Compliance Framework Schema for Parsing Hierarchical Audit Documents
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Solution Overview
Problem
Current technologies fail to efficiently parse and interpret audit questions from hierarchical authority documents, leading to inefficiencies in gathering evidentiary support during audits, as computers struggle to understand contextual instructions and prepositional placeholders.
Innovation Solution
A compliance framework that converts hierarchical authority document information into a modular format, using XML, to generate audit-based questions and efficiently navigate through overlapping policies, guidelines, and regulations, integrating with various database environments.
Engineering Contradictions & Design Principles
Engineering Contradiction Analysis
1Ease of operation
If hierarchical format is used for authority documents, then human readability and navigation are improved, but computer parsing and interpretation efficiency deteriorates
Solution Approach 1:
The patent creates a machine-readable copy (XML format) of the hierarchical authority document structure. This copy preserves the hierarchical relationships and logical flow for human readability while simultaneously providing structured data that computers can efficiently parse and interpret, thus resolving the contradiction between human readability and computer parsing efficiency
Solution Approach 2:
The patent transforms the presentation format parameter of authority documents from purely hierarchical text to a dual-format system where the same hierarchical structure is encoded in XML. This parameter change enables both human readers to understand the hierarchical logic and computers to efficiently process the structured data through standard XML parsing mechanisms
2Productivity
If authority documents are converted to modular format, then computer interpretation efficiency is improved, but system complexity increases
Solution Approach 1:
The patent employs XML as a universal formatting standard that serves multiple functions simultaneously: it maintains hierarchical structure for human readability, provides structured data for efficient computer parsing, enables data integration across different systems, and supports various query and processing operations. This multi-functionality reduces the need for separate systems for different processing needs, thereby managing complexity while improving efficiency
3Adaptability or versatility
If XML format is used for data integration, then adaptability to various database environments is improved, but implementation complexity increases
Solution Approach 1:
The patent uses XML as an intermediary data format that sits between authority documents and various database environments. This intermediary provides a standardized interface that simplifies integration across different database systems, as XML's universal compatibility and structured nature allow for easier data exchange and integration compared to direct database connections, thereby managing implementation complexity while enhancing adaptability
Data Source
AI summary
Generating a compliance framework. The compliance framework facilitates an organization's compliance with multiple authority documents by providing efficient methodologies and refinements to existing technologies, such as providing hierarchical fidelity to the original authority document; separating auditable citations from their context (e.g., prepositions and or informational citations); asset focused citations; SNED and Live values, among others.