Automated Constraint Extraction for Regulatory Compliance
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Solution Overview
Problem
The proliferation of regulations across various application areas leads to challenges in identifying and testing compliance with complex and constantly updating regulatory constraints, requiring efficient systems for automatic extraction and testing of constraints.
Innovation Solution
A computer-implemented method that extracts constraint triples from regulatory documents and fact triples from entity description documents, using dictionaries and ontologies to evaluate constraint satisfaction formulas and provide automated responses on compliance.
Engineering Contradictions & Design Principles
Engineering Contradiction Analysis
1Measurement precision
If manual analysis and testing of regulatory constraints is performed, then accuracy in identifying and evaluating compliance can be maintained, but time consumption and resource requirements increase significantly
Solution Approach 1:
The patent replaces manual mechanical analysis with an automated computer-implemented system that uses natural language processing, dictionary-based entity recognition, and algorithmic constraint extraction to identify and evaluate regulatory compliance, thereby maintaining accuracy while dramatically reducing time consumption
Solution Approach 2:
The system enables automated self-testing of regulatory constraints by automatically extracting constraints from documents, building evaluation formulas, and performing compliance checks without requiring manual intervention for each testing instance, allowing the system to serve itself in the compliance evaluation process
2Loss of information
If comprehensive regulatory documents and entity descriptions are processed manually, then complete constraint extraction can be achieved, but the complexity of the processing system increases
Solution Approach 1:
The patent segments the complex processing task into distinct modular components: document parsing, entity recognition using dictionaries, constraint triple extraction, formula generation, and compliance evaluation, allowing each component to handle specific aspects independently and reducing overall system complexity
Solution Approach 2:
The patent introduces intermediate structures such as constraint triples and evaluation formulas that serve as mediators between the raw regulatory documents and the final compliance determination, simplifying the processing by breaking down the complex transformation into manageable intermediate steps
3Adaptability or versatility
If regulatory constraints are frequently updated to account for emerging technologies, then compliance with current regulations is maintained, but the difficulty of tracking and testing updates increases
Solution Approach 1:
The patent creates a dynamic system that can automatically adapt to regulatory updates by re-processing updated documents through the same extraction and evaluation pipeline, allowing the system to dynamically adjust to changing regulations without requiring manual reconfiguration or increased tracking effort
Data Source
AI summary
Methods, systems and computer program products for automatic extraction and testing of constraints are provided herein. A computer-implemented method includes obtaining a first set of documents describing constraints and a second set of documents describing properties of entities, building a first dictionary of entity types and a second dictionary of relations among the entity types, extracting constraint triples representing the set of constraints from the first set of documents, and extracting fact triples from the second set of documents utilizing the first dictionary and the second dictionary. The method also includes receiving a query to evaluate whether at least one of the set of constraints is satisfied, determining whether the at least one constraint is satisfied by evaluating a constraint satisfaction formula utilizing the constraint triples and the fact triples, and providing a response to the query that indicates whether the at least one constraint is satisfied.