Automated Compliance Control Mapping System
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Solution Overview
Problem
Organizations face difficulties in compliance due to complex and redundant authority documents, which lead to burdensome compliance efforts and confusion in understanding and satisfying mandates.
Innovation Solution
A facility is developed to process authority documents, constructing common controls that represent multiple mandates, allowing for automatic and semi-automatic compliance tools to link mandates to controls, attach evidence of compliance, and maintain currency of language, thereby simplifying compliance processes.
Engineering Contradictions & Design Principles
Engineering Contradiction Analysis
1Reliability
If organizations manually analyze and document compliance with each mandate individually, then compliance documentation can be detailed and thorough, but the time and effort required increases significantly
Solution Approach 1:
The system performs preliminary automated analysis of authority documents to extract mandates and generate controls before the actual compliance work begins. This pre-processing step organizes raw regulatory text into structured formats, reducing the time needed during manual compliance documentation phases.
Solution Approach 2:
The system creates automated copies and transformations of authority document text into standardized control formats. By copying and reformatting mandate information into consistent control structures, the system reduces repetitive manual documentation work while maintaining thoroughness.
2Manufacturing precision
If organizations interpret and satisfy each mandate separately, then compliance can be precise, but redundancy and complexity increase
Solution Approach 1:
The system merges multiple similar mandates into unified controls by identifying common patterns and requirements across different authority documents. This consolidation reduces redundancy while preserving the precise compliance requirements of individual mandates through structured control formats.
Solution Approach 2:
The system creates universal control templates that can satisfy multiple different mandates simultaneously. These multi-functional controls are designed to address various regulatory requirements through a single standardized structure, reducing overall compliance process complexity.
3Reliability
If organizations create detailed compliance documentation for each mandate, then audit readiness improves, but the burden on compliance staff increases
Solution Approach 1:
The system performs self-service by automatically extracting mandates from authority documents, generating controls, and organizing compliance documentation without requiring extensive manual intervention. This automation reduces staff burden while maintaining audit readiness through systematic organization of compliance evidence.
Solution Approach 2:
The system provides feedback by automatically reviewing and validating compliance documentation against the original mandates. This feedback mechanism ensures audit readiness while reducing staff burden by identifying gaps and inconsistencies automatically rather than requiring manual verification.
Data Source
AI summary
A facility for representing a mandate occurring in an authority document with a control is described. For each of one or more controls in a set of existing controls, the facility determines a similarity score measuring the similarity of the mandate and the control; where the similarity score exceeds a similarity threshold, the facility links the mandate to the control. Where the mandate is not linked to any control in the set of controls, the facility adds a control to the set of controls that is based on the mandate, and links the mandate to the added control.