Compliance Auditing System Using Standardized Templates
Find Innovative SolutionsGenerate Solutions
Solution Overview
Problem
Current compliance auditing systems face challenges in efficiently and systematically checking the correctness and completeness of compliance across diverse IT organizations due to varying compliance requirements and complex interpretations, lacking a standardized approach.
Innovation Solution
A method and system that parse compliance documents to identify clauses and attributes, generate controls, remotely analyze target systems, calibrate controls based on industrial standards and profiles, and compare configuration files to determine compliance, using a standardized template for multiple systems.
Engineering Contradictions & Design Principles
Engineering Contradiction Analysis
1Measurement precision
If compliance auditing is performed manually for each organization, then compliance requirements can be analyzed individually, but the process becomes time-consuming and lacks efficiency
Solution Approach 1:
The patent creates a standardized compliance audit template that can be copied and applied across multiple organizations. The template includes pre-defined compliance rules, control checks, and evaluation criteria that are replicated for each audit engagement, eliminating the need to manually recreate audit frameworks while maintaining consistency and accuracy across different organizations.
Solution Approach 2:
The system allows dynamic adjustment of compliance parameters and control settings based on specific organizational contexts. By enabling parameter changes within the standardized template framework, the system maintains efficiency through reuse while adapting to different compliance requirements, industry standards, and organizational profiles through configurable parameters.
2Reliability
If compliance rules are customized for each organization, then compliance requirements are met accurately, but the complexity of managing multiple compliance frameworks increases
Solution Approach 1:
The patent implements a universal compliance audit template that serves multiple organizations across different industries and compliance frameworks. The template is designed to be multi-functional, accommodating various compliance requirements (such as ISO standards, industry-specific regulations, and organizational policies) through a single standardized structure that can be configured for different contexts without requiring separate custom frameworks for each organization.
Solution Approach 2:
The compliance framework is segmented into modular components including standardized control checks, configurable parameters, and hierarchical compliance rules. This segmentation allows the system to manage complexity by breaking down comprehensive compliance requirements into manageable, reusable modules that can be selectively applied and configured for different organizational needs while maintaining overall system coherence.
3Measurement precision
If comprehensive compliance checks are performed, then completeness of compliance verification is improved, but the resource requirements and processing time increase
Solution Approach 1:
The patent implements preliminary actions by pre-configuring compliance templates with comprehensive control checks, evaluation criteria, and compliance rules before actual audit execution. Risk assessments, control inventories, and compliance mappings are performed in advance to identify high-priority areas, allowing the audit process to focus resources on critical compliance verification while maintaining completeness through pre-planned comprehensive coverage.
Solution Approach 2:
The system enables continuous compliance verification through automated monitoring and recurring audit cycles. By maintaining continuous compliance checks and updating templates based on emerging requirements, the system achieves comprehensive verification over time without requiring exhaustive single-point audits, thereby improving productivity while maintaining completeness through ongoing assessment.
Data Source
AI summary
The present disclosure relates to system(s) and method(s) to provide compliance as a service for one or more organization. The system further facilitates identifying one or more causes involved to provide compliance as a service by analyzing compliance documents. The system and method also provides conversion of clauses into appropriate controls. The system and method also assists in defining control that can perform a specific task on a system. The system and method further provides mapping of compliance using control.