System and method for managing legal obligations for data

• US 9,830,563 B2
• Filed: 06/27/2008
• Issued: 11/28/2017
• Est. Priority Date: 06/27/2008
• Status: Active Grant

• Current Assignee: Breakwater Solutions LLC
• Original Assignee: International Business Machines Corporation
• Inventors: Paknad, Deidre
• Primary Examiner(s): Ouellette, Jonathan
• Application Number:
  US12/215,866
• Publication Number:
  US 20090327021A1
• Time in Patent Office: 3,441 Days
• Field of Search: 705 1, 705 11-920
• CPC Class Codes: G06Q 10/06 Resources, workflows, human or project management; Enterprise or organisation planning; Enterprise or organisation modelling
• CPC Class Codes: G06Q 10/0633 Workflow analysis
• CPC Class Codes: G06Q 10/10 Office automation; Time management
• CPC Class Codes: G06Q 10/105 Human resources
• CPC Class Codes: G06Q 50/18 Legal services
• CPC Class Codes: G06Q 50/184 Intellectual property management

Abstract

Systems and methods for managing legal obligations for data are provided. In exemplary embodiments, an information portal is established which provides a visual interface of legal obligations and workflow required to be administered by IT personnel. At least one legal obligation may be determined. Based on the legal obligation, workflow for performing the legal obligations is generated for IT personnel. The workflow may comprise instructions to personnel responsible for data management of one or more affected systems containing the data. The instructions are then provided via the information portal.

Claims

1. A method for managing legal obligations for data associated with a matter, comprising:

determining, by at least one processor, at least one legal obligation with respect to the matter based at least in part on utilizing an enterprise map that comprises relationships between objects that represent data in an enterprise;

generating, by the at least one processor, a workflow for performing the at least one legal obligation, the workflow providing instructions to personnel responsible for data management of one or more affected systems containing the data associated with the matter, the instructions being provided in a context of actions to be performed on the one or more affected systems;

performing, by a conflicts module executing on the at least one processor a conflicts check of legal obligations across all matters to determine one or more conflicts in legal obligations for the personnel;

in response to receiving, by the at least one processor, a criteria that specifies at least one of;

an affected system of interest and a matter of interest;

determining, by a cross-check module executing on the at least one processor, matters associated with the criteria and

performing, by the cross-check module executing on the at least one processor, a cross-check of correlations between legal obligations across the matters associated with the criteria to determine an overlap between a first legal obligation and a second legal obligation for the personnel for a matter in the matters associated with the criteria;

providing, by a portal module executing on the at least one processor, the instructions to the personnel via an information portal which provides a visual interface that displays in a single location all legal obligations to be performed by the personnel including the at least one legal obligation, all workflows for the personnel including the workflow, an indication of the one or more conflicts in legal obligations for the personnel, an indication of the overlap between a first legal obligation and a second legal obligation for the personnel for the matter and one or more retention schedules for the one or more affected systems in a single location for the personnel, wherein the indication of the overlap between the first legal obligation and a second legal obligation for the personnel for the matter includes an indication that the first legal obligation remains in effect for the personnel for the matter after removal of the second legal obligation; and

providing, by the information portal executing on the at least one processor, an ability for the personnel to reroute conflicted legal obligations indicated by the information portal for review.

2. The method of claim 1 wherein determining the at least one legal obligation comprises determining, by the at least one processor, the personnel responsible for data management.

3. The method of claim 1 wherein determining the at least one legal obligation comprises determining, by the at least one processor, the one or more affected systems.

4. The method of claim 1 wherein determining the at least one legal obligation comprises determining, by the at least one processor, affected entities for the matter, the affected entities possessing the data associated with the legal matter.

5. The method of claim 1 wherein the generating workflow comprises generating, by the at least one processor, preservation instructions for the personnel responsible for data management in terms of the affected systems managed by the personnel.

6. The method of claim 1 wherein generating the workflow comprises generating, by the at least one processor, collection instructions for the personnel responsible for data management in terms of the affected systems managed by the personnel.

7. The method of claim 1 wherein generating the workflow comprises generating, by the at least one processor, retention instructions based on retention policies for the personnel responsible for data management in terms of the affected systems managed by the personnel.

8. The method of claim 1 wherein generating the workflow comprises generating, by the at least one processor, disposal instructions for the personnel responsible for data management in terms of the affected systems managed by the personnel.

9. The method of claim 1 wherein generating the workflow comprises generating, by the at least one processor, data handling and transportation instructions for the personnel responsible for data management in terms of the affected systems managed by the personnel.

10. The method of claim 1 wherein generating the workflow comprises generating, by the at least one processor, instructions associated with privacy laws for the personnel responsible for data management in terms of the affected systems managed by the personnel.

11. The method of claim 1 further comprising performing, by the at least one processor, a cross-check of legal obligations across all matters.

12. The method of claim 1 further comprising automatically resolving, by the conflicts module executing on the at least one processor, the one or more conflicts.

13. The method of claim 1 further comprising flagging, by the at least one processor, the one or more conflicts on the information portal.

14. The method of claim 1 further comprising performing, by the at least one processor, a compliance check to detect non-compliance of legal obligations to key attributes.

15. The method of claim 1 further comprising monitoring, by the at least one processor, the workflow for completion.

16. The method of claim 1 further comprising flagging, by the at least one processor, workflow that is due or overdue.

17. The method of claim 1 wherein providing the instructions comprises providing, by the at least one processor, explicit instructions in a different context then implicit instructions.

18. A system for managing legal obligations for data associated with a matter, comprising:

at least one processor;

a derivation module executing on the at least one processor and configured to determine at least one legal obligation with respect to the matter based at least in part on utilizing an enterprise map that comprises relationships between objects that represent data in an enterprise;

a workflow module executing on the at least one processor and configured to generate a workflow for performing the at least one legal obligation, the workflow providing instructions to personnel responsible for data management of one or more affected systems containing the data stored on digital storage media, the instructions being provided in a context of actions to be performed on the one or more affected systems;

a conflicts module executing on the at least one processor and configured to perform a conflicts check of legal obligations across all matters to determine one or more conflicts in legal obligations for the personnel;

a cross-check module executing on the at least one processor and configured to, in response to receiving a criteria that specifies at least one of;

an affected system of interest and a matter of interest;

determine matters associated with the criteria and

perform a cross-check of correlations between legal obligations across the matters associated with the criteria to determine an overlap between a first legal obligation and a second legal obligation for the personnel for a matter in the matters associated with the criteria; and

a portal module executing on the at least one processor and configured to provide the instructions to the personnel via an information portal which provides a visual interface that displays in a single location all legal obligations to be performed by the personnel including the at least one legal obligation, all workflows for the personnel including the workflow, an indication of the one or more conflicts in legal obligations for the personnel, an indication of the overlap between a first legal obligation and a second legal obligation for the personnel for the matter, and one or more retention schedules for the one or more affected systems in a single location for the personnel, wherein the indication of the overlap between the first legal obligation and a second legal obligation for the personnel for the matter includes an indication that the first legal obligation remains in effect for the personnel for the matter after removal of the second legal obligation, and wherein the information portal further provides an ability for the personnel to reroute conflicted legal obligations indicated by the information portal for review.

19. The system of claim 18 further comprising a notification module executing on the at least one processor and configured to track completion of the workflow and provide notification accordingly.

20. The system of claim 18 further comprising a cross-check module executing on the at least one processor and configured to perform a cross-check of legal obligations across all matters.

21. The system of claim 18 further comprising a compliance module executing on the at least one processor and configured to detect non-compliance of legal obligations to key attributes.

22. A machine readable medium having embodied thereon a program, the program providing instructions for a method for managing legal obligations for data associated with a matter that is executed by at least one processor, the method comprising:

determining at least one legal obligation with respect to the matter based at least in part on utilizing an enterprise map that comprises relationships between objects that represent data in an enterprise;

generating workflow for performing the at least one legal obligation the workflow providing instructions to personnel responsible for data management of one or more affected systems containing the data, the instructions being provided in a context of actions to be performed on the one or more system;

performing, by a conflicts module a conflicts check of legal obligations across all matters to determine one or more conflicts in legal obligations for the personnel;

in response to receiving a criteria that specifies at least one of;

an affected system of interest and a matter of interest;

determining, by a cross-check module, matters associated with the criteria and

performing, by the cross-check module, a cross-check of correlations between legal obligations across the matters associated with the criteria to determine an overlap between a first legal obligation and a second legal obligation for the personnel for a matter in the matters associated with the criteria;

providing the instructions to the personnel via an information portal which provides a visual interface that displays in a single location all legal obligations to be performed by the personnel including the at least one legal obligation, all workflows for the personnel including the workflow, an indication of the one or more conflicts in legal obligations for the personnel, an indication of the overlap between a first legal obligation and a second legal obligation for the personnel for the matter, and one or more retention schedules for the one or more affected systems in a single location for the personnel, wherein the indication of the overlap between the first legal obligation and a second legal obligation for the personnel for the matter includes an indication that the first legal obligation remains in effect for the personnel for the matter after removal of the second legal obligation; and

providing, by the information portal, an ability for the personnel to reroute conflicted legal obligations indicated by the information portal for review.