Method And Apparatus For Propagation Of File Plans From Enterprise Retention Management Applications To Records Management Systems

• US 20110153578A1
• Filed: 12/22/2009
• Published: 06/23/2011
• Est. Priority Date: 12/22/2009
• Status: Active Grant

• Current Assignee: International Business Machines Corporation
• Original Assignee: International Business Machines Corporation
• Inventors: POGODIN, Andrey
• Granted Patent: US 8,250,041 B2
• Time in Patent Office: Days
• US Class Current: 707/694
• CPC Class Codes: G06F 16/258 Data format conversion from or to a database
• CPC Class Codes: G06Q 10/10 Office automation; Time management

Abstract

Integration between Enterprise Records Management systems (ERMs) and Records Management Systems (RMSs) is provided, thus providing a robust record classification and retention schedule enforcement process in large enterprises. Typically, ERMs have been designed from the ground up to be highly scalable across multiple national and regional jurisdictions, whereas RMS'"'"'s were primarily departmental. Proper integration between ERMs and RMSs, as provided by the invention, allows corporations to deploy larger scale multi-organizational instances of RMSs, thus achieving a better level of control and significant economies of scale.

Claims

1. A computer implemented method for propagation of file plans from an enterprise retention management system (ERM) to one or more records management systems (RMS), comprising the steps of:

providing a processor based RMS that is configured to store a plurality of records, said records comprising immutable documents with associated metadata, which need to be preserved for a certain period of time to meet companies'"'"' external (or internal) regulatory obligations;

providing a processor based ERM that is configured as a source of master data about record classification and record retention, said ERM configured to perform maintenance of record classes and retention/disposition rules and to propagate information to said RMS according to any of the following;

automatically via a connector between said ERM and said RMS;

semi-automatically via end user export of file plan information from said ERM in a form understood by RMS import tools; and

manually; and

said ERM configured to provide a mapping for translation between ERM and RMS objects to effect propagation of file plans which comprise a combination of a retention category tree, disposition schedules, and events, and which defines how records are stored and disposed of in a given RMS, from said ERM to said RMS.

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

said ERM configured to present said end user with a view of ERM objects translated into an RMS language to allow said end user to perform manual setup for an RMS.

3. The method of claim 1, said mapping further comprising the steps of:

translating ERM record classes within a classification of retention schedules to RMS record categories within a hierarchy of record categories set up within an RMS;

translating ERM retention schedule codes (RSCs) into next level record categories under those created from record classes;

translating ERM organization-specific retention schedules (ORSs) into next level record categories under those created from RSCs;

translating ERM disposition rules associated with ORSs into RMS disposition schedules;

mapping ERM event types to RMS event types; and

storing records only under a bottom level records category at an ORS level.

4. The method of claim 1, said mapping further comprising the step of:

said ERM creating a plurality of RMS objects, each comprising a bottom level record category and a disposition schedule associated with said bottom level record category, if there are disposition rules and organization-specific retention schedules for a plurality of entities associated with a particular ERM.

5. The method of claim 1, said mapping further comprising the step of:

said ERM creating two levels of record category objects;

one object level representing retention schedule codes (RSC record category) and one object level representing a top level organization-specific retention schedule (ORS) if for a certain ERM, a top level ORS and RSC is a same entity, wherein all local ORS record categories belong to an RSC record category.

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

said ERM propagating an organizational tree structure to said RMS, wherein only record categories which map to organization-specific retention schedules (ORSs) have an association with an organizational node.

7. The method of claim 6, further comprising the step of:

said RMS determining which record categories are relevant to a lower level of an organization within a known organizational tree if there is no organization-specific retention schedule-based records category for said record categories, wherein said RMS;

traverses one level up said organizational tree;

checks if there is any ORS-based record category associated with a parent organization; and

if not, repeats said traversing and checking steps until an ORS-based record category is found or a top level of said organization tree is reached; and

said RMS reconciling between an end user'"'"'s organization and an organization local schedule that belongs to said user'"'"'s organization;

wherein a complex corporate level tree of record categories is exposed as a relatively small sub-tree view applicable to said end user.

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

creating a subset of a corporate file plan applicable to a given instance of an RMS.

9. The method of claim 8, further comprising the steps of:

said ERM configured for determining which instances of said RMS contain records that belong to certain organization-specific retention schedules (ORSs) by querying data in an ERM database which describes an association between data source records and ORS records; and

said ERM configured for traversing up to retention schedule codes (RSCS) of said ERM, then traversing up to record classes, to identify a subset of an overall record categorization hierarchy once a list of ORSs is defined.

10. The method of claim 8, further comprising the step of:

said ERM passing only those disposition rules and events which are applicable to a given subset of a file plan.

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

filtering only a relevant part of a record category tree for a particular RMS to integrate said ERM into multi-RMS environments.

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

using ERM business aliases to simplify record search and declaration.

13. The method of claim 12, further comprising the steps of:

said ERM communicating business aliases and their associations with organization-specific retention schedules (ORSs) to said RMS; and

end users of said RMS performing record declaration or searching through said RMS by choosing a familiar business alias.

14. The method of claim 13, further comprising the step of:

said ERM configured for filtering a record category tree by organization.

15. The method of claim 12, further comprising the step of:

communicating said business aliases to end user applications when ingesting records through aid applications.

16. The method of claim 12, further comprising the step of:

exposing business aliases as folders or tags in legacy record migration tools.

17. The method of claim 12, further comprising the step of:

disambiguating end user aliases by any of;

grouping said aliases into a hierarchy in which record category names or identifiers are presented as parent nodes of said hierarchy; and

prefixing or suffixing said aliases with a records category name or identifier always or whenever an ambiguity exists.

23. A computer readable, tangible storage medium programmed to store instructions which, when executed by a processor, execute the method of any of claims 1, 19, and 20.

18. A computer implemented apparatus for propagation of file plans from an enterprise retention management system (ERM) to one or more records management systems (RMS), comprising:

a processor based RMS that is configured to store a plurality of records, said records comprising immutable documents with associated metadata, which need to be preserved for a certain period of time to meet companies'"'"' external (or internal) regulatory obligations;

a processor based ERM that is configured as a source of master data about record classification and record retention, said ERM configured to perform maintenance of record classes and retention/disposition rules and to propagate information to said RMS according to any of the following;

automatically via a connector between said ERM and said RMS;

semi-automatically via end user export of file plan information from said ERM in a form understood by RMS import tools; and

manually; and

a mapping for translation between ERM and RMS objects to effect propagation of file plans which comprise a combination of a retention category tree, disposition schedules, and events, and which defines how records are stored and disposed of in a given RMS, from said ERM to said RMS.

19. A computer implemented method for propagation of information from an enterprise retention management system (ERM) to one or more records management systems (RMSs) configured to store a plurality of records, said records comprising immutable documents with associated metadata, which need to be preserved for a certain period of time to meet companies'"'"' external (or internal) regulatory obligations, comprising the steps of:

providing a processor based ERM that is configured as a source of master data about record classification and record retention, said ERM configured to perform maintenance of record classes and retention/disposition rules and to propagate information to said RMS; and

said ERM configured to provide a mapping for translation between ERM and RMS objects to effect propagation of file plans which comprise a combination of a retention category tree, disposition schedules, and events, and which defines how records are stored and disposed of in a given RMS, from said ERM to said RMS.

20. A computer implemented method for propagation of file plans from an enterprise retention management system (ERM) that is configured as a source of master data about record classification and record retention, said ERM configured to perform maintenance of record classes and retention/disposition rules and to propagate information to one or more records management systems (RMS), comprising the steps of:

providing a processor based RMS that is configured to store a plurality of records, said records comprising immutable documents with associated metadata, which need to be preserved for a certain period of time to meet companies'"'"' external (or internal) regulatory obligations; and

providing a mapping for translation between ERM and RMS objects to effect propagation of file plans which comprise a combination of a retention category tree, disposition schedules, and events, and which defines how records are stored and disposed of in a given RMS, from said ERM to said RMS.

21. An apparatus for propagation of information from an enterprise retention management system (ERM) to one or more records management systems (RMSs) configured to store a plurality of records, said records comprising immutable documents with associated metadata, which need to be preserved for a certain period of time to meet companies'"'"' external (or internal) regulatory obligations, comprising:

a processor based ERM that is configured as a source of master data about record classification and record retention, said ERM configured to perform maintenance of record classes and retention/disposition rules and to propagate information to said RMS; and

a processor based mapping for translation between ERM and RMS objects to effect propagation of file plans which comprise a combination of a retention category tree, disposition schedules, and events, and which defines how records are stored and disposed of in a given RMS, from said ERM to said RMS.

22. An apparatus for propagation of file plans from an enterprise retention management system (ERM) that is configured as a source of master data about record classification and record retention, said ERM configured to perform maintenance of record classes and retention/disposition rules and to propagate information to one or more records management systems (RMS), comprising:

a processor based RMS that is configured to store a plurality of records, said records comprising immutable documents with associated metadata, which need to be preserved for a certain period of time to meet companies'"'"' external (or internal) regulatory obligations; and

a processor based mapping for translation between ERM and RMS objects to effect propagation of file plans which comprise a combination of a retention category tree, disposition schedules, and events, and which defines how records are stored and disposed of in a given RMS, from said ERM to said RMS.