Auditing electronic documents having a dual nature

Abstract

A device may receive, via executable instructions of an electronic document running on a physical computing device, a request from an automated auditing system to audit data of the electronic document. A device may process, via the executable instructions of the electronic document running on the physical computing device, the request to audit the data of the electronic document. A device may deliver, to the automated auditing system and from the electronic document via the executable instructions running on the physical computing device, data in a format that is native to the electronic document and auditable by the automated auditing system in a state in which it is stored in the electronic document.

Description

AUDITING ELECTRONIC DOCUMENTS HAVING A DUAL NATURE PRIORITY CLAIMS TO RELATED APPLICATIONS

[0001] This application claims priority to U.S. Provisional Patent Application No. 63 / 661,534 filed June 18, 2024, U.S. Provisional Patent Application 63 / 668,068 filed July 5, 2024, U.S. Provisional Patent Application 63 / 674,793 filed July 23, 2024, U.S. Provisional Patent Application 63 / 680,061 filed August 6, 2024, U.S. Provisional Patent Application 63 / 685,234 filed August 20, 2024, U.S. Provisional Patent Application 63 / 693,173 filed September 10, 2024, U.S. Provisional Patent Application 63 / 707,992, filed October 16, 2024, U.S. Provisional Patent Application 63,713,200, filed October 29, 2024, U.S. Provisional Patent Application 63 / 714,009 filed October 30, 2024, U.S. Provisional Patent Application 63 / 723,471 filed November 21, 2024, U.S. Provisional Patent Application 63 / 736,568, filed December 19, 2024, U.S. Provisional Patent Application 63 / 738,639, filed December 24, 2024, U.S. Provisional Patent Application 63 / 774,949, filed March 20, 2025, U.S. Provisional Patent Application 63 / 794,007, filed 24 April, 2025, U.S. Provisional Patent Application 63 / 794,564, filed 25 April, 2025, and U.S. Provisional Patent Application 63 / 800,869, filed 6 May, 2025, and U.S. Provisional Patent Application 63 / 822,629, filed 12 June, 2025, which are each incorporated herein in their entirety by these references which are each incorporated herein in their entirety by these references. BACKGROUND

[0002] In the modern digital era, electronic documents have become the primary medium for storing, sharing, and managing information across various platforms. These documents, often in formats such as PDF, Word, or Excel, are typically stored on local devices, Attorney Docket No.: 226148.013101 / PCTshared drives, or cloud-based systems. However, once shared, the control over these documents is significantly diminished, leading to potential security risks, unauthorized dissemination, and loss of ownership. This lack of control presents a critical challenge for individuals and organizations, as it can result in the exposure of sensitive information, reliance on external systems for compliance, and an inability to enforce document handling policies effectively.

[0003] Traditional methods for managing electronic documents rely heavily on static security measures, such as passwords, encryption, and access control lists, combined with policies, procedures, and legal agreements. While these approaches provide a semblance of control, they are inherently limited. They depend on the goodwill and ethical behavior of individuals, which cannot always be guaranteed, and lack the ability to dynamically adapt to changing security requirements or organizational needs. Furthermore, the proliferation of electronic documents across diverse devices and platforms exacerbates the challenge of maintaining control, as conventional systems lack the capability to effectively track, manage, and secure document access and distribution.

[0004] The consequences of this loss of control are far-reaching. For example, once a document is shared with external parties, the original owner often loses the ability to monitor its usage, enforce access permissions, or ensure compliance with its intended legal context. This can lead to unauthorized sharing, modification, or misuse of the document, potentially resulting in the exposure of sensitive information, legal disputes, and reputational damage. Additionally, the inability to maintain a single true version of a document across distributed systems creates inefficiencies, redundancies, and risks of data inconsistency. Attorney Docket No.: 226148.013101 / PCT

[0005] There is a pressing need for a more robust and reliable solution that ensures document security, control, and ownership, even after documents have been shared beyond their original digital perimeter. Such a solution may address the limitations of existing systems by providing dynamic, real-time control over document access and usage, enabling secure sharing and collaboration, and maintaining the integrity and trustworthiness of the document throughout its lifecycle. SUMMARY

[0006] In some aspects, the techniques described herein relate to a method including: receiving, via executable instructions of an electronic document running on a physical computing device, a request from an automated auditing system to audit data of the electronic document; processing, via the executable instructions of the electronic document running on the physical computing device, the request to audit the data of the electronic document; and delivering, to the automated auditing system and from the electronic document via the executable instructions running on the physical computing device, data in a format that is native to the electronic document and auditable by the automated auditing system in a state in which it is stored in the electronic document.

[0007] In some aspects, the techniques described herein relate to a system including: at least one physical processor; and physical memory including computer-executable instructions of an electronic document that, when executed by the physical processor, cause the document to: receive a request from an automated auditing system to audit data of the electronic document; process the request to audit the data of the electronic document; and deliver, to the Attorney Docket No.: 226148.013101 / PCTautomated auditing system, data in a format that is native to the electronic document and auditable by the automated auditing system without alteration.

[0008] In some aspects, the techniques described herein relate to a non-transitory computer-readable medium including computer-executable instructions of an electronic document that, when executed by at least one of one or more physical processors of a computing device, cause the document to: receive a request from an automated auditing system to audit data of the electronic document; process the request to audit the data of the electronic document; and deliver, to the automated auditing system, data in a format that is native to the electronic document and auditable by the automated auditing system without alteration.

[0009] These and other features will be more clearly understood from the following detailed description taken in conjunction with the accompanying drawings and claims. BRIEF DESCRIPTION OF THE DRAWINGS

[0010] The accompanying drawings illustrate a number of exemplary embodiments and are a part of the specification. Together with the following description, these drawings demonstrate and explain various principles of the present disclosure.

[0011] FIG. 1 depicts the internal structure of a document provisioned as a smart digital object, highlighting its embedded instructions, data storage, and physical processor.

[0012] FIG. 2 demonstrates the system architecture for managing electronic documents across a network, showcasing the interaction between servers, networks, and computing devices equipped with viewers. Attorney Docket No.: 226148.013101 / PCT

[0013] FIG. 3 presents a flowchart detailing the method by which an electronic document interacts with an automated auditing system, including receiving, processing, and delivering audit data in a native format.

[0014] FIG. 4 outlines the process by which an electronic document interacts with a document viewer, enabling the delivery of data in a format that is both human-readable and machine-auditable.

[0015] Throughout the drawings, identical reference characters and descriptions indicate similar, but not necessarily identical, elements. While the exemplary embodiments described herein are susceptible to various modifications and alternative forms, specific embodiments have been shown by way of example in the drawings and will be described in detail herein. However, the exemplary embodiments described herein are not intended to be limited to the particular forms disclosed. Rather, the present disclosure covers all modifications, equivalents, and alternatives falling within the scope of the appended claims. DETAILED DESCRIPTION OF EXEMPLARY EMBODIMENTS

[0016] In the digital age, electronic documents have become the cornerstone of information storage, sharing, and management. However, traditional electronic documents, such as PDFs, Word files, and Excel spreadsheets, suffer from significant limitations when it comes to auditability. These documents are inherently static and designed primarily for human readability, lacking the dynamic capabilities required for automated auditing systems. This creates challenges in compliance, security, and operational efficiency. Traditional documents do not include standardized metadata or provenance information in a format accessible to machines, forcing Attorney Docket No.: 226148.013101 / PCTauditors to rely on manual processes to extract and interpret data. These processes are time- consuming, error-prone, and inefficient. Additionally, traditional documents fail to provide real- time updates or dynamic interaction, making it difficult for auditing systems to track modifications, monitor usage, or enforce compliance. Once shared, their content becomes static, and any changes require manual intervention. This lack of dynamism leads to discrepancies and delays, particularly in contexts like financial auditing, where up-to-date information is critical. Furthermore, traditional documents often lack a single "true" version that can be universally trusted. When shared across multiple parties or platforms, they are frequently copied, modified, or fragmented, creating inconsistencies and challenges in verifying their authenticity. Auditing systems struggle to reconcile these discrepancies, as they lack the tools to identify and validate the original version of a document.

[0017] The disclosure of electronic documents with a dual nature—auditable by both humans and computers—addresses these challenges by transforming traditional documents into dynamic, interactive entities. These documents retain their human-readable format while incorporating machine-readable elements that enable seamless interaction with automated auditing systems. Embodiments of this disclosure involve the integration of an embedded application programming interface (API) within the document. This API serves as a conduit for interaction between the document and external systems, enabling dynamic auditing capabilities. For example, the API can provide auditing systems with access to structured metadata, provenance information, and real-time updates, all while maintaining the document's human- readable format. The embedded API enables the document to act as a smart digital object, capable of responding to queries, providing information, and adapting to user needs. For 6 Attorney Docket No.: 226148.013101 / PCTinstance, an auditing system can request specific data from the document, such as its creation date, modification history, or associated legal context. The document processes this request and delivers the required information in a format that is both native to the document and auditable by the system. This eliminates the need for manual data extraction and ensures that auditing processes are efficient, accurate, and reliable.

[0018] Dual-nature auditable documents include cryptographically committed metadata that provides a detailed record of the document's provenance. This metadata serves as a digital fingerprint, ensuring that the document's origin, history, and context are verifiable. For example, the metadata can indicate whether the document has been signed, modified, or shared, along with timestamps and user identities. This level of detail is invaluable for auditing systems, as it allows them to trace the document's lifecycle and ensure compliance with regulatory requirements. The inclusion of provenance information also addresses the issue of maintaining a single "true" version of the document. By embedding a unique identifier within the document, the disclosure ensures that all parties interacting with the document can verify its authenticity and trustworthiness. This eliminates discrepancies and provides auditors with a reliable foundation for their analysis.

[0019] One advantages of dual-nature auditable documents may be their ability to provide real-time updates and dynamic content. Unlike traditional documents, which are static and unchanging, these documents can adapt their content based on user interactions or external data inputs. For example, an auditing system can request the latest financial data from a document, and the document can fetch and display this information dynamically. This capability can ensure that auditors always have access to the most current and relevant data, reducing Attorney Docket No.: 226148.013101 / PCTdelays and improving the accuracy of the auditing process. The disclosure also introduces personalized access control, allowing different users to interact with the document based on their roles and privileges. For example, an auditor with high-level clearance may have access to sensitive financial data, while a general user may only see a summary of the document. This personalized access ensures that auditing systems can focus on the relevant sections of the document without compromising security or confidentiality.

[0020] The dual-nature auditable documents have wide-ranging applications in various auditing systems, including financial auditing, compliance auditing, and legal auditing. For instance, in financial auditing, the documents can provide real-time access to transaction records, balance sheets, and other critical data, enabling auditors to verify the accuracy of financial statements efficiently. In compliance auditing, the documents can ensure that regulatory requirements are met by providing detailed provenance information and tracking changes in real- time. In legal auditing, the documents can maintain a record of contractual agreements, signatures, and modifications, ensuring that all parties adhere to their obligations. The limitations of traditional electronic documents in auditing processes have long been a source of inefficiency, inaccuracy, and frustration. The disclosure of dual-nature auditable documents offers a transformative solution by combining human-readable formats with machine-readable capabilities. By embedding APIs, providing provenance information, enabling real-time updates, and supporting personalized access control, these documents address the challenges of auditability and pave the way for more efficient, secure, and reliable auditing systems. As organizations increasingly rely on electronic documents for critical operations, the adoption of Attorney Docket No.: 226148.013101 / PCTthis innovative approach may be useful for ensuring compliance, maintaining trust, and optimizing workflows in the digital age.

[0021] The accompanying figures illustrate various aspects of the disclosure, providing visual representations of its components, architecture, and operational methods. FIG. 1 depicts the internal structure of a document provisioned as a smart digital object, highlighting its embedded instructions, data storage, and physical processor. FIG.2 demonstrates the system architecture for managing electronic documents across a network, showcasing the interaction between servers, networks, and computing devices equipped with viewers. FIG. 3 presents a flowchart detailing the method by which an electronic document interacts with an automated auditing system, including receiving, processing, and delivering audit data in a native format. FIG. 4 outlines the process by which an electronic document interacts with a document viewer, enabling the delivery of data in a format that is both human-readable and machine-auditable. Together, these figures provide a comprehensive understanding of the disclosure’s structure, functionality, and applications.

[0022] FIG. 1 illustrates one embodiment of a document 100 provisioned as a smart digital object, which integrates various components to enable dynamic interaction, secure access, and auditability. The document 100 comprises instructions 102, data storage 120, and a physical processor 130. The instructions 102 include communication instructions 104, processing instructions 106, storage instructions 108, and access instructions 110. The data storage 120 contains data 122, which is managed and processed by the physical processor 130.

[0023] The communication instructions 104 facilitate the document 100's capacity to interact with external systems, such as automated auditing systems or document viewers. These Attorney Docket No.: 226148.013101 / PCTinstructions enable the document 100 to receive requests, transmit responses, and maintain secure communication channels. The communication instructions 104 ensure that the document 100 can dynamically exchange information with external entities while preserving the integrity and security of the document. The processing instructions 106 govern the internal operations of the document 100, including the execution of tasks related to data auditing, compliance verification, and user interaction. These instructions enable the document 100 to process incoming requests, analyze stored data 122, and deliver responses in a format specific to the document 100. The processing instructions 106 ensure adaptability to various operational requirements and facilitate the provision of accurate, real-time information. The storage instructions 108 manage the organization, retrieval, and modification of data 122 within the data storage 120. These instructions ensure that the data 122 is securely stored, efficiently accessed, and accurately updated as needed. The storage instructions 108 also facilitate the integration of metadata and provenance information, which are significant for auditing and compliance purposes.

[0024] The access instructions 110 regulate the permissions and privileges associated with the document 100. These instructions enable personalized access control, allowing different users or systems to interact with the document 100 based on their roles and clearance levels. The access instructions 110 ensure that sensitive information within the data 122 is protected while enabling authorized entities to access relevant portions of the document 100.

[0025] The data storage 120 serves as the repository for the document 100's data 122, which may include structured metadata, provenance information, and other content relevant to Attorney Docket No.: 226148.013101 / PCTauditing and compliance processes. The data 122 is stored in a format that is native to the document 100, ensuring compatibility with both human-readable and machine-auditable systems. The data storage 120 is designed to maintain the integrity and authenticity of the data 122 throughout the document 100's lifecycle.

[0026] The physical processor 130 executes the instructions 102 to enable the document 100's functionality. By processing the communication instructions 104, processing instructions 106, storage instructions 108, and access instructions 110, the physical processor 130 ensures that the document 100 operates as a smart digital object capable of dynamic interaction, secure access, and efficient auditing. The physical processor 130 also facilitates the integration of real-time updates and personalized access control, enhancing the document 100's adaptability and reliability.

[0027] In some examples, the data of a self-determinative document can include two distinct components: content 124 and metadata 126, each serving a unique purpose in the document’s functionality and lifecycle. Content 124 refers to the core information of the document, such as text, images, tables, or other embedded elements that constitute the primary substance of the document. This content is immutable, meaning it cannot be altered once the document has been finalized or authenticated. The immutability of content 124 ensures the integrity and trustworthiness of the document, making it suitable for applications where the original state of the document must be preserved, such as legal agreements, financial reports, or medical records.

[0028] On the other hand, metadata 126 represents supplementary information about the document, such as timestamps, user interactions, access logs, version history, or Attorney Docket No.: 226148.013101 / PCTcontextual details. Unlike the immutable content, metadata 126 is mutable and can be updated or modified as the document evolves. For example, metadata can record the identity of users who accessed the document, the time and date of interactions, or the addition of comments or annotations. This mutability allows the document to dynamically track its lifecycle and provide real-time insights into its usage and provenance. By separating immutable content from mutable metadata, the document achieves a balance between preserving its core integrity and enabling flexibility for operational and contextual updates. This dual structure ensures that the document remains both reliable and adaptable, meeting the needs of secure and dynamic digital environments.

[0029] Metadata plays a central role in the functionality and transformative potential of smart documents (i.e., documents that are digital infrastructure). It provides a structured, machine-readable layer of information that goes beyond the visual representation of a document, enabling advanced computational interactions, dynamic workflows, and granular access control. Metadata can be categorized into several distinct types, each serving a unique purpose in enhancing the utility and intelligence of a document. These categories include process metadata, semantic metadata, and content-related metadata, among others. Below is a detailed explanation of these metadata types, with examples drawn from the discussion.

[0030] Process metadata captures the history and lifecycle of a document, recording every action, interaction, and workflow the document has undergone. This type of metadata serves as an audit trail, providing a comprehensive record of the document’s journey and the processes it has been part of. For example, process metadata may include timestamps for when the document was created, edited, shared, or signed. It may also log the identities of users who 12 Attorney Docket No.: 226148.013101 / PCTaccessed the document, the nature of their interactions (e.g., viewing, commenting, or editing), and any changes made to the document’s content or metadata.

[0031] Semantic metadata describes the intrinsic characteristics of a document, answering the question of "what the document is" rather than "what the document contains." This type of metadata includes information about the document’s type, ownership, and categorical classification. For example, semantic metadata may indicate that a document is an NDA (Non-Disclosure Agreement), a marketing presentation, or a financial report. It may also specify the document’s owner, such as the individual or organization responsible for its creation and management.

[0032] Semantic metadata is particularly useful for organizing and categorizing documents within a system. For instance, in an enterprise setting, semantic metadata can be used to group all contracts under a "Legal Documents" category, all invoices under a "Finance Documents" category, and all marketing materials under a "Marketing Documents" category. This categorization enables efficient search and retrieval, as users can query the system to find all documents of a specific type or category.

[0033] Content-related metadata provides a structured representation of the document’s content, breaking it down into machine-readable elements such as paragraphs, headings, tables, and images. This type of metadata enables advanced computational interactions with the document, such as semantic analysis, automated workflows, and dynamic rendering.

[0034] The physical processor 130 is a hardware component that executes the instructions 102 embedded within the document 100. The physical processor 130 enables the Attorney Docket No.: 226148.013101 / PCTdocument 100 to perform functions such as detecting signing actions, recording signatures, and managing the lifecycle of the document. This integration of hardware and software allows the document 100 to operate independently, adapting to various user environments and workflows.

[0035] An electronic document with embedded computer-executable code, which is also referred to herein as a smart electronic document, generally refers to a type of electronic document embedded with intelligence that enables it to autonomously monitor, record, and manage events associated with its lifecycle, access, and interactions. Unlike traditional documents, which depend on external systems or manual input to track changes and interactions, smart electro126nic documents are designed to independently identify and log activities such as access attempts, modifications, and interactions with other documents or systems.

[0036] The embedded intelligence within a smart electronic document allows it to maintain a detailed audit trail, offering insights into who accessed the document, when it was accessed, and what actions were performed. This capability is invaluable for ensuring compliance with regulatory requirements and organizational policies, as it provides a reliable and tamper- proof record of all document-related activities.

[0037] Smart electronic documents also enhance security by dynamically managing access permissions through mechanisms such as role-based access control, encryption, and multi-factor authentication. These documents ensure that only authorized users can view or modify their content. By transforming documents into active entities capable of self-monitoring and self-regulation, organizations can significantly reduce the risk of unauthorized access and data breaches while streamlining document management processes and maintaining data 14 Attorney Docket No.: 226148.013101 / PCTintegrity. A smart electronic document is composed of code (i.e., intelligence), content, and metadata, which together enable its autonomous functionalities.

[0038] The attributes of a smart electronic document are multifaceted and address one or more of the limitations of traditional document management systems. For example, a smart electronic document is uniquely addressable, meaning it has a permanent and immutable identifier that distinguishes it from all other documents. This identifier ensures that the document can be reliably accessed and referenced, regardless of its location. Additionally, the document is equipped with machine-readable metadata that captures detailed information about its interactions, such as timestamps, user credentials, geolocation data, and the nature of the interaction. This metadata is not only comprehensive but also structured in a way that supports automated processing and analysis, enabling advanced functionalities such as real-time auditing and compliance verification.

[0039] Another attribute of a smart electronic document is its ability to maintain version control. When changes need to be made to the document, a new uniquely addressable version is created, rather than altering the original document. This approach preserves the integrity of the original document while providing a clear record of its evolution. Each version is assigned its own unique identifier, ensuring that it can be independently accessed and verified. The relationship between versions is also recorded, creating a hierarchical structure that allows users to trace the document’s history and understand the context of each modification. For example, if a contract is updated to include new terms, the updated version will reference the original version, enabling auditors to compare the two and verify the changes. Attorney Docket No.: 226148.013101 / PCT

[0040] The creation of new versions is governed by strict rules and cryptographic mechanisms to ensure authenticity and prevent unauthorized modifications. When a user or system initiates a change, the smart electronic document generates a cryptographic signature that validates the modification and ties it to the new version. This signature is stored as part of the document’s metadata, providing a tamper-proof record of the change. Additionally, the document’s embedded intelligence ensures that all changes are logged in its audit trail, capturing details such as who made the change, when it was made, and why it was made. This level of detail not only supports transparency but also enhances security by making it virtually impossible to alter the document without leaving a trace.

[0041] In some examples, the immutability of the content in a smart electronic document is a foundational characteristic that ensures the integrity, reliability, and trustworthiness of the document throughout its lifecycle. This immutability is achieved through a combination of technical mechanisms and design principles, which are explained below.

[0042] The “content” of a smart electronic document refers to the core information that constitutes the document, such as text, images, tables, or other embedded elements. This content is distinct from metadata (which provides supplementary information about the document, such as timestamps, user interactions, and version history) and executable code (which enables the document's intelligent functionalities). The immutability applies specifically to the content, ensuring that it remains unchanged once the document is finalized or authenticated.

[0043] To ensure immutability, the content of a smart electronic document can be cryptographically hashed at the time of its creation or finalization. A cryptographic hash is a Attorney Docket No.: 226148.013101 / PCTunique, fixed-length string generated from the content using a hashing algorithm (e.g., SHA-256). This hash acts as a digital fingerprint of the content. If even a single character or pixel in the content is altered, the hash will change, making it immediately evident that the content has been tampered with.

[0044] Any system or user accessing the document can verify its integrity by recalculating the hash and comparing it to the original hash stored in the document's metadata. If the hashes match, the content is confirmed to be unchanged.

[0045] In cases where changes to the document are necessary (e.g., updates or amendments), the smart electronic document does not alter the original content. Instead, it creates a new version of the document with its own unique identifier and cryptographic hash. The original version remains intact and accessible, ensuring that the history of the document is preserved. Each version of the document is uniquely addressable and linked to the previous versions, creating a hierarchical structure that allows users to trace the evolution of the document. This approach ensures that the original content is never overwritten or lost.

[0046] In some embodiments, the smart electronic document may leverage distributed ledger technology to ensure immutability. The content and its associated hash can be recorded on a distributed ledger, where each entry is cryptographically secured and immutable. This approach provides an additional layer of protection, as the distributed ledger ensures that the content cannot be altered without consensus from the network.

[0047] The smart electronic document separates its content from other mutable elements, such as metadata and executable code. While metadata and code can be updated to reflect new interactions or functionalities, the content layer remains fixed and unchangeable. Attorney Docket No.: 226148.013101 / PCTThis separation ensures that the core information of the document is preserved, even as the document evolves in other ways.

[0048] The smart electronic document can provides transparency to users by enabling them to verify the authenticity and integrity of the content at any time. This transparency is achieved through audit trails and visual indicators, ensuring that users can trust the document’s reliability and security.

[0049] FIG. 2 illustrates one embodiment of a system 200 for managing electronic documents across a network, showcasing the interaction between a server 206, a network 204, and a computing device 202 equipped with a viewer 260. The system 200 facilitates the dynamic exchange of information between these components, enabling secure access, processing, and delivery of electronic documents.

[0050] The server 206 is configured to store and manage the document 210, which is provisioned as a smart digital object. The server 206 interacts with the network 204 to transmit and receive data related to the document 210. The document 210 may include embedded instructions that enable the document to respond to requests, process data, and deliver information in a format native to the document 210. The server 206 ensures the integrity and security of the document 210 during the lifecycle of the document, including interactions with external systems.

[0051] The network 204 serves as the communication medium between the server 206 and the computing device 202. The network 204 may include various types of communication channels, such as wired or wireless connections, and may operate over local or wide-area Attorney Docket No.: 226148.013101 / PCTnetworks. The network 204 facilitates the transmission of requests and responses, ensuring seamless interaction between the server 206 and the computing device 202.

[0052] The computing device 202 comprises a physical processor 220, memory 240, and a viewer 260. The physical processor 220 executes instructions stored in the memory 240 to enable the computing device 202 to interact with the document 210. The memory 240 stores data and instructions necessary for the operation of the computing device 202, including those related to the viewer 260. The viewer 260 provides a user interface for accessing and interacting with the document 210. The viewer 260 enables users to view the document 210 in its original format, ensuring readability and usability without alteration. Additionally, the viewer 260 may facilitate the delivery of requests to the server 206 and the receipt of responses associated with the document 210.

[0053] The system 200 supports secure and efficient management of electronic documents, ensuring that the document 210 can dynamically interact with external systems while maintaining the integrity and auditability of the electronic document. This architecture enables the document 210 to provide real-time updates, personalized access control, and compliance with auditing requirements, addressing the challenges of traditional document management systems.

[0054] FIG. 3 illustrates a flowchart detailing the method by which an electronic document interacts with an automated auditing system, showcasing the steps involved in receiving, processing, and delivering audit data in a format native to the document. This figure builds upon the system architecture described in FIG. 2, emphasizing the operational processes that enable the document to function as a smart digital object capable of dynamic interaction Attorney Docket No.: 226148.013101 / PCTand secure auditing. The flowchart highlights how the embedded instructions within the document facilitate seamless communication with external systems, ensuring that audit data is delivered in a machine-readable format while preserving the document's integrity and compliance with auditing requirements. By demonstrating the interaction between the document and the auditing system, FIG. 3 provides a detailed view of the ability of the embodiments described here to address the challenges of traditional document auditability.

[0055] Step 310 of FIG. 3 involves receiving, via executable instructions of an electronic document running on a physical computing device, a request from an automated auditing system to audit data of the electronic document. This step is foundational to the document's ability to function as a smart digital object capable of dynamic interaction and secure auditing. The request received by the document can take various forms, depending on the nature of the auditing system, the type of data being audited, and the specific requirements of the audit process. For example, in a financial auditing scenario, the automated auditing system may send a request to retrieve transaction records, balance sheets, or other financial data stored within the document. The request may specify parameters such as a date range, transaction type, or account identifiers. The document, equipped with embedded executable instructions, interprets the request and identifies the relevant data within its storage. Alternatively, in a compliance auditing context, the request may seek metadata related to the document's provenance, such as timestamps, user identities, or records of modifications. The document processes the request by accessing its cryptographically committed metadata and preparing it for delivery in a format that aligns with the auditing system's requirements. Attorney Docket No.: 226148.013101 / PCT

[0056] The request received in step 310 can also be highly granular, targeting specific sections or elements of the document. For instance, an auditing system may request access to a particular paragraph within a legal contract or a specific cell within a spreadsheet. The document's embedded instructions enable it to parse the request, locate the specified content, and prepare it for delivery without exposing unrelated or sensitive information. This capability is particularly useful in scenarios where personalized access control is required, ensuring that the auditing system only receives data relevant to its scope of inquiry.

[0057] In some embodiments, the request may include additional parameters that dictate how the data should be processed or formatted before delivery. For example, the auditing system may request that the data be aggregated, filtered, or converted into a specific format, such as XML, JSON, or CSV. The document's executable instructions handle these operations internally, ensuring that the data is delivered in a manner that is both native to the document and compatible with the auditing system.

[0058] Step 310 also supports alternative modes of interaction between the document and the auditing system. In one alternative, the request may be initiated by the auditing system in real-time, triggered by an event such as a regulatory deadline or a detected anomaly. In another alternative, the request may be pre-scheduled, with the auditing system periodically querying the document for updates or changes. The document's embedded instructions enable it to respond to these requests dynamically, ensuring that the auditing system always has access to the most current and relevant data.

[0059] Additionally, the request received in step 310 may involve complex queries that require the document to perform internal computations or analyses. For example, an Attorney Docket No.: 226148.013101 / PCTauditing system may request a summary of financial trends or a comparison of data across multiple versions of the document. The document's embedded instructions execute these computations, leveraging its internal processing capabilities to generate the requested insights.

[0060] In some embodiments, the request may be accompanied by authentication credentials to verify the identity and authorization of the auditing system. The document's embedded instructions validate these credentials before processing the request, ensuring that only authorized systems can access its data. This authentication process may involve multi-factor verification, cryptographic keys, or other security measures tailored to the document's context. Step 310 also accommodates scenarios where the request is incomplete or ambiguous. In such cases, the document's embedded instructions may generate a response seeking clarification or additional information from the auditing system. For example, if the request specifies a date range but omits the type of data to be audited, the document may prompt the auditing system to refine its query. This interactive capability ensures that the auditing process remains efficient and accurate, even in the face of incomplete or evolving requirements.

[0061] Overall, step 310 exemplifies the document's ability to act as a dynamic, interactive entity that seamlessly integrates with automated auditing systems. By receiving and interpreting requests in real-time, the document ensures that auditing processes are efficient, accurate, and secure, addressing the limitations of traditional electronic documents and paving the way for more advanced auditing capabilities.

[0062] Step 320 of FIG. 3 involves processing, via the executable instructions of the electronic document running on a physical computing device, the request to audit the data of the electronic document. This step is critical to the document’s ability to function as a smart Attorney Docket No.: 226148.013101 / PCTdigital object capable of dynamic interaction and secure auditing. Once the request is received in step 310, the document’s embedded instructions analyze the request, identify the relevant data, and prepare it for delivery in a format that aligns with the auditing system’s requirements. The processing step ensures that the document can adapt to the specific needs of the auditing system while maintaining the integrity and security of its content.

[0063] For example, in a financial auditing scenario, the request may involve retrieving transaction records for a specific date range. The document’s embedded instructions parse the request, locate the relevant data within its storage, and verify its accuracy and completeness. If the request specifies additional parameters, such as filtering transactions by account type or aggregating data by month, the document performs these operations internally before preparing the data for delivery. This ensures that the auditing system receives precisely the information it needs without requiring manual intervention or external processing.

[0064] In a compliance auditing context, the request may involve accessing metadata related to the document’s provenance, such as timestamps, user identities, or modification history. The document processes the request by extracting the relevant metadata, verifying its cryptographic integrity, and formatting it in a manner that is compatible with the auditing system. For instance, the document may convert the metadata into a machine-readable format, such as JSON or XML, while preserving its native structure and ensuring that it remains auditable. Step 320 also supports scenarios where the request involves complex queries or computations. For example, an auditing system may request a summary of financial trends over a specified period or a comparison of data across multiple versions of the document. The document’s embedded instructions execute these computations internally, leveraging its processing 23 Attorney Docket No.: 226148.013101 / PCTcapabilities to generate the requested insights. This eliminates the need for external tools or manual analysis, streamlining the auditing process and reducing the risk of errors.

[0065] In some embodiments, the processing step may involve validating the request against predefined rules or permissions. For example, if the request targets sensitive data, the document’s embedded instructions may verify whether the auditing system has the necessary clearance to access the data. If the request exceeds the scope of the auditing system’s permissions, the document may generate a response indicating that access is denied or prompt the auditing system to refine its query. This ensures that the document’s security and access control policies are enforced during the processing step.

[0066] Step 320 also accommodates alternative modes of processing based on the nature of the request and the capabilities of the auditing system. In one alternative, the document may process the request incrementally, delivering data in smaller batches to optimize performance and reduce network load. For example, if the auditing system requests a large dataset, the document may divide the data into segments and process each segment sequentially. In another alternative, the document may prioritize certain types of requests based on urgency or regulatory requirements. For instance, a request related to a pending legal case may be processed immediately, while routine compliance checks are queued for later processing.

[0067] Additionally, the processing step may involve transforming the data into a format that is both human-readable and machine-auditable. For example, the document may generate a report that includes visual summaries, such as charts or graphs, alongside structured data for computational analysis. This dual-format approach ensures that the auditing system can interpret the data effectively while providing human auditors with a clear and concise overview. 24 Attorney Docket No.: 226148.013101 / PCT

[0068] In some embodiments, the processing step may include logging the request and its associated operations for audit trail purposes. The document’s embedded instructions record details such as the time of the request, the identity of the auditing system, and the specific data accessed or delivered. This log serves as a valuable resource for compliance verification and security analysis, ensuring that all interactions with the document are traceable and accountable.

[0069] Step 320 also supports scenarios where the request involves real-time updates or dynamic content. For example, if the auditing system requests the latest financial data, the document may fetch the required information from external sources, such as databases or APIs, and integrate it into its storage before processing the request. This ensures that the auditing system receives the most current and relevant data, enhancing the accuracy and reliability of the auditing process.

[0070] Overall, step 320 exemplifies the document’s ability to process requests dynamically and securely, adapting to the specific needs of the auditing system while maintaining the integrity and trustworthiness of its content. By performing operations such as filtering, aggregating, validating, and transforming data internally, the document streamlines the auditing process, reduces the risk of errors, and ensures compliance with regulatory requirements. This step highlights the innovative capabilities of the examples disclosed, addressing the limitations of traditional electronic documents and paving the way for more efficient and reliable auditing systems.

[0071] Step 330 of FIG. 3 involves delivering, to the automated auditing system and from the electronic document via the executable instructions running on the physical computing device, data in a format that is native to the electronic document and auditable by the automated Attorney Docket No.: 226148.013101 / PCTauditing system in the state in which it is stored in the document. This step is pivotal in ensuring that the auditing system receives the requested data in a manner that is both compatible with its operational requirements and reflective of the document’s integrity. The delivery process is designed to maintain the authenticity, security, and usability of the data while addressing the specific needs of the auditing system.

[0072] For example, in a financial auditing scenario, the document may deliver transaction records in a structured format such as JSON or XML, which allows the auditing system to parse and analyze the data efficiently. The document ensures that the delivered data retains its original structure and metadata, such as timestamps and user identities, to provide a complete and accurate representation of the financial activity. Alternatively, in a compliance auditing context, the document may deliver cryptographically committed metadata that verifies the provenance of the data, ensuring that the auditing system can trace the document’s lifecycle and confirm its compliance with regulatory requirements.

[0073] The delivery process in step 330 can also be tailored to meet specific formatting or presentation requirements. For instance, the auditing system may request data in a tabular format for integration into a spreadsheet application or in a visual format such as charts or graphs for presentation purposes. The document’s embedded instructions dynamically transform the data into the requested format before delivery, ensuring that the auditing system receives information that is both actionable and easy to interpret.

[0074] In some embodiments, the delivery process may involve segmenting the data into smaller portions to optimize performance and reduce network load. For example, if the auditing system requests a large dataset, the document may deliver the data in batches, allowing Attorney Docket No.: 226148.013101 / PCTthe auditing system to process each batch sequentially. This approach ensures that the delivery process remains efficient and scalable, even when handling extensive or complex data requests.

[0075] Step 330 also supports alternative modes of delivery based on the nature of the auditing system and the context of the request. In one alternative, the document may deliver data in real-time, providing continuous updates as new information becomes available. For example, in a scenario where the auditing system monitors ongoing financial transactions, the document may stream transaction data directly to the system, ensuring that the auditing process remains up-to-date. In another alternative, the document may deliver data asynchronously, allowing the auditing system to retrieve the information at its convenience without requiring immediate processing.

[0076] Additionally, the delivery process may include mechanisms to ensure the security and authenticity of the data during transmission. For example, the document may encrypt the data before delivery, using cryptographic keys to protect it from unauthorized access or tampering. The auditing system can then decrypt the data upon receipt, verifying its integrity and authenticity using the document’s embedded metadata. This approach ensures that the delivery process adheres to stringent security standards, safeguarding sensitive information throughout the auditing process.

[0077] In some embodiments, the delivery process may involve providing contextual information alongside the requested data to enhance its usability. For instance, the document may include annotations or explanations that clarify the significance of specific data points or highlight potential discrepancies. This additional context allows the auditing system to interpret Attorney Docket No.: 226148.013101 / PCTthe data more effectively, reducing the risk of errors and improving the overall accuracy of the auditing process.

[0078] Step 330 also accommodates scenarios where the auditing system requires data in multiple formats or for different purposes. For example, the document may deliver a machine-readable version of the data for computational analysis alongside a human-readable version for review by auditors. This dual-format delivery ensures that the data meets the needs of both automated systems and human users, providing a comprehensive solution to the challenges of auditability.

[0079] In cases where the auditing system encounters issues with the delivered data, the document’s embedded instructions may generate a response to address the problem. For example, if the auditing system identifies missing or incomplete data, the document may initiate a follow-up delivery to provide the required information. Alternatively, the document may prompt the auditing system to refine its request, ensuring that subsequent deliveries align more closely with its requirements.

[0080] Overall, step 330 exemplifies the document’s ability to deliver data dynamically, securely, and in a format that is both native to the document and auditable by the automated auditing system. By tailoring the delivery process to the specific needs of the auditing system, the document ensures that the auditing process remains efficient, accurate, and reliable. This step highlights the innovative capabilities of the examples disclosed, addressing the limitations of traditional electronic documents and paving the way for more advanced auditing solutions. Attorney Docket No.: 226148.013101 / PCT

[0081] FIG. 4 builds upon the processes outlined in FIG. 3, further detailing the interaction between an electronic document and a document viewer, showcasing how the document delivers data in a format that is both human-readable and machine-auditable. While FIG.3 focuses on the interaction between the document and an automated auditing system, FIG. 4 shifts the focus to the document’s ability to respond to requests from a document viewer, enabling seamless access and interaction for human users. This continuation highlights the versatility of the electronic document as a smart digital object, capable of dynamically adapting its responses based on the nature of the request and the entity making the request. By illustrating the steps of receiving, processing, and delivering data to a document viewer, FIG.4 demonstrates how the disclosure ensures that the document remains accessible, secure, and auditable, addressing the needs of both human users and computational systems.

[0082] Step 410 of FIG. 4 involves receiving, via the executable instructions of an electronic document running on a physical computing device, a request for the data of the electronic document from a document viewer. This step is the initial point of interaction between the document and the viewer, enabling the document to dynamically respond to user requests while maintaining its integrity and security. The request received in step 410 can vary significantly depending on the nature of the document, the type of viewer, and the user’s role or permissions. For example, in a legal context, the document viewer may request access to specific clauses within a contract. The request may specify parameters such as the clause number, section title, or keywords related to the clause. The document, equipped with embedded executable instructions, interprets the request and identifies the relevant content within its storage. Alternatively, in a financial context, the viewer may request access to a summary of quarterly Attorney Docket No.: 226148.013101 / PCTearnings or a specific line item in a balance sheet. The document processes the request by locating the relevant data and preparing it for delivery in a format that aligns with the viewer’s requirements.

[0083] The request received in step 410 can also be highly granular, targeting specific elements of the document. For instance, a user may request access to a particular paragraph within a report or a specific cell within a spreadsheet. The document’s embedded instructions enable it to parse the request, locate the specified content, and prepare it for delivery without exposing unrelated or sensitive information. This capability is particularly useful in scenarios where personalized access control is required, ensuring that users only receive data relevant to their scope of inquiry.

[0084] In some embodiments, the request may include additional parameters that dictate how the data should be presented or formatted before delivery. For example, the viewer may request that the data be displayed in a visual format, such as a graph or chart, or in a structured format, such as a table. The document’s executable instructions handle these operations internally, ensuring that the data is delivered in a manner that is both native to the document and compatible with the viewer.

[0085] Step 410 also supports alternative modes of interaction between the document and the viewer. In one alternative, the request may be initiated by the viewer in real- time, triggered by user actions such as clicking on a specific section or searching for a keyword. In another alternative, the request may be pre-scheduled, with the viewer periodically querying the document for updates or changes. The document’s embedded instructions enable it to Attorney Docket No.: 226148.013101 / PCTrespond to these requests dynamically, ensuring that the viewer always has access to the most current and relevant data.

[0086] Additionally, the request received in step 410 may involve complex queries that require the document to perform internal computations or analyses. For example, a viewer may request a comparison of data across multiple versions of the document or a summary of trends over a specified period. The document’s embedded instructions execute these computations, leveraging its internal processing capabilities to generate the requested insights.

[0087] In some embodiments, the request may be accompanied by authentication credentials to verify the identity and authorization of the user accessing the viewer. The document’s embedded instructions validate these credentials before processing the request, ensuring that only authorized users can access its data. This authentication process may involve multi-factor verification, cryptographic keys, or other security measures tailored to the document’s context.

[0088] Step 410 also accommodates scenarios where the request is incomplete or ambiguous. In such cases, the document’s embedded instructions may generate a response seeking clarification or additional information from the viewer. For example, if the request specifies a section title but omits the specific subsection to be accessed, the document may prompt the viewer to refine its query. This interactive capability ensures that the document remains responsive and accurate, even in the face of incomplete or evolving user requirements.

[0089] Overall, step 410 exemplifies the document’s ability to act as a dynamic, interactive entity that seamlessly integrates with document viewers. By receiving and interpreting requests in real-time, the document ensures that user interactions are efficient, Attorney Docket No.: 226148.013101 / PCTaccurate, and secure, addressing the limitations of traditional electronic documents and paving the way for more advanced document management capabilities.

[0090] Step 420 of FIG. 4 involves processing, via the executable instructions of the electronic document running on a physical computing device, the request from the document viewer. This step is critical to the document’s ability to function as a smart digital object capable of dynamic interaction and secure data handling. Once the request is received in step 410, the document’s embedded instructions analyze the request, identify the relevant data, and prepare it for delivery in a format that aligns with the viewer’s requirements. The processing step ensures that the document can adapt to the specific needs of the viewer while maintaining the integrity and security of its content.

[0091] For example, in a legal context, the request may involve retrieving specific clauses from a contract. The document’s embedded instructions parse the request, locate the relevant clauses within its storage, and verify their accuracy and completeness. If the request specifies additional parameters, such as filtering clauses by keywords or aggregating related sections, the document performs these operations internally before preparing the data for delivery. This ensures that the viewer receives precisely the information it needs without requiring manual intervention or external processing.

[0092] In a financial context, the request may involve accessing a summary of quarterly earnings or specific line items from a balance sheet. The document processes the request by extracting the relevant financial data, verifying its cryptographic integrity, and formatting it in a manner that is compatible with the viewer. For instance, the document may Attorney Docket No.: 226148.013101 / PCTconvert the data into a visual format, such as a graph or chart, or into a structured format, such as a table, depending on the viewer’s requirements.

[0093] Step 420 also supports scenarios where the request involves complex queries or computations. For example, a viewer may request a comparison of data across multiple versions of the document or a summary of trends over a specified period. The document’s embedded instructions execute these computations internally, leveraging its processing capabilities to generate the requested insights. This eliminates the need for external tools or manual analysis, streamlining the interaction process and reducing the risk of errors.

[0094] In some embodiments, the processing step may involve validating the request against predefined rules or permissions. For example, if the request targets sensitive data, the document’s embedded instructions may verify whether the viewer has the necessary clearance to access the data. If the request exceeds the scope of the viewer’s permissions, the document may generate a response indicating that access is denied or prompt the viewer to refine its query. This ensures that the document’s security and access control policies are enforced during the processing step.

[0095] Step 420 also accommodates alternative modes of processing based on the nature of the request and the capabilities of the viewer. In one alternative, the document may process the request incrementally, delivering data in smaller batches to optimize performance and reduce network load. For example, if the viewer requests a large dataset, the document may divide the data into segments and process each segment sequentially. In another alternative, the document may prioritize certain types of requests based on urgency or user roles. For instance, Attorney Docket No.: 226148.013101 / PCTa request related to a pending legal case may be processed immediately, while routine data queries are queued for later processing.

[0096] Additionally, the processing step may involve transforming the data into a format that is both human-readable and machine-auditable. For example, the document may generate a report that includes visual summaries, such as charts or graphs, alongside structured data for computational analysis. This dual-format approach ensures that the viewer can interpret the data effectively while providing human users with a clear and concise overview.

[0097] In some embodiments, the processing step may include logging the request and its associated operations for audit trail purposes. The document’s embedded instructions record details such as the time of the request, the identity of the viewer, and the specific data accessed or delivered. This log serves as a valuable resource for compliance verification and security analysis, ensuring that all interactions with the document are traceable and accountable.

[0098] Step 420 also supports scenarios where the request involves real-time updates or dynamic content. For example, if the viewer requests the latest financial data, the document may fetch the required information from external sources, such as databases or APIs, and integrate it into its storage before processing the request. This ensures that the viewer receives the most current and relevant data, enhancing the accuracy and reliability of the interaction process.

[0099] Overall, step 420 exemplifies the document’s ability to process requests dynamically and securely, adapting to the specific needs of the viewer while maintaining the integrity and trustworthiness of its content. By performing operations such as filtering, aggregating, validating, and transforming data internally, the document streamlines the Attorney Docket No.: 226148.013101 / PCTinteraction process, reduces the risk of errors, and ensures compliance with security and access control requirements. This step highlights the innovative capabilities of the disclosure, addressing the limitations of traditional electronic documents and paving the way for more efficient and reliable document management systems.

[0100] Step 430 of FIG. 4 involves delivering, to the document viewer and from the electronic document via the executable instructions running on the physical computing device, data in the format that is native to the electronic document. This step is pivotal in ensuring that the viewer receives the requested data in a manner that is both compatible with its operational requirements and reflective of the document’s integrity. The delivery process is designed to maintain the authenticity, security, and usability of the data while addressing the specific needs of the viewer.

[0101] For example, in a legal context, the document may deliver specific clauses of a contract in a human-readable format, such as plain text or a PDF rendering, ensuring that the viewer can interpret the content without requiring additional processing. Simultaneously, the document may deliver metadata associated with the clauses, such as timestamps, user identities, or modification history, in a machine-readable format like JSON or XML. This dual-format delivery ensures that the viewer can provide both human users and computational systems with the necessary information for analysis and verification.

[0102] In a financial context, the document may deliver a summary of quarterly earnings in a tabular format for integration into a spreadsheet application, while also providing visual representations such as graphs or charts for presentation purposes. The document’s embedded instructions dynamically transform the data into the requested formats before Attorney Docket No.: 226148.013101 / PCTdelivery, ensuring that the viewer receives information that is both actionable and easy to interpret. For example, a Chief Financial Officer may receive a detailed breakdown of financial data, while a general employee may only see a high-level summary tailored to their access permissions.

[0103] Step 430 also supports scenarios where the data delivery involves segmentation to optimize performance and reduce network load. For instance, if the viewer requests a large dataset, the document may deliver the data in smaller batches, allowing the viewer to process each batch sequentially. This approach ensures that the delivery process remains efficient and scalable, even when handling extensive or complex data requests. Alternatively, the document may prioritize certain types of data delivery based on urgency or user roles. For example, a request related to a pending legal case may be delivered immediately, while routine data queries are queued for later delivery.

[0104] In some embodiments, the delivery process may involve real-time updates, where the document streams data directly to the viewer as new information becomes available. For example, in a scenario where the viewer monitors ongoing financial transactions, the document may continuously update the viewer with transaction data, ensuring that the user always has access to the most current information. Alternatively, the document may deliver data asynchronously, allowing the viewer to retrieve the information at their convenience without requiring immediate processing.

[0105] The delivery process may also include mechanisms to ensure the security and authenticity of the data during transmission. For example, the document may encrypt the data before delivery, using cryptographic keys to protect it from unauthorized access or tampering. 36 Attorney Docket No.: 226148.013101 / PCTThe viewer can then decrypt the data upon receipt, verifying its integrity and authenticity using the document’s embedded metadata. This approach ensures that the delivery process adheres to stringent security standards, safeguarding sensitive information throughout the interaction. In some embodiments, the delivery process may involve providing contextual information alongside the requested data to enhance its usability. For instance, the document may include annotations or explanations that clarify the significance of specific data points or highlight potential discrepancies. This additional context allows the viewer to interpret the data more effectively, reducing the risk of errors and improving the overall accuracy of the interaction process.

[0106] Step 430 also accommodates scenarios where the viewer requires data in multiple formats or for different purposes. For example, the document may deliver a machine- readable version of the data for computational analysis alongside a human-readable version for review by users. This dual-format delivery ensures that the data meets the needs of both automated systems and human users, providing a comprehensive solution to the challenges of data accessibility and usability.

[0107] In cases where the viewer encounters issues with the delivered data, the document’s embedded instructions may generate a response to address the problem. For example, if the viewer identifies missing or incomplete data, the document may initiate a follow- up delivery to provide the required information. Alternatively, the document may prompt the viewer to refine their request, ensuring that subsequent deliveries align more closely with their requirements. Attorney Docket No.: 226148.013101 / PCT

[0108] Overall, step 430 exemplifies the document’s ability to deliver data dynamically, securely, and in a format that is both native to the document and tailored to the viewer’s needs. By adapting the delivery process to the specific requirements of the viewer, the document ensures that the interaction remains efficient, accurate, and reliable. This step highlights the innovative capabilities of the disclosure, addressing the limitations of traditional electronic documents and paving the way for more advanced document management solutions.

[0109] A format that is "native to an electronic document" refers to the inherent structure, encoding, or representation of data within the document that aligns with the document's design and intended functionality. A native format is the format in which the document stores, processes, and delivers its data without requiring external conversion or transformation. This format is optimized for the document's internal architecture and ensures compatibility with the document's embedded instructions, metadata, and operational capabilities. By delivering data in its native format, the document maintains its integrity, usability, and auditability, ensuring seamless interaction with external systems or users. For example, in the case of a PDF document, the native format may include text encoded in PDF-specific structures, such as objects, streams, and annotations. A PDF document may store text as searchable and selectable content, while also embedding metadata such as creation date, author, and modification history.

[0110] When delivering data in its native format, the document ensures that the text remains searchable and retains its associated metadata, rather than converting it into a plain text file that loses these attributes. Similarly, spreadsheet documents, such as Excel files, store data in structured cells, rows, and columns, along with embedded formulas, charts, and pivot tables. Attorney Docket No.: 226148.013101 / PCTIf an auditing system requests financial data from an Excel document, the native format can deliver the data as a structured table with formulas intact, allowing the auditing system to verify calculations directly within the document. Word processing documents, such as Word files, store text, styles, headers, footers, tables, and embedded images. If a legal auditing system requests a specific clause from a contract stored in a Word document, the native format can deliver the clause along with its formatting, such as bold text or indentation, ensuring that the clause is presented as it appears in the original document. Presentation documents, such as PowerPoint files, store slides with text, images, animations, and transitions. If a viewer requests a specific slide, the native format can deliver the slide with its animations and transitions intact, preserving the presentation's intended visual and interactive elements. Similarly, database files store structured data in tables, rows, and columns, along with relationships between tables and query capabilities. If an auditing system requests data from a database-backed electronic document, the native format can deliver the data as a query result, preserving relationships and constraints between tables. Image files, such as PNG or JPEG, store pixel data, resolution, and color profiles. If a viewer requests an image embedded in a document, the native format can deliver the image with its original resolution and color fidelity, ensuring that the image is suitable for its intended use. Video files, such as MP4, store encoded frames, audio tracks, and metadata such as duration and resolution. If a viewer requests a specific segment of a video embedded in a document, the native format can deliver the segment with its original encoding and synchronization between video and audio. Geospatial files, such as GeoJSON, store data optimized for mapping and spatial analysis, including coordinates, polygons, and layers. If an auditing system requests geospatial data from a document, the native format can deliver the data as GeoJSON, preserving spatial Attorney Docket No.: 226148.013101 / PCTrelationships and attributes. Interactive documents, such as HTML files, store data optimized for web-based interaction, including embedded JavaScript and CSS. If a viewer requests a specific section of an interactive document, the native format can deliver the section along with its interactive elements, such as buttons or forms. Delivering data in its native format ensures that the document retains its original structure, metadata, and functionality, allowing users and systems to interact with the data as intended. This approach eliminates the need for external conversion, reduces the risk of data loss or corruption, and enhances the document's auditability and usability. By leveraging native formats, electronic documents can seamlessly integrate with diverse systems and workflows, addressing the challenges of traditional document management and enabling advanced capabilities in auditing, compliance, and collaboration.

[0111] Delivering a portion of the data from an electronic document to an automated auditing system involves selectively providing specific sections, elements, or subsets of the document’s content based on the auditing system’s requirements. This capability is essential for scenarios where the auditing system does not need access to the entire document but only to relevant portions of the data. By delivering targeted data, the electronic document ensures efficiency, security, and compliance while minimizing unnecessary exposure of sensitive or unrelated information.

[0112] For example, in a financial auditing scenario, the auditing system may request data related to a specific account or transaction type within a larger financial report. Instead of delivering the entire report, the electronic document can extract and deliver only the relevant portions, such as transaction records for a particular date range or account identifiers. This Attorney Docket No.: 226148.013101 / PCTtargeted delivery reduces the volume of data transmitted, streamlines the auditing process, and ensures that sensitive information unrelated to the request remains secure.

[0113] In a legal context, the auditing system may request access to specific clauses within a contract rather than the entire document. For instance, the system may need to verify the terms of a non-disclosure agreement (NDA) or confirm the validity of a signature on a specific page. The electronic document can deliver only the requested clauses or pages, ensuring that other sections of the contract, such as proprietary information or unrelated legal terms, are not exposed.

[0114] Another example involves compliance auditing, where the auditing system may need metadata related to the document’s provenance, such as timestamps, user identities, or modification history. Instead of delivering the entire document, the electronic document can provide only the metadata fields relevant to the compliance check. This approach ensures that the auditing system receives the necessary information without accessing the document’s content, which may contain sensitive or confidential data.

[0115] Alternatives to delivering a portion of the data include delivering the entire document with instructions for the auditing system to filter or extract the relevant portions. While this approach may be simpler for the document, it places additional processing burdens on the auditing system and increases the risk of exposing sensitive information. Another alternative is delivering a summary or aggregated version of the data, such as a high-level financial overview or a condensed legal summary. However, this approach may lack the granularity required for detailed auditing and may not satisfy the auditing system’s specific requirements. Attorney Docket No.: 226148.013101 / PCT

[0116] In some embodiments, the electronic document may allow the auditing system to specify the format and structure of the requested data. For example, the system may request data in a tabular format for integration into a spreadsheet application or in a visual format, such as charts or graphs, for presentation purposes. The document’s embedded instructions can dynamically transform the requested portions into the desired format before delivery, ensuring compatibility and usability.

[0117] Additionally, the electronic document may include mechanisms to ensure the security and integrity of the delivered portions. For instance, the document may encrypt the data before delivery, using cryptographic keys to protect it from unauthorized access or tampering. The auditing system can then decrypt the data upon receipt, verifying its authenticity and ensuring that the delivered portions match the original content.

[0118] In cases where the auditing system encounters issues with the delivered portions, the electronic document may generate a response to address the problem. For example, if the system identifies missing or incomplete data, the document may initiate a follow- up delivery to provide the required information. Alternatively, the document may prompt the auditing system to refine its request, ensuring that subsequent deliveries align more closely with its requirements.

[0119] Overall, delivering a portion of the data from an electronic document can ensures that the auditing system receives only the information it needs, reducing the risk of data exposure, improving efficiency, and enhancing security. By tailoring the delivery process to the specific requirements of the auditing system, the electronic document provides a comprehensive Attorney Docket No.: 226148.013101 / PCTsolution to the challenges of traditional document management, enabling advanced capabilities in auditing, compliance, and operational efficiency.

[0120] Automated auditing systems are software-driven solutions designed to streamline the verification, monitoring, and compliance processes across various industries without requiring extensive manual intervention. These systems rely on predefined rules, algorithms, and workflows to analyze structured data and ensure adherence to regulatory requirements, industry standards, and organizational policies. When paired with dual-nature smart electronic documents, the automation is significantly enhanced. These documents, equipped with embedded APIs, cryptographic metadata, and executable instructions, dynamically interact with auditing systems by delivering tailored, secure, and auditable data in real-time. For example, an automated tax auditing system can analyze structured financial data and metadata from smart documents to verify tax filings and deductions. The document can deliver transaction records, income statements, and timestamps in a native format, ensuring accuracy and compliance with tax regulations. Similarly, an automated legal auditing system can review contracts and legal documents for compliance with terms, clauses, and regulatory requirements. The smart document can provide specific clauses, modification histories, and cryptographic hashes to verify the integrity of the legal content.

[0121] In the healthcare sector, an automated healthcare auditing system ensures compliance with medical record-keeping standards such as HIPAA by auditing patient data and metadata stored in smart documents. These documents can deliver patient records with embedded provenance information, ensuring that the data remains secure and auditable. For supply chain management, an automated supply chain auditing system tracks inventory, 43 Attorney Docket No.: 226148.013101 / PCTshipments, and vendor compliance using smart documents embedded with provenance data, such as timestamps and transaction histories. Cybersecurity auditing systems benefit from smart documents by verifying adherence to cybersecurity protocols through the analysis of logs and security reports embedded with cryptographic metadata. Similarly, an automated quality assurance auditing system reviews manufacturing and production records for compliance with quality standards, with smart documents delivering inspection reports and production logs in a machine-readable format.

[0122] In education, an automated education auditing system audits student records and accreditation documents for compliance with educational standards. Smart documents can deliver structured data, such as course completion records and accreditation certificates, ensuring accuracy and compliance. Insurance auditing systems leverage smart documents to verify claims and policy compliance by analyzing structured data, such as claim histories and policy terms, embedded within the document. Real estate auditing systems use smart documents to review property deeds, contracts, and transaction records for compliance with real estate laws, with the document delivering specific clauses and provenance information. Energy auditing systems monitor energy usage and compliance with sustainability standards using smart energy reports embedded with timestamps and consumption data. Retail auditing systems track sales, inventory, and pricing compliance using structured data from smart retail documents, ensuring that pricing and inventory records are accurate and auditable.

[0123] Transportation auditing systems benefit from smart documents by auditing vehicle logs, maintenance records, and compliance with transportation regulations. These documents can deliver maintenance histories and compliance certificates in a native format. Attorney Docket No.: 226148.013101 / PCTFood safety auditing systems ensure compliance with food safety standards by analyzing inspection reports and certifications embedded within smart documents, providing detailed provenance information. Intellectual property auditing systems verify ownership and usage rights of intellectual property using metadata from smart documents, such as timestamps and cryptographic hashes. Construction auditing systems review building permits, contracts, and compliance with construction codes, with smart documents delivering specific clauses and modification histories. Banking auditing systems monitor adherence to banking regulations by auditing transaction records and account metadata embedded within smart documents, ensuring compliance with financial standards.

[0124] Human resources auditing systems ensure compliance with labor laws and company policies by analyzing employee records stored in smart documents, such as contracts and performance reviews. Marketing auditing systems verify compliance with advertising standards and campaign performance metrics by analyzing structured data embedded within smart marketing documents, such as campaign timelines and audience engagement metrics. Pharmaceutical auditing systems audit drug manufacturing and distribution records for compliance with FDA regulations, with smart documents delivering batch records and distribution logs embedded with cryptographic metadata. Each of these automated auditing systems benefits from the dynamic capabilities of dual-nature smart electronic documents, which deliver tailored, secure, and auditable data in real-time. By embedding APIs, cryptographic metadata, and executable instructions, these documents transform traditional auditing processes into efficient, accurate, and scalable solutions, addressing the challenges of manual auditing and ensuring compliance across diverse industries. Attorney Docket No.: 226148.013101 / PCT

[0125] Smart electronic documents are designed to ensure that the same information is accessible and interpretable by both human users and automated systems. This dual accessibility is achieved through a combination of human-readable formats and machine- readable metadata embedded within the document. For example, a financial statement may display tables and figures for human review while simultaneously providing structured data in formats such as JSON or XML for machine analysis. This ensures consistency in the information presented, regardless of the entity accessing it.

[0126] Cryptographic assurance plays a pivotal role in maintaining the integrity of the information. Each smart electronic document is equipped with cryptographic signatures that verify its authenticity and ensure that the content has not been tampered with. These signatures are generated using secure algorithms and are tied to the document’s metadata, creating a digital fingerprint that is unique to the document. This fingerprint can be independently verified by both humans and machines, providing a robust mechanism for ensuring trustworthiness. By combining dual accessibility with cryptographic assurance, smart electronic documents eliminate discrepancies between human and machine interpretations. This alignment is critical in auditing scenarios, where both human auditors and automated systems must arrive at the same conclusions based on the same set of data. The cryptographic layer ensures that the document’s integrity is preserved throughout its lifecycle, enabling seamless and reliable auditing processes.

[0127] Traditional document management systems often suffer from fragmentation, where information is scattered across multiple platforms, formats, and interfaces. This fragmentation creates significant challenges for auditing, as there is no unified trail of Attorney Docket No.: 226148.013101 / PCTinteractions or modifications. For example, a contract may be stored in one system, its associated metadata in another, and its audit logs in yet another, making it difficult to piece together a comprehensive view of the document’s lifecycle.

[0128] The lack of a single audit trail exacerbates the problem, as auditors must rely on disparate sources of information that may not align or provide a complete picture. This fragmentation increases the risk of errors, omissions, and inconsistencies, undermining the reliability of the audit process. Additionally, the manual effort required to reconcile information from multiple sources is time-consuming and prone to mistakes, further complicating the auditing process.

[0129] Smart electronic documents address this issue by consolidating all relevant information—content, metadata, and audit logs—into a single, unified structure. This eliminates the need for fragmented interfaces and ensures that all interactions with the document are recorded in a centralized audit trail. By providing a comprehensive and accessible record of the document’s lifecycle, smart electronic documents enable efficient and accurate auditing, reducing the risks associated with fragmented systems.

[0130] The transition to smart electronic documents represents a significant shift in how information is managed, accessed, and audited. However, this transition does not need to occur overnight. Gradual adoption allows organizations to integrate smart electronic documents into their existing workflows without disrupting operations. For example, an organization may begin by using smart electronic documents for specific use cases, such as compliance auditing or contract management, before expanding their use across other areas. Attorney Docket No.: 226148.013101 / PCT

[0131] This phased approach enables organizations to realize immediate benefits while building toward the end-game of universal adoption. By starting with targeted applications, organizations can address pressing challenges, such as improving auditability or enhancing security, while gaining familiarity with the technology. Over time, as the advantages of smart electronic documents become evident, organizations can scale their adoption to encompass a broader range of use cases.

[0132] Gradual adoption also facilitates the development of supporting infrastructure, such as training programs, integration tools, and best practices. These resources help organizations maximize the value of smart electronic documents while minimizing the risks associated with change. Ultimately, this incremental approach paves the way for the end-game of universal adoption, where smart electronic documents become the standard for managing and auditing information.

[0133] A goal of smart electronic documents is to enable machine auditing, where automated systems can independently verify the integrity, authenticity, and compliance of documents without human intervention. In this end-game scenario, machines can access the document’s embedded metadata, cryptographic signatures, and audit logs to perform comprehensive analyses. For example, an automated auditing system may verify the accuracy of financial statements, check compliance with regulatory requirements, and identify anomalies in transaction records—all in real time.

[0134] Machine auditing offers several advantages over traditional methods. It is faster, more accurate, and less prone to human error, enabling organizations to conduct audits at scale and with greater efficiency. Additionally, machine auditing can provide continuous 48 Attorney Docket No.: 226148.013101 / PCTmonitoring, ensuring that documents remain compliant and trustworthy throughout their lifecycle. This proactive approach reduces the risk of non-compliance and enhances the overall reliability of the auditing process.

[0135] The end-game of machine auditing also opens up new possibilities for innovation. By leveraging advanced algorithms and artificial intelligence, organizations can gain deeper insights into their data, identify trends, and make informed decisions. This transformative capability positions smart electronic documents as a cornerstone of modern information management, driving progress and enabling organizations to achieve their strategic goals.

[0136] Smart electronic documents are equipped with real-time indicators of compliance, which provide immediate feedback on whether a document meets predefined regulatory or policy criteria. These indicators are displayed as visual cues, such as green checkmarks for compliance or red warnings for non-compliance, enabling users to quickly assess the document’s status. For example, a contract may display a green indicator if all required signatures are present and valid, or a red indicator if any signatures are missing or invalid. The real-time nature of these indicators ensures that compliance issues are identified and addressed promptly. This is particularly important in dynamic environments, where documents are frequently updated or modified. By providing instant feedback, real-time indicators help organizations maintain compliance and avoid costly penalties or delays. In addition to enhancing user experience, real-time indicators also support automated auditing processes. Machines can access the compliance status of a document via its embedded metadata, enabling them to perform audits more efficiently. This dual functionality—serving Attorney Docket No.: 226148.013101 / PCTboth human users and automated systems—makes real-time indicators a powerful tool for ensuring the integrity and reliability of smart electronic documents.

[0137] Continuous auditing is a key feature of smart electronic documents, enabling organizations to monitor and verify document integrity in real time. Unlike traditional auditing methods, which are periodic and reactive, continuous auditing provides ongoing oversight, ensuring that documents remain compliant and trustworthy throughout their lifecycle. For example, a smart electronic document may automatically log every interaction, modification, or access event, creating an unbroken audit trail that can be reviewed at any time. This continuous approach enhances transparency and accountability, as organizations can track the document’s history and identify any anomalies or unauthorized changes. It also reduces the risk of non-compliance, as issues can be detected and addressed before they escalate. For instance, if a document is accessed by an unauthorized user, the system can immediately flag the event and take corrective action, such as revoking access or notifying administrators. Continuous auditing also supports proactive decision-making, as organizations can leverage real- time insights to optimize their workflows and improve efficiency. By providing a comprehensive and up-to-date view of document activity, smart electronic documents enable organizations to stay ahead of potential risks and maintain the highest standards of integrity and compliance.

[0138] Smart electronic documents utilize instructions written in formal languages, such as executable code, to enable automated processing and verification. These instructions define the rules and operations that govern the document’s behavior, ensuring consistency and reliability. For example, a smart electronic document may include code that specifies how audit Attorney Docket No.: 226148.013101 / PCTrequests should be processed, what data should be delivered, and how compliance should be verified.

[0139] The use of formal languages ensures that the instructions are machine- readable and unambiguous, enabling automated systems to execute them with precision. This eliminates the need for manual intervention and reduces the risk of errors, as the instructions are designed to operate consistently across different platforms and environments. For instance, an auditing system can use the embedded code to verify the document’s cryptographic signatures, check its metadata, and assess its compliance status—all without human input. By embedding executable code within the document, smart electronic documents transform traditional workflows into dynamic, automated processes. This capability not only enhances efficiency but also enables advanced functionalities, such as real-time auditing, personalized user experiences, and seamless integration with external systems.

[0140] Smart electronic documents are designed to function not only as individual entities but also as part of larger collections. These collections enable organizations to manage and audit groups of related documents, such as contracts, invoices, or compliance reports, in a unified and efficient manner. For example, a collection of financial documents may include balance sheets, income statements, and transaction records, all linked together to provide a comprehensive view of an organization’s financial health.

[0141] The interconnected nature of these collections allows for advanced auditing capabilities, as relationships between documents can be analyzed to identify patterns, anomalies, or inconsistencies. For instance, an auditing system may cross-reference transaction records with invoices to verify their accuracy or check compliance reports against regulatory Attorney Docket No.: 226148.013101 / PCTrequirements to ensure adherence. This holistic approach enhances the reliability and depth of the auditing process.

[0142] Collections also support dynamic workflows, as documents within a collection can be organized, categorized, and accessed based on their content, metadata, or lifecycle stage. This flexibility enables organizations to tailor their document management strategies to their specific needs, whether it’s streamlining operations, improving compliance, or gaining insights into their data.

[0143] Smart electronic documents are designed to respond to audit requests in a manner that ensures both human auditors and automated systems arrive at the same conclusions. This dual-mode response is achieved through the integration of human-readable formats and machine-readable metadata, which provide consistent and comprehensive information to both entities. For example, a contract may display its terms and conditions in plain text for human review while providing structured data for machine analysis. The document’s response is governed by embedded executable instructions, which define how audit requests should be processed and what data should be delivered. These instructions ensure that the information provided is accurate, complete, and aligned with the document’s intended purpose. For instance, the document may deliver cryptographic signatures, metadata, and compliance indicators to both human and machine auditors, enabling them to verify its authenticity and integrity.

[0144] By enabling consistent responses to audit requests, smart electronic documents eliminate discrepancies between human and machine interpretations. This alignment Attorney Docket No.: 226148.013101 / PCTis critical for ensuring trust and reliability in auditing processes, as both entities can independently verify the document’s compliance and integrity based on the same set of data.

[0145] Conducting an audit with smart electronic documents involves a systematic process of verifying the document’s integrity, authenticity, and compliance. This process begins with an audit request, which is received and processed by the document’s embedded executable instructions. These instructions define the rules and operations for delivering the required data, ensuring that the audit is conducted efficiently and accurately.

[0146] The audit itself may involve multiple steps, such as verifying cryptographic signatures, checking metadata, and assessing compliance indicators. For example, an auditing system may use the document’s embedded code to confirm that its signatures match the owner’s public key, its metadata aligns with regulatory requirements, and its compliance indicators reflect its current status. These steps are performed automatically, reducing the need for manual intervention and enhancing the reliability of the audit.

[0147] Once the audit is complete, the results are recorded in the document’s audit trail, providing a transparent and traceable record of the process. This audit trail can be reviewed by both human auditors and automated systems, ensuring accountability and enabling further analysis. By streamlining the auditing process, smart electronic documents enable organizations to maintain the highest standards of integrity and compliance.

[0148] Smart electronic documents are equipped with unique and immutable markers that serve as permanent identifiers for the document and its associated information. These markers are generated using cryptographic techniques and are tied to the document’s metadata, creating a digital fingerprint that is unique to the document. For example, a contract may have a Attorney Docket No.: 226148.013101 / PCTmarker that identifies its creation date, owner, and version, ensuring that it can be distinguished from other documents.

[0149] The immutability of the marker ensures that it remains consistent throughout the document’s lifecycle, even as the document is accessed, modified, or shared. This permanence is critical for maintaining trust and reliability, as it guarantees that the marker always refers to the same document and its original content. For instance, an auditing system can use the marker to verify the document’s authenticity and confirm that its content has not been tampered with.

[0150] To enhance transparency and accountability, the system allows anyone to independently verify the marker’s validity. This verification process involves checking the marker against the document’s cryptographic signatures and metadata, ensuring that it aligns with the document’s intended purpose. By providing a robust mechanism for confirming the marker’s integrity, smart electronic documents enable organizations to maintain trust and reliability in their information management processes.

[0151] Smart electronic documents prioritize digital verification as the first step in ensuring their integrity and compliance. This verification process involves checking the document’s cryptographic signatures, metadata, and audit trail to confirm that it aligns with predefined criteria. For example, an auditing system may use the document’s embedded code to verify its authenticity, assess its compliance indicators, and ensure that its content has not been tampered with.

[0152] Once the digital verification is complete, the document provides a visual representation of the results, enabling human users to quickly assess its status. This visual 54 Attorney Docket No.: 226148.013101 / PCTrepresentation may take the form of compliance indicators, such as green checkmarks for verified documents or red warnings for non-compliant ones. These indicators are displayed prominently within the document’s user interface, ensuring that users can easily understand its status. By combining digital verification with visual representation, smart electronic documents bridge the gap between automated systems and human users. This dual approach ensures that both entities can independently verify the document’s integrity and compliance, enhancing trust and reliability in auditing processes.

[0153] The concept of converting documents into smart documents can ensure that the same information is accessible and interpretable by both humans and machines. This dual accessibility is achieved through a combination of human-readable formats and machine- readable metadata embedded within the document. For example, a financial statement may display tables and figures for human review while simultaneously providing structured data in formats such as JSON or XML for machine analysis, all supported by the same underlying information. This ensures consistency in the information presented, regardless of the entity accessing it.

[0154] In some examples, cryptographic assurance plays a role in maintaining the integrity of the information. For example, each smart document can be equipped with cryptographic signatures that verify its authenticity and ensure that the content has not been tampered with. These signatures are generated using secure algorithms and are tied to the document’s metadata, creating a digital fingerprint that is unique to the document. This fingerprint can be independently verified by both humans and machines, providing a robust mechanism for ensuring trustworthiness. By combining dual accessibility with cryptographic 55 Attorney Docket No.: 226148.013101 / PCTassurance, Factified documents eliminate discrepancies between human and machine interpretations. This alignment is critical in auditing scenarios, where both human auditors and automated systems must arrive at the same conclusions based on the same set of data. The cryptographic layer ensures that the document’s integrity is preserved throughout its lifecycle, enabling seamless and reliable auditing processes.

[0155] Traditional document management systems often suffer from fragmentation, where information is scattered across multiple platforms, formats, and interfaces. This fragmentation creates significant challenges for auditing, as there is no unified trail of interactions or modifications. For example, a contract may be stored in one system, its associated metadata in another, and its audit logs in yet another, making it difficult to piece together a comprehensive view of the document’s lifecycle. The lack of a single audit trail exacerbates the problem, as auditors must rely on disparate sources of information that may not align or provide a complete picture. This fragmentation increases the risk of errors, omissions, and inconsistencies, undermining the reliability of the audit process. Additionally, the manual effort required to reconcile information from multiple sources is time-consuming and prone to mistakes, further complicating the auditing process. Smart documents address this issue by consolidating all relevant information—content, metadata, and audit logs—into a single, unified structure. This eliminates the need for fragmented interfaces and ensures that all interactions with the document are recorded in a centralized audit trail. By providing a comprehensive and accessible record of the document’s lifecycle, Factified documents enable efficient and accurate auditing, reducing the risks associated with fragmented systems. Attorney Docket No.: 226148.013101 / PCT

[0156] The transition to smart digital documents represents a significant shift in how information is managed, accessed, and audited. However, this transition does not need to occur overnight. Gradual adoption allows organizations to integrate Factified documents into their existing workflows without disrupting operations. For example, an organization may begin by using smart digital documents for specific use cases, such as compliance auditing or contract management, before expanding their use across other areas. This phased approach enables organizations to realize immediate benefits while building toward the end-game of universal adoption. By starting with targeted applications, organizations can address pressing challenges, such as improving auditability or enhancing security, while gaining familiarity with the technology. Over time, as the advantages of smart digital documents become evident, organizations can scale their adoption to encompass a broader range of use cases. Gradual adoption also facilitates the development of supporting infrastructure, such as training programs, integration tools, and best practices. These resources help organizations maximize the value of Factified documents while minimizing the risks associated with change. Ultimately, this incremental approach paves the way for the end-game of universal adoption, where Factified documents become the standard for managing and auditing information.

[0157] In some examples, an ultimate goal is to enable machine auditing, where automated systems can independently verify the integrity, authenticity, and compliance of documents without human intervention in a trustworthy and consistent manner. In this end- game scenario, machines can access the document’s embedded metadata, cryptographic signatures, and audit logs to perform comprehensive analyses. For example, an automated auditing system may verify the accuracy of financial statements, check compliance with Attorney Docket No.: 226148.013101 / PCTregulatory requirements, and identify anomalies in transaction records—all in real time. Machine auditing offers several advantages over traditional methods. It is faster, more accurate, and less prone to human error, enabling organizations to conduct audits at scale and with greater efficiency. Additionally, machine auditing can provide continuous monitoring, ensuring that documents remain compliant and trustworthy throughout their lifecycle. This proactive approach reduces the risk of non-compliance and enhances the overall reliability of the auditing process. The end-game of machine auditing also opens up new possibilities for innovation. By leveraging advanced algorithms and artificial intelligence, organizations can gain deeper insights into their data, identify trends, and make informed decisions. This transformative capability positions smart digital documents as a cornerstone of modern information management, driving progress and enabling organizations to achieve their strategic goals.

[0158] In some examples, smart electronic documents can provide indicators of compliance. These indicators may provide immediate feedback on whether a document meets predefined regulatory or policy criteria. For example, a contract may display a green checkmark if all required signatures are present and valid, or a red warning if any signatures are missing or invalid. This real-time nature ensures that compliance issues are identified and addressed promptly, which is particularly important in dynamic environments where documents are frequently updated or modified. By providing instant feedback, these indicators help organizations maintain compliance and avoid costly penalties or delays. Moreover, these indicators are not limited to human users; they also support automated auditing processes. Machines can access the compliance status of a document via its embedded metadata, enabling them to perform audits more efficiently. This dual functionality—serving both human users and Attorney Docket No.: 226148.013101 / PCTautomated systems—makes real-time indicators a powerful tool for ensuring the integrity and reliability of electronic documents.

[0159] Smart electronic documents also unlock the possibility of continuous auditing. Unlike traditional approaches, which are reactive and occur at set intervals, continuous auditing provides ongoing oversight, ensuring that documents remain compliant and trustworthy throughout their lifecycle. For instance, every interaction, modification, or access event can be automatically logged, creating an unbroken audit trail that can be reviewed at any time. This continuous approach enhances transparency and accountability, as organizations can track a document’s history and identify any anomalies or unauthorized changes. It also reduces the risk of non-compliance, as issues can be detected and addressed before they escalate. For example, if a document is accessed by an unauthorized user, the system can immediately flag the event and take corrective action, such as revoking access or notifying administrators. Continuous auditing also supports proactive decision-making, as organizations can leverage real-time insights to optimize workflows and improve efficiency. By providing a comprehensive and up-to-date view of document activity, continuous auditing enables organizations to stay ahead of potential risks and maintain the highest standards of integrity and compliance.

[0160] The use of instructions written in formal languages, such as executable code, can be part of modern document management systems. These instructions can define the rules and operations that govern a document’s behavior, ensuring consistency and reliability. For example, executable code may specify how audit requests should be processed, what data should be delivered, and how compliance should be verified. The use of formal languages ensures that the instructions are machine-readable and unambiguous, enabling automated systems to 59 Attorney Docket No.: 226148.013101 / PCTexecute them with precision. This eliminates the need for manual intervention and reduces the risk of errors, as the instructions are designed to operate consistently across different platforms and environments. For instance, an auditing system can use embedded code to verify a document’s cryptographic signatures, check its metadata, and assess its compliance status—all without human input. By embedding executable code within documents, this approach transforms traditional workflows into dynamic, automated processes. This capability not only enhances efficiency but also enables advanced functionalities, such as real-time auditing, personalized user experiences, and seamless integration with external systems.

[0161] The concept of managing collections of documents introduces a new paradigm for document organization and auditing. In traditional systems, documents are often managed in isolation, with limited ability to analyze relationships or patterns across multiple files. However, the ability to manage and audit collections of documents as unified entities unlocks new possibilities for efficiency and insight. For example, a collection of financial documents may include balance sheets, income statements, and transaction records, all linked together to provide a comprehensive view of an organization’s financial health. Similarly, a collection of legal documents may include contracts, amendments, and correspondence, enabling auditors to verify compliance across related files.

[0162] The interconnected nature of these collections allows for advanced auditing capabilities, as relationships between documents can be analyzed to identify patterns, anomalies, or inconsistencies. For instance, an auditing system may cross-reference transaction records with invoices to verify their accuracy or check compliance reports against regulatory requirements to ensure adherence. This holistic approach enhances the reliability and depth of Attorney Docket No.: 226148.013101 / PCTthe auditing process. Additionally, collections support dynamic workflows, as documents within a collection can be organized, categorized, and accessed based on their content, metadata, or lifecycle stage. This flexibility enables organizations to tailor their document management strategies to their specific needs, whether it’s streamlining operations, improving compliance, or gaining insights into their data. By consolidating documents into collections and leveraging their interconnectedness, organizations can achieve a higher level of efficiency, accuracy, and reliability in their auditing and management processes.

[0163] As noted above, embodiments of this disclosure may enable a groundbreaking approach to document management and auditing, ensuring that both human users and automated systems arrive at the same conclusions when interacting with a document. This is achieved through a dual-mode response mechanism embedded within the document itself. The document is designed to provide consistent and comprehensive information in formats that are both human-readable and machine-readable. For example, a contract may display its terms and conditions in plain text for human review while simultaneously providing structured data for machine analysis. This alignment eliminates discrepancies between human and machine interpretations, fostering trust and reliability in auditing processes. The embedded executable instructions within the document govern how audit requests are processed and what data is delivered, ensuring that the information provided is accurate, complete, and aligned with the document’s intended purpose. By enabling consistent responses to audit requests, the disclosure ensures that both human auditors and automated systems can independently verify the document’s compliance and integrity based on the same set of data. Attorney Docket No.: 226148.013101 / PCT

[0164] Conducting an audit may involves a systematic process of verifying the document’s integrity, authenticity, and compliance. This process begins with an audit request, which is received and processed by the document’s embedded executable instructions. These instructions define the rules and operations for delivering the required data, ensuring that the audit is conducted efficiently and accurately. The audit itself may involve multiple steps, such as verifying cryptographic signatures, checking metadata, and assessing compliance indicators. For example, an auditing system may use the document’s embedded code to confirm that its signatures match the owner’s public key, its metadata aligns with regulatory requirements, and its compliance indicators reflect its current status. These steps are performed automatically, reducing the need for manual intervention and enhancing the reliability of the audit. Once the audit is complete, the results are recorded in the document’s audit trail, providing a transparent and traceable record of the process. This audit trail can be reviewed by both human auditors and automated systems, ensuring accountability and enabling further analysis. By streamlining the auditing process, the disclosure enables organizations to maintain the highest standards of integrity and compliance.

[0165] A smart digital document has a unique and immutable marker that serves as a permanent identifier for the document and its associated information. This marker is generated using cryptographic techniques and is tied to the document’s metadata, creating a digital fingerprint that is unique to the document. For example, a contract may have a marker that identifies its creation date, owner, and version, ensuring that it can be distinguished from other documents. The immutability of the marker ensures that it remains consistent throughout the document’s lifecycle, even as the document is accessed, modified, or shared. This permanence is 62 Attorney Docket No.: 226148.013101 / PCTcritical for maintaining trust and reliability, as it guarantees that the marker always refers to the same document and its original content. The system allows anyone to independently verify the marker’s validity, providing a robust mechanism for confirming the marker’s integrity. This verification process involves checking the marker against the document’s cryptographic signatures and metadata, ensuring that it aligns with the document’s intended purpose. By enabling universal verification of the marker, some examples ensure that the document’s authenticity and integrity can be trusted by all parties.

[0166] Embodiments of this disclosure prioritize digital verification as the first step in ensuring the integrity and compliance of a document. This verification process involves checking the document’s cryptographic signatures, metadata, and audit trail to confirm that it aligns with predefined criteria. For example, an auditing system may use the document’s embedded code to verify its authenticity, assess its compliance indicators, and ensure that its content has not been tampered with. Once the digital verification is complete, the document provides a visual representation of the results, enabling human users to quickly assess its status. This visual representation may take the form of compliance indicators, such as green checkmarks for verified documents or red warnings for non-compliant ones. These indicators are displayed prominently within the document’s user interface, ensuring that users can easily understand its status. By combining digital verification with visual representation, the disclosure bridges the gap between automated systems and human users. This dual approach ensures that both entities can independently verify the document’s integrity and compliance, enhancing trust and reliability in auditing processes. Attorney Docket No.: 226148.013101 / PCT

[0167] In some examples, the disclosed systems and methods provide a framework for automating compliance and auditing processes by leveraging interconnected, machine- readable documents. Traditional systems often rely on human execution of bureaucratic algorithms against static files, such as PDFs, which lack the ability to maintain immutability, interconnectedness, and real-time responsiveness. Embodiments of this disclosure can address one or more of these limitations by introducing a system of record comprising immutable, interconnected documents that can be algorithmically processed to determine compliance with regulatory requirements. For example, a mortgage application can be factified into a machine- readable format, enabling automated verification of its components, such as salary slips, utility bills, and other supporting documents, against predefined compliance rules.

[0168] In some examples, the system further enables real-time compliance assessment, allowing users to instantly determine how far a collection of documents is from meeting regulatory requirements. This capability can eliminate the inefficiencies of manual audits, which often require extensive time and resources to review and verify compliance. For instance, if a new HR ordinance is introduced, the system can immediately re-execute the compliance check and provide insights into the impact of the new regulation on the existing document set. Additionally, the system supports counterfactual analysis, enabling users to simulate hypothetical regulatory changes and assess their compliance implications.

[0169] In some examples, machine-readable instruction sets can define compliance criteria and assertions. These instructions can be executed against a collection of smart documents to either confirm compliance or produce a detailed list of deficiencies. For example, Attorney Docket No.: 226148.013101 / PCTa bank undergoing an FDIC audit can use the system to verify its compliance with financial regulations by executing predefined audit algorithms against its interconnected document set.

[0170] Embodiments of this disclosure may address the need for immutable, interconnected documents as the foundation for automated bureaucracy and auditing. Without a system of record that ensures the immutability and interconnectedness of digital assets, automated compliance processes become impractical. By turning documents into immutable entities and establishing their relationships, the system enables seamless execution of audit algorithms and communication of results. For instance, the system can execute multiple audit algorithms, such as those defined by different regulatory bodies, and provide a comprehensive report on compliance outcomes.

[0171] In summary, the disclosed systems and methods may transform traditional bureaucratic processes by replacing manual execution of algorithms with automated, machine- readable workflows. By leveraging immutable, interconnected documents and machine-readable instruction sets, the embodiments of this disclosure provide a robust solution for real-time compliance assessment, automated auditing, and counterfactual analysis, addressing various inefficiencies and limitations of prior systems.

[0172] Some examples involve executing an audit instruction set against a plurality of interconnected smart documents, which can include applying a predefined set of machine- readable rules or algorithms to analyze, verify, and assess the compliance, integrity, or accuracy of the interconnected documents. The audit instruction set can be a structured set of instructions that defines the criteria for evaluating the documents, such as regulatory requirements, organizational policies, or industry standards. The interconnected nature of the smart documents Attorney Docket No.: 226148.013101 / PCTcan ensure that relationships between documents—such as dependencies, shared metadata, and timelines—are preserved and accessible, enabling the audit process to account for the full context of the document collection. Once the audit instruction set is executed, the system outputs a result that provides actionable insights, such as identifying compliance gaps, highlighting anomalies, or confirming adherence to specified criteria.

[0173] For example, in a financial auditing scenario, the audit instruction set may include rules for verifying that all transaction records in a collection of interconnected smart documents comply with Sarbanes-Oxley requirements. The system may analyze metadata such as timestamps, user signatures, and transaction amounts across the documents to ensure that all records are complete, accurate, and properly authorized. The output of the audit may include a report detailing any discrepancies, such as missing signatures or inconsistent transaction amounts, along with recommendations for corrective actions.

[0174] In a healthcare context, the audit instruction set may be designed to verify compliance with HIPAA regulations across a collection of interconnected patient records, treatment plans, and billing documents. The system may check that all documents are properly encrypted, access permissions are enforced, and sensitive patient information is not exposed to unauthorized users. The output of the audit may include a summary of compliance status, highlighting any documents that fail to meet encryption standards or have unauthorized access attempts recorded in their audit trails.

[0175] In a legal setting, the audit instruction set may evaluate a collection of interconnected contracts to ensure that all agreements comply with jurisdiction-specific laws and organizational policies. For instance, the system may check that all contracts include required 66 Attorney Docket No.: 226148.013101 / PCTclauses, such as non-disclosure agreements or indemnity provisions, and verify that amendments are properly documented and signed. The output may include a list of contracts that require updates or renegotiation, along with a timeline of interactions for each document.

[0176] The interconnected nature of smart documents may play a role in the audit process. Unlike traditional static files, smart documents maintain relationships between documents, such as linking a salary slip to a mortgage application or associating a timeline of signatures with a compliance report. This interconnectedness enables the audit instruction set to analyze the document collection holistically, ensuring that dependencies and contextual information are accounted for. For example, in a supply chain audit, the system may verify that purchase orders, invoices, and shipping documents are consistent with one another, ensuring that quantities, prices, and delivery dates align across the document set.

[0177] The output of executing the audit instruction set may be presented in a machine-readable format, such as JSON or XML, or in a human-readable format, such as a detailed report or dashboard. The output may include compliance scores, lists of deficiencies, or visualizations of document relationships and timelines. For instance, a regulatory compliance audit may produce a dashboard showing the percentage of documents that meet specific criteria, along with a breakdown of non-compliant documents and the reasons for non-compliance. This output enables organizations to take immediate corrective actions, re-execute the audit with updated criteria, or share the results with external auditors or regulatory bodies.

[0178] The output of an audit may take the form of a compliance differential, which represents the gap between the current state of a document or collection of documents and the predefined criteria required for compliance with a specific regulation, policy, or standard. A Attorney Docket No.: 226148.013101 / PCTcompliance differential provides actionable insights by identifying the specific areas where the audited documents fail to meet the required conditions, enabling organizations to understand how far they are from achieving full compliance and what steps are necessary to bridge the gap.

[0179] For example, in the context of a mortgage application audit, the compliance differential may highlight missing or incomplete components, such as the absence of required salary slips, utility bills, or identification forms. The audit output could specify that the application is missing two salary slips from the last three months and a utility bill that matches the applicant’s current address. This detailed breakdown allows the organization to focus on rectifying these deficiencies to bring the application into compliance.

[0180] In a financial auditing scenario, the compliance differential may identify discrepancies in transaction records, such as missing signatures, incorrect timestamps, or unauthorized modifications. For instance, the audit output may indicate that three transactions lack the required managerial approval, while two others have inconsistent amounts between the invoice and payment records. By providing this granular information, the compliance differential enables the organization to address specific issues and ensure adherence to financial regulations such as Sarbanes-Oxley.

[0181] In regulatory compliance for healthcare, the compliance differential may highlight areas where patient records or treatment plans fail to meet HIPAA requirements. For example, the audit output may reveal that certain patient records are not encrypted, access permissions are improperly configured, or required documentation, such as lab results, is missing. This allows healthcare providers to take targeted actions to secure sensitive information and meet regulatory standards. Attorney Docket No.: 226148.013101 / PCT

[0182] The compliance differential can also be used to assess the impact of regulatory changes or hypothetical scenarios. For instance, if a new HR ordinance is introduced, the audit system can re-execute the compliance check and output a differential that shows how the organization’s current document set deviates from the new requirements. Similarly, the system can simulate counterfactual scenarios, such as the potential impact of a proposed law, and output a compliance differential that predicts the adjustments needed to meet the hypothetical criteria.

[0183] By presenting the compliance differential in a structured format, such as a report or dashboard, an audit system can enable organizations to visualize the specific areas of non-compliance and prioritize corrective actions. For example, a dashboard may display the percentage of documents that meet compliance criteria, along with a list of deficiencies categorized by severity or type. This allows decision-makers to allocate resources effectively and track progress toward achieving full compliance.

[0184] The output of an audit as a compliance differential can provide a detailed and actionable representation of the gap between the current state of documents and the required compliance criteria. By identifying specific deficiencies and enabling targeted corrective actions, the compliance differential serves as a powerful tool for organizations to achieve and maintain regulatory adherence across industries such as finance, healthcare, and legal services.

[0185] In summary, executing an audit instruction set against a plurality of interconnected smart documents may involve applying structured rules to analyze and verify the document collection, leveraging the interconnectedness and embedded intelligence of the documents. The output provides actionable insights, enabling organizations to address Attorney Docket No.: 226148.013101 / PCTcompliance gaps, improve operational efficiency, and ensure adherence to regulatory and organizational standards across diverse industries and applications.

[0186] Bureaucracy, at its core, is an algorithm—a structured set of rules and processes designed to evaluate, verify, and act upon information to achieve compliance, enforce policies, or make decisions. Traditionally, this algorithm has been executed by human beings who manually apply these rules to static documents, such as PDFs or paper records, often resulting in inefficiencies, errors, and delays. However, with the advent of smart electronic documents, bureaucracy can be transformed into a fully automated process executed by machines that provide capabilities far beyond human capacity. Smart electronic documents are uniquely suited for this transformation because they feature immutable content, an immutable audit trail, and an immutable global identifier, all of which are machine-readable and interconnected. These attributes ensure that the information required to execute bureaucratic algorithms is accurate, traceable, and accessible in a structured format, enabling machines to perform tasks that previously required human intervention.

[0187] For example, consider a mortgage application process. Traditionally, a human reviewer would need to manually verify whether the applicant has submitted all required documents, such as salary slips, utility bills, and identification forms, and whether these documents meet predefined criteria, such as being signed, dated, and issued by authorized entities. With smart electronic documents, this process can be automated. The machine-readable design of the documents allows a machine to query the interconnected document set, verify the presence and validity of each required document, and check compliance with the rules defined in the algorithm. For instance, the machine can confirm that the salary slips are from the last Attorney Docket No.: 226148.013101 / PCTthree months, the utility bill matches the applicant’s address, and all documents are signed and timestamped. If any criteria are not met, the machine can output a detailed report highlighting the deficiencies, enabling immediate corrective action.

[0188] Similarly, in regulatory compliance scenarios, such as auditing a financial institution for adherence to Sarbanes-Oxley requirements, bureaucracy can be executed by machines against smart electronic documents. The machine can analyze transaction records, verify signatures, and ensure that all required approvals are present within the interconnected document set. The immutable audit trail of smart electronic documents ensures that every interaction, modification, and approval is recorded and accessible, allowing the machine to trace the lifecycle of each document and confirm compliance with regulatory standards. This eliminates the need for human auditors to manually sift through piles of static files, significantly reducing the time and resources required for compliance verification.

[0189] The interconnectedness of smart electronic documents further enhances the execution of bureaucratic algorithms. For example, in a healthcare setting, a machine can execute an algorithm to verify whether a patient’s treatment plan complies with insurance requirements. The machine can query the interconnected document set to confirm that the treatment plan is signed by the attending physician, matches the patient’s diagnosis, and includes all required supporting documents, such as lab results and imaging reports. The machine can also check whether the timeline of interactions aligns with policy requirements, such as ensuring that pre-authorization was obtained before treatment began. This level of automation ensures accuracy, traceability, and compliance, reducing the burden on healthcare administrators. The ability to execute bureaucracy algorithmically against smart electronic documents is 71 Attorney Docket No.: 226148.013101 / PCTtransformative because it eliminates the inefficiencies and limitations of manual processes. Machines can process large volumes of interconnected documents in real time, providing immediate insights and enabling dynamic decision-making. For instance, a municipality processing tax discount applications can instantly verify whether applicants meet eligibility criteria, such as being students under a certain age, residing in a specific location, and submitting the required forms. The machine can output a list of approved applications and flag those that require additional information, streamlining the process and reducing delays.

[0190] In summary, bureaucracy is an algorithm that can be executed by machines against smart electronic documents, leveraging their immutable structure, machine-readable design, and interconnectedness. This transformation enables automated verification, compliance, and decision-making across industries, including finance, healthcare, legal, and government. By replacing manual processes with machine-executed algorithms, smart electronic documents revolutionize bureaucracy, making it faster, more accurate, and more efficient.

[0191] Embodiments of this disclosure leverage the immutability of the content of smart documents, the immutability of their unique identifiers, and the trustworthiness of their metadata to enable unprecedented auditing capabilities across various industries. In financial contexts, the immutability of transaction records and balance sheets ensures that once data is finalized, it cannot be altered or tampered with. Each document is assigned a unique identifier, which serves as a permanent reference point for auditors to verify its authenticity and provenance. Trustworthy metadata, including timestamps, user identities, and modification histories, provides a comprehensive audit trail, allowing auditors to trace every interaction with the document and detect anomalies, such as unauthorized changes or duplicate entries. This Attorney Docket No.: 226148.013101 / PCTeliminates the reliance on fragmented systems and manual reconciliation, streamlining financial audits and ensuring compliance with regulatory standards.

[0192] In healthcare, the immutability of patient records ensures that critical medical information, such as diagnoses, treatment plans, and lab results, remains unaltered throughout its lifecycle. Each record is tied to a unique identifier, enabling auditors to verify its authenticity and trace its history with confidence. Metadata tracks every interaction with the record, including updates, annotations, and access attempts, providing a reliable audit trail that ensures compliance with standards like HIPAA. This capability addresses longstanding challenges in healthcare auditing, such as verifying the accuracy of medical records and ensuring that sensitive data remains secure.

[0193] In legal contexts, the immutability of contracts and agreements ensures that once a document is finalized, its content cannot be altered, preserving the integrity of legal commitments. Each contract is assigned a unique identifier, allowing auditors to verify its authenticity and trace its lifecycle, including signatures, amendments, and approvals. Trustworthy metadata provides a detailed record of all modifications, ensuring that changes are authorized and compliant with legal standards. This eliminates the need for manual verification of email headers, server logs, or other fragmented sources, offering a unified and reliable audit trail for legal documents.

[0194] In supply chain operations, the immutability of shipment records and vendor agreements ensures that critical data remains consistent and trustworthy throughout its lifecycle. Each document is tied to a unique identifier, enabling auditors to verify its authenticity and trace its history, including timestamps, delivery confirmations, and inventory movements. 73 Attorney Docket No.: 226148.013101 / PCTMetadata provides a detailed audit trail, allowing auditors to ensure compliance with contractual and regulatory requirements. This capability addresses longstanding challenges in supply chain auditing, such as reconciling fragmented records and verifying the accuracy of delivery data. In cybersecurity, the immutability of access logs and security reports ensures that once data is recorded, it cannot be altered or tampered with. Each log is assigned a unique identifier, allowing auditors to verify its authenticity and trace its history with confidence. Metadata tracks every access attempt, modification, and security incident, providing a reliable audit trail that ensures compliance with established protocols. This capability eliminates the reliance on fragmented systems and manual reconciliation, offering a unified and trustworthy approach to cybersecurity auditing.

[0195] In educational settings, the immutability of student records and accreditation documents ensures that critical information, such as course completion records and certifications, remains unaltered throughout its lifecycle. Each record is tied to a unique identifier, enabling auditors to verify its authenticity and trace its history, including enrollment dates and institutional approvals. Metadata provides a detailed audit trail, ensuring compliance with accreditation standards and addressing challenges in verifying the accuracy of educational records.

[0196] In environmental applications, the immutability of sustainability data, such as carbon emissions and energy consumption records, ensures that once data is recorded, it cannot be altered or tampered with. Each record is assigned a unique identifier, allowing auditors to verify its authenticity and trace its lifecycle with confidence. Metadata tracks every update, interaction, and compliance check, providing a reliable audit trail that ensures adherence to Attorney Docket No.: 226148.013101 / PCTstandards like ISO 14001. This capability addresses longstanding challenges in environmental auditing, such as verifying the accuracy of sustainability data and ensuring compliance with regulatory requirements.

[0197] In intellectual property management, the immutability of patents, trademarks, and copyrights ensures that critical information, such as creation dates, transfer records, and licensing agreements, remains consistent and trustworthy throughout its lifecycle. Each document is tied to a unique identifier, enabling auditors to verify its authenticity and trace its history with confidence. Metadata provides a detailed audit trail, allowing auditors to ensure compliance with ownership and usage rights and address challenges in verifying the accuracy of intellectual property records.

[0198] In real estate, the immutability of property deeds and transaction records ensures that once data is finalized, it cannot be altered or tampered with. Each document is assigned a unique identifier, allowing auditors to verify its authenticity and trace its lifecycle, including ownership transfers, legal approvals, and compliance checks. Metadata provides a reliable audit trail, ensuring adherence to property laws and addressing challenges in verifying the accuracy of real estate records.

[0199] Across all applications, the immutability of smart document content, the permanence of their unique identifiers, and the trustworthiness of their metadata enable a unified and reliable approach to auditing. These capabilities may eliminate the reliance on fragmented systems, manual reconciliation, and outdated methods, offering a transformative solution to one or more longstanding challenges in verifying compliance, accuracy, and integrity. Attorney Docket No.: 226148.013101 / PCT

[0200] A smart document is designed to ensure the integrity, authenticity, and traceability of its content and associated audit trail through the use of immutability, a global marker, and embedded intelligence. This structure addresses longstanding challenges in document management, auditing, and compliance.

[0201] Immutable Content

[0202] The content of a smart document is immutable, meaning it cannot be altered once finalized. This immutability is achieved through cryptographic techniques, such as hashing and digital signatures. When the document is created, its content is hashed to produce a unique cryptographic fingerprint. This hash is stored alongside the document and serves as a reference for verifying the integrity of the content. Any attempt to modify the content would result in a mismatch between the original hash and the hash of the altered content, immediately signaling tampering. Additionally, the document may be digitally signed using the creator’s private key, ensuring that the content is not only unchangeable but also verifiable as originating from the authorized source.

[0203] Immutable Audit Trail

[0204] The audit trail of a smart document is equally immutable. The audit trail records every interaction with the document, including access, modifications, approvals, signatures, and other events. Each event in the audit trail is cryptographically secured and timestamped, ensuring that the sequence of events is preserved and cannot be altered retroactively. For example, when a user accesses the document, the system generates a cryptographic record of the access event, including the user's identity, the time of access, and the nature of the interaction. These records are stored in a manner that prevents deletion or Attorney Docket No.: 226148.013101 / PCTmodification, ensuring the audit trail remains a reliable source of truth. The audit trail is also linked to the document's content, creating a unified record of both the document and its history.

[0205] Immutable Connection to a Permanent Global Marker

[0206] Both the immutable content and the immutable audit trail are connected to an immutable global marker, which serves as the unique and unchanging identifier for the document. The global marker can be implemented as a universally unique identifier (UUID) or a cryptographic address, such as a hash-based identifier. This marker is permanent and does not change throughout the lifecycle of the document, regardless of how or where the document is accessed. The global marker ensures that the document can always be referenced and retrieved in its original form, providing a single source of truth.

[0207] The connection between the content, audit trail, and global marker established through cryptographic linking. The global marker is embedded in the document’s metadata, and the metadata itself is cryptographically secured to prevent tampering. The audit trail is also linked to the global marker, ensuring that every recorded event is associated with the correct document. This triad—immutable content, immutable audit trail, and an immutable associated between the global marker and the content and audit trail—creates a robust framework that will revolutionize document management and control.

[0208] The immutability of the content, the audit trail, the global marker and of the link between the marker and the data (i.e., the content, the audit trail, and any other metadata) and the global marker, can have one or more of a variety of characteristics:

[0209] Unchangeable: Immutable refers to something that cannot be altered, modified, or edited once it has been created or finalized. Attorney Docket No.: 226148.013101 / PCT

[0210] Permanent: Immutable signifies a state of permanence, where the object or data remains fixed and consistent over time.

[0211] Irreversible: Immutable describes a condition where changes are impossible, and any attempt to alter the object or data is invalid or rejected.

[0212] Fixed: Immutable means that the structure, content, or state of an object is locked and cannot be adjusted or updated.

[0213] Tamper-Proof: Immutable implies that the object or data is resistant to tampering, ensuring its integrity and authenticity.

[0214] Finalized: Immutable refers to an object or data that has reached its final form and cannot be reverted or reshaped.

[0215] Unmodifiable: Immutable describes a characteristic where the object or data is impervious to modification, whether intentional or accidental.

[0216] Consistent: Immutable ensures that the object or data remains consistent and reliable, unaffected by external influences or changes.

[0217] Secure: Immutable denotes a state of security where the object or data is safeguarded against unauthorized alterations or corruption.

[0218] Indelible: Immutable refers to something that is permanent and cannot be erased, overwritten, or replaced.

[0219] Benefits of the Immutable Structure

[0220] Integrity: The immutability of the content ensures that the document remains unchanged and trustworthy throughout its lifecycle. Attorney Docket No.: 226148.013101 / PCT

[0221] Traceability: The immutable audit trail provides a complete and verifiable history of all interactions with the document.

[0222] Authenticity: The permanent global marker guarantees that the document can always be uniquely identified and retrieved, eliminating ambiguity.

[0223] Compliance: This structure simplifies regulatory compliance by providing a reliable and tamper-proof record of the document and its history.

[0224] Interoperability: The global marker enables seamless integration with external systems, ensuring that the document can be referenced and verified across different platforms.

[0225] In summary, a smart document achieves immutability of its content and audit trail while ensuring both are immutably connected to a permanent global marker. This design provides a transformative solution for document management, offering unparalleled integrity, authenticity, and traceability.

[0226] While in some examples of smart documents the content, the audit trail, and the link to the global marker are all immutable, in other examples one of or two of these three items may be immutable. In some examples, the entirety of the content and the audit trail are immutable, and in others only a portion of the content and / or the audit trail are immutable. Furthermore, a smart document may have content and an audit trail that are immutable while having other metadata that is changeable (e.g., comments, access rights, etc.)

[0227] In addition to the foundational features of immutability, smart documents possess embedded intelligence that enables them to actively interact with their environment, respond to requests, and perform actions autonomously. This intelligence transforms the document from a static repository of information into a dynamic, interactive entity capable of Attorney Docket No.: 226148.013101 / PCTunderstanding and adapting to its context. Embedded intelligence in smart documents is achieved through the integration of executable code, metadata, and machine-readable content, all of which work together to create a responsive and self-aware system.

[0228] Features of Embedded Intelligence

[0229] Self-Determination and Responsiveness: Smart documents are equipped with the ability to process requests and respond dynamically. For example, when a user or system queries a document, the embedded intelligence allows the document to access its metadata, audit trail, and content to determine the appropriate response. This responsiveness is not limited to simple data retrieval; the document can also perform complex operations, such as verifying its authenticity, providing access logs, or extracting specific information from its content.

[0230] Contextual Awareness: Smart documents can understand and adapt to their context. This includes recognizing the identity of the user accessing the document, the device being used, the location of the access, and the stage of the document's lifecycle. For instance, a contract document may display different user interfaces depending on whether it is being accessed by the creator, a signatory, or a reviewer. Similarly, the document can adapt its behavior based on whether it is being accessed on a mobile device, desktop, or tablet.

[0231] Negotiation of Communication Protocols: Smart documents are capable of negotiating the manner in which they communicate with external systems. They can respond to requests using various protocols, such as RESTful APIs, gRPC, or even machine-specific languages like MCP (Machine Communication Protocol). This flexibility ensures that the document can seamlessly integrate with diverse systems and applications, making it highly interoperable. Attorney Docket No.: 226148.013101 / PCT

[0232] Dynamic User Experience: The embedded intelligence enables smart documents to create personalized user experiences. For example, the document can present different panels, workflows, or visualizations depending on the user's role, the document's lifecycle stage, or the specific task being performed. This dynamic adaptability enhances usability and ensures that the document serves the needs of each stakeholder effectively.

[0233] Machine Learning and Predictive Capabilities: Smart documents can leverage machine learning algorithms to analyze their audit trail, content, and metadata to predict user needs or suggest actions. For instance, a smart document could identify patterns in user interactions and recommend next steps, such as suggesting additional documents that may be relevant to the current task or flagging anomalies in the audit trail for review.

[0234] How Intelligence is Embedded

[0235] The intelligence of smart documents is embedded through the integration of one or more components:

[0236] Executable Code: At the core of a smart document's intelligence is its embedded executable code. This code acts as the "brain" of the document, enabling it to process requests, perform actions, and interact with external systems. The code is designed to be lightweight and modular, allowing it to execute specific tasks efficiently without compromising the document's performance.

[0237] Metadata: Metadata provides the document with contextual information about itself, such as its creation date, owner, version history, and access permissions. This metadata is stored in a machine-readable format and is cryptographically secured to ensure its Attorney Docket No.: 226148.013101 / PCTintegrity. The document's intelligence uses this metadata to make decisions and respond to queries.

[0238] Machine-Readable Content: Unlike traditional documents, which are primarily human-readable, smart documents store their content in a machine-readable format. This allows the embedded intelligence to analyze the content, extract specific information, and perform operations based on the content's structure and meaning.

[0239] APIs for Interaction: Smart documents expose APIs (Application Programming Interfaces) that allow external systems to interact with them. These APIs enable the document to receive requests, process them, and return responses in a structured format, such as JSON or XML. The APIs also facilitate integration with other applications and systems, making the document highly interoperable.

[0240] Cryptographic Infrastructure: The intelligence of smart documents is underpinned by cryptographic infrastructure, which ensures the security and authenticity of the document's interactions. For example, digital signatures and hash-based identifiers are used to verify the integrity of the document and its audit trail, while encryption protects sensitive data.

[0241] Machine Learning Models: Machine learning models can be embedded within the document or accessed through external systems to enhance its intelligence. These models enable the document to analyze patterns, predict outcomes, and adapt its behavior based on historical data and real-time inputs.

[0242] Examples of Embedded Intelligence in Action Attorney Docket No.: 226148.013101 / PCT

[0243] Audit Trail Analysis: A smart document can analyze its audit trail to identify unusual patterns, such as repeated failed access attempts, and alert the owner to potential security risks.

[0244] Dynamic Rendering: When accessed on a mobile device, a smart document can automatically adjust its layout to optimize readability and usability, while providing additional features like touch-based navigation.

[0245] Workflow Management: A smart document associated with a workflow can track its progress and notify stakeholders of pending actions, such as signatures or approvals.

[0246] Content Extraction: A smart document can respond to a query by extracting specific information from its content, such as the total amount in an invoice or the number of items listed in a receipt.

[0247] Protocol Negotiation: A smart document can negotiate the format of its responses based on the preferences of the requesting system, such as providing data in JSON for web applications or XML for enterprise systems.

[0248] In summary, the embedded intelligence of smart documents is achieved through the integration of executable code, metadata, machine-readable content, APIs, cryptographic infrastructure, and machine learning models. This intelligence enables the document to interact dynamically with its environment, adapt to its context, and provide personalized experiences, making it a transformative innovation in document management.

[0249] The combination of immutability and embedded intelligence in smart documents creates a transformative paradigm for document management, offering unparalleled integrity, authenticity, traceability, and adaptability. Together, these features address 83 Attorney Docket No.: 226148.013101 / PCTlongstanding challenges in document security, compliance, and usability, while enabling dynamic interactions and personalized experiences.

[0250] The Synergy of Immutability and Embedded Intelligence

[0251] The combination of immutability and embedded intelligence creates a powerful synergy that revolutionizes document management. Immutability provides the foundation of trust, ensuring that the document’s content and history are secure, authentic, and tamper-proof. Embedded intelligence builds on this foundation, enabling the document to interact dynamically with its environment, adapt to its context, and provide personalized experiences.

[0252] Enhanced Integrity and Authenticity: Immutability ensures that the document’s content and audit trail remain unchanged, while embedded intelligence enables the document to verify its authenticity and respond to queries about its provenance. Together, these features create a system where trust is inherent and verifiable.

[0253] Dynamic Traceability: The immutable audit trail provides a complete history of interactions with the document, while embedded intelligence allows the document to analyze and interpret this history. This dynamic traceability enables stakeholders to understand not only what happened to the document but also why and how.

[0254] Personalized Compliance: Immutability simplifies regulatory compliance by providing a reliable and tamper-proof record of the document and its history. Embedded intelligence enhances this by adapting the document’s behavior to meet specific compliance requirements, such as displaying relevant panels or workflows based on the user’s role or jurisdiction. 84 Attorney Docket No.: 226148.013101 / PCT

[0255] Interoperability and Adaptability: The permanent global marker ensures seamless integration with external systems, while embedded intelligence enables the document to negotiate communication protocols and adapt its responses to different platforms. This combination ensures that the document can function effectively in diverse environments.

[0256] Predictive Security and Usability: Immutability protects the document from tampering, while embedded intelligence leverages machine learning to predict potential security risks and suggest preventive actions. This proactive approach enhances both security and usability, ensuring that the document serves the needs of its stakeholders effectively.

[0257] Real-World Applications

[0258] The synergy of immutability and embedded intelligence has transformative implications across industries:

[0259] Legal and Compliance: Smart contracts can ensure the integrity of agreements while dynamically adapting to regulatory changes.

[0260] Finance: Immutable audit trails and intelligent analysis can enhance fraud detection and streamline reporting.

[0261] Healthcare: Patient records can remain secure and authentic while providing personalized access to authorized stakeholders.

[0262] Supply Chain: Immutable tracking and intelligent analysis can optimize logistics and ensure product authenticity.

[0263] In summary, the combination of immutability and embedded intelligence in smart documents creates a revolutionary framework for document management. By ensuring integrity, authenticity, and traceability while enabling dynamic interactions and personalized 85 Attorney Docket No.: 226148.013101 / PCTexperiences, this synergy addresses longstanding challenges and unlocks new possibilities for innovation and efficiency.

[0264] Alternative Terminology

[0265] The term “smart document” or “smart electronic document” can also be referred to as a self-determinative document, an active document, a self-tracking document, a self-assimilating document, a document with executable code, a document with embedded code, and / or in a variety of other ways depending on the context and on the features of the smart document. In any example, a smart electronic includes three elements, at minimum—data (e.g., content, audit trail, other metadata, etc.), executable code (e.g., an API), and a globally unique marker.

[0266] A smart electronic document that enables automated auditing is a technical solution to the persistent problem of ensuring data integrity, security, and operational efficiency in auditing processes, which are often hindered by fragmented audit trails, manual verification, and vulnerability to unauthorized modifications. This advanced document structure can incorporate immutable content and an immutable audit trail, both immutably connected to an immutable global identifier, ensuring that the document’s content, history, and identity remain tamper-proof, trustworthy, and verifiable. The machine-readable design of the smart electronic document can enable seamless integration with computational systems, enabling automated querying, validation, and auditing of its data and interactions without requiring manual intervention. Additionally, the smart electronic document can embed intelligence in the form of executable code, which enables it to autonomously enforce access permissions, execute workflows, and dynamically respond to audit requests from both human users and automated 86 Attorney Docket No.: 226148.013101 / PCTsystems. This embedded intelligence can transform the document into a responsive and interactive entity capable of providing real-time insights, ensuring compliance, and streamlining auditing processes, offering a robust solution to the challenges of security, traceability, and inefficiencies in traditional auditing systems.

[0267] A smart electronic document with automated auditing capabilities can address the problems of data security, inefficient use of device hardware, and inefficient use of network systems associated with traditional PDFs and other document types by leveraging its immutable structure, embedded intelligence, and machine-readable design. In terms of data security, the smart electronic document can ensure that its content, audit trail, and global identifier remain tamper-proof and trustworthy through cryptographic commitments, enabling secure and verifiable automated auditing processes. By embedding intelligence, the document autonomously enforces granular access permissions, tracks interactions, and validates data integrity, reducing the risk of unauthorized access and ensuring compliance with stringent security protocols. Regarding device hardware, traditional PDFs can require significant computational resources for rendering, extracting data, and managing versions, often leading to inefficiencies and hardware strain. A smart electronic can reduce these burdens by enabling automated auditing directly within the document, enabling systems to query and validate data without redundant processing or manual intervention, thereby improving the efficiency hardware usage and improving operational efficiency. Similarly, network systems that handle PDFs often experience bandwidth inefficiencies due to the transmission of large, static files and duplicate versions. A smart electronic document can address this by maintaining a single source of truth that is universally accessible via its global identifier, enabling lightweight, API-driven 87 Attorney Docket No.: 226148.013101 / PCTinteractions for auditing rather than transmitting entire files. This approach can reduce network bandwidth usage, streamlines workflows, and ensures that auditing processes are securely and efficiently managed across devices and systems, making automated auditing a cornerstone of the smart electronic document’s infrastructure.

[0268] The described methods may also address the technical problem of maintaining control, security, and auditability of electronic documents once they are shared across networks or accessed on remote devices. Traditional document management systems often fail to provide dynamic control or real-time monitoring capabilities, leading to security vulnerabilities, unauthorized access, and inefficiencies in auditing processes. The examples discussed herein provide a technical solution by transforming electronic documents into smart digital objects equipped with embedded executable instructions that operate directly on physical computing devices. These instructions enable the document to autonomously manage its lifecycle, interact with external systems, and enforce access permissions, all while maintaining its integrity and usability.

[0269] From a hardware perspective, the embedded instructions may leverage the physical processor of the computing device to execute operations such as data retrieval, validation, and transformation. This eliminates the need for external servers or manual intervention, reducing latency and optimizing the use of local processing power. For example, when an auditing system requests specific data, the document processes the request locally on the device, ensuring faster response times and minimizing network dependency. Additionally, the document’s ability to encrypt and decrypt data using the device’s hardware ensures secure transmission and storage, enhancing the overall security of the system. 88 Attorney Docket No.: 226148.013101 / PCT

[0270] On the networking side, embodiments of this disclosure may improve communication efficiency by enabling the document to interact directly with external systems, such as auditing platforms, through embedded APIs. These APIs facilitate seamless data exchange, enabling the document to deliver structured, machine-readable data without requiring additional middleware or conversion processes. By operating as an active participant in the network, the document reduces bandwidth usage by delivering only the requested portions of data rather than transmitting the entire document. This targeted delivery may reduce network congestion and ensures that auditing systems receive relevant information in real-time. Furthermore, the examples disclosed herein can enhance synchronization across distributed systems by maintaining a single true version of the document, accessible through secure network protocols. This can reduce discrepancies caused by multiple copies of the document being stored on different devices or servers. The document’s ability to dynamically update its content based on user interactions or external inputs ensures that all parties accessing the document are working with the most current and accurate data. These improvements in hardware utilization and network efficiency make the examples disclosed herein a robust technical solution to the challenges of document security, control, and auditability in modern digital environments.

[0271] The embodiments described herein can provide a transformative solution to one or more of the longstanding challenges of document security, control, and auditability in modern digital environments. By embedding executable instructions within electronic documents, the disclosure leverages hardware capabilities and networking efficiencies to enable dynamic interaction, secure access, and real-time updates. This approach eliminates reliance on static security measures and manual processes, ensuring that documents remain auditable, Attorney Docket No.: 226148.013101 / PCTtrustworthy, and adaptable across diverse systems and platforms. Through targeted data delivery, cryptographic integrity, and seamless integration with external systems, the disclosure addresses technical problems while enhancing the functionality of computing devices and networks. As organizations increasingly rely on electronic documents for critical operations, this innovation paves the way for more efficient, secure, and reliable document management, fostering compliance, trust, and operational excellence in the digital age.

[0272] Clause 1. A method comprising: receiving, via executable instructions of an electronic document running on a physical computing device, a request from an automated auditing system to audit data of the electronic document; processing, via the executable instructions of the electronic document running on the physical computing device, the request to audit the data of the electronic document; and delivering, to the automated auditing system and from the electronic document via the executable instructions running on the physical computing device, data in a format that is native to the electronic document and auditable by the automated auditing system in a state in which it is stored in the electronic document.

[0273] Clause 2. The method of clause 1, further comprising: receiving, via the executable instructions on the electronic document running on the physical computing device, a request for the data of the electronic document from a document viewer; processing, via the executable instructions of the electronic document running on the physical computing device, the request from the document viewer; and delivering, to the document viewer and from the electronic document via the executable instructions running on the physical computing device, data in the format that is native to the electronic document, wherein the format that is native to the electronic document is also readable by a user of the document viewer without alteration. Attorney Docket No.: 226148.013101 / PCT

[0274] Clause 3. The method of clauses 1-2, wherein the format this is native to the electronic document comprises a text format.

[0275] Clause 4. The method of clauses 1-3, wherein delivering the data to the automated auditing system comprises delivering, to the automated auditing system, metadata of the electronic document indicative of a provenance of the data of the electronic document.

[0276] Clause 5. The method of clauses 1-4, wherein the metadata of the document is in the format that is native to the electronic document and auditable by the automated auditing system without alteration.

[0277] Clause 6. The method of clauses 1-5, where the data of the electronic document comprises a portion of all data of the document.

[0278] Clause 7. The method of clauses 1-6, wherein the automated auditing system comprises an automated financial auditing system.

[0279] Clause 8. The method of clauses 1-7, wherein the automated auditing system comprises an automated compliance auditing system.

[0280] Clause 9. A system comprising: at least one physical processor; and physical memory comprising computer-executable instructions of an electronic document that, when executed by the physical processor, cause the document to: receive a request from an automated auditing system to audit data of the electronic document; process the request to audit the data of the electronic document; and deliver, to the automated auditing system, data in a format that is native to the electronic document and auditable by the automated auditing system without alteration. Attorney Docket No.: 226148.013101 / PCT

[0281] Clause 10. The system of clause 9, wherein the computer-executable instructions, when executed by the physical processor, further cause the document to: receive a request for the data of the electronic document from a document viewer; process the request from the document viewer; and deliver, to the document viewer, wherein the format that is native to the electronic document is also readable by a user of the document viewer without alteration.

[0282] Clause 11. The system of clauses 9-11, wherein the format this is native to the electronic document comprises a text format.

[0283] Clause 12. The system of clauses 9-12, wherein the computer-executable instructions cause the document to deliver the data to the automated auditing system by further delivering, to the automated auditing system, metadata of the electronic document indicative of a provenance of the data of the electronic document.

[0284] Clause 13. The system of clauses 9-13, wherein the metadata of the electronic document is in the format that is native to the electronic document and auditable by the automated auditing system without alteration.

[0285] Clause 14. The system of clauses 9-14, where the data of the electronic document comprise a portion of all data of the electronic document.

[0286] Clause 15. The system of clause 9-15, wherein the automated auditing system comprises an automated financial auditing system.

[0287] Clause 16. A non-transitory computer-readable medium comprising computer- executable instructions of an electronic document that, when executed by at least one of one or more physical processors of a computing device, cause the document to: receive a request from 92 Attorney Docket No.: 226148.013101 / PCTan automated auditing system to audit data of the electronic document; process the request to audit the data of the electronic document; and deliver, to the automated auditing system, data in a format that is native to the electronic document and auditable by the automated auditing system without alteration.

[0288] Clause 17. The non-transitory computer-readable medium of clause 16, wherein the computer-executable instructions, when executed by the physical processor, further cause the document to: receive a request for the data of the electronic document from a document viewer; process the request from the document viewer; and deliver, to the document viewer, wherein the format that is native to the electronic document is also readable by a user of the document viewer without alteration.

[0289] Clause 18. The non-transitory computer-readable medium of clauses 16-17, wherein the format this is native to the electronic document comprises a text format.

[0290] Clause 19. The non-transitory computer-readable medium of clauses 16-18, wherein the computer-executable instructions cause the document to deliver the data to the automated auditing system by further delivering, to the automated auditing system, metadata of the electronic document indicative of a provenance of the data of the electronic document.

[0291] Clause 20. The non-transitory computer-readable medium of clauses 16-19, wherein the metadata of the electronic document is in the format that is native to the electronic document and auditable by the automated auditing system without alteration.

[0292] The features and clauses discussed herein may provide one or more of the advantages and / or solutions described, such as enhancing security, improving operational efficiency, or enabling dynamic access control. Additionally, these features and clauses may offer 93 Attorney Docket No.: 226148.013101 / PCTfurther or alternative benefits or address further or alternative challenges beyond those explicitly mentioned. The disclosed features and clauses are not limited to the specific advantages or solutions described and may be implemented in various ways to achieve additional or alternative benefits and / or solutions.

[0293] As detailed above, the computing devices and systems described and / or illustrated herein broadly represent any type or form of computing device or system capable of executing computer-readable instructions, such as those contained within the modules described herein. In their most basic configuration, these computing device(s) may each include at least one memory device and at least one physical processor.

[0294] In some examples, the term “memory device” generally refers to any type or form of volatile or non-volatile storage device or medium capable of storing data and / or computer-readable instructions. In one example, a memory device may store, load, and / or maintain one or more of the modules described herein. Examples of memory devices include, without limitation, Random Access Memory (RAM), Read Only Memory (ROM), flash memory, Hard Disk Drives (HDDs), Solid-State Drives (SSDs), optical disk drives, caches, variations or combinations of one or more of the same, or any other suitable storage memory.

[0295] In some examples, the term “physical processor” generally refers to any type or form of hardware-implemented processing unit capable of interpreting and / or executing computer-readable instructions. In one example, a physical processor may access and / or modify one or more modules stored in the above-described memory device. Examples of physical processors include, without limitation, microprocessors, microcontrollers, Central Processing Units (CPUs), Field-Programmable Gate Arrays (FPGAs) that implement softcore processors, 94 Attorney Docket No.: 226148.013101 / PCTApplication-Specific Integrated Circuits (ASICs), portions of one or more of the same, variations or combinations of one or more of the same, or any other suitable physical processor.

[0296] Although illustrated as separate elements, the modules described and / or illustrated herein may represent portions of a single module or application. In addition, in certain embodiments one or more of these modules may represent one or more software applications or programs that, when executed by a computing device, may cause the computing device to perform one or more tasks. For example, one or more of the modules described and / or illustrated herein may represent modules stored and configured to run on one or more of the computing devices or systems described and / or illustrated herein. One or more of these modules may also represent all or portions of one or more special-purpose computers configured to perform one or more tasks.

[0297] In addition, one or more of the modules described herein may transform data, physical devices, and / or representations of physical devices from one form to another. Additionally or alternatively, one or more of the modules recited herein may transform a processor, volatile memory, non-volatile memory, and / or any other portion of a physical computing device from one form to another by executing on the computing device, storing data on the computing device, and / or otherwise interacting with the computing device.

[0298] In some embodiments, the term “computer-readable medium” generally refers to any form of device, carrier, or medium capable of storing or carrying computer-readable instructions. Examples of computer-readable media include, without limitation, transmission- type media, such as carrier waves, and non-transitory-type media, such as magnetic-storage media (e.g., hard disk drives, tape drives, and floppy disks), optical-storage media (e.g., Compact 95 Attorney Docket No.: 226148.013101 / PCTDisks (CDs), Digital Video Disks (DVDs), and BLU-RAY disks), electronic-storage media (e.g., solid- state drives and flash media), and other distribution systems.

[0299] The process parameters and sequence of the steps described and / or illustrated herein are given by way of example only and can be varied as desired. For example, while the steps illustrated and / or described herein may be shown or discussed in a particular order, these steps do not necessarily need to be performed in the order illustrated or discussed. The various exemplary methods described and / or illustrated herein may also omit one or more of the steps described or illustrated herein or include additional steps in addition to those disclosed.

[0300] The preceding description has been provided to enable others skilled in the art to best utilize various aspects of the exemplary embodiments disclosed herein. This exemplary description is not intended to be exhaustive or to be limited to any precise form disclosed. Many modifications and variations are possible without departing from the spirit and scope of the present disclosure. The embodiments disclosed herein should be considered in all respects illustrative and not restrictive. Reference should be made to the appended claims and their equivalents in determining the scope of the present disclosure.

[0301] Unless otherwise noted, the terms “connected to” and “coupled to” (and their derivatives), as used in the specification and claims, are to be construed as permitting both direct and indirect (i.e., via other elements or components) connection. In addition, the terms “a” or “an,” as used in the specification and claims, are to be construed as meaning “at least one of.” Finally, for ease of use, the terms “including” and “having” (and their derivatives), as used in the Attorney Docket No.: 226148.013101 / PCTspecification and claims, are interchangeable with and have the same meaning as the word “comprising.” Attorney Docket No.: 226148.013101 / PCT

Claims

AMENDED CLAIMS received by the International Bureau on 15 December 20251. A method comprising: receiving, via executable instructions of an electronic document running on a physical computing device, a request from an automated auditing system to audit data of the electronic document; processing, via the executable instructions of the electronic document running on the physical computing device, the request to audit the data of the electronic document; and delivering, to the automated auditing system and from the electronic document via the executable instructions running on the physical computing device, data in a format that is native to the electronic document and auditable by the automated auditing system in a state in which it is stored in the electronic document.

2. The method of claim 1, further comprising: receiving, via the executable instructions on the electronic document running on the physical computing device, a request for the data of the electronic document from a document viewer; processing, via the executable instructions of the electronic document running on the physical computing device, the request from the document viewer; and delivering, to the document viewer and from the electronic document via the executable instructions running on the physical computing device, data in the format that is native to the electronic document, wherein the format that is native to the electronic document is also readable by a user of the document viewer without alteration.

3. The method of claim 1, wherein the format this is native to the electronic document comprises a text format.

4. The method of claim 1, wherein delivering the data to the automated auditing system comprises delivering, to the automated auditing system, metadata of the electronic document indicative of a provenance of the data of the electronic document.

5. The method of claim 4, wherein the metadata of the document is in the format that is native to the electronic document and auditable by the automated auditing system without alteration.

6. The method of claim 1, where the data of the electronic document comprises a portion of all data of the document.

7. The method of claim 1, wherein the automated auditing system comprises an automated financial auditing system.

8. The method of claim 1, wherein the automated auditing system comprises an automated compliance auditing system.

9. The method of claim 1, wherein the electronic document is configured to interact with an artificial intelligence agent using a specialized protocol.1410. The method of claim 9, wherein the specialized protocol comprises a machine communication protocol.

11. The method of claim 1, wherein the electronic document comprises an artificial intelligence application programming interface configured to support artificial intelligence agents in at least one of querying, analyzing, or interacting with the electronic document in a structured manner.

12. The method of claim 1, wherein the electronic document is configured to integrate with an artificial intelligence system by acting as an active participant in a workflow.

13. The method of claim 1, wherein the electronic document is configured to process a request from an artificial intelligence agent using embedded intelligence of the electronic document in a manner that provides a response tailored to a context of the request.

14. The method of claim 1, wherein the electronic document enforces role-based access control on artificial intelligence agents.

15. The method of claim 1, wherein the electronic document is configured to manage artificial intelligence agent access to the electronic document by autonomously evaluating permissions for one or more specific portions of the electronic document.1510816. The method of claim 1, wherein the electronic document is configured to maintain an audit trail for interactions between artificial intelligence agents and the electronic document by recording which agents accessed which portions of the electronic document and for what purpose.

17. The method of claim 1, wherein the electronic document enables artificial intelligence analysis of engagement with the electronic document.

18. The method of claim 1, wherein the electronic document is configured to restrict access of an artificial agent to a sensitive portion of the electronic document.

19. A system comprising: at least one physical processor; and physical memory comprising computer-executable instructions of an electronic document that, when executed by the physical processor, cause the document to: receive a request from an automated auditing system to audit data of the electronic document; process the request to audit the data of the electronic document; and deliver, to the automated auditing system, data in a format that is native to the electronic document and auditable by the automated auditing system without alteration.

20. The system of claim 19, wherein the computer-executable instructions, when executed by the physical processor, further cause the document to: receive a request for the data of the electronic document from a document viewer;16109process the request from the document viewer; and deliver, to the document viewer, wherein the format that is native to the electronic document is also readable by a user of the document viewer without alteration.

21. The system of claim 19, wherein the format this is native to the electronic document comprises a text format.

22. The system of claim 19, wherein the computer-executable instructions cause the document to deliver the data to the automated auditing system by further delivering, to the automated auditing system, metadata of the electronic document indicative of a provenance of the data of the electronic document.

23. The system of claim 19, wherein metadata of the electronic document is in the format that is native to the electronic document and auditable by the automated auditing system without alteration.

24. The system of claim 19, where the data of the electronic document comprise a portion of all data of the electronic document.

25. The system of claim 19, wherein the automated auditing system comprises an automated financial auditing system.1711026. A non-transitory computer-readable medium comprising computerexecutable instructions of an electronic document that, when executed by at least one of one or more physical processors of a computing device, cause the document to: receive a request from an automated auditing system to audit data of the electronic document; process the request to audit the data of the electronic document; and deliver, to the automated auditing system, data in a format that is native to the electronic document and auditable by the automated auditing system without alteration.

27. The non-transitory computer-readable medium of claim 26, wherein the computer-executable instructions, when executed by the physical processor, further cause the document to: receive a request for the data of the electronic document from a document viewer; process the request from the document viewer; and deliver, to the document viewer, wherein the format that is native to the electronic document is also readable by a user of the document viewer without alteration.

28. The non-transitory computer-readable medium of claim 26, wherein the format this is native to the electronic document comprises a text format.

29. The non-transitory computer-readable medium of claim 26, wherein the computer-executable instructions cause the document to deliver the data to the automated18111auditing system by further delivering, to the automated auditing system, metadata of the electronic document indicative of a provenance of the data of the electronic document.

30. The non-transitory computer-readable medium of claim 26, wherein metadata of the electronic document is in the format that is native to the electronic document and auditable by the automated auditing system without alteration.

31. A computer-implemented method performed by a smart electronic document provisioned as digital infrastructure, the computer-implemented method comprising: receiving, at the smart electronic document, a request from an automated auditing system for data associated with the smart electronic document; delivering, via execution of the smart electronic document, the data; receiving, at the smart electronic document, a request from a user interface for the data associated with the smart electronic document; and delivering, via execution of the smart electronic document, the data in a format that conveys the same information conveyed to the automated auditing system.

32. The method of claim 31, wherein delivering the data comprises: presenting the data in the same manner to both a human interface and a machine interface; and securing the data using cryptographic techniques, including digital signatures to assure integrity of the data.1911233. The method of claim 31, further comprising displaying, in real time, an indicator of compliance that reflects, by automatic updating, a current validation status of the smart electronic document pursuant to predefined regulatory or policy criteria.

34. The method of claim 31, wherein the smart electronic document continuously audits all interactions and modifications by automatically logging audit events to an unbroken audit trail that is maintained throughout a lifecycle of the document.

35. The method of claim 31, wherein executable instructions of the smart electronic document are written in a formal language constituting executable code, thereby enabling automated processing and verification of audit-related operations.

36. The method of claim 31, further comprising aggregating a collection of factified documents into a unified repository and operatively linking the smart electronic document with other documents to facilitate cross-document auditing and comprehensive data analysis.

37. The method of claim 31, wherein conducting the audit further comprises: automatically verifying the data of the smart electronic document against predetermined compliance criteria; and recording an outcome of the audit for subsequent review.

38. The method of claim 31, wherein the smart electronic document incorporates:20113a distinct and unchangeable digital marker configured to identify the document and its associated data; and a marker that can be verified by viewer to confirm authenticity of the document.

39. The method of claim 31, wherein the smart electronic document performs: a digital verification of data integrity using an embedded digital marker; and subsequently renders, via a user interface, a visual representation of a verification result.

40. A method comprising: executing an audit instruction set against a plurality of interconnected smart documents; and outputting a result of executing the audit instruction set against the plurality of interconnected smart documents.21114[0001]STATEMENT UNDER ARTICLE 19 (1 )[0002]Applicant submits that, since support for the proposed Article 19 amendments contained herein can be found variously throughout the specification and original claims, these amendments do not exceed the scope of the original application or otherwise impact the description or drawings.

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