Computer based records management system method

• US 5,813,009 A
• Filed: 07/28/1995
• Issued: 09/22/1998
• Est. Priority Date: 07/28/1995
• Status: Expired due to Fees

• Current Assignee: Univirtual Corporation
• Original Assignee: Univirtual Corporation
• Inventors: McElroy, James R. Jr., Johnson, Judy J.
• Primary Examiner(s): Black, Thomas G.
• Assistant Examiner(s): Corrielus, Jean M.
• Application Number:
  US08/508,370
• Time in Patent Office: 1,152 Days
• Field of Search: 395/600, 364/570, 707/204, 707/104, 707/200, 707/205, 707/101, 707/103, 711/170, 711/100
• US Class Current: 707/695
• CPC Class Codes: G06F 11/1458 Management of the backup or restore process
• CPC Class Codes: G06F 16/40 of multimedia data, e.g. slideshows comprising image and additional audio data retrieval of still image data G06F16/50; retrieval of audio data G06F16/60; retrieval of video data G06F16/70
• CPC Class Codes: G06F 16/48 Retrieval characterised by using metadata, e.g. metadata not derived from the content or metadata generated manually
• CPC Class Codes: Y10S 707/916 Audio
• CPC Class Codes: Y10S 707/959 Network
• CPC Class Codes: Y10S 707/99939 Privileged access
• CPC Class Codes: Y10S 707/99942 Manipulating data structure, e.g. compression, compaction, compilation
• CPC Class Codes: Y10S 707/99945 Object-oriented database structure processing
• CPC Class Codes: Y10S 707/99953 Recoverability

Abstract

A computer based records management system comprises an information filter for assuring that record data units offered to the system for storage are complete and not redundant. These record data units may be electronic in nature, scanned from paper, digitally formed from audio, video or otherwise formed as digital data information media, an objective of the disclosed system being to eliminate paper or microform record keeping. If record data units comprising documents are incomplete or redundant, the data units may be queued for special handling, returned or otherwise disposed of. Record data units accepted for system entry are acknowledged and preferably tagged to enable tracking and forwarded for unit verification and certification. Verification and certification includes examination of units for compliance with preset criteria. Once a unit is found to meet the criteria, the unit is stored in permanent storage along with a disposal schedule determined for that unit. Only users meeting predetermined security levels may alter or dispose of a stored unit prior to scheduled disposal. Moreover, reasons for such alteration or destruction are required from the cleared user, and an associated data field must be completed. Consequently, the present system provides for record data unit tracking and audit trails in the event of any requirement for regulatory or legal compliance with discovery or other record unit requests. The present invention also permits reconstruction of the record units of an enterprise in the event of a catastrophic event.

Claims

1. A computer based records management system, comprising:

first input means for receiving record data units representing and/or relating to records presented for possible retention, said first input means including indexing data receiving means for receiving indexing data relating to said records presented for possible retention, and storing said indexing data in said third data storage means;

first data storage means for temporarily storing record data units received by said input means;

verification/certification means for verifying/certifying the suitability for retention of the record data units temporarily stored in said first data storage means;

second data storage means for storing record data units that are verified/certified for retention by said verification/certification means;

retrieval means for allowing a user to retrieve record data units stored in said second data storage means;

third data storage means for storing a record of record data units received by the first input means and disposal schedules for record data units stored in said second data storage means; and

disposal means for disposing of record data units stored in said second data storage means in accordance with the stored disposal schedules.

2. A computer based records management system according to claim 1, wherein said indexing data receiving means comprises means for input by a user of indexing data relating to said records presented for possible retention.

3. A computer based records management system according to claim 1, wherein said indexing data receiving means receives indexing data relating to records to be stored off-line.

4. A computer based records management system according to claim 3, wherein said indexing data receiving means receives indexing data relating to hard-copy documents, including a storage location of said hard-copy documents.

5. A computer based records management system according to claim 3, wherein said indexing data receiving means receives indexing data relating to records stored on off-line computer readable data storage media, including a storage location of said data storage media.

6. A computer based records management system according to claim 1, wherein said indexing data receiving means receives indexing data from said record data units.

7. A computer based records management system according to claim 1, wherein said first input means further comprises record converting means for converting records presented for possible retention into a computer recognizable form.

8. A computer based records management system according to claim 7, wherein said record converting means comprises a document scanner.

9. A computer based records management system according to claim 7, wherein said record converting means comprises a system for converting audio records into a computer recognizable form.

10. A computer based records management system according to claim 7, wherein said record converting means comprises a system for converting video records into a computer recognizable form.

11. A computer based records management system according to claim 1, wherein said first input means comprises an electronic mail receiving system.

12. A computer based records management system according to claim 1, wherein said first input means comprises a facsimile receiving system.

13. A computer based records management system according to claim 1, wherein said verification/certification means generates a message to prompt a user to verify/certify the suitability of temporarily stored record data units for retention.

14. A computer based records management system according to claim 1, wherein said verification/certification means performs an automatic verification/certification of record data units based upon preset criteria, and updates the third data storage means to reflect the verification/certification of record data.

15. A computer based records management system according to claim 1, wherein said third data storage means stores record disposal schedules included in the record data units received by said first input means.

16. A computer based records management system according to claim 1, wherein said disposal means comprises a second input means allowing a user to input disposal schedules for storage in said third data storage means.

17. A computer based records management system according to claim 1, wherein said disposal means generates a message to prompt a user to confirm those records to be disposed of in accordance with the stored disposal schedules.

18. A computer based records management system according to claim 17, wherein said confirmation means further provides a user with an option to delay or suspend disposal of records scheduled for disposal.

19. A computer based records management system according to claim 1, wherein said second data storage means comprises on-line storage media located on a plurality of hardware/software platforms interconnected by an area computer network.

20. A computer based records management system according to claim 1, wherein said stored disposal schedules comprise one or more of:

version based schedules, time based schedules, source based schedules, type based schedules and use based schedules.

21. A computer based records management system according to claim 1, wherein said disposal means generates a message indicating a need to dispose of off-line records in accordance with the stored disposal schedules, and allows for user input to verify disposal of off-line records, said third data storage means being updated to reflect said user input.

22. A computer based records management system according to claim 21, wherein said disposal means periodically generates a status report containing a list of off-line records due and overdue for disposal, said status report being periodically updated to reflect said user input to verify disposal of off-line records.

23. A computer based records management system according to claim 1, wherein the disposal of records by said disposal means comprises an erasure of the record data units corresponding to documents scheduled for disposal, in addition to a deletion of pointers to the storage locations for such record data units.

24. A computer based records management system according to claim 1, further comprising information filtering means for categorizing record data units for further processing.

25. A computer based records management system according to claim 24, wherein said information filtering means identifies incomplete and/or redundant record data units prior to any passage of said record data units to said verification/certification means.

26. A computer based records management system according to claim 24, wherein said information filtering means serves to route record data units to their designated destinations.

27. A computer based records management system according to claim 26, wherein said information filtering means routes record data units to designated user work stations prior to any passage of said record data units to said verification/certification means.

28. A computer based records management system according to claim 26, wherein said information filtering means routes record data units to designated business application programs prior to any passage of said record data units to said verification/certification means.

29. A computer based records management system according to claim 26, wherein said information filtering means serves to identify record data units requiring special handling prior to any passage of said record data units to said verification/certification means.

30. A computer based records management system according to claim 26, wherein said information filtering means tags record data units passing therethrough so as to indicate which record data units are to be passed on to said verification/certification means.

31. A computer based records management system according to claim 30, wherein said tags further enable location, copy and version tracking of the record data units in the system.

32. A computer based records management system according to claim 31, wherein said first data storage means comprises capture means for capturing location and version tracking information and passing said information on for storage in said third data storage means.

33. A computer based records management system according to claim 24, wherein said information filtering means serves to send any required acknowledgements of receipt of record data units.

34. A computer based records management system according to claim 1, further comprising audit means for making a record of processing actions of the system.

35. A computer based records management system according to claim 34, wherein said audit means makes a record of actions taken by said information filtering means.

36. A computer based records management system according to claim 35, wherein said record of actions taken by the information filtering means includes a listing of one or more of:

recipients of record data units, acknowledgements of receipt of record data units, non-delivered record data units, record data units being held, and record data units requiring special handling.

37. A computer based records management system according to claim 34, wherein said audit means makes a record of actions taken by said verification/certification means.

38. A computer based records management system according to claim 34, wherein said audit means makes a record of actions taken by said disposal means.