Automated understanding, extraction and structured reformatting of information in electronic files

• US 20040194009A1
• Filed: 03/27/2003
• Published: 09/30/2004
• Est. Priority Date: 03/27/2003
• Status: Abandoned Application

• Current Assignee: General Electric Company
• Original Assignee: General Electric Company
• Inventors: Simmons, Melvin, Temkin, Joshua, Klein, Eric, Laymon, Marc, LaComb, Christina
• Application Number:
  US10/401,259
• Publication Number:
  US 20040194009A1
• Time in Patent Office: Days
• US Class Current: 715/239
• CPC Class Codes: G06F 40/103 Formatting, i.e. changing of presentation of documents automatic justification G06F40/189; automatic line break hyphenation G06F40/191

Abstract

Systems and methods for automatically understanding, decomposing, extracting, validating and reformatting unstructured tabular information into intermediate structured representations of the information contained therein are described. No constraints are placed on the origin or format of these documents when originally submitted. Furthermore, no pre-created scripts are required to map the information contained in the submitted documents. The systems and methods of this invention generally comprise obtaining an electronic document, automatically analyzing and understanding the contents of the document, extracting information from the document, categorizing the information, and then creating an intermediate structured representation of the information contained therein. The intermediate structured representations may then be easily converted for use in a myriad of back-end systems. Embodiments of this invention automatically process a multitude of financial documents, thereby eliminating the need for human interaction with such documents in many cases and lowering the costs associated with processing such documents.

Claims

1. A method for automatically understanding a document, the method comprising:

utilizing algorithms to automate the understanding of a document,

wherein no prior identification of a document type is required, no prior identification of an expected format for the document type is required, and no pre-created scripts are required to map contents of the document.

2. The method of claim 1, wherein the algorithms comprise table decomposition algorithms, financial aspect identification algorithms, mathematical structure decomposition algorithms, accounting categorization algorithms, and validation algorithms.

3. The method of claim 2, wherein the table decomposition algorithms comprise algorithms for performing at least one of the following:

token identification, token type identification, column count identification, column boundary identification, column type identification, token-to-column assignment, and line merging.

4. The method of claim 3, wherein the token identification comprises utilizing spacing information between words to identify which words should be grouped together as a single portion of the table.

5. The method of claim 3, wherein the token type identification comprises using special characters and alphanumeric combinations to determine whether the token represents text, a number, or a date.

6. The method of claim 3, wherein the column count identification comprises identifying an appropriate number of columns in the document based on statistical measures of a token count per row.

7. The method of claim 3, wherein the column boundary identification comprises identification of suitable column boundaries based on right-most and left-most position of all tokens assigned to each column.

8. The method of claim 3, wherein the column type identification comprises assigning a column type to each column based on a frequency of each token type within each column.

9. The method of claim 3, wherein the token-to-column assignment comprises assigning tokens from each row to their respective columns based on their sequential position within the row and their proximity to other tokens.

10. The method of claim 3, wherein the line merging comprises using key separator words to identify wrapping lines.

11. The method of claim 2, wherein the financial aspect identification algorithms comprise algorithms for performing at least one of the following:

identification of date periods for the document, identification of audited/un-audited status, and identification of dollar units in the documents.

12. The method of claim 11, wherein the identification of date periods for the document comprises utilizing a set of heuristics to interrogate date portions throughout the document to assemble a picture of the date periods covered by each column in the document.

13. The method of claim 11, wherein the identification of audited/un-audited status comprises searching the document for key phrases that indicate whether or not the financial statement has been audited.

14. The method of claim 11, wherein the identification of dollar units in the documents comprises identifying key word patterns that indicate the dollar units in the document.

15. The method of claim 2, wherein the mathematical structure decomposition algorithms comprise algorithms for performing at least one of the following:

table boundary identification, total identification, and subtotal identification.

16. The method of claim 15, wherein the table boundary identification comprises identifying key word patterns and mathematical relationships that identify a start and an end of the table.

17. The method of claim 15, wherein the total identification comprises identifying word patterns that indicate relevant totals of the document.

18. The method of claim 15, wherein the subtotal identification comprises at least one of the following:

identifying lines that indicate subtotals, identifying lines that have no line item description, and identifying lines that are mathematical compositions of other line items within the document.

19. The method of claim 2, wherein the accounting categorization algorithms comprise algorithms for performing at least one of the following:

hierarchy matching and assignment of the line items to accounting categories.

20. The method of claim 19, wherein the hierarchy matching comprises splitting the document into its hierarchical parts by using word patterns to identify key segments.

21. The method of claim 19, wherein the assignment of the line items to accounting categories comprises using a line item description and a row position related to a hierarchy header to determine a suitable categorization for each line item.

22. The method of claim 2, wherein the validation algorithms comprise algorithms for performing validation utilizing at least one of the following:

generally accepted accounting principles (GAAP) and historical trends.

23. The method of claim 22, wherein validation comprises ensuring that the summation of the line items assigned to a given category equals a total given for that category.

24. The method of claim 1, wherein the steps are performed automatically by a computer system.

25. A method for understanding a document and converting it into an intermediate structured representation of the information contained therein, the method comprising:

obtaining a document;

utilizing algorithms to automatically understand the document; and

creating an intermediate structured representation of the information contained therein from the extracted information,

wherein no prior identification of a document type is required, no prior identification of an expected format for the document type is required, no pre-created scripts are required to map contents of the document, and the intermediate structured representation of the information is capable of being exchanged across diverse hardware, operating systems and applications.

26. The method of claim 25, wherein the steps are performed automatically by a computer system.

27. The method of claim 25, wherein the algorithms used to automatically understand the document are capable of:

analyzing information contained in the document;

decomposing the information contained in the document;

extracting the decomposed information;

categorizing the decomposed information; and

validating the decomposed information.

28. The method of claim 27, wherein the steps are performed automatically by a computer system.

29. The method of claim 25, further comprising:

converting the intermediate structured representation of the information into a format capable of being used in one or more target systems.

30. The method of claim 29, wherein the converting step comprises utilizing an ETL tool to convert the intermediate structured representation of the information into a format capable of being used in one or more target systems.

31. The method of claim 25, wherein the document that is obtained is in the form of at least one of:

an ASCII text document, an EBCDIC text document, a spreadsheet, a PDF file, a Postscript file, and an HTML document.

32. The method of claim 25, wherein the document that is obtained comprises a financial statement.

33. The method of claim 32, wherein the financial statement comprises at least one of:

a balance sheet, an income statement, and a cash flow statement.

34. The method of claim 25, wherein the document that is obtained comprises an electronic document.

35. The method of claim 34, wherein the electronic document is obtained electronically via at least one of:

the Internet, an electronic mail message, an intranet, an extranet, and a scanner.

36. The method of claim 25, wherein the method is utilized to analyze at least one of:

a company'"'"'s financial health and the integrity of the financial statement.

37. The method of claim 25, wherein the document that is obtained comprises tabular information.

38. A system for understanding a document and converting it into an intermediate structured representation of the information contained therein, the system comprising:

a means for obtaining a document;

a means for utilizing algorithms to automatically understand the document; and

a means for creating an intermediate structured representation of the information contained therein from the extracted information,

wherein no prior identification of a document type is required, no prior identification of an expected format for the document type is required, no pre-created scripts are required to map contents of the document, and the intermediate structured representation of the information is capable of being exchanged across diverse hardware, operating systems and applications.

39. The system of claim 38, wherein the steps are performed automatically by a computer system.

40. The system of claim 38, wherein the means for utilizing algorithms to automatically understand the document further comprises:

a means for analyzing information contained in the document;

a means for decomposing the information contained in the document;

a means for extracting the decomposed information;

a means for categorizing the decomposed information; and

a means for validating the decomposed information.

41. The system of claim 40, wherein the steps are performed automatically by a computer system.

42. The system of claim 38, further comprising:

a means for converting the intermediate structured representation of the information into a format capable of being used in one or more target systems.

43. The system of claim 42, wherein the means for converting the intermediate structured representation of the information into a format capable of being used in one or more target systems comprises utilizing an ETL tool to convert the intermediate structured representation of the information into a format capable of being used in one or more target systems.

44. The system of claim 38, wherein the document that is obtained is in the form of at least one of:

an ASCII text document, an EBCDIC text document, a spreadsheet, a PDF file, a Postscript file, and an HTML document.

45. The system of claim 38, wherein the document that is obtained comprises a financial statement.

46. The system of claim 45, wherein the financial statement comprises at least one of:

a balance sheet, an income statement, and a cash flow statement.

47. The system of claim 38, wherein the document that is obtained comprises an electronic document.

48. The system of claim 47, wherein the electronic document is obtained electronically via at least one of:

the Internet, an electronic mail message, an intranet, an extranet, and a scanner.

49. The system of claim 38, wherein the system is utilized to analyze at least one of:

a company'"'"'s financial health and the integrity of the financial statement.

50. The system of claim 38, wherein the document that is obtained comprises tabular information.