On the design of compliance governance dashboards for effective compliance and audit management

Authors:
Patrícia Silveira;Carlos Rodríguez;Fabio Casati;Florian Daniel;Vincenzo D'Andrea;Claire Worledge;Zouhair Taheri
Affiliations:
University of Trento, Italy;University of Trento, Italy;University of Trento, Italy;University of Trento, Italy;University of Trento, Italy;Deloitte Conseil, Paris, France;PricewaterhouseCoopers Accountants, Rotterdam, Netherlands
Venue:
ICSOC/ServiceWave'09 Proceedings of the 2009 international conference on Service-oriented computing
Year:
2009

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Abstract

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.