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ARMA Gaithersburg Chapter USPTO Electronic Records Management

ARMA Gaithersburg Chapter USPTO Electronic 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. Agenda. Background

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ARMA Gaithersburg Chapter USPTO Electronic Records Management

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  1. 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

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

  3. 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

  4. Background cont’d • 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 1101&1115 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

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

  6. ERM Program cont’d • 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

  7. ERM Program cont’d • 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

  8. 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 ERM Requirement Categories

  9. Purpose of Prototype • Demonstrate Pointer-Based Architecture • Demonstrate Software Dependency Capture • Integrate with an Existing AIS, TICRS • Additional: • Asynchronous Queue for High Availability

  10. Tarian eRecords Engine

  11. The Big Picture

  12. ERM with Vital Electronic Record Archive Tarian eRecords Engine AIS API Vital Records Metadata Data base Nearline and/or Offline Storage AIS API AIS API ERM Procedures VERA Aggregation and Retrieval Staging Area Management Reporting AIS API

  13. 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

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

  15. 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 @ >1800) Migration of Records Across Media at Periodic Intervals Disaster Recovery Backup Vs. Vital Records Archive

  16. 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

  17. Questions?

  18. Who Dat? • Walter Bohorfoush • Computer Scientist • ERM Team Leader • USPTO • (703) 308-7388

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