to assist security practitioners to successfully implement and progress information security in the Australian university environment. The research improves current understanding of information security issues and reinforces the pertinence of information security management as a strategically important business function for Australian universities.
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Babos, Jeffrey C. "Financial management of hazardous waste compliance and mitigation costs: constraints and implications." Thesis, Monterey, California. Naval Postgraduate School, 1991. http://hdl.handle.net/10945/43774.
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This research investigates financial management and other constraints and implications of hazardous waste disposal and compliance within DoD and DoN. It shows that during contracting fiscal period where there is an environmentally conscious public, the DoD and the Navy have to make trade-offs in funding for hazardous waste management. The study reveals that legislation removing sovereign immunity from the DoD for hazardous waste disposal may not achieve its desired results of reducing pollution. Furthermore, the research concludes that DoD currently lacks an effective method of accounting for hazardous waste generation levels. This affects the interpretation of the data for decision making. An accounting model is presented to address this problem to increase the effectiveness of hazardous waste minimization programs.
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Bennett, S. "Civil servants' compliance with demands of performance management : The case of Ireland." Thesis, Queen's University Belfast, 2008. http://ethos.bl.uk/OrderDetails.do?uin=uk.bl.ethos.501237.
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Roux, Izak Johannes. "Applying the Analytic Hierarchy Process to Oil Sands Environmental Compliance Risk Management." ScholarWorks, 2015. https://scholarworks.waldenu.edu/dissertations/164.
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Oil companies in Alberta, Canada, invested $32 billion on new oil sands projects in 2013. Despite the size of this investment, there is a demonstrable deficiency in the uniformity and understanding of environmental legislation requirements that manifest into increased project compliance risks. This descriptive study developed 2 prioritized lists of environmental regulatory compliance risks and mitigation strategies and used multi-criteria decision theory for its theoretical framework. Information from compiled lists of environmental compliance risks and mitigation strategies was used to generate a specialized pairwise survey, which was piloted by 5 subject matter experts (SMEs). The survey was validated by a sample of 16 SMEs, after which the Analytic Hierarchy Process (AHP) was used to rank a total of 33 compliance risks and 12 mitigation strategy criteria. A key finding was that the AHP is a suitable tool for ranking of compliance risks and mitigation strategies. Several working hypotheses were also tested regarding how SMEs prioritized 1 compliance risk or mitigation strategy compared to another. The AHP showed that regulatory compliance, company reputation, environmental compliance, and economics ranked the highest and that a multi criteria mitigation strategy for environmental compliance ranked the highest. The study results will inform Alberta oil sands industry leaders about the ranking and utility of specific compliance risks and mitigations strategies, enabling them to focus on actions that will generate legislative and public trust. Oil sands leaders implementing a risk management program using the risks and mitigation strategies identified in this study will contribute to environmental conservation, economic growth, and positive social change.
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Yaich, Mohamed Reda. "Adaptiveness and Social-Compliance in Trust Management - A Multi-Agent Based approach." Thesis, Saint-Etienne, EMSE, 2013. http://www.theses.fr/2013EMSE0717/document.
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Les communautés virtuelles sont des systèmes sociotechniques dans lesquels des entités (humaines et/ou artificielles) répartis à travers le monde se réunissent autour d’intérêts et/ou d’objectifs communs. Afin de réaliser ces objectifs, les membres de la communauté doivent collaborer en partageant leurs ressources et/ou connaissances. Or, toute collaboration comporte une part de risque dans la mesure où les membres peuvent se comporter de manière non coopérative ou malveillante. Dans de tels contextes, où les mécanismes de sécurité standard ne suffissent plus, la confiance est rapidement devenue un facteur déterminant lors de la prise de décision. Le travail présenté dans cette thèse s’attaque à la problématique de la gestion de la confiance dans les communautés virtuelles ouvertes et décentralisées. Pour cela, nous avons proposé une infrastructure de gestion de la confiance adaptative et conforme socialement (ASC-TMS). L’aspect novateur de ce système réside dans sa faculté à exhiber des propriétés sociales et adaptatives. L’aspect social du ASC-TMS fait référence à la capacité de notre système à prendre des décisions qui soient sûres non seulement pour l’individu mais également et surtout pour les autres membres de la communauté. Par ailleurs, l’aspect adaptatif du système fait référence à la capacité du système à prendre des décisions qui soient en parfaite adéquation avec l’environnement dans lequel ces décisions sont prises. Ainsi, cette thèse constitue une nouvelle étape vers l’automatisation de l’évaluation de la confiance en assistant les membres des communautés virtuelles ouvertes et décentralisées dans leur prise de décision. Le système a été implémenté et déployé en utilisant la plateforme de développement multi-agent JaCaMo. Nous avons également illustré l’applicabilité de notre approche sur un scénario réel de communauté virtuelle d’innovation ouverte. Enfin, nous avons évalué notre système expérimentalement en utilisant la plateforme de simulation multi-agent Repast. Les résultats obtenus montrent que l’utilisation de notre système avait un impact positif sur la dynamique des communautés dans lesquels il est a été utiliséVirtual communities (VCs) are socio-technical systems wherein distributed individuals (human and/or artificial) are grouped together around common objectives and goals. In such systems, participants are massively collaborating with each other’s by sharing their private resources and knowledge. A collaboration always bears the risk that one partner exhibits uncooperative or malicious behaviour. Thus, trust is a critical issue for the success of such systems. The work presented in this dissertation addresses the problem of trust management in open and decentralised virtual communities (VCs). To address this problem, we proposed an Adaptive and Socially-Compliant Trust Management System (ASC-TMS). The novelty of ASC-TMS lies in its ability to exhibit social-awareness and context-awareness features. Social-awareness refers to the ability of the trust management system (TMS) to handle the social nature of VCs by making trust evaluations that are collectively harmful, while context-awareness refers to the ability of the system to handle the dynamic nature of VCs by making trust evaluations that are always in adequacy with the context in which these evaluations are undertaken. Thus, the contributions made in this thesis constitute an additional step towards the automation of trust assessment. We provided accordingly a novel trust management system that assists members of open and decentralised virtual communities in their trust decisions. The system has been implemented and deployed using the JaCaMo multi-agent platform. We illustrated also the applicability of on a real life open innovation virtual community scenario. Finally, the ASC-TMS has been experimentally evaluated using the multi-agent based Repast simulation platform. The preliminary results show that the use of our system significantly improves the stability of the virtual communities in which it has been deployed
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Haji-Omar, Mohamad S. "A novel workflow management system for handling dynamic process adaptation and compliance." Thesis, Loughborough University, 2014. https://dspace.lboro.ac.uk/2134/14492.
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Modern enterprise organisations rely on dynamic processes. Generally these processes cannot be modelled once and executed repeatedly without change. Enterprise processes may evolve unpredictably according to situations that cannot always be prescribed. However, no mechanism exists to ensure an updated process does not violate any compliance requirements. Typical workflow processes may follow a process definition and execute several thousand instances using a workflow engine without any changes. This is suitable for routine business processes. However, when business processes need flexibility, adaptive features are needed. Updating processes may violate compliance requirements so automatic verification of compliance checking is necessary. The research work presented in this Thesis investigates the problem of current workflow technology in defining, managing and ensuring the specification and execution of business processes that are dynamic in nature, combined with policy standards throughout the process lifycle. The findings from the literature review and the system requirements are used to design the proposed system architecture. Since a two-tier reference process model is not sufficient as a basis for the reference model for an adaptive and compliance workflow management system, a three-tier process model is proposed. The major components of the architecture consist of process models, business rules and plugin modules. This architecture exhibits the concept of user adaptation with structural checks and dynamic adaptation with data-driven checks. A research prototype - Adaptive and Compliance Workflow Management System (ACWfMS) - was developed based on the proposed system architecture to implement core services of the system for testing and evaluation purposes. The ACWfMS enables the development of a workflow management tool to create or update the process models. It automatically validates compliance requirements and, in the case of violations, visual feedback is presented to the user. In addition, the architecture facilitates process migration to manage specific instances with modified definitions. A case study based on the postgraduate research process domain is discussed.