Managing the false alarms: A framework for assurance and verification of surveillance monitoring |
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| Authors: | Peter Goldschmidt |
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| Affiliation: | (1) UWA Business School M261, The University of Western Australia, Crawley, WA 6907, Australia |
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| Abstract: | This article discusses methods to support assurance of surveillance monitoring and compliance verification knowledge management
(CV-KM). The discussion includes aspects of primary monitoring systems, the different environments in which they operate,
the verification problem solving and decision making tasks, the problem structure, and the coordination of the review process
to facilitate truth maintenance and regulatory Meta rules. Based on the ALCOD (Alert Coding) prototype developed with the
Surveillance Division of the Australian Stock Exchange (ASX), the surveillance operation is considered a primary monitoring
function with the analysis of the resulting output the second-tier monitoring function—the assurance component.
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| Keywords: | Primary monitoring systems (PMS) Second tier monitoring Simple environments Complex environments Suspected non-compliance event (SNCE) False positive management |
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