WO2014026235A1 - Entrée sécurisée de documents dans un système d'information, détermination directe d'un document électronique avec un maximum de sécurité et sa publication sélective dans un système d'information, et rédaction automatisée de documents sur la base de la détermination directe d'un document électronique avec un maximum de sécurité - Google Patents

Entrée sécurisée de documents dans un système d'information, détermination directe d'un document électronique avec un maximum de sécurité et sa publication sélective dans un système d'information, et rédaction automatisée de documents sur la base de la détermination directe d'un document électronique avec un maximum de sécurité Download PDF

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Publication number
WO2014026235A1
WO2014026235A1 PCT/AU2013/000902 AU2013000902W WO2014026235A1 WO 2014026235 A1 WO2014026235 A1 WO 2014026235A1 AU 2013000902 W AU2013000902 W AU 2013000902W WO 2014026235 A1 WO2014026235 A1 WO 2014026235A1
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WIPO (PCT)
Prior art keywords
document
ingestion
alert
artefacts
information system
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Application number
PCT/AU2013/000902
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English (en)
Inventor
Scott David Coles
Mark Peter NAGLOST
Philip James HAWTHORNE
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Berkeley Information Technology Pty Ltd
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Publication date
Priority claimed from AU2012903532A external-priority patent/AU2012903532A0/en
Application filed by Berkeley Information Technology Pty Ltd filed Critical Berkeley Information Technology Pty Ltd
Publication of WO2014026235A1 publication Critical patent/WO2014026235A1/fr

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Classifications

    • G—PHYSICS
    • G06—COMPUTING; CALCULATING OR COUNTING
    • G06F—ELECTRIC DIGITAL DATA PROCESSING
    • G06F21/00—Security arrangements for protecting computers, components thereof, programs or data against unauthorised activity
    • G06F21/70—Protecting specific internal or peripheral components, in which the protection of a component leads to protection of the entire computer
    • G06F21/82—Protecting input, output or interconnection devices
    • G06F21/83—Protecting input, output or interconnection devices input devices, e.g. keyboards, mice or controllers thereof
    • G—PHYSICS
    • G06—COMPUTING; CALCULATING OR COUNTING
    • G06F—ELECTRIC DIGITAL DATA PROCESSING
    • G06F21/00—Security arrangements for protecting computers, components thereof, programs or data against unauthorised activity
    • G06F21/70—Protecting specific internal or peripheral components, in which the protection of a component leads to protection of the entire computer
    • G06F21/86—Secure or tamper-resistant housings

Definitions

  • the present invention relates to secure ingestion of documents into an information system, streamlined security-level determination of an electronic document and selective release into an information system, and automated redaction of documents based on security-level determination, and a device configured to manage secure ingestion of documents into an information system, and methods for operating such a device (for example computer implemented methods performed by execution of computer readable code).
  • Embodiments of the invention have been particularly developed thereby to provide a secure filter between an ingestion source, such as a scanner or multifunction device, and an information system, thereby to selectively enable or prevent documents from being ingested (e.g. saved in electronic form) within the information system. While some embodiments will be described herein with particular reference to that application, it will be appreciated that the invention is not limited to such a field of use, and is applicable in broader contexts.
  • One embodiment provides a computer implemented method for managing ingestion of documents into an information system, the method including:
  • One embodiment provides a method wherein processing the document based on a predefined security protocol includes performing OCR analysis.
  • One embodiment provides a method wherein processing the document based on a predefined security protocol includes determining whether the document contains one or more alert artefacts.
  • One embodiment provides a method wherein the one or more alert artefacts include one or more keywords or phrases defined in a list of alert keywords and/or phrases. [0014] One embodiment provides a method wherein the one or more alert artefacts include non-textual artefacts.
  • One embodiment provides a method wherein determined ingestion procedure includes a set of steps, wherein one or more of those steps are selected based on the determination of presence of alert artefacts in the document.
  • One embodiment provides a method wherein, based on the determination of presence of alert artefacts in the document, the ingestion procedure prevents release of any version of the document to the information system.
  • One embodiment provides a method wherein the ingestion procedure includes associating one or more aspects of metadata with the document, thereby to at least in part define the modified version of the document.
  • One embodiment provides a method wherein associating one or more of the aspects of metadata are defined subject to user input.
  • One embodiment provides a method wherein the ingestion procedure includes delivering a user interface configured to obtain the user input.
  • One embodiment provides a method wherein the one or more aspects of metadata include any one or more of: biometric data, ingestion details, user data, security classification data, and content-based classification data.
  • One embodiment provides a method wherein the ingestion procedure includes inserting additional visible content into the document thereby at least in part define the modified version of the document.
  • One embodiment provides a method wherein the ingestion source includes a device having a document scanning functionality.
  • One embodiment provides a method where the method is performed at a device distinct from the ingestion source. [0024] One embodiment provides a method wherein the method is performed by a device that includes the ingestion source.
  • One embodiment provides a computer implemented method for determining a security level for a document, the method including:
  • One embodiment provides a method including processing the document based on a predefined security protocol thereby to determine whether the document contains one or more alert artefacts.
  • One embodiment provides a method wherein one or more information requests in the set of information requests are determined based upon the processing of the document based on the predefined security protocol.
  • One embodiment provides a method wherein the set of information request include a request for data indicative of a security level for a user, and selectively releasing a modified version of the document to an information system includes releasing the document only if the determined security level for the document is equal to or lesser than the security level for the user.
  • One embodiment provides a method wherein the ingestion procedure includes associating one or more aspects of metadata with the document, thereby to at least in part define the modified version of the document.
  • the ingestion source includes a device having a document scanning functionality.
  • One embodiment provides a method where the method is performed at a device distinct from the ingestion source.
  • One embodiment provides a method wherein the method is performed by a device that includes the ingestion source.
  • One embodiment provides a method for determining a security level for a document, the method including:
  • One embodiment provides a method including:
  • One embodiment provides a method including determining a security level for a user, and selectively releasing a modified version of the document to an information system includes releasing the document only if the determined security level for the document is equal to or lesser than the security level for the user.
  • One embodiment provides a method wherein the ingestion procedure includes associating one or more aspects of metadata with the document, thereby to at least in part define the modified version of the document.
  • One embodiment provides a method wherein the ingestion source includes a device having a document scanning functionality.
  • One embodiment provides a method where the method is performed at a device distinct from the ingestion source.
  • One embodiment provides a method wherein the method is performed by a device that includes the ingestion source.
  • One embodiment provides a method wherein the one or more alert artefacts include one or more keywords or phrases defined in a list of alert keywords and/or phrases.
  • One embodiment provides a method wherein the one or more alert artefacts include non-textual artefacts.
  • One embodiment provides a computer implemented method for redaction of an electronic document, the method including:
  • One embodiment provides a method wherein processing the document based on a predefined security protocol includes performing OCR analysis.
  • One embodiment provides a method wherein the one or more alert artefacts include one or more keywords or phrases defined in a list of alert keywords and/or phrases.
  • One embodiment provides a method wherein the one or more alert artefacts include non-textual artefacts.
  • One embodiment provides a method including determining a security level of a user, and selecting the second security level based on the security level of the user.
  • One embodiment provides a method including defining redacting portions of the document based on locations of one or more of the identified alert artefacts, thereby to define multiple versions of the document having respective unique security levels.
  • One embodiment provides a method including enabling a user to select one or more of the multiple versions for release into the information system.
  • One embodiment provides a method including selectively releasing the multiple versions to respective locations in the information system based on their respective security levels. [0068] One embodiment provides a method including enabling a user to preview the version of the document having the second security level prior to release into the information system.
  • One embodiment provides a method including enabling the user to remove and/or add redactions in the preview of the modified version.
  • One embodiment provides a method including, in the event that the user removes and/or adds redactions in the preview of the modified version, defining a user- redacted document on the removed and/or added redactions and determining a security level for the user-redacted document.
  • One embodiment provides a method including any one or more of the following steps:
  • One embodiment provides a method including performing an interactive ingestion procedure.
  • One embodiment provides a method wherein the ingestion source includes a device having a document scanning functionality.
  • One embodiment provides a method where the method is performed at a device distinct from the ingestion source.
  • One embodiment provides a method wherein the method is performed by a device that includes the ingestion source. [0080] One embodiment provides a device including:
  • an input configured to couple the device to a distinct device including an ingestion source
  • an output configured to enable release of a document to an information system; [0083] a processor;
  • a memory module containing computer executable code that, when executed via the processor, configured the device to perform a method as described herein.
  • One embodiment provides a device including:
  • an output configured to enable release of a document to an information system; [0088] a processor;
  • a memory module containing computer executable code that, when executed via the processor, configured the device to perform a method as described herein.
  • One embodiment provides a computer program product for performing a method as described herein.
  • One embodiment provides a non-transitive carrier medium for carrying computer executable code that, when executed on a processor, causes the processor to perform a method as described herein.
  • One embodiment provides a system configured for performing a method as described herein.
  • any one of the terms comprising, comprised of or which comprises is an open term that means including at least the elements/features that follow, but not excluding others.
  • the term comprising, when used in the claims should not be interpreted as being limitative to the means or elements or steps listed thereafter.
  • the scope of the expression a device comprising A and B should not be limited to devices consisting only of elements A and B.
  • Any one of the terms including or which includes or that includes as used herein is also an open term that also means including at least the elements/features that follow the term, but not excluding others. Thus, including is synonymous with and means comprising.
  • exemplary is used in the sense of providing examples, as opposed to indicating quality. That is, an "exemplary embodiment” is an embodiment provided as an example, as opposed to necessarily being an embodiment of exemplary quality.
  • FIG. 1 illustrates a method according to one embodiment.
  • FIG. 2A illustrates a system according to one embodiment.
  • FIG. 2B illustrates a system according to one embodiment.
  • FIG. 3A illustrates a method according to one embodiment.
  • FIG. 3B illustrates a method according to one embodiment.
  • FIG. 3C illustrates a method according to one embodiment.
  • FIG. 3D illustrates a method according to one embodiment.
  • FIG. 3E illustrates a method according to one embodiment.
  • FIG. 3F illustrates a method according to one embodiment. DETAILED DESCRIPTION
  • Described herein are systems and methods for managing electronic documents.
  • embodiments of the present invention are focussed on managing ingestion of documents into an information system, such as ingestion of documents generated by a device having scanning functionality.
  • Embodiments include devices, software (defined by computer executable code), carrier media, and methodologies.
  • a document is received from an ingestion source, such as a Multi Function Device (MFD) having a scanner.
  • MFD Multi Function Device
  • the document is a scanned into an electronic form from a paper form.
  • This electronic form is subjected to additional processing thereby to implement a predefined security protocol prior to the document (or a modified version thereof) being released into an information system.
  • MFD Multi Function Device
  • the term "ingestion” refers to a process whereby a document is received from source (for example an ingestion source that converts a hard copy document into an electronic document, or a flash drive containing documents), and is saved into storage within an information system.
  • source for example an ingestion source that converts a hard copy document into an electronic document, or a flash drive containing documents
  • the technologies and methodologies described herein relate to procedures that occur during "ingestion”, i.e. between receipt of the document from an ingestion source and release of the document (or a modified version thereof) into the information system.
  • embodiments disclosed herein are directed to solve technical problems associated with dissemination of files, for example in the context of an information system.
  • FIG. 1 illustrates a method 100 according to one embodiment which provides an overview of a methodology leveraged by various embodiments discussed herein.
  • This methodology is optionally performed by a computing device by the execution of computer executable code via one or more microprocessors of the computing device.
  • the term "computing device” describes substantially any machine capable of executing computer-readable code, such as tablet devices, image processing devices, computers, handheld devices, smartphones, and so on.
  • Functional block 101 represents process including receiving data indicative of an input document from an ingestion source.
  • the ingestion source may be integrated with the computing device that performs method 100 (for example method 100 is performed by a MFD), or provided by a distinct device (for example where method 100 is performed by a computing device coupled to a MFD).
  • the term "ingestion source” as used herein should be afforded a broad interpretation, including substantially any component capable of providing an electronic document. Particular attention is given to ingestion source in the form of "document scanners", with this term being used to describe any device or component that is configured to define an electronic document from a hard-copy document.
  • a user operates an ingestion source, thereby to commence ingestion of a document into a desired information system.
  • a user may operate a MFD thereby to scan a hard copy document, with the hard copy document to be delivered to a computer network associated with the MFD.
  • Functional block 102 represents a process including performing a "secure save" of the input document. This includes storing the input document in a memory location isolated from an information source.
  • the secure save includes storing digital information defining the input document on a secure storage device.
  • the memory location is isolated from the information system in the sense that a user of another device coupled to the information system is unable to identify or otherwise access the securely saved version of the input document.
  • method 100 is performed on a tablet device (or other computing device) interposed between a device that provides the ingestion source and the information system (i.e. networked devices on the information system).
  • a firewall is optionally used thereby to permit only one-way communication between the tablet device and the information system. That is, the tablet device is enabled to communicate (e.g. deliver files) to the information system, but devices on the information system are unable to communicate with the target device. For example, the tablet device is invisible to the information system (i.e. invisible to any networked devices of the information system). In this manner, the target device is able to provide a form of secure filter between an ingestion source, such as a scanner or multifunction device, and an information system, thereby to selectively enable or prevent documents from being ingested (e.g. saved in electronic form) within the information system.
  • an ingestion source such as a scanner or multifunction device
  • Functional block 103 represents a process including processing the input document based on a predefined security protocol.
  • the processing may include conducting analysis of the document graphical content (for example via OCR and other means). This is optionally used to determine whether the document contains one or more "alert artefacts".
  • a set of alert artefacts are defined, and the analysis identifies presence and/or count of such alert artefacts.
  • the alert artefacts are preferably keywords and/or phrases.
  • a list of such keywords and/or phrases is defined for the predefined security protocol, this list preferably being customized (or customisable on an ongoing basis) for a given set of customer needs.
  • an ingestion procedure is determined at 104 for the input document.
  • the term "ingestion procedure” describes a set of steps that are performed prior to release (or denial of release) of the document into the information system.
  • an ingestion procedure may include one or more of the following categories of steps:
  • Procurement of user data for example security credentials. This may be defined for a given implementation based on desired security procedures (for example a requirement that each ingestion operation be authorised by two separate users, or the like).
  • functional block 103 is omitted, and a default ingestion procedure applied to all documents. Additional disclosure concerning ingestion procedures is provided further below.
  • Functional block 105 represents a process including executing the ingestion procedure.
  • a modified version of the input document is selectively released into the information system.
  • This is a "modified version” in the sense that metadata and other content is inserted into/associated with the input document during the ingestion procedure.
  • the document is "selectively released” in the sense that, at least in some embodiments, upon completion (or failed completion) of the ingestion procedure, there is either a command to release the document, or a command to prevent the document from being released (in which case the securely saved document is preferably purged).
  • Decision block 105 represents a process whereby, subject to the execution of the ingestion procedure (and optionally subject to additional criteria), the document is either released at 107, or not released (in which cases a non-release report is generated at 108).
  • a document is released, that release is preferably performed in a manner defined by a set of release rules defined for the information system, optionally in combination with user instructions and/or based on constraints defined during the ingestion process (for example allowing release to one networked storage location but not others).
  • a report may optionally be generated and delivered to a predetermined party. This report may include details as to the reason for non-release, including details of the user. In some embodiments a copy of the document is retained in the secure save location for review by a higher-level user. In some embodiments additional steps are taken in the case of non-release, including the likes of raising of alarms and/or coordinating actions within an access control system (for example a lockdown of an area of a building including the ingestion source).
  • FIG. 2A illustrates an exemplary framework including a document ingestion security device 100 according to one embodiment.
  • Device 200 is configured to manage secure ingestion of documents from an input device 201 into a release location 202.
  • device 200 is a touchscreen-enabled tablet-style device.
  • FIG. 2A illustrates only a single input device and a single release location, in some embodiments there are multiple input devices and/or multiple release locations.
  • Device 200 includes an input 211 which enables communication between input device 201 and device 200.
  • input 211 may include a serial interface, USB interface, network interface, or the like.
  • the nature of input device 200 is generally dependent on the nature of input device 201 (and more particularly the manner by which input device 201 provides downstream data indicative of input documents).
  • Device 200 includes a processor 212 coupled to a memory module 213.
  • This Memory module 213 contains software instructions 214 that, when executed via processor 212, enables device 200 to perform a method such as method 100 of FIG. 1 (or a variation thereof). Execution of this method includes displaying a graphical user interface 217 on a touchscreen display 215, thereby to enable the delivery of information to a user, and the collection on information from a user. In some cases additional user inputs (such as biometric devices, cameras, buttons, and the like) are provided thereby to collect additional information from a user.
  • Device 200 additionally includes an output 216, which is coupled to release location 202. Again, the nature of output 216 varies between embodiments, depending on the manner by which release location 202 is configured to receive document data. In some embodiments, input 211 and output 216 are selected such that device 200 is serially interposed intermediate input device 201 and release location 202, to act as a serial filter on downstream data being communicated between input device 201 and release location 202.
  • Software instructions 214 are illustrated by reference to a set of "modules" which describe functionally distinguishable software components. These include:
  • a user interface (Ul) module 220 which is configured to provide graphical user interface 217, and receive user input.
  • a document processing module 221 configured to perform one or more document processing steps (such as OCR and other graphical analysis, extraction of existing metadata, and so on).
  • An ingestion protocol module 222 configured to determine an ingestion procedure for the document based on a set of ingestion rules, and based on input from document processing module 221 , executing the determined ingestion procedure (which in some embodiments include providing instructions to Ul module 220 thereby to enable collection of data required for the ingestion procedure).
  • a release control module 224 which is responsive to instructions from the ingestion procedure module 222 and to a set of document release rules for selectively releasing a modified version of the input document to release location 202.
  • FIG. 2B illustrates an exemplary framework including an input device 250 with integrated document ingestion security.
  • This may be either an input device pre-configured to provide document ingestion security, or an input device that is modified (for example by way of software modifications) thereby to provide document ingestion security.
  • Device 250 includes document input components (for example hardware components associated with document scanning and the like) and input device software instructions 255, which enable device 250 to perform input device specific functionalities.
  • An input device display 253 is configured to provide a GUI 254 for both document input functionalities, and for document ingestion functionalities. Otherwise, it will be appreciated that device 250 includes comments corresponding to comments shown in FIG. 2A, labelled by corresponding reference numerals.
  • document ingestion security is embedded in a personal computer associated with a network corresponding to release location 202.
  • software instructions 214 provide additional functionality thereby to prevent documents from an input source from reaching a conventional memory location prior to application of an ingestion process.
  • software instructions 214 define a secure storage location (or otherwise secured storage approach) using hardware associated with the personal computer.
  • an ingestion procedure is determined for an input document based on the application of a set of ingestion rules, and based on input from document processing.
  • Ingestion rules may include any one or more of the following:
  • a rule specifying one or more steps that are to be performed for all input documents. For example, collection of user data may be required for all documents.
  • a rule specifying one or more steps that are to be performed if a given document artefact is identified, or in the case that results of identification of document artefacts satisfy predefined characteristics. For example, particular steps may be required in the case that a keyword such as "confidential" is identified.
  • a rule specifying that one or more steps are to be performed based on processing of user data. For example, required steps may vary depending on a level of security clearance associated with a user.
  • rules are customisable as part of a configuration process. In this manner, document ingestion is able to be specifically configured for a given implementation, taking into consideration factors such as sensitive keyword.
  • Document release rules may include any one or more of the following:
  • a document is classified to a given security level, a requirement that a user having at least that security level authorise the release. This, for example, prevents a user scanning documents that are deemed to be above their own security clearance. • In the case that, based on the ingestion procedure, a document is classified to a given security level, a requirement that the document be released only to storage locations associated with at least that security level.
  • release rules may require that a given document be approved by multiple users prior to ingestion (for example by the user coordinating ingestion and a further user having predefined security clearance or the like). In some embodiments this is managed without requiring the multiple users each interact with a device such as 200 or 250. Rather, in some embodiments, in response to release rules, an electronic message is sent to a predefined user (or users) from whom approval is required prior to release. Whilst pending such approval, the document remains "uningested" (for example in memory of a device 200 or 250). The message may optionally include data indicative of the document, optionally in a redacted form.
  • additional actions are performed in the event that a document is not released, for example by generating reports regarding the content of such documents, users responsible for inputting the documents, and reasons for refusal.
  • Some embodiments provide methods for automated redaction of documents.
  • device 200 is configured to perform automated redaction methods described herein as part of an ingestion procedure, or as a standalone function.
  • an automated redaction method includes receiving, from an ingestion source, via an input coupled to the ingestion source, data indicative of a document. That document is then processed based on a predefined security protocol thereby to identify one or more alert artefacts in the document, based on a predefined set of alert artefacts.
  • alert artefacts may include textual (e.g. OCR detected) or non-textual artefacts. Based at least in part upon the identified one or more alert artefacts (and optionally based on other factors, such as user security level, user input, and so on), a first "native" security level is determined for the document.
  • the document is processed thereby to redact one or more portions based on locations of one or more of the identified alert artefacts, thereby to define a modified version of the document having a second security level lesser than the first security level (referred to as a "reduced" security level).
  • the manner by which portions are identified varies between embodiments. For example one approach includes identification of logical document portions (for example paragraphs, lines, sentences, etc) based on textually or graphically identifiable delimiters. Rules are defined for keywords, such that a portion is redacted (e.g. deleted to covered by a mask) based on a rule each time a keyword is identified. For example:
  • the method includes determining a security level of a user, and selecting the reduced security level based on the security level of the user.
  • the method includes define multiple reduced security level versions of the document having respective unique security levels. In some cases all of these are released into an information system.
  • user interface 217 enables a user to select which are desired.
  • a non-redacted version is released at a security level which exceeds that of the user (the user is not, however, able to access that document).
  • the multiple versions are released to respective locations in the information system based on their respective security levels.
  • Some embodiments enable a user to preview the version of the document having the second security level prior to release into the information system (for instance via user interface 217). This may include enabling the user to remove and/or add redactions in the preview of the modified version. In such cases, in the event that the user removes and/or adds redactions in the preview of the modified version, there is a redetermining of a security level for the user-redacted document.
  • This form of automated redaction may be applied thereby to provide a form of email filtering (for example in respect of incoming, outgoing and/or internal emails, and/or at a boundary of a file system used to store emails).
  • email filtering for example in respect of incoming, outgoing and/or internal emails, and/or at a boundary of a file system used to store emails.
  • outgoing emails are processed based on the automated redaction method prior to being delivered to their intended recipients, and a redacted version presented to the sender for approval.
  • This may be useful in terms of limiting communication regarding various topics via email, and/or controlling communication regarding sensitive topics (optionally responsive to security clearance levels of the sender and/or recipient).
  • each outgoing email is treated as originating at an ingestion source, is processed for automated redaction as described above (with a proposed redacted version optionally being returned to the sender for approval), prior to being released for ingestion by way of delivery through the local mail server to an intended recipient.
  • FIG. 3A to FIG. 3F illustrate exemplary document ingestion methods according to various embodiments.
  • the methods include similar steps designated by corresponding reference numerals. It will be appreciated that these methods are performable by a device, such as device 200, by execution of computer executable code.
  • an input document is received at 301.
  • a user interface is displayed at 302, which instructs a user to provide various aspects of information (for example credentials, document explanation, responses to questions, and so on).
  • Responses are received at 303.
  • Document metadata is then updated at 304, and determinations made as to security level and releasability made at 305. Based on decision 306, the document is either released at 307, or not released and a report on non- release generated at 308.
  • an input document is received at 301. That document is processed at 312 based on identification of artefacts, and document metadata updated at 304. Determinations are made as to security level and releasability made at 305. Based on decision 306, the document is either released at 307, or not released and a report on non-release generated at 308.
  • an input document is received at 301.
  • Redactability analysis is performed at 331. This may include processing based on artefacts (and or other means), determination of a security level, and then determination as to whether redaction to remove artefacts and surrounding data would result in decreased security level.
  • one or more redacted versions are defined at 332, and document metadata updated for each redacted version at 333. Determinations are made as to security level and releasability made at 335 for each version.
  • the documents are each either released at 337, or not released and a report on non- release generated at 338 (noting that the method may involve both of these steps, but only one of the two for each individual redacted version).
  • an input document is received at 301.
  • Processing/classification is performed at 341 (for example using various methodologies described further above), resulting in a determination that the current user does not have an adequate security level for release of the relevant document.
  • Redactability analysis is performed at 342, enabling the user to select one or more redacted versions of the document at a security level held by the user. The method then continues with steps 332 to 338 as described by reference to FIG. 3C.
  • an input document is received at 301.
  • Redact ability analysis is performed at 331 , and a user is enabled at 351 to select security levels at which redacted versions of the document are desired. Redacted versions for those levels are then defined at 332, and the method continues with steps 333 to 338.
  • Method 350 of FIG. 3F includes a combination of steps described by reference to previous methods, including aspects of artefact-based processing, user-input procurement, and reaction. It will be appreciated that this is one of many possible examples for defining more complex methods from the steps described herein.
  • a document tracking system is configured based upon document ingestion.
  • document rules are able to be configured thereby to monitor access (or attempted access) to ingested documents based on, for example, user preferences (i.e. a user manually defines rules for a given document), or based on predefined rules (e.g. based upon identification of alert artefacts).
  • Document tracking rules may be configured by way of a user interface which enables selection of criteria (for example based upon user security level, alert artefacts, and the like) and response actions (for example to whom alerts are to be provide in the case that the selected criteria are met). This may be used for security purposes (for example to enable alerts whenever certain documents are accessed under certain conditions), or as a form of "read receipt" (so as to conveniently track when a set of desired users have all accessed a given document).
  • one embodiment provides a computer implemented method for configuring document tracking for a document.
  • the method includes receiving, from an ingestion source, via an input coupled to an ingestion source, data indicative of a document.
  • the document is then analysed based on a set of tracking rules, wherein at least one tracking rule is defined by reference to an alert artefact that is identifiable in the document.
  • the document is selectively released into a file system (for example based on other considerations disclosed herein).
  • a tracking module is configured to monitor access and/or attempted access to the document post-release, and provide predefined alert notifications in response to such access/attempted access.
  • a given tracking rule is defined by reference to:
  • One or more attributes of the ingested document such as responsible user, attributes of the responsible user, and ingestion artefacts
  • a system can be configured to automatically track ingested documents (with or without knowledge of the ingesting user).
  • processor may refer to any device or portion of a device that processes electronic data, e.g., from registers and/or memory to transform that electronic data into other electronic data that, e.g., may be stored in registers and/or memory.
  • a "computer” or a “computing machine” or a “computing platform” may include one or more processors.
  • the methodologies described herein are, in one embodiment, performable by one or more processors that accept computer-readable (also called machine-readable) code containing a set of instructions that when executed by one or more of the processors carry out at least one of the methods described herein.
  • Any processor capable of executing a set of instructions (sequential or otherwise) that specify actions to be taken are included.
  • a typical processing system that includes one or more processors.
  • Each processor may include one or more of a CPU, a graphics processing unit, and a programmable DSP unit.
  • the processing system further may include a memory subsystem including main RAM and/or a static RAM, and/or ROM.
  • a bus subsystem may be included for communicating between the components.
  • the processing system further may be a distributed processing system with processors coupled by a network. If the processing system requires a display, such a display may be included, e.g., a liquid crystal display (LCD) or a cathode ray tube (CRT) display. If manual data entry is required, the processing system also includes an input device such as one or more of an alphanumeric input unit such as a keyboard, a pointing control device such as a mouse, and so forth.
  • the processing system in some configurations may include a sound output device, and a network interface device.
  • the memory subsystem thus includes a computer-readable carrier medium that carries computer-readable code (e.g., software) including a set of instructions to cause performing, when executed by one or more processors, one of more of the methods described herein.
  • computer-readable code e.g., software
  • the software may reside in the hard disk, or may also reside, completely or at least partially, within the RAM and/or within the processor during execution thereof by the computer system.
  • the memory and the processor also constitute computer-readable carrier medium carrying computer-readable code.
  • a computer-readable carrier medium may form, or be included in a computer program product.
  • the one or more processors operate as a standalone device or may be connected, e.g., networked to other processor(s), in a networked deployment, the one or more processors may operate in the capacity of a server or a user machine in server-user network environment, or as a peer machine in a peer-to-peer or distributed network environment.
  • the one or more processors may form a personal computer (PC), a tablet PC, a set-top box (STB), a Personal Digital Assistant (PDA), a cellular telephone, a web appliance, a network router, switch or bridge, or any machine capable of executing a set of instructions (sequential or otherwise) that specify actions to be taken by that machine.
  • PC personal computer
  • PDA Personal Digital Assistant
  • each of the methods described herein is in the form of a computer-readable carrier medium carrying a set of instructions, e.g., a computer program that is for execution on one or more processors, e.g., one or more processors that are part of web server arrangement.
  • a computer-readable carrier medium carrying computer readable code including a set of instructions that when executed on one or more processors cause the processor or processors to implement a method.
  • aspects of the present invention may take the form of a method, an entirely hardware embodiment, an entirely software embodiment or an embodiment combining software and hardware aspects.
  • the present invention may take the form of carrier medium (e.g., a computer program product on a computer-readable storage medium) carrying computer-readable program code embodied in the medium.
  • the software may further be transmitted or received over a network via a network interface device.
  • the carrier medium is shown in an exemplary embodiment to be a single medium, the term “carrier medium” should be taken to include a single medium or multiple media (e.g., a centralized or distributed database, and/or associated caches and servers) that store the one or more sets of instructions.
  • the term “carrier medium” shall also be taken to include any medium that is capable of storing, encoding or carrying a set of instructions for execution by one or more of the processors and that cause the one or more processors to perform any one or more of the methodologies of the present invention.
  • a carrier medium may take many forms, including but not limited to, non-volatile media, volatile media, and transmission media.
  • Non-volatile media includes, for example, optical, magnetic disks, and magneto-optical disks.
  • Volatile media includes dynamic memory, such as main memory.
  • Transmission media includes coaxial cables, copper wire and fiber optics, including the wires that comprise a bus subsystem. Transmission media also may also take the form of acoustic or light waves, such as those generated during radio wave and infrared data communications.
  • carrier medium shall accordingly be taken to included, but not be limited to, solid-state memories, a computer product embodied in optical and magnetic media; a medium bearing a propagated signal detectable by at least one processor of one or more processors and representing a set of instructions that, when executed, implement a method; and a transmission medium in a network bearing a propagated signal detectable by at least one processor of the one or more processors and representing the set of instructions.
  • some of the embodiments are described herein as a method or combination of elements of a method that can be implemented by a processor of a computer system or by other means of carrying out the function.
  • a processor with the necessary instructions for carrying out such a method or element of a method forms a means for carrying out the method or element of a method.
  • an element described herein of an apparatus embodiment is an example of a means for carrying out the function performed by the element for the purpose of carrying out the invention.
  • Coupled when used in the claims, should not be interpreted as being limited to direct connections only.
  • the terms “coupled” and “connected,” along with their derivatives, may be used. It should be understood that these terms are not intended as synonyms for each other.
  • the scope of the expression a device A coupled to a device B should not be limited to devices or systems wherein an output of device A is directly connected to an input of device B. It means that there exists a path between an output of A and an input of B which may be a path including other devices or means.
  • Coupled may mean that two or more elements are either in direct physical or electrical contact, or that two or more elements are not in direct contact with each other but yet still co-operate or interact with each other.

Abstract

La présente invention se rapporte à des systèmes et à des procédés adaptés pour gérer des documents électroniques. De façon plus spécifique, dans ses modes de réalisation, la présente invention se rapporte à l'entrée sécurisée de documents dans un système d'information, comme une entrée sécurisée de documents générés par un dispositif doté d'une fonction de numérisation par exemple. Des modes de réalisation de l'invention se rapportent à des dispositifs, à un logiciel (défini par un code exécutable par un ordinateur), à des supports et à des méthodologies. D'une façon générale, un document est reçu en provenance d'une source d'entrée, comme un dispositif multifonction (MFD) muni d'un scanneur. Par exemple, le document est scanné au format électronique à partir d'un document au format papier. Ledit format électronique est soumis à un traitement supplémentaire qui consiste à mettre en œuvre un protocole de sécurité prédéfini avant que le document (ou une version modifiée du document) ne soit publié dans un système d'information.
PCT/AU2013/000902 2012-08-16 2013-08-14 Entrée sécurisée de documents dans un système d'information, détermination directe d'un document électronique avec un maximum de sécurité et sa publication sélective dans un système d'information, et rédaction automatisée de documents sur la base de la détermination directe d'un document électronique avec un maximum de sécurité WO2014026235A1 (fr)

Applications Claiming Priority (6)

Application Number Priority Date Filing Date Title
AU2012903532A AU2012903532A0 (en) 2012-08-16 A device configured to manage secure ingestion of documents into an information system, and methods for operating such a device
AU2012903532 2012-08-16
AU2012903530A AU2012903530A0 (en) 2012-08-16 Automated redaction of documents based on security-level determination
AU2012903531 2012-08-16
AU2012903531A AU2012903531A0 (en) 2012-08-16 Streamlined security-level determination of an electronic document and selective release into an information system
AU2012903530 2012-08-16

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WO2014026235A1 true WO2014026235A1 (fr) 2014-02-20

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US9875364B2 (en) 2015-04-16 2018-01-23 International Business Machines Corporation Multi-focused fine-grained security framework
CN116432210A (zh) * 2023-06-13 2023-07-14 成都航空职业技术学院 一种基于安全保护的档案管理方法和系统

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US20060206462A1 (en) * 2005-03-13 2006-09-14 Logic Flows, Llc Method and system for document manipulation, analysis and tracking
US20060259983A1 (en) * 2005-05-13 2006-11-16 Xerox Corporation System and method for controlling reproduction of documents containing sensitive information
US20110173445A1 (en) * 2008-08-19 2011-07-14 Sameer Yami System and method for content based application of security levels to electronic documents

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US20060259983A1 (en) * 2005-05-13 2006-11-16 Xerox Corporation System and method for controlling reproduction of documents containing sensitive information
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Publication number Priority date Publication date Assignee Title
US9875364B2 (en) 2015-04-16 2018-01-23 International Business Machines Corporation Multi-focused fine-grained security framework
US9881166B2 (en) 2015-04-16 2018-01-30 International Business Machines Corporation Multi-focused fine-grained security framework
US10354078B2 (en) 2015-04-16 2019-07-16 International Business Machines Corporation Multi-focused fine-grained security framework
CN116432210A (zh) * 2023-06-13 2023-07-14 成都航空职业技术学院 一种基于安全保护的档案管理方法和系统
CN116432210B (zh) * 2023-06-13 2023-08-29 成都航空职业技术学院 一种基于安全保护的档案管理方法和系统

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