US20060010377A1 - Interactive system for and method of automating the generation of legal documents - Google Patents

Abstract

A method and system for interactively generating legal documents by a requestor for a recipient. A legal document server is established on a computer network to receive legal document requests from a legal document requestor. Each legal document request includes recipient and subject matter information sufficient to create a legal document. The legal document server generates a legal document according to the legal document request using the recipient and subject matter information. The legal document server transmits the generated legal document directly to the recipient.

Description

CROSS-REFERENCE TO RELATED APPLICATION(S)
• This application is a continuation of U.S. patent application Ser. No. 09/801,949, filed Mar. 7, 2001, which claims the benefit of U.S. Provisional Application No. 60/187,444 filed Mar. 7, 2000, the content of both of which are hereby incorporated by reference as if set forth in full herein.
BACKGROUND OF THE INVENTION
• This invention relates generally to the field of document preparation and more specifically to increasing the efficiency of document preparation using computerized processing and scheduling methods.
• In many business environments, large numbers of legally binding documents need to be generated, executed, and tracked by participants to certain business transactions. An example of such a business transaction is when a manufacturer releases to a customer a sample of a product before the product is made generally available. In this case, the manufacturer may want to protect the product sample, and the information associated with the product sample, using a non-disclosure agreement.
• Generation, execution, and tracking of a legal document may be complicated by the number and distribution of the participants involved in a transaction. For example, a marketing representative may request a non-disclosure agreement from the manufacturer on behalf of a customer. The marketing representative may not be located at the manufacturer's location and communication of a request for a non-disclosure agreement may be difficult. Furthermore, the manufacturer may need to route the non-disclosure agreement through a number of different participants within the manufacturer's organization. Once approved and generated, the non-disclosure agreement may need to be sent to the customer for execution. Finally, the executed non-disclosure agreement may need to be returned to the manufacturer.
• Therefore, a need exists for an automated, interactive, and distributed system for the coordination and generation of legal documents. The present invention meets such need.
SUMMARY OF THE INVENTION
• The present invention comprises systems and methods for interactively generating legal documents by a requestor for a recipient. A legal document server is established on a computer network to receive legal document requests from a legal document requestor. Each legal document request includes recipient and subject matter information sufficient to create a legal document. The legal document server generates a legal document according to the legal document request using the recipient and subject matter information. The legal document server transmits the legal document directly to the recipient.
• In one embodiment of the invention, the legal document server provides a process for obtaining approvals from at least one legal document administrator before generating a legal document.
• In another embodiment of the present invention, the legal document server creates an approval status document. The approval status document includes the status of the approvals received for generation of a legal document. The legal document server provides the approval status document to the requestor as a Web page via the Internet.
• In another embodiment of the invention, the legal document server transmits a legal document generation notice to the legal document requestor via electronic mail after the legal document is generated. The legal document generation notice contains a hyperlink to a Web page containing a list of possible legal document transmission methods. The legal document requestor reviews the notification and then selects a transmission method.
• In one embodiment of the invention, the legal document server transmits the legal document to the recipient by facsimile transmission. The legal document server transmits the legal document along with legal document execution instructions. In another embodiment of the invention, the legal document server transmits the legal document to the recipient by electronic mail.
• In one embodiment of the invention, the legal document server uses a database to track pending and issued legal documents. The legal document server uses the legal document database to generate reports so that legal document requestors and administrators may track the status of pending and issued legal documents.
BRIEF DESCRIPTION OF THE DRAWINGS
• These and other features, aspects, and advantages of the present invention will become better understood with regard to the following description, appended claims, and accompanying drawings where:
• FIG. 1 is a use case diagram of an embodiment of the invention;
• FIG. 2 is a process flow diagram of an embodiment of the present invention wherein a customer requests a legal document;
• FIG. 3ais a deployment diagram of an embodiment of the present invention;
• FIG. 3bis a deployment diagram of another embodiment of the present invention;
• FIG. 4 is a computer architecture diagram of an embodiment of a node suitable for use in one embodiment of the invention;
• FIG. 5 is a sequence diagram of an embodiment of a process for requesting and generating a legal document according to the present invention;
• FIG. 6 is a sequence diagram of an embodiment of a process for providing an approval status report according to the present invention;
• FIG. 7 is a diagram of the methods for generating and sending a legal document according to the present invention;
• FIG. 8 is an home Web page for an embodiment of the present invention;
• FIG. 9 is an initial process selection Web page for an embodiment of the present invention;
• FIG. 10 is a customer identification and subject matter entry form for an embodiment of the present invention;
• FIG. 11 is a product description of selected subject matter for an embodiment of the present invention;
• FIG. 12 is a partially filled out customer identification and subject matter entry form for an embodiment of the present invention;
• FIG. 13 legal document transmittal selection form for an embodiment of the present invention;
• FIG. 14 is an exemplary customer Email message with legal document execution instructions as created by an embodiment of the present invention;
• FIGS. 15-18 is an exemplary legal document as created by an embodiment of the present invention;
• FIG. 19 is an exemplary legal document administrator Email message as created by an embodiment of the present invention;
• FIG. 20 is a sequence diagram of a legal document status report generation process of an embodiment of the present invention;
• FIG. 21 is a home page of a legal document status reporting embodiment of the present invention;
• FIG. 22 is a search entry form of a legal document status reporting embodiment of the present invention;
• FIG. 23 is a search entry form and result list of a legal document status reporting embodiment of the present invention;
• FIG. 24 is a legal document status report generated by a legal document status reporting embodiment of the present invention;
• FIG. 25 is a sequence diagram of a legal document amendment process of an embodiment of the present invention; and
• FIG. 26 is legal document amendment form of an embodiment of the present invention.
DETAILED DESCRIPTION OF THE INVENTION
• The present invention is directed towards a document management system and method providing version controlled documents. The present invention is implemented in a network based environment. As used herein, “document” is any instrument conveying information, regardless of medium, including without limitation any printed publications, electronic files, or hypertext nodes. A network includes any communication mode used to transfer information, including documents, between locations or nodes, including without limitation, a local area network, a corporate intranet, a wide scale internet, a telephonic network, a satellite based network, and combinations thereof, regardless of the medium and manner in which the information is transmitted.
• An embodiment of the present invention is presented in the context of preparing legally binding non-disclosure agreements (NDAs) for release of computer chip samples and specifications to certain customers before the computer chips and specifications are made available to the general public. Those skilled in the art of computerized document preparation and computer science will appreciate that the present invention may be used for the preparation of other types of legally binding documents and documents in general.
• FIG. 1 is a use case diagram of an embodiment of the invention for preparation of NDAS. The preparation of an NDA requires the coordination of acustomer1000, amarketing representative1010 such as a sales person, a plurality of directors as exemplified by directors A1020 andB1030, anadministrator1040, andlegal counsel1050. The marketing representative acts as a liaison between the product managers and directors to procure computer chip samples and specifications for the customer. The computer chip samples and the specifications are preferably protected from disclosure by the customer through the use of a NDA. The legal counsel ensures that a NDA is in place before the customer receives the computer chip samples or the specifications. The administrator is charged with holding and tracking the NDAs once the NDAs are in place.
• The described embodiment of the present invention enables the efficient creation, tracking, version control, and amendment of NDAs through the use of a network of computers. Services supplied by the network are coordinated through alegal document server1060. The legal document server is extended through the use of a legaldocument database server1070. The legal document database server provides database services for the storage and retrieval of legal documents such as NDAs.
• The services of the legal document server are further extended by anemail server1080. The email server provides services to send email messages by the legal document server to the customer, marketing representatives, directors, administrators, and legal counsel. A single email server is shown for clarity and the use of a single email server is not intended as a limitation of the invention.
• The services of the legal document server are further extended by a facsimile (FAX) service. The legal document server uses FAX services to both send and receive legal documents to and from customers.
• The user interfaces for the services of the legal document server are implemented using a client/server architecture. The legal document server serves documents written in a document markup language such as Hyper Text Markup Language (HTML) for display and interaction using a client such as a Web browser. Marketing representatives communicate with the legal document server using arequestor client1086. Customers communicate with the legal document server using aRecipient client1086. Additionally, the requestor client and the Recipient client may be used to access the email server. Those skilled in the art of computer science will recognize that different methods and clients may be used to access the email server and access by a particular kind of client is not a limitation of the present invention.
• In operation, an administrator under the direction of legal counsel prepares templates used by the legal document server to create legal document templates. These legal document templates are stored by the legal document database server in a legal document database. The legal document templates are customized with customer identification data and specific subject matter information by the legal document server to create legal documents.
• The customer contacts the marketing representative and makes a product request. The marketing representative uses the requestor client to send a legal document request to the legal document server. The legal document request includes information about the customer identification and specific product subject matter as requested by the customer.
• Individuals responsible for the generation, approval, and tracking of legal documents, such as the administrator, directors, and legal counsel, use the extended services of the legal document server to control the legal document creation and approval process. For example, directors establish the business rules by which and for whom a legal document can be produced; the directors also review the legal document request for technical accuracy and actual availability for each subject matter product in their domain; and the legal counsel approves the legal content of the legal document. The legal document server also provides services to track legal documents once the legal documents are issued to the customer.
• The legal document server provides services to customers and marketing representatives to track the approval status of a legal document awaiting approval from directors. Customers use the previously described Recipient client to access the legal document server to determine the approval status of a legal document.
• FIG. 2 is a process flow diagram of an embodiment of the present invention wherein a customer requests a legal document. A marketing representative sends a request for alegal document1100 to the legal document server. The request includes data identifying a customer and an indication of the subject matter. For example, a customer identification includes the name of a corporation and the name of an executive capable of binding the corporation in a legal relationship. The subject matter information includes the name or model number of a computer chip or computer chip family and a list of specifications to be covered by a NDA.
• The legal document server receives the legal document request and begins to process therequest1110. A request can be processed by generating a legal document using the information contained in the request.
• In one embodiment, business and legal rules are determined by templates containing the “boilerplate” provisions of the legal document. These templates are stored inlegal document database1130. An initial legal document can be generated using a template and the initial legal document can be stored in the legal document database for further processing.
• The processing of the legal document continues through obtainingapprovals1140 from the appropriate directors. In one embodiment of the present invention, the requestor is notified by sending aconfirmation1170 that the legal document is ready once the legal document is approved1150.
• In one embodiment of the present invention, the legal document is retained in the legal document database for status reporting and possible amendment. For example, a customer reviewing a computer chip and its specifications under a NDA may desire to obtain other computer chips. In this case, a new NDA is not generated. An amendment to the original NDA is generated and sent the customer for execution. The need for an amendment is detected when there is a change instatus1180 of the legal document. In which case, an amendment is generated1190, the legal document database is updated, and the requestor is notified by aconfirmation1192 of the availability of the amendment.
• In one embodiment of the present invention, the status of a legal document awaiting approval may be checked by the requester through the services of the legal document server. An address identifying the location of an approval status document is sent to the requester in aninitial confirmation message1120. The requestor uses the address of the approval status document to retrieve a approval status document that is updated by the legal document server as the legal document moves through the approval process.
• In one embodiment of the legal document server, a confirmation notice is sent to the approving directors when the NDA is transmitted to the customer.
• FIG. 3ais a schematic depicting one embodiment of the present invention. Adocument server3500 is operably coupled to theInternet3504 via a communications link adapted for communications using Hyper Text Transfer Protocol (HTTP). The document server is also operably coupled to adocument database3502 for storage of documents for tracing, reporting, and modification purposes.
• Adocument creator3510 uses acreator client3508 operably coupled to the document server via the Internet to specify and create document generation instructions used by the document server to generate documents. A requestor3512 uses arequestor client3514 operably coupled to the document server via the Internet to transmit document requests to the document server. A document request may include recipient information about intendeddocument recipient3518 and subject matter information.
• The document server receives the document request and uses the recipient and subject matter information in the document request combined with the document generation instructions provided by the document creator to generate a document for receipt by the recipient. The document server saves a copy of the document in the document database and sends the document to the recipient. The recipient may receive the document from the document server by using arecipient client3516 operably coupled to the Internet.
• In one embodiment of the present invention, the document server uses the document database to generate document version control and document tracking services accessed by the document creator using the creator client. For example, the document creator may use the document client to request a report showing the number and nature of the documents held by the recipient. In this case, the document server accepts a report request, formats the request into a database query, and gets data describing the number and nature of the documents held by the recipient. The document server formats the data into a Web page that is then sent to the document client for display and viewing by the document creator.
• In one embodiment of the present invention, different versions of the legal document template are stored in the legal document database and each of these versions are available for review or use by a requestor. In this way, a requester may maintain consistency of communications with an existing customer.
• In another embodiment of the present invention, the document server and document database may be used to generate modified documents for transmission to the recipient. In this case, the requestor transmits a document modification request to the document server. The document modification request may include the identification of a document originally stored in the document database and new subject matter information. The document server uses the document identification to retrieve the stored document. The document server creates a modified document using the new subject matter information and the retrieved document. The document server then transmits the modified document to the recipient of the original stored document.
• FIG. 3bis a deployment diagram depicting the relationships between computer nodes and hardware useful in implementing an exemplary embodiment of the present invention. The computer nodes comprise a network of linked computer systems adapted to generate and transmit documents according to the present invention. Alegal document node1200 can be operably coupled through telephone communications link1201 to the Public SwitchedTelephone Network1202.FIG. 4 is a computer architecture diagram of an exemplary general purpose computer suitable for use as a node as depicted in the deployment diagram ofFIG. 3band as a document server as depicted inFIG. 3a. Amicroprocessor1300, comprised of a Central Processing Unit (CPU)1305, amemory cache1310, and abus interface1315, can be operatively coupled via asystem bus1380 to amain memory1320 and an Input/Output (I/O)interface control unit1375. The I/O interface control unit can be operatively coupled via an I/Olocal bus1370 to adisk storage controller1345, a video controller1350, akeyboard controller1355, anetwork controller1360, and I/O expansion slot1365. The disk storage controller can be operatively coupled to adisk storage device1325. The video controller can be operatively coupled to avideo monitor1330. The keyboard controller can be operatively coupled to akeyboard1335. The network controller can be operatively coupled to acommunications device1340 preferably adapted for computer network communications services. A FAX communications device1290 can be operatively coupled to the I/O expansion slot for facsimile transmissions.
• In operation,computer program instructions1395 implementing a software object are preferably stored on the disk storage device until the microprocessor retrieves the computer program instructions and stores the computer program instructions in the main memory. The microprocessor then executes the computer program instructions stored in the main memory to implement the software object.
• Referring again to the exemplary embodiment depicted inFIG. 3, the telephone communications link1201 is preferably adapted for communications using facsimile transmission protocols such as recommended in International Telecommunication Union (ITU) publication T.30. Afacsimile terminal1204 can be operably coupled to the PSTN via terminal communications link1203. The terminal communications link is preferably adapted for communications using facsimile transmission protocols such as recommended in ITU publication T.30. In operation, the legal document node sends legal documents in the form of facsimile transmissions to the facsimile terminal for use by acustomer1000. The customer may also send facsimile transmissions from the facsimile terminal through the PSTN to the legal document node.
• The legal document node can be operably coupled via legal document communications link1205 to anIntranet1206. The legal document communications link is preferably adapted for communications using the Transmission Control Protocol/Internet Protocol (TCP/IP) suite of networking protocols such as Hyper Text Transfer Protocol (HTTP) for hypertext document transfer and Simple Mail Transfer Protocol (SMTP) for the transfer of electronic (email) messages.
• The Intranet provides communication links for a plurality nodes used by legal document administrators for accessing the legal document node. Anadministrator node1208 can be operably coupled to the Intranet via executive communications link1207. The executive communications link is preferably adapted for communications using the TCP/IP suite of networking protocols such as HTTP and SMTP. In operation, aadministrator1040 uses the executive node to the access the legal document node via the Intranet.
• Alegal node1210 can be operably coupled to the Intranet via legal communications link1211. The legal communications link is preferably adapted for communications using the TCP/IP suite of networking protocols such as HTTP and SMTP. In operation,legal counsel1050 uses the legal node to the access the legal document node via the Intranet.
• Adirector node1212 can be operably coupled to the Intranet via director communications link1213. The director communications link is preferably adapted for communications using the TCP/IP suite of networking protocols such as HTTP and SMTP. In operation, adirector1020 uses the director node to the access the legal document node via the Intranet.
• The Intranet can be operably coupled via external Intranet communications link1214 and1218, throughfirewall1216 to theInternet1220. The external Intranet communications link is preferably adapted for communications using the TCP/IP suite of networking protocols such as HTTP and SMTP. In operation, the legal document node, the administrator node, the legal node, and the director node all reach the Internet through the Intranet and the firewall.
• Arequestor node1224 can be operably coupled to the Internet via requestor communications link1225. The requestor communications link is preferably adapted for communications using the TCP/IP suite of networking protocols such as HTTP and SMTP. In operation, amarketing representative1010 uses the requestor node to the access the services of the legal document node via the Internet.
• Anemail server node1222 can be operably coupled to the Internet via email server communications link1223. The email server communications link is preferably adapted for communications using the TCP/IP suite of networking protocols such as SMTP and Post Office Protocol (POP). In operation, the email server can be reached via the Internet by the legal document node, the Recipient node, the requestor node, the executive node, the legal node, and the director node. The email server provides email services for sending email messages between the legal document node, the customer, the marketing representative, the administrator, legal counsel, and directors.
• FIG. 5 is a collaboration diagram illustrating exemplary logical connections between software objects used in an embodiment of the present invention. Alegal document server1400, hosted by alegal document node1200, can be operatively coupled to a legaldocument database server1402. The legal document server uses the services of the legal document database server to put and get legal document templates and working legal documents. One embodiment of a legal document server uses the legal document database server to get information used to generate status reports on working legal documents. Although depicted as being hosted by the legal document node, the legal document database server may be hosted by any node accessible to the legal document server. Furthermore, any number of legal document database servers may be accessed as needed by the legal document server. Alternatively, the legal document server may maintain a file system where the legal documents are stored.
• The legal document server can be accessed by directors, legal counsel, and administrators. Alegal client1404, hosted bylegal node1210, can be operably coupled to the legal document server. The legal client can be used bylegal counsel1050 to access the services of the legal document server. Adirector client1407, hosted bydirector node1212, can be operably coupled to the legal document server. The director client can be used bydirector1020 to access the services of the legal document server. Anadministrator client1405, hosted byadministrator node1208, can be operably coupled to the legal document server. The administrator client can be used byadministrator1040 to access the services of the legal document server.
• Arequestor client1414, hosted byrequestor node1224, can be operably coupled to the legal document server. The requester client can be used by a legal document requestor to access the services of the legal document server. An exemplary legal document requestor is shown asmarketing representative1050.
• Arequestor email client1406, hosted by the requestor node, can be used by a requestor to send and receive email messages. Although the requester client and the requester email client are shown as being hosted at the same node, this is not to be considered a limitation of the present invention as the requester email client and requester client could be hosted on separate nodes. The two requester clients are shown as being hosted at the same node for exemplary purposes only.
• Arecipient email client1412, hosted byrecipient node1226, can be operably coupled to arecipient client1410. The recipient email client invokes the recipient client to display and print email attachments attached to email messages retrieved from an email server. Although the recipient client and the recipient email client are shown as being hosted at the same node, this is not to be considered a limitation of the present invention as the recipient email client and recipient client could be hosted on separate nodes. The two recipient clients are shown as being hosted at the same node for exemplary purposes only.
• Anemail server1408, hosted byemail server node1222, can be operably coupled to arequestor email client1406, the recipient email client, and the legal document server. As previously noted, only a single email server is shown for exemplary purposes. The email server accepts and holds email messages exchanged between legal counsel, the marketing representative, and the customer.
• In operation, a legal document requester, such as the marketing representative, uses the requestor client to access the services of the legal document server. The legal document server accepts the legal document request and coordinates the generation of the requested legal document. The legal document server maintains and accesses a database of legal document templates and working legal documents using the services of the legal document database server.
• In one embodiment, version control of the legal documents is maintained using the services of the legal document server. For example, legal counsel may decide that a particular document's terms need to be modified in light of changed business goals. In this case, the legal counsel retrieves a legal document template from the legal document database and makes the necessary modifications. The legal document template is restored in the legal document database. Each time a requester makes a new request for a legal document, the requester gets the newest version of the legal document that accurately reflects the new business goals of the legal document creator supplying the legal document. In this way, old versions of legal documents are not maintained by requesters and modified without the approval of the legal document's creator.
• In some instances, a legal document may require approvals from directors or legal counsel before the legal document can be generated. In this case, one embodiment of the present invention provides for an approval status document to be created and maintained by the legal document server. The approval status document can be accessed by the legal document requester using the requestor client to monitor the status of the pending approvals.
• In one embodiment, a legal document server generates the requested legal document and awaits further processing instructions by the requestor. The requestor determines how the requested legal document should be sent to the recipient. For example, the requested legal document can be sent to the recipient via facsimile transmission. In this case, the recipient receives the requested legal document, executes the requested legal document by signing the requested legal document, and sends the signed requested legal document back to the legal document database server by facsimile transmission.
• In one embodiment of the present invention, the requested legal document can be sent to the recipient as an attachment to an email message. In this embodiment, the recipient uses the recipient email client to receive the email message and uses the recipient client to display and print out the requested legal document for execution. The printed requested legal document can be signed and sent back to the legal document server via facsimile transmission.
• In one embodiment of the present invention, the requested legal document can be transmitted to the recipient as an electronic document via the email server and the recipient email client. The recipient electronically signs the electronic document by attaching a digital signature and sends the digitally signed electronic document to the legal document server via the email server.
• In one embodiment of the present invention, the legal document server notifies directors, administrators, and legal counsel of the transmission of legal documents to a recipient using via the email server.
• In one embodiment of the invention, the legal document server maintains a database of working legal documents for tracking purposes. A legal document administrator accesses the legal document server using the administrator client to obtain a legal document status report. The legal document server uses the database of working legal documents to generate the status report that can be sent to a director, legal counsel, or an administrator.
• FIG. 6 is a sequence diagram of a sequence of communications exchanged while requesting and generating a legal document between an embodiment of the software objects ofFIG. 5. An administrator uses anadministrator client1405 to put alegal document template1500 in a database using a legaldocument database server1402. The legal document template contains an embodiment of the legal and business rules to be implemented by the legal document server when generating a legal document. In one embodiment, the rules are embodied as document generation instructions. In another embodiment, the rules are embodied in the content and format of the legal document template.
• A requester, such as a marketing representative, obtains a legaldocument request form1504 in response to a request for a legaldocument request form1502. The requestor fills out the legaldocument request form1506. The legal document request form includes fields for entry of recipient and subject matter information. The completed legaldocument request form1508 can be then transmitted to the legal document server.
• The legal document server processes the legal document request form by generating1510 a query for the legal document database server in order to find a suitable template for generating a legal document according to the information contained in the legal document request. Atemplate query1512 can be sent to the legal document database server and the legal documentdatabase server searches1514 for the correct legal document template. Alegal document template1516 can be returned to the legal document server.
• The legal document server uses the legal document template to generate alegal document1518 according to the recipient and subject matter information contained in the legal document request. In one embodiment, the template contains the standard language used for the type of legal document requested. The appropriate subject matter and recipient information are inserted into the legal document template to generate the legal document. In this embodiment, the legal and business rules used to control the generation of the legal document are contained in the content and format of the legal document template. Alternatively, the legal document template contains instructions used to generate the legal document according to the recipient and subject matter information contained in the legal document request. In this embodiment, the legal and business rules used to generate the legal document are contained in the legal document generation instructions. The legal document server puts the completedlegal document1520 into the working legal document database using the services of the legal document database server.
• The legal document server sends a legal document generation notification in arequestor email message1524 intended for the requester. The requestor email message can be sent to the email server where it can be held until a requestor retrieves the requester email message. The requester email message includes information about the recipient and subject matter of the legal document and informs the requestor that the requested legal document has been generated and is ready for transmittal to the recipient. The requestor email message further includes legal document transmittal instructions.
• In one embodiment of the invention, the legal document server provides an approval status report contained in a legal status document during the time that the legal document server is generating a requested legal document. Generation of the legal document may be time consuming because several legal document administrators may need to approve the legal document before the legal document can be generated. In this case, the requester of the legal document can monitor the progress of the approval sequence by accessing and viewing the approval status document.
• Referring again toFIG. 2, in one embodiment of the invention, a legal document server sends anemail message1120 to the legal document requestor acknowledging receipt of a legal document request. Included in this acknowledgment can be a Uniform Resource Locator (URL) pointing to a location on the Internet of an approval status report generated by the legal document server. A requestor uses the URL to access the approval status report via the Internet. In this way, the requester can keep the recipient apprized of the progress of the legal document generation process.
• FIG. 7 is a sequence diagram of an embodiment of a process for providing an approval status report according to the present invention. A legal document server begins the process of generating alegal document1600. In this example, the generation of the legal document requires approval from two directors, director A and director B. Director A evaluates the request and approves the legal document generation by sending adirector A approval1601 to the legal document server using adirector A client1602. The legal document server updates the legal document inprogress1604 and puts the updated status of the legal document in progress into a database maintained by a legaldocument database server1402.
• A requester uses arequester client1414 to send astatus report request1608 using the previously described approval status report URL. The legal document server receives the request and formats1610 a query for the legal document database server based on the approval status report request. Aquery1612 can be sent to the legal document database server where it can be used to find1614 the status of the legal document in progress. Thestatus1616 can be sent to the legal document server where it can be used to format1618 an approvalstatus report document1620 suitable for transmission to and display by1621 the requester client. In one embodiment, the approval status report document can be written in a markup language such as HTML and transmitted as a Web page.
• The processing of the legal document in progress continues as thedirector B approval1622 is received from director B using adirector B client1623. The legal document server sends anupdate1624 to the legal document database server so that the next request for an approval status report from the requestor can be properly processed. In a similar manner, alegal approval1626 sent by legal counsel using a legal counsel client1627 triggers the legal document server to send anupdate1628 to the legal document database server.
• FIG. 8 is a sequence diagram depicting reception of a legal document by the recipient. As previously described, alegal document server1400 sends a requestor email message to a requester when a requested legal document has been generated. The requester uses arequester email client1406 to send arequestor email request1730 to theemail server1408. The email server sends therequester email message1732 to the requester email client in response to the requestor email request. The requestor email client displays1734 the requestor email message for the requester. In one embodiment, the requester email message further includes a hypertext link in the form of a URL. Selection of the hypertext link sends aninvocation1736 to arequestor client1414 capable of using the URL, such as a Web browser, to locate a legal document transmittal list maintained by the legal document server.
• The legal document transmittal list contains selectable transmittal options for transmitting the legal document to a recipient. The requester client sends a legal documenttransmittal list request1738 to the legal document server using the information contained in the URL. The legal document server sends a legaldocument transmittal list1742 to the requester client. The requestor client displays the legal document transmittal list and the requester selects1742 a transmittal method from the list. The requester client sends thetransmittal selection1744 to the legal document server.
• The legal document server uses the transmittal selection to generate1745 alegal document query1746 for a legaldocument database server1402. The legal document server sends the legal document query to the legal document database server and the legal document database server sends alegal document1748 satisfying the legal document query to the legal document server. The legal document server takes the legal document andformats1750 the legal document into a form suitable for transmitting to the recipient.
• In one embodiment of the present invention, the legal document can be formatted into an electronic document suitable for attachment to arecipient email message1752 to be sent to a recipient. Included in the recipient email message are instructions to the recipient on the proper method to execute the legal document and return it to a legal document administrator. The recipient email message can be routed through the email server where it can be held until the recipient sends arecipient email request1754 to the email server fromrecipient email client1412. The recipient email client receives therecipient email message1756 anddisplays1758 the recipient email message to the recipient. The recipient email client sends aninvocation1760 to arecipient client1410 in order to display1762 and produce a hard copy of the legal document.
• Alternatively, the legal document can be sent by facsimile transmission to the recipient. In this case, the execution instructions are included in a facsimile transmission cover letter.
• In another embodiment, the legal document can be sent as an electronic document. The electronic document can be electronically signed by attaching a digital signature to the electronic document and transmitted back to the legal document server.
• In one embodiment of the present invention, a legal document server in the form of a Web site can be provided for the generation of NDAs.FIG. 9 is a home Web page for a NDA embodiment of a legal document server. A requester selects the “Enter ANDA”selection button1700 to enter the Web site.
• FIG. 10 is an initial process selection Web page for a NDA embodiment of a legal document server. A requestor selects “Generate a NEW customer NDA”1800 to receive a legal document request form. A requester selects “View and Amend Pre-Existing NDAs” to track an existing legal document or amend an existing legal document. A requestor selecting “Generate a NEW customer NDA” receives a legal document request form as illustrated inFIG. 11.
• FIG. 11 is a legal document request form having recipient and subject matter information entry fields from a NDA embodiment of a legal document server. A requestor selects a “Reset”button1924 to clear all data entry fields in the legal document request form. A requestor enters recipient information into the form using customer data entry fields. Acustomer name field1902 is for entry of the name of the legal document recipient. Acustomer address field1903 is for entry of a mailing address for the recipient. Anemail field1904 is for entry of a customer email address. Acustomer data field1910 is for free form entry of information about the customer. Acustomer contact field1912 is for entry of the name of a person responsible for executing the NDA. Atitle field1914 is for entry of the title of the person responsible for execution of the legal document. Aphone number field1918 is for entry of a telephone number of the person responsible for execution of the legal document. Afax number field1916 is for entry of telephone number by which a facsimile transmission terminal is reached for transmission of the legal document to the person responsible for execution of the legal document.
• The legal document request form provides entry fields for subject matter information. Aneffective date field1906 is for entry of a date after which the legal document is to be effective if executed by the recipient. Aproduct description field1908 is for entry of the products for which the recipient is requesting samples of or information about.
• The legal document request form provides for the entry of miscellaneous data for the requested legal document. Asalesperson field1900 is for entry of the requestor's name. A notesfield1920 is for entry of notes written by the requestor about the legal document request.
• A requestor selects a “Create NDA”button1922 to submit the legal document request form to the legal document server.
• Selecting “Click here for product description”1926 requests a Web page from the legal document server describing the subject matter relating to the legal document request form.
• FIG. 12 is a subject matter description of selected products for an embodiment of the present invention. The subject matter of a NDA can range from the physical products provided as samples to the business information applicable to the intended use of the physical products. For example,field2000 contains information about networking products protected by the NDA. Additionally, protected material includes not only thephysical chips2002, but the relationships betweenbusiness associates2004. The information protected by the NDA includes “[a]ll technology road map, business models, and technical data”2006.
• FIG. 13 is an exemplary legal document requestor email message as created by a NDA embodiment of a legal document server. The requestor email message can be sent to the requester when a legal document server has completed generation of a legal document. The requestor email message includes a synopsis of the previously described recipient information2200. The requestor email message further includes a synopsis of the previously described subject matter information2202.
• The requestor email message also includes a previously described hypertext link in the form of a URL2204 for the retrieval of the previously described legal document transmittal instructions. In one embodiment, The URL can be comprised of at least two components. The first component, “http://legal.com/and a/print_help.asp” can be an address of an active server page located on a legal document server. The legal document server uses the instructions in the active server page to dynamically generate a Web page with HTML code containing legal document transmittal instructions. The legal document server sends the Web page back to the requestor client for use by the requestor. The second component of the URL comprises a NDA identification field, nda_id. The legal document server uses the nda_id field to generate of the previously described legal document query1746 (FIG. 8). The txt_comp is used to identify the recipient of the generated NDA. The requester selects the hypertext link to invoke a requester client that retrieves a legal document transmittal selection list in the form of a Web page.
• FIG. 14 is a NDA transmittal selection list for a NDA embodiment of a legal document server. As previously described, a legal document can be delivered to a recipient as either a facsimile transmission or as an attachment to an email. Alternatively, a hard copy of the legal document can be created by a requestor for routing to the recipient via conventional means such as through the mail. The requestor uses the legal document transmittal selection list to select a legal document delivery method. If a requester selects “I. Print and fax NDA Now”, the legal document can be sent to a local printer. The requester sends the printed legal document with a cover sheet by facsimile transmission to a recipient. If the requester selects “II. Print and fax NDA later by using your confirmation email”, the requestor can postpone sending the NDA to a later time. If the requester selects “III. Save as HTML Doc . . . ”, the legal document can be sent to the recipient as an HTML document attached to an email message as previously described.
• FIG. 15 is an exemplary recipient facsimile transmission cover sheet with legal document execution instructions as created by a NDA embodiment of a legal document server. The facsimile transmission cover sheet includes asynopsis2300 of previously described requester information sent to a legal document server. The synopsis includes the name of therequester2302, arequestor telephone number2304, atelephone number2306 to reach a facsimile transmission terminal associated with the requestor, and a facsimile transmissionrecord number field2308.
• The facsimile transmission cover sheet further includes asynopsis2310 of the previously described recipient information. The synopsis includes a data field for the name of the person responsible for execution of the legal document, the name of arecipient2314, a telephone number for the person responsible for execution of the legal document, atelephone number2316 to reach a facsimile transmission terminal associated with therecipient2318, and a reminder of the subject matter of the legal document.
• The recipient facsimile transmission cover sheet further includes legaldocument execution instructions2312. These are instructions to the person responsible for execution of the legal document on how to execute the legal document and return executed copies to a legal document administrator.
• FIGS. 16-19 depict an exemplary legal document as created by a NDA embodiment of a legal document server. The exemplary legal document is a NDA as generated using recipient and subject matter information entered into a legal document request form as described inFIG. 11. Referring toFIG. 16, the exemplary legal document includes a preamble portion2400 containing data fields for a legal description of a recipient and related subject matter. The exemplary legal document further includes aclause portion2408 containing clauses generated by the NDA embodiment of a legal document server. The clause portion extends acrossFIG. 172500 andFIG. 182600. Referring toFIG. 19, the exemplary legal document further includes asignatory portion2700 for execution of the exemplary legal document by a recipient and a legal document administrator.
• Referring again toFIG. 16, the exemplary legal document includes a preamble portion2400 containing legal descriptions of the parties to the exemplary legal document and the information and materials covered by the exemplary legal document. The preamble portion includes an effective date of the exemplarylegal document2402. The preamble portion further includes recipient information sufficient to create a legal description of the recipient such as the name of therecipient2404. The preamble portion further includes alegal description2406 of the subject matter covered by the exemplary legal document.
• Aclause portion2408 contains clauses describing the rights and obligations of the signatories. The clause portion extends acrossFIG. 172500 andFIG. 182600.
• Referring toFIG. 19, asignatory portion2700 of the exemplary legal document includes data fields for the signature, name, andtitle2702 of a person responsible for the execution of the exemplary legal document on behalf of the recipient. The signatory portion further includes data fields for the signature, name, and title2704 of a legal document administrator.
• FIG. 20 is a sequence diagram of a legal document status report generation process of an embodiment of a legal document server. In one embodiment, a legal document server provides information about issued and pending legal documents. For example, a legal document administrator may need to know how many legal documents have been issued to a particular recipient.
• The legal document administrator uses anadministrator client1404 to access alegal document server1400 and sends a legaldocument status request2800 to the legal document server. The legal document server generates aquery2802 based on the legal document status request. The legal document server sends the query to a legal document database server and the legal document database server finds2804 the legal documents satisfying the query and creates a data set of search results. The legal document server sends thesearch results2806 to the legal document server. The legal document server formats the search results into asearch result document2810. The search result document can be sent to the administrator client and the administrator client displays2812 the search result document to the legal document administrator.
• Referring again toFIG. 10 illustrating a home page for a NDA embodiment of a legal document server, a legal document administrator reaches a legal document status reporting embodiment of the current invention by selecting “View and Amend Pre-Existing NDA's (Requires log in)”.1802
• FIG. 21 is a search entry form of a legal document status reporting embodiment of the present invention. The form includes a customername entry field2900 for entry of a recipient name used to search the legal document database. A legal document administrator searches of legal documents issued to recipient by entering a recipient name in the customer name entry field and selecting the “Filter”button2902.
• FIG. 22 is a search entry form and a filtered result list of a legal document status reporting embodiment of the present invention. This form can be the same form as the form illustrated inFIG. 21 after entering a recipient name in the customername entry field2900 and selecting the “Filter”button2902. The form includes arecipient list portion3000 including anidentifier3002 for a legal document recipient. Selecting the identifier brings up a legal document status report of legal documents sent to the recipient a legal document server.
• FIG. 23 is a legal document status report generated by a legal document status reporting embodiment of the present invention. The legal document status report can be comprised of rows of legal document status records, each legal document status record containing a set of data fields. Each legal document status record corresponds to a legal document issued by a legal document server.
• For example, legal document status record3100 containsnda_id data field3102. This data field contains the legal document identification number for retrieval of the legal document from a legal document database server by a legal document server.
• The legal document status record further includes: adate_effective data field3104 containing the date by which the legal document is expected to be executed and become effective; a companyname data field3106 containing the name of the legal document recipient; atype data field3108 containing a synopsis of the previously described subject matter of the legal document; a salesrepresentative data field3110 containing the name of the legal document requestor; a date receiveddata field3112 containing the date a legal document request was received for the legal document; a date routeddata field3114 containing the date the legal document was routed to relevant legal document administrators for approval; adirector data field3116 containing the name of the director of the program generating the samples or information covered by the legal document; a date completeddata field3118 containing the date the legal document was approved and generated; and an int_rev field containing the number of times the legal document was revised or amended.
• In one embodiment of a legal document status report, the entry in the company name data field indicates the status of the NDA. If the NDA approval process has not been completed, the recipient name is shown in a simple text format. If the NDA approval process has been completed, the recipient name is shown as a hypertext link to a to be described amendment form linked to the approved NDA. In another embodiment of a legal document status report, the hyperlink is disabled once the NDA has expired.
• In one embodiment of a legal document server, a legal document administrator can create an amendment to an existing legal document and send the amendment to a recipient. Referring again toFIG. 22, a legal document administrator uses the previously described search entry form and a filtered result list to select a legal document to amend.
• FIGS. 24 and 25 depict a legal document amendment form of a NDA embodiment of a legal document server. A legal document administrator receives this form in response to selecting a legal document to amend. Referring toFIG. 24, the legal document amendment form includes a requestor andrecipient information portion3200, an originalproduct description portion3202, anamendment history portion3204, a requestedamendment portion3206, and arecipient information portion3208. Referring toFIG. 25, the legal document amendment form further includes asignatory portion3300, anotes portion3302, and acommand portion3304.
• Referring again toFIG. 24, a recipient andrequestor information portion3200 includes data fields for the display of recipient information. The displayed recipient information is the recipient information associated with the selected legal document to be amended. The name of the recipient can be displayed in customername data field3218. The address of the recipient can be displayed in customeraddress data field3220. An effective date for the selected legal document can be displayed in effectivedate data field3216.
• The recipient and requestor information portion further includes data entry fields for the requestor information. A requestor name can be entered into asalesperson data field3210 and a requestor email address is entered into anemail data field3214.
• An originalproduct description portion3202 contains the original subject matter information of the selected legal document.
• Anamendment history portion3204 contains information about previous amendments to the selected legal document. The amendment history portion includes an amendments data field for displaying the number of times the selected legal document has been previously amended. The amendment history portion further includes a receiveddata field3222 for display of the date an amendment was received, a routeddata field3224 for display of the date the received amendment was routed to the appropriate legal document administrators, and a completeddata field3226 for display of the date on which the received amendment received its final approval and was generated a legal document server.
• A requestedamendment portion3206 includes a subjectmatter selection list3226 for selecting subject matter for the amendment. The requested amendment portion further includes a previously chosensubject matter list3228 for display of the subject matter already covered by the selected legal document. A requestor uses the subject matter selection list to select subject matter for to added by amendment to the selected legal document.
• Arecipient information portion3208 provides an free format text input area for entering recipient information by a requestor.
• Referring again toFIG. 25, the legal document amendment form further includes asignatory portion3300. The signatory portion includes a customer recipientname data field3302 for entry by a requester of a name of a person responsible for execution of the amendment on behalf of the recipient. The signatory portion further includes atitle data field3304 for entry of the title of the person responsible for execution of the amendment on behalf of the recipient, a phonenumber data field3306 for entry of a phone number for the person responsible for execution of the amendment on behalf of the recipient, and a fax data field3308 for entry of a telephone number by which a facsimile transmission terminal may be reached for transmitting facsimile transmissions to the person responsible for execution of the amendment on behalf of the recipient.
• A notesportion3302 provides for free format text entry of miscellaneous information by the requestor about a recipient.
• Acommand portion3304 provides command buttons for clearing the data fields of the legal document amendment form and for submitting the legal document amendment form to a legal document server. Selecting a “RESET”button3310 clears the data fields of the legal document amendment form. Selecting a “CREATE AMENDMENT” submits the legal document amendment form to a legal document server for processing and generation of a legal document amendment.
• As previously described, a legal document can be delivered to a recipient as either a facsimile transmission, as an attachment to an email, or as a hard copy delivered by a requestor to a recipient using conventional deliver methods such as mail. In one embodiment of legal document server, amendments to a legal document are delivered to a recipient in the same way as a legal document.
• FIG. 26 depicts an exemplary amendment as created by a NDA embodiment of a legal document server. The exemplary amendment is an amendment to a NDA. The amendment can be generated using recipient and subject matter information entered into a legal document amendment form as described inFIGS. 24 and 25. The exemplary amendment includes apreamble portion3400 containing data fields for a legal description of a recipient and related subject matter. The exemplary amendment further includes aclause portion3404 containing clauses generated by the NDA embodiment of a legal document server. The exemplary amendment further includes asignatory portion3406 for execution of the exemplary legal document by a recipient and a legal document administrator.
• The preamble portion contains legal descriptions of the parties to the exemplary legal document and subject matter information including the materials covered by the exemplary amendment. The preamble portion includes an effective date of theexemplary amendment3408. The preamble portion further includes recipient information sufficient to create a legal description of the recipient such as the name of therecipient3410. The preamble portion further includes a legal description of the legal document being amended by theexemplary amendment3412. The preamble portion further includes alegal description2406 of the subject matter covered by the exemplary legal document.
• Aclause portion3404 contains clauses describing the rights and obligations of signatories to the amendment. In the exemplary amendment, a single clause provides that the new subject matter can be added to the existing NDA and all other terms and provisions remain in effect.
• The signatory portion of the exemplary amendment includes data fields for the signature, name, andtitle3416 of a person responsible for the execution of the exemplary amendment on behalf of the recipient. The signatory portion further includes data fields for the signature, name, andtitle3418 of a legal document administrator.
• The preceding description has been presented with reference to specific embodiments of the invention shown in the drawings. Workers skilled in the art and technology to which this invention pertains will appreciate that alteration and changes in the described processes and structures can be practiced without departing from the spirit, principles and scope of this invention.
• Although this invention has been described in certain specific embodiments, many additional modifications and variations would be apparent to those skilled in the art. It is therefore to be understood that this invention may be practiced otherwise than as specifically described. Thus, the present embodiments of the invention should be considered in all respects as illustrative and not restrictive, the scope of the invention to be determined by the claims supported by this application and their equivalents rather than the foregoing description.

Claims (26)

1. A method for automating generation and approval of legal documents, the method comprising:

receiving from a remote requesting computer over a data communications network a legal document request, the legal document request including recipient information;

selecting a legal document template from a legal document database responsive to the legal document request;

generating a final legal document based on the selected legal document template and the recipient information;

receiving over the data communications network an approval message from a remote party other than a party transmitting the legal document request via the remote requesting computer or other than a recipient receiving the final document via a remote recipient computer, the approval message indicating approval of the final document; and

transmitting the final document to the remote recipient computer over the data communications network.

2. The method ofclaim 1 further comprising:

receiving a second approval message from the remote party, the second approval message indicating approval of the legal document request.

3. The method ofclaim 1 further comprising:

updating an approval status report based on the approval message.

4. The method ofclaim 2 further comprising:

receiving a report request; and

transmitting the approval status report in response to the report request.

5. The method ofclaim 3, wherein the approval status report is transmitted separately from the final document.

6. The method ofclaim 1 wherein the party transmitting the legal document request is a marketing representative, the recipient receiving the final document is a customer interacting with the marketing representative, and the remote party providing the approval message is a director of a company.

7. The method ofclaim 1, wherein the recipient information includes recipient identification and subject matter to be covered by the legal document.

8. The method ofclaim 1 further comprising:

storing the final legal document in a central database coupled to a server;

receiving a document amendment request including a document identifier and subject matter information;

retrieving the stored document from the central database based on the document identifier;

generating an amendment of the retrieved document based on the subject matter information; and

transmitting the amendment of the retrieved document to the remote recipient computer.

9. The method ofclaim 1 further comprising:

displaying on the remote requesting computer a plurality of available transmission modes;

receiving from the remote requesting computer identification of one of the plurality of available transmission modes;

formatting the final document based on the identified transmission mode; and

transmitting the final document to the remote recipient computer over the data communications network according to the identified transmission mode.

10. A method for automating generation of legal documents, the method comprising:

receiving from a remote computer over a data communications network a legal document request, the legal document request including recipient information;

selecting a legal document template from a legal document database responsive to the legal document request;

generating a final legal document based on the selected legal document template and the recipient information;

storing the final legal document in a data store; and

transmitting to the remote computer over the data communications network a notification indicative of the generated final document, the notification being transmitted separately from the generated final document.

11. The method ofclaim 10, wherein the recipient information includes recipient identification and subject matter to be covered by the legal document.

12. The method ofclaim 10, wherein the data store is a central database coupled to a server, the method further comprising:

receiving a document amendment request including a document identifier and subject matter information;

retrieving the stored document from the central database based on the document identifier;

generating an amendment of the retrieved document based on the subject matter information; and

transmitting the amendment of the retrieved document to a remote recipient computer.

13. The method ofclaim 10 further comprising:

displaying on the remote computer a plurality of available transmission modes;

receiving from the remote computer identification of one of the plurality of available transmission modes;

formatting the final document based on the identified transmission mode; and

transmitting the final document to a remote recipient computer over the data communications network according to the identified transmission mode.

14. In a data communications network including a remote requesting computer and a remote recipient computer, a server automating generation and approval of legal documents, the server comprising:

a processor; and

a memory operably coupled to the processor and having program instructions stored therein, the processor being operable to execute the program instructions, the program instructions including:

receiving from the remote requesting computer over the data communications network a legal document request, the legal document request including recipient information;

selecting a legal document template from a legal document database responsive to the legal document request;

generating a final legal document based on the selected legal document template and the recipient information;

receiving over the data communications network an approval message from a remote party other than a party transmitting the legal document request via the remote requesting computer or other than a recipient receiving the final document via the remote recipient computer, the approval message indicating approval of the final document; and

transmitting the final document to the remote recipient computer over the data communications network.

15. The server ofclaim 14, the program instructions further comprising:

receiving a second approval message from the remote party, the second approval message indicating approval of the legal document request.

16. The server ofclaim 14, the program instructions further comprising:

updating an approval status report based on the approval message.

17. The server ofclaim 16, the program instructions further comprising:

receiving a report request; and

transmitting the approval status report in response to the report request.

18. The server ofclaim 17, wherein the approval status report is transmitted separately from the final document.

19. The server ofclaim 14, wherein the party transmitting the legal document request is a marketing representative, the recipient receiving the final document is a customer interacting with the marketing representative, and the remote party providing the approval message is a director of a company.

20. The server ofclaim 14, wherein the recipient information includes recipient identification and subject matter to be covered by the legal document.

21. The server ofclaim 14, wherein the final legal document is stored in a central database coupled to the server, the program instructions further comprising:

receiving a document amendment request including a document identifier and subject matter information;

retrieving the stored document from the central database based on the document identifier;

generating an amendment of the retrieved document based on the subject matter information; and

transmitting the amendment of the retrieved document to the remote recipient computer.

22. The server ofclaim 14, the program instructions further comprising:

displaying on the remote requesting computer a plurality of available transmission modes;

receiving from the remote requesting computer identification of one of the plurality of available transmission modes;

formatting the final document based on the identified transmission mode; and

transmitting the final document to the remote recipient computer over the data communications network according to the identified transmission mode.

23. In a data communications network including a remote computer, a server automating generation and approval of legal documents, the server comprising:

a processor; and

a memory operably coupled to the processor and having program instructions stored therein, the processor being operable to execute the program instructions, the program instructions including:

receiving from the remote computer over the data communications network a legal document request, the legal document request including recipient information;

selecting a legal document template from a legal document database responsive to the legal document request;

generating a final legal document based on the selected legal document template and the recipient information;

storing the final legal document in a data store; and

transmitting to the remote computer over the data communications network a notification indicative of the generated final document, the notification being transmitted separately from the generated final document.

24. The server ofclaim 23, wherein the recipient information includes recipient identification and subject matter to be covered by the legal document.

25. The server ofclaim 24, wherein the data store is a central database coupled to the server, the server further comprising:

receiving a document amendment request including a document identifier and subject matter information;

retrieving the stored document from the central database based on the document identifier;

generating an amendment of the retrieved document based on the subject matter information; and

transmitting the amendment of the retrieved document to a remote recipient computer.

26. The server ofclaim 23, the program instructions further comprising:

displaying on the remote computer a plurality of available transmission modes;

receiving from the remote computer identification of one of the plurality of available transmission modes;

formatting the final document based on the identified transmission mode; and

transmitting the final document to a remote recipient computer over the data communications network according to the identified transmission mode.

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