Title of Invention

DOCUMENT SECURITY SYSTEM

Abstract A document security system is disclosed. In the document security system, when a user is permitted to use a device and to use a document, a process for the document requested by a user is executed by the device. Further, after executing the process, a follow-up obligation is executed corresponding to the type of the document obtained from image data of the document.
Full Text - 1 -
DESCRIPTION
DOCUMENT SECURITY SYSTEM
TECHNICAL FIELD
The present invention generally relates to a
document security system in which a document job requested
by a user is executed when the user is permitted to use a
document processing device based on a using right of the
device and to execute the job based on a using right of the
document, and an obligation is executed corresponding to
the type of the document obtained from image data of the
document.
BACKGROUND ART
Recently, the importance of maintaining the
security of a document has been largely recognized and the
necessity to keep corporate secrets has been enhanced. In
addition to in an electronic document processed on a
personal computer, in a document printed from the
electronic document and a document transmitted or received
by a facsimile, necessity of maintaining the security of
the document has been increased.
Especially, in an image processing apparatus
having plural functions which process a paper document and

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an electronic document, necessity of maintaining the
security of the document has been increased.
In Patent Documents 1 and 2, and Non-Patent
document 1, when a secret document is printed, a pattern
for identifying the secret document is automatically
printed on a background of the secret document according to
a security policy, and when the printed secret document is
copied or scanned by an image processing apparatus, the
image processing apparatus identifies the pattern on the
background and determines whether the document is copied or
scanned according to the security policy.
In Patent Document 3, when a document is copied,
scanned, or transmitted by a facsimile function in an image
processing apparatus, the image processing apparatus
instantly determines whether the scanned document has a
specific background by image matching, and controls
processes of copying, scanning, or transmitting by the
facsimile function based on the determined result.
In Patent Document 4, a pattern preventing
copying is attached to image data of a read document; in
addition, a barcode is attached to a document to be
processed or later processed, and the document is prevented
from being processed.
In Non-Patent Document 2, an administrator
determines a person who can use functions of copying,

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printing, and scanning.
In Non-Patent Document 3, in a case where an
image is copied, when a specific mask pattern is detected
during the copying, the image is broken.
[Patent Document 1] Japanese Laid-Open Patent
Application No. 2005-038372
[Patent Document 2] Japanese Laid-Open Patent
Application No. 2004-152261
[Patent Document 3] Japanese Laid-Open Patent
Application No. 2004-200897
[Patent Document 4] Japanese Laid-Open Patent
Application No. 2005-072777
[Non-Patent Document 1] Development of System to
Maintain Security of Paper and Electronic Documents
corresponding to Policy, IPSJ Symposium Series Vol. 2004,
No. 11, pp. 661-666, by Kanai and Saitoh
[Non-Patent Document 2] Unauthorized Use
Preventing System by Restricting Use of Function, http//www.ricoh.co.jp/imagio/neo_c/455/point/point6.html>
[Non-Patent Document 3] Unauthorized Copy
Preventing Function, http//www.ricoh.co.jp/imagio/neo/753/Point/point4.html>
In Non-Patent Document 2, in a system maintaining
security of a document when the document is processed by an
image processing apparatus, functions such as a copying

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function, a facsimile function, and a scanning function are
limited to authorized persons.
However, in the above system, a user having
authority for copying a document can freely copy a secret
document. That is, maintaining the security of the secret
document is not sufficient.
In addition, in Patent Documents 3 and 4, when a
secret document is printed, a specific background pattern
is printed together with the secret document. In a case
where the printed secret document having the specific
background pattern is tried to be copied, when the image of
the secret document is read, the specific background
pattern is detected in real time. Or the image to be
output is changed by the detected result. For example, in
Patent Document 3, the image is output with gray all over.
However, in the above methods, the number of the
secret documents to be processed is limited to the number
of the specific background patterns. For example, when a
specific background pattern is provided for a confidential
document, the method is used so that only administrators
can copy the confidential document; however, when users are
classified into several levels and the number of the secret
documents is increased, the number of the specific
background patterns is not sufficient.
In Non-Patent Document 1 and Patent Document 1,

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when a paper document is copied by an image processing
apparatus, a traceable ID embedded in the background of the
paper document is detected and copying the paper document
is determined by querying a server of the traceable ID.
However, since the query is sent to the server
located far away, in a high-speed image processing
apparatus capable of copying 100 pages or more per minute,
it is very difficult to identify the traceable IDs and
determine whether the paper documents are copied in real
time in the high-speed operations.
In addition, in Patent Document 2, when an
electronic document encrypted as a secret document is
printed, a specific printing method is forcibly used
corresponding to the security policy. For example, a
specific pattern is added to the background of the
electronic document.
However, when other documents which are not
encrypted as secret documents are printed, the documents
are printed without the specific patterns. For example, a
draft including secret information is not printed with the
specific pattern. Therefore, although the draft includes
the secret information, the draft can be copied as a
general document.
DISCLOSURE OF THE INVENTION

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The present invention solves one or more of the
problems in the conventional technologies. According to an
embodiment of the present invention, there is provided a
document security system which controls processes for a
paper document in real time without restricting the use of
functions of an image processing apparatus and lowering
operating speed in the image processing apparatus and
integrally controls executing a process after the above
process by analyzing the contents of the paper document
based on the security policy.
According to one aspect of the present invention,
there is provided a document security system. The document
security system includes a receiving unit which receives a
request for processing a document from a user, a first
determined result obtaining unit which obtains a first
determined result by determining whether the process
requested according to a device using right of the user is
given a permission for processing by referring to a device
security policy in which the device using right of the user
is defined, a document type determining unit which
determines the type of the document based on identifying
information by obtaining the identifying information
attached to the document from image data obtained by
scanning the document, a second determined result obtaining
unit which obtains a second determined result by

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determining whether the type of the document determined by
the document type determining unit is permitted to perform
the process requested by the request by referring to a
document security policy in which the document using right
of the user is defined, a process executing unit which
executes the process for the document requested by the user
when both the first determined result and the second
determined result is affirmative, an analyzing unit which
analyzes the image data obtained by scanning the document,
and a follow-up obligation executing unit which executes a
follow-up obligation according to the document security
policy based on information obtained by the analyzing unit
after executing the process for the document requested by
the user.
According to another aspect of the present
invention, there is provided a digital multifunctional
apparatus. The digital multifunctional apparatus includes
a real time paper document determining unit which
determines the type of a paper document based on
identifying information by obtaining the identifying
information attached to the paper document from image data
obtained by scanning the paper document, a document using
right determining unit which determines whether a user who
requests to process the paper document has a document using
right for using the paper document for processing the paper

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document of the type of the paper document determined by
the real time paper document determining unit by referring
to a document security policy in which the document using
right of the user is defined, a paper document processing
unit which processes the paper document by changing process
contents based on a determined result by the document using
right determining unit, and a paper document detail policy
determination process requesting unit which sends a detail
policy determination process request including the process
contents for the paper document to a predetermined
destination.
According to an embodiment of the present
invention, in a document security system, a paper document
is processed in real time without restricting the use of
functions of an image processing apparatus and lowering
operating speed in the image processing apparatus and
integrally controls executing an obligation process after
the above processes by analyzing the contents of the paper
document based on the security policy.
The features and advantages of the present
invention will become more apparent from the following
detailed description of a preferred embodiment given with
reference to the accompanying drawings.
BRIEF DESCRIPTION OF THE DRAWINGS

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Fig. 1 is a network structure of a document
security system according to an embodiment of the present
invention
Fig. 2 is a process flow for maintaining security
of an original document;
Fig. 3 is a process flow for printing a secured
document;
Fig. 4 is a process flow for copying a paper
document, scanning the paper document, or transmitting the
paper document by a facsimile function in a digital
multifunctional apparatus;
Fig. 5 is a diagram showing a structure and a
process flow for maintaining security of the original
document;
Fig. 6 is a diagram showing a process for forming
the secured document by a document security program;
Fig. 7 is a process flow for accessing the
secured document;
Fig. 8 is a process flow for scanning a paper
manuscript;
Fig. 9 is a table showing a rule of permission and
non-permission for scanning the paper manuscript by a user
in combinations of a document security policy and a device
security policy;
Fig. 10 is a table showing an example of

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obligation merging rules;
Fig. 11 is a sequence chart showing processes to
scan the paper manuscript;
Fig. 12 is a diagram showing an example of
structure of the device security policy;
Fig. 13 is a diagram showing an example of a
device security attribute database;
Fig. 14 is a diagram showing a first part of the
structure of the document security policy;
Fig. 15 is a diagram showing a second part of the
structure of the document security policy;
Fig. 16 is a diagram showing a third part of the
structure of the document security policy;
Fig. 17 is a diagram showing a fourth part of the
structure of the document security policy;
Fig. 18 is a diagram showing an example of a
screen for setting a fundamental document policy;
Fig. 19 is a diagram showing an example of a
screen for setting a policy for a paper document;
Fig. 20 is a diagram showing an example of a
structure of a document security attribute database;
Fig. 21 is a diagram showing processes to be
executed by a scanning program;
Fig. 22 is a diagram showing processes to be
executed by a policy server A;

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Fig. 23 is a diagram showing processes to be
executed after the processes shown in Fig. 22 by the policy
server A;
Fig. 24 is a sequence chart showing processes to
scan the paper manuscript in which scanned data are sent to
the policy server A program right before the end of the
scanning processes;
Fig. 25 is a diagram showing processes to be
executed by the scanning program in a case where a detail
policy determination process is executed after executing an
obligation;
Fig. 26 is a diagram showing processes of a
document using right determination process to be executed
by the policy server A program in a case where a detail
policy determination process is executed after executing an
obligation;
Fig. 27 is a diagram showing processes in the
detail policy determination process to be executed by the
policy server A program after executing an obligation;
Fig. 28 is a diagram showing an example of first
alert mail which is sent to an administrator as an
obligation when a general document is copied;
Fig. 2 9 is a diagram showing an example of second
alert mail which is sent to the administrator as an
obligation when a paper document printed from a secured

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document is copied; and
Fig. 30 is a diagram showing an example of third
alert mail which is sent to the administrator as a follow-
up obligation when a paper document printed from an
original document is scanned.
BEST MODE FOR CARRYING OUT THE INVENTION
Next, referring to the drawings, an embodiment of
the present invention is described in detail.
Fig. 1 is a network structure of a document
security system 100 according to the embodiment of the
present invention. As shown in Fig. 1, the document
security system 100 includes a user terminal 1, a printer 2,
a digital multifunctional apparatus 3, an administrator
terminal 4; and a server group including a user
authentication server 10, a policy server A 20, a policy
server B 30, and a content analyzing server 40 that are
operated as back-end services. In addition, the document
security system 100 includes a network 7, and the above
elements are connected to each other via the network 7.
The user terminal 1 is used by a general user for handling
an electronic document la. The printer 2 is used to print
out a paper document 2c. The digital multifunctional
apparatus 3 is an image processing apparatus having
multiple functions such as copying a paper manuscript 3a,

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scanning the paper manuscript 3a, and transmitting the
paper manuscript 3a by a facsimile function. The
administrator terminal 4 is used by an administrator of the
document security system 100 and is a destination of alert
mail 4e.
The user authentication server 10 manages user
authentication information and authenticates a user. The
policy server A 20 manages a document security policy 21
which manages document using rights of users. The policy
server B 30 manages a device security policy 31 which
manages device using rights of users. The content
analyzing server 40 manages an original digital document.
Each of the user terminal 1, the printer 2, the
digital multifunctional apparatus 3, the administrator
terminal 4, the user authentication server 10, the policy
server A 20, the policy server B 30, and the content
analyzing server 40 provides at least a CPU (central
processing unit), a memory unit, storage which stores
programs (described below), a communication unit for
communicating via the network 7, an input unit, and a
display unit.
In Fig. 1, in order to describe the functions in
the document security system 100, the several elements are
shown; however, one element can include several functions.
For example, one terminal can include the user terminal 1

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and the administrator terminal 4, and one apparatus can
include the printer 2 and the digital multifunctional
apparatus 3. Further, one server can include the user
authentication server 10, the policy server A 20, and the
policy server B 30.
When the document security system 100 is
established as an expanded system of a DRM (digital rights
management) system, the performance of the document
security system 100 can be high. Therefore, in the
embodiment of the present invention, the document security
system 100 is established based on the DRM system.
First, referring to Figs. 2 through 4, basic
process flows of the document security system 100 are
described. Fig. 2 is a process flow for maintaining
security of an original document. First, when the user
terminal 1 sends an original document lb as a confidential
document to be encrypted to the policy server A 20 (SI),
the policy server A 20 forms a secured document lc in which
the original document lb is encrypted. Further, the policy
server A 20 registers the contents of the original document
lb in the content analyzing server 40 (S2). Then the
policy server A 20 sends the secured document lc to the
user terminal 1 (S3).
In the registration of the contents of the
original document lb in the content analyzing server 40,

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the policy server A 20 registers the original document 1b
and security attributes such as the document ID and the
security level, and the content analyzing server 40
extracts text from the original document lb.
Fig. 3 is a process flow for printing a secured
document. In Fig. 3, when the user terminal 1 desires to
print the secured document lc, the user of the user
terminal 1 requests the user authentication server 10 to
authenticate the user (Sll). Further, the user of the user
terminal 1 is confirmed to have a right for printing the
secured document lc by the policy server A 20 (S12) . When
the user of the user terminal 1 is confirmed to have the
right, the policy server A 20 sends a decryption key to the
user terminal 1.
The user terminal 1 receives the decryption key
and requests the printer 2 to print the secured document lc
by applying a security policy designated by the document
security policy 21 (S13). The printer 2 prints the secured
document lc as the paper document 2c (S14).
When a security maintaining print such as "Copy
Protection against Unauthorized Copy" is defined in the
document security policy 21 beforehand, the paper document
2c is printed with a specific pattern on the background.
Fig. 4 is a process flow for copying a paper
document, scanning the paper document, or transmitting the

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paper document by the facsimile function in the digital
multifunctional apparatus 3. In Fig. 4, when a user
desires to scan a paper manuscript 3a (or copy the paper
manuscript 3a, or transmit the paper manuscript 3a by the
facsimile function) on the digital multifunctional
apparatus 3 (S21), the user of the digital multifunctional
apparatus 3 is authenticated by the user authentication
server 10 (S22). The digital multifunctional apparatus 3
confirms the policy server B 30 that the user has a right
to scan the paper manuscript 3a (S23). When the user has
the right, the digital multifunctional apparatus 3 scans
the paper manuscript 3a and detects a specific pattern when
the specific pattern is merged with image data of the paper
manuscript 3a.
The digital multifunctional apparatus 3 confirms
with the policy server A 20 that the user can scan the
paper manuscript 3a on which the specific pattern is merged
(S24); when the user can scan the paper manuscript 3a based
on the confirmed result, the digital multifunctional
apparatus 3 scans the paper manuscript 3a (S25) and outputs
scanned data of the paper manuscript 3a to a destination
designated by the user.
The policy server A 20 requests the content
analyzing server 40 to analyze the contents of the image
data of the scanned paper manuscript 3a (S26). When the

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paper manuscript 3a is prevented from being scanned based
on the analyzed result, the policy server A 20 sends alert
mail to the administrator terminal 4 (S27).
As described above, in the embodiment of the
present invention, when the paper manuscript 3a is
processed, the security policy is confirmed in real time,
and after that, the security policy is again confirmed by
analyzing the contents of the paper manuscript 3a.
Next, referring to Figs. 5 and 6, a structure and
a process flow for maintaining the security of the original
document lb are described. Fig. 5 is a diagram showing the
structure and the process flow for maintaining the security
of the original document lb. Fig. 6 is a diagram showing a
process for forming a secured document by a document
security program.
As shown in Fig. 5, the policy server A 20
provides a document security program 20P, the document
security policy 21, a policy server A program 22, and a
document security attribute database 24. The content
analyzing server 40 provides a content analyzing program 42
and a content register database 44.
A user 9 sends an original document lb and
security attributes thereof to the document security
program 20P (S51). The security attributes include a
domain to which the original document lb belongs, a

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category of the original document lb, the security levels,
information of persons relating to the original document lb,
and so on.
As shown in Fig. 6, the document security program
20P generates an encryption key and a decryption key, and
forms an encrypted document 22c by encrypting the original
document lb while using the encryption key. Further, the
document security program 20P generates a unique document
ID for identifying a document and forms a secured document
lc by adding the unique document ID to the encrypted
document 22c.
The document security program 20P registers the
document ID, the decryption key, and the security
attributes in the policy server A program 22 (S52) .
Further, the document security program 20P sends the
document ID, the security attributes, and the original
document lb to the content analyzing program 42 in the
content analyzing server 40 , and registers the contents
(the document ID, the security attributes) of the original
document lb in the content register database 44 (S53).
Then the document security program 20P sends the secured
document lc to the user 9 (S54).
As described above, when the original document lb
is encrypted and the security thereof is maintained, the
contents including the document ID, and the security

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attributes of the original document lb are registered in
the content register database 44. That is, in the content
register database 44, information is registered in which
information the document category, the security level, and
so on of the original document lb are described.
By the above process flows, the secured document
1c is formed. Then the user 9 can send the secured
document lc to another user 9.
Next, a process flow is described in which the
user 9 accesses the secured document lc after receiving it.
Fig. 7 is a process flow for accessing the secured document
1c.
In Fig. 7, first, the user 9 inputs user
authentication information (for example, the user name, the
user password, and so on) and the secured document lc in
the user terminal 1, and instructs to display or print the
secured document lc (S71).
A document displaying/printing program lp in the
user terminal 1 sends the user authentication information
to the user authentication server 10 (S72). A user
authentication program 12 in the user authentication server
10 authenticates the user 9 based on the user
authentication information by referring to information in a
user management database 14, and sends the user
authenticated result to the user terminal 1 (S73) .

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The document displaying/printing program 1p in
the user terminal 1 obtains the document ID in the secured
document 1c, and sends the obtained document ID, the user
authenticated result received from the user authentication
server 10, and the type of the access (displaying or
printing) to the policy server A 20 (S74).
The policy server A program 22 in the policy
server A 20 determines whether the user 9 accesses the
secured document lc and obligation of the user 9 by
referring to the document security policy 21 and
information in the document security attribute database 24
based on the document ID, the user authenticated result,
and the type of the access. Then the policy server A
program 22 sends the determined result of the access and
the obligation to the user terminal 1, and further sends
the decryption key when the user access is permitted (S75).
The document displaying/printing program lp
receives the determined result of the access and the
obligation, and further receives the decryption key from
the policy server A program 22 when the user access is
permitted.
When the user access is not permitted, the
document displaying/printing program lp informs the user of
the non-permission of the access, and the process flow ends.
When the user access is permitted, the document

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displaying/printing program 1p obtains the original
document lb by decrypting the encrypted document in the
secured document 1c while using the received decryption key,
and applies rendering to the original document lb and
displays the original document lb (S76), or prints the
original document lb (S77) . When the document
displaying/printing program lp receives an obligation
(described below) from the policy server A program 22, a
process for the obligation is executed. When the type of
the access is to display, the original document lb (the
decrypted secured document lc) is displayed on the user
terminal 1, and when the type of the access is to print,
the original document lb is printed by the printer 2 by
instructing the printer 2 to print the original document lb.
The process flow by the document
displaying/printing program lp can use a process flow
described in Patent Document 2. Therefore, when the
process flow described in Patent Document 2 is used, a
secret document is printed by the document security policy
21 and the policy server A program 22 while setting an
obligation (requirement in Patent Document 2) such as
"print by merging a traceable pattern on the background".
In this case, when the user 9 requests to print
the secured document lc on the user terminal 1, the policy
server A program 20 sends an obligation that the secured

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document 1c be printed by merging a traceable pattern as
the determined result, and the document displaying/printing
program 1p prints the secured document lc by merging the
traceable pattern on the printer 2.
Therefore, when the secured document lc is copied,
scanned, or transmitted by the facsimile function in the
digital multifunctional apparatus 3, the secured document
lc can be recognized as a secret document.
In all cases of copying, scanning, and
transmitting by a facsimile function the paper manuscript
3a in the digital multifunctional apparatus 3, the paper
manuscript 3a is scanned, then the scanned image data are
copied, stored, or transmitted by the facsimile function.
The difference among the above processes occurs after
scanning the paper manuscript 3a. Therefore, in the
following, only the case of scanning the paper manuscript
3a is described. When copying or transmitting the paper
manuscript 3a is executed, a process similar to the process
in scanning the paper manuscript 3a is executed.
Fig. 8 is a process flow for scanning the paper
manuscript 3a. As shown in Fig. 8, the policy server B 30
includes the device security policy 31, a policy server B
program 32, and a device security attribute database 34.
In Fig. 8, when a user 9 desires to scan a paper
manuscript 3a in the digital multifunctional apparatus 3,

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the user 9 inputs the user authentication information (the
user name and the user password) on an operating panel of
the digital multifunctional apparatus 3 (S81) . A scanning
program 3P in the digital multifunctional apparatus 3 sends
the user authentication information received from the user
9 to the user authentication server 10 (S82).
The user authentication program 12 in the user
authentication server 10 authenticates the user 9 based on
the user authentication information by referring to
information in the user management database 14, and sends
the user authenticated result to the digital
multifunctional apparatus 3 (S83).
When the user 9 is authenticated by the user
authentication server 10, the scanning program 3P in the
digital multifunctional apparatus 3 displays the user
authenticated result on the operating panel (S84) and the
user 9 pushes a scanning button in the digital
multifunctional apparatus 3.
The scanning program 3P in the digital
multifunctional apparatus 3 sends the user authenticated
result, the ID (device ID) of the digital multifunctional
apparatus 3, and the type of the access (in this case,
scanning) to the policy server B 30, and the policy server
B program 32 determines whether the user 9 has a right to
scan the paper manuscript 3a in the digital multifunctional

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apparatus 3 by referring to the device security policy 31
and information in the device security attribute database
34 (S85).
The digital multifunctional apparatus 3 receives
a policy determined result B including a permission/non-
permission result and an obligation from the policy server
B 30 (S86). When the policy determined result B shows
permission, the digital multifunctional apparatus 3 scans
the paper manuscript 3a. Then the scanning program 3P
determines whether a specific background pattern is in the
scanned image by analyzing image data of the scanned paper
manuscript 3a.
The scanning program 3P sends the user
authenticated result, information detected in real time
including the type of the background pattern, the scanned
data, the type of the access (scanning), and the policy
determined result B to the policy server A 20. The policy
server A program 22 determines whether that the user 9 has
a right to scan the paper manuscript 3a (S87).
The digital multifunctional apparatus 3 receives
a policy determined result A including the permission/non-
permission for scanning and an obligation from the policy
server A program 22 (S88), and executes the scanning
process. For example, the digital multifunctional
apparatus 3 sends the scanned data to a designated

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destination.
When the policy is determined, the policy server
A program 22 merges the obligation which is included in the
policy determined result B corresponding to the device
security policy 31 with the obligation which is included in
the policy determined result A corresponding to the
document security policy 21 by a merging rule set
beforehand in the policy server A program 22.
When the obligations cannot be merged, the policy
determined result A is non-permission (described below in
Fig. 9). When the policy determined result A is non-
permission or the obligations of the policy determined
results A and B cannot be executed, the scanning program 3P
stops the scanning process as an error operation.
The scanning program 3P displays the above
processed result on the user terminal 1 and ends the
processes (S89).
The policy server A program 22 sends the
scanned data received from the scanning program 3P to the
content analyzing server 40 (S90). The content analyzing
program 42 in the content analyzing server 40 estimates a
security attribute by analyzing the background and the
contents of the scanned data of the paper manuscript 3a.
The policy server A program 22 receives the estimated
security attribute (S91) and executes a process

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corresponding to the document security policy 21 based on
the attribute. For example, the policy server A program 22
sends alert mail to the administrator terminal 4.
As described above, the scanning program 3P
permits the user 9 to scan the paper manuscript 3a when the
user 9 has both the right to use the digital
multifunctional apparatus 3 and the right to use the paper
manuscript 3a.
In addition, since the right determination is
processed based on information obtained in real time, the
scanning program 3P does not force the user 9 to wait
unnecessarily. Further, since the contents of the scanned
data are analyzed, even if a user 9 not having the right
scans a secret document, the administrator can know about
the unauthorized use of the secret document. Therefore,
the document security system 100 can be realized in which
the security of the secret document is maintained and
usability is increased.
Fig. 9 is a table TBL 50 showing a rule of the
permission and the non-permission for scanning the paper
manuscript 3a by the user 9 in combinations of the document
security policy 21 and the device security policy 31.
As shown in Fig. 9, only when the document
security policy 21 and the device security policy 31 permit
scanning the paper manuscript 3a by the user 9, the user 9

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can scan the paper manuscript 3a. However, an obligation
is forced on the permission in which the obligation of the
document security policy 21 and the obligation of the
device security policy 31 are merged by a predetermined
rule. When the obligation cannot be forced, the scanning
is not permitted.
Fig. 10 is a table showing an example of
obligation merging rules. In Fig. 10, in an obligation
merging rule "Simple-merge", an obligation designated by
the document security policy 21 is simply merged with an
obligation designated by the device security policy 31.
When obligations which compete against each other exist,
the merged result becomes a merging error.
In an obligation merging rule "Document-only",
only an obligation designated by the document security
policy 21 is used. Therefore, a merging error does not
occur. When the following is determined, this rule can be
used. That is, the document security policy 21 is used for
a document whose policy is determined, and device security
policy 31 is used for others.
In an obligation merging rule "Device-only", only
an obligation designated by the device security policy 31
is used. Therefore, a merging error does not occur.
In an obligation merging rule "Document-
preference-merge", an obligation designated by the document

- 28 -
security policy 21 is merged with an obligation designated
by the device security policy 31. When obligations which
compete against each other exist, the obligation designated
by the document security policy 21 is used. Therefore, a
merging error does not occur.
In an obligation merging rule "Device-preference-
merge", an obligation designated by the document security
policy 21 is merged with an obligation designated by the
device security policy 31. When obligations which compete
against each other exist, an obligation designated by the
device security policy 31 is used. Therefore, a merging
error does not occur.
The administrator of the policy server A program
22 sets the obligation merging rule in the program 22 by
selecting one of the obligation merging rules.
Fig. 11 is a sequence chart showing processes to
scan the paper manuscript 3a. In Fig. 11, a request to a
program is executed by a function call (continuous line),
and a result processed by the function call is returned as
a return value (dashed line).
Referring to Fig. 11, the processes are described.
First, the user 9 requests to be authenticated by inputting
user authentication information on the operating panel of
the digital multifunctional apparatus 3 (S101). The
scanning program 3P of the digital multifunctional

- 29 -
apparatus 3 sends the request including the user
authentication information to the user authentication
server 10 (S102).
The user authentication program 12 in the user
authentication server 10 authenticates the user 9 based on
the user authentication information received from the
digital multifunctional apparatus 3 (S103), and returns the
user authenticated result to the scanning program 3P (S104).
When the user authenticated result shows
successful, the scanning program 3P displays the main
screen on the digital multifunctional apparatus 3 (S105).
When the user authenticated result does not show successful,
the scanning program 3P informs the user 9 of non-
authentication and does not executes the processes by the
user 9.
The user 9 sends a paper manuscript scanning
request to the digital multifunctional apparatus 3 by
putting the paper manuscript 3a thereon (S106). In order
to determine whether the user 9 has a right to use the
digital multifunctional apparatus 3, the scanning program
3P of the digital multifunctional apparatus 3 sends a
device using right determination request to the policy
server B 30 to determine whether the user 9 has the device
using right based on the paper manuscript scanning request
(S107). In the device using right determination request,

- 30 -
the user authenticated result, the device information, and
the type of access (in this case, scanning) are designated.
The policy server B program 32 in the policy
server B 30 determines whether the user 9 has the device
using right by referring to the device security policy 31
and information in the device security attribute database
34 (S108), and returns the determined result to the
scanning program 3P as the device using right determined
result (corresponding to the policy determined result B
shown in Fig. 8) (S109).
When the user 9 does not have the device using
right, the scanning program 3P informs the user 9 of that
the user 9 does not have the device using right for
scanning the paper manuscript 3a and ends the processes.
When the user 9 has the device using right, the scanning
program 3P scans the paper manuscript 3a (S110). Then the
scanning program 3P detects a background pattern of the
paper manuscript 3a from data scanned the paper manuscript
3a (S111).
In order to determine whether the user 9 has a
document using right, the scanning program 3P sends a
document using right determination request to the policy
server A 20 (S112). The document using right determination
request includes the user authenticated result, real time
detected information by the background pattern detection in

- 31 -
S111, the scanned data, the type of the access (in this
case, scanning), the device using right determined result
(corresponding to the policy determined result B shown in
Fig. 8).
The policy server A program 22 in the policy
server A 20 determines whether the user 9 has the document
using right by referring to the document security policy 21
and information in the document security attribute database
24 (S113).
The policy server A program 22 in the policy
server A 20 merges obligations designated by the document
using right determined result and the device using right
determined result by referring to the table TBL 50 shown in
Fig. 9 and the obligation merging rule shown in Fig. 10
(S114).
The policy server A program 22 in the policy
server A 20 sends the document using right determined
result to the digital multifunctional apparatus 3 (S115).
Then the policy server A program 22 in the policy
server A 20 sends the scanned data to the content analyzing
server 40 (S116). The content analyzing program 42 in the
content analyzing server 40 analyzes the contents of the
scanned data (S117), and returns the analyzed result to the
policy server A program 22 as a security attribute (S118).
Then the policy server A program 22 in the policy

- 32 -
server A 20 determines whether an obligation exists based
on the security attribute (S119), and executes the
obligation based on the obligation determined result (S120).
For example, alert mail is sent to the administrator
terminal 4.
When the scanning program 3P receives the
document using right determined result as a return value in
S115 after sending the document using right determination
request in S112, the scanning program 3P executes an
obligation designated by the document using right
determined result (S115-2) and executes a scanning
completion process (S115-4).
The scanning program 3P sends a scanning
completion notice to the user 9 as a return value for the
request (S106) of scanning the paper manuscript 3a (S115-6).
Then the digital multifunctional apparatus 3 displays the
scanning completion on the operating panel and the user 9
recognizes the scanning completion.
Next, referring to Fig. 12, a structure of the
device security policy 31 is described. Fig. 12 is a
diagram showing an example of the structure of the device
security policy 31. In Fig. 12, the device security policy
31 is written, for example, in XML (extensible markup
language) and is defined as a description between
and .

- 33 -
In the device security policy 31 shown in Fig. 12,
plural policies for a device to be used are defined in
descriptions 31a, 31b, ••• between and .
Targets for a policy to be defined in the
description 31a are defined as a description 31-1 from
to through a description 31-5 from
to . In the description 31-1, the
targets are defined in the following. That is, the
category () of a resource () to be the
target is "OFFICE_USE" for signifying that the device is
used in an office. The category () of persons
() to be the target is "RELATED_PERSONS" for
signifying related persons, and the level for signifying
the right level of the related persons is "ANY" for
signifying that the right level is not restricted. The
functions () to be the targets are "SCAN" for
signifying scanning, "COPY" for signifying copying, and
"FAX" for signifying facsimile the document.
For the targets defined in the description 31-1,
permission is defined by the description 31-2 of Effect=Permit/> signifying permission or non-permission.
In addition, by the obligation () in
the description 31-3, the type () of the obligation
signifying to record a log "RECORD_AUDIT_DATA" is
designated.

- 34 -
As described above, the followings are defined in
the description 31-5. That is, the category ()
of a resource () to be the target is "OFFICE_USE"
for signifying that the device is used in an office, the
category () of persons () to be the
target is "ANY" for signifying the related persons are not
restricted, and the level for signifying the right level of
the related persons is "ANY" for signifying that the right
level is not restricted, and the function () to be
the target is "COPY" signifying for copying the document.
In addition, for the targets defined by the
description 31-5, the permission is defined by the
description 31-6 of signifying
permission or non-permission.
In addition, by an obligation () in
the description 31-7, the type () of the obligation
"ALERT_MAIL" signifying alert mail is designated. Further,
a parameter for writing in the alert mail is defined as,
for example, "%o is applied by %u at %m.(date and time %d)".
The parameter is described below in detail.
Targets for a policy to be defined in the
description 31b are defined as a description 31-8 from
to . In the description 31-8, the
targets are defined in the following. That is, the
category () of a resource () to be the

- 35 -
target is "PUBLIC_USE" for signifying that the device is
used in public (no restriction). The category ()
of persons () to be the target is "ANY" for
signifying the persons are not restricted, and the level
for signifying the right level of the persons is "ANY" for
signifying that the right level is not restricted. The
functions () to be the targets are "SCAN" for
signifying scanning, "COPY" for signifying copying, and
"FAX" for signifying facsimile the document.
For the targets defined in the description 31-8,
permission is defined by the description 31-9 of Effect=Permit/> signifying permission or non-permission.
For the targets to be defined in the description
31-8, the obligation () is not designated.
Next, referring to Fig. 13, a structure of the
device security attribute database 34 is described. Fig.
13 is a diagram showing an example of the device security
attribute database 34. As shown in Fig. 13, the structure
of the device security attribute database 34 includes items
of "DEVICE ID" (device identifying information) for
identifying a device, "CATEGORY" for signifying a using
range of the device, "RELATED_PERSONS" for signifying
persons (sections) using the device, "ADMINISTRATORS" for
signifying administrators of the device, and so on.
In the "DEVICE ID", information for identifying

- 36 -
devices, for example, MFP000123, MFP000124, LP00033, and so
on are registered. In the "CATEGORY", "OFFICE_USE" for
signifying that the device can be used by only persons in
the office, "PUBLIC_USE" for signifying that the device can
be used by any persons in the office and in public, and so
on are shown.
For example, in the MFP000123 of "DEVICE ID",
since the "CATEGORY" is "OFFICE_USE" and "RELATED_PERSONS"
is "Development_Section_l", the users are restricted to the
persons in the development section 1. In addition, the
administrators of the MFP000123 are "tanaka" and "yamada".
Next referring to Figs. 14 through 17, a
structure of the document security policy 21 is described.
Fig. 14 is a diagram showing a first part of the structure
of the document security policy 21. Fig. 15 is a diagram
showing a second part of the structure of the document
security policy 21. Fig. 16 is a diagram showing a third
part of the structure of the document security policy 21.
Fig. 17 is a diagram showing a fourth part of the structure
of the document security policy 21. The structure is a
data file of the document security policy 21. In Figs. 14
through 17, the document security policy 21 is written, for
example, in XML and is defined as a description between
and .
In the document security policy 21 shown in Figs.

- 37 -
14 through 17, plural policies are defined by descriptions
between and for documents to be
used, for example, a paper document, an electronic document,
and so on. In addition, the plural policies are defined by
classifying into corresponding policies by using the
description between and .
In the document security policy 21 shown in Figs.
14 through 17, the plural policies are defined in the
descriptions 1220 through 1270 between and
for devices to be used. The descriptions 1220
through 1240 are classified into a fundamental document
policy 1210a to be described between and
, and the descriptions 1250 through 1270 are
classified into a fundamental document policy 1210b to be
described between and .
First, a policy to be defined by the fundamental
document policy 1210a is described.
Targets of a policy to be defined in the
description 1220 are defined as a description 1221 from
to . In the description 1221, the
targets are defined in the following. That is, the
category () of a resource () to be the
target is "PERSONNEL" for signifying that the document is
related to a personnel section, and the secret level of the
document is "SECRET" for signifying confidential. The

- 38 -
category () of persons () to be the
target is "RELATED_PERSONS" for signifying the related
persons, and the level for signifying the right level of
the related persons is "ANY" for signifying that the right
level is not restricted. The functions () to be
the targets are "READ" for signifying reading, "SCAN" for
signifying scanning, "COPY" for signifying copying, and
"FAX" for signifying facsimile the document.
For the targets defined in the description 1221,
permission is defined by the description 1225 of Effect=Permit/> signifying permission or non-permission.
In addition, for the targets to be defined in the
description 1221, an obligation () is not
designated.
Targets of a policy to be defined in the
description 1230 are defined as a description 1231 from
to . In the description 1231, the
targets are defined in the following. That is, the
category () of a resource () to be the
target is "PERSONNEL" for signifying that the document is
related to a personnel section, and the secret level of the
document is "SECRET" for signifying confidential. The
category () of persons () to be the
target is "RELATED_PERSONS" for signifying the related
persons, and the level for signifying the right level of

- 39 -
the related persons is "ANY" for signifying that the right
level is not restricted. The function () to be
the targets is "PRINT" for signifying printing the document.
For the targets defined in the description 1231,
permission is defined by the description 1235 of Effect=Permit/> signifying permission or non-permission.
In addition, as an obligation () by a
description 1237, in order to prevent an unauthorized copy
of the document, the type () of the obligation
"COPYGUARD_PRINTING" is designated. Further, a copy
protection for preventing an unauthorized copy is specified
by a parameter.
In Fig. 15, targets of a policy to be defined in
the description 1240 are defined as a description 1241a
from to . In the description 1241a, the
targets are defined in the following. That is, the
category () of a resource () to be the
target is "PERSONNEL" for signifying that the document is
related to a personnel section, and the secret level of the
document is "SECRET" for signifying confidential. The
category () of persons () to be the
target is "ANY" for signifying that any persons are not
restricted, and the level for signifying the right level of
the persons is "ANY" for signifying that the right level is
not restricted. The functions () to be the

- 40 -
targets are "READ" for signifying reading, "PRINT" for
signifying printing, "COPY" for signifying copying, and
"SCAN" for signifying scanning the document.
For the targets defined in the description 1241a,
non-permission is defined by the description 1245a of Effect=Deny /> signifying permission or non-permission.
In addition, as an obligation () by a
description 1247a, the type () of the obligation of
"ALERT_MAIL" for signifying alert mail is designated.
Further, a parameter for writing in the alert mail is
designated as, for example, "%o is applied to this document
by %u (date and time %d)".
Targets of a policy to be defined in a
description 1241b are defined from to .
In the description 1241b, the targets are defined in the
following. That is, the category () of a
resource () to be the target is "PERSONNEL" for
signifying that the document is related to a personnel
section, and the secret level of the document is "SECRET"
for signifying confidential. The category () of
persons () to be the target is "ANY" for
signifying that any persons are not restricted, and the
level for signifying the right level of the persons is
"ANY" for signifying that the right level is not restricted.
The function () to be the targets is "FAX" for

- 41 -
signifying to facsimile the document.
For the targets defined in the description 1241b,
non-permission is defined by the description 1245b of Effect=Deny /> signifying permission or non-permission.
In addition, as an obligation () by a
description 1247b, the type () of the obligation
"RECORD_IMAGE_DATA" for signifying that image data to be
facsimiled are recorded is designated. In this case, a
parameter is not designated.
Next, in Fig. 16, policies to be defined in a
paper document policy 1210b are described.
Targets of a policy to be defined in the
description 1250 are defined as a description 1251 from
to . In the description 1251, the
targets are defined in the following. That is, the
category () of a resource () to be the
target is "PAPER" for signifying that the document is a
paper document, and the secret level of the paper document
is "3". The right level () of persons ()
to be the target is "REGULAR_STAFF" for signifying that the
persons are full-time regular staffs. The function
() to be the targets is "COPY" for signifying
copying the paper document.
For the targets to be defined in the description
1251, permission is defined by the description 1255 of

- 42 -
signifying permission or non-
permission.
In addition, as an obligation () by a
description 1257, the type () of the obligation of
"ALERT_MAIL" for signifying alert mail is designated.
Further, a parameter for writing in the alert mail is
designated as, for example, "%o is applied to paper
document by %u at %m (date and time %d)".
Targets of a policy to be defined in the
description 1260 are defined as a description 1261 from
to . In the description 1261, the
targets are defined in the following. That is, the
category () of a resource () to be the
target is "PAPER" for signifying that the document is a
paper document, and the secret level of the paper document
is "3". The right level () of persons ()
to be the target is "REGULAR_STAFF" for signifying that the
persons are full-time regular staffs. The function
() to be the targets is "SCAN" for signifying
scanning the paper document.
For the targets to be defined in the description
1261, permission is defined by the description 1265 of
signifying permission or non-
permission.
In addition, as an obligation () by a

- 43 -
description 1267, the type () of the obligation of
"REFER_PRIMARY_POLICY" for signifying that the document
policy is obliged by image analysis is designated. In this
case, a parameter is not designated.
In Fig. 17, targets of a policy to be defined in
the description 1270 are defined as a description 1271 from
to . In the description 1271, the
targets are defined in the following. That is, the
category () of a resource () to be the
target is "PAPER" for signifying that the document is a
paper document, and the secret level of the paper document
is "UNKNOWN". The right level () of persons
() to be the target is "ANY" for signifying that
the right levels of the persons are not restricted. The
functions () to be the targets are "COPY" for
signifying copying, "SCAN" for signifying scanning, and
"FAX" for signifying facsimile the paper document.
For the targets to be defined in the description
1271, permission is defined by the description 1275 of
signifying permission or non-
permission.
In addition, as an obligation () by a
description 1277, the type () of the obligation of
"REFER_PRIMARY_POLICY" for signifying that the document
policy is obliged by image analysis is designated. In this

- 44 -
case, a parameter is not designated.
Next, referring to Figs. 18 and 19, a setting
method of the document policy is described. Fig. 18 is a
diagram showing an example of a screen for setting a
fundamental document policy. In a fundamental document
policy setting screen G400, for example, as the document
category, "PERSONNEL" is set in a setting region 401, and
as the secret level, "CONFIDENTIAL" is set in a setting
region 402.
In addition, plural policies 409, 419, •• are
set by combinations of a user classification and a right
level for documents of "PERSONNEL" and "CONFIDENTIAL".
In the policy 409, as the user classification,
"RELATED PERSONS" is set in a setting region 403, and as
the right level, "ANY" is set in a setting region 404.
In a selection region 405 of the policy 409,
"READ" and "PRINT" are set by an administrator, and since
"COPY", "SCAN", and "FACSIMILE" are not set in real rime by
the administrator, those are set beforehand.
In a setting region 406, an obligation is set
corresponding to each in the selection region 405. For
example, in the setting region 406 corresponding to "PRINT",
as the obligation, "COPY PROTECTION AGAINST UNAUTHORIZED
COPY" is set.
In addition, in a setting region 407, a pattern

- 45 -
policy to be applied is set. For example, "REGULAR STAFF
CAN COPY/SCAN" is set. With this, the pattern policy is
specified for "COPY PROTECTION AGAINST UNAUTHORIZED COPY"
in "PRINT" of the selection region 405. "REGULAR STAFF CAN
COPY/SCAN" relates to "3" in a security pattern No.
described in Fig. 19.
In the policy 419, as the user classification in
a setting region 413, "EXCEPT RELATED PERSONS" is set, and
as the right level in setting region 414, "ANY" is set.
Similar to the policy 409, in the policy 419,
since "COPY", "SCAN", and "FACSIMILE" are not controlled in
real rime by the administrator, those are set beforehand in
a selection region 415.
In a setting region 416, an obligation is set
corresponding to each in the selection region 415. For
example, in the setting region 416 corresponding to "COPY"
and "SCAN", as the obligation, "ALERT MAIL" is set; and in
the setting region 416 corresponding to "FACSIMILE", as the
obligation, "STORE IMAGE LOG" is set.
In addition, in a setting region 417, a pattern
policy to be applied is set. For example, as the contents
to be written in the alert mail (corresponds to a parameter
of an obligation), "%o is applied to this document by %u
(data and time %d)" is displayed. For the %o, a function
name is substituted, for the %u, a user name is substituted,

- 46 -
and for the %d, the date and time are substituted.
Fig. 19 is a diagram showing an example of a
screen for setting a policy for a paper document. In a
paper document policy setting screen G500, for example, as
the security pattern No., "3" is set in a setting region
501, and as a pattern policy name, "ONLY REGULAR PERSONS
CAN COPY/SCAN" is set in a setting region 502.
In addition, plural policies 509, 519, ••• are
set corresponding to the right levels for the security
pattern No. "3".
In the policy 509, as the right level, for
example, "REGULAR STAFFS" is set in a setting region 503.
In a selection region 505 of the policy 509,
"COPY" and "SCAN" are set by an administrator.
In a setting region 506, an obligation is set
corresponding to each in the selection region 505. For
example, in the setting region 506 corresponding to "COPY",
as the obligation, "ALERT MAIL" is set, and in the setting
region 506 corresponding to "SCAN", as the obligation,
"IMAGE ANALYSIS (to be obliged by document policy)" is set.
In addition, in a setting region 507
corresponding to "COPY", as the contents to be written in
the alert mail (corresponds to a parameter of an
obligation), "%o is applied to this document by %u (data
and time %d)" is displayed. For the %o, a function name is

- 47 -
substituted, for the %u, a user name is substituted, and
for the %d, the date and time are substituted.
In addition, in a policy 519, for example, as the
right level, when "TEMPORARY STAFF" is set in a setting
region 513, in a selection region 515 and a setting region
516, nothing is set.
Similar to in the policies 509 and 519, in a
policy 520, settings are executed.
Next, referring to Fig. 20, a structure of the
document security attribute database 24 is described. Fig.
20 is a diagram showing an example of the structure of the
document security attribute database 24. As shown in Fig.
20, the structure of the document security attribute
database 24 includes items of "DOCUMENT ID" (document
identifying information) for identifying a document,
"CATEGORY" for signifying a using range of the document,
"LEVEL" for signifying a secret level of the document,
"RELATED_PERSONS" for signifying persons (sections) using
the document, "ADMINISTRATORS" for signifying
administrators of the document, and so on.
In the "DOCUMENT ID", information for identifying
documents, for example, SEC000123, SEC000124, and so on are
registered. In the "CATEGORY", for example, "PERSONNEL"
for signifying a personnel section is set. In the "LEVEL",
for example, "SECRET" for signifying confidential and

- 48 -
"TOP_SECRET" for signifying a top secret are set. In the
"RELATEDJPERSONS", sections such as "Personnel_Section_l",
"Personnel_Section_2", "Personnel_Managers" are set. In
the "ADMINISTRATORS", the names of the administrators, for
example, "aoki" and "yamada" are set.
For example, in a document identified by
"SEC000123" in "DOCUMENT ID", since the "CATEGORY" is
"PERSONNEL" and "LEVEL" is "SECRET", "RELATED_PERSONS" is
restricted to persons in "Personnel_Section_l" and
"Personnel_Section_2". In addition, the administrators of
the document identified by "SEC000123" are "aoki" and
"yamada".
Next, referring to Fig. 21, processes to be
executed by the scanning program 3P are described. Fig. 21
is a diagram showing the processes to be executed by the
scanning program 3P.
First, the scanning program 3P receives user
authentication information (user name and user password)
from a user 9 (S201).
Then the scanning program 3P sends the user
authentication information to the user authentication
server 10 and receives a user authenticated result from the
user authentication server 10 (S202), and determines
whether the user 9 is authenticated (S203). When the user
9 is not authenticated, the scanning program 3P displays a

- 49 -
user authentication error on an operating panel of the
digital multifunctional apparatus 3 and ends the processes
(S204) .
When the user 9 is authenticated, the scanning
program 3P displays a main screen for scanning on the
operating panel of the digital multifunctional apparatus 3
(S205). When the scanning program 3P receives a scanning
start request from the user 9 (S206), the scanning program
3P sends a device using right determination request; which
includes the user authenticated result, the device ID (ID
No. of the digital multifunctional apparatus 3), the type
of access (scanning); to the policy server B 30, and
receives a device using right determined result from the
policy server B 30 (S207).
The scanning program 3P determines whether the
device using right determined result shows successful
(S208). When the device using right determined result does
not show successful, the scanning program 3P displays a
device using right error on the operating panel of the
digital multifunctional apparatus 3 and ends the processes
(S209).
When the device using right determined result
shows successful, the scanning program 3P starts to scan
the paper manuscript 3a (S210). Then the scanning program
3P detects a background pattern of scanned data generated

- 50 -
by scanning the paper manuscript 3a and sets the background
pattern as a detection pattern ID (S211). When the
scanning program 3P cannot detect the background pattern
(S212), the scanning program 3P sets "UNKNOWN" in the
detection pattern ID (S213).
After setting that the background pattern is the
detection pattern ID, the scanning program 3P sends a
document using right determination request, which includes
the user authenticated result, the detection pattern ID,
the scanned data, the type of access (scanning), and the
device using right determined result, to the policy server
A 20 and receives a document using right determined result
from the policy server A 20 (S214).
Then the scanning program 3P determines whether
the document using right determined result shows successful
(S215). When the document using right determined result
does not show successful, the scanning program 3P displays
a document using right error on the operating panel of the
digital multifunctional apparatus 3 and ends the processes
(S216) .
When the document using right determined result
shows successful, the scanning program 3P executes an
obligation which is included in the document using right
determined result (S217). The scanning program 3P
determines whether the obligation is executed (S218). When

- 51 -
the obligation cannot be executed, the scanning program 3P
displays a policy control error on the operating panel of
the digital multifunctional apparatus 3 and ends the
processes (S219).
When the obligation can be executed, the scanning
program 3P outputs the scanned data to a designated
destination (S220). Then the scanning program 3P displays
a scanning completion message on the operating panel of the
digital multifunctional apparatus 3 and ends the processes
(S221) .
Next, referring to Figs. 22 and 23, processes to
be executed by the policy server A 20 are described. Fig.
22 is a diagram showing processes to be executed by the
policy server A 20. Fig. 23 is a diagram showing processes
to be executed after the processes shown in Fig. 22 by the
policy server A 20. That is, the processes shown in Figs.
22 and 23 are continuously executed.
In Fig. 22, first, the policy server A 20
receives a document using right determination request,
which includes the user authenticated result, the detection
pattern ID, the scanned data, the type of access, the
device using right determined result, from the scanning
program 3P of the digital multifunctional apparatus 3
(S231) .
The policy server A program 22 of the policy

- 52 -
server A 20 reads a document security policy 21 (S232), and
specifies the right level of the user 9 based on the user
authenticated result (S233).
The policy server A program 22 searches for
in which of is "PAPER"
(paper manuscript), is the detection pattern ID in
the document using right determination request, of
is a specific user right level or "ANY", and
is the type of the access in the document using
right determination request or "ANY" (S234).
Then the policy server A program 22 determines
that a searched Effect value (Permit/Deny) in of
and are a document using right
determined result (S235). The policy server A 20
determines whether the document using right determined
result shows permission (S236). When the document using
right determined result does not show permission, the
policy server A 20 sends the document using right
determined result to the scanning program 3P and ends the
processes (S237).
When the document using right determined result
shows permission, the policy server A program 22 merges the
obligation in the device using right determined result with
the obligation in the document using right determined
result (S238).

- 53 -
Next, the policy server A program 22 determines
whether the obligations are merged (S239). When the
obligations cannot be merged, the policy server A program
22 changes the document using right determined result to
non-permission, sends the changed document using right
determined result to the scanning program 3P, and ends the
processes (S240).
When the obligations are merged, the policy
server A program 22 sets the merged obligation in the
obligation of the document using right determined result
(S241). Then the policy server A program 22 sends the
document using right determined result to the scanning
program 3P (S242) .
In Fig. 23, the policy server A program 22
determines whether in searched in
S235 is "REFER_PRIMARY_POLICY" (S243). When
in searched in S235 is "REFER_PRIMARY_POLICY", the
policy server A 20 sends a content analyzing request
including the scanned data to the content analyzing server
40 and receives an estimated security attribute (S244).
The policy server A program 22 determines whether
a document ID is included in the received security
attribute (S245). When the document ID is included in the
received security attribute, the policy server A program 22
searches for a record suitable to the document ID in the

- 54 -
document security attribute database 24 (S246). Then the
policy server A program 22 obtains the document category,
the secret level, and the list of the related persons
registered in the record; and sets the document category
and the secret level in the security attribute (S247).
The policy server A program 22 collates the user
authenticated result with the list of the related persons
and determines whether the user 9 is in the list of the
related persons (S248). When the user 9 is in the list of
the related persons, the policy server A program 22 sets
"RELATED_PERSONS" in the user category (S250), and goes to
S253. When the user 9 is not in the list of the related
persons, the policy server A program 22 sets "ANY" in the
user category (S251), and goes to S253.
When the document ID is not included in the
security attribute in S245, the policy server A program 22
sets "ANY" in the user category (S252), and goes to S253.
Next, the policy server A program 22 refers to
the document security policy 21 and specifies in
the following method. That is, in the specified ,
and of match with the
estimated security attribute, and of
match with the category and the right level of
the user 9, and matches with the type of access
in the document using right determination request (S253) .

- 55 -
Then the policy server A program 22 executes the
contents of in (S254), and ends the
processes.
When in searched in S235 is
not "REFER_PRIMARY_POLICY" in S243, the policy server A
program 22 executes in and ends the
processes.
In S112 of the sequence chart shown in Fig. 11,
the document using right determination request includes the
scanned data which request is sent from the scanning
program 3P to the policy server A program 22.
When the scanned data are included, the number of
sending times of data from the scanning program 3P to the
policy server A program 22 can be small. However, when it
can be instantly determined that the user 9 does not have
the document using right, since the scanned data are always
sent, efficiency may be lowered. In order to prevent the
efficiency from being lowered, a case is described. In
this case, the scanned data are sent to the policy server A
program 22 right before the end of the scanning processes.
Fig. 24 is a sequence chart showing processes to
scan the paper manuscript 3a in which scanned data are sent
to the policy server A program 22 right before the end of
the scanning processes. In Fig. 24, a request to a program
is executed by a function call (continuous line), and a

- 56 -
result processed by the function call is returned as a
return value (dashed line).
Referring to Fig. 24, the processes are described.
First, the user 9 requests to authenticate the user 9 by
inputting user authentication information on the operating
panel of the digital multifunctional apparatus 3 (S301).
The scanning program 3P of the digital multifunctional
apparatus 3 sends the request including the user
authentication information to the user authentication
server 10 (S302).
The user authentication program 12 in the user
authentication server 10 authenticates the user 9 based on
the user authentication information received from the
digital multifunctional apparatus 3 (S303) , and returns the
user authenticated result to the scanning program 3P (S304).
When the user authenticated result shows
successful, the scanning program 3P displays the main
screen on the digital multifunctional apparatus 3 (S305).
When the user authenticated result does not show successful,
the scanning program 3P informs the user 9 of non-
authentication and does not execute the processes by the
user 9.
The user 9 sends a paper manuscript scanning
request to the digital multifunctional apparatus 3 by
putting on the paper manuscript 3a thereon (S306). In

- 57 -
order to determine whether the user 9 has a right to use
the digital multifunctional apparatus 3, the scanning
program 3P of the digital multifunctional apparatus 3 sends
a device using right determination request to the policy
server B 30 to determine whether the user 9 has the device
using right based on the paper manuscript scanning request
(S307). In the device using right determination request,
the user authenticated result, the device information, and
the type of access (in this case, scanning) are designated.
The policy server B program 32 in the policy
server B 30 determines whether the user 9 has the device
using right by referring to the device security policy 31
and information in the device security attribute database
34 (S308), and returns the determined result to the
scanning program 3P as the device using right determined
result (corresponding to the policy determined result B
shown in Fig. 8) (S309).
When the user 9 does not have the device using
right, the scanning program 3P informs the user 9 of that
the user 9 does not have the device using right for
scanning the paper manuscript 3a and ends the processes.
When the user 9 has the device using right, the scanning
program 3P scans the paper manuscript 3a (S310). Then the
scanning program 3P detects the background pattern of the
paper manuscript 3a from data scanned the paper manuscript

- 58 -
3a (S311).
In order to determine whether the user 9 has a
document using right, the scanning program 3P sends a
document using right determination request to the policy
server A 20 (S312). The document using right determination
request includes the user authenticated result, real time
detected information by the background pattern detection in
S311, the type of the access (in this case, scanning), the
device using right determined result (corresponding to the
policy determined result B shown in Fig. 8). That is, the
document using right determination request does not include
the scanned data.
The policy server A program 22 in the policy
server A 20 determines whether the user 9 has the document
using right by referring to the document security policy 21
and information in the document security attribute database
24 (S313).
The policy server A program 22 in the policy
server A 20 merges obligations designated by the document
using right determined result and the device using right
determined result by referring to the table TBL 50 shown in
Fig. 9 and the obligation merging rule shown in Fig. 10
(S314) .
The policy server A program 22 in the policy
server A 20 sends the document using right determined

- 59 -
result to the digital multifunctional apparatus 3 (S315) .
When the scanning program 3P receives the
document using right determined result from the policy-
server A program 22, the scanning program 3P executes the
obligation designated by the document using right
determined result (S316), and sends a detail policy
determination process request including the scanned data to
the policy server A program 22 in the policy server A 20
(S317) .
The processes by the detail policy determination
process request includes a content analyzing process (S319),
a follow-up obligation determination process (S321), and a
follow-up obligation executing process (S322).
When the policy server A program 22 receives the
detail policy determination process request including the
scanned data from the scanning program 3P, the policy
server A program 22 obtains the scanned data included in
the detail policy determination process request, and sends
the scanned data to the content analyzing server 40 (S318).
The content analyzing program 42 in the content
analyzing server 40 analyzes the contents of the scanned
data (S319), and returns the analyzed result to the policy
server A program 22 as the security attribute (S320).
The policy server A program 22 executes a follow-
up obligation determination process based on the security

- 60 -
attribute (S321), and executes a follow-up obligation
process based on the follow-up obligation determined result
(S322). For example, alert mail is sent to the
administrator.
In the digital multifunctional apparatus 3, after
sending the detail policy determination process request
including the scanned data to the policy server A 20, the
scanning program 3P executes a scanning completion process
(S117-2).
The scanning program 3P sends a scanning
completion notice to the user 9 as a return value for the
request (S306) of scanning the paper manuscript 3a (S317-4) .
Then the digital multifunctional apparatus 3 displays the
scanning completion on the operating panel and the user 9
recognizes the scanning completion.
For example, in the sequence chart shown in Fig.
24, after sending the detail policy determination process
request to the policy server A program 22, only when
"REFER_PRIMARY_POLICY" signifying that a primary policy is
referred to is designated, the scanned data are sent to the
policy server A 20, and the contents of the scanned data
are analyzed.
Referring to Figs. 25 through 27, processes of a
case are described. In this case, after executing an
obligation, a detail policy determination process is

- 61 -
executed.
Fig. 25 is a diagram showing processes to be
executed by the scanning program 3P in a case where a
detail policy determination process is executed after
executing an obligation. In Fig. 25, the same step as that
shown in Fig. 21 has the same step number and the
description thereof is omitted. That is, the descriptions
from S201 through S213 are omitted.
After detecting the background pattern of the
scanned data and setting that the background pattern is the
detection pattern ID (S211 through S213), the scanning
program 3P sends a document using right determination
request, which includes the user authenticated result, the
detection pattern ID, the type of the access (scanning),
and the device using right determined result, to the policy
server A 20 and receives a document using right determined
result from the policy server A 20 (S214-5). In this case,
the scanned data are not included in the document using
right determination request.
Then the scanning program 3P determines whether
the document using right determined result shows successful
(S215-5). When the document using right determined result
does not show successful, the scanning program 3P displays
a document using right error on the operating panel of the
digital multifunctional apparatus 3 and ends the processes

- 62 -
(S216-5).
When the document using right determined result
shows successful, the scanning program 3P executes an
obligation which is included in the document using right
determined result (S217-5). The scanning program 3P
determines whether the obligation is executed (S218-5).
When the obligation cannot be executed, the scanning
program 3P displays a policy control error on the operating
panel of the digital multifunctional apparatus 3 and ends
the processes (S219-5).
When the obligation can be executed, the scanning
program 3P determines whether "REFER_PRIMARY_POLICY" is
included in the obligation (S220-5). When
"REFER_PRIMARY_POLICY" is included in the obligation, the
scanning program 3P sends a detail policy determination
process request; which includes the user authenticated
result, the scanned data, and the type of access
(scanning); to policy server A 20 (S221-5).
After executing the obligation, the scanning
program 3P outputs the scanned data to a designated
destination (S222-5). Then the scanning program 3P
displays a scanning completion message on the operating
panel of the digital multifunctional apparatus 3 and ends
the processes (S223-5).
Fig. 26 is a diagram showing processes of the

- 63 -
document using right determination process to be executed
by the policy server A program 22 in a case where a detail
policy determination process is executed after executing an
obligation. In Fig. 26, the same step as that shown in Fig.
22 has the same step number and the description thereof is
omitted. That is, the descriptions from S231 through S241
are omitted.
In the document using right determination process
shown in Fig. 26, the policy server A program 22 executes
the processes from S231 through s241, and sends the
document using right determined result to the scanning
program 3P without executing S243 through S255 shown in Fig.
23, and ends the processes (S242-5).
Fig. 27 is a diagram showing processes in the
detail policy determination process to be executed by the
policy server A program 22 after executing an obligation.
In Fig. 27, the same step as that shown in Fig. 23 has the
same step number and the description thereof is omitted.
In the detail policy determination process shown
in Fig. 27, the policy server A program 22 receives a
detail policy determination process request, which includes
the user authenticated result, the scanned data, and the
type of access (scanning), from the scanning program 3P of
the digital multifunctional apparatus 3 (S243-2).
After receiving the detail policy determination

- 64 -
process request, the policy server A program 22 reads the
document security policy 21 (S243-4). In addition, the
policy server A program 22 specifies the level of the user
right based on the user authenticated result (S243-6).
After this, the policy server A program 22
executes the processes similar to those from S244 through
S253 shown in Fig. 23, executes the contents of specified
of , and ends the processes (S254-5).
Next, specific examples are described. In a
first example, in the document security system 100, Mr.
Sakai of a regular staff copies a paper manuscript 3a
(general document) by using the digital multifunctional
apparatus 3 identified by "MFP000123" in a development
section.
In this case, Mr. Sakai is not a related person
"RELATED_PERSON" of the digital multifunctional apparatus 3
identified by "MFP000123"; however, Mr. Sakai is permitted
to copy the general document. However, "ALERT_MAIL" is an
obligation. In this case, alert mail 51 shown in Fig. 28
is sent to an administrator.
Fig. 28 is a diagram showing an example of the
alert mail 5 1 which is sent to an administrator as an
obligation when a general document is copied. In the alert
mail 51 shown in Fig. 28, for example, a message
"ALERT MAIL SAKAI COPIED BY MFP000123 (DATE & TIME

- 65 -
20051208173522)" is displayed.
In a second example, in the document security
system 100, Mr. Sakai of a regular staff copies a paper
document 2c by using the digital multifunctional apparatus
3 identified by "MFP000123" in a development section. The
paper document 2c is formed by printing a secured document
lc identified by "SEC000123" which is a confidential
document in a personnel section. In the paper document 2c
printed from the secured document lc, a copy protection for
preventing an unauthorized copy of a pattern No.3 is
printed.
In this case, Mr. Sakai is not a related person
"RELATED_PERSON" of the digital multifunctional apparatus 3
identified by "MFP000123"; however, Mr. Sakai may be
permitted to copy the paper document 2c corresponding to
the device security policy 31. However, "ALERT_MAIL" is an
obligation.
However, when Mr. Sakai copies the paper document
2c by using the digital multifunctional apparatus 3
identified by "MFP000123", the pattern No. 3 is detected
from the paper document 2c. Therefore, it is determined
whether Mr. Sakai can copy the paper document 2c based on
the document security policy 21. Since Mr. Sakai is a
regular staff, Mr. Sakai can copy the paper document 2c;
however, alert mail is an obligation.

- 66 -
In this case, the obligation by the device
security policy 31 and the obligation by the document
security policy 21 (policy for the secured document 1c) are
merged. Then alert mail shown in Fig. 29 is sent to an
administrator.
Fig. 2 9 is a diagram showing an example of alert
mail 52 which is sent to an administrator as an obligation
when a paper document 2c printed from a secured document lc
is copied. In the alert mail 52 shown in Fig. 29, for
example, a message "ALERT_MAIL, SAKAI COPIED BY MFP000123
(DATE & TIME 20051208173522), SAKAI COPIED PAPER DOCUMENT
WHICH CAN BE COPIED/SCANNED BY REGULAR STAFF AT MFP000123
(DATE & TIME 20051208173522)" is displayed.
In a third example, in the document security
system 100, Mr. Sakai of a regular staff scans a paper
document 2c by using the digital multifunctional apparatus
3 identified by "MFP000123" in a development section. In
this case, the paper document 2c is different from that in
the second example. The paper document 2c is formed by
printing an original document lb of a secured document lc
identified by "SEC000123" which is a confidential document
in a personnel section. In the paper document 2c printed
from the original document lb, a pattern is not printed.
In this case, since Mr. Sakai is not a related
person "RELATED_PERSON" of the digital multifunctional

- 67 -
apparatus 3 identified by "MFP000123", an image analysis is
applied to scanned data obtained from scanning the paper
document 2c based on the document security policy 21 as an
obligation.
From the image analysis, when it is determined
that the paper document 2c is a confidential document in
the personnel section identified by "SEC000123" and Mr.
Sakai is not a related person to the personnel section,
alert mail shown in Fig. 30 is sent to an administrator as
a follow-up obligation based on the document security
policy 21.
Fig. 30 is a diagram showing an example of alert
mail 53 which is sent to an administrator as a follow-up
obligation when a paper document 2c printed from an
original document lb is scanned. In the alert mail 53
shown in Fig. 30, for example, a message "ALERT_MAIL, SAKAI
SCANNED THIS DOCUMENT (DATE & TIME 20051208173522),
ATTACHED FILE: 20051208173522.tif" is displayed. That is,
the attached file "20051208173522.tif" is sent to the
administrator together with the message.
As described above, according to the embodiment
of the present invention, in the document security system
100, a process requested by a user is executed when the
process is permitted from the device using right of the
user and the document using right of the user, and an

- 68 -
obligation and a follow-up obligation are executed based on
the type of the access obtained from the image data.
Further, the present invention is not limited to
the embodiment, but various variations and modifications
may be made without departing from the scope of the present
invention.
The patent application is based on Japanese
Priority Patent Application No. 2006-128557 filed on May 2,
2006, with the Japanese Patent Office, the entire contents
of which are hereby incorporated herein by reference.

- 69 -
CLAIMS
1. A document security system, comprising:
a receiving unit which receives a request for
processing a document from a user;
a first determined result obtaining unit which
obtains a first determined result by determining whether
the process requested according to a device using right of
the user is given a permission for processing by referring
to a device security policy in which the device using right
of the user is defined;
a document type determining unit which determines
the type of the document based on identifying information
by obtaining the identifying information attached to the
document from image data obtained by scanning the document;
a second determined result obtaining unit which
obtains a second determined result by determining whether
the type of the document determined by the document type
determining unit is permitted to perform the process
requested by the request by referring to a document
security policy in which the document using right of the
user is defined;
a process executing unit which executes the
process for the document requested by the user when both
the first determined result and the second determined

- 70 -
result is affirmative;
an analyzing unit which analyzes the image data
obtained by scanning the document; and
a follow-up obligation executing unit which
executes a follow-up obligation according to the document
security policy based on information obtained by the
analyzing unit after executing the process for the document
requested by the user.
2. The document security system as claimed in
claim 1, further comprising:
an obligation merging unit which merges an
obligation included in the first determined result with an
obligation included in the second determined result
according to a predetermined merging rule when both the
first determined result and the second determined result
show permission.
3. The document security system as claimed in
claim 2, wherein:
when the obligation merged by the obligation
merging unit cannot be executed, the process for the
document requested by the user is not executed.
4. The document security system as claimed in

- 71 -
claim 1, wherein:
the process for the document requested by the
user is to copy the document, to scan the document, or to
facsimile the document.
5. A digital multifunctional apparatus,
comprising:
a real time paper document determining unit which
determines the type of a paper document based on
identifying information by obtaining the identifying
information attached to the paper document from image data
obtained by scanning the paper document;
a document using right determining unit which
determines whether a user who requests to process the paper
document has a document using right for using the paper
document for processing the paper document of the type of
the paper document determined by the real time paper
document determining unit by referring to a document
security policy in which the document using right of the
user is defined;
a paper document processing unit which processes
the paper document by changing process contents based on a
determined result by the document using right determining
unit; and
a paper document detail policy determination

- 72 -
process requesting unit which sends a detail policy
determination process request including the process
contents for the paper document to a predetermined
destination.
6. A program product for processing a paper
document in the digital multifunctional apparatus as
claimed in claim 5, comprising:
a real time paper document determining step which
determines the type of a paper document based on
identifying information by obtaining the identifying
information attached to the paper document from image data
obtained by scanning the paper document;
a document using right determining step which
determines whether a user who requests to process the paper
document has a document using right for using the paper
document for processing the paper document of the type of
the paper document determined by the real time paper
document determining step by referring to a document
security policy in which the document using right of the
user is defined;
a paper document processing step which processes
the paper document by changing a process content based on a
determined result by the document using right determining
step; and

- 73 -
a paper document detail policy determination
process requesting step which sends a detail policy-
determination process request including the process
contents for the paper document to a predetermined
destination.
7. A policy server, comprising:
a policy processing request receiving unit which
receives a policy processing request including document
contents from an external device;
a security attribute estimating unit which
estimates a security attribute of the document contents
received by the policy processing request receiving unit;
a policy determining unit which determines a
security policy based on the estimated security attribute;
and
an obligation executing unit which executes an
obligation including in a determined result by the policy
determining unit.
8. The policy server as claimed in claim 7,
wherein:
the policy processing request receiving unit
receives a policy processing request which includes a
document processing request and a document attribute of the

- 74 -
document contents from the external device; and
the policy server further includes
a real time policy determining unit which
determines a security policy in real time based on the
document attribute and sends a determined result to the
external device which is a source of the policy processing
request.
9. A program product for executing processes in a
security server in the document security system as claimed
in claim 1, comprising:
a policy processing request receiving step which
receives a policy processing request including document
contents from an external device;
a security attribute estimating step which
estimates a security attribute of the document contents
received by the policy processing request receiving step;
a policy determining step which determines a
security policy based on the estimated security attribute;
and
an obligation executing step which executes an
obligation included in a determined result by the policy
determining step.
10. The program product for executing processes

- 75 -
in the security server as claimed in claim 9, wherein:
the policy processing request receiving step
receives a policy processing request which includes a
document processing request and a document attribute of the
document contents from the external device; and
the program product for executing processes in
the security server further includes
a real time policy determining step which
determines a security policy in real time based on the
document attribute and sends a determined result to the
external device which is a source of the policy processing
request.

A document security system is disclosed. In the
document security system, when a user is permitted to use a
device and to use a document, a process for the document
requested by a user is executed by the device. Further,
after executing the process, a follow-up obligation is
executed corresponding to the type of the document obtained
from image data of the document.

Documents:

04815-kolnp-2007-abstract.pdf

04815-kolnp-2007-claims.pdf

04815-kolnp-2007-correspondence others.pdf

04815-kolnp-2007-description complete.pdf

04815-kolnp-2007-drawings.pdf

04815-kolnp-2007-form 1.pdf

04815-kolnp-2007-form 3.pdf

04815-kolnp-2007-form 5.pdf

04815-kolnp-2007-gpa.pdf

04815-kolnp-2007-international publication.pdf

04815-kolnp-2007-international search report.pdf

04815-kolnp-2007-others.pdf

04815-kolnp-2007-pct priority document notification.pdf

4815-KOLNP-2007-(13-06-2014)-ABSTRACT.pdf

4815-KOLNP-2007-(13-06-2014)-CLAIMS.pdf

4815-KOLNP-2007-(13-06-2014)-CORRESPONDENCE.pdf

4815-KOLNP-2007-(13-06-2014)-DESCRIPTION.pdf

4815-KOLNP-2007-(13-06-2014)-DRAWINGS.pdf

4815-KOLNP-2007-(13-06-2014)-FORM-2.pdf

4815-KOLNP-2007-(13-06-2014)-FORM-3.pdf

4815-KOLNP-2007-(13-06-2014)-FORM-5.pdf

4815-KOLNP-2007-(13-06-2014)-OTHERS.pdf

4815-KOLNP-2007-(13-06-2014)-PA.pdf

4815-KOLNP-2007-(13-06-2014)-PETITION UNDER RULE 137.pdf

4815-KOLNP-2007-(18-03-2013)-CORRESPONDENCE.pdf

4815-KOLNP-2007-(18-03-2013)-FORM 3.pdf

4815-KOLNP-2007-(22-08-2013)-ANNEXURE TO FORM-3.pdf

4815-KOLNP-2007-(22-08-2013)-CORRESPONDENCE.pdf

4815-KOLNP-2007-(27-02-2014)-CORRESPONDENCE.pdf

4815-KOLNP-2007-(27-02-2014)-OTHERS.pdf

4815-KOLNP-2007-ASSIGNMENT.pdf

4815-KOLNP-2007-CORRESPONDENCE OTHERS 1.1.pdf

4815-kolnp-2007-form 18.pdf

4815-KOLNP-2007-FORM 3-1.1.pdf

abstract-04815-kolnp-2007.jpg


Patent Number 265457
Indian Patent Application Number 4815/KOLNP/2007
PG Journal Number 09/2015
Publication Date 27-Feb-2015
Grant Date 25-Feb-2015
Date of Filing 11-Dec-2007
Name of Patentee RICOH COMPANY, LTD
Applicant Address 3-6, NAKAMAGOME 1-CHOME, OHTA-KU TOKYO
Inventors:
# Inventor's Name Inventor's Address
1 OHTA YUSUKE 12-4, HISAMOTO 1-CHOME, TAKATSU-KU, KAWASAKI-SHI, KANAGAWA 213-0011
2 SAITOH ATSUHISA 40-1-305, SHINYOSHIDAHIGASHI 8-CHOME, KOUHOKU-KU, YOKOHAMA-SHI, KANAGAWA 223-0058
3 KANAI YOICHI 1-6-409, CHIGASAKIHIGASHI 1-CHOME, TSUZUKI-KU, YOKOHAMA-SHI, KANAGAWA 224-0033
PCT International Classification Number G06F 21/24,H04N 1/00
PCT International Application Number PCT/JP2007/059802
PCT International Filing date 2007-05-02
PCT Conventions:
# PCT Application Number Date of Convention Priority Country
1 2006-128557 2006-05-02 Japan