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On the Design of Compliance Governance Dashboards for Effective Compliance and Audit Management

机译:关于合规治理仪表板的设计,以实现有效合规性和审计管理

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Assessing whether a company's business practices conform to laws and regulations and follow standards, i.e., compliance governance, is a complex and costly task. Few software tools aiding compliance governance exist; however, they typically do not address the needs of who is in charge of assessing and controlling compliance, that is, compliance experts and auditors. We advocate the use of compliance governance dashboards, whose design and implementation is however challenging for these reasons: (i) it is fundamental to identify the right level of abstraction for the information to be shown; (ii) it is not trivial to visualize distinct analysis perspectives; and (iii) it is difficult to manage the large amount of involved concepts, instruments, and data. This paper shows how to address these issues, which concepts and models underlie the problem, and, how IT can effectively support compliance analysis in SOAs.
机译:评估公司的商业惯例是否符合法律法规,并遵守标准,即合规性治理,是一项复杂且昂贵的任务。一些软件工具存在辅助合规性治理;但是,它们通常不会解决负责评估和控制合规性的人的需求,即合规专家和审计师。我们倡导使用合规治理仪表板,其设计和实施是挑战的原因:(i)确定要显示的信息的正确抽象水平是基础的; (ii)可视化不同的分析视角并不重要; (iii)很难管理大量涉及的概念,仪器和数据。本文展示了如何解决这些问题,其中概念和模型劣质问题,以及如何在SOA中有效地支持合规性分析。

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