The General Solution To Integrated Auditing Of 4A: Self-adapting Auditing Support System

In the international trend of the requirement of the Sarbanes-Oxley Act for the internal control on a listed company, quite a few domestic information security enterprises customize the 4A solution (integrated Accounting, Authentication, Authorization, Auditing management) for the Telecom Operators in China. In the solution, the auditing strategy presents the integration of the solution and represents the one of powerful parts of executing a general auditing. Moreover, the enactment of the strategy plays a key role in the auditing management.The existing way of the enactment is to customize the auditing strategy according to an application. Obviously, the way is neither generally applicable nor adaptable. In addition, the intervention by human being in the way may bring potential safety problems, which are intolerable to companies or groups.The paper proposes an adaptive auditing support system, which aims to overcome the problems in managing and promoting subsystems in the 4A solution. Combing the data mining technology in handling the massive data, the system generates the strategy automatically and optimizes the method of designing a strategy adaptively. What the author conducts in the system are as follows.First, a literature review is conducted in the auditing management of subsystems in the 4A solution. According to the demand, the classification technique of data mining is chosen to design the auditing strategy. The classification is studied to introduce the main methods in the field and illustrate a way to generate the decision tree.Second, the author proposes the framework of the software system. It integrates a frame of intelligent decision supporting system and the expert system, which makes the adaptive auditing support system intelligent and applicable generally. Moreover, the system is separated into parts according to their functions and these parts are supported with a detailed design and a user interface. The key parts are integrated with the data pre-processing and the optimization in the decision tree.Finally, the system is testified both by unites and in a whole, as well as the validity.Furthermore, we can list the three significant points in the adaptive auditing support system. We propose a general model of executing behavior auditing. Not only is the model able to generate the auditing strategy by a behavior, but also it can do a real-time auditing and respond a well-timed warning. A special way of the optimization of a decision tree is introduced in the paper. Preserving the precision of decision trees, the way reduces the redundant subtrees in a large extent, which makes trees condensed efficiently. Finally, the adaptive auditing support system makes it possible to suit a variety of auditing demands by optimizing the auditing strategy continuously.