For compliance review
Evidence-based process map for compliance
Every step traces to a source passage, ready for the walkthrough. The map shows how the procedure is designed in the SOPs and policies, with gaps left visible. Testing whether a control operates stays with your review.
- Source · §4Control SOP
- Action Step · CitedApprove exception
- Source · Silent herePolicy binder
- GapHandoff unnamed
- OutcomeReview file
A step ties to a source passage, or it stays a gap on the map.
01 · Review starts from cited steps
How does a compliance review start from the map?
A compliance review starts from the map when each step can be traced to a source passage, or is marked as an inference, or is flagged as a gap.
ThinkPrior keeps those three states visible. Reviewers can see which parts of the procedure the SOPs, policies, and transcripts actually contain. They can see the holes.
That is the evidence. The tool does not issue a pass or a fail, and it does not rewrite the policy into a control matrix. The analyst and the compliance lead still decide what the gap means for the review.
Cited
A step traces to a source passage.
Open
Inferences and gaps stay marked for the reviewer.
02 · A gap is an explanation the files never gave
What is a gap on the map?
A gap is something the uploaded documents never explained: a missing handoff, an unnamed decision, a step with no source.
ThinkPrior does not fill that gap to make the path look complete. Missing evidence stays missing until an analyst closes it with someone who knows the work. Irrelevant files are triaged out and do not become fake steps.
For a compliance reader, a visible gap is more useful than a smooth diagram, because the smooth diagram may be the step nobody can cite. The draft is deliberately incomplete for the same reason.
A gap
A handoff, decision, or step the upload never explained.
Unfilled
The path is not smoothed to look complete.
03 · The review file can hold this map
What can you export for the review file?
Exports are Visio, Word, PDF, Miro, HTML, and Markdown, so the review file can hold the map without a second drawing.
Source links and visible gaps are the point of the export, not a decoration. Where the corpus may not leave the organization, the on-premise appliance keeps documents on the machine you run and ThinkPrior does not receive them. Either deployment produces the same kind of map, with the same cited, inferred, and gap states.
Review file
Visio, Word, PDF, Miro, HTML, or Markdown.
Same map
Cloud or appliance. The evidence states do not change.
Walk the reviewer through cited steps and visible gaps. The audit outcome stays with your team.