ARMA Gaithersburg Chapter USPTO Electronic Records Management

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ARMA Gaithersburg ChapterUSPTOElectronic
Records Management

• Walter Bohorfoush
• Office of the Chief Information Officer
• Architecture, Engineering and Technical Services
• Office of Data Architecture and Services
• Data Administration Division
• October 17, 2002

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Agenda

• Background
• Electronic Records Management (ERM) Program
• Current Prototype Effort
• Backup vs. Archive
• Vital Electronic Records Archive

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Background

• Record
• Records Management
• Records Management Program
• Administered by the OCIO/AETS/ODAS/DAD
• The Agency Records Officer is Susan Brown
• The Agency Electronic Records Management Team
  Leader is Walter Bohorfoush
• Electronic Records Management

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Background contd

• Legal
• Federal Records Act (44 U.S.C. Chapter 31)
• Freedom of Information Act (FOIA)/Electronic-FOIA
  (5 U.S.C. 552)
• 36 CFR Part 1234, Electronic Records Management
• Government Performance Results Act (GPRA, 31
  U.S.C 11011115 notes)
• Paperwork Reduction Act (PRA, 44 U.S.C. 3501 to
  3520)
• Information Technology Management Reform Act (40
  U.S.C. 1401 to 1503)
• Government Paperwork Elimination Act (GPEA, 5
  U.S.C. 3504)
• E-Signature (Public Law No 106-229)
• DOD 5015.2-STD Design Criteria for Electronic
  Records Management Software Applications

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ERM Program

• Goals
• Improve Quality
• Share Access
• Support Disaster Recovery
• Coordinate eRecords Disposition
• Promote the Paperless Environment
• Audit Transparently Recordable Events

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ERM Program contd

• Strategy
• Not a One-Size-Fits-All Approach
• Leverage IT Investments
• Standards Based
• DOD 5015.2
• ISO 15489 Records Management
• Integration of ERM Requirements
• Pointer-Based -- not Repository
• Migration -- not Emulation

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ERM Program contd

• Progress to Date
• Best Practices Review Fall 2000
• Email ERM Prototype Spring 2001
• Market Survey Summer 2001
• Tarian Software Winter 2002
• VERA Concept Paper Spring 2002
• ERM TSG Summer 2002
• Current Proof of Concept/Prototype

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ERM Requirement Categories

• Records Acquisition
• Record Metadata
• File Management
• Preservation of Integrity
• Protection of Confidentiality
• Access Control and Authentication
• Search, Retrieval, and Reproduction

• Audit Trail
• Vital Record Backup and Recovery
• Records Retention
• Migration
• Transfer to Archival Storage
• Records Hold

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Purpose of Prototype

• Demonstrate Pointer-Based Architecture
• Demonstrate Software Dependency Capture
• Integrate with an Existing AIS, TICRS
• Additional
• Asynchronous Queue for High Availability

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Tarian eRecords Engine
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The Big Picture
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ERM with Vital Electronic Record Archive
Tarian eRecords Engine
AIS
Vital Records Metadata Data base
API
Nearline and/or Offline Storage
AIS
API
AIS
API
ERM Procedures
VERA Aggregation and Retrieval Staging Area
Management Reporting
AIS
API
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Qualities of Disaster Recovery Backup

• Purpose To Facilitate Expedient System and/or
  Data Recovery (COOP)
• Snap Shot, either Full or Incremental
• Based upon System by System Specific Requirements
• Rotating/Revolving Media Reuse

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Qualities of Electronic Records Storage

• Complete Aggregate Record
• Long Term, Environmentally Controlled, Media
  Storage
• Multiple Identical Copies Stored at Physically
  Distant Locations (Electronic)

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Disaster Recovery Backup Vs.
Vital Records Archive

• Information is STILL On-Line
• Contains Non-record and Record information on
  same media
• Contains ONLY part of a record
• Contains Records of Different Dispositions and
  Lifetimes
• Typically only Single Snapshot Copy
• Rotating/Revolving Media Reuse

• Information is Off-Line
• Contains ONLY Records and Related Metadata
• Contains Complete Record
• Contains Records of Same Series, Dispositions,
  and Lifetimes on Same Media
• Multiple Identical Copies of Media Stored in
  Separate Locations
• Media is Used Only Once and Stored for a Long
  Time
• Annual Sampling (384 _at_ gt1800)
• Migration of Records Across Media at Periodic
  Intervals

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Vital Electronic Record Archive (VERA)

• POST-Prosecution Electronic Patent and Trademark
  Case File Records
• Distributed - Business Area Custody
• Federated Repository - USPTO Ownership
• Consistent Persistence
• Utilizes Aggregation Staging Platform

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Questions?
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Who Dat?

• Walter Bohorfoush
• Computer Scientist
• ERM Team Leader
• USPTO
• [phone]