Document Automation Compliance Gate (QA)

Document Automation Compliance Gate (QA)

1. 01

   Map every document type in the client's workflow to its governing regulation

   Identify which standards apply, such as ESIGN, UETA, or 21 CFR Part 11, and note any industry-specific rules like HIPAA for healthcare or GDPR for EU personal data.

2. 02

   Verify that the chosen platform supports the required compliance controls

   Check for audit trails, encryption at rest and in transit, and configurable retention policies. For example, Documenso offers self-hosting and compliance with 21 CFR Part 11, while DocuSign provides enterprise-grade controls.

3. 03

   Test data extraction accuracy on a sample set of at least 50 real documents

   Run the extraction engine against representative samples and measure field-level accuracy. Flag any fields with error rates above 5% for manual review or additional training.

4. 04

   Validate that extracted data matches the source documents exactly

   Spot-check a random 10% of the sample set, comparing extracted values against the original PDFs or images. Confirm that dates, amounts, and names are captured without alteration.

5. 05

   Confirm that the audit trail records every action from ingestion to archival

   Ensure the system logs who accessed each document, when, and what changes were made. This trail is critical for compliance audits and client disputes.

6. 06

   Review the AI vendor's incident disclosure policy and recent safety disclosures

   Ask about any known model failures or sandbox escapes, as seen with OpenAI and Anthropic. A transparent vendor is a safer partner for compliance-heavy client work.

7. 07

   Document the compliance posture in a one-page summary for the client

   List the regulations covered, the controls in place, and the testing performed. This summary becomes the basis for the client's own audit readiness.