Method, system, and program for implementing retention policies to archive records

• US 7,107,416 B2
• Filed: 12/15/2003
• Issued: 09/12/2006
• Est. Priority Date: 09/08/2003
• Status: Active Grant

• Current Assignee: Google LLC (Alphabet Inc.)
• Original Assignee: International Business Machines Corporation
• Inventors: Stuart, Alan L., Marek, Toby Lyn
• Primary Examiner(s): Elmore, Stephen C.
• Application Number:
  US10/737,367
• Publication Number:
  US 20050055519A1
• Time in Patent Office: 1,002 Days
• Field of Search: 711/159, 711/133, 711/134, 711/154, 711/156, 711/161, 707/102
• US Class Current: 711/159
• CPC Class Codes: G06F 16/122 using management policies backup systems G06F11/1446; file migration policies for HSM systems G06F16/185
• CPC Class Codes: G06F 16/125 characterised by the use of retention policies retention policies for HSM systems G06F16/185
• CPC Class Codes: G06F 16/185 Hierarchical storage management [HSM] systems, e.g. file migration or policies thereof details of archiving G06F16/11
• CPC Class Codes: Y10S 707/99943 Generating database or data structure, e.g. via user interface

Abstract

Provided are a method, system, and program for receiving a request to remove a record. A determination is made as to whether a state associated with the record includes at least one hold state and whether the state associated with the record includes at least a retention period that has not expired. The request to remove the record is denied in response to determining that the state associated with the record includes at least one of at least one hold state and one retention period that has not expired.

Claims

1. A method, comprising:

receiving a request to remove a record;

determining whether a state associated with the record includes at least one hold state;

determining whether the state associated with the record includes at least a retention period that has not expired; and

denying the request to remove the record in response to determining that the state associated with the record includes at least one state comprising;

at least one hold state and/or one retention period that has not expired.

2. The method of claim 1, wherein the at least one hold state includes at least one of an audit state, a legal state, and a permanent hold state, wherein the audit state is applied if the record is involved in an organizational audit, wherein the legal state is applied if the record is involved in a regulatory action, and wherein the permanent hold state applies once specified.

3. The method of claim 1, wherein at least one state capable of being associated with the record includes both one retention period and at least one hold.

4. The method of claim 1, further comprising:

determining whether the state associated with the record includes an event state specifying an event condition, wherein the request is denied if the state associated with the record includes the event state whose event condition has not been satisfied.

5. The method of claim 4, wherein at least one state includes at least two of the states comprising:

the event state, at least one hold state, and one retention period.

6. The method of claim 5, further comprising:

receiving indication that the event condition for the event state associated with the record is satisfied; and

initiating a retention period for the record associated with the event state in response to detecting the satisfaction of the event condition, wherein the record is associated with one state including the retention period in response to satisfying the event condition.

7. The method of claim 6, wherein the record associated with the retention period state after the event condition is satisfied is capable of further being associated with at least one hold state.

8. The method of claim 1, further comprising:

associating one record with one state including at least one of an event condition, retention period, and hold when the record is in the state including an expired retention period.

9. The method of claim 8, further comprising:

associating one record with at least one hold; and

associating the record associated with the at least one hold with one state including the associated at least one hold and at least one event condition or retention period included in the state associated with the record prior to associating the hold with the record.

10. The method of claim 1, further comprising:

allowing the removal of the record in response to determining that the state associated with the record does not include one unexpired retention period and one hold.

11. The method of claim 1, further comprising:

receiving a request to purge metadata associated with one record;

determining whether the record subject to the requested purge is associated with one state where the record was removed; and

allowing the purging of the metadata if the record subject to the purge is associated with one state where the record was removed.

12. The method of claim 1, wherein the state is associated with records in a directory to which the state applies or wherein a separate state is associated with each record.

13. A method, comprising:

receiving a request to remove a record;

determining whether a state associated with the record includes at least one event state;

determining whether the state associated with the record includes at least a retention period that has not expired; and

denying the request to remove the record in response to determining that the state associated with the record includes at least one of the states comprising;

the event state and one retention period that has not expired.

14. The method of claim 13, wherein a minimum event retention period is associated with one event associated with the record, wherein determining whether the state associated with the record includes one event state further comprises:

determining whether an event condition associated with the event has occurred; and

determining whether the event state has applied longer than the minimum event retention period for the event in response to determining that the event condition has occurred, wherein the event state applies and the request is denied if the event condition has not occurred or if the event state has not applied longer than the minimum retention period.

15. A system, comprising:

a plurality of records;

a processor;

a computer readable storage medium including code executed by the processor to cause operations, the operations comprising;

(i) receiving a request to remove one of the plurality of records;

(ii) determining whether a state associated with the record includes at least one hold state;

(iii) determining whether the state associated with the record includes at least a retention period that has not expired; and

(iv) denying the request to remove the record in response to determining that the state associated with the record includes at least one of the states comprising;

of at least one hold state and one retention period that has not expired.

16. The system of claim 15, wherein the at least one hold state includes at least one of an audit state, a legal state, and a permanent hold state, wherein the audit state is applied if the record is involved in an organizational audit, wherein the legal state is applied if the record is involved in a regulatory action, and wherein the permanent hold state applies once specified.

17. The system of claim 15, wherein at least one state capable of being associated with the record includes both one retention period and at least one hold.

18. The system of claim 15, wherein the operations further comprise:

determining whether the state associated with the record includes an event state specifying an event condition, wherein the request is denied if the state associated with the record includes the event state whose event condition has not been satisfied.

19. The system of claim 18, wherein at least one state includes at least two of the states comprising:

the event state, at least one hold state, and one retention period.

20. The system of claim 19, wherein the operations further comprise:

receiving indication that the event condition for the event state associated with the record is satisfied; and

initiating a retention period for the record associated with the event state in response to detecting the satisfaction of the event condition, wherein the record is associated with one state including the retention period in response to satisfying the event condition.

21. The system of claim 20, wherein the record associated with the retention period state after the event condition is satisfied is capable of further being associated with at least one hold state.

22. The system of claim 15, wherein the operations further comprise:

associating one record with one state including at least one of an event condition, retention period, and hold when the record is in the state including an expired retention period.

23. The system of claim 15, wherein the operations further comprise:

associating one record with at least one hold; and

associating the record associated with the at least one hold with one state including the associated at least one hold and at least one event condition or retention period included in the state associated with the record prior to associating the hold with the record.

24. The system of claim 15, wherein the operations further comprise:

allowing the removal of the record in response to determining that the state associated with the record does not include one unexpired retention period and/or one hold state.

25. The system of claim 15, wherein the operations further comprise:

receiving a request to purge metadata associated with one record;

determining whether the record subject to the requested purge is associated with one state including a removal of the record; and

allowing the purging of the metadata if the record subject to the purge is associated with one state where the record was removed.

26. A system, comprising:

a plurality of records;

a processor;

a computer readable storage medium including code executed by the processor to cause operations, the operations comprising;

(i) receiving a request to remove a record;

(ii) determining whether a state associated with the record includes at least one event state;

(iii) determining whether the state associated with the record includes at least a retention period that has not expired; and

(iv) denying the request to remove the record in response to determining that the state associated with the record includes at least one state comprising;

the event state and one retention period that has not expired.

27. The system of claim 26, wherein a minimum event retention period is associated with one event associated with the record, wherein determining whether the state associated with the record includes one event state comprises:

determining whether an event condition associated with the event has occurred; and

determining whether the event state has applied longer than the minimum event retention period for the event in response to determining that the event condition has occurred, wherein the event state applies and the request is denied if the event condition has not occurred or if the event state has not applied longer than the minimum retention period.

28. An article of manufacture comprising a tangible medium including code executed to cause operations to be performed with respect to managing a retention policy with respect to records, the operations comprising:

receiving a request to remove one record;

determining whether a state associated with the record includes at least one hold state;

determining whether the state associated with the record includes at least a retention period that has not expired; and

denying the request to remove the record in response to determining that the state associated with the record includes at least one state comprising;

at least one hold state and one retention period that has not expired.

29. The article of manufacture of claim 28, wherein the at least one hold state includes at least one of an audit state, a legal state, and a permanent hold state, wherein the audit state is applied if the record is involved in an organizational audit, wherein the legal state is applied if the record is involved in a regulatory action, and wherein the permanent hold state applies once specified.

30. The article of manufacture of claim 28, wherein at least one state capable of being associated with the record includes both one retention period and at least one hold.

31. The article of manufacture of claim 28, wherein the operations further comprise:

determining whether the state associated with the record includes an event state specifying an event condition, wherein the request is denied if the state associated with the record includes the event state whose event condition has not been satisfied.

32. The article of manufacture of claim 31, wherein at least one state includes at least two states comprising:

the event state, at least one hold state, and one retention period.

33. The article of manufacture of claim 32, wherein the operations further comprise:

receiving indication that the event condition for the event state associated with the record is satisfied; and

initiating a retention period for the record associated with the event state in response to detecting the satisfaction of the event condition, wherein the record is associated with one state including the retention period in response to satisfying the event condition.

34. The article of manufacture of claim 33, wherein the record associated with the retention period state after the event condition is satisfied is capable of further being associated with at least one hold state.

35. The article of manufacture of claim 28, wherein the operations further comprise:

associating one record with one state including at least one of an event condition, retention period, and hold when the record is in the state including an expired retention period.

36. The article of manufacture of claim 35, wherein the operations further comprise:

associating one record with at least one hold; and

associating the record associated with the at least one hold with one state including the associated at least one hold and at least one event condition or retention period included in the state associated with the record prior to associating the hold with the record.

37. The article of manufacture of claim 28, wherein the operations further comprise:

allowing the removal of the record in response to determining that the state associated with the record does not include one unexpired retention period and one hold.

38. The article of manufacture of claim 28, wherein the operations further comprise:

receiving a request to purge metadata associated with one record;

determining whether the record subject to the requested purge is associated with one state where the record was removed; and

allowing the purging of the metadata if the record subject to the purge is associated with one state including the removal of the record.

39. The article of manufacture of claim 28, wherein the state is associated with records in a directory to which the state applies or wherein a separate state is associated with each record.

40. An article of manufacture comprising a tangible medium including code that is executed to cause operations to be performed with respect to managing a retention policy with respect to records, the operations comprising:

receiving a request to remove one record;

determining whether a state associated with the record includes at least one event state;

determining whether the state associated with the record includes at least a retention period that has not expired; and

denying the request to remove the record in response to determining that the state associated with the record includes at least one state comprising;

the event state and one retention period that has not expired.

41. The article of manufacture of claim 40, wherein a minimum event retention period is associated with one event associated with the record, wherein determining whether the state associated with the record includes one event state further comprises:

determining whether an event condition associated with the event has occurred; and

determining whether the event state has applied longer than the minimum event retention period for the event in response to determining that the event condition has occurred, wherein the event state applies and the request is denied if the event condition has not occurred or if the event state has not applied longer than the minimum retention period.