AU2007234539A1 - Document classification toolbar - Google Patents

Description

P001 Section 29 Regulation 3.2(2)

AUSTRALIA

Patents Act 1990 COMPLETE SPECIFICATION STANDARD PATENT Application Number: Lodged: Invention Title: Document classification toolbar The following statement is a full description of this invention, including the best method of performing it known to me us: N Document Classification Toolbar 0 Z TECHNICAL FIELD C The present disclosure relates to computer systems and software, and in particular to electronic document management and security using a document a 5 classification toolbar.

BACKGROUND

Electronic documents commonly used in the corporate and government environments are generated being word processing applications, spreadsheets, slide presentations, the most common being Microsoft OfficeTM application suite.

0 With today's pervasive networking systems such as local area networks (LANs), wide area networks (WANs) and the Internet, and software tools such as e-mail, it is very easy for individuals to move these documents around to different computers, computer systems and other individuals without little or no thought as to the sensitivity of the content contained therein. As a matter of security in the electronic workplace there is therefore a need to classify, manage and control the creation and flow of documents, e-mail correspondence and the like.

Some document management solutions allow the user to associate classifications to a document when a document is added to a document management repository governed by document management systems. These classification properties are stored in the document library database and are not actually attached to the document itself and are dependent on the document management system for identification and enforcement.

When a document is removed from the document management repository and sent to or shared with someone, it loses the associated properties because the properties are not part of the document. The classification may not also be visible on any printed copies of the document itself. As a result, the person receiving the document has no easy way to identify the classification of the document, and they therefore do not know what limitations should be placed on the handling and distribution of the document. In addition, compliance systems verifying the handling O or distribution of the document have no way to decide what to do with the document as there are no properties attached to the document and potential contained in the

O

S document itself.

There is therefore a need for an improved classification and management system for electronic documents.

S SUMMARY 1 In an aspect there is provided a method for document classification in a document creation application comprising the steps: providing a classification toolbar within a document in the document creation application, the classification 0 toolbar providing at least a first classification selection input; populating classification selections in the classification toolbar based upon pre-defined classification criteria; receiving a classification selection input, selected by a user, from the classification selections populated in the toolbar; determining if classification input is valid based upon administrator defined classification policy; applying visual cues to the document to identify that the document has been classified; and assigning XML classification properties to the document metadata based upon the classification selections when the classification input is valid.

In accordance with another aspect there is provided a method for document classification in a document creation application comprising the steps: providing a classification toolbar within the document, the classification toolbar providing at least a first classification selection input; populating classification selections in the classification toolbar based upon pre-defined classification criteria; receiving identification of a selected text portion of the document from a user; receiving a portion classification selection input, selected by the user, from the classification selections populated in the toolbar; determining if portion classification input is valid based upon administrator defined classification policy; applying visual cues to the document to identify a portion of the document has been classified; applying visual markers identifying the selected classification at the beginning and end of the portion that has been classified; and applying XML properties within the document representing the classification of the portions.

SIn accordance with yet another aspect there is provided a computer readable medium containing instructions for providing document classification in a document 0 S creation application, the instructions which when executed by a processor perform the steps of: providing a classification toolbar within a document in the document creation application, the classification toolbar providing at least a first classification selection input; populating classification selections in the classification toolbar based upon pre-defined classification criteria; receiving a classification selection input, selected by a user, from the classification selections populated in the toolbar; S determining if classification input is valid based upon administrator defined C 0 classification policy; applying visual cues to the document to identify that the document has been classified; and assigning XML classification properties to the document metadata based upon the classification selections when the classification input is valid.

In accordance with still yet another aspect there is provided a computer readable medium containing instructions for providing document classification in a document creation application, the instruction which when executed by a processor perform the steps of: providing a classification toolbar within the document, the classification toolbar providing at least a first classification selection input; populating classification selections in the classification toolbar based upon pre-defined 0 classification criteria; receiving identification of a selected text portion of the document from a user; receiving a portion classification selection input, selected by the user, from the classification selections populated in the toolbar; determining if portion classification input is valid based upon administrator defined classification policy; applying visual cues to the document to identify a portion of the document has been classified; applying visual markers identifying the selected classification at the beginning and end of the portion that has been classified; and applying XML properties within the document representing the classification of the portions.

Other aspects and features will become apparent to those ordinarily skilled in the art upon review of the following description of specific embodiment of the invention in conjunction with the accompanying figures.

BRIEF DESCRIPTION OF THE DRAWINGS Further features and advantages will become apparent from the following 0 S detailed description, taken in combination with the appended drawings, in which: Figure 1 shows a block diagram of a document classification system architecture; Figure 2 shows a schematic representation of a high level client architecture for implementing a document classification toolbar; Figure 3 shows a classification toolbar providing project classification; Figure 3 shows a classification toolbar providing project classification;ion; Figure 4 shows a classification toolbar providing retention; 0 Figure 5 shows document containing classification criteria; Figure 6 shows document classification metadata properties; Figure 7 shows a hierarchical tree in a Windows registry; Figure 8 shows a document classification administration tool; Figures 9 and 10 show a method for executing a classification toolbar and generating an document containing classification properties; Figure 11 shows a method for executing a classification toolbar for classification marking a portion of a document.; Figure 12 shows XML document classification properties; Figure 13 shows a portion of the document of Figure 5 in XML and the identifying classification and portion marking; and Figure 14 shows an illustration of dynamic toolbar population.

It will be noted that throughout the appended drawings, like features are identified by like reference numerals.

DETAILED DESCRIPTION Embodiments are described below, by way of example only, with reference to 0 z Figs. 1-14.

Due to compliance legislation such as the Sarbanes-Oxley Act in the United States (or more precisely, the Public Company Accounting Reform and Investor S Protection Act of 2002), policies such as the Health Insurance Portability and Accountability Act (HIPAA), or other legal or corporate guidelines there is a need for greater security of information. Companies need to be able to determine the classification of documents so that their employees will handle information correctly 0 in terms of privacy, security, distribution and retention. The best way to do this is to generate recognizable classification properties and visual markers in the documents when they are being created so that everyone will know the level of sensitivity of the documents and how to handle them.

By creating classification criteria metadata properties inserted in a document travel with the document and also allow automatic processes to check the handling of the document. For example, a messaging gateway or content scanner can verify the classification of documents being sent out of the company via e-mail for any violations of policy. In addition classification criteria can allow the automatic insertion of to visual cues to identify the associated classification in a standard 0 manner. Heretofore, this cannot be done with productivity suites such as Microsoft

T

M Office software, AdobeTM Acrobat, OpenOffice T M CorelTM WordPerfectTM Office and Microsoft VisioTM. Most document creation applications allow users to add optional properties to the document such as Title, Author, Subject, but cannot force the user to enter any properties before a document is saved or enforce classification standards. The document classification system described herein can force the user to select classification properties to be associated with the document, or portions therein, in addition to providing visual cues inserted within the document in standard format to ensure classification properties are appropriately identified and transmitted. Automatic insertion of visual markings in document including headers and footers in addition to advanced formatting capabilities which allow the user to apply the classification markings to specific areas of the header and footer (left justified, center, right justified etc.) to provide a consistent level of visibility not previously available. Custom properties that are associated with the document travel with the document and reflect the 0 S classification of the document can be integrated with rights management systems to limit access and distribution of document based upon the associated classification.

Event driven logic is utilized to force user to classify a documents before saving, sending or printing as described in more detail below. In addition to providing overall document classification, portions of the document can be classified at a different level than the document classification with unique classification 0 markings associated to clearly identify the selected portion. All SAVE, PRINT and N 0 SEND events are interpreted within the document productivity software and ensure that classification selections have been made before these actions. Prevention or warning can be displayed when the user attempts to downgrade a classification of a document. In the downgrade prevent mode, if the user tries to downgrade the classification, for example from SECRET to UNCLASSIFIED, they can be prevented based upon the existing properties associated with it. Alternatively the document can be automatically classified based on the users profile. For example, all users in the finance department could be configured to automatically apply a classification of FINANCIAL INFO to all their documents. Visual markings within the document such as header, footer or watermarks can be automatically inserted based upon the 0 selected classification.

Context sensitive classification selections which change based on user selection can also be provided by the toolbar. For example, if the user selects CONFIDENTIAL as a classification they can then be prompted to indicate which department generated the confidential information and how long the information should be retained as a corporate record.

Figure 1 provides a high level overview environment in which classification toolbars can be utilized. A user selects 114 classifications for a document via toolbar extensions to the office software applications such as Microsoft Word, Excel, PowerPoint or Adobe Acrobat, etc. executed by computers 108, 110 and 112 having processors and memory which are operated by users 114, 116 and 118 respectively. The client may be a personal computer, notebook computer or portable O computing device such a mobile phone or personal digital assistant (PDA) device.

In a networked environment the clients 108, 110, 112 can access a storage or S document management server 104 through a network 102 such as the internet. The server 104 can provide access to a storage device 106 containing documents. The storage device 106 may also contain computer readable code required to implement the toolbar on clients 108, 110 and 112. Alternative the computers 108, 110 and 112 may have local storage for documents and computer executable code.

SClassification selection enables the automatic creation of properties that will travel with the document and may be enforced by document classification software N 0 either residing on the computer 108, 110, or 112, or by a central server 104.

Trusted label support provides verification that classification of the document has not been modified (tampered with) which can be done by calculating a hash of the document properties on saving and recalculating the hash on re-opening of the document by the software operating on the client. In addition, the classification policy allows users to search a network or PC for documents with specific classifications. Automatic logging may be provided for all classification actions by the user can be provided which can be used to audit user compliance. For example all classification warnings, classification errors, or all classification events (who classified, when classification properties were assigned, name of document etc) can !0 be logged and reviewed by an administrator. Digital rights management policies such as Windows No Print or No Change can also be applied and controlled.

Figure 2 describes the high level client architecture for implementing document classification toolbar. In this example, applications such as Word, Excel, PowerPoint, Acrobat applications 202 are implemented in the computing environment. The development environment in this case is application programming interface (API) 204 such as Component Object Model (COM) programming interface utilized in Microsoft Office or APIs utilized in Adobe. The end user interface 206 presents a composition screen or editing interface. The document classification is built by programming in the COM programming interface to accommodate a classification toolbar 208 presented to the user when composing a document. The toolbar may be implemented in a traditional toolbar approach or in the ribbon toolbar as provided in Microsoft Office 2007 applications. The classification toolbar 208 can be composed of several components, some presented to the user while others 0 S components provide additional functionality in regards to the classification process itself. For example, classification 210 selections may be presented to the user, as will be described in more detail. Classification policies 212 may be enforced based upon rules relative to the classification associated with the document, for example, certain classifications may limit who the has privileges to access, read, edit, save, print the document. Visual markings 214 may also be included in the document based on the classification, as will be discussed in more detail below, and events C 0 related to changes in classification may be logged 216 for access by an administrator.

Figure 3 shows a document classification toolbar 300 utilized when creating or editing documents. By selecting classification criteria via the toolbar, users can assign visual markers to the document in addition to assigning classification properties. The classification toolbar 300 is added to the application in which the document is being edited to enable the user to select classifications to be associated with the document or portions of the document therein. In this example first level classification criteria entry menu 302 and a secondary classicisation criteria menu defining project 306 classifications are provided. In the classification '0 menu 302, classifications criteria 304 such as for example a Sensitivity or Security level such as Unclassified, Confidential, Restricted, Internal Use Only, Secret, etc.

can be selected by the user. Other levels of classification can be introduced such as secondary classification 306 to indicate the appropriate project 308 or department name such as Sales Strategy, Sales Forecast, Sales Plan, etc. or distribution such as Executive Only, Senior Managers only etc. and the like. Any type of classification category can be utilized including but not limited to project, case number, file number, patient number, customer number, program name or number, etc.

The collection of classification properties can be context sensitive and the selections are configurable. For example, if the user selects Confidential as the security classification, they could then be prompted for a retention property or a distribution property. On the other hand, if the user selects Unclassified as the document type, there would be no need to collect any other classification properties.

S As an example, the classification collection logic could be implemented as follows:

IF

First Level Selection is CONFIDENTIAL

THEN

DISPLAY Second Level RETENTION selection

ELSE

NO MORE CLASSIFICATIONS This example can be extended to many levels of classification allowing the organizations to collect many classification properties for each document. The toolbar is built dynamically based on the user selections. As an example of a possible configuration, if the user selected a sensitivity of PERSONAL, no other selections are necessary. If the user selects a sensitivity of COMPANY CONFIDENTIAL the toolbar is dynamically configured to further prompt the user for the allowed distribution of the document LEGAL DEPT ONLY). In this way the toolbar can expand as the user is entering the classification information. Only subsequent classification criteria associated with the first selection is dynamically presented in the toolbar as will be discussed in connection with Figure 14.

Figure 4 shows classification toolbar 400 in which the first classification 402 is related to the security of the document while the second classification selection 404 defines the retention policy to be associated with the document. For example the document may have a retention-based model to classify the information to enforce retention with labels such as Personal, Retain for 90 days, Retain for 1 Year, or Corporate Correspondence. After classifications are assigned to the document, the document can be saved. Third party archiving and retention systems utilized the classification selection to determine if or how to retain a corporate document based on the Retention property assigned.

O It should be understood that although on two classification criteria are shown each in Figure 3 and 4, a toolbar may present multiple classification criteria for

O

S selection by the user.

Figure 5 shows a word processing application 500, in this example Microsoft Word containing document 520 is shown utilizing a ribbon toolbar presentation.

Toolbar 502 extends vertically within the application presenting the classification S criteria to be selected by the user and applied to the document in contrast to the S horizontal toolbar for Figures 3 4. The toolbar 502 presents a security classification criteria menu 504, a 'caveat' criteria menu 506, a 'derived' from menu S) 508 and an additional field 510 for entry of the classifying user. The classification criteria, as they are selected, can result in the application of visual cues to the text and images contained in the document 520. In this example, a header 522 is added which identifies the selected classification criteria. In addition, the classification scheme associated with the selected classification can add a watermark to the document 524, which in this example identifies the document as "SECRET".

Automatic insertion of the author's user name in the document watermark can also be provided based upon the currently logged on user's name can be retrieved from the operating system and inserted into the document watermark.

Context sensitive text such as disclaimers can be added within the D document body or within the header of footer portions. These disclaimers can be intelligently added to be tailored to the classification of the document and the associated content. For example, if UNCLASSIFIED was the selected classification the following text could be appended "This document is the property of XXX Corp. If you are not the intended recipient of the document please notify the originator", whereas a different postfix such as "This document has been marked as Confidential to XXX Corp. Unauthorized reproduction or transmission of the document is prohibited" if the classification selected was CONFIDENTIAL. Visual cues such as font characteristics can also be used in the added text for instance color, special fonts, font size, or formatting (table etc) can all be applied to text.

Portions of the document content may also be classified independently of the overall document, however when a portion classification is selected which is higher then the document selection, the document properties may be upgraded to match the selection, such as for example a security or sensitivity related criteria. In S document 520, paragraph 526 is selected by the user for individual classification.

By making selections using toolbar 502, visual cues 528 and 530 can be added within the document to clearly identify the associate classification criteria. In this example a classification of SECRET has been selected and a caveat RelToUSACAN which is not the same as the current selected document caveat RelToNATO. The classification markings for portions are represented within the document as Extensible Markup Language (XML) properties of the document as

O

S0 shown in Figure 13. In the case or Microsoft Word, for example, the base XML version of the document is modified with custom classification properties which represent the classification portion markings and the overall document classification.

The markings may be custom to the application or organization or may be defined as per the Intelligence Community Classification and Control Markings Manual also known as the CAPCO Guide.

High level functions are available to the user when composing a document through operation of the toolbar. These functions are also available if the user wants to apply classification information to an opened document that currently has no classification properties, or an opened document that already has assigned 0 classifications. Classification selection can be forced on Save, Exit or Print from a pop-up dialog rather than presenting a classification toolbar. In addition a downgrade warning for preventing downgrades when Saving or Printing can also be provided. Although a word processing document is shown should be understood that the application of the classification criteria is equally applicable to any form of document, including but not limited to Microsoft Word

TM

ExcelTM and PowerPointTM formats. Any document creation product can be utilized which do not currently allow classification of documents.

Figure 6 shows an example of document classification properties 600 inserted into document metadata. Document classification information can be added to documents generated by office productivity applications based on document-specific classification criteria properties. In this example under the document properties a custom label is created. The properties section 602 can define the classification criteria 604. Current document management systems do 0 S not modify the document in any way, as a result there are no visual markings in the document when it is opened in an application, that would identify the classification properties. Without visual markings the user has no easy way of identifying the classification of the document. The classification properties can be stored with the document properties provided in document metadata which may also be stored as XML properties in the document instead as Microsoft Office custom properties, as shown in Figure 12. Trusted label support can also be utilized in generating the SD classification properties by providing verification that the classification of the document has not been modified (tampered with) since document was saved. This is accomplished by computing a hash based on document properties as the document is being saved, and then re-computing the hash for comparison when the document is re-opened. The Microsoft CAPI encryption algorithms can be used to generate a hash which is used to verify the authenticity of the classification properties when the document is opened.

Figure 7 presents a screen capture of an exemplary hierarchical tree in a Windows Registry 700. Each Microsoft Office product supports the insertion of header footer objects differently. Microsoft Word allows the insertion of a header 0 and a footer, in PowerPoint only footers are supported and in Excel header footers are only visible on print. The registry entries 704 defined for each application enable an administrator to enter their requirements, but also result in a setup which is feasible for each product. The method used to implement this is a Windows registry tree which accommodates different settings for Word, Excel and PowerPoint. The entries 706 defines the behaviour of the toolbar within the application and how the classification criteria are applied to the document itself.

The classification toolbar can also provide built-in integration for users of the Microsoft Windows Rights Management Services (RMS) platform. Administrators can define associated RMS permissions such as Read, Full Control, Printing, Copy and Paste, and document expiration based on the classification label chosen. The RMS permissions or templates are defined within the Microsoft RMS Administration tool. Once these RMS permissions are defined they can be associated with classification criteria. This is done via Windows registry settings that indicate to the 0 S document classification toolbar if RMS protection should be automatically assigned based on a classification selection by the user. If RMS protection is to be applied, then another Windows registry would be used to indicate what protection should be assigned for each classification. As an example, a presentation assigned an HR ONLY label could be automatically assigned RMS permissions that would not allow anyone outside the HR department to view the presentation. The Document Classification Administration tool sets the correct Windows Registry settings based O on the configuration selected by the administrator. These settings can then be applied to user desktops using scripts or Microsoft Group Policy.

Figure 8 shows an classification administration tool window 800. The classification levels 802 of the toolbar are defined by selecting a specific level and associating criteria or tags 804 with the level. A toolbar label 806 can then be associated with the level in addition to a visual tooltip 808. Each level can be defined independently or be conditional on the previous level. Default selection can also be applied to enforce specific document attributes and visual markings. The administration tool also allows the administrator to predefine all possible classification selections and allows for automatic policy enforcement based on the 0 classifications selected by the user. For instance the document could be automatically encrypted protected using third party encryption schemes, such as digital rights management protection. Automatic logging of all classification actions by the user, which can be used to audit user compliance. The software can be configured to log all classification warnings, classification errors, or all classification events (who classified, when, classification properties assigned, name of document etc). The software writes this log information to the user's local Windows Event Log in a special folder. The administrator can perform the following actions: customize the list of labels you want to use; administrator can define default labels; define if when the label(s) will appear in the presentation footer; define if when the label(s) will appear in the presentation notes header footer; force the user to make an explicit selection of a label before saving or printing the presentation; and turn on the trusted labels feature to ensure classification integrity.

O Administrator defined settings are captured in the configuration file which is the central source of configuration information. The configuration file may be local

O

S on the computer 108, 110 and 112 or be provided by the document server 104.

This enables customization of the list of labels for classification; ability for administrator to configure warnings or prevent users from downgrading classifications; ability for administrator configuration to apply different customized headers, footers and watermarks depending on the classification selected; administrator can define default labels; define if/when the label(s) will appear in the document title or file name; define the formatting and color of any visual marking text C 0 within the document such as the header or footer portions; define if/when the label(s) will appear including the ability to display abbreviations of the classifications; force the user to make an explicit selection of a label before saving; and sort and search a PC's or network's document database based on the document's classification.

Figures 9 and 10 show a method for executing a classification toolbar and generating an document containing classification properties. At step 902 a user creates or opens a document using a productivity application. The document may be opened/created within an application or selected outside of the application in the operating system interface thus invoking the application to executed at step 904. At 0 step 906 the classification toolbar is presented within the document. Based upon the defined administration policy of the classification the toolbar can then be populated with classification selection (for example function COffice Document:Enable Command Bar) at step 908. As previously noted the toolbar may alternatively only be presented at the end of the document creation process. The population criteria may be a default setting or may utilize existing classification settings previously associated with the document. The user can then select a first classification level at step 910 (for example function Set Dropdown Selection). If multiple classification level policies are implemented, YES at step 912, the next menu selection can then be made available at step 910. The selection of the next level of classification may be related to the previous level of classification selected, for example each selection in the first level may have a different subset of selections available in the second or subsequent levels. If no more classification levels are 0 required, NO at step 912, the input is validated at step 914. Validation may be performed by the server or based upon rules contained within the client or done S locally based on the administration policy. If the input is valid, YES at 914, as shown in Figure 10, it is determined if classifications are assigned at step 1002. If no classification are assigned, NO at step 1002, step 910 is re-executed to require user input. If the classifications are assigned, YES at step 1002 the associated visual cues are added to the document at step 1004 and the document classification properties can be applied at step 1004. The document can then be saved, printed or transmitted with the classification.

Figures 11 shows a method for executing a classification toolbar for classification marking a portion of a document. At step 1102 a user selects to classify a portion of document content, such as a sentence, paragraph, or an image for classification marking. It is assumed that the toolbar is already present, but it may be invoked if it is already not available. The population criteria may be a default setting or may utilize existing classification settings associated with the document, if previously defined. The user can then select a first classification level at step 1104 (for example function COffice Document:Enable Command Bar). If multiple classification level policies are implemented, YES at step 1106, the next menu selection can then be made available at step 1104. The selection of the next level of classification may be related to the previous level of classification selected, for example each selection in the first level may have a different subset of selections available in the second or subsequent levels. If no more classification levels are required, NO at step 1106, the input is validated at step 1108. Validation may be performed by the server or based upon rules contained within the client or done locally based on the administration policy. If the input is valid, YES at 1108, the associated visual cues and visual markings, such as specific graphics or icons, are added to the selection portion at step 1110. At this step XML properties representing the classification selections are written into the XML representation of the document. It is then determined if the selection impacts the overall document classification at step 1112. If the selected portion classification is higher than the document classification, then the document classification properties will also be updated to reflect the change, YES at step 1112. The document properties are then updated at step 1114. The document can then be saved, printed or transmitted at S step 1116. If the classification does not impact the overall document classification, O NO at step 1112, then the document can then be saved, printed or transmitted with the classification criteria at step 1116. At step 1114 the overall document visual cues of the document may also have to be updated if the classification criteria selected impact the overall document classification. For example, if the document was original UNCLASSIFIED and a portion of text was identified as SECRET, the overall document classification would be upgraded to SECRET.

Figure 12 shows XML document classification properties 1200 as c3 represented in XML in a Microsoft Word 2007 document. The classification properties are written to the custom properties file within the Microsoft Word 2007 Word XML representation (docx file). As an example, this document has a Caveat property (TitusCorpidCaveat) 1202 of ReltoNATO (Release to NATO). All of these classification properties are accessible to outside programs via normal XML programming tools.

Figure 13 shows a portion of the document 1300 of Figure 5 in XML and the identifying classification and portion marking. The portion classification markings are written to the document.xml file that is part of the XML representation of a Microsoft Word 2007 document (docx file). The custom XML inserted as a result of D portion classification starts at the line that says CustomXML 1302. A custom XML schema representing the classification properties has been added to the base schema implemented by Microsoft for Word 2007 documents. In this example the user has classified the text "This paragraph will be classified" 1304. The text corresponds to what is currently in Figure 5, section 526.Within this property you can see the actual text that has been portioned marked. The custom XML indicates that this portion has been classified as SECRET and ReltoUSA_CAN (Release to USA and Canada). Using XML to represent classification of portions means they are accessible to outside programs via normal XML programming tools. As an example it would be easy to write a document redaction tool which would redact a document based on the XML portion classifications.

0 Figure 14 shows an illustration of dynamic toolbar population based on user classification selection. Toolbar 1400 shows a first classification selection 1402 of S UNCLASSIFIED. Based upon the selected classification the second classification criteria 1404 is populated with the criteria selection and entries associated with the first classification. In this example the UNCLASSIFIED selection results in the dynamic selection only one additional classification property of 'Document Status' and the associated entries. In contrast, in toolbar 1410, if the first classification criteria 1412 is selected to be SECRET, the three additional classification criteria are dynamically generated. The secondary classification criteria 1414 is a 'Caveat' O 0 selection property; third classification criteria 1416 in this case entitled 'Derived From'; and fourth classification criteria 1418 entitled 'Classified By'. In addition to independent field 1420 entitled document status, which may be tied back to the original SECRET classification and not dependent on the remaining classification selections. Each of the subsequent criteria may have dependent classification criteria that are dynamically generated based upon the user selections.

The following logic describes some example modules in the software and the methods associated with those modules. It also describes the events associated with each module. The COfficeDocument module contains the following methods: i. AddHeaderFooter 0 ii. BuildPropertyString iii. CalcDropdownWidths iv. CheckDowngrade v. Cleanup vi. CreateCommandBar vii. CreateHash viii. EnableCommandBar ix. EnableSecondLevel x. ExtractFromSignature xi. GetClassificationList xii. GetDropdownSelections xiii. GetProperty 18 xiv. GetSignatureShape xv. HasClassifications zxvi. HashProperties xvii. HasSignature xviii. HasValid Properties xix. HasValidPropertiesHashed xx. Initialize xxi. lnsertFieldCode xxii. lnsertSignature )xxiii. lnsertTitusTemplate N xxiv. Invoke xxv. ProcessCommand xxvi. Read Built n Property xxvii. ReadSignature xxviii. Select~lassifications xxix. SetDropdownSelections xxx. SetHeader xxxi. SetRMS Permission xxxii. SetWatermark 0 xxxiii. UpdateClassifications xxxiv. UpdateHeaderFooter xxxv. Valid Classifications xxxvi. WriteClassifications The CClassificationList module contains the following methods: XXXVii. Read ClassificationsFro rnDocument XXXViii. WriteClassificationsToDocument XXXiX. WritePlaceholdersToDocument The CWordApplicationEventhand ler module contains the following methods: Al AddOfficeDocument Al. Cleanup xlii. CleanupStrayDocuments xliii.

xliv.

xlv.

xlvi.

xlvii.

CreateHelpAbout FindOfficeDocument Initialize Invoke ProcessCommand 'The following provide more detail on the actual methods: i. bool COfficeDocument::AddHeaderFooter(Word::RangePtr pRange, bool flnsert) S)3 Summary: Adds text to a header/footer Parameter pRange: Range to add too Parameter flnsert: Can we insert into the document Returns: Success of adding text Determine if any of the fields in the range match the value for the first property or match the value for the second property For all fields in range If the value for the first property was not found and we can insert D Call InsertFieldCode If the value for the second property was not found and we can insert Call InsertFieldCode ii. std::string COfficeDocument::BuildPropertyString(Word::_DocumentPtr pDocument) Summary: Combine statistics from document and classifications into one string Parameter pDocument: Document to get properties from Returns: String containing the properties iii. void COfficeDocument::CalcDropdownWidths() Summary: Calculate the width for each dropdown O iv. bool COfficeDocument::CheckDowngrade() Summary: Determines if the classification level is okay in terms of downgrade z Returns: True if the save is allowed If classification downgrade has occurred o Show warn or prevent message to user If downgrading document is okay Prevent future warnings from displaying Return true 03 )Else Return false v. void COfficeDocument::Cleanup() Summary: Cleanup the commandbar vi. void COfficeDocument::CreateCommandBar(bool fTampered) Summary: Set up our custom toolbar Parameter fTampered: Has the document been tampered with 0 Calls GetClassificationList Adds a new toolbar Adds the dropdowns to our toolbar Calls EnableCommandBar Calls GetDropdownSelections Calls WriteClassifications vii. bool COfficeDocument::CreateHash(std::string strData, std::string& strHashedData) Summary: Creates a hash of the data Parameter strData: Data to hash Parameter strHashedData: Hash of data Returns: Hash creation success Use the Crypt API to create a hash of the data viii. bool COfficeDocument::EnableCommandBar(bool Enable) z Summary: Enable or disable our command bar Parameter fEnable: Enable CommandBar Returns: True if CommmandBar enabled Calls SetDropdownSelections Enables or Disables CommandBar Calls EnableSecondLevel ix. void COfficeDocument::EnableSecondLevel( bool bFirstEnabled) Summary: Enables second Level Dropdown Parameter bFirstEnabled: Enabled second level x. std::string COfficeDocument::ExtractFromSignature(std::string strSignature, std::string strName) Summary: Extracts a value of a name-value pair from the signature Parameter strSignature: Signature to extract from Parameter strName: Name of name-value pair to extract 0 Returns: Value of name-value pair to extract xi. CClassificationList* COfficeDocument::GetClassificationList( bool fTampered) Summary: Returns the classification list Parameter fTampered: Has the document been tampered with Returns: Classification list If we have previously set the classification list return that classification list Else Create new classification list If document has not been tampered with Call ReadClassificationsFromDocument return the new classification list Sxii. bool COfficeDocument::GetDropdownSelections( O Summary: Retrieve the dropdown selections from the toolbar Returns: If dropdown selection has changes since we last checked |c Calls GetClassificationList Get the selection for each dropdown

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S) xiii. STDMETHODIMP COfficeDocument::GetProperty(LPDISPATCH pDisp, LPOLESTR pszName, VARIANT* pvResult) Summary: Retrieve a named property from the document Parameter pDisp: Object to get property from Parameter pszName: Name of property Parameter pvResult: Value of property Returns: Success xiv. Word::ShapePtr COfficeDocument::GetSignatureShape (Word::_DocumentPtr pDocument, bool fCreateNew) Summary: Returns the signature shape that matches our signature name from the document Parameter pDocument: Document to get signature shape from Parameter fCreateNew: Create a new shape if requested Returns: The signature shape Match all shape names against our signature name If a match is found return the match Else If we can create a new shape Add a label to the document with the signature name 0xv. bool COfficeDocument::HasClassifications(Word::_DocumentPtr pDocument) z Summary: Determines if the document has classifications O Parameter pDocument: Document to check Returns: True if the document has classifications r C Calls ReadClassificationsFromDocument N- xvi. bool COfficeDocument::HashProperties(Word::_DocumentPtr 0 pDocument) Summary: Creates a signature of the document properties Parameter pDocument: Document to get properties from Returns: Success of creating hash Calls BuildPropertyString Calls CreateHash Calls InsertSignature xvii. bool COfficeDocument::HasSignature(Word::_DocumentPtr 3 pDocument) Summary: Determines if the document has a signature Parameter pDocument: Document to check Returns: True is document has a signature Calls GetSignatureShape xviii. bool COfficeDocument::HasValidProperties( Word::_DocumentPtr pDocument) Summary: Determine if the document has valid properties Parameter pDocument: Document to check Returns: True if valid Properties 0 Return False if we can't find all of our document properties

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z xix. bool COfficeDocument::HasValidPropertiesHashed (Word::_DocumentPtr pDocument) Summary: Determines if the hash in the signature matches the current document Parameter pDocument: Document to check Returns: True if signature matches properties of document 0 Calls ReadSignature on document Calls ExtractFromSignature on the signature Calls BuildPropertyString on document Calls CreateHash Compares hash from document and hash just created xx. void COfficeDocument::lnitialize(LPDISPATCH /*lpDispatch*/) Summary: Get the handle to the window for the document Parameter IpDispatch: unused xxi. bool COfficeDocument::lnsertFieldCode(Word::FieldPtr pField, LPCSTR szName) Summary: Insert a new field code using the given property name Parameter pField: Field to insert into Parameter szName: Name of document property Returns: Success of insertion xxii. void COfficeDocument::lnsertSignature(Word::_DocumentPtr pDocument, std::string strValue) Summary: Inserts the text into the signature shape Parameter pDocument: Document to insert signature into Parameter strValue: Value to put in signature Calls GetSignatureShape 0Sets the text of the signature shape z° xxiii. bool COfficeDocument::lnsertTitusTemplate() Summary: Insert a Word template into the document Returns: True if template inserted Open a named word template file (.dot) Copy the contents of the template document into the current document 3 )xxiv. STDMETHODIMP COfficeDocument::lnvoke(DISPID displdMember, REFIID riid, LCID Icid, WORD wFlags, DISPPARAMS* pDispParams, VARIANT* pVarResult, EXCEPINFO* pExceplnfo, UINT* puArgErr) Summary: Event handler for COfficeDocument Parameter displdMember: Event type Parameter riid: Interface type Parameter Icid: unused Parameter wFlags: unused Parameter pDispParams: unused Parameter pVarResult: unused 3 Parameter pExceplnfo: unused Parameter puArgErr: unused Returns: Success New Event: Set Active to true Set Active Window to current document Open Event: Set Active to true Set Active Window to current document Close Event: Set Active to false Unset Active Window to current document 0xxv. HRESULT COfficeDocument::ProcessCommand( int nControllD, int nCommand, bool fMakeDirty) z Summary: Process commands sent from the toolbar Parameter nControllD: What control is sending the command Parameter nCommand: unused Parameter fMakeDirty: unused Returns: Success If Control is first level dropdown S0 Calls GetDropdownSelections Calls EnableSecondLevel Calls WriteClassifications Else If Control is second level dropdown Calls GetDropdownSelections Calls WriteClassifications Else if Control is third level button Calls SelectClassifications Calls WriteClassifications 0 xxvi. std::string COfficeDocument::ReadBuiltlnProperty(Word::_DocumentPtr pDocument, std::string strPropertyName) Summary: Return a string for the named built in property Parameter pDocument: Document to read from Parameter strPropertyName: Name of property to read Returns: Value of property xxvii. std::string COfficeDocument::ReadSignature(Word::_DocumentPtr pDocument) Summary: Gets the text from the signature shape Parameter pDocument: Document to read from Returns: Text of signature 0 Calls GetSignatureShape\ z xxviii. bool COfficeDocument::SelectClassifications( Summary: Shows Select Classification Dialog Returns: Classifications set from dialog SCalls GetClassificationList Shows Select Classifications Dialog <<Screenshot of dialog>> 0 xxix. void COfficeDocument::SetDropdownSelections() Summary: Set the selections on each dropdown Calls GetClassificationList Set the selection for each dropdown xxx. void COfficeDocument::SetHeader(bool flnsert) Summary: Updates or inserts text in all headers and footers Parameter flnsert: Are we allowed to insert text into the header if it doesn't exist already For all sections of the document Calls UpdateHeaderFooter on the PrimaryHeaderRange Calls UpdateHeaderFooter on the FirstPageHeaderRange Calls UpdateHeaderFooter on the EvenPageHeaderRange Calls UpdateHeaderFooter on the PrimaryFooterRange Calls UpdateHeaderFooter on the FirstPageFooterRange Calls UpdateHeaderFooter on the EvenPageFooterRange If we can insert If header required Calls AddHeaderFooter on the PrimaryHeaderRange Calls AddHeaderFooter on the FirstPageHeaderRange Calls AddHeaderFooter on the EvenPageHeaderRange If footer required 28 0 Calls AddHeaderFooter on the PrimaryFooterRange

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Calls AddHeaderFooter on the FirstPageFooterRange 0 Calls AddHeaderFooter on the EvenPageFooterRange xxxi. bool COfficeDocument::SetRMSPermission() Summary: Sets the RMS template to be applied to the document t' Returns: Success Get the RMS template assosiated with the current classification 0 Calls GetProperty passing in "Permission" Retrieves current RMS template applied If RMS is required Enable RMS Apply RMS template Else If RMS is on Remove RMS If RMS failed Show RMS failure warn or prevent message xxxii. void COfficeDocument::SetWatermark(std::string strClassification, bool finsert) Summary: Updates or inserts the watermark using the given classification Parameter strClassification: Text to put as the watermark Parameter flnsert: Are we allowed to insert a watermark if one isn't there If the Titus watermark is found by matching the name of the watermark against a known name If we require a watermark Update the text of the watermark to reflect the current classification Else Delete the watermark from the document SElse If we require a watermark z Insert the watermark into the document with the text set to the current classification xxxiii. void COfficeDocument::UpdateClassifications(bool fTampered) Summary: Updates the header, footer, watermark, and selected fields within S the document Parameter fTampered: Has the document been tampered with If the document has not been tampered with Call SetWatermark Call SetHeader Update fields in the document that match our property names xxxiv. bool COfficeDocument::UpdateHeaderFooter(Word::RangePtr& pRange, bool flnsert) Summary: Update a header/footer Parameter pRange: Range of a header/footer 0 Parameter flnsert: False to hide the text Returns: True if update successful For all fields in the range of the document If the field code text matches the value for the first property Change the hidden value and update it If the field code text matches the value for the second property Change the hidden value and update it xxxv. bool COfficeDocument::ValidClassifications() Summary: Determines if all dropdowns that require a selection have been set Returns: True if no dropdown requires a selection 0 xxxvi. bool COfficeDocument::WriteClassifications(bool fAsklfRequired, bool fTampered) z Summary: Writes classifications to document Parameter fAsklfRequired: Ask for classifications if they are not valid Parameter fTampered: Has the document been tampered with Returns: True if classifications are valid oc Calls GetClassificationList Calls ValidClassifications

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0 3 If ForceSelect is on and classifications are not valid Calls SelectClassifications Calls ValidClassifications If the classifications are valid Calls WriteClassificationsToDocument Calls UpdateClassifications xxxvii. short CClassificationList::ReadClassificationsFromDocument (Word::_DocumentPtr pDocument) Summary: Reads the classifications from the document 0 Parameter pDocument: Document to read classifications from Returns: Number of levels Get the custom document properties from the document Get the value from the named property for the first level Get the value from the named property for the second level Get the value from the named property for the third level xxxviii.short CClassificationList::WriteClassificationsToDocument (COfficeDocument* pDocument) Summary: Writes classifications into the custom document properties Parameter pDocument: Document to write classification to Returns: Zero 31 0Gets the custom document properties Adds or updates the value of the custom document property with the value of S the first dropdown Adds or updates the value of the custom document property with the value of the second dropdown Adds or updates the value of the custom document property with the value of the third level xxxix. short S) CClassificationList::WritePlaceholdersToDocument(COfficeDocument* pDocument) Summary: Write classifications to document properties Parameter pDocument: Document to write to Returns: Zero Add a custom document property for the first level Add a custom document property for the second level Add a custom document property for the third level xl. COfficeDocument* 3 CWordApplicationEventHandler::AddOfficeDocument (Word::_DocumentPtr pDocument, bool fNew, bool flsE-mail) Summary: Add the word document to our collection Parameter pDocument: Document to add Parameter fNew: Is the document new Parameter fIsE-mail: Is the document an e-mail Returns: COfficeDocument Calls FindOfficeDocument If that returns NULL Calls HasClassifications Calls HasValidPropertiesHashed If those two calls return true Calls HasSignature 0If that call returns true Set tampered to true

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z Create a new COfficeDocument Calls CreateCommandBar If tampered Show Invalid Signature message SIf new document and not an e-mail a Calls InsertTitusTemplate 0 xli. void CWordApplicationEventHandler::Cleanup() Summary: Cleanup help command bar xlii. void CWordApplicationEventHandler::CleanupStrayDocuments() Summary: Remove any documents from our collection that we don't need anymore xliii. void CWordApplicationEventHandler::CreateHelpAbout( Summary: Add a menu item to the Help About menu D If the menu item is already there delete it Add the menu item xliv. COfficeDocument* CWordApplicationEventHandler::FindOfficeDocument (Word::_DocumentPtr pDocument) Summary: Find the document in our collection Parameter pDocument: Document to find Returns: Document in our collection Match the document in our collection with the one passed in If matched return that document 33 0 Else return null 0 xlv. void CWordApplicationEventHandler::lnitialize(LPDISPATCH /*lpDispatch*/) Summary: Initialize event handler SParameter IpDispatch: unused Calls CreateHelpAbout xlvi. STDMETHODIMP CWordApplicationEventHandler::lnvoke(DISPID displdMember, REFIID riid, LCID Icid, WORD wFlags, DISPPARAMS* pDispParams, VARIANT* pVarResult, EXCEPINFO* pExceplnfo, UINT* puArgErr) Summary: Event handler for CWordApplicationEventHandler Parameter displdMember: Event type Parameter riid: Interface type Parameter Icid: Unused Parameter wFlags: Unused Parameter pDispParams: Parameters for event 3 Parameter pVarResult: Unused Parameter pExceplnfo: Unused Parameter puArgErr: Unused Returns: Success Quit Event: Calls CleanupStrayDocuments DocumentBeforePrint Event: Calls WriteClassifications Cancel print if classifications are not okay DocumentBeforeSave Event: If document is dirty and this is not an auto-save SCalls WriteClassifications on Document Calls CheckDowngrade on Document

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z Calls SetRMSPermission on Document SCalls HashProperties on Document If any of these methods return false Cancel the Save C" WindowActivate Event: Calls FindOfficeDocument 0 If document not in collection Calls AddOfficeDocument Calls EnableCommandBar Calls ShowCommandBar Calls CleanupStrayDocuments WindowDeactivate Event: Calls FindOfficeDocument Calls CleanupStrayDocuments 3 xlvii. HRESULT CWordApplicationEventHandler::ProcessCommand( int nControllD, int nCommand, bool fMakeDirty Summary: Show the about dialog Parameter nControllD: ID of control Parameter nCommand: unused Parameter fMakeDirty: unused Returns: Success Show About dialog It will be apparent to persons skilled in the art that many alternatives, modifications, and variations can be made without departing from the scope as defined in the claims. The method steps described may be embodied in sets of executable machine code stored in a variety of formats such as object code or source code. Such code is described generically herein as programming code, or a S computer program for simplification. Clearly, the executable machine code may be integrated with the code of other programs, implemented as subroutines, by external program calls or by other techniques as known in the art.

A computing environment for executing the document creation application S and the classification toolbar may be implemented as computer software in the form N of computer readable code executed. The computing environment may be any 0 number of computing or computer based platforms such as mobile devices, N personal computer, notebook computers, or personal digital assistants. The computer comprises central processing unit (CPU) and memory. The CPU may be a single processor or multiprocessor system. In various computing environments, main memory and storage can reside wholly on computer environment, or they may be distributed between multiple computers.

Input devices such as a keyboard and mouse may be coupled to a bidirectional system bus of a computer for receiving input for creating documents within the web client. The keyboard and mouse are for introducing user input to a computer and communicating that user input to processor if required. Computer may also include a communication interface. Communication interface provides a 0 two-way data communication coupling via a network link to a network by wired or wireless connection or may provide an interface to other host devices by a direct radio frequency connection. In any such implementation, communication interface sends and receives electrical, electromagnetic or optical signals which carry digital data streams representing various types of information. Communication between the communication interface unit and the network or host use electrical, electromagnetic or optical signals which carry digital data streams. The signals through the various networks and the signals on network link and through communication interface, which carry the digital data to and from computer, are exemplary forms of carrier waves transporting the information.

The computer processor or similar device may be programmed in the manner of method steps, or may be executed by an electronic system which is provided with 36 means for executing these steps. The storage device may include both fixed and removable media, such as magnetic, optical or magnetic optical storage systems, 0 Random Access Memory (RAM), Read Only Memory (ROM) or any other available

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mass storage technology. The storage device or media may be programmed to execute such method steps. As well, electronic signals representing these method steps may also be transmitted via a communication network.

The embodiments described above are intended to be illustrative only. The c scope of the invention is therefore intended to be limited solely by the scope of the appended claims.

Claims (19)

1. 2. The method according to claim 1 wherein the classification toolbar is generated by a COM API interface.
2. 3. The method according to any one of claims 1 or 2 wherein the toolbar is provided by a Microsoft Office 2007 ribbon bar and task pane.
3. 4. The method according to any one of claims 1 to 3 wherein the visual cues are font characteristics. The method according to any one of claims 1 to 4 further comprising the steps of: determining if an additional classification is required based upon the previous classification input; and dynamically changing the toolbar in order to prompt for additional classification selection input, selected by the user, from the toolbar.
4. 6. The method according to any one of claims 1 to 5 further comprising: receiving identification of a selected portion of the document from the user; 3receiving a portion classification selection input, selected by the user, from the classification selections populated in the toolbar; N determining if the portion classification input is valid based upon 0 administrator defined classification policy; applying portion classification visual markings and visual cues associated with the selected portion classification when the classification input is valid; and applying XML properties within the document representing the classification of the portions.
5. 7. The method according to claim 6 further comprising: comparing selected portion classifications to current document classifications; and updating classification properties of document metadata when the selected portion classification are higher than the current document classifications.
6. 8. The method according to any one of claims 1 to 7 wherein the pre-defined criteria are defined relative to one or more security levels, sensitivity levels, intended distribution groups or retention level.
7. 9. The method according to claim 4 wherein the visual cues comprises inserting a classification identifier into a body of the document.
8. 10. The method according to any one of claims 4 or 9 wherein the visual cues are inserted in header and footer of the document.
9. 11. The method according to any one of claims 4 or 10 wherein the visual cues are inserted as a watermark in the document. O
10. 12. The method according to any one of claims 1 to 11 further comprising the step of logging all classification actions taken by a user in a classification information database.
11. 13. The method according to any one of claim 1 to 12 further comprising the N step of forcing the user to select classification properties before a document r'- 0 is stored, printed, or transmitted. 0
12. 14. The method according to any one of claims 1 to 13 further comprising the step of verifying that the classification property in a document has not been tampered with by comparing a hash code, computed relative document properties (word count, pages etc) and the classification properties, when the document is saved, and the next time the document is opened. The method according to any one of claims 1 to 14 where in the step of populating classification selections comprises retrieving classification properties previously associated with the document and populating the toolbar classification criteria based upon the retrieved classification properties.
13. 16. A method for document classification in a document creation application comprising the steps: providing a classification toolbar within the document, the classification toolbar providing at least a first classification selection input; populating classification selections in the classification toolbar based upon pre-defined classification criteria; receiving identification of a selected text portion of the document from a user; receiving a portion classification selection input, selected by the user, from the classification selections populated in the toolbar; z determining if portion classification input is valid based upon administrator C defined classification policy; applying visual cues to the document to identify a portion of the document has been classified; applying visual markers identifying the selected classification at the N beginning and end of the portion that has been classified; and Capplying XML properties within the document representing the classification (N of the portions.
14. 17. The method according to claim 16 wherein the classification toolbar is generated by a COM API interface.
15. 18. The method according to claim 16 wherein classification toolbar is provided by a Microsoft Office 2007 ribbon bar and task.
16. 19. The method according to any one of claims 16 to 18 wherein the visual cues are font characteristics. The method according to any one of claims 16 to 19 wherein the visual markers comprises inserting pre-defined text associated with the selected classification selection.
17. 21. The method according to any one of claims 16 to 20 further comprising the steps of: comparing selected portion classifications to current document classifications; and assigning classification properties to the document metadata if the selected portion classification are higher than the current document classifications.
18. 22. A computer readable medium containing instructions for providing document classification in a document creation application, the instructions which 0 z when executed by a processor perform the steps of: _providing a classification toolbar within a document in the document creation application, the classification toolbar providing at least a first 0classification selection input; populating classification selections in the classification toolbar based upon pre-defined classification criteria; 0receiving a classification selection input, selected by a user, from the classification selections populated in the toolbar; determining if classification input is valid based upon administrator defined classification policy; applying visual cues to the document to identify that the document has been classified; and assigning XML classification properties to the document metadata based upon the classification selections when the classification input is valid.
19. 23. A computer readable medium containing instructions for providing document classification in a document creation application, the instruction which when executed by a processor perform the steps of: providing a classification toolbar within the document, the classification toolbar providing at least a first classification selection input; populating classification selections in the classification toolbar based upon pre-defined classification criteria; receiving identification of a selected text portion of the document from a user; receiving a portion classification selection input, selected by the user, from the classification selections populated in the toolbar; determining if portion classification input is valid based upon administrator defined classification policy; 42 applying visual cues to the document to identify a portion of the document has been classified; 0 Z applying visual markers identifying the selected classification at the Sbeginning and end of the portion that has been classified; and applying XML properties within the document representing the classification Sof the portions. TITUS LABS INC WATERMARK PATENT TRADE MARK ATTORNEYS P27928AU01