P93 � AIEP � Jurisdiction-Specific Regulatory Compliance Package Generation
Field of the Invention
[0001] The present invention relates to regulatory compliance output systems for artificial intelligence reasoning substrates.
[0002] More particularly, the invention relates to a deterministic mechanism for generating jurisdiction-specific regulatory compliance packages from an Architected Instruction & Evidence Protocol (AIEP) substrate audit trail, wherein the package format, required fields, evidence selection, and presentation structure are governed by a versioned jurisdiction-specific compliance schema, and the generated package carries a cryptographic binding to the underlying substrate state enabling independent regulatory verification.
Background
[0003] Regulated AI deployments must produce compliance evidence in formats specified by the regulatory authority of the deployment jurisdiction. The EU AI Act, the UK AI Assurance Framework, FDA guidance on AI-enabled medical devices, and FCA algorithmic accountability requirements each specify different evidence formats, required fields, retention periods, and submission structures.
[0004] An AI reasoning substrate may be deployed across multiple jurisdictions simultaneously, each requiring compliance evidence in a different format derived from the same underlying reasoning audit trail.
[0005] Conventional compliance reporting systems produce static reports generated by human auditors from system logs. These reports are not cryptographically bound to the underlying system state, cannot be independently verified by regulators without access to the full system, and are not automatically generated at the point of regulatory relevance.
[0006] Existing systems do not provide:
(a) version-bound jurisdiction-specific compliance schemas defining the required format, fields, evidence selection criteria, and presentation structure for each named regulatory jurisdiction; (b) deterministic extraction of evidence from the AIEP substrate audit trail according to jurisdiction-specific field requirements, without manual selection or human review; (c) cryptographic binding of the generated compliance package to the specific substrate state from which it was derived; (d) a PackageIntegrityHash enabling independent regulatory verification that the package accurately represents the substrate state; or (e) fail-closed package generation refusal when the substrate audit trail does not contain the evidence required by the jurisdiction-specific compliance schema.
[0007] There exists a need for a deterministic compliance package generation mechanism that produces jurisdiction-specific formatted evidence from AIEP substrate audit trails, cryptographically bound to the underlying state, in formats directly consumable by the named regulatory authority.
Summary of the Invention
[0008] The invention provides a deterministic jurisdiction-specific regulatory compliance package generation system operating within an AIEP substrate.
[0009] A JurisdictionComplianceSchemaRegistry is maintained comprising versioned jurisdiction-specific compliance schemas, each identified by jurisdiction identifier and schema version.
[0010] Each JurisdictionComplianceSchema defines: the required evidence fields to be extracted from the AIEP substrate; the selection criteria for evidence artefacts; the presentation structure and format of the generated package; retention period requirements; and the package format specification.
[0011] Upon a compliance package generation request for a named jurisdiction, the system retrieves the active JurisdictionComplianceSchema for that jurisdiction from the registry.
[0012] The system evaluates the AIEP substrate audit trail against the evidence requirements defined in the JurisdictionComplianceSchema. If any required evidence field is absent, package generation fails closed and a RequiredEvidenceAbsenceRecord is appended to the audit trail.
[0013] A JurisdictionCompliancePackage is generated comprising: all required evidence fields extracted from the substrate audit trail according to the schema; a SubstrateStateHash capturing the Evidence Ledger and Reasoning Ledger state at time of package generation; the JurisdictionComplianceSchema version applied; and a PackageIntegrityHash computed over all preceding deterministic fields.
[0014] The PackageIntegrityHash enables independent regulatory verification: a regulator or auditor can confirm that the package accurately represents the substrate state by recomputing the hash from the substrate audit trail.
[0015] The technical effect is deterministic generation of jurisdiction-specific regulatory compliance packages from AIEP substrate audit trails, cryptographically bound to the underlying substrate state, requiring no human review and directly consumable by the named regulatory authority.
Definitions
[0016] JurisdictionComplianceSchemaRegistry: A versioned append-only registry of jurisdiction-specific compliance schemas, each defining the evidence requirements, presentation structure, and format specification for a named regulatory jurisdiction.
[0017] JurisdictionComplianceSchema: A versioned specification defining the required evidence fields, selection criteria, presentation structure, and format for a compliance package for a named regulatory jurisdiction. Immutable once published in the registry.
[0018] JurisdictionCompliancePackage: A generated compliance package conforming to a JurisdictionComplianceSchema, comprising extracted evidence fields, SubstrateStateHash, schema version reference, and PackageIntegrityHash.
[0019] SubstrateStateHash: A cryptographic hash computed over the canonical serialisation of the Evidence Ledger and Reasoning Ledger state at the time of compliance package generation.
[0020] PackageIntegrityHash: A cryptographic hash computed over the deterministic fields of a JurisdictionCompliancePackage, enabling independent verification that the package accurately represents the substrate state.
[0021] RequiredEvidenceAbsenceRecord: An append-only audit trail entry recording the failure of compliance package generation due to absent required evidence, comprising the absent field identifiers, the jurisdiction schema version requiring them, and a timestamp.
Detailed Description of Preferred Embodiments
1. JurisdictionComplianceSchemaRegistry
[0022] The JurisdictionComplianceSchemaRegistry is an append-only versioned registry.
[0023] Each schema entry is identified by: jurisdiction_id (e.g., “EU”, “UK”, “US_FDA”, “UK_FCA”); schema_version; and effective_date.
[0024] Schema entries are immutable once published. New regulatory requirements are accommodated by publishing new schema versions, not modifying existing entries.
[0025] The registry includes schemas for at minimum: EU AI Act Article 12 compliance packages; UK AI Assurance Framework conformity assessment packages; FDA AI-enabled device pre-market submission evidence packages; and FCA algorithmic accountability evidence packages.
[0026] In one embodiment for EU AI Act, the JurisdictionComplianceSchema defines required fields including: system_identifier; high_risk_classification; logging_mechanism_description with evidence hash; traceability_demonstration comprising evidence hash chain from output to source artefacts; auditability_demonstration comprising replay certification path; accuracy_monitoring_record; human_oversight_mechanism_description; and risk_management_system_reference.
2. Evidence Extraction and Evaluation
[0027] Upon a compliance package generation request, the system identifies the active JurisdictionComplianceSchema for the named jurisdiction.
[0028] For each required evidence field in the schema, the system executes the defined selection criteria against the AIEP substrate audit trail.
[0029] Selection criteria are deterministic queries against the append-only Evidence Ledger and Reasoning Ledger � for example, retrieval of the complete EvidenceHash chain from a specified output to all referenced source artefacts.
[0030] If any required evidence field cannot be satisfied from the substrate audit trail, package generation fails closed.
[0031] A RequiredEvidenceAbsenceRecord is appended comprising the absent field identifier, the schema clause requiring it, the substrate query that failed to return results, and a timestamp.
3. JurisdictionCompliancePackage Construction
[0032] Upon successful evidence extraction, the system constructs the JurisdictionCompliancePackage.
[0033] Evidence fields are presented in the structure and format defined by the JurisdictionComplianceSchema.
[0034] SubstrateStateHash is computed as:
SubstrateStateHash = H(CanonicalSerialise(EvidenceLedgerState) || CanonicalSerialise(ReasoningLedgerState) || SchemaVersionId || GenerationTimestamp)
[0035] PackageIntegrityHash is computed as:
PackageIntegrityHash = H(CanonicalSerialise(ExtractedEvidenceFields) || SubstrateStateHash || JurisdictionSchemaVersionId)
[0036] The JurisdictionCompliancePackage is produced in the format specified by the JurisdictionComplianceSchema � which may include structured JSON, XML, PDF with embedded hashes, or other regulatory-specified formats.
4. Independent Regulatory Verification
[0037] A regulatory authority or auditor receiving a JurisdictionCompliancePackage can independently verify it by:
(a) obtaining access to the AIEP substrate audit trail for the system under review; (b) re-executing the evidence extraction defined in the JurisdictionComplianceSchema; (c) recomputing SubstrateStateHash from the current ledger state; and (d) recomputing PackageIntegrityHash and comparing to the presented package.
[0038] A matching PackageIntegrityHash confirms that the package accurately represents the substrate state at the time of generation.
5. Multi-Jurisdiction Package Generation
[0039] A compliance package generation request may specify multiple jurisdiction identifiers.
[0040] A separate JurisdictionCompliancePackage is generated for each jurisdiction.
[0041] Each package is independently verifiable.
[0042] A single failure in any jurisdiction’s evidence requirements produces a RequiredEvidenceAbsenceRecord for that jurisdiction without blocking package generation for other jurisdictions in the same request.
Claims
-
A deterministic jurisdiction-specific regulatory compliance package generation system, the system configured to: maintain a JurisdictionComplianceSchemaRegistry comprising versioned jurisdiction-specific compliance schemas defining required evidence fields, selection criteria, presentation structure, and format for named regulatory jurisdictions; evaluate AIEP substrate audit trail contents against the evidence requirements of a named jurisdiction’s compliance schema; generate a JurisdictionCompliancePackage comprising extracted evidence fields, a SubstrateStateHash, the applied schema version, and a PackageIntegrityHash; and refuse package generation fail-closed when any required evidence field is absent from the substrate audit trail.
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The system of claim 1 wherein PackageIntegrityHash is computed as a cryptographic hash over the canonical serialisation of extracted evidence fields, the SubstrateStateHash, and the jurisdiction schema version identifier.
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The system of claim 1 wherein independent regulatory verification is performed by re-executing evidence extraction from the substrate audit trail, recomputing SubstrateStateHash and PackageIntegrityHash, and comparing to the presented package.
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The system of claim 1 wherein a RequiredEvidenceAbsenceRecord is appended to the append-only audit trail upon package generation failure, comprising absent field identifiers, the schema clause requiring them, and a timestamp.
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The system of claim 1 wherein JurisdictionComplianceSchema entries are immutable once published in the registry, with new regulatory requirements accommodated by new schema versions.
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The system of claim 1 wherein separate JurisdictionCompliancePackages are generated for each of a plurality of named jurisdictions in a single request, with each package independently verifiable.
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A method for deterministic regulatory compliance package generation comprising: retrieving a versioned JurisdictionComplianceSchema; extracting required evidence fields from an AIEP substrate audit trail; constructing a JurisdictionCompliancePackage with a PackageIntegrityHash; and refusing generation fail-closed upon absent required evidence.
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A non-transitory computer-readable medium storing instructions which, when executed, perform the method of claim 7.
Drawings
Figure 1 � JurisdictionComplianceSchemaRegistry Lookup
Request: generate package for jurisdiction "EU_AI_ACT"
|
v
+-----------------------------------------------+
| JurisdictionComplianceSchemaRegistry |
| |
| "EU_AI_ACT" v2025-08-01 : |
| required_fields: |
| - evidence_hash_chain |
| - ledger_append_only_proof |
| - replay_path_certificate |
| - schema_version_binding |
| presentation_format: "EU-PDF-v2" |
| selection_criteria: output_date range |
+-----------------------------------------------+
|
v
schema retrieved ? begin evidence extraction
Figure 2 � Evidence Extraction and Package Construction
AIEP Substrate Audit Trail
|
v
+----------------------------------------------+
| Evidence Field Extraction |
| (per JurisdictionComplianceSchema) |
| |
| for each required_field: |
| locate in Evidence / Reasoning Ledger |
| extract canonical representation |
| verify hash |
| |
| ALL fields found? |
| YES ? proceed to package construction |
| NO ? RequiredEvidenceAbsenceRecord |
| appended; REFUSE (fail-closed) |
+----------------------------------------------+
|
v
JurisdictionCompliancePackage {
extracted_fields: [...],
substrate_state_hash,
schema_version: "EU_AI_ACT-2025-08-01",
package_integrity_hash
}
Figure 3 � PackageIntegrityHash Computation
package_integrity_hash = sha256(
canonical(extracted_evidence_fields)
? substrate_state_hash
? jurisdiction_schema_version
)
Independent regulatory verification:
re-extract same fields from substrate audit trail
recompute substrate_state_hash
recompute package_integrity_hash
compare ? match: VERIFIED | mismatch: TAMPERED
Each jurisdiction package independently verifiable.
Multiple jurisdictions from single request:
package_EU, package_FCA, package_FDA
each with own package_integrity_hash.
Figure 4 � Fail-Closed on Absent Required Evidence
+----------------------------------------------------------+ | PACKAGE GENERATION GATE | | | | required_field present in audit trail? | | | | +--- ALL PRESENT ---> package generated | | | package_integrity_hash bound | | | gate_result: GENERATED | | | | | +--- ANY ABSENT ---> RequiredEvidenceAbsenceRecord| | absent_field_id recorded | | schema clause recorded | | gate_result: REFUSED | | Note: failure for one jurisdiction does NOT block | | package generation for other jurisdictions. | +----------------------------------------------------------+
Abstract
A deterministic jurisdiction-specific regulatory compliance package generation system is disclosed. A JurisdictionComplianceSchemaRegistry maintains versioned schemas for named regulatory jurisdictions � including EU AI Act, UK AI Assurance Framework, FDA, and FCA � each defining required evidence fields, selection criteria, and presentation structure. Upon request, the system extracts evidence from the AIEP substrate audit trail according to the jurisdiction schema, generates a JurisdictionCompliancePackage comprising extracted fields, a SubstrateStateHash, and a PackageIntegrityHash, and refuses generation fail-closed when required evidence is absent. PackageIntegrityHash enables independent regulatory verification by recomputing the hash from the substrate audit trail. Packages are produced in regulatory-specified formats, directly consumable by the named authority without human review. Separate independently verifiable packages are generated for multiple jurisdictions from a single request.