Note: Descriptions are shown in the official language in which they were submitted.
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AUTOMATIC FORM ACCESSING AND SUBMISSION SYSTEM AND
METHOD
BACKGROUND OF THE INVENTION
FIELD OF THE INVENTION
This invention relates to a system and method for automatically accessing,
processing
and retransmitting data base records such as documents, via a network.
DESCRIPTION OF THE RELATED ART
The modern world is full of forms -- application forms, order forms, response
forms,
insurance forms, ad (it often seems) infinitum. Indeed, this patent text
itself will give
rise to but one of hundreds of thousands of sets of forms this year alone
under whose
accumulate weight the shelves of the patent office -- and those whose job it
is to process
1 S them -- groan.
Along with the advent of the office computer came the promise of the Shangri
La-like
"paperless office." Anyone reading this text who Looks around his own work
area
probably needs no further proof that this electronic paradise is far from
realized.
One development that shows great promise not only for reducing the amount of
paperwork but also for making the routing of the paperwork more efficient is
the
widespread use of networks such as the Internet. In general, network-based
forms are
handled in the same way as electronic mail (e-mail). For example, when
ordering, say, a
book over the Internet, one accesses and downloads an order form, often simply
by
clicking on an icon, fills out the form, and then submits it directly back to
the same
server from which it was downloaded. This procedure is simplified precisely
because
the return address is simply the "reply" address of the e-mailed form. In
other
applications, such as submitting internal forms such as travel expense reports
over a
company-specific network, one may not automatically have the return address.
To the
extent that forms are now made available over networks, however, they are
treated
similarly, namely, as any other e-mail message.
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This conventional arrangement has several disadvantages. First, one must often
manually specify the receiver of the e-mail. This often leads to the problem
of
misspelling the recipient's e-mail address, especially since addresses are
frequently not
intuitive. Another disadvantage is that data retrieval at the receiver's side,
that is, the
facility where the transmitted form is received and processed, must be handled
manually.
Yet another shortcoming is that there is no automation in receiving data from
a form
attached to an e-mail. This is true even when the form is transmitted using a
word-
processing format from the same provider that makes the e-mail application,
such as
when a Microsoft Word file is attached to e-mail sent via Microsoft Outlook.
This need
to either re-enter or transcribe the submitted data increases the likelihood
of data error.
Yet another disadvantage is that the success of the user's system to transmit
a form at all
will often depend on the actual mail client software. Moreover, there is no
way to
handle data in an e-mail attachment online.
Still another serious shortcoming of existing systems is that the level of
security they
offer is often inadequate. Indeed, many browsers and e-mail software packages
include
the ability to encrypt the message one is sending, but this encryption is
intended
primarily to prevent network "wiretapping," that is, the unauthorized
interception and
reading of the transmitted message by a party other than the intended
recipient. The
recipient of such a conventionally encrypted message, however, has no way to
uniquely
identify the actual sender.
What is needed is a system that allows a user to quickly access a needed form,
to fill it
out, and then to submit it with minimal inconvenience and risk of error to the
correct
user. At the receiving end, it should be possible to put the data directly
into a database
or workflow system, with no need to re-enter or transcribe the submitted data.
The
system should be independent of the mail client and the web browser used. The
system
should preferably be able to provide an effectively immediate receipt of a
submitted
form and it should preferably also be possible not only to encrypt submitted
data, but
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also to uniquely identify and authenticate the identity of the sender of a
form. This
invention provides such a system, and a related method of operation.
SUMMARY OF THE INVENTION
The invention provides a system for accessing, processing and transmitting
data files,
especially documents, using a data network. A data base system, at least one
local
processing system, a notary server, and at least one recipient system form the
main
components of the invention. The data base system, each local processing
system, the
notary server and each recipient system are preferably independent systems,
all
connected to the network. The data base system stores a plurality of data
files, for
example, documents in any standard format. Each data file is associated with a
corresponding one of the recipient systems, and can be transferred by the data
base
system via the network to the local processing system.
Using one of the local processing systems, the user addresses the data base
system, and
selects one or more of the stored files, which is downloaded via the network
from the
data base system. The user then edits -- changes, fills in, etc. -- the
downloaded file(s),
whereupon, by activating a "send" or similar feature inserted locally into or
along with
the file, the user submits the form to a.notary server via the network. The
notary server
receives each submitted data file and, after additional processing such as
user
verification, file backup, time-stamping and receipt transmission back to the
user, sends
the verified form to the respective recipient system.
Each data file is preferably submitted from the local processing system to the
notary
user in an encrypted form. A digital signature is preferably also appended to
each
submitted file. Public-key encryption is preferably used both to encrypt
submitted forms
and to generate the digital signature.
BRIEF DESCRIPTION OF THE DRAWINGS
Figure 1 is a block diagram of the main components of a system according to
the
invention for accessing, completing, submitting, verifying and muting forms
over a
network.
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DETAILED DESCRIPTION
Figure 1 shows the main components of the preferred embodiment of the system
according to the invention. In the following discussion, the term "form" is to
be
understood as meaning any data record or file that a user may wish to access,
view, edit
or otherwise change, and then submit to a recipient facility or system. In
most
applications of the invention, the forms will be documents composed or stored
in some
standard word-processing format such as Microsoft Word or Corel Word Perfect,
or in
some other format that allows for user entry directly into the document text,
such as
Adobe Acrobat PDF files. The invention is not restricted to any particular
format,
however; indeed, this is one of the advantages of the invention.
A central data base 100 contains a set of electronically stored forms 102, as
well as the
conventional hardware (such as a server) and software necessary to allow data
base
records to be accessed by an external system, in particular, via a network. In
most
cases, the invention will be used to enable a user to access one or more
forms, to fill it
out or change it, and then to submit it to the respective recipient(s).
Different recipients
may, and in general will, subscribe to or be destinations for the system
according to the
invention. Each recipient may specify its own form file format; the forms 102
are
stored in whatever format each respective recipient uses.
In order to build up the data base 100, the administrator of the system may
either
receive the forms directly -- for example on disk, or by making them available
for
downloading -- from whatever entity wishes its forms to be accessible, or the
system
may conventionally download publicly accessible forms from chosen recipient
sites, or
both.
The entity that provides or generates the forms will typically be the same
entity that
expects to receive them, completed, from users. This is not necessary
according to the
invention, however. Rather, the form provider may be different from the
intended
recipient, as is the case, for example, with companies who provide standard
legal forms
for submission to courts or other government entities. In other words, the
entities that
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provide or generate the forms stored in the data base 100 need not necessarily
be the
same as the intended recipient entities, although this will be the most common
case.
The data base 100 is connected to a network 200. A user is also able to access
the
network 200 using any known local processing system 300 such as a personal
computer
(PC}. In Figure l, only one local processing system is shown merely for the
sake of
simplicity. The invention will work -- indeed, is most advantageous -- even
for large
numbers of users, each with access to the network 200, and thus to the data
base 100,
using either a dedicated or a shared local processing system.
In the most general use of the invention, the network 200 will be a wide-area
public
network, preferably the Internet. This is also not necessary -- the network
may be any
wide or local area network, and may even be a proprietary network such as the
intra-
networks found in many companies. These intra-networks may in turn be
connected
through conventional gateway servers to the public network. What is needed
according
to the invention is simply that each user should be able to contact the data
base 100 via
the network, designate one or more forms, and then be able to receive these
forms, all
via the network 200.
In the preferred case in which the network is the Internet, the server or
other system
through which the data base is accessible, the data base or some gateway
screen into it
will simply have a standard network address, such as a universal resource
locator
(URL). The user may then designate a form to be transferred from the data base
either
by selecting it from any standard displayed menu, or, if known, by designating
a sub-
address where the form is located. Such an ordering of files is common in the
design of
sites not only for the World-Wide Web (WWW) but for other hierarchical or
otherwise
linked files accessible through other networks as well.
There are several ways in which users could be informed about which forms are
available for downloading from the data base 100. For example, the user could
simply
browse an on-line menu of available forms, organized, for example, by subject
area or
category of provider. The site or gateway program associated with the data
base 100
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could also be provided with a conventional search engine to make it easier to
fmd a
desired form. if each form is identifiable by a particular URL, a provider of
forms
could also make the various URL's of available forms known in a web site of
its own,
by sending the address of the appropriate form to the user, for example, via e-
mail, in
response to a query, or in any other conventional manner.
The invention also includes a notary server 400, which is also connected for
two-way
data transfer to the network 200. The function of the notary server is
explained below.
Finally, one or mare recipient servers or systems 500 are also connected to
the network
200. Once again, only one such system is illustrated in Figure 1 merely for
the sake of
simplicity; in most applications of the invention, there will be a large
number of
recipients. A recipient may be any of the several different types of
facilities that are able
to receive documents or other files via the network 200. Systems such as
external data
bases, workflow or document management systems, or mail servers for companies
or
government entities are just some examples.
Before delving into the details of the invention, consider an example of one
possible use
in order to get a more general idea of the method of operation of the
invention. Assume
that a user wants to submit, for example, change of correspondence address
form for a
U.S. patent. As it is now, the user must either write a letter, or download,
print out,
complete and mail in or fax the appropriate request form to the Patent Office.
As of 27
August 1999, in the USA, this is Form PTO/SB/123, available in PDF format and
downloadable from the network address
http:J/www.uspto.govlweblforms/sb0123.pdf.
A paper form is at present necessary because the Patent Office must be able to
confirm,
by the name and signature of the requester, that the person requesting the
copy is in fact
authorized to receive it.
Now imagine (one hopes that imagination will not be needed long) that the
Patent
Office has a server that is connected to the network 200, and that the request
form is
included as one of the forms 102 in the data base 100. Note that it could be
stored as the
same PDF file, and that the data base administrator could simply have
downloaded the
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form, along with the other publicly available Patent Office forms, from the
web site of
the Patent Office, by scanning in the forms, or by receiving them on a
standard readable
medium from the Patent Office itself Form providers (who will in general also
be the
recipients 500 of the forms) might choose to have their forms included in the
data base
100 -- even if it were necessary to pay a subscription fee to the
owner/administrator of
the data base -- for any of several reasons. They may realize that electronic
delivery and
submission of forms is more efficient and thus reduces their own
administrative work
load; they may prefer not to have to maintain their own on-line data base; or
they may
simply want their forms readily available as a convenience to their customers
or to the
public.
According to the invention, the user accesses ("logs onto") the network 200
via the local
processing system 300 in any conventional manner. He then specifies the
network
address of the data base 100 and selects the form he needs to download, for
example the
change of address form. This data base server then transfers the file
corresponding to
the requested form via the network 200 to the Local processor 300, which then
displays
it to the user, for example, on a standard monitor 310. As an alternative, as
long as the
file containing the form includes data that enables its use in the invention
(described
below), then the user could also receive the form by e-mail, or on a readable
medium. It
is also possible that the user might receive, either via the network or on a
readable
medium, a set of forms enabled for use in the invention. For example, all the
standard .
forms of the Patent Office could be made available to users, either gratis or
for a fee,
along with the data necessary to incorporate them for use into the system
according to
the invention.
Using standard input devices, such as a keyboard 312 and a cursor controller
314 such
as a mouse, trackball, touch pad, or the like, the user then enters needed
information
into the respective input fields of the displayed form - he completes or
"fills in" the form
on-screen. The user then activates a "send" feature, for example, by clicking
on a "send"
or "submit" icon 316 displayed as part of or in conjunction with the displayed
form, or
by pressing an assigned function key. The local system then preferably
encrypts and
then transmits the now completed form back via the network 200 to the notary
server
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400, for example, by forwarding it to the predetermined network address of the
notary
server.
When the notary server 400 receives a form from a user, it decrypts the form
if
encrypted, verifies the identity of the user and then transmits (exports) the
form to the
designated recipient of the form. As is described further below, public key
encryption is
preferably used during transfer of a form from the user to notary server. In
these cases,
the step of verifying the identity of the user may include standard sub-steps
such as
verifying the authenticity of the user's public key certification
These functions are preferably carried out in respective software modules for
reception
410, decryption 412, user/sender verification 414, and file export 416 and may
be
designed in any conventional manner. Before exporting the form to the
recipient, the
notary server preferably also saves a backup copy in a backup memory 418,
along with
a time stamp generated in any conventional manner in a time stamp module 420.
Other
software modules such as for administrative functions such as billing 422 (in
applications where users must pay to submit or receive forms using the
invention, may
also be included as needed.
Once the notary sever has exported the submitted form to the appropriate
recipient
system (for example, by transmitting it to the corresponding network address),
then the
notary server preferably transmits a submission receipt back via the network
back to the
local processing system 300. This transmission receipt preferably identifies
which form
was sent to which recipient system, by whom, and at what time. If the
recipient system
500 also includes the ability to generate and return a receipt acknowledgment,
then a
copy or indication of this may also be returned to the original user as part
of the receipt.
One other receipt option is that the notary server returns to the user's local
processor an
e-mail copy of the submitted form, possibly augmented with the submission
information
as mentioned above.
The network address of the recipient system for each form may be recorded in
different
ways. For example, a field (perhaps hidden, to reduce the risk of misdirection
or error as
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a result of user editing) may be included in the form file itself. In most
applications of
the invention, the notary server will assign some identifier, such as an
alphanumeric
code, to each form included in the system. The notary server may then maintain
a table
matching each form with the correct recipient's network address B when a form
is
received from a user, then the notary server enters the address table using
the
corresponding identifier of the form as the argument and retrieves the
corresponding,
proper network address of the recipient.
In order for a user to be able to submit a form using the invention, the form,
that is, the
data file including the document to be submitted, must include certain data
that enables
its use in the invention. For example, at the least it must include some
identifier that
associates it with its proper recipient. Such additions can be made in any
conventional
manner, for example, simply by appending them to the form file according to
any
predefined protocol.
In order for the user's local processor to be able to recognize such appended
data, to
generate such items as a "submit" icon (if it isn't included in the downloaded
file itself),
and to encrypt submitted data (if this feature is included), then the
processor 300 must
be loaded with at least some dedicated enabling software. This enabling
software may
be made available for installation into the user's local processor in any
conventional
manner, for example, either by giving the user a disk, or by making the
program
available for downloading into the processor via the network.
The modules of the enabling software may be designed in any conventional
manner. It
will include a standard application program interface (API), which is
preferably open.
The software modules will include a module for generating a base screen, that
is, the
screen the user opens to identify which form he wants; an engine fox
automatically
connecting the local processor to the network 200 (or for submitting an
address if a
network connection is already open), and for downloading a selected form from
the data
base 100; a module for formatting and displaying the downloaded form, along
with such
items as a "submit" or "send" icon; a module for inserting user-entered data
into the
appropriate fields of the displayed form; preferably a module for encrypting
the form
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before submission (if encryption is included); a module for submitting the
form via the
network; and a module for sensing and presenting to the user a transmission
receipt.
The various modules may be designed using any of several known techniques, or
in
combination with existing software on the local processor. For example, the
modules
that process the form can be written in Java, C++ or in HTML (or AML), or even
in
HTML with embedded Java applets; and the encryption routine may be third-party
software that is already commercially available. The software could even be
integrated
into existing e-mail or browser software.
The type of software installed in the local processor 300 will also determine
in what
way forms should pxeferably be stored in the data base 100. For example, if it
is
assumed that forms in the data base may be in the formats of the form
providers, for
example, some in Microsoft Word format, some in Corel Word Perfect format, and
some in PDF format, then either all the stored forms must be converted by the
data base
system 100 into a common format that the local processor's software can read,
or else
the local processing software must include the routines necessary to read,
display and
edit forms in the formats that the user may want to download. For the sake of
ease of
use, it is therefore preferable that ali forms in the data base system 100
should be in (or
be converted to) a predetermined format that the local processing software can
interpret.
Data included on submitted forms - indeed, the fact that the user wishes to
submit a
particular form at all - will often be a confidential matter for the user. The
invention
therefore preferably includes an encryption feature for submitted forms. In
the preferred
embodiment of the invention, forms are submitted using public key encryption.
This
also allows each form to be identified using a conventional "digital
signature."
Public key encryption as such is known. It uses two "keys": a public key,
which can be
made available to all potential senders, and a corresponding private key,
which is held
in secret by the recipient. Tn practice, each public/private key pair consists
of large
prime numbers with a predetermined functional -- and unique -- relationship to
each
other. The public key is sufficient to encrypt a message for transmission, but
the private
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key is necessary to decrypt it. In other words, once a sender encrypts a
message using
the public key, then he himself cannot decrypt it.
Assume now that a form provider {or some other entity) issues identification
numbers to
potential users of the invention. If these ID numbers are also encryption keys
registered
to and associated uniquely with the individual users, then a unique data
string encrypted
using one of these keys and transmitted along with the actual message would
function as
a "digital signature" on the recipient's end. Accordingly, the local
processing system 300
preferably includes a software module that includes such a uniquely encrypted
data
string ("digital signature") along with any form that it transmits to a
recipient via the
network.
Due to the nature of the public and private keys -- unlike common passwords,
they are
typically strings of thousands of many-bit (for example, 24 or more) data
words -- it is
not practical for the user simply to memorize the keys. If the local
processing system
300 is uniquely dedicated to a particular user, then it is possible to store
the key for the
digital signature in the memory of the system itself. Of course, there is no
need for
concern about the keys used to encrypt forms transmitted to particular form
recipients -
by definition, these will be public keys.
The problem arises in most applications, however, that local computers are
seldom so
secure that one would want to store a private key on them. Moreover, if a
user's digital
signature key is stored on a single computer, then he will not be able to use
the
invention on other computers, at least not if he wishes to or is required to
include his
digital signature in a submitted form.
Encryption of forms is therefore preferably carned out using a reader 318 that
is
connected to or included in the local processing system 300 in order to read a
conventional smart card 320, or similar portable memory device. The personal
user
parameters (including, for example, the keys) of the encryption algorithm are
then
encoded on the smart card and can be read in when a form is to be submitted.
This
ensures that only the user will be able to know which forms are submitted, and
what
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personal data is included in them, even if someone else has access to the
local
processing system itself. Because public key encryption is a known technique,
any
conventional software may therefore be used in conjunction with the invention
to
implement the encryption module in the local processing system and the
decryption
module 412 of the notary server.
The ability of a user to access, complete and submit forms according to the
invention
can also be used to enable communication with an arbitrary network-accessible
data
base. In this case, when the user completes and submits a form via the notary
server, he
may also enter data base queries in appropriate, pre-determined fields in the
submitted
form. When the recipient system 500 then receives the form, it may
automatically
decode the query (using known routines), and transfer a response back to the
sender via
the network.
For example, assume that a bank customer wants to get a copy of a previous
month's
statement for one of his accounts. As it is now, the customer must telephone
in this
request to a customer service center, which then orally authenticates the
customer's right
to the information, bills his account some small amount, and then mails or
faxes the
statement to the customer. Not only does this require there to be a customer
service
agent, but it also usually involves a delay of several days, since the bank's
data base
must be accessed and a paper copy of the statement (which may be stored as an
image
or be accessible only through conversion from microfilm) is printed and mailed
to the
requesting customer.
Using this embodiment of the invention, the user would instead be able to
access a
request form from the data base 100, which acts as a form archive, and then
submit it
securely to the recipient system at the bank, via the notary server. If the
bank's recipient
system is programmed (using standard routines) to directly interpret and
respond to
queries entered into the submitted form, then it will be able to respond to
the user's
request without further complication.
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In many cases, however, the data base located with the recipient system will
not be set
up to interpret forms, but rather will respond only to queries and commands
presented in
a standard data base command format such as ODBC. One way to handle this would
be
for ODBC software to be installed in each local processing system for each
client/user.
This will in most cases be impractical, however, and prone to error. Instead,
according
to the invention, the data base access software may be included in the notary
server.
Whenever a submitted form is destined for a recipient system identified as a
data base
that responds to queries, the notary server then simply converts (again, using
known
routines) of the fields of the submitted form corresponding to data base
access requests
into data base commands in the appropriate format, such as ODBC. The client
will thus
be able to communicate with the notary server using a more common format such
as
html, while communication with the recipient system's data base can be carried
out in
more specialized data base access protocols, with no need for specialized
software to be
installed on the client's local processing system. Note that it would also be
possible
using this same arrangement for the client to enter data into the recipient
system's data
base, as well as to download information from it.
Security is of course very important when accessing data bases that contain
private or
proprietary information. Along with the request for access to the recipient
system's data
base, the user will therefore include in the submitted request form any pre-
arranged
authentication and identification codes, which the recipient system will check
against
pre-stored records to determine whether the requesting user is authorized to
receive the
requested information before it is transferred to the user.
As yet another extension of this embodiment, the user could request access to
data base
information but then direct it to be transferred to yet a different recipient
who is
connected to the network and is part of the same system. For example, it is
common for
a lender to request copies of bank statements from a borrower before approving
a loan.
As things stand now, the borrower usually must either arrange for the bank to
send
copies to the lender, or he must sign some authorization for the lender to
receive these
records. Using the invention, the potential borrower could download a form
requesting a
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statement from the bank, but then to include in the appropriate field the
network address
of the lender to which the statement should be forwarded.
This system would also allow for transfer of records that not even the user
has access to.
For example, medical centers will normally not release to a patient his own
medical
records. Life or health insurance companies require such records, however,
before
approving coverage. Using the invention, the user could download a medical
record
request form, then submit it, via the notary server, to the medical center,
along with a
network address to the insurance company. This would greatly speed up the
submission
and application process without compromising any secrecy.
