AI Policy Code Platform for Automated Regulatory Updates
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Solution Overview
Problem
There is a critical gap between formulating technology policies and ensuring their correct implementation by technology systems, leading to inefficient investment and potential non-compliance due to the manual effort required in updating policies and communicating changes.
Innovation Solution
A computer-implemented RDtoC platform that automates the process of pulling regulatory updates, chunking documents, generating embeddings, classifying metadata, and extracting actionable items into code form using LLMs, with a centralized repository for policy management and user interface for review and update.
Engineering Contradictions & Design Principles
Engineering Contradiction Analysis
1Productivity
If manual processes are used to update and communicate technology policies, then policy formulation can be completed, but the process requires hours of manual effort and creates a critical gap between formulation and implementation
Solution Approach 1:
The patent introduces an intermediary AI system that acts as a mediator between policy formulation and implementation. This system automatically extracts actionable items from policy documents, generates implementation code, and distributes updates across the organization, eliminating the manual gap between policy creation and execution.
Solution Approach 2:
The system enables self-service by allowing technology systems and development teams to automatically receive and implement policy updates without manual intervention. The AI-powered platform autonomously pulls regulatory updates, processes them, and distributes them to relevant systems, making the policy implementation process self-sufficient.
2Reliability
If manual effort is used to update policies periodically, then policy content can be revised, but the process is inefficient and leads to non-compliant systems
Solution Approach 1:
The patent implements feedback mechanisms where the AI system continuously monitors policy compliance across technology systems. It automatically detects gaps between formulated policies and actual system implementation, providing real-time feedback that enables rapid correction and ensures ongoing compliance without sacrificing update speed.
Solution Approach 2:
The system performs preliminary actions by pre-processing regulatory updates and preparing implementation code before actual policy deployment. This advance preparation ensures that when policies are updated, compliant implementation is already ready, eliminating delays and ensuring immediate compliance.
3Extent of automation
If automated systems are implemented to pull regulatory updates and track lineage, then compliance and efficiency improve, but system complexity increases
Solution Approach 1:
The patent applies universality by designing a multi-functional AI platform that performs multiple tasks: pulling regulatory updates, generating embeddings, classifying policies, extracting actionable items, generating code, and tracking lineage. This single unified system handles diverse functions that would otherwise require separate complex systems, managing automation complexity through consolidation.
Data Source
AI summary
A method of implementing a regulation and directive to code platform comprises automatically pulling updates of a new regulation document from policy regulation sources, chunking the regulation document into smaller segments, generating embeddings of the segments of the using an LLM, classifying and extracting metadata from the new regulation document based on the classification, storing the embeddings of the segments with metadata tags in a retrieval automated generation (RAG) database, storing the extracted metadata extracted in an enterprise policy repository, extracting actionable items from the segments into a code form based on a prompt using an LLM, extracting template artifacts from the segments based on another prompt using an LLM, storing the extracted actionable items and template artifacts in the enterprise policy repository, and generating a central policy user interface through which users can access, review and update all regulation and directive information including the actionable items and template artifacts.