Trusted Compliance Document Provisioning for Secure Automated Transfer

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Solution Overview

Problem

The cumbersome process of obtaining, storing, and transferring compliance documents to certify regulatory compliance is not adequately addressed by current computer and networking technologies, particularly in the creation and modification of physical and unsecured electronic documents.

Innovation Solution

A system and method for automated creation, modification, and provisioning of trusted electronic compliance documents, utilizing a Compliance Document Provisioning (CDP) system that maintains and manages trusted electronic compliance documents, provides secure interfaces for document creation, and facilitates the transfer of documents between parties.

Engineering Contradictions & Design Principles

VSEngineering Contradiction Analysis

1Reliability

If physical compliance documents are used, then security and trustworthiness are improved, but the complexity of obtaining, storing, and transferring documents increases

Engineering Contradiction:

Improvetrustworthiness of compliance documentsVSAvoidcomplexity of document management process

Core Design Contradiction:

ReliabilityVSDevice complexity

Solution Approach 1:

The patent replaces physical paper-based compliance documents with electronic documents stored and transmitted through a computer network system. The CDP system uses digital databases, electronic interfaces, and automated processing to substitute the mechanical processes of physical document handling, thereby maintaining security and trustworthiness while reducing the complexity of obtaining, storing, and transferring documents.

Inventive Principle:

Principle #28Mechanics substitution (Replace mechanical system)

2Ease of operation

If unsecured electronic documents are used, then ease of transfer is improved, but security and compliance reliability deteriorate

Engineering Contradiction:

Improveease of document transferVSAvoidsecurity of compliance documents

Core Design Contradiction:

Ease of operationVSReliability

Solution Approach 1:

The patent introduces a CDP system as an intermediary between document creators and recipients. This centralized system acts as a trusted mediator that secures electronic documents through controlled access, authentication mechanisms, and secure transmission protocols. The intermediary ensures that while documents can be electronically transferred with ease, security and compliance reliability are maintained through the mediating system's safeguards.

Inventive Principle:

Principle #24Intermediary (Mediator)

3Adaptability or versatility

If manual document creation and modification processes are used, then flexibility is improved, but productivity and efficiency deteriorate

Engineering Contradiction:

Improveflexibility in document customizationVSAvoidefficiency of document provisioning

Core Design Contradiction:

Adaptability or versatilityVSProductivity

Solution Approach 1:

The patent implements pre-configured document templates and standardized fields within the CDP system that contain common compliance information. These preliminary structures allow for rapid document generation while maintaining flexibility through customizable fields. The system performs preliminary setup of document frameworks, enabling efficient customization without manual creation from scratch, thereby improving productivity while preserving adaptability.

Inventive Principle:

Principle #10Preliminary action

Solution Approach 2:

The patent creates a universal CDP system that handles multiple types of compliance documents through a single platform. The system provides multi-functional capabilities including document creation, storage, retrieval, modification, and transmission across different industries and compliance requirements. This universality enables flexible customization for specific needs while maintaining high productivity through standardized processes applicable to all document types.

Inventive Principle:

Principle #6Universality (Multi-functionality)

Data Source

PatentUS12361433B2Compliance document creation, modification, and provisioning

Publication Date: 2025.07.15 AVALARA INC

AI summary

Techniques are provided for facilitating creation, modification, provisioning and transfer of trusted electronic compliance documents. For each of multiple user requests to provide or receive trusted electronic compliance documents, automated operations are performed to determine whether the request is directed to one of a plurality of maintained trusted electronic compliance documents. Each trusted electronic compliance document references information regarding parties to a potential transaction and confers at least partial eligibility for parties to participate in the potential transaction. When it is determined that the request is directed to a maintained trusted electronic compliance document, access to the indicated trusted electronic compliance document is provided, including modifying a copy of the indicated trusted electronic compliance document to include information referenced with respect to an entity associated with the user request and an originator of the trusted electronic compliance document. A secure interface is provided for creating an indicated compliance document when it is determined that the request is not directed to a maintained compliance document.