1. 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

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 to 3520)
Information Technology Management Reform Act (40 U.S.C to 1503)
Government Paperwork Elimination Act (GPEA, 5 U.S.C. 3504)
E-Signature (Public Law No: )
DOD 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
ISO 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
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. 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

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. 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 >1800)
Migration of Records Across Media at Periodic Intervals

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)