JP4166704B2 - Lifecycle management engine - Google Patents

Description

  The present invention relates to a system for managing electronic records. Specifically, the present invention relates to an engine that manages the storage and disposal of electronic records.

  A typical record management system consists of a database, each with items associated with a respective electronic record. Each item typically includes fields that identify the title, author, publication date, subject, status, and location of the associated record. In addition, each entry can also include a record retention data field that identifies the time period after which the record must be archived to storage and the time period after which the archived record must be discarded.

  Typically, record management systems have been used to manage libraries of paper or other tangible documents. However, in response to the proliferation of electronic documents such as word processing documents, spreadsheet documents, drawing documents, and e-mails, attempts have been made to provide software solutions that manage electronic records, including storage and disposal.

  For example, in 1993, Mutou (US Pat. No. 5,379,423) described a computer-based information life cycle management system, which includes an information management program and a terminal from which a user can issue processing requests. A data processing storage space for storing information objects having a specific life cycle state, and a storage device for storing information related to the information objects. The information stored includes the owner of each information object, the users authorized to use each information object, the parent-child information object hierarchy of each information object, and the life cycle data (life cycle state, Such as the condition or timing of object transformation between states, and life cycle state sequences). The disclosed life cycle states include the approved state (the object content is approved but the object content is not yet allowed to use), the open state (the object content is allowed to be used) , A sealed state (use of object contents by a person other than the owner is prohibited), and an aborted state (object is deleted).

  Upon receipt of a processing request from the terminal, such as a request to define an object, the information management program presents the object list to the user, thereby allowing the user to view the information object hierarchy, life cycle information, user, and You can specify information about the created object, such as its access privileges. Thereafter, when the information management program receives an access request or a state conversion request, the information management program performs the requested operation if the operation follows the owner / user information and the life cycle information. When the information management program executes state conversion related to the information object in response to the state conversion request from the terminal, the information management program is required for the child information object or the parent information object determined by the parent-child hierarchy of the object. It also performs all of the life cycle transformations and moves each information object to the storage space associated with its new lifestyle state. When the information object is converted into the aborted state, the information management program also deletes the information object.

  In 1995, Johnson (US Pat. No. 5,831,309) published a data filter to process incoming electronic records, one or more permanent storage devices (eg, WORM platters) to store the records, and a database containing information related to the records And a computer-based information location management system including a record manager interface. The patent owner describes the hierarchical filing structure of the record, including a “cabinet” that represents the physical storage location, a “case type” that represents the file type (eg, contract), and a parent case type specification. A “case” representing an instance of “a”, a “folder” representing a logical filing unit within the “case”, and a “document” authoring individual documents within the “folder”.

  The data filter is configured to receive electronic records that include scanned images, word processing files, and audio data. Upon receipt of the electronic record, the data filter verifies that the record header contains appropriate filing data and index data (eg, physical storage location, date / time, stored data). The data filter adds tags used by the database to track the storage location and stored data associated with the record. Received records, either automatically or through operator intervention, store the records in one of the “permanent” storage devices and update the database with the stored data and the location of the records in the filing structure By doing so, it is “proved”. To facilitate subsequent deletion of records from permanent storage, records with similar retention periods are stored on the same physical storage device.

  Periodically, the record manager uses the interface to query the database for a list of all records that have a discard date prior to the query date. The record manager can change the saved data for all of the listed records and delete any or all of the listed records from permanent storage. If any of the records are stored offsite, the record manager issues a command to offsite storage requesting that the specified electronic record be deleted. Upon receipt of confirmation that the specified record has been deleted, the record manager updates the database to reflect the deletion.

  Mutou and Johnson describe a complete solution for managing electronic records from start to delete, but records must be copied outside the created environment. Mutou discloses that this step is necessary to provide efficient data processing of records, but Johnson allows the court to assess the knowledge and skills of the individual who kept the record. Thus, it is disclosed that it is necessary to be able to assess rules regarding the admissibility of stored records. As a result, both Mutou and Johnson must implement access protocols and corresponding user interfaces to prevent unauthorized access to stored records. Because the software environment used to create the record typically has its own access protocol and its own user interface, these solutions unnecessarily increase the necessary computing resources. To do.

In addition, Johnson discloses that records can be automatically verified for use by an information management program, but automatic verification reaches the data filter where the records already carry the appropriate filing data and index data. I need that. Johnson discloses that records are stored in a hierarchical filing structure, so the user must be familiar with the operation of the information management program in order to provide at least the required filing data. This requirement precludes the adoption of information management programs, especially by users who are reluctant to learn multiple user interfaces.
US Pat. No. 5,379,423 U.S. Pat.

  Thus, there remains a long-standing need for a satisfactory management system for managing electronic records.

According to a first aspect of the present invention, there is provided a method for managing electronic records using a file plan including a file plan node having an associated retention rule, comprising: (1) managed by an application program uniquely associated with that record, and a step of a record identifier that includes the profile data of the associated record received through the network, (2) receiving the file plan node file plan in accordance with the relevant profile data a step of filing the record identifier taken, (3) from said retention rules, determining the life cycle state of records the management, (4) because physicians records the application program is the management Transition to the life cycle state Sending a life cycle instruction requesting over the network to provide a method for managing electronic records.

  A computer readable medium carrying processing instructions for a computer is also provided that, when loaded on a computer, causes the computer to execute the sequence of steps shown above.

  According to a second aspect of the present invention, a computer-based electronic record management engine is provided that facilitates life cycle management of records managed by an application program. The record management engine includes receiving means, filing means, determining means, and providing means. The receiving means is configured to receive a record identifier related to a record managed by the application program, and the record identifier includes profile data of the related record. The filing means is configured to file the received record identifier in a file plan file plan node according to the associated profile data, each file plan node having an associated life cycle rule Have The determining means is configured to determine the life cycle state of the record to be managed from the life cycle rule. The providing means is configured to provide a life cycle instruction requesting that the application program transition the managed record to a respective life cycle state.

  There is also provided a computer readable medium carrying processing instructions for a computer that, when loaded into the computer, defines the aforementioned receiving means, filing means, determining means, and providing means within the computer.

  According to a third aspect of the present invention, a record manager is provided that manages the life cycle phases of records managed by an application program. The record manager communicates with the host application program over the network, and the record manager includes a file plan database, a record management engine, and an application program interface. The file plan database includes at least one file plan node, each file plan node having a life cycle rule. The record management engine includes filing means and determination means. The filing means files the record identifier in the file plan object according to the record profile data received via the network. The determining means is configured to track changes in the life cycle phase of the record from the life cycle rules. The application program interface is configured to communicate with the record management engine and to send an indication of life cycle phase changes over the network to the host application program.

  According to a fourth aspect of the invention, a computer-based electronic record management engine is provided that facilitates life cycle management of records managed by an application program. The record management engine communicates with a host application program via a network, and includes a database interface, filing means for communicating with the database interface, determination means for communicating with the database interface, and filing means and An application program interface that communicates with the determining means is included. The database interface is used to access a file plan database having at least one file plan node, each file plan node having a life plan for the object associated with that file plan node. Contains life cycle preservation rules that determine cycle phase changes. The filing means filing the record identifier in each file plan node according to the record's respective profile, the profile being received over the network. The determination means tracks the change in the life cycle phase of the record from the life cycle rule. The application program interface is configured to send an indication of life cycle phase changes over the network to the host application program.

  There is also provided a computer readable medium carrying processing instructions for a computer that, when loaded into the computer, defines the aforementioned database interface, filing means, determination means, and application program interface within the computer.

  According to a fifth aspect of the present invention, a computer-based management engine is provided that manages the life cycle phases of electronic records managed by a host application program. The management engine is configured to communicate with a host application program over a network, and the management engine includes an interface for accessing a file plan database, filing means, and determining means. Both means communicate with the interface. The interface is used to access a file plan database having at least one file plan node, each file plan node having a life cycle of the object associated with that file plan node. Contains life cycle preservation rules that determine phase changes. The filing means files the record identifier to the respective file plan node according to the respective record profile received from the application program via the network. The judging means transitions the managed record between different life cycle phases according to each life cycle rule.

  There is also provided a computer readable medium carrying processing instructions for a computer that, when loaded into the computer, defines the aforementioned database interface, filing means, determination means, and application program interface within the computer.

  According to a sixth aspect of the present invention, a computer-based electronic record management engine is provided that facilitates life cycle management of records managed by an application program. The record management engine communicates with the host application program via the network. The record management engine communicates with the database interface, definition means for communicating with the database interface, filing means for communicating with the database interface, and database. A determination means and an application program interface that communicates with the definition means, the filing means, and the determination means are included. The database interface is used to access a file plan database having at least one file plan node, each file plan node having a life plan for the object associated with that file plan node. Contains life cycle preservation rules that determine cycle phase changes. The defining means defines a file plan including at least one file plan node including a parent-child node, a file plan object class, at least one file plan attribute, and a life cycle retention rule. The filing means files the record identifier to each file plan node according to the record's respective profile, and the profile is received over the network. The determination means tracks the change in the life cycle phase of the record from the life cycle rule. The application program interface is configured to send an indication of life cycle phase changes over the network to the host application program.

  There is also provided a computer readable medium carrying processing instructions for a computer that, when loaded into the computer, defines the aforementioned database interface, filing means, determination means, and application program interface within the computer.

  The invention will now be described by way of example with reference to the accompanying drawings.

  Turning to FIG. 1, an electronic record management system, generally designated 100, has a life cycle of records managed by at least one computer terminal 102, host computer server 104, and host computer server 104. It is illustrated as including a record management server 200 to be managed and a communication network 108. The communication network 108 includes a network that facilitates communication between the computer terminal 102 and the host server 104, between the computer terminal 102 and the record management server 200, and between the host server 104 and the record management server 200. Is preferred. However, instead, the functions of the host server 104 and the record management server 200 are implemented on a common computer server together with the communication network 108 to simply facilitate communication between the computer terminal 102 and the computer server. Can do. Further, the communication network 108 can be omitted completely, and the functions of the computer terminal 102, the host server 104, and the record management server 200 can be implemented on a single computer.

  The record management system 100 also includes a file plan database 110 that can be accessed by the record management server 200. Normally, the record management server 200 accesses the file plan database 110 via the communication network 108. However, in order to enhance the security, the file plan database 110 is stored in the same computer computer as the record management server 200. It can be provided in the server.

  Although the host server 104 includes a secure database 112 of computer records, the record database 112 may be located on a separate secure file server accessible by the host server 104. Computer records typically include word processing documents, spreadsheet documents, desktop publishing documents, and multimedia files, but computer records can be executed by executable computer code, databases, or computer terminals 102. Any accessible electronic data can also be included. The database 112 preferably also includes one or more profile data items for each record, such as title, author, publication date, and record subject.

  The host server 104 is configured with a computer application program 114 that communicates with the host server database 112 and provides a user of the computer terminal 102 with access to the computer records of the host server database 112. For extensibility, the host application program 114 is a web-based or n-tier distributed application, and each computer terminal 102 provides a user of the computer terminal 102 with a stateless interface to the host server 104, such as a web browser. It is preferable to be configured with application software that provides

  Typically, the host application program 114 maintains a database of user accounts (including usernames and passwords) and group definitions that provide computer terminal users with controlled access to computer records. The record management server 200 uses the user and group account information maintained by the host application program 114 to inform the user of the computer terminal 102 to the record management server 200 (via the host application program 114). Provide controlled access. However, in one variation, the host application program 114 does not maintain individual user or group accounts, and the host application program 114 accesses the record management server 200 via a “guest” account. In this case, the record management server 200 cannot impose restrictions on the record management server 200 on a user-by-user basis.

  Preferably, the record management server 200 communicates with the host application program 114 using a COM component or a simple object access protocol (SOAP) component. As a result, the host application program 114 preferably includes an interface 116 that can interact with COM objects or SOAP compliant objects. Further, the record management server 200 is preferably a Windows (R) 2000-based server, and in this case, the host application program 114 must be operable in a Windows (R) 2000 Server environment.

  The host application program 114 implements the following function calls.

Accession:
The record management server 200 calls this function when the life cycle of the record managed by the host server 104 is exhausted, and this time when the record is transferred to an external authority for permanent archiving. It is. In response, the host application program 114 copies the record to the record management server transfer directory specified by the function call. In order to ensure that there are no conflicts in the transfer directory, the host application program 114 places a record in the transfer directory in the HostId. HostRecordId. Store with the name ext. Where HostId is the unique HostID of the host application program 114, HostRecordId is the unique id of the item in the host server 104, and ext is the native extension of the host record (eg, doc, eml, xml) Etc.).

  After the host record is copied to the transfer directory, the host application program 114 deletes the record from the host server 104. The host application program 114 provides the record management server 200 with the complete path to the record in the transfer directory and the profile data that the host application program 114 initially associated with the record in the host server database 112. Supply an XML data structure that specifies the item.

Delete (delete):
The record management server 200 calls this function to notify the host application program 114 that the record management server 200 no longer tracks the life cycle state of the record specified in this function call. In response, the host application program 114 preferably deletes the record from the host server database 112, but the host application program 114 may choose not to do this.

Destroy:
The record management server 200 calls this function when the life cycle of the record managed by the host server 104 is exhausted, and this time permanently deletes the record from the host server database 112. It's time. In response, the host application program 114 preferably deletes the record from the host server 104, but the host application program 114 may choose not to do this. The host application program 114 first associates the record management server 200 with the complete path to the record in the host server database 112 and the host application program 114 first associates with the record in the host server database 112. An XML data structure specifying the specified profile data item is supplied.

GroupList (group list):
The record management server 200 calls this function to obtain an XML list of user groups used by the host application program 114. The record management server 200 uses this information to establish group security access within the record management server 200.

UserList (user list):
The record management server 200 calls this function to obtain an XML list of users who are allowed to use the host application program 114. The record management server 200 uses this information to establish user security access within the record management server 200.

TransitionToPhase (transition to phase):
The record management server 200 uses this function to notify the host application program 114 that the record specified by this function call has transitioned from one life cycle phase to another. call. This function can optionally specify that the host application program 114 should copy the specified record to the directory specified in this function call.

UnRegister:
The record management server 200 calls this function when the user deletes the file plan object 122 from the file plan, and the host application program 114 no longer causes the life cycle of the associated record to be updated by the record management server 200. Specifies that it should not be considered managed.

Referring to FIG. 2, the file plan database 110 is implemented as an SQL database, and the file plan database 110 includes records that define the file plan of the record management system 100. A file plan is a hierarchical arrangement of nodes that is used to categorize electronic records managed by the host application program 114 into an arrangement that reflects the desired criteria. For each file plan node 120, the administrator specifies the parent and child nodes 120 a, 120 b , the file plan object 122, the file plan attribute 124, the life cycle code 126, and the suspension status 128 to specify a file file. Plans can be created or implemented. For example, nodes can be organized in a subject-based hierarchy (eg, subject, author, title) or in a location-based hierarchy (eg, warehouse, aisle, filing cabinet) and the physical of the corresponding physical record The target position can be reflected.

  There are four steps in defining a file plan in the file plan database 110. (1) the definition of the “view” of the file plan, (2) the component or file plan object 122 containing the file plan, (3) the relationship between these components, and (4) the associated component Is a rule that determines the form of interaction.

A file plan view describes the way information is organized. This is a set of relationships between the components that make up the file plan. For example, the US Army Marks file plan consists of four types of components: Record Series (Record Series), Record Categories (Record Category), Folders (Folders), and Records (Records). Each of these defines a class of information that is continuously narrowed. There is a single hierarchical thread that begins with a record series and ends with a folder. This same information can be organized in alternative forms or views. For example, it can be organized according to the physical location of the records: Building, Floor, Aisle, Shelf, and Folder. The above two example folders are stored in a hierarchical file plan, that is, file plan components or file plan objects 122 are related in a parent-child relationship with each other. Engine is to support multiple hierarchical views and non-hierarchical view, these views may be assumed that or separate overlapping with respect to the file plan component contained therein.

A file plan component defines a class of information that is stored in the file plan. Each file plan includes at least one component. There is no limit to the number of components that a file plan creator can define. The components that make up the file plan, class information is defined. Each component in the file plan has a different name, property, and behavior. The user can specify file plan component definitions that make up the file plan. A file plan component definition has a set of properties that determine the behavior of the file plan component. These properties include name and primary view. A name is a unique identifier that distinguishes a particular type of file plan component from different types of components. Examples of file plan component definition names include Record Series, Record Categories, Folders, and Records. A primary view is a file plan view in which all file plan components must reside.

  Different types of file plan components have different sets of file plan attributes 124 that are used to provide additional information about the file plan component. For example, if a file plan includes a file plan object 122 called “Folder”, an unlimited number of folders can be provided in one plan, but all folders have file plan attributes 124. Share a common set of The value stored in each folder can be different, but the attribute itself exists in every folder in the file plan. The attributes of the file plan component “folder” may include a folder unique identifier, location, and the like. Each file plan attribute definition has a set of properties that determine its behavior. For example, an attribute must have a specific data type (integer, real, date, currency, etc.). The user can also limit the size or amount of data stored in a given attribute definition.

  The relationship that can exist between different types of file plan components is a declaration that any two file plan components can relate to each other in a specific way. The relationship definition has three properties: the type of file plan component or file plan object 122 at one end of the relationship (source), and the file plan component or file plan at the other end of the relationship (target). It consists of the type of object 122 and the file plan view to which the relationship belongs. For example, if the file plan is hierarchical, the relationship between the file plan components can be characterized as a parent and child.

  The structure of the file plan database 110 is shown in FIG. As can be seen, the file plan database 110 includes a plurality of file plan records 118, each of which is associated with a file plan node and is associated with a file plan record. Identify the parent node 120a and child node 120b of the node. Each file plan record 118 also includes a file plan object 122, and for each file plan object 122, an attribute field 124, a life cycle code field 126, a suspend status field 128, and a disposal. An authority field 130 is included.

  The file plan object 122 can represent the characteristics of the corresponding node 120 as a “file” object, a “folder” object, or a “record” object. Consistent with the hierarchical nature of file plans, file objects can include file objects, folder objects, and record objects. A folder object can contain multiple related record objects. Record objects stored in a folder object can be related, for example, by subject matter and / or original author. The record object holds an identifier that is uniquely associated with a host record managed by the host application program 114. As a result, record objects can be managed by word processing records, spreadsheet records, desktop publishing records, multimedia files, executable computer programs, databases, or other host application programs 114. Can have an identifier uniquely associated with the electronic data.

  The attribute field 124 specifies one or more profile data items for each object, such as “author”, “subject matter”, and “project code”. When the administrator of the record management server 200 defines the attribute 124 of the file plan, the administrator predefines the value of the attribute 124 and the user registers the host record in the record management system 100 (below) Preferably, a “pick list” is defined that allows the user to select from predefined values of attribute 124 at the time. An administrator can associate a picklist with one or more users by defining a “custom profile” (described below). Thus, for example, if a department project code is specified in the file plan object attribute 124, the administrator includes all valid project codes in the picklist and places the picklist in the file plan. Can be associated with any appropriate node 120. When a user attempts to insert a new host record into the file plan, the record management server 200 presents the user with a valid project code for selection.

  The life cycle code field 126 is a mandatory field that identifies the life cycle phase of the associated file plan object 122. In order for the record management server 200 to be able to perform life cycle management, the administrator of the record management server 200 allows the various life cycle phases (eg, cut-off, consent, Or discard), the sequence through which each record registered in the record management server 200 passes is identified. The administrator then assigns a life cycle code (LCC) 126 for each life cycle phase and defines parameters that determine the transition of the file plan object 122 between life cycle phases. Define retention rules. When a user registers a record with the record management server 200, the user must insert one of the defined life cycle codes 126 into the life cycle code field 126.

  The life cycle code field 126 includes a name subfield, a disposal type subfield, and a phase subfield. The name subfield includes an identifier that uniquely identifies the life cycle code 126. The disposal type field specifies the activity to be performed by the host application program 114 when the associated file plan object 122 reaches the end of the retention period. For example, the disposal type field may specify that the file plan object 122 should be discarded at the end of the retention period or transferred to an external warehouse.

  The phase subfield specifies the amount of time that the file plan object 122 spends in each life cycle state and the security level (described below) that the object receives when entering each life cycle state. The Cut-off information for the file plan object 122 may also be included in the phase subfield. Normally, when a file plan object 122 enters the cut-off phase, access to the file plan object 122 is restricted. For example, if the file plan object 122 is a file object, prevent the user from adding a record object to the file plan object 122 while the file plan object 122 remains in the cut-off phase. In addition, the record management server 200 can be configured.

  The cut-off information includes a cut-off flag that indicates whether the file plan object 122 has entered the cut-off phase, a cut-off cycle date that identifies the start date of the cut-off phase, and the cut-off is one year. A cutoff frequency that specifies the frequency to be applied in the middle of is included. When a file plan object 122 enters the cut-off phase, the object's retention period is not started until the next cut-off period begins, thereby extending the object's effective retention period.

For example, if the file plan object 122 has a cutoff cycle date of January 1 and the cutoff frequency is every six months, the cutoff is January 1 and July 1 of each year. It is determined by adding. A file plan object 122 is registered on the record management server 200 on December 14 (life cycle date) and defines a sequence of cut-off phase , 1 year active save phase, and 2 year hibernation save phase If the current life cycle phase specified by the life cycle code 126 is the cut-off phase, all file plan files having this life cycle code 126 are assigned. Object 122 enters the cutoff phase until January 1st. Thereafter, the host record associated with the file plan object 122 has a life span of 3 years from the date that the file plan object 122 completed the cutoff phase (from December 14 to 3 years). The host record is then deleted by the host server (if the life cycle code 126 has a delete disposal type) or an external disposal specified for the file plan object 122 Forwarded to authority (if life cycle code 126 has a delete consent type).

  The record management server 200 uses the interruption status field 128 to determine whether the file plan object 122 can transition to the next life cycle phase. The suspension status field 128 includes a suspension name and the name of the user who suspended the object. When an object is suspended, object 122 is frozen in its current life cycle phase, which prevents object 122 from transitioning to the next life cycle phase until the suspension is removed, The corresponding host record will not be disposed of. An object 122 can have multiple interruptions at any given time, in which case the corresponding host record cannot be disposed until all interruptions are released.

  As can be seen from FIG. 2, in addition to the file plan record 118, the file plan database 110 includes a security table 132, a global access table 134, an object access table 136, and a file plan record. A view table 138 is included, and a custom profile table 140 can also be included. The record management server 200 uses the security table 132 to restrict access to the record management server 200 to the identified user and execute while the user is logged in to the record management server 200. Control which functions are allowed.

  The security table 132 includes authentication data of the host server 104, authentication data and function permission data of local accounts and host accounts. The host server authentication data consists of a HostID file, a host / alias file, and an alias / DSN file. The HostID file includes items for identifying the host ID, host name, and host password. The host ID is a number that is uniquely assigned by the record management server 200 and uniquely identifies the host server 104. The host name is a unique descriptive name for the host server 104 that indicates where the file plan record 118 originated from. The host password is an encrypted item that the host server 104 must supply to the record management server 200 in order to access the record server on behalf of the host user.

  A host / alias file is an XML file that contains entries that each identify a host name and a host alias. The record management server 200 uses the host / alias file to map the host name to the database alias. An alias / DSN file is an XML file that contains entries that each identify a host alias, a database connection string, and a database password. The database connection string includes the ADO information that the record management server 200 needs to address the correct file plan database 110 for the host server 104. The database password is an encrypted item used to access the file plan database 110.

  Local accounts are typically reserved for administrative users and are accessed by logging into the record management server 200 directly from one of the computer terminals 102. Since the local user is unknown to the record management server 200 until logging in to the server, the authentication data of each local account security table record includes a user ID item for authenticating each local user, and , Both corresponding password items are included. On the other hand, host accounts are reserved for non-administrative users and are accessible only through the host application program 114. Since the host user has already logged in to the host server 104, the authentication data of each host account security table record includes only the user ID item and does not include the password item.

  The record management server 200 uses the function permission data of the local account and the host account to specify the functions that each user is permitted to perform with respect to the record management server 200. Typical functional rights include report generation, disposal authority specification, file plan design, life cycle design, pick list management, profile design, and security management.

  In addition to the local account and host account authentication data and function authorization data, the security table 132 also includes both local group and host group authentication data and function authorization data. The record management server 200 recognizes the user class by using the group authentication data and the group function permission data, and assigns the permitted function to all members of the class.

  The administrator of the record management server 200 must explicitly create a local group. In contrast, when a host user requests access to the record management server 200, the host application program 114 logs in the host server 104, the host ID, host password, and user ID of the user In addition, a list of all groups to which the host user belongs is supplied to the record management server 200. The record management server 200 compares the host ID and host password with the corresponding item in the host ID file, and verifies whether the host server 104 is permitted to log in to the record management server 200. To do. Next, the record management server 200 determines the host alias of the host server 104 from the host / alias file, determines the database connection string from the alias / DSN file, and then uses the associated database password. Log in to the file plan database 110. If the host application program 114 has successfully logged into the file plan database 110, the record management server 200 stores the group list in the security table 132 so that each host user can save the file list. When logging into the plan database 110, the group list is updated with the identified members.

  The global access table 134 includes records that contain access data for all object types that are implemented in the file plan. The record management server 200 uses the data in the global access table 134 to allow each user and / or group to execute on each file plan object class (eg, file, folder, record). Control global behavior. Each access table 134 record is linked to a security table 132 record and identifies, for each user and / or group, file plan object operations that the user or group is allowed to execute. File plan object operations typically include additions, deletions, and permission changes.

  The object access table 136 includes records containing access data for individual objects in the file plan. The record management server 200 uses the data in the object access table 136 to control the operations that each user and / or group is allowed to perform on each file plan object 122, thereby providing a global Override the global permissions set in access table 134. Each object access table 136 record is linked to a respective file plan record 118 and, for each file plan object 122, the actions that each user or group is allowed to perform on that object. Identify. Consistent with the hierarchical nature of the file plan, permissions that apply to the file plan object 122 also apply to all descendants of the file plan object 122.

  The file plan view table 138 lists a subset of the file plan objects 122, and the file plan view table 138 includes a file plan object 122 between the file plan objects 122 of the subset of file plan objects. Identify relationships. The identified relationship can be hierarchical, binary, or unary. In the hierarchical view, when the attribute value of the file plan object 122 is not specified, the file plan object 122 is the parent object of the file plan object 122 (or the attribute value of the parent object is also specified). If not, the attribute value is inherited from the parent object). Inheritable attributes 124 include life cycle code 126, suspension status 128, disposal authority 130, and security.

  A unary view and a binary view define a unidirectional relationship and a bidirectional relationship, respectively, between all file plan objects 122 in that view. The attribute 124 is not inherited in unary or binary views. These two view types define non-hierarchical relationships between objects in the file plan, such as “cross-reference” relationships or “classification” relationships.

  The record management server 200 uses the file plan view table 138 to provide the user with different mechanisms for displaying file plan objects and attributes 124. For example, an administrator of the record management server 200 can define an “alphanumeric” logical view and a “warehouse” physical view for the user of the computer terminal 102. In the “alphanumeric” view, the record management server 200 renders a file object, a folder object, and a record object. In the “warehouse” view, the record management server 200 depicts warehouse objects, aisle objects, shelf objects, box objects, and folder objects.

  The custom profile table 140 defines a subset of at least one attribute 124 of the file plan object 122 and lists users who are allowed to display the attribute subset. In addition, the custom profile table 140 specifies for each attribute 124 whether the attribute 124 is read-only, whether the attribute 124 is mandatory, and identifies the default value or pick list assigned to the attribute 124. Is done. The record management server 200 uses the custom profile table 140 to control how users are allowed to enter data for file plan objects. For example, when the file plan includes a file plan object 122 having an attribute “project status” that only managers are allowed to access, the administrator of the record management server 200 excludes “project status”. A “generic” profile and a “manager” profile that includes a “project status” attribute, and assign one or the other profile to user access. As a result, when the file plan object 122 is displayed, the appropriate attribute 124 is always displayed according to the respective management status.

  The record management server 200 is implemented on a computer server, which is preferably a Windows® 2000 based server. As can be seen from FIG. 3, the record management server 200 includes a network interface adapter 202 that interfaces the record management server 200 to the communication network 108, a central processing unit (CPU) 204 that communicates with the network interface 202, and a CPU 204. A non-volatile memory (ROM) 206 and a volatile memory (RAM) 208 for communication are included. ROM 206 is a computer readable medium such as magnetic disk memory, optical disk memory, or electronic memory, and is managed by web administrator object 210, application program interface (API) 212, and host application program 114. It carries processor instructions for CPU 204 that establish in RAM 208 a record management engine 214 that manages the life cycle of the host record. Instead, the web administrator object 210, API 212, and record management engine 214 can be implemented on separate servers to provide load balancing.

  The web administrator object 210 is an Internet browser-based program that provides the administrative user of the computer terminal 102 with a simplified interface to the API 212 so that the administrative user can be managed by the host server 104. Develop and manage a company preservation policy for records. Web administrator object 210 is preferably implemented using IIS 5.0 and Active Server Pages (ASP) 3.0.

  The API 212 provides access to the record management engine 214 to the computer terminal 102 and passes data to and from the client application (implemented at the computer terminal 102) using XML. The API 212 is preferably implemented using a COM object hosted in a COM + application and provides a COM interface to the web administrator object 210 and the host application program 114. In addition, the API 212 is incorporated into the host application program 114 via, for example, a COM or simple object access protocol (SOAP) interface 116 implemented within the host application program 114 to provide a host application program. Preferably, the record management engine 214 can be accessed without requiring substantial reconfiguration of the program 114.

  The record management engine 214 manages the life cycle transition of records managed by the host application program 114. The record management engine 214 communicates with the file plan database 110, is exposed to the host application program 114 via the API 212, and is exposed to the computer terminal 102 via a combination of the web administrator object 210 and API 212. The record management engine 214 is preferably implemented as a COM + application that encapsulates all SQL DBMS access via the COM interface and supports both Oracle and SQL Server. This COM + application is configured to perform the following management functions (using web administrator object 210):

File plan design:
Define rules that determine the organization of records managed by the host server 104 File plan implementation:
Define a file plan object 122 to be inserted into the file plan, including specifying security rules for the object. Life cycle management:
Define a retention rule that determines the retention of the file plan object 122 Life cycle processing:
Create a report that transitions the file plan object 122 between life cycle states:
Generate reports on objects in the file plan Security:
Define user access, group access, user function permissions, and group function permissions

In addition to being configured to perform the functions described above, this COM + application includes objects that define a record identifier receiver 216, a file plan filing means 218, and a life cycle state determining means 220. , And an object defining means 222 for providing life cycle instructions. Instead, the objects that make up the COM + application can be implemented on separate servers to provide load balancing. Further, although the COM + application has been described as being implemented as a software application, it should be understood that it can also be implemented as dedicated electronic hardware or a combination of hardware and software.

  The record identifier receiver 216 is configured to receive from the host application program 114 a record identifier associated with a record managed by the host application program 114. This record identifier is associated with a record that a user logged into the host application program 114 wishes to register with the record management server 200 for life cycle tracking. The record identifier includes an identifier field that the host application program 114 uses to uniquely identify the record, and the classification properties of the record (eg, “author”, “subject”, and “project code”). Contains profile metadata that identifies

  As described above, when the administrator of the record management server 200 defines the file plan attribute 124, the administrator also selects a picklist (or menu) of predefined values for the file plan attribute 124. It can be defined so that the user can easily supply the aforementioned profile metadata to the record management server 200. Thus, in one embodiment of the present invention, the record identifier receiver 216 locates the custom profile 140 associated with the user and provides the user with all of the default attribute values and picklists defined in the custom profile 140. Configured. The user selects an attribute value from the pick list (or menu), enters all of the additional attribute values into the appropriate fields of the custom profile 140, and then sends the required profile metadata back to the record identifier receiver 216.

  Instead, in another embodiment of the invention, the host application program 114 provides a copy of the profile data that the host application program 114 associates with a record in the host server database 112, and the record identifier receiver 216. And the record identifier receiver 216 is configured to parse the received profile data for the required profile metadata. As a result, when a user who has logged in to the host application program 114 wishes to classify the record into the appropriate file plan node 120 of the record management system 100, the record identifier receiver 216 can operate without manual intervention. Automatically extract necessary profile metadata.

  The file plan filing means 218 is configured to file the record identifier received from the host application program 114 to the appropriate node 120 of the file plan. To do so, the file plan filing means 218 compares the profile data contained in the record identifier with the file plan object definition and, according to the profile metadata, determines the record identifier in the appropriate file plan file. Insert into node 120.

  The life cycle determination unit 220 is configured to determine the life cycle state of the selected record registered in the record management server 200. To do so, the administrator performs a query on the file plan record 118 and requests a list of file plan objects 122 that are eligible to be moved or disposed of to the next phase of the life cycle. To do. For each file plan object 122 that matches the specified query, the life cycle determination means 220 evaluates the retention rule against the respective life cycle code 126, and the file for which the respective retention period has expired. Identify the plan object 122

  The life cycle instruction providing means 222 is configured to supply the host application program 114 with an instruction requesting the application program to transition the identified record to a new life cycle state. To do so, the life cycle instruction providing means 222 updates the respective life cycle code of the expired file plan object 122, thereby making the file plan object 122 the next life cycle.・ Transition to the phase. Also, the life cycle instruction providing means 222 issues a command requesting that the host application program 114 shift the records associated with the remaining file plan objects 122 to their respective new life cycle phases. Issued to the host application program 114.

  The life cycle management process performed by the record management system 100 will be described in detail with reference to FIG. Initially, an administrator of the record management system 100 logs in to the record management engine 214 by supplying a user ID and password to the web administrator object 210 using one of the computer terminals 102. If the user ID and password match the user ID and corresponding password included in the security table 132, the API 212 allows the administrator to use the record management engine 214.

If the administrator has successfully logged in to the record management engine 214, for each file plan node 120 , the parent / child node 120, the file plan object class, and the file plan attributes 124 in step 500. by specifying the life cycle codes 126 and interrupt status 128, defines a file plan. The administrator can specify the host authentication data of the host application program 114, the local user authentication data of the administrative user who is permitted to view / edit the file plan, the host that is permitted to access the record management engine 214. The user's host / user authentication data and the function permission data for identifying the function that each user / group is permitted to execute regarding the record management server 200 are captured in the security table 132. In addition, the administrator populates the global access table 134 and the object access table 136 with access data that identifies the permitted actions for the file plan object 122 and populates the file plan view table 138. Capture the allowed views for the file plan and create all desired custom profile tables 140. The record management engine 214 maintains the file plan so defined in the file plan database 110.

  After defining the file plan, at step 502, the user logged in to the host application program 114 declares that the record management server 200 must manage the life cycle of the host record. Typically, the user has created or edited a host record and declares that record management must manage the life cycle of the host record at the completion of the creation or editing phase. The user manually, such as by closing the host record on the host server 104, or by selecting the appropriate box on the electronic profile form generated by the host application program 114. You can declare a host record.

  Upon completion of the record declaration step, in step 504, the host application program 114 registers the declared record for life cycle management by the record management server 200. To do that, first, the host application program 114 supplies the host ID and password to the API 212, and if the received parameter matches an entry in the host ID file, the API 212 passes to the record management engine 214. Is given to the host application program 114. The host application program 114 also provides the API 212 with a user ID of the user logged into the host server 104 and a list of all groups to which the host user belongs. The record management engine 214 uses this latter parameter to access the host / alias file and alias / DSN file for the database password, and uses that database password to create the appropriate file plan database 110. Log in to

  At step 506, the host application program 114 classifies the declared records for inclusion in the appropriate node 120 of the file plan by providing profile metadata to the record management engine 214. The user can classify the declared records either automatically or manually.

  In the former approach (automatic record classification), the host application program 114 associates with the record receiver 216 profile data (eg, title, author, The record receiver 216 parses the received profile data for the required profile metadata. The record identifier receiver 216 queries the custom profile table 140 using the user ID to determine default attribute values to include in the profile metadata. This approach is advantageous because it allows the record management engine 214 to manage the life cycle phases of declared records without the need for the host user to learn a separate user interface or new software program. It is.

  In the latter approach (manual record classification), the record receiver 216 uses the received user ID to query the custom profile table 140 to locate the user's custom profile and prompt the user with the custom profile. Present all attribute fields 124 that the user is allowed to view. Record receiver 216 also provides the user with default attribute values and picklists defined in the custom profile. The user selects an attribute value from the pick list, enters the additional attribute value in the appropriate field, and sends the resulting information to the record management engine 214 as the required profile metadata. Although not as user-friendly as the automatic classification method, the manual classification method allows the record management engine 214 to manage the life cycle phases of the declared records without requiring the host user to learn a new software program. This is advantageous.

  After the declared records are classified, at step 508, the record management engine 214 uses the profile metadata to provide an appropriate location in the file plan for the profile metadata. To do so, the file plan filing means 218 compares the received profile metadata with the file plan object definition and finds the appropriate file plan object 122 in the file plan database 110. create. File plan filing means 218 assigns profile metadata to a new file plan object 122 and assigns a life cycle date to the file plan object 122. The life cycle date is typically the date when the file plan object 122 was added to the file plan database 110, but the administrative user can then specify an alternative date for the life cycle date. .

  In step 510, the file plan filing means 218 assigns the file plan object 122 with a life cycle code (LCC) 126 that is consistent with the position of the file plan object 122 in the file plan hierarchy. , Update the security table 132 to reflect the functions allowed to execute on the file plan object 122. As will be apparent, the functions that the host user can perform on the file plan object 122 are specified by the security level imposed on the host application program 114.

The file plan filing unit 218 notifies the host application program 114 that the declared record is registered in the record management engine 214. The host application program 114 preferably assigns ownership of the record to the management group and restricts access to the record to read-only for all users who are not members of the management group. Since the record management server 200 does not store a copy of the record managed by the host application program 114, the record management server 200 can duplicate the security function and access function already implemented by the host application program 114. And does not require separate storage space for host records. Further, since the file plan filing means 218 is implemented separately from the host application program 114, the processing for filing the file plan object 122 in the file plan is normally executed by the host application program 114. The host application program 114 is not interfered with by requesting computing resources to be used.

  After the host record has been registered with the record management engine 214, the administrative user can pass the host record during the life cycle state from the first registration through the respective retention period to the final disposal. Can manage transitions. To do so, the administrative user logs in to the records management engine 214 by supplying the web administrator object 210 with a user ID and password. If the user ID and password match the user ID and corresponding password included in the security table 132, the API 212 allows the administrator to use the record management engine 214.

  After the administrator has successfully logged in to the record management engine 214, at step 512, the administrator is eligible to be moved or disposed of to the next phase of the life cycle. The record management engine 214 is queried for the list of Typical query parameters include the branch of the file plan being checked and the baseline date used for life cycle calculation. The administrator can also specify the state of the cutoff flag and the next life cycle phase desired for the file plan object 122.

  From the query result, the life cycle determination means 220 finds a file plan object 122 that does not have an assigned life cycle date or a file plan object 122 whose life cycle date is after the reference date. Exclude from consideration. Further, for each remaining file plan object 122, the life cycle determination means 220 excludes the suspended file plan object 122 from further examination and determines the associated life cycle code 126. .

  If one of the file plan objects 122 is not assigned a life cycle code 126, the life cycle determination means 220 recursively determines the object's parent object until it locates the life cycle code 126. Check out. In step 514, the life cycle determination means 220 evaluates the retention rule for the life cycle code 126 to identify the file plan object 122 for which the respective retention period has expired.

  After the expired file plan object 122 is identified, the life cycle instruction providing means 222 provides the administrator with a list of file plan objects 122 whose respective retention periods have expired. From the list, the administrator removes or interrupts objects that he does not want to process. The record management engine 214 updates the remaining life plan code 126 of the remaining file plan object 122 at step 516, thereby transitioning the file plan object 122 to the next life cycle phase. Let In step 518, the life cycle instruction providing means 222 issues a command to the host application program 114, and the host application program 114 records the records related to the remaining file plan objects 122. Require a transition to a new life cycle phase.

  When any new life cycle phase of the file plan object 122 is “delete”, the life cycle instruction providing unit 222 sets the file plan object 122 to be discarded to the file plan database 110. The host application program 114 issues a command to the host application program 114 requesting that the record associated with the identified file plan object 122 be removed. The host application program 114 does not need to delete the specified record, but instead updates the host server database 112 so that the record management server 200 no longer has the life of the specified record. Note that it is only necessary to specify that the cycle phase is no longer managed.

Similarly, if any new life cycle phase of the file plan object 122 is “agree”, the life cycle instruction providing means 222 will change the agreed file plan object 122 to a file file. A command to the host application program 114 that removes it from the plan database 110 and requests that the host application program 114 move the record associated with the identified file plan object 122 to the designated transfer directory. Issue. After transfer of the host record to the transfer directory, the record management engine 214 transfers the host record from the transfer directory to the specified disposal authority for the corresponding file plan object 122, or transfers to the disposal authority . Either an indication can be made that a record should be transferred from the directory to a storage site managed by the disposal authority .

1 is a schematic diagram illustrating a record management system showing a computer terminal, a host computer server, and a record management server. It is a figure which shows the structure of a file plan database. It is the schematic which shows the record management server shown by FIG. It is a flowchart which shows operation | movement of a record management system.

Claims (15)

A method of managing electronic records of a host computer server using a file plan that includes a file plan node having an associated retention rule comprising:
A record management server receiving a record identifier from the host computer server over a network that is uniquely associated with a record managed by the host computer server and includes profile data for the associated record; ,
Filing a record identifier received by the record management server in a file plan node of a file plan according to associated profile data;
The record management server determining a life cycle state of the managed record from the storage rule;
Sending a life cycle instruction over the network requesting the record management server to transition the managed record to a respective life cycle state to the host computer server. How to manage records. Generating a file plan that specifies at least one file plan node in the file plan database;
The method of claim 1, wherein the retention rule associated with each file plan node is a life cycle retention rule. The host computer server maintaining a record profile for each of the managed records and receiving the record identifier receives the record profile of the associated record from the host computer server; And analyzing the record profile of the associated profile data.   3. The method of claim 1 or 2, wherein receiving the record identifier comprises providing a menu of the file plan node and determining the associated profile data from a menu selection of the node menu. the method of.   The file plan node has a life cycle code that identifies the life cycle state of the associated record, and a break status that identifies that the associated record must transition between different life cycle states And determining the life cycle state comprises evaluating the retention rule against the state of the life cycle code, a reference date, and the status flag. The method described in 1.   The file plan includes a hierarchical arrangement of the file plan nodes, at least one of the file plan nodes does not include a life cycle code, and determining the life cycle state includes the step of: 3. The method of claim 1 or 2, comprising evaluating a retention rule for at least one file plan node against a life cycle code associated with a parent of the at least one file plan node. .   The file plan includes a non-hierarchical arrangement of the file plan nodes, at least one of the file plan nodes does not include a life cycle code, and determining the life cycle state comprises: The method of claim 1 or 2, comprising evaluating the retention rules of the at least one file plan node against a life cycle code associated with a parent of the at least one file plan node. Method. A records management engine that performs life cycle management of multiple records managed by a host computer server using a file plan that includes a file plan node having an associated life cycle rule, The record management engine
Receiving means associated with a record managed by the host computer server and receiving a record identifier over the network including profile data of the associated record;
Filing means for filing the received record identifier to the file plan node of the file plan according to the associated profile data;
A determination means for determining a life cycle state of the managed record from the life cycle rule;
A record management engine comprising: a life cycle instruction for requesting the host computer server to transition the plurality of records to be managed to a respective life cycle state via the network. . A file file comprising at least one file plan node, each file plan node comprising a life cycle retention rule that determines a life cycle phase change of an object associated with the file plan node; A database interface to access the plan database;
An application program interface configured to communicate with the filing means and the determining means and configured to send an indication of a change in the life cycle phase to the host computer server via the network; The record management engine according to claim 8, wherein the filing unit and the determination unit communicate with the database interface. A record manager for communicating with a host computer server over a network and managing a life cycle phase of a record managed by the host computer server ,
A file plan database containing at least one file plan object each having a life cycle rule;
A record management engine according to claim 8 or 9,
A record manager comprising: an application program interface configured to send an indication of changes in the life cycle phase to the host computer server via the network and in communication with the record management engine.   11. The record manager of claim 10, wherein the file plan database includes a record type field for the associated record and an attribute field defining the profile data for each file plan object.   The file plan database includes a relationship between at least one file plan view table that defines a subset of the file plan objects and file plan objects included in the subset. 10. Record manager according to 10. The file plan database identifies at least a subset of the attributes, and at least one user of the host computer servers that are allowed to view a subset of the attributes of the file plan object The record manager of claim 10, comprising at least one custom profile table.   The file plan database defines at least one access operation for at least one of the file plan objects and at least one user of the application program that is allowed to perform the access operation. The record manager of claim 10 comprising an access control list.   A computer program for causing a computer to execute the steps according to any one of claims 1 to 7.

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