Abstract/Summary

With the ever-changing regulations, rules, and standards due to the proliferation of technologies, systems and products, compliance has become a prevalent business and organisation concern. As such, many organisations have put systems in place to ensure that they comply with requirements of regulatory needs and ensure they stay competitive in the global market. Although many have been successful with compliance needs, there have been reported non-compliances in many organisations. The reasons for the non�compliances have been shown to be multifactorial, ranging from ineffective documentation, equipment failures, ambiguous requirements from regulators and human factors. Current evidence shows that there are limited Systems that seek to understand the reasons behind the non-compliances, with most systems only managing compliance activities. Consequently, there is repeat of non-compliances as the systems fail to understand why people are not complying. To address this limitation, this study uses Design Science Research Approach to develop Compliance Assessment Model (CAM) and CLUES Persuasive Framework. The CAM model propose that by understanding intention of subjects to compliantly follow rules, regulations, and standards formulated into the Quality Management System (QMS), the reason behind the non-compliance can be assessed. The Compliance Assessment Model provides new theoretical approach in assessment of non-compliance in regulatory and non-regulatory organisations. It is suggested that CAM may be applicable during implementation of new systems by aiding in the user requirement assessment and further in assessment of compliance during use. The CLUES persuasive framework on the other hand, utilised the Persuasive Systems Design (PSD) to improve compliance based on the interventions derived from the framework. The study provided generic interventions that may be applicable in organisations to improve compliance. It also provided means for interventions to be adapted for specific organisations based on their needs. The CAM model and CLUES framework were evaluated and found to be effective to assess non-compliance and aid improvement of compliance.