Submission type
UiPath for Coding Agents
Name
Manoj Batra
Industry category in which use case would best fit in (Select up to 2 industries)
Banking
Banking and financial services
Complexity level
Intermediate
Summary (abstract)
ControlVault is a compliance evidence automation built using UiPath for Coding Agents. It helps compliance and audit teams validate monthly control evidence files, detect missing or incomplete evidence, identify overdue exceptions, calculate risk levels, and generate an audit-ready evidence pack.
The coding agent was used not only to generate workflow logic, but also to build the UiPath project structure, create sample input files, add configurable rules through Config.xlsx, implement validation, handle business exceptions, generate output reports, and improve the process after a controlled failure scenario.
The automation demonstrates a practical enterprise pattern:
Prompt → Build → Run → Validate → Detect Gaps → Generate Evidence Pack → Fail → Diagnose → Fix → Rerun
High-risk compliance gaps are not auto-closed. They are separated into a human review queue/report, keeping the process governed and audit-friendly.
Detailed problem statement
Compliance and audit teams spend significant time collecting and validating evidence before internal audits, regulatory reviews, or control testing cycles.
In many organizations, this evidence is spread across multiple files and teams, such as:
Access review evidence
Change management evidence
SLA exception reports
Policy exception reports
Control owner mapping files
The manual process creates several risks:
Mandatory evidence may be missing
Control owners may not be mapped
Required columns may be absent
High-risk controls may have incomplete evidence
Overdue exceptions may remain unresolved
Audit packs may be prepared with inconsistent formats
Human reviewers may not know which gaps need urgent attention
This leads to audit delays, repeated follow-ups, poor traceability, and increased operational risk.
ControlVault solves this by using a UiPath automation generated with a coding agent to validate evidence completeness, identify control gaps, score risk, and generate structured audit-ready outputs.
Detailed solution
ControlVault is a UiPath automation project built with a coding-agent-assisted development approach.
The automation reads multiple compliance evidence files from the Data folder:
AccessReview.xlsx
ChangeManagement.xlsx
SLAExceptions.xlsx
ControlOwnerMapping.xlsx
PolicyExceptions.xlsx
Config.xlsx
The process uses Config.xlsx to avoid hardcoding. Configurable values include:
Mandatory evidence files
Mandatory columns
Risk thresholds
Overdue days threshold
High-risk control list
Input paths
Output paths
Retry count
Log level
The automation validates each evidence source and applies compliance rules such as:
Missing mandatory evidence file = High Risk
Missing required column = High Risk
Missing control owner = Medium Risk
Open overdue exception = High Risk
High-risk control with missing evidence = High Risk
SLA breach unresolved = Medium Risk
Policy exception without approval = High Risk
Complete evidence with no gap = Pass
It then generates structured output files:
AuditEvidencePack.xlsx
MissingEvidenceReport.xlsx
ControlSummary.xlsx
HighRiskReviewQueue.xlsx
The output contains:
ControlID
ControlName
EvidenceFile
EvidenceStatus
Owner
RiskScore
RiskLevel
RiskReasons
RecommendedAction
HumanReviewRequired
ProcessingStatus
For high-risk gaps, the bot does not mark the control as closed automatically. Instead, it flags the item for human review.
Narrated video link (sample: https://bit.ly/4pvuNEL)
Expected impact of this automation
ControlVault can help compliance and audit teams reduce manual effort in monthly or quarterly evidence preparation.
Expected benefits:
Faster evidence readiness checks
Reduced manual follow-ups
Early visibility of missing evidence
Clear prioritization of high-risk gaps
Consistent audit pack generation
Better traceability through structured logs and reports
Human review for high-risk control gaps
For enterprise teams, the value is not only the automation itself. The bigger value is the pattern: coding agents can help create, test, debug, and harden compliance automations faster while keeping configuration, validation, and review controls in place.
UiPath products used (select up to 4 items)
UiPath Orchestrator
UiPath Robots
UiPath Studio
Automation Applications
Microsoft Excel Local file system UiPath Studio UiPath CLI
Integration with external technologies
Codex was used as the terminal-based coding agent to generate, debug, and refine the UiPath automation.
