Automated Compliance Mapping Reconstruction via NLP Change Detection

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Solution Overview

Problem

Navigating and updating compliance mappings across multiple regulations is complex due to frequent changes, requiring manual intervention and leading to inefficiencies in identifying and addressing regulatory updates, which can result in compliance issues and increased audit costs.

Innovation Solution

A computer-implemented method using natural language processing and machine learning to automatically reconstruct compliance mappings by identifying changes in regulation versions, assessing risks, and notifying service owners, thereby reducing human intervention and enhancing the speed and accuracy of regulatory updates.

Engineering Contradictions & Design Principles

VSEngineering Contradiction Analysis

1Measurement precision

If manual methods are used to update compliance mappings when regulations change, then accuracy can be maintained through human review, but the process becomes time-consuming and labor-intensive

Engineering Contradiction:

Improveaccuracy of compliance mapping updatesVSAvoidtime required to update compliance mappings

Core Design Contradiction:

Measurement precisionVSLoss of time

Solution Approach 1:

The system performs self-updating of compliance mappings by automatically detecting regulatory changes, comparing them against the baseline, and reconstructing affected mappings without requiring manual intervention for each update, thereby reducing time loss while maintaining accuracy through automated validation

Inventive Principle:

Principle #25Self-service

Solution Approach 2:

Manual mechanical review processes are replaced with automated computational methods including natural language processing and machine learning algorithms that can rapidly analyze regulatory text, identify changes, and update mappings with high accuracy comparable to or exceeding human review

Inventive Principle:

Principle #28Mechanics substitution (Replace mechanical system)

2Reliability

If comprehensive regulatory updates are performed across all mappings, then complete compliance accuracy is achieved, but the complexity and resource requirements increase significantly

Engineering Contradiction:

Improvecompliance accuracyVSAvoidcomplexity of update process

Core Design Contradiction:

ReliabilityVSDevice complexity

Solution Approach 1:

The update process is segmented into distinct phases: regulatory change detection, change classification (added/deleted/modified controls), impact analysis to identify affected mappings, and selective reconstruction. This segmentation reduces overall complexity by breaking down the comprehensive update into manageable, automated components

Inventive Principle:

Principle #1Segmentation

Solution Approach 2:

The system performs preliminary actions by maintaining a baseline regulation version and continuously monitoring for changes. When changes are detected, preliminary impact analysis is conducted to identify which specific mappings are affected before full reconstruction begins, reducing unnecessary processing complexity

Inventive Principle:

Principle #10Preliminary action

3Adaptability or versatility

If frequent regulatory changes are monitored and immediately reflected in mappings, then up-to-date compliance information is provided, but the frequency of updates increases operational overhead

Engineering Contradiction:

Improveresponsiveness to regulatory changesVSAvoidoperational efficiency

Core Design Contradiction:

Adaptability or versatilityVSProductivity

Solution Approach 1:

The system automatically monitors regulatory sources, detects changes, and updates mappings without requiring operational intervention for each change event, maintaining high adaptability to regulatory changes while eliminating the operational overhead that would otherwise be required

Inventive Principle:

Principle #25Self-service

Solution Approach 2:

The system implements feedback loops where updated mappings are validated against the new regulation version, and any discrepancies trigger automated corrections. This feedback mechanism ensures continuous compliance while reducing operational overhead through self-correction capabilities

Inventive Principle:

Principle #23Feedback

Data Source

PatentUS11537602B2Computer implemented live cross walks in compliance mappings in response to regulatory changes and assessing risks of changes

Publication Date: 2022.12.27 INTERNATIONAL BUSINESS MACHINE CORPORATION

AI summary

Computer implemented reconstruction of compliance mapping due to an update in a regulation in the compliance mapping by a computing device includes comparing a first version of a regulation in the compliance mapping to a second, updated version of the first regulation. A change in the second version with respect to the first version is identified. The change may be an added control description, a deleted control description, or an updated control description. Upon determining that the change is an updated control description, the updated control description is analyzed to determine a type of update. The mapping of the regulation is reconstructed based on the change and, if the change is an updated control description, the type of update, using at least one of natural language processing and/or machine learning. The risk of the reconstructed mapping is assessed, and a service owner is notified about the risk of the changes.