Automatic records management based on business process management

• US 20060085374A1
• Filed: 10/15/2004
• Published: 04/20/2006
• Est. Priority Date: 10/15/2004
• Status: Abandoned Application

• Current Assignee: International Business Machines Corporation
• Original Assignee: Filenet Corporation (International Business Machines Corporation)
• Inventors: Vu, Bao, Mayes, Lauren
• Application Number:
  US10/964,694
• Publication Number:
  US 20060085374A1
• Time in Patent Office: Days
• US Class Current: 1/1
• CPC Class Codes: G06F 16/353 into predefined classes
• CPC Class Codes: G06Q 40/08 Insurance

Abstract

A records management method that automatically classifies records and manages the records based on the classification. The method incorporates processes for receiving a classification scheme for a record, receiving declaration of an asset as a record, automatically classifying the record according to the classification scheme, and workflow processes for vital records review and review for approval of disposition of records. Numerous method variations, as well as related systems and computer-readable media are also disclosed.

Claims

1. A computer-based method for managing records based on automated records classification, comprising:

receiving a file plan configured to classify records, including physical and electronic records;

receiving declaration of an asset as a record;

automatically classifying the record according to the file plan;

managing the record according to the file plan, including implementing workflows associated with managing the record.

2. The method as recited in claim 1, wherein the managing step includes automatically launching a vital record review workflow based on a vital record review event associated with the record'"'"'s classification.

3. The method as recited in claim 2, wherein the managing step further comprises:

receiving an indication that a vital record has been reviewed by each designated reviewer; and

updating the vital record.

4. The method as recited in claim 2, wherein the vital record review event is based on the passage of a period of time.

5. The method as recited in claim 1I wherein the managing step includes automatically launching a cutoff workflow based on a cutoff event associated with the record'"'"'s classification.

6. The method as recited in claim 5, wherein the cutoff event is a cutoff date based on the passage of a period of time.

7. The method as recited in claim 5, further comprising:

receiving approval of the record'"'"'s cutoff date; and

disposing of the record according to the record'"'"'s classification, wherein the file plan includes a disposition schedule associated with the record'"'"'s classification.

8. The method as recited in claim 1, wherein the managing step includes:

automatically launching a screening workflow, wherein the screening workflow is configured to require a user designated under the file plan to review a record before executing a workflow associated with managing the record; and

implementing the screening workflow according to the file plan.

9. The method as recited in claim 1, wherein the managing step includes:

receiving a request to launch a disposition review workflow that is configured to require a user to review and approve a record at the end of a retention period of a disposition phase, the retention period being defined by the file plan, and wherein the disposition phase includes at least one of a interim transfer, transfer, export and destroy workflow; and

in response to the request, launching and implementing the disposition review workflow.

10. The method as recited in claim 1, wherein the managing step includes:

launching, based on the disposition schedule, an interim transfer workflow that is configured to require that the home location of a physical record or the location of an electronic records is changed to a specified location at the end of a retention period of a disposition phase such that the record may be further managed, wherein the disposition phase is defined by the file plan; and

in response to the request, launching and implementing the interim transfer workflow.

11. The method as recited in claim 10, wherein the managing step further includes, prior to the interim transfer launching step, receiving approval for the launch.

12. The method as recited in claim 1, wherein the managing step includes:

receiving a request to launch a transfer workflow that is configured to require that records are transferred to a specified location at the end of a retention period of a disposition phase, wherein the disposition phase is defined by the file plan; and

in response to the request, launching and implementing the transfer workflow.

13. The method as recited in claim 12, wherein the managing step further includes, prior to the transfer launching step, receiving approval for the launch.

14. The method as recited in claim 1, wherein the managing step includes:

receiving a request to launch an export workflow that is configured to require that records are copied to a specified location at the end of a retention period of a disposition phase, and

in response to the request, launching the export workflow.

15. The method as recited in claim 14, wherein the managing step further includes, prior to the export launching step, receiving approval for the launch.

16. The method as recited in claim 1, wherein the managing step includes:

receiving a request to launch a physical records management workflow that is configured to manage charge-out, reservation, or charge-in of physical records; and

in response to the request, launching and implementing the physical records management workflow.

17. The method as recited in claim 1, wherein the managing step includes:

receiving a request to launch a create record folder workflow that is configured to permit users to create record folders; and

in response to the request, launching and implementing the create record folder workflow.

18. The method as recited in claim 1, implementing a workflow in connection with the creation of a record, wherein the record is declared or classified automatically based on contextual information collected about the record in the course of processing the record in the workflow.

19. A computer-based method for automatic implementation of review of vital records, comprising:

receiving declaration of an asset as a vital record;

receiving a vital record review event configured to launch a vital record review workflow associated with the vital record, wherein the vital record review event is associated with at least one designated reviewer, and

upon determination of the occurrence of the vital record review event, automatically launching the vital record review workflow.

20. The method as recited in claim 19, wherein the vital record review event is based on the passage of a period of time.

21. The method as recited in claim 19, further comprising:

receiving an indication that the vital record has been reviewed by each designated reviewer; and

updating the vital record.

22. The method as recited in claim 20, further comprising:

prior to the updating step, receiving an indication that the record has been approved by an end user other than a designated reviewer; and

updating the vital record.

23. The method as recited in claim 19, further comprising:

launching one or more disposition workflows, either in response to a user request or automatically, based on a disposition schedule.

24. A method for reviewing a record in a records management system in order to approve disposition of the record, comprising:

receiving a cutoff event configured to launch a cutoff workflow associated with the record, wherein the cutoff event is contingent upon an approval of at least one end user;

upon determination of the occurrence of the cutoff event, automatically launching the cutoff workflow;

transmitting information associated with the cutoff event to the at least one end user upon whom the approval of the cutoff event is contingent;

after receiving an indication of approval by the at least one end user, commencing a disposition phase for the record.

25. The method as recited in claim 24, wherein the cutoff event is based on the passage of a period of time.

26. A unified computer-based records management system for managing records based on automated record classification, comprising:

a memory system including a file plan configured to classify a record, wherein the memory system is configured to receive declaration of an asset as a record;

a classification device configured to automatically classify the record according to the file plan; and

a records management system configured to initiate management of the record according to the file plan.

27. The records management system of claim 26, further comprising:

a process engine system, wherein the process engine system is configured to implement at least one process specified by a workflow associated with the record; and

wherein the records management system is further configured to automatically initiate one or more processes in the process engine system.

28. The records management system of claim 27, wherein the one or more processes includes a vital record review workflow that is automatically launched based on a vital record review event associated with the record'"'"'s classification.

29. The records management system of claim 27, wherein the one or more processes includes a cutoff workflow that is automatically launched based on a cutoff event associated with the record'"'"'s classification.

30. The records management system of claim 27, wherein the one or more processes includes a screening workflow that is automatically launched based on a screening event associated with the record'"'"'s classification.

31. The records management system of claim 27, wherein the one or more processes includes a disposition review workflow that is configured to require a user to review and approve a record at the end of a retention period of a disposition phase, the retention period being defined by the file plan, and wherein the disposition phase includes at least one of a interim transfer, transfer, export and destroy workflow.

32. The records management system of claim 27, wherein the one or more processes includes an interim transfer workflow that is configured to require that the home location of a physical record or the location of an electronic record is changed to a specified location at the end of a retention period of a disposition phase such that the record may be further managed, wherein the disposition phase is defined by the file plan.

33. The records management system of claim 27, wherein the one or more processes includes a transfer workflow that is configured to require that records are transferred to a specified location at the end of a retention period of a disposition phase, wherein the disposition phase is defined by the file plan.

34. The records management system of claim 27, wherein the one or more processes includes an export workflow that is configured to require that records are copied to a specified location at the end of a retention period of a disposition phase.

35. The records management system of claim 27, wherein the one or more processes includes a physical records management workflow that is configured to manage charge-out of physical records.

36. The records management system of claim 27, wherein the one or more processes includes a create record folder workflow that is configured to permit users to create record folders.

37. The records management system of claim 27, wherein a single architecture is provided such that one content engine and one process engine manage the content and processes for all the content management, records management, web content management, collaboration and digital asset management.

38. Computer-readable media containing programming for managing records based on automated records classification that, when executed on a computer, causes a processor to perform the steps of:

receiving a file plan configured to classify records, including physical and electronic records;

receiving declaration of an asset as a record;

automatically classifying the record according to the file plan; and

managing the record according to the file plan, including implementing workflows associated with managing the record.

39. The computer program as recited in claim 38, wherein the managing step includes automatically launching a vital record review workflow based on a vital record review event associated with the record'"'"'s classification.

40. The computer program as recited in claim 39, wherein the managing step further comprises:

receiving an indication that a vital record has been reviewed by each designated reviewer; and

updating the vital record.

41. The computer program as recited in claim 39, wherein the vital record review event is based on the passage of a period of time.

42. The computer program as recited in claim 38, wherein the managing step includes automatically launching a cutoff workflow based on a cutoff event associated with the record'"'"'s classification.

43. The computer program as recited in claim 42, wherein the cutoff event is a cutoff date based on the passage of a period of time.

44. The computer program as recited in claim 42, further comprising:

receiving approval of the record'"'"'s cutoff date; and

disposing of the record according to the record'"'"'s classification, wherein the file plan includes a disposition schedule associated with the record'"'"'s classification.

45. The computer program as recited in claim 38, wherein the managing step includes:

automatically launching a screening workflow, wherein the screening workflow is configured to require a user designated under the file plan to review a record before executing a workflow associated with managing the record; and

implementing the screening workflow according to the file plan.

46. The computer program as recited in claim 38, wherein the managing step includes:

receiving a request to launch a disposition review workflow that is configured to require a user to review and approve records at the end of a retention period of a disposition phase, the retention period being defined by the file plan, and wherein the disposition phase includes at least one of a interim transfer, transfer, export and destroy workflow; and

in response to the request, launching and implementing the disposition review workflow.

47. The computer program as recited in claim 38, wherein the managing step includes:

launching, based on the disposition schedule, an interim transfer workflow that is configured to require that the home location of a physical record or the location of an electronic record is changed to a specified location at the end of a retention period of a disposition phase such that the record may be further managed, wherein the disposition phase is defined by the file plan; and

in response to the request, launching and implementing the interim transfer workflow.

48. The computer program as recited in claim 47, wherein the managing step further includes, prior to the interim transfer launching step, receiving approval for the launch.

49. The computer program as recited in claim 38, wherein the managing step includes:

receiving a request to launch a transfer workflow that is configured to require that records are transferred to a specified location at the end of a retention period of a disposition phase, wherein the disposition phase is defined by the file plan; and

in response to the request, launching and implementing the transfer workflow.

50. The computer program as recited in claim 49, wherein the managing step further includes, prior to the transfer launching step, receiving approval for the launch.

51. The computer program as recited in claim 38, wherein the managing step includes:

receiving a request to launch an export workflow that is configured to require that records are copied to a specified location at the end of a retention period of a disposition phase, and

in response to the request, launching the export workflow.

52. The method as recited in claim 51, wherein the managing step further includes, prior to the export launching step, receiving approval for the launch.

53. The computer program as recited in claim 38, wherein the managing step includes:

receiving a request to launch a physical records management workflow that is configured to manage charge-out, reservation, or charge-in of physical records; and

in response to the request, launching and implementing the physical records management workflow.

54. The computer program as recited in claim 38, wherein the managing step includes:

receiving a request to launch a create record folder workflow that is configured to permit users to create record folders; and

in response to the request, launching and implementing the create record folder workflow.

55. The computer program as recited in claim 38, implementing a workflow in connection with the creation of a record, wherein the record is declared or classified automatically based on contextual information collected about the record in the course of processing the record in the workflow.

56. Computer-readable media containing programming for automatic implementation of review of vital records that, when executed on a computer, causes a processor to perform the steps of:

receiving declaration of an asset as a vital record;

receiving a vital record review event configured to launch a vital record review workflow associated with the vital record, wherein the vital record review event is associated with at least one designated reviewer; and

upon determination of the occurrence of the vital record review event, automatically launching the vital record review workflow.

57. The computer program as recited in claim 56, wherein the vital record review event is based on the passage of a period of time.

58. The computer program as recited in claim 56, further comprising:

receiving an indication that the vital record has been reviewed by each designated reviewer; and

updating the vital record.

59. The computer program as recited in claim 58, further comprising:

prior to the updating step, receiving an indication that the record has been approved by an end user other than a designated reviewer; and

updating the vital record.

60. The method as recited in claim 59, further comprising:

launching one or more disposition workflows, either in response to a user request or automatically, based on a disposition schedule.

61. Computer-readable media containing programming for reviewing a record in a records management system in order to approve disposition of the record that, when executed on a computer, causes a processor to perform the steps of:

receiving a cutoff event configured to launch a cutoff workflow associated with the record, wherein the cutoff event is contingent upon an approval of at least one end user;

upon determination of the occurrence of the cutoff event, automatically launching the cutoff workflow;

transmitting information associated with the cutoff event to the at least one end user upon whom the approval of the cutoff event is contingent; and

after receiving an indication of approval by the at least one end user, commencing a disposition phase for the record.

62. The computer program as recited in claim 61, wherein the cutoff event is based on the passage of a period of time.