Methods and systems for a compliance framework database schema
View Patent ↗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.
1. A memory storing a data structure accessible by one or more processors of a data processing system that performs database operations based, at least in part, on the data structure, the data structure comprising:
a record for each citation among multiple citations within multiple authority documents, each record comprising:
an indication of the authority document the citation is from;
an identifier of the citation;
an editorial status of the record, wherein the editorial status is calculated, by the one or more processors, based on a comparison between a first checksum value of fields in a current release of the record and a second checksum value of fields in a previous release of the record, to indicate a status selected from a set including a same status, a new status, an edited status, and a deprecated status, and wherein:
if the first checksum value equals the second checksum value, the status is selected to be the same status,
if the second checksum value does not exist, the status is selected to be the new status,
if the first checksum value does not match the second checksum value, the status is selected to be the edited status, and
if a predefined digit of the first checksum value differs from a predefined digit of the second checksum value in a predefined manner, the status is selected to be the deprecated status; and
an indication of a control connected to the citation, wherein the control was connected to the citation, by calculation using the one or more processors, based on an association between the control and a noun-verb pair, wherein the noun-verb pair was identified by selecting a noun from the citation and matching the selected noun to a verb of which the selected noun is the subject;
wherein at least two of the multiple citations are connected to a same control.
2. The memory of claim 1 , wherein at least one portion for a distinguished citation of the multiple citations comprises a revision field indicating a status of the noun-verb identified from the distinguished citation.
3. The memory of claim 1 , wherein at least one portion for a distinguished citation of the multiple citations comprises information identifying, in a hierarchy of the multiple of citations, a parent citation of the distinguished citation.
4. The memory of claim 3 , wherein the at least one portion for the distinguished citation further comprises information identifying, in the hierarchy, a relative position of the distinguished citation in relation to one or more sibling citations of the distinguished citation.
5. The memory of claim 1 , wherein, a distinguished control was created for a first noun-verb pair for a first citation among the multiple citations in response to determining that the memory did not contain a control with a distinguished noun-verb pair with a determined correspondence to the first noun-verb pair,
wherein a second citation, among the multiple citations, for which a second noun-verb pair is matched, is connected to the distinguished control based on a determined correspondence between the first noun-verb pair and the second noun-verb pair.
6. The memory of claim 1 wherein, for at least one distinguished portion in the data structure for a distinguished citation, the data structure is configured to include information identifying an audit item associated with the distinguished citation, wherein the audit item includes an audit question used, in relation to the distinguished citation, in performing an audit.
7. The memory of claim 6 wherein the distinguished citation is one of the at least two of the multiple citations connected to the same control, wherein each of the at least two of the multiple citations include information identifying the audit item.
8. The memory of claim 6 wherein the audit question was created by pairing an audit question method with evidence defining one or more variables, wherein the pairing comprised inserting text, identified for each of the one or more variables, into the audit question method based on one or more placeholders that had identifiers matching the one or more variables.
9. The memory of claim 1 wherein at least one of the selected nouns is linked to information identifying an asset, wherein each asset is a physical or logical item against which a portion of an audit is performed.
10. The memory of claim 1 wherein, for at least one distinguished portion in the data structure for a distinguished citation, the data structure is configured to include information identifying citation guidance that represents content associated with the distinguished citation;
wherein the citation guidance includes at least a portion of an authority document that includes both the noun and the verb of the noun-verb pair and any text appearing in the authority document between the noun and the verb.
11. The memory of claim 10 wherein the citation guidance is usable in the audit as evidence in a compliance report.
12. One or more instances of non-transitory computer-readable media collectively storing a data structure accessible by one or more processors of a computing system that performs database operations based, at least in part, on the data structure, the data structure comprising:
a record for each citation among multiple citations within multiple authority documents, each record comprising:
an indication of the authority document the citation is from;
an identifier of the citation;
an editorial status of the record, wherein the editorial status is calculated, by the one or more processors, based on a comparison between a first checksum value of fields in a current release of the record and a second checksum value of fields in a previous release of the record, to indicate a status selected from a set including a same status, a new status, an edited status, and a deprecated status, wherein:
if the first checksum value equals the second checksum value, the status is selected to be the same status,
if the second checksum value does not exist, the status is selected to be the new status,
if the first checksum value does not match the second checksum value, the status is selected to be the edited status, and
if a predefined digit of the first checksum value differs from a predefined digit of the second checksum value in a predefined manner, the status is selected to be the deprecated status; and
an indication of a control connected to the citation, wherein the control was connected to the citation, by calculation using the one or more processors, based on an association between the control and a noun-verb pair, wherein the noun-verb pair was identified by selecting a noun from the citation and matching the selected noun to a verb of which the selected noun is the subject;
wherein at least two of the multiple citations are connected to a same control.
13. The one or more instances of computer-readable media of claim 12 , wherein at least one portion for a distinguished citation of the multiple citations comprises a revision field indicating a status of the noun-verb identified from the distinguished citation.
14. The one or more instances of computer-readable media of claim 12 , wherein at least one portion for a distinguished citation of the multiple citations comprises information identifying, in a hierarchy of the multiple of citations, a parent citation of the distinguished citation.
15. The one or more instances of computer-readable media of claim 12 , wherein, a distinguished control was created for a first noun-verb pair for a first citation among the multiple citations in response to determining that the memory did not contain a control with a distinguished noun-verb pair with a determined correspondence to the first noun-verb pair,
wherein a second citation, among the multiple citations, for which a second noun-verb pair is matched, is connected to the distinguished control based on a determined correspondence between the first noun-verb pair and the second noun-verb pair.
16. The one or more instances of computer-readable media of claim 12 wherein, for at least one distinguished portion in the data structure for a distinguished citation, the data structure is configured to include information identifying an audit item associated with the distinguished citation, wherein the audit item includes an audit question used, in relation to the distinguished citation, in performing an audit.
17. The one or more instances of computer-readable media of claim 16 wherein the distinguished citation is one of the at least two of the multiple citations connected to the same control, wherein each of the at least two of the multiple citations include information identifying the audit item.
18. The one or more instances of computer-readable media of claim 16 wherein the audit question was created by pairing an audit question method with evidence defining one or more variables, wherein the pairing comprised inserting text, identified for each of the one or more variables, into the audit question method based on one or more placeholders that had identifiers matching the one or more variables.
19. The one or more instances of computer-readable media of claim 12 wherein at least one of the selected nouns is linked to information identifying an asset, wherein each asset is a physical or logical item against which a portion of an audit is performed.
20. The one or more instances of computer-readable media of claim 12 wherein, for at least one distinguished portion in the data structure for a distinguished citation, the data structure is configured to include information identifying citation guidance that represents content associated with the distinguished citation;
wherein the citation guidance includes at least a portion of an authority document that includes both the noun and the verb of the noun-verb pair and any text appearing in the authority document between the noun and the verb,
wherein the citation guidance is usable in the audit as evidence in a compliance report.