Patent US5813009A successfully refreshed from Google Patents.
US5813009A
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US
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Computer based records management system method
Assignee: Univirtual Corp
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Filing: 1995-07-28
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Granted: 1998-09-22
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Expires: 2015-07-28
Abstract
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.
Inventors
- 👤 Judy J. Johnson
- 👤 James R. McElroy, Jr.
Bibliographic Details
Application Number
—
Jurisdiction
US
Data Source
google_patents
Last Synchronized
2026-10-28 11:25
CPC Classifications
G; G06; G06F; G06F16/00; G06F16/40; G06F16/48; G06F11/00; G06F11/07; G06F11/14; G06F11/1446; G06F11/1458; Y; Y10; Y10S; Y10S707/00; Y10S707/912; Y10S707/913; Y10S707/916; Y10S707/953; Y10S707/959; Y10S707/99931; Y10S707/99939; Y10S707/99941; Y10S707/99942; Y10S707/99944; Y10S707/99945; Y10S707/99951; Y10S707/99952; Y10S707/99953
Claims Analysis
Total Claims: 39
Claim 1
Independent Claim
183 words
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.
Claim 2
Dependent Claim
183 words
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.
Claim 3
Dependent Claim
34 words
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.
Claim 4
Dependent Claim
26 words
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.
Claim 5
Dependent Claim
31 words
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.
Claim 6
Dependent Claim
39 words
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.
Claim 7
Dependent Claim
24 words
A computer based records management system according to claim 1, wherein said indexing data receiving means receives indexing data from said record data units.
Claim 8
Dependent Claim
32 words
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.
Claim 9
Dependent Claim
19 words
A computer based records management system according to claim 7, wherein said record converting means comprises a document scanner.
Claim 10
Dependent Claim
27 words
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.
Claim 11
Dependent Claim
27 words
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.
Claim 12
Dependent Claim
21 words
A computer based records management system according to claim 1, wherein said first input means comprises an electronic mail receiving system.
Claim 13
Dependent Claim
20 words
A computer based records management system according to claim 1, wherein said first input means comprises a facsimile receiving system.
Claim 14
Dependent Claim
33 words
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.
Claim 15
Dependent Claim
40 words
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.
Claim 16
Dependent Claim
32 words
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.
Claim 17
Dependent Claim
34 words
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.
Claim 18
Dependent Claim
36 words
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.
Claim 19
Dependent Claim
31 words
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.
Claim 20
Dependent Claim
33 words
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.
Claim 21
Dependent Claim
36 words
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.
Claim 22
Dependent Claim
55 words
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.
Claim 23
Dependent Claim
47 words
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.
Claim 24
Dependent Claim
49 words
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.
Claim 25
Dependent Claim
23 words
A computer based records management system according to claim 1, further comprising information filtering means for categorizing record data units for further processing.
Claim 26
Dependent Claim
35 words
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.
Claim 27
Dependent Claim
25 words
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.
Claim 28
Dependent Claim
37 words
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.
Claim 29
Dependent Claim
37 words
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.
Claim 30
Dependent Claim
37 words
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.
Claim 31
Dependent Claim
38 words
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.
Claim 32
Dependent Claim
28 words
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.
Claim 33
Dependent Claim
39 words
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.
Claim 34
Dependent Claim
27 words
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.
Claim 35
Dependent Claim
24 words
A computer based records management system according to claim 1, further comprising audit means for making a record of processing actions of the system.
Claim 36
Dependent Claim
25 words
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.
Claim 37
Dependent Claim
57 words
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.
Claim 38
Dependent Claim
24 words
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.
Claim 39
Dependent Claim
24 words
A computer based records management system according to claim 34, wherein said audit means makes a record of actions taken by said disposal means.
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USPTO Annuity & Maintenance Windows
| Annuity Stage | Window Opens | Payment Deadline | Surcharge Period Until | Estimated Fee | Status |
|---|---|---|---|---|---|
| 3.5 Years (Year 4) | 2001-09-21 | 2002-03-23 | 2002-09-22 | $2000.00 | Window Closed / Lapsed |
| 7.5 Years (Year 8) | 2005-09-21 | 2006-03-23 | 2006-09-22 | $3760.00 | Window Closed / Lapsed |
| 11.5 Years (Year 12) | 2009-09-21 | 2010-03-23 | 2010-09-22 | $7700.00 | Window Closed / Lapsed |