Automated Compliance Mandate 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.
Innovation Solution
A facility is developed to process authority documents, identify mandates, and construct common controls that represent these mandates, reducing redundancy and improving readability. The facility links each control to its corresponding mandates and allows for evidence of compliance to be attached, simplifying audit processes.
Engineering Contradictions & Design Principles
Engineering Contradiction Analysis
1Reliability
If organizations manually process and analyze authority documents to ensure compliance, then compliance accuracy can be maintained, but the time and resources required increase significantly
Solution Approach 1:
The patent replaces manual mechanical analysis of authority documents with an automated computer-based system that uses natural language processing and machine learning algorithms to extract mandates, map them to controls, and generate compliance evidence, thereby maintaining accuracy while dramatically reducing processing time
Solution Approach 2:
The patent introduces an automated compliance management system as an intermediary between authority documents and compliance evidence, which automatically processes documents, identifies mandates, maps them to relevant controls, and generates compliance evidence without requiring direct human intervention in each step
2Reliability
If organizations create detailed compliance documentation for each mandate, then audit readiness improves, but the complexity and burden of compliance management increases
Solution Approach 1:
The patent merges multiple compliance documentation requirements into a unified automated system that processes authority documents, identifies mandates, maps them to controls, and generates all necessary compliance evidence in a single integrated workflow, reducing the overall complexity while maintaining comprehensive audit readiness
Solution Approach 2:
The patent creates a multi-functional compliance management system that performs document processing, mandate extraction, control mapping, evidence generation, and audit preparation through a single automated platform, eliminating the need for separate processes for each compliance task
3Reliability
If organizations implement comprehensive compliance monitoring across all operations, then regulatory adherence improves, but the resources and operational burden increase
Solution Approach 1:
The patent implements a self-service compliance system that automatically monitors operations, processes relevant documents, identifies applicable mandates, and generates compliance evidence without requiring continuous human oversight, thereby maintaining regulatory adherence while preserving operational efficiency
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.