Compliance Data Standardization for Multi-Jurisdiction Auditing

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Solution Overview

Problem

Regulatory compliance in organizations is manually intensive and prone to human error, requiring significant manpower and resources, with changes in regulations often leading to non-compliance due to oversight.

Innovation Solution

A system comprising a jurisdiction database, audit database, communication module, and controller, which automates compliance determination by receiving audit data, determining jurisdiction requirements, and providing compliance ratings and suggested actions, utilizing machine learning for updates and standardizing data formats.

Engineering Contradictions & Design Principles

VSEngineering Contradiction Analysis

1Reliability

If manual compliance auditing is performed by human officers and auditors, then compliance determination can be performed with human judgment and adaptability, but it requires large amounts of manpower and is susceptible to human error and oversight of regulation changes

Engineering Contradiction:

Improvecompliance determination accuracyVSAvoidmanpower resources

Core Design Contradiction:

ReliabilityVSDevice complexity

Solution Approach 1:

The patent replaces manual compliance auditing (mechanical human process) with an automated computer-based system that receives compliance data, determines jurisdictions automatically, retrieves requirements from databases, and generates compliance ratings. This substitution eliminates the need for large amounts of manpower while maintaining or improving compliance determination accuracy through consistent automated processing.

Inventive Principle:

Principle #28Mechanics substitution (Replace mechanical system)

Solution Approach 2:

The system enables self-service compliance monitoring where the automated controller continuously receives compliance data, compares it against stored jurisdictional requirements, and generates compliance ratings without requiring human intervention. The system serves itself by automatically updating compliance status based on received data, reducing dependency on human compliance officers.

Inventive Principle:

Principle #25Self-service

2Adaptability or versatility

If manual compliance auditing is performed by individual human auditors utilizing their own judgment, then compliance assessment can be performed with professional expertise, but it is susceptible to human error and unawareness of regulation changes

Engineering Contradiction:

Improvecompliance assessment capabilityVSAvoidcompliance determination accuracy

Core Design Contradiction:

Adaptability or versatilityVSReliability

Solution Approach 1:

The system implements feedback by continuously receiving compliance data from user devices, automatically comparing current compliance status against stored jurisdictional requirements, and generating updated compliance ratings. This closed-loop feedback mechanism ensures the system remains aware of regulation changes and compliance status in real-time, eliminating human unawareness of regulatory updates.

Inventive Principle:

Principle #23Feedback

Solution Approach 2:

The system performs preliminary action by pre-storing jurisdictional requirement data in databases before compliance auditing is needed. When compliance data is received, the system can immediately compare against pre-loaded requirements without waiting for human auditors to research or recall regulations, ensuring up-to-date compliance assessment.

Inventive Principle:

Principle #10Preliminary action

3Productivity

If automated compliance determination is implemented using computer-based systems, then productivity and consistency are improved, but device complexity and data processing requirements increase

Engineering Contradiction:

Improvecompliance auditing efficiencyVSAvoidsystem architecture

Core Design Contradiction:

ProductivityVSDevice complexity

Solution Approach 1:

The patent segments the compliance determination system into distinct functional modules: a controller for receiving compliance data and determining compliance status, separate databases for storing jurisdictional requirements and compliance data, and communication interfaces for data exchange. This segmentation improves productivity by allowing parallel processing while managing complexity through modular architecture.

Inventive Principle:

Principle #1Segmentation

Solution Approach 2:

The system implements universality by creating a multi-functional controller that can handle multiple jurisdictions, process various types of compliance data, retrieve different jurisdictional requirements from databases, and generate comprehensive compliance ratings. This universal design improves productivity by eliminating the need for separate systems for each jurisdiction while managing complexity through integrated functionality.

Inventive Principle:

Principle #6Universality (Multi-functionality)

Data Source

PatentUS12596836B2Compliance data standardization and audit output

Publication Date: 2026.04.07 KIPU SYSTEMS LLC

AI summary

Described herein is a compliance dataflow management system. The system may include a plurality of different databases. The system may be configured to provide for workflow that are in conformance of regulations and/or requirements for specific jurisdictions. Furthermore, aspects of the system may allow for automatic updating of compliance systems in a manner that allows for resource savings for automated compliance software. Additionally, the system may include automated auditing systems, allowing for a compliance rating to be determined in a quick and resource efficient manner while allowing for privacy and security to be maintained.