Perform Compliance Document Audit
Scan documents against regulatory policies to generate a detailed compliance audit report with human review and notifications.
This workflow performs a comprehensive regulatory compliance audit by scanning your organization's documents and comparing them against your policy handbooks. It leverages three specialized AI agents that work in sequence and produces an executive-ready audit report with full evidence trails for every finding.
What it does
- Runs on a daily schedule (configurable) to detect new or updated documents.
- Agent 1 (The Observer): Extracts metadata, document types, and relevant compliance quotes from your source documents.
- Agent 2 (The Auditor): Conducts a deep semantic search against your regulatory policies to evaluate each document as COMPLIANT, NON_COMPLIANT, or NEEDS_REVIEW, providing step-by-step reasoning.
- Agent 3 (The Report Architect): Compiles audit findings into a structured Markdown report including severity breakdowns and a downloadable file.
- Pauses the workflow for human compliance officer review before finalizing.
- Upon approval, uploads the report to Google Drive and sends a summary notification to Slack.
Requirements
- Two Needle Collections:
- Input Collection with your documents (contracts, chat logs, memos).
- Policy Collection with your regulatory handbooks (SOC2, GDPR, HIPAA, internal policies).
- Google Drive connector (optional): For uploading finalized reports.
- Slack connector (optional): For sending audit summaries.
How It Works
| Step | Description |
|---|---|
| 1 | Scheduled Trigger runs daily at 8 AM Eastern (configurable). |
| 2 | Observer Agent: Lists all files in the Input Collection and extracts key details and compliance-relevant quotes for each document. Flags unreadable files but continues. |
| 3 | Auditor Agent: Reviews each document's extracted data, searches policies deeply for related clauses, and evaluates compliance status with detailed reasoning (COMPLIANT, NON_COMPLIANT, NEEDS_REVIEW). Builds a "Why Trail" explanation with evidence, policy citations, severity, and remediation suggestions. Applies retries if searches initially fail. |
| 4 | Report Architect Agent: Creates a professional audit report in Markdown with: |
- Executive summary (risk level, violation counts)
- Detailed findings with Why Trail
- Summary of compliant items
- Prioritized recommendations
- Audit metadata (timestamps, references, any self-healing logs)
| 5 | Human Review: Pauses for a compliance officer to approve or reject the report for re-audit. | | 6 | Post-Approval Actions: Uploads report to Google Drive and sends a Slack notification with audit highlights and report link. |
Output
The workflow produces a downloadable Markdown report containing:
- Executive summary with risk assessment and violation counts by severity.
- Detailed Why Trail for each non-compliant or review-needed finding, including violation description, evidence quote, precise policy citation, relevant policy text, severity rating, and remediation steps.
- Summary of compliant items.
- Prioritized remediation recommendations.
- Audit metadata documenting the audit session details.
Setup Notes
- Ensure both your Input and Policy Collections contain documents; otherwise, the report will indicate "no documents found."
- You can customize AI models in agents for faster or more detailed analysis, though detailed compliance evaluation benefits from deeper reasoning.
- Replace placeholder IDs for Google Drive and Slack connectors with real connector IDs in the node configurations.
- For best results, include specific clause numbers and section headings in your policy documents to allow precise citations.
- The workflow gracefully handles errors in individual steps by logging them and continuing the audit process.
This setup enables continuous, evidence-based compliance auditing with human oversight and streamlined reporting.
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