Automated Audit Queue Generation for Document Authentication
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Solution Overview
Problem
Current auditing systems face inefficiencies due to manual, error-prone operations and inability to optimize audit queues, leading to limited scalability, poor performance, and biased processes, which reduces their capabilities and usability.
Innovation Solution
An automated audit platform that retrieves document batches, generates optimized audit queues with prioritized tasks, and minimizes manual intervention by using a processor to identify audit parameters, calculate document and entity audit requirements, and sort documents into buckets based on authentication requirements, thereby creating a scalable and adaptable audit process.
Engineering Contradictions & Design Principles
Engineering Contradiction Analysis
1Productivity
If manual operations are used to create and manage audit queues, then flexibility in handling diverse audit requirements is maintained, but productivity is reduced and error rates increase
Solution Approach 1:
The system performs self-service by automatically generating audit queues, calculating audit requirements, and sorting documents without human intervention. The processor autonomously executes the entire audit queue management process from receiving parameters to producing the final sorted audit queue, eliminating the need for manual operations while maintaining high productivity and accuracy
Solution Approach 2:
The patent replaces manual mechanical operations with an automated electronic processing system. The processor substitutes human operators in performing audit queue generation, document sorting, and requirement calculation tasks, thereby increasing productivity while reducing errors associated with manual work
2Adaptability or versatility
If traditional audit queue methods are used, then simplicity of implementation is maintained, but adaptability to different audit scenarios is limited
Solution Approach 1:
The system achieves universality by designing a multi-functional processor that can handle various audit scenarios through a single integrated platform. It can process different document types, apply multiple sorting criteria, and adapt to diverse audit requirements all within one system, thereby increasing adaptability without proportionally increasing complexity
Solution Approach 2:
The system utilizes parameter changes to adapt to different audit scenarios by modifying sorting criteria, document types, and audit requirements as input parameters. This allows the same system structure to handle varied audit situations by simply changing the parameters rather than redesigning the system, thus improving adaptability while maintaining structural simplicity
3Measurement precision
If comprehensive audit coverage is pursued, then audit accuracy is improved, but time consumption increases
Solution Approach 1:
The system performs preliminary actions by pre-calculating audit requirements, pre-sorting documents into buckets, and pre-organizing the audit queue before actual audit execution. This advance preparation ensures comprehensive audit coverage is built into the structure from the beginning, allowing accurate audits to be conducted more efficiently without time-consuming adjustments during execution
Solution Approach 2:
The patent applies segmentation by dividing the audit queue into multiple buckets based on different criteria such as document type, priority, or audit requirement. This segmentation allows the system to process and review documents in organized groups, improving audit coverage accuracy through systematic review while reducing overall time consumption by avoiding redundant full-scan operations
Data Source
AI summary
Various embodiments are generally directed to techniques for audit management, such as for automating and/or streamlining one or more audit processes or procedures, for instance. Some embodiments are particularly directed to generating optimized audit queues and facilitating efficient performance of the audit queues to provide improved audit platforms. For instance, in one or more embodiments, an audit platform may prioritize documents in a batch with identified authentication requirements and/or identified authentication requirements completed by specific associate entities to create an effective worklist, or audit queue, that covers predefined audit targets for the documents and/or associate entities. In various embodiments, the audit platform may present documents in the worklist and/or associated authentication requirements along with one or more tasks or baselines for completion and/or verification via one or more user interfaces.