Automated Controls Assessment Using API Agents for Real-Time Audits
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Solution Overview
Problem
Existing computer systems face challenges in efficiently assessing control operating effectiveness across diverse domains and lines of business due to the need for time-consuming, labor-intensive audits that lack real-time monitoring and result in incomplete risk measurements, leading to inefficiencies and bottlenecks.
Innovation Solution
An automated controls assessment system using an API-driven software development kit that provides standardized assessment features and domain-specific APIs for coordinated audits, enabling efficient data collection, proactive monitoring, and result reporting in a unified format.
Engineering Contradictions & Design Principles
Engineering Contradiction Analysis
1Adaptability or versatility
If conventional manual control assessments are implemented for each diverse domain and line of business, then customization to specific audit areas is achieved, but time consumption and labor intensity increase significantly
Solution Approach 1:
The patent implements a universal controls assessment system that can perform multiple assessment types across diverse domains through a single platform. The system uses domain-specific agents that can be deployed across different audit areas (financial services, healthcare, retail, etc.) to conduct various assessment types (access control, change management, incident response) without requiring separate manual assessment processes for each combination, thereby achieving both customization and efficiency.
Solution Approach 2:
The patent segments the controls assessment system into domain-specific agents that operate independently within their specialized domains while being coordinated by a central system. Each agent is tailored to specific domain requirements (e.g., financial services agent, healthcare agent) but all agents use standardized data collection and reporting mechanisms, allowing customization at the agent level while maintaining overall system efficiency through shared infrastructure.
2Measurement precision
If separate controls assessment audits are designed for each audited area, then accuracy of risk measurement is improved, but data bottlenecks and processing burdens occur
Solution Approach 1:
The patent merges separate domain-specific assessment audits into a unified automated system that collects, processes, and analyzes data across all domains simultaneously. The central controls assessment system consolidates data from multiple domain agents, eliminating data bottlenecks by implementing centralized data processing and coordination, while maintaining measurement precision through domain-specific agent expertise in their respective areas.
Solution Approach 2:
The patent introduces a central controls assessment system as an intermediary that coordinates between domain-specific agents and the overall assessment process. This intermediary manages data flow, processes information from multiple sources, and generates consolidated risk measurements, thereby reducing processing burdens on individual agents while maintaining accurate domain-specific assessments through the intermediary's coordination capabilities.
3Adaptability or versatility
If independently implemented solutions are used for each audited area, then specialization to domain requirements is achieved, but real-time monitoring capability is lost
Solution Approach 1:
The patent implements continuous automated monitoring across all domains through domain-specific agents that operate continuously rather than through periodic manual assessments. The agents continuously collect data, assess controls, and report findings in real-time, enabling ongoing monitoring of control effectiveness across diverse domains without interruption, thereby achieving both specialization and continuous productivity.
Solution Approach 2:
The patent establishes feedback loops where domain-specific agents continuously report assessment results to the central system, which then provides feedback for real-time adjustments and continuous improvement. This feedback mechanism enables real-time monitoring by allowing the system to immediately respond to assessed risks and control effectiveness across all domains, while maintaining domain-specific specialization through targeted feedback to each agent.
Data Source
AI summary
Methods and systems for scheduling execution of an automated controls assessment include receiving a user input to generate an automated controls assessment audit; receiving an area of audit for the audit; receiving a category of the audit; receiving scheduling data for executing the audit; determining whether the scheduling data is met; responsive to determining that the scheduling data is met, transmitting, to an API-based agent, an instruction to execute the audit; receiving, from the API-based agent, a response to the audit; processing, using a library of reusable features for controls assessment audits for a plurality of computer domains, the response to generate a result of the audit; and generating, for display, on a display device, an instance of a first user interface, wherein the instance of the first user interface comprises the result of the automated controls assessment audit.