IP Library Granted Patent US 7,933,860
Granted Patent B2
US 7,933,860 · App. 12/127,767 · Granted Apr 26, 2011

Method and system for electronic archival and retrieval of electronic communications

Assignee: Ameriprise Financial, Inc.
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Quick Facts
Patent No.
US 7,933,860
App. No.
12/127,767
Granted
Apr 26, 2011
Kind
B2
Abstract

The system receives an electronic communication, reviews the electronic communication to determine content of the electronic communication, applies rules to the content to determine a category associated with the electronic communication, wherein the rules relate to at least one of federal law, federal government regulations, state law, state government regulations, industry standards and administrative policies; and, stores the electronic communication based on the category.

Claims (48)

1. A computer-implemented method for retrieving electronic communications comprising:

receiving, by a retrieval computer for retrieving the electronic communications, an electronic communication;

reviewing, by the computer, the electronic communication to determine content of the electronic communication;

applying, by the computer, rules to the content to determine a category associated with the electronic communication, wherein the rules relate to at least one of government laws and regulations, industry standards and administrative policies;

storing, by the computer, the electronic communication based on the category;

receiving, by the computer and from a first individual, a request for retrieval of the electronic communication;

receiving, by the computer, a first approval from a first approver and a second approval second approver, wherein said second approval is based at least partially upon the first approval;

determining, by the computer and based on at least one of the request and the first individual, that an audit of the request should be initiated; and

delivering, by the computer and in response to the audit, the retrieved archived electronic communication to a designated location.

2. The method of claim 1 , wherein the rules relate to the government laws and regulations, and wherein the government laws and regulations comprise at least one of: Security and Exchange Commission (SEC) regulations, The Sarbanes-Oxley Act, Food and Drug Administration (FDA) regulations, Federal Trade Commission (FTC) regulations, Federal Communications Commission (FCC) regulations, Department of Defense (DoD) regulations, The Health Insurance Portability and Accountability Act (HIPAA), Department of Homeland Security regulations and Transportation Security Administration (TSA) regulations.

3. The method of claim 1 , wherein the rules relate to the industry standards, and wherein the industry standards comprise standards related to at least one of: healthcare, defense, manufacturing, telecommunications, transportation, automobiles, entertainment, law, electronics, computers, information technology, pharmaceuticals, food and food distribution.

4. The method of claim 1 , wherein the rules relate to the administrative policies, and wherein the administrative policies comprise at least one of: legal policies, human resources policies, information technology policies, payroll policies, compensation policies, finance policies, marketing policies, sales policies, customer service policies, investor relations policies and public relations policies.

5. The method of claim 1 , further comprising moving the electronic communication to a second storage location.

6. The method of claim 5 , wherein the second storage location comprises at least one of a second server and a second database.

7. The method of claim 5 , wherein moving comprises transmitting the electronic communication over a network.

8. The method of claim 5 , wherein moving comprises transmitting the electronic communication over a network, storing the electronic communication in the second storage location and transmitting a confirmation message after the successful storing of the electronic communication.

9. The method of claim 8 , wherein transmitting a confirmation message further comprises creating and storing an error message when the electronic communication is not successfully stored.

10. The method of claim 1 , further comprising converting the electronic communication into a second data format.

11. The method of claim 1 , further comprising retrieving the electronic communication.

12. The method of claim 1 , further comprising receiving a retrieval request associated with the category and retrieving the electronic communication based upon the retrieval request.

13. The method of claim 1 , further comprising:

receiving, from a requestor, a retrieval request associated with the category;

retrieving the electronic communication based upon the retrieval request; and,

transmitting the electronic communication to the requestor.

14. A computer-implemented method for retrieving electronic communications comprising:

receiving, by a retrieval computer for retrieving the electronic communications, an electronic communication;

reviewing, by the computer, the electronic communication to determine content of the electronic communication;

applying, by the computer, rules to the content to determine a category associated with the electronic communication, wherein the rules relate to at least one of government laws and regulations, industry standards and administrative policies; and,

storing, by the computer, the electronic communication based on the category;

wherein a first individual initiates a request for retrieval of the electronic communication;

wherein a second individual determines whether the request meets a first approval criteria and notifying the first individual of the determination;

wherein, in response to the request meeting the first approval criteria, a third individual reviews the request and determining whether the request meets a second approval criteria and notifying the second individual of the determination;

wherein a fourth individual determines whether to initiate an audit service request;

wherein the fourth individual executes the request to access and retrieve said archived electronic communication from the third party storage medium when the audit service request is not processed;

wherein the third party executes the request to access and retrieve the archived electronic communication from the third party storage medium when said audit services request is approved; and

delivering, by the computer, the retrieved archived electronic communication to a designated individual.

15. A system for archiving electronic communications comprising:

a network interface communicating with a non-transitory memory;

the memory communicating with a processor for archiving electronic communications; and

the processor, when executing a computer program, is configured to:

receive, by the processor, an electronic communication;

review, by the processor, the electronic communication to determine content of the electronic communication;

apply, by the processor, rules to the content to determine a category associated with the electronic communication, wherein the rules relate to at least one of federal law, federal government regulations, state law, state government regulations, industry standards and administrative policies; and,

store, by the processor, the electronic communication based on the category.

receive, by the processor and from a first individual, a request for retrieval of the electronic communication;

receive, by the processor, a first approval from a first approver and a second approval second approver, wherein said second approval is based at least partially upon the approval of the first approval;

determine, by the processor and based on at least one of the request and the first individual, that an audit of the request should be initiated;

deliver, by the processor and in response to the audit, the retrieved archived electronic communication to a designated location.

Assignments (2)
ASSIGNMENT OF ASSIGNOR'S INTEREST Recorded May 27, 2008
From: NOWACKI, TODD A.; PETERSON, JAMES C.; MEARS, STUART A.; COMES, SHERRY; KAUFMANN, SUZAN GAIL; ASSELSTINE, CAROL VAUGHN; ERICKSON, JASON
To: AMERICAN EXPRESS TRAVEL RELATED SERVICES COMPANY, INC.
Reel/Frame 021005/0198 →
ASSIGNMENT OF ASSIGNOR'S INTEREST Recorded May 27, 2008
From: AMERICAN EXPRESS TRAVEL RELATED SERVICES COMPANY, INC.
To: AMERIPRISE FINANCIAL, INC.
Reel/Frame 021005/0269 →
Continuity (3)
Continuation 10918558 · Aug 13, 2004
Provisional Application 60496795 · Aug 21, 2003
Related Publication 20080270491A1 · Oct 30, 2008