Automated records management with enforcement of a mandatory minimum retention record

• US 20060149735A1
• Filed: 03/01/2006
• Published: 07/06/2006
• Est. Priority Date: 04/29/2004
• Status: Abandoned Application

• Current Assignee: International Business Machines Corporation
• Original Assignee: Filenet Corporation (International Business Machines Corporation)
• Inventors: DeBie, Tod, Brown, Albert C.
• Application Number:
  US11/363,946
• Publication Number:
  US 20060149735A1
• Time in Patent Office: Days
• US Class Current: 1/1
• CPC Class Codes: G06F 11/1456 Hardware arrangements for backup
• CPC Class Codes: G06F 11/1464 for networked environments
• CPC Class Codes: G06F 11/1474 in transactions G06F16/20 takes precedence
• CPC Class Codes: G06F 16/289 Object oriented databases
• CPC Class Codes: Y10S 707/959 Network
• CPC Class Codes: Y10S 707/99933 Query processing, i.e. searching
• CPC Class Codes: Y10S 707/99953 Recoverability

Abstract

A records management system and method includes a file plan that has one or more segments associated with compliance data. Data stored in these segments of the file plan have a mandatory minimum retention period during which they cannot be modified or deleted. Additionally, the information about the mandatory minimum retention period may not be altered or removed.

Claims

1. A computer-based method for content management comprising the steps of:

assigning an event-based minimum retention period for a stored data item;

indicating whether the event-based minimum retention period is mandatory; and

preventing alteration of the stored data item during the event-based minimum retention period, if mandatory, by a user irrespective of data access privileges granted the user.

2. The method of claim 1, further comprising the step of:

preventing alteration of the event-based minimum retention period by the user irrespective of data access privileges granted the user.

3. The method of claim 2, wherein alteration of the event-based minimum retention period includes shortening the event-based minimum retention period.

4. The method of claim 2, wherein alteration of the event-based minimum retention period includes lengthening the event-based minimum retention period.

5. The method of claim 2, wherein lengthening of the event-based minimum retention period is permitted.

6. The method of claim 2, wherein alteration of the event-based minimum retention period includes deleting the event-based minimum retention period.

7. The method of claim 1, wherein alteration of the stored data item includes deleting the stored data item.

8. The method of claim 1, wherein alteration of the stored data item includes modifying the stored data item.

9. The method of claim 1, wherein the step of assigning includes the steps of:

defining a disposition schedule for a segment of a file plan, the disposition schedule including the event-based minimum retention period; and

identifying the event-based minimum retention period for any stored data items filed into the segment.

10. The method of claim 1, wherein the step of indicating further includes the step of:

receiving input determining whether the event-based minimum retention period is mandatory.

11. The method of claim 1 further comprising the steps of:

indicating that the event-based minimum retention period is non-mandatory; and

allowing alteration of the stored data item during the non-mandatory event-based minimum retention period by the user.

12. The method of claim 11, wherein the step of allowing alteration is dependent on the data access privileges granted to the user.

13. The method of claim 11 further comprising the step of:

allowing alteration of the non-mandatory event-based minimum retention period by the user.

14. The method of claim 13, wherein the step of allowing alteration of the non-mandatory event-based minimum retention period is dependent on the data access privileges granted to the user.

15. The method of claim 1, wherein the step of preventing further includes the steps of:

presenting, via a user interface, selectable operations to be performed on the stored data item; and

preventing selection of any of the selectable operations that result in alteration of the stored data item.

16. The method of claim 15, wherein the step of preventing selection further includes the step of preventing presentation of any of the selectable operations that result in alteration of the stored data item.

17. The method of claim 2, wherein the step of preventing alteration of the event-based minimum retention period further includes the steps of:

presenting, via a user interface, selectable operations to be performed on the event-based minimum retention period; and

preventing selection of any of the selectable operations that result in alteration of the event-based minimum retention period.

18. The method of claim 17, wherein the step of preventing selection of any of the selectable operations that result in alteration of the event-based minimum retention period further includes the step of:

preventing presentation of any of the selectable operations that result in alteration of the event-based minimum retention period

19. The method of claim 1, wherein the step of preventing alteration further includes the steps of:

providing a plurality of application programming interface (API) calls that manipulate the stored data item; and

preventing completion of an API call that would result in alteration of the stored data item.

20. The method of claim 2, wherein the step of preventing alteration of the event-based minimum retention period further includes the steps of:

providing a plurality of application programming interface (API) calls that manipulate the event-based minimum retention period; and

preventing completion of an API call that would result in alteration of the event-based minimum retention period.

21. The method of claim 2, wherein the step of preventing alteration of the event-based minimum retention period further includes the steps of:

storing the event-based minimum retention period as meta-data associated with the stored data item; and

encrypting at least a portion of the meta-data.

22. The method of claim 21, further comprising the step of:

encrypting at least a portion of the stored data item.

23. The method of claim 21, wherein encrypting comprises digitally signing the at least a portion of the meta-data.

24. The method of claim 2, wherein the step of preventing alteration of the event-based minimum retention period further includes the steps of:

storing the event-based minimum retention period as meta-data in a database table; and

restricting allowable commands that may be received by a system hosting the database table.

25. Computer-readable media containing programming instructions for managing content that upon execution thereof, causes one or more processors to perform the steps of:

assigning an event-based minimum retention period for a stored data item;

indicating whether the event-based minimum retention period is mandatory; and

preventing alteration of the stored data item during the event-based minimum retention period, if mandatory, by a user irrespective of data access privileges granted the user.

26. The computer readable media of claim 25, wherein the instructions are further configured upon execution to perform the additional step of:

preventing alteration of the event-based minimum retention period by the user irrespective of data access privileges granted the user.

27. The computer readable media of claim 25, wherein the instructions are further configured upon execution to perform the additional step of:

indicating that the event-based minimum retention period is non-mandatory; and

allowing alteration of the stored data item during the non-mandatory event-based minimum retention period by the user based on the data access privileges granted to the user.

28. The computer readable media of claim 25 wherein the instructions are further configured upon execution to perform the additional step of:

allowing alteration of the non-mandatory event-based minimum retention period by the user based on the data access privileges granted to the user.

29. The computer readable media of claim 25, wherein the instructions are further configured upon execution to perform the additional step of:

presenting, via a user interface, selectable operations to be performed on the stored data item; and

preventing selection of any of the selectable operations that result in alteration of the stored data item.

30. The computer readable media of claim 26, wherein the instructions are further configured upon execution to perform the additional step of:

presenting, via a user interface, selectable operations to be performed on the event-based minimum retention period; and

preventing selection of any of the selectable operations that result in alteration of the event-based minimum retention period.

31. The computer readable media of claim 25, wherein the instructions are further configured upon execution to perform the additional step of:

providing a plurality of application programming interface (API) calls that manipulate the stored data item; and

preventing completion of an API call that would result in alteration of the stored data item.

32. The computer readable media of claim 26, wherein the instructions are further configured upon execution to perform the additional step of:

providing a plurality of application programming interface (API) calls that manipulate the event-based minimum retention period; and

preventing completion of an API call that would result in alteration of the event-based minimum retention period.

33. The computer readable media of claim 26, wherein the instructions are further configured upon execution to perform the additional step of:

storing the event-based minimum retention period as meta-data associated with the stored data item; and

encrypting at least a portion of the meta-data.

34. A content management system comprising:

a software-based content repository configured to access a stored data item having assigned thereto a mandatory minimum retention period;

the software-based content repository further configured to prevent alteration of the stored data item, during the mandatory minimum retention period, by a user irrespective of data access privileges granted the user.

35. The system of claim 34 further comprising:

a data storage system configured to store the stored data item and information about the mandatory minimum retention period.

36. The system of claim 35, wherein the content repository is further configured to prevent alteration of the information about the mandatory minimum retention period by the user irrespective of data access privileges granted the user.

37. The system of claim 34, further comprising:

a records manager software application configured to receive input from a user regarding the mandatory minimum retention period for the stored data item and provide the input to the software based content repository.

38. The system of claim 37, wherein the records manager software application includes a user interface that prevents selection of operations that would result in alteration of the stored data item.

39. The system of claim 37, wherein the records manager software application includes a user interface that prevents selection of operations that would result in alteration of the mandatory minimum retention period.

40. The system of claim 34, wherein the content repository includes a plurality of API calls for accessing the stored data items and is configured to prevent operation of an API call that would result in alteration of the stored data item.

41. The system of claim 34, wherein the content repository includes a plurality of API calls for accessing the mandatory minimum retention period and is configured to prevent operation of an API call that would result in alteration of the mandatory minimum retention period.

42. The system of claim 35 wherein the content repository is configured to encrypt the information when storing the information to the data storage system and decrypting the information when retrieving the information from the data storage system.

43. A records management system comprising:

a network attached data storage system coupled to a network for receiving commands from one or more records management software applications, further comprising;

a content repository configured to access a stored data item having assigned thereto a mandatory minimum retention period;

a firewall located between the records management software applications and the content repository, and configured to restrict traffic reaching the content repository to an allowable set of commands;

the content repository further configured to prevent alteration of the stored data item during the mandatory minimum retention period; and

one or more storage devices configured to store the stored data item and information about the mandatory minimum retention period.