Visualization of automated compliance monitoring and reporting

authored by: Thorben Sandner, Matthias Kehlenbeck, Michael H. Breitner
Abstract: Compliance management is a critical financial and legal subject for organizations. It is operationally implemented by embedding internal controls into business processes and their supporting IT systems. Challenges arise from the complexity of real-life processes and systems, their continuous monitoring and the timely communication of thereby detected problems. In order to realize effective and efficient monitoring, the responsible persons must be supported by suitable compliance software. This compliance software should enable the responsible persons to get both high-level information regarding the overall compliance status and low-level information regarding possible problems. Furthermore, it should not be limited to passive reporting components for compliance management, but also allow for interactive user interfaces, which facilitate the proactive supervision of tasks. The aim of this work is to encourage the responsible persons to analyze and explore compliance information through their appropriate visualization. Thus, unique and valuable human strengths, such as lateral thinking, can be used aside from the computational strengths of compliance software during control monitoring.
Organisation(s): Institute of Computer Science for Business Administration
Type: Conference contribution
Pages: 364-368
No. of pages: 5
Publication date: 2010
Publication status: Published
Peer reviewed: Yes
ASJC Scopus subject areas: Computer Science Applications, Software
Electronic version(s): https://doi.org/10.1109/DEXA.2010.77 (Access: Unknown)

BibTeX

@inproceedings{ccaf1b389aa541b0a3a27b879a74f632,
title = "Visualization of automated compliance monitoring and reporting",
abstract = "Compliance management is a critical financial and legal subject for organizations. It is operationally implemented by embedding internal controls into business processes and their supporting IT systems. Challenges arise from the complexity of real-life processes and systems, their continuous monitoring and the timely communication of thereby detected problems. In order to realize effective and efficient monitoring, the responsible persons must be supported by suitable compliance software. This compliance software should enable the responsible persons to get both high-level information regarding the overall compliance status and low-level information regarding possible problems. Furthermore, it should not be limited to passive reporting components for compliance management, but also allow for interactive user interfaces, which facilitate the proactive supervision of tasks. The aim of this work is to encourage the responsible persons to analyze and explore compliance information through their appropriate visualization. Thus, unique and valuable human strengths, such as lateral thinking, can be used aside from the computational strengths of compliance software during control monitoring.",
keywords = "Dashboard, IS security, IT compliance, IT risk management, Visualization",
author = "Thorben Sandner and Matthias Kehlenbeck and Breitner, {Michael H.}",
note = "Copyright: Copyright 2010 Elsevier B.V., All rights reserved.; 21st International Workshop on Database and Expert Systems Applications, DEXA 2010 ; Conference date: 30-08-2010 Through 03-09-2010",
year = "2010",
doi = "10.1109/DEXA.2010.77",
language = "English",
isbn = "9780769541747",
pages = "364--368",
booktitle = "Proceedings",
}