Life-cycle management engine

• US 20030236788A1
• Filed: 06/03/2002
• Published: 12/25/2003
• Est. Priority Date: 06/03/2002
• Status: Active Grant

• Current Assignee: IBM Canada Limited (International Business Machines Corporation)
• Original Assignee: IBM Canada Limited (International Business Machines Corporation)
• Inventors: Saunders, Steve, Kanellos, Nick
• Granted Patent: US 7,233,959 B2
• Time in Patent Office: Days
• US Class Current: 1/1
• CPC Class Codes: G06F 16/20 of structured data, e.g. relational data
• CPC Class Codes: Y10S 707/99945 Object-oriented database structure processing
• CPC Class Codes: Y10S 707/99948 Application of database or data structure, e.g. distributed, multimedia, or image

Abstract

A records manager manages life cycle phases of records managed by a host application program. The records manager is in communication with the host application program over a network and includes a file plan database, a record management engine, and an applications program interface. The file plan database includes at least one file plan object, with each file plan object having a life cycle rule. The record management engine includes filing means and determining means. The filing means files record identifiers within the file plan objects in accordance with record profile data received over the network. The determining means tracks changes in the life cycle phases for the records from the life cycle rules. The applications program interface is in communication with the record management engine, and is configured to transmit to the host application program over the network indications of the changes in the life cycle phases.

Claims

1. A method for managing electronic records, comprising the steps of:

receiving over a network a record identifier uniquely associated with a record managed by an application program, the record management engine being configured to manage life cycle states of the record, the record identifier including profile data for the associated record;

filing the received record identifier within a file plan node of a file plan in accordance with the associated profile data, each said file plan node having an associated retention rule;

determining life cycle states for the managed records from the retention rules; and

transmitting life cycle instructions over the network requesting the application program transition the managed records to the respective life cycle states.

2. The method according to claim 1, wherein the application program maintains a record profile for each of the managed records, and the record identifier receiving step comprises the steps of receiving from the application program the record profile for the associated record, and parsing the record profile for the associated profile data.

3. The method according to claim 1, wherein the record identifier receiving step comprises the steps of providing a menu of the file plan nodes, and determining the associated profile data from a menu selection of the node menu.

4. The method according to claim 1, wherein the file plan nodes include life cycle codes identifying the life cycle state of an associated record, and suspension status flags identifying whether the associated record should transition between different ones of the life cycle states, and the life cycle state determining step comprises evaluating the retention rules against the life cycle codes, a reference date and a state of the status flags.

5. The method according to claim 1, wherein the file plan includes a hierarchical arrangement of the file plan nodes, at least one of the file plan nodes includes no life cycle code, and the life cycle state determining step comprises evaluating the retention rule for the at least one file plan node against the life cycle code associated with a parent one of the at least one file plan node.

6. The method according to claim 1, wherein the file plan includes a non-hierarchical arrangement of the file plan nodes, at least one of the file plan nodes includes no life cycle code, and the life cycle state determining step comprises evaluating the retention rule for the at least one file plan node against the life cycle code associated with a parent one of the at least one file plan node.

7. An electronic record management engine for facilitating life cycle management of records managed by an application program, the record management engine comprising:

receiving means for receiving over a network a record identifier associated with a record managed by the application program, the record identifier including profile data for the associated record;

filing means for filing the received record identifier within a file plan node of a file plan in accordance with the associated profile data, each said file plan node having an associated life cycle rule;

determining means for determining life cycle states for the managed records from the life cycle rules; and

providing means for transmitting life cycle instructions over the network requesting the application program transition the managed records to the respective life cycle states.

8. The record management engine according to claim 7, wherein the application program maintains a record profile for each of the managed records, and the receiving means is configured to receive from the application program the record profile for the associated record, and to parse the record profile for the associated profile data.

9. The record management engine according to claim 7, wherein the receiving means is configured to provide a menu of the file plan nodes, and to determine the associated profile data from a menu selection of the node menu.

10. The record management engine according to claim 7, wherein the file plan nodes include life cycle codes identifying the life cycle state of an associated record, and suspension status flags identifying whether the associated record should transition between different ones of the life cycle states, and the determining means is configured to evaluate the retention rules against the life cycle codes, a reference date and a state of the status flags.

11. The record management engine according to claim 10, wherein the file plan includes a hierarchical arrangement of the file plan nodes, at least one of the file plan nodes includes no life cycle code, and the determining means is configured to evaluate the retention rule for the at least one file plan node against the life cycle code associated with a parent one of the at least one file plan node.

12. The record management engine according to claim 10, wherein the file plan includes a non-hierarchical arrangement of the file plan nodes, at least one of the file plan nodes includes no life cycle code, and the determining means is configured to evaluate the retention rule for the at least one file plan node against the life cycle code associated with a parent one of the at least one file plan node.

13. A records manager for managing life cycle phases of records managed by a host application program, the record manager being in communication with the host application program over a network and comprising:

a file plan database including at least one file plan object, each said file plan object having a life cycle rule;

a record management engine including filing means for filing record identifiers within the file plan objects in accordance with profile data received over the network and being associated with the records, and determining means for tracking changes in the life cycle phases for the records from the life cycle rules; and

an applications program interface in communication with the record management engine, the applications program interface being configured to transmit to the host application program over the network indications of the changes in the life cycle phases.

14. The records manager according to claim 13, wherein the file plan database comprises for each file plan object a record type field for the associated record, and an attribute field defining the profile data.

15. The records manager according to claim 13, wherein the file plan database includes at least one file plan view table defining a subset of the file plan objects, and a relationship between the file plan objects of the file plan object subset.

16. The records manager according to claim 13, wherein the file plan database includes at least one custom profile table identifying a subset of the attributes for at least one of the file plan objects, and at least one user of the application program allowed to view the attribute subset.

17. The records manager according to claim 13, wherein the file plan database includes an access control list defining at least one access operation for at least one of the file plan objects, and at least one user of the application program allowed to perform the access operation.

18. The records manager according to claim 13, wherein the file plan objects each include a life cycle code identifying the life cycle phase of the associated record, and a suspension status flag identifying whether the associated record should transition between the life cycle phases, and the determining means is configured to evaluate the retention rules against the life cycle codes, a reference date and a state of the status flag.

19. The records manager according to claim 18, wherein each file plan node is configured to include at least two of the suspension status flags, and the determining means is configured for each said record to prevent the transitioning thereof until all of the associated suspension status flags are removed.

20. The records manager according to claim 13, wherein the file plan includes a hierarchical arrangement of the file plan objects, at least one of the file plan objects includes no life cycle code, and the determining means is configured to evaluate the retention rule for the at least one file plan object against the life cycle code associated with a parent one of the at least one file plan object.

21. The records manager according to claim 13, wherein the file plan includes a non-hierarchical arrangement of the file plan objects, at least one of the file plan objects includes no life cycle code, and the determining means is configured to evaluate the retention rule for the at least one file plan object against the life cycle code associated with a parent one of the at least one file plan object.

22. A computer-based records management engine for managing life cycle phases of records managed by a host application program, the record manager being configured to communicate with the host application program over a network and comprising:

a database interface for accessing a file plan database, the file plan database including at least one file plan node, each said file plan node including a life cycle retention rule governing life cycle phase changes of an object associated with the file plan node;

filing means in communication with the database interface for filing record identifiers within respective ones of the file plan nodes in accordance with respective profiles for the records, the profiles being received over the network;

determining means in communication with the database interface for tracking changes in the life cycle phases for the records from the life cycle rules; and

an applications program interface in communication with the filing means and the determining means and being configured to transmit to the host application program over the network indications of the changes in the life cycle phases.

23. The management engine according to claim 22, wherein the file plan nodes each include a life cycle code identifying the life cycle phase of an associated record, and a suspension status flag identifying whether the associated record should transition between the life cycle phases, and the determining means is configured to evaluate the retention rules against the life cycle codes, a reference date and a state of the status flag.

24. The management engine according to claim 23, wherein each file plan node is configured to include at least two of the suspension status flags, and the determining means is configured for each said record to prevent the transitioning thereof until all of the associated suspension status flags are removed.

25. The management engine according to claim 22, wherein the file plan includes a hierarchical arrangement of the file plan nodes, at least one of the file plan nodes includes no life cycle code, and the determining means is configured to evaluate the retention rule for the at least one file plan node against the life cycle code associated with a parent one of the at least one file plan node.

26. The management engine according to claim 22, wherein the file plan includes a non-hierarchical arrangement of the file plan nodes, at least one of the file plan nodes includes no life cycle code, and the determining means is configured to evaluate the retention rule for the at least one file plan node against the life cycle code associated with a parent one of the at least one file plan node.

27. A computer-based management engine for managing life cycle phases of electronic records managed by a host application program, the management engine being configured to communicate with the host application program over a network and comprising:

an interface for accessing a file plan database, the file plan database including at least one file plan node, each said file plan node including a life cycle retention rule governing life cycle phase changes of an object associated with the file plan node;

filing means in communication with the interface for filing record identifiers within respective ones of the file plan nodes in accordance with respective profiles of the electronic records, the filing mean being configured to receive the profiles over the network from the application program; and

determining means in communication with the interface for transitioning the managed records between different ones of the life cycle phases from the respective life cycle rules.

28. The management engine according to claim 27, wherein the file plan nodes each include a life cycle code identifying the life cycle phase of an associated record, and a suspension status flag identifying whether the associated record should transition between the life cycle phases, and the determining means is configured to evaluate the retention rules against the life cycle codes, a reference date and a state of the status flag.

29. The management engine according to claim 28, wherein each file plan node is configured to include at least two of the suspension status flags, and the determining means is configured for each said record to prevent the transitioning thereof until all of the associated suspension status flags are removed.

30. The management engine according to claim 27, wherein the file plan includes a hierarchical arrangement of the file plan nodes, at least one of the file plan nodes includes no life cycle code, and the determining means is configured to evaluate the retention rule for the at least one file plan node against the life cycle code associated with a parent one of the at least one file plan node.

31. The management engine according to claim 27, wherein the file plan includes a non-hierarchical arrangement of the file plan nodes, at least one of the file plan nodes includes no life cycle code, and the determining means is configured to evaluate the retention rule for the at least one file plan node against the life cycle code associated with a parent one of the at least one file plan node.

32. A computer-readable medium carrying processing instructions for a computer, the processing instructions causing the computer to perform the steps of:

receiving over a network a record identifier uniquely associated with a record managed by an application program, the record identifier including profile data for the associated record;

filing the received record identifier within a file plan node of a file plan in accordance with the associated profile data, each said file plan node having an associated life cycle rule;

determining life cycle states for the managed records from the life cycle rules; and

providing life cycle instructions over the network to the application program requesting the application program transition the managed records to the respective life cycle states.

33. A computer-readable medium carrying processing instructions for a computer, the processing instructions defining in the computer:

receiving means for receiving over a network a record identifier associated with a record managed by the application program, the record identifier including profile data for the associated record;

filing means for filing the received record identifier within a file plan node of a file plan in accordance with the associated profile data, each said file plan node having an associated life cycle rule;

determining means for determining life cycle states for the managed records from the life cycle rules; and

providing means for providing life cycle instructions over the network to the application program requesting the application program transition the managed records to the respective life cycle states.

34. A computer-readable medium carrying processing instructions for a computer, the processing instructions defining in the computer:

a database interface for accessing a file plan database, the file plan database including at least one file plan node, each said file plan node including a life cycle retention rule governing life cycle phase changes of an object associated with the file plan node;

filing means in communication with the database interface for filing record identifiers within respective ones of the file plan nodes in accordance with respective profiles for the records, the profiles being received over the network;

determining means in communication with the database interface for tracking changes in the life cycle phases for the records from the life cycle rules; and

an applications program interface in communication with the filing means and the determining means and being configured to transmit to the host application program over the network indications of the changes in the life cycle phases.

35. A computer-readable medium carrying processing instructions for a computer, the processing instructions defining in the computer:

an interface for accessing a file plan database, the file plan database including at least one file plan node, each said file plan node including a life cycle retention rule governing life cycle phase changes of an object associated with the file plan node;

filing means in communication with the interface for filing record identifiers within respective ones of the file plan nodes in accordance with respective profiles of the electronic records, the filing mean being configured to receive the profiles over the network from the application program; and

determining means in communication with the interface for transitioning the managed records between different ones of the life cycle phases from the respective life cycle rules.

36. A method for managing electronic records, comprising the steps of:

defining a file plan within a file plan database, the file plan specifying at least one file plan node, each said file plan node including a life cycle retention rule;

receiving over a network a record identifier uniquely associated with a record managed by an application program, the record management engine being configured to manage life cycle states of the record, the record identifier including profile data for the associated record;

filing the received record identifier within the at least one file plan node of the file plan database in accordance with the associated profile data;

determining life cycle states for the managed records from the retention rule; and

transmitting life cycle instructions over the network requesting the application program transition the managed records to the respective life cycle states.

37. The method according to claim 36, wherein the application program maintains a record profile for each of the managed records, and the record identifier receiving step comprises the steps of receiving from the application program the record profile for the associated record, and parsing the record profile for the associated profile data.

38. The method according to claim 36, wherein the record identifier receiving step comprises the steps of providing a menu of the file plan nodes, and determining the associated profile data from a menu selection of the node menu.

39. The method according to claim 36, wherein the file plan nodes include life cycle codes identifying the life cycle state of an associated record, and suspension status flags identifying whether the associated record should transition between different ones of the life cycle states, and the life cycle state determining step comprises evaluating the retention rules against the life cycle codes, a reference date and a state of the status flags.

40. The method according to claim 36, wherein the file plan includes a hierarchical arrangement of the file plan nodes, at least one of the file plan nodes includes no life cycle code, and the life cycle state determining step comprises evaluating the retention rule for the at least one file plan node against the life cycle code associated with a parent one of the at least one file plan node.

41. The method according to claim 36, wherein the file plan includes a non-hierarchical arrangement of the file plan nodes, at least one of the file plan nodes includes no life cycle code, and the life cycle state determining step comprises evaluating the retention rule for the at least one file plan node against the life cycle code associated with a parent one of the at least one file plan node.

42. A computer-readable medium carrying processing instructions for a computer, the processing instructions causing the computer to perform the steps of:

defining a file plan within a file plan database, the file plan specifying at least one file plan node, each said file plan node including a life cycle retention rule;

receiving over the network a record identifier uniquely associated with a record managed by an application program, the record identifier including profile data for the associated record;

filing the received record identifier within the at least one file plan node of the file plan database in accordance with the associated profile data;

determining life cycle states for the managed records from the life cycle retention rules; and

providing life cycle instructions over the network to the application program requesting the application program transition the managed records to the respective life cycle states.

43. The processing instructions of claim 42, wherein the file plan nodes include life cycle codes identifying the life cycle state of an associated record, and suspension status flags identifying whether the associated record should transition between different ones of the life cycle states, and the life cycle state determining step comprises evaluating the retention rules against the life cycle codes, a reference date and a state of the status flags.

44. The processing instructions of claim 42, wherein the file plan includes a hierarchical arrangement of the file plan nodes, at least one of the file plan nodes includes no life cycle code, and the life cycle state determining step comprises evaluating the retention rule for the at least one file plan node against the life cycle code associated with a parent one of the at least one file plan node.

45. The processing instructions of claim 42, wherein the file plan includes a non-hierarchical arrangement of the file plan nodes, at least one of the file plan nodes includes no life cycle code, and the life cycle state determining step comprises evaluating the retention rule for the at least one file plan node against the life cycle code associated with a parent one of the at least one file plan node.

49. The management engine according to claim 44, wherein the file plan includes a hierarchical arrangement of the file plan nodes, at least one of the file plan nodes includes no life cycle code, and the determining means is configured to evaluate the retention rule for the at least one file plan node against the life cycle code associated with a parent one of the at least one file plan node.

50. The management engine according to claim 44, wherein the file plan includes a non-hierarchical arrangement of the file plan nodes, at least one of the file plan nodes includes no life cycle code, and the determining means is configured to evaluate the retention rule for the at least one file plan node against the life cycle code associated with a parent one of the at least one file plan node.

46. A computer-based management engine for managing life cycle phases of electronic records managed by a host application program, the management engine being configured to communicate with the host application program over a network and comprising:

a file plan defining means for defining a file plan within a file plan database, the file plan including at least one file plan node, each said file plan node including a life cycle retention rule governing life cycle phase changes of an object associated with the file plan node;

filing means in communication with the file plan database for filing record identifiers within respective ones of the file plan nodes in accordance with respective profiles of the electronic records, the filing mean being configured to receive the profiles over the network from the application program; and

determining means in communication with the file plan database for transitioning the managed records between different ones of the life cycle phases from the respective life cycle rules.

47. The management engine according to claim 46, wherein the file plan nodes each include a life cycle code identifying the life cycle phase of an associated record, and a suspension status flag identifying whether the associated record should transition between the life cycle phases, and the determining means is configured to evaluate the retention rules against the life cycle codes, a reference date and a state of the status flag.

48. The management engine according to claim 47, wherein each file plan node is configured to include at least two of the suspension status flags, and the determining means is configured for each said record to prevent the transitioning thereof until all of the associated suspension status flags are removed.

51. A computer-readable medium carrying processing instructions for a computer, the processing instructions defining in the computer:

a file plan defining means for defining a file plan within the file plan database, the file plan including at least one file plan node, each said file plan node including a life cycle retention rule governing life cycle phase changes of an object associated with the file plan node;

filing means in communication with the file plan database for filing record identifiers within respective ones of the file plan nodes in accordance with respective profiles of the electronic records, the filing mean being configured to receive the profiles over the network from the application program; and

determining means in communication with the file plan database for transitioning the managed records between different ones of the life cycle phases from the respective life cycle rules.

52. A method of defining a file plan in a file plan database, comprising the steps of:

defining at least one view of a file plan in a file plan database,

defining at least one file plan component of the file plan,

defining at least one attribute of the at least one file plan component, and

defining the relationship between the at least one components of the file plan.

53. A computer-readable medium carrying processing instructions for a computer, the processing instructions causing the computer to perform the steps of:

defining at least one view of a file plan in a file plan database,

defining at least one file plan component of the file plan,

defining at least one attribute of the at least one file plan component, and

defining the relationship between the at least one components of the file plan.

54. A computer-readable medium carrying processing instructions for a computer, the processing instructions defining in the computer:

a file plan view defining means for defining at least one view of a file plan in a file plan database,

a file plan component defining means for defining at least one file plan component of the file plan,

a file plan component attribute defining means for defining at least one attribute of the at least one file plan component, and

a file plan component relationship defining means for defining the relationship between the at least one components of the file plan.