The Innova Compliance Monitoring Platform

The Innova Integra Compliance Monitoring Platform is a vendor-independent tool that can be integrated into your organisational systems and communication channels in order to monitor activities for legal or regulatory compliance issues. It is our core system for monitoring system usage and communication activities in organisations that need to address internal or external compliance requirements in a structural manner instead of through one-off activities such as regulatory audits.

The Compliance Monitoring Platform has been developed as a flexible system that can be adapted to multiple application domains and that can be integrated as a compliance monitoring tool for a variety of systems including custom-developed ones. The description provided below relates to a prototype that was developed for use in the law enforcement domain that was developed as part of the SPIRIT project.

The diagram below illustrates the key components of the implementation used in the SPIRIT project.

The platform integrates the following subsystems:

• Authentication & Authorisation has been implemented as a dedicated system for use in SPIRIT using Apache Syncope. The Compliance Management Platform can integrate with typically used authentication systems and can receive log data from those to monitor user activities related to authentication and authorisation.
• Data Acquisition enables the platform to gather data from systems to be monitored. The platform provides a generic activity logging API and can also intercept data passing through message broker tools.
• Storage is managed via a separate and dedicated database system. Block-based cryptographically signed hashing is used in order to protect the gathered log data from tampering even from staff with wide-reaching access credentials (e.g. system administrators).
• Data Presentation presents the gathered data via a web user interface. The user interface presents the gathered data with priority and analysis information and allows auditing users to filter data in a variety of ways. System operations can be customised via the user interface.
• Output Processing allows the system to trigger actions within the system itself, such as sending notification emails, blocking a user account or shutting down a third party system depending on the type of overall integration of the compliance management tool.
• Data Evaluation and Analysis implements the AI tools for analysis and evaluation of activity log data gathered by the system. The figure below outlines the general workflow for data evaluation and analysis for the SPIRIT prototype implementation:

Further information on the compliance monitoring prototype developed for the SPIRIT project can be found in the publicly available SPIRIT project deliverable document D9.8 (forthcoming). If you would like to learn more about further capabilities of our compliance monitoring tool, please get in touch for a personal tour through our system features.