System and method for monitoring unauthorized dissemination of documents and portable media

• US 7,331,725 B2
• Filed: 02/27/2003
• Issued: 02/19/2008
• Est. Priority Date: 02/28/2002
• Status: Expired due to Term

• Current Assignee: Forcepoint LLC
• Original Assignee: PortAuthority Technologies, Inc. (Forcepoint LLC)
• Inventors: Troyansky, Lidror, Carny, Ofir, Peled, Ariel
• Primary Examiner(s): Chau; Minh
• Application Number:
  US10/504,852
• Publication Number:
  US 20050168766A1
• Time in Patent Office: 1,818 Days
• Field of Search: 400103-106, 705 50- 58
• US Class Current: 400/106
• CPC Class Codes: G06F 21/608 Secure printing
• CPC Class Codes: G06F 2221/2153 Using hardware token as a secondary aspect

Abstract

A method for enforcing a distribution policy associated with an electronic document comprising the steps of: sending the document to an output device; determining said distribution policy associated with said document; instructing a marking module to embed a marking indicating at least the existence of said distribution policy on an output form of said electronic document produced by said output device, said marking being readable to enforce said associated marking policy.

Claims

1. A method for enforcing a distribution policy for documents comprising the steps of:

detecting distribution policy related information embedded in said document using a marking decoding device, wherein said distribution policy related information is printed on said document;

determining a distribution policy using a policy reference component based on said distribution policy related information embedded in said document;

notifying at least one distribution policy enforcement facilitation module of said distribution policy; and

said distribution policy enforcement facilitation module performing an action according to said notification.

2. A method according to claim 1, wherein said embedding distribution policy related information printing comprise at least one of the following:

An arrangement printed on said document that can be detected using electromagnetic means;

A radio frequency remote identification device;

An electronic circuit;

An electronic resonant circuit;

An electronic resonant circuit comprising a capacitor and a coil;

Matched dipole antenna;

radiation emitting material;

Magnetic substance;

Antenna;

Microwave detectable component;

Excite-able quantum system;

Piezoelectric component; and

Acoustic resonator.

3. A method according to claim 1, wherein said document comprises printing paper, and said embedding distribution policy related information embedding comprises at least one of the following:

An apparatus printed on said paper;

Conductive ink;

An electronic component;

Magnetic ink;

A Conductive segment;

detectable chemicals;

Barcode; and

Visible marking.

4. A method according to claim 1, wherein said embedding distribution policy related information printing comprise at least one of the following:

Marking which is not substantially visually perceptible;

Marking which is not substantially visually discernable from a background;

a marking comprising a plurality of layers;

a plurality of markings;

a plurality of layers of markings, each layer comprising different information;

a plurality of markings, each comprising different information;

a plurality of different markings each layer comprising a different marking technique;

a plurality of layers of markings each layer comprising several different marking techniques;

Marking which is substantially difficult to remove;

Marking which is difficult to substantially damage;

Marking operable to be localized; and

Marking operable to be localized by triangulation.

5. A method according to claim 1, wherein said policy enforcement action comprising at least one of the following;

Logging said notification;

Reporting said notification;

Logging and reporting said notification;

Providing an alert;

Sounding an alarm;

Obstructing the exit of said document from a restricted area;

Obstructing the exit of said document from a restricted area by closing an exit;

Preventing a copying device from copying said document;

Preventing a writing device from writing said document to digital media;

Preventing a writing device from writing said document on unmarked digital media;

Preventing a copying device from making an unmarked copy of said detected marked document; and

Causing a copying device to embed marking on copies it creates following said detection.

6. A method according to claim 1, further comprising utilizing at least one of the following techniques:

Tamper resistance for marks printed on said output;

Tamper detection for marks printed on said output, said tamper detection for detecting attempts at tampering;

Tamper resistance for a device used for detection of said marks;

Tamper detection for a device used for detection of said mark, said tamper detection for detecting attempts at tampering;

Tamper resistance for a device used for enforcement of said policy;

Tamper detection for a device used for enforcement of said policy, said tamper detection for detecting attempts at tampering;

Cryptography within said marking;

Cryptography for communication with output devices;

Encryption of marks;

Encryption of communication with output devices;

Encryption of communications concerning said distribution policy;

Utilizing a rule based distribution policy to derive a policy for a given document;

Rule based policy analyzing;

Utilizing a document management system for control of distribution policy over a plurality of documents;

Integration with a document management system;

Importing of documents;

Enforcing a document retention policy;

Access control;

Utilizing a personnel identification device operable to identify personnel in association with said documents;

Utilizing a personnel identification device operable to identify personnel attempting to perform an action related to said document;

Access control to at least one storage device;

Access control to at least one storage device for enforcement by said storage device;

Utilizing Optical Character Recognition to analyze the contents of documents in output form;

Utilizing Optical Character Recognition to analyze the contents of marks printed on documents in output form;

Inserting marks in the form of bar codes and utilizing bar code reading to identify said marks;

Utilizing tamper resistant hardware; and

Triangulation for position location.

7. A method according to claim 1, further comprising defining at least two zones, such that a document is allowed to be in a first restricted zone, and is not allowed to be in a second, non-restricted, zone, and wherein said enforcing comprises actions preventing transfer of said output form from said first zone to said second zone.

8. A method according to claim 7, wherein said enforcing comprises selecting at least one of the following not allowing the creation of copies of said documents within said second zone;

monitoring exits of said first zone utilizing marking detection; and

monitoring the entrances of said second zone utilizing marking detection.

9. A method according to claim 1, further comprising defining at least two classes of documents, providing each class with a mark allowing said class to be distinguished, applying a different distribution policy for each class, defining at least three zones, defining that a first of said classes is allowed to be in a first restricted zone, defining that said first class is not allowed to be in a second restricted zone, defining that a second of said classes is allowed to be in said first restricted zone, defining that said second class is allowed to be in said second restricted zone, defining that said second class is not allowed to be in a third non-restricted zone, defining that said first class is not allowed to be in said third not restricted zone, and wherein said enforcing comprises actions controlling transfer of said output form between said respective zones in accordance with said definitions.

10. A method according to claim 9, wherein said enforcing comprises selecting at least one of:

not allowing the creation of copies of documents of said first class within said second restricted zone;

monitoring the exits of said first restricted zone utilizing marking detection;

monitoring the exits of said second restricted zone utilizing marking detection;

monitoring the entrances of said second restricted zone utilizing marking detection devices; and

monitoring the entrances of said third not restricted zone utilizing marking detection.

11. A method according to claim 1, wherein said marking comprises indication about at least one of the following:

distribution policy related information for an associated document;

distribution policy related information;

reference to a database;

reference to a database comprising distribution policy related information for an associated document;

reference to a database comprising distribution policy related information; and

an identification of an associated document.

12. A method according to claim 1, wherein said marking comprise indication about at least one of the following:

information about the contents of an associated document;

Allowed recipients information for an associated document page number information for the page of a copy of an associated document;

copy number information for a copy of an associated document;

copy identification information for a copy of an associated document;

author identity information for an associated document;

managing personnel identity, information for an associated document;

classification level information for an associated document;

printing permission information for an associated document;

copying permission information for an associated document;

removal from restricted zone permission information for an associated document;

usage restriction information for an associated document; and

Access control information for an associated document.

13. A method according to claim 1, further comprising embedding marking detection functionality into at least one of the following devices:

a scanning device;

a scanner;

a printing device;

a printer;

a plotter;

a copying device;

a photocopier;

a fax machine;

a document destruction device; and

a shredder.

14. A method according to claim 13, further comprising embedding said marking detection functionality into a document destruction device, thereby to enable said distribution policy enforcement facilitation module to monitor at least one of the following:

The number of copies of said document that have been created and not destroyed;

The number of copies of said document that have been created and destroyed;

The identity of copies of said document that have been created and not destroyed;

The identity of copies of said document that have been created and destroyed;

The identity of pages of copies of said document that have been created and not destroyed;

The identity of pages of copies of said document that were created and destroyed;

The identity of sections of copies of said document that have been created and not destroyed; and

The identity of sections of copies of said document that have been created and destroyed.

15. A method according to claim 13, further comprising embedding said marking detection functionality into a document destruction device, thereby to enable said distribution policy enforcement facilitation module to monitor at least one of the following:

identities of persons possessing copies of said documents that have been created and not destroyed;

identities of persons possessing copies of said document that have been created and not destroyed;

identities of persons possessing pages of copies of said documents which have been created and not destroyed;

identities of persons possessing sections of copies of said documents which have been created and not destroyed;

identities of persons possessing copies of said documents that have been created and not destroyed, said identity being discerned by utilizing a personnel identification device;

identities of persons possessing copies of said documents that have been created and not destroyed, said identity being discernable by utilizing a personnel identification device;

identities of persons possessing pages of copies of said documents that have been created and not destroyed, said identity being discernable by utilizing a personnel identification device; and

identities of persons possessing sections of copies of said documents that have been created and not destroyed, said identity being discernable by utilizing a personnel identification device.

16. A method according to claim 1, wherein said distribution policy comprises a retention policy.

17. A system for enforcing a distribution policy associated with an electronic document comprising:

A marking decoding device operable to detect distribution policy related information printed on said document;

A policy reference component operable to determine a distribution policy for said document, using said distribution policy related information printed on said document;

A distribution policy enforcement facilitation module operable to perform an action according to said distribution policy.

18. A system according to claim 17, wherein said marking comprise at least one of the following:

An arrangement printed on said document that can be detected using electromagnetic means;

A radio frequency remote identification device;

An electronic circuit;

An electronic resonant circuit;

An electronic resonant circuit comprising a capacitor and a coil;

Matched dipole antenna;

radiation emitting material;

Magnetic substance;

Antenna;

Microwave detectable component;

Excite-able quantum system;

Piezoelectric component; and

Acoustic resonator.

19. A system according to claim 17, wherein said marking comprise at least one of the following:

Marking which is not substantially visually perceptible;

Marking which is not substantially visually discernable from a background;

a marking comprising a plurality of layers;

a plurality of markings;

a plurality of layers of markings, each layer comprising different information;

a plurality of markings, each comprising different information;

a plurality of different markings each layer comprising a different marking technique;

a plurality of layers of markings each layer comprising several different marking techniques;

Marking which is substantially difficult to remove;

Marking which is difficult to substantially damage;

Marking operable to be localized; and

Marking operable to be localized by triangulation.

20. A system according to claim 17, wherein said action comprising at least one of the following;

Logging;

Reporting;

Logging and reporting;

Providing an alert;

Sounding an alarm;

Obstructing the exit of said document from a restricted area;

Obstructing the exit of said document from a restricted area by closing an exit;

Preventing a copying device from copying said document;

Preventing a writing device from writing said document to digital media;

Preventing a writing device from writing said document on unmarked digital media;

Preventing a copying device from making an unmarked copy of said detected marked document; and

Causing a copying device to embed marking on copies it creates following said detection.

21. A system according to claim 17, wherein said marking comprises indication about at least one of the following:

distribution policy related information for an associated document;

distribution policy related information;

reference to a database;

reference to a database comprising distribution policy related information for an associated document;

reference to a database comprising distribution policy related information; and

an identification of an associated document.

22. A system according to claim 17, wherein said marking comprise indication about at least one of the following:

information about the contents of an associated document;

Allowed recipients information for an associated document page number information for the page of a copy of an associated document;

copy number information for a copy of an associated document;

copy identification information for a copy of an associated document;

author identity information for an associated document;

managing personnel identity, information for an associated document;

classification level information for an associated document;

printing permission information for an associated document;

copying permission information for an associated document;

removal from restricted zone permission information for an associated document;

usage restriction information for an associated document; and

Access control information for an associated document.

23. A system according to claim 17, further comprising a marking detection device embedded into at least one of the following devices:

a scanning device;

a scanner;

a printing device;

a printer;

a plotter;

a copying device;

a photocopier;

a fax machine;

a document destruction device; and

a shredder.

24. A system according to claim 23, further comprising a marking detection device embedded into a document destruction device, operable to enable said distribution policy enforcement facilitation module to monitor at least one of the following:

The number of copies of said document that have been created and not destroyed;

The number of copies of said document that have been created and destroyed;

The identity of copies of said document that have been created and not destroyed;

The identity of copies of said document that have been created and destroyed;

The identity of pages of copies of said document that have been created and not destroyed;

The identity of pages of copies of said document that were created and destroyed;

The identity of sections of copies of said document that have been created and not destroyed; and

The identity of sections of copies of said document that have been created and destroyed.

25. A system according to claim 23, further comprising a marking detection device embedded into a document destruction device, operable to enable said distribution policy enforcement facilitation module to monitor at least one of the following:

identities of persons possessing copies of said documents that have been created and not destroyed;

identities of persons possessing copies of said document that have been created and not destroyed;

identities of persons possessing pages of copies of said documents which have been created and not destroyed;

identities of persons possessing sections of copies of said documents which have been created and not destroyed;

identities of persons possessing copies of said documents that have been created and not destroyed, said identity being discerned by utilizing a personnel identification device;

identities of persons possessing copies of said documents that have been created and not destroyed, said identity being discernable by utilizing a personnel identification device;

identities of persons possessing pages of copies of said documents that have been created and not destroyed, said identity being discernable by utilizing a personnel identification device; and

identities of persons possessing sections of copies of said documents that have been created and not destroyed, said identity being discernable by utilizing a personnel identification device.

26. A system according to claim 17, wherein said distribution policy comprises a retention policy.

27. A method for enforcing a distribution policy for documents comprising the steps of:

detecting distribution policy related information embedded in said document using a marking decoding device, wherein said distribution policy related information is embedded in said document;

determining a distribution policy using a policy reference component based on said distribution policy related information embedded in said document;

notifying at least one distribution policy enforcement facilitation module of said distribution policy; and

said distribution policy enforcement facilitation module performing an action according to said notification, the method further comprising defining at least two zones, such that a document is allowed to be in a first restricted zone, and is not allowed to be in a second, non-restricted, zone, and wherein said enforcing comprises actions preventing transfer of said output form from said first zone to said second zone.

28. A method according to claim 27, wherein said enforcing comprises selecting at least one of the following not allowing the creation of copies of said documents within said second zone;

monitoring exits of said first zone utilizing marking detection; and

monitoring the entrances of said second zone utilizing marking detection.

29. A method for enforcing a distribution policy for documents comprising the steps of:

detecting distribution policy related information embedded in said document using a marking decoding device, wherein said distribution policy related information is embedded in said document;

determining a distribution policy using a policy reference component based on said distribution policy related information embedded in said document;

notifying at least one distribution policy enforcement facilitation module of said distribution policy; and

said distribution policy enforcement facilitation module performing an action according to said notification, the method further comprising defining at least two classes of documents, providing each class with a mark allowing said class to be distinguished, applying a different distribution policy for each class, defining at least three zones, defining that a first of said classes is allowed to be in a first restricted zone, defining that said first class is not allowed to be in a second restricted zone, defining that a second of said classes is allowed to be in said first restricted zone, defining that said second class is allowed to be in said second restricted zone, defining that said second class is not allowed to be in a third non-restricted zone, defining that said first class is not allowed to be in said third not restricted zone, and wherein said enforcing comprises actions controlling transfer of said output form between said respective zones in accordance with said definitions.

30. A method according to claim 29, wherein said enforcing comprises selecting at least one of:

not allowing the creation of copies of documents of said first class within said second restricted zone;

monitoring the exits of said first restricted zone utilizing marking detection;

monitoring the exits of said second restricted zone utilizing marking detection;

monitoring the entrances of said second restricted zone utilizing marking detection devices; and

monitoring the entrances of said third not restricted zone utilizing marking detection.

31. A method for enforcing a distribution policy for documents comprising the steps of:

detecting distribution policy related information embedded in said document using a marking decoding device, wherein said distribution policy related information is embedded in said document;

determining a distribution policy using a policy reference component based on said distribution policy related information embedded in said document;

notifying at least one distribution policy enforcement facilitation module of said distribution policy; and

said distribution policy enforcement facilitation module performing an action according to said notification, the method further comprising embedding marking detection functionality into at least one of the following devices;

a scanning device;

a scanner;

a printing device;

a printer;

a plotter;

a copying device;

a photocopier;

a fax machine;

a document destruction device; and

a shredder, wherein the method further comprises embedding said marking detection functionality into a document destruction device, thereby to enable said distribution policy enforcement facilitation module to monitor at least one of the following;

The number of copies of said document that have been created and not destroyed;

The number of copies of said document that have been created and destroyed;

The identity of copies of said document that have been created and not destroyed;

The identity of copies of said document that have been created and destroyed;

The identity of pages of copies of said document that have been created and not destroyed;

The identity of pages of copies of said document that were created and destroyed;

The identity of sections of copies of said document that have been created and not destroyed; and

The identity of sections of copies of said document that have been created and destroyed.

32. A method according to claim 31, further comprising embedding said marking detection functionality into a document destruction device, thereby to enable said distribution policy enforcement facilitation module to monitor at least one of the following:

identities of persons possessing copies of said documents that have been created and not destroyed;

identities of persons possessing copies of said document that have been created and not destroyed;

identities of persons possessing pages of copies of said documents which have been created and not destroyed;

identities of persons possessing sections of copies of said documents which have been created and not destroyed;

identities of persons possessing copies of said documents that have been created and not destroyed, said identity being discerned by utilizing a personnel identification device;

identities of persons possessing copies of said documents that have been created and not destroyed, said identity being discernable by utilizing a personnel identification device;

identities of persons possessing pages of copies of said documents that have been created and not destroyed, said identity being discernable by utilizing a personnel identification device; and

identities of persons possessing sections of copies of said documents that have been created and not destroyed, said identity being discernable by utilizing a personnel identification device.

33. A method for enforcing a distribution policy for documents comprising the steps of:

detecting distribution policy related information embedded in said document using a marking decoding device, wherein said distribution policy related information is embedded in said document;

determining a distribution policy using a policy reference component based on said distribution policy related information embedded in said document;

notifying at least one distribution policy enforcement facilitation module of said distribution policy; and

said distribution policy enforcement facilitation module performing an action according to said notification, wherein said document comprises at least one of one of the following;

A printed copy of said document;

A digital copy of said document;

A copy of said document stored on portable media;

A copy of said document stored on portable storage device;

A copy of said document stored an optical portable media;

A copy of said document stored on a magnetic portable media;

A copy of said document stored an optical media;

A copy of said document stored on a magnetic media;

A copy of said document stored on a CD;

A copy of said document stored on a DVD;

A copy of said document stored on a diskette;

A copy of said document stored on a magnetic tape;

A copy of said document stored on a zip disk; and

A copy of said document stored on a flash memory card.

34. A system for enforcing a distribution policy associated with an electronic document comprising:

A marking decoding device operable to detect distribution policy related information embedded in said document;

A policy reference component operable to determine a distribution policy for said document, using said distribution policy related information embedded in said document;

A distribution policy enforcement facilitation module operable to perform an action according to said distribution policy, the system further comprising a marking detection device embedded into at least one of the following devices;

a scanning device;

a scanner;

a printing device;

a printer;

a plotter;

a copying device;

a photocopier;

a fax machine;

a document destruction device; and

a shredder, wherein the system further comprises a marking detection device embedded into a document destruction device, operable to enable said distribution policy enforcement facilitation module to monitor at least one of the following;

The number of copies of said document that have been created and not destroyed;

The number of copies of said document that have been created and destroyed;

The identity of copies of said document that have been created and not destroyed;

The identity of copies of said document that have been created and destroyed;

The identity of pages of copies of said document that have been created and not destroyed;

The identity of pages of copies of said document that were created and destroyed;

The identity of sections of copies of said document that have been created and not destroyed; and

The identity of sections of copies of said document that have been created and destroyed.

35. A system for enforcing a distribution policy associated with an electronic document comprising:

A marking decoding device operable to detect distribution policy related information embedded in said document;

A policy reference component operable to determine a distribution policy for said document, using said distribution policy related information embedded in said document;

A distribution policy enforcement facilitation module operable to perform an action according to said distribution policy, the system further comprising a marking detection device embedded into at least one of the following devices;

a scanning device;

a scanner;

a printing device;

a printer;

a plotter;

a copying device;

a photocopier;

a fax machine;

a document destruction device; and

a shredder, wherein the system further comprises a marking detection device embedded into a document destruction device, operable to enable said distribution policy enforcement facilitation module to monitor at least one of the following;

identities of persons possessing copies of said documents that have been created and not destroyed;

identities of persons possessing copies of said document that have been created and not destroyed;

identities of persons possessing pages of copies of said documents which have been created and not destroyed;

identities of persons possessing sections of copies of said documents which have been created and not destroyed;

identities of persons possessing copies of said documents that have been created and not destroyed, said identity being discerned by utilizing a personnel identification device;

identities of persons possessing copies of said documents that have been created and not destroyed, said identity being discernable by utilizing a personnel identification device;

identities of persons possessing pages of copies of said documents that have been created and not destroyed, said identity being discernable by utilizing a personnel identification device; and

identities of persons possessing sections of copies of said documents that have been created and not destroyed, said identity being discernable by utilizing a personnel identification device.

36. A system for enforcing a distribution policy associated with an electronic document comprising:

A marking decoding device operable to detect distribution policy related information embedded in said document;

A policy reference component operable to determine a distribution policy for said document, using said distribution policy related information embedded in said document;

A distribution policy enforcement facilitation module operable to perform an action according to said distribution policy, wherein said document comprises at least one of one of the following;

A printed copy of said document;

A digital copy of said document;

A copy of said document stored on portable media;

A copy of said document stored on portable storage device;

A copy of said document stored an optical portable media;

A copy of said document stored on a magnetic portable media;

A copy of said document stored an optical media;

A copy of said document stored on a magnetic media;

A copy of said document stored on a CD;

A copy of said document stored on a DVD;

A copy of said document stored on a diskette;

A copy of said document stored on a magnetic tape;

A copy of said document stored on a zip disk; and

A copy of said document stored on a flash memory card.

37. A method for enforcing a distribution policy for documents comprising the steps of:

detecting distribution policy related information embedded in said document using a marking decoding device, wherein said distribution policy related information is embedded in a paper said document is printed on;

determining a distribution policy using a policy reference component based on said distribution policy related information embedded in said paper said document is printed on;

notifying at least one distribution policy enforcement facilitation module of said distribution policy; and

said distribution policy enforcement facilitation module performing an action according to said notification.

38. A system for enforcing a distribution policy associated with an electronic document comprising:

A marking decoding device operable to detect distribution policy related information embedded in a paper said document is printed on;

A policy reference component operable to determine a distribution policy for said document, using said distribution policy related information embedded in said paper said document is printed on;

A distribution policy enforcement facilitation module operable to perform an action according to said distribution policy.