Compliance Principles for Decision Management Solutions at the Dutch Government

Abstract: Since decision management is becoming an integrated part of business process management, more and more decision management implementations are realized. Therefore, organizations search for guidance to design such solutions. Principles are often applied to guide the design of information systems in general. A particular area of interest when designing decision management solutions is compliance. In an earlier published study (Zoet & Smit, 2016) we took a general perspective on principles regarding the design of decision management solutions. In this paper, we re-address our earlier work, yet from a different perspective, the compliance perspective. Thus, we analyzed how the principles can be utilized in the design of compliant decision management solutions. Therefore, the purpose of this paper is to specify, classify, and validate compliance principles. To identify relevant compliance principles, we conducted a three round focus group and three round Delphi Study which led to the identification of eleven compliance principles. These eleven principles can be clustered into four categories: 1) surface structure principles, 2) deep structure principles, 3) organizational structure principles, and 4) physical structure principles. The identified compliance principles provide a framework to take into account when designing information systems, taking into account the risk management and compliance perspective.