Compliance Management in Business Processes

Sridevi Saralaya, Vishwas Saralaya, Rio D’Souza

Research output: Chapter in Book/Report/Conference proceedingChapter

6 Citations (Scopus)


Business Process Compliance refers to the act of conformance of a business process with policies, regulations and rules that govern the organization. An imperative requirement of business processes in various fields such as Health care, Insurance, Finance and Online Trade is adherence to a large number of compliance requirements, constraints and quality policies from various sources. Lack of compliance may result in huge compensations and loss of customers and reputation. Compliance issues can be handled either retrospectively i.e. after non-complaint situations are observed or they can be handled proactively i.e. anticipation of possibilities leading to non-compliant circumstances during process execution which may prevent occurrence of deviations and thus save upon compensation effects. Hence compliance management tasks need to be incorporated into each phase of the life-cycle of a business process. In this article we discuss contemporary activities related to lifecycle of compliance management in business processes which involve compliance elicitation, compliance formalization, compliance implementation, compliance verification and compliance improvement based on existing literature. Compliance Monitoring Functionalities (CMFs) which may be used to categorize and also assess existing compliance management approaches and frameworks are also discussed.

Original languageEnglish
Title of host publicationLecture Notes on Data Engineering and Communications Technologies
PublisherSpringer Paris
Number of pages39
Publication statusPublished - 01-01-2019

Publication series

NameLecture Notes on Data Engineering and Communications Technologies
ISSN (Print)2367-4512
ISSN (Electronic)2367-4520

All Science Journal Classification (ASJC) codes

  • Media Technology
  • Electrical and Electronic Engineering
  • Computer Science Applications
  • Computer Networks and Communications
  • Information Systems


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