Active records management

• US 8,949,194 B1
• Filed: 03/30/2012
• Issued: 02/03/2015
• Est. Priority Date: 03/30/2012
• Status: Active Grant

• Current Assignee: Open Text Corporation
• Original Assignee: EMC Corporation (Dell Technologies Inc.)
• Inventors: Mehlum, Rune, Hansen, Geir
• Primary Examiner(s): Trujillo, James
• Assistant Examiner(s): Vu, Thong
• Application Number:
  US13/436,466
• Time in Patent Office: 1,040 Days
• Field of Search: 707/708, 707/104.1, 715/511
• US Class Current: 707/668
• CPC Class Codes: G05B 23/02 Electric testing or monitoring
• CPC Class Codes: G06F 16/20 of structured data, e.g. relational data
• CPC Class Codes: G06Q 10/10 Office automation; Time management
• CPC Class Codes: G06Q 50/18 Legal services

Abstract

Automated detection and management of electronic records is disclosed. An electronic content is detected. It is determined through automated processing of the electronic content that a records management policy applies to the electronic content. It is ensured through automated processing that the electronic content is stored as required by the records management policy.

Claims

1. A method of managing electronic records, comprising:

detecting an action with respect to an electronic content, wherein the electronic content is not previously associated with a first records management policy;

classifying, in response to detecting the action, the electronic content by applying one or more rules, wherein electronic content classified as a record within a predetermined degree of confidence is subject to the first records management policy;

in the event that the electronic content is determined to be a record within the predetermined degree of confidence, ensuring through automated processing that the at least one detected action with respect to the electronic content is in compliance with the first records management policy at least in part by;

in the event that the at least one detected action with respect to the electronic content is determined to be not in compliance with the first records management policy, prompting a user attempting the non-compliant action to indicate a reason for the non-compliant action;

determining whether to perform the non-compliant action based at least in part on the reason indicated by the user; and

determining a manner of providing the feedback communication that will most effectively modify a behavior of the user who attempted the detected non-compliant action to understand and learn how to store the electronic content compliantly in the event it is determined to not perform the non-compliant action based at least in part on the reason indicated by the user, wherein the feedback communication is provided directly to the user who attempted the detected non-compliant action.

2. The method of claim 1, wherein the feedback communication informs the user that the first records management policy applies to the electronic content.

3. The method of claim 2, wherein the feedback communication prompts the user to store the electronic content in compliance with the first records management policy.

4. The method of claim 1, wherein the electronic content is detected by an automated agent installed at a node at which the electronic content is detected.

5. The method of claim 4, further comprising deploying and configuring the agent at the node.

6. The method of claim 4, wherein the automated agent comprises an RSA data loss prevention agent.

7. The method of claim 1, wherein the feedback communication further comprises providing an alert, a report, a logged event, or other output data to a records administrator indicating that the user has attempted the detected non-compliant action.

8. The method of claim 1, wherein the electronic content comprises a computer file or other electronic document.

9. The method of claim 1, wherein the electronic content comprises a network or other communication.

10. The method of claim 1, further comprising receiving and storing the first records management policy.

11. The method of claim 1, further comprising receiving a designation of one or more active records management supervision nodes to be configured to detect electronic content to which the first records management policy applies.

12. The method as recited in claim 1, wherein the detected action is to create, save, or transmit the electronic content.

13. The method as recited in claim 1, wherein the electronic content is not previously identified as a record and is not subject to any records management policy.

14. The method as recited in claim 1, wherein the electronic content is a record that is previously subject to a second records management policy.

15. The method as recited in claim 1, wherein the first records management policy prescribes at least one of the following with respect to electronic content classified as a record:

a mandatory storage duration, location, format, and manner, and a mandatory manner of disposal.

16. The method as recited in claim 1, wherein the detecting of the action with respect to the electronic content includes detecting the action with respect to the electronic content based on regular expression matching, pattern matching, author identity, sender identity, receiver identity, attribute, content, associated metadata, or any combination thereof.

18. The system recited in claim 15, wherein the feedback communication informs the user that the first records management policy applies to the electronic content.

19. The system recited in claim 18, wherein the feedback communication prompts the user to store the electronic content in compliance with the first records management policy.

21. The system recited in claim 15, wherein the feedback communication further comprises providing an alert, a report, a logged event, or other output data to a records administrator indicating that the user has attempted the detected non-compliant action.

17. An active records management system, comprising:

a processor configured to;

detect an action with respect to an electronic content, wherein the electronic content is not previously associated with a first records management policy;

classify, in response to detecting the action, the electronic content by applying one or more rules, wherein electronic content classified as a record within a predetermined degree of confidence is subject to the first records management policy; and

in the event that the electronic content is determined to be a record within the predetermined degree of confidence, ensure through automated processing that the at least one detected action with respect to the electronic content is in compliance with the first records management policy including at least in part by;

providing feedback communication

in the event that the at least one detected action with respect to the electronic content is determined to be not in compliance with the first records management policy, prompt a user attempting the non-compliant action to indicate a reason for the non-compliant action;

determine whether to perform the non-compliant action based at least in part on the reason indicated by the user; and

determine a manner of providing the feedback communication that will most effectively modify a behavior of the user who attempted the detected non-compliant action to understand and learn how to store the electronic content compliantly in the event it is determined to not perform the non-compliant action based at least in part on the reason indicated by the user, wherein the feedback communication is provided directly to the user who attempted the detected non-compliant action; and

a memory coupled to the processor and configured to store the first records management policy.

20. The system recited in claim 17, wherein the processor executes computer instructions associated with an automated agent installed at a node at which the electronic content is detected.

22. The system recited in claim 17, wherein the processor is further configured to receive and store the first records management policy.

23. The system recited in claim 17, wherein the electronic content comprises a computer file or other electronic document.

24. The system recited in claim 17, wherein the electronic content comprises a network or other communication.

25. The system as recited in claim 17, wherein the detected action is to create, save, or transmit the electronic content.

26. The system as recited in claim 17, wherein the electronic content is not previously identified as a record and is not subject to any records management policy.

27. The system as recited in claim 17, wherein the electronic content is a record that is previously subject to a second records management policy.

28. The system as recited in claim 17, wherein the first records management policy prescribes at least one of the following with respect to electronic content classified as a record:

a mandatory storage duration, location, format, and manner, and a mandatory manner of disposal.

29. A computer program product to manage electronic records, the computer program product being embodied in a tangible and non-transitory computer readable storage medium and comprising computer instructions for:

detecting an action with respect to an electronic content, wherein the electronic content is not previously associated with a first records management policy;

classifying, in response to detecting the action, the electronic content by applying one or more rules, wherein electronic content classified as a record within a predetermined degree of confidence is subject to the first records management policy; and

in the event that the electronic content is determined to be a record within the predetermined degree of confidence, ensuring through automated processing that the at least one detected action with respect to the electronic content is in compliance with the first records management policy at least in part by;

in the event that the at least one detected action with respect to the electronic content is determined to be not in compliance with the first records management policy, prompting a user attempting the non-compliant action to indicate a reason for the non-compliant action;

determining whether to perform the non-compliant action based at least in part on the reason indicated by the user; and

determining a manner of providing the feedback communication that will most effectively modify a behavior of the user who attempted the detected non-compliant action to understand and learn how to store the electronic content compliantly in the event it is determined to not perform the non-compliant action based at least in part on the reason indicated by the user, wherein the feedback communication is provided directly to the user who attempted the detected non-compliant action.