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iiiiiNiiiii 

0 617 373 A2 



© EUROPEAN PATENT APPLICATION 

© Application number: 94103265.8 © Int. Cl. s : G06F 15/40 



@ Date of filing: 04.03.94 



® 


Priority: 24.03.93 US 36305 


Inventor: Daley, Michael E. 






- 7809 Polara Place 


© 


Date of publication of application: 


Rockville, MD 20855 (US) 




28.09.94 Bulletin 94/39 


Inventor: Motter, Wesley J. 






23647 Rolling Fork Way 


Designated Contracting States: 


Gaithersburg, MD 20882 (US) 




DE FR GB 


Inventor: Tiwari, Manoj K. 


© 




13336 Neerwinder Place 


Applicant: International Business Machines 


Germantown, MD 20874 (US) 




Corporation 






Old Orchard Road 






Armonk, N.Y. 10504 (US) 


© Representative: Harrison, Robert John 


© 




IBM Deutschland 


Inventor: Burket, Thomas G. 


Informationssysteme GmbH, 




9125 Wandering Trail Drive 


Patentwesen und Urheberrecht 




Potomac, MD 20854 (US) 


D-70548 Stuttgart (DE) 



© A method and system tor parallel, system managed storage for objects on multiple servers. 



Europaisches Patentamt 

European Patent Office 

. © Publication number: 

Office europeen des brevets w 



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© A distributed storage system is disclosed in 
which an originating storage location establishes the 
criteria for storage management for a file. When the 
file is transmitted to other, subsidiary storage loca- 
tions, it is accompanied by information controlling 
the storage of the file. For example, the duration of 
storage will be controlled by the control information. 
When a master file is deleted from an archive, in 
accordance with the criteria established at the time 
of storage, copies of the file at subsidiary locations 
can either be rendered inaccessible or alternately 
the storage management for that file can be 
changed. A feature is the distribution of storage 
management control information along with the file to 
diverse storage locations in a complex data process- 
ing system. 



ARCHIVE 
SERVER 
PROCESSOR 
106 



\ CENTRAL H 

I DATABASE H 

| INDEX 

| PROCESSOR U 

J 104 A 



IMAGE 

OBJECT 

DISTRIBUTION 

MANAGER 

PROCESSOR 

100 



LAN 






USER H 


USER 




WORKSTATION R 


WORKSTATION U 




PROCESSOR i 


PROCESSOR | 




112 1 


114 | 



BNSDOCID <EP 06l7373A2_l_> 



Rank Xerox (UK) Business Services 

13. 10/3.09/3.3.4* 



1 



1 



EP 0 617 373 A2 



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Background of the Invention 

1 . Technical Field 

The invention disclosed broadly relates to data 
processing systems and more particularly relates 
to the management of storage in a data processing 
system. 

2. Related Patents 

The following patents are related to the inven- 
tion disclosed herein and are incorporated herein 
by reference: 

USP 5,093,911 by C. A. Parks, et al. entitled "Stor- 
age and Retrieval System," assigned to the IBM 
Corporation and incorporated herein by reference. 

USP 5,161,214 by M. R. Addink, et al. entitled 
"Method and Apparatus for Document Image Man- 
agement in a Case Processing System," assigned 
to the IBM Corporation and incorporated herein by 
reference. 

3. Background Art 

Systems Managed Storage (SMS) is the man- 
agement of data objects in a storage hierarchy 
within a single system. Objects move through 
DASD, optical shelf libraries, tape, and so on within 
the confines of the single system. In an environ- 
ment with distributed servers, a single SMS pro- 
cess for objects is insufficient. The problem is as 
follows: 

Objects captured and stored at one server location 
may require movement to another server for per- 
manent archival storage or for temporary use at 
that server. 

When an object moves to another server for 
archival purposes, it may need to assume different 
management characteristics. 

When an object is copied to another server for 
temporary use, it may need to assume different 
management characteristics. 

When an object has been moved to another 
server for archival purposes and a copy has been 
left behind in the original server, the copy may 
need to assume different management characteris- 
tics. 

Current SMS solutions do not cover these 
problems because of their limitation to single serv- 
ers. 

Objects of the Invention 

U is therefore an object of the invention to 
provide an improved method for managing storage 
in a data processing system. 



It is still another object of the invention to 
provide an improved method for parallel, system 
managed storage for objects on multiple servers in 
a data processing system. 

5 

Summary of the Invention 

These and other objects, features and advan- 
tages are accomplished by the invention disclosed 

w herein. A distributed storage system is disclosed in 
which an originating storage location establishes 
the criteria for storage management for a file. 
When the file is transmitted to other, subsidiary 
storage locations, it is accompanied by information 

75 controlling the storage of the file. For example, the 
duration of storage will be controlled by the control 
information. When a master file is deleted from an 
archive, in accordance with the criteria established 
at the time of storage, copies of the file at subsid- 

20 iary locations can either be rendered inaccessible 
or alternately the storage management for that file 
can be changed. A feature is the distribution of 
storage management control information along with 
the file to diverse storage locations in a complex 

25 data processing system. 

In accordance with the invention, an image 
object distribution manager processor includes a 
memory having a management class table in which 
is stored a user-defined policy for managing the 

30 storage of objects at diverse storage locations in a 
network. The management class table can specify 
document types and storage classes and for each 
document type and storage class, the table can 
provide for the user-defined period for retention of 

35 the document in both its master copy form and its 
derivative copy form. The table can also provide for 
the period of existence of the master file in the 
system before it is automatically archived in an 
archive server in the network. 

4a Further in accordance with the invention, when 

an object file is transferred from one storage loca- 
tion to another storage location in the network, a 
data set of storage management attributes is trans- 
ferred to the destination storage location. The des- 

45 ti nation storage attributes are defined either by the 
management class table in the image object dis- 
tribution manager's processor, or alternately by lo- 
cal storage policy values for some of those at- 
tributes, which can be defined by the user for each 

so respective storage device in the network. 

In this manner, the overall system policy for 
the management of object storage in the network 
can be implemented throughout the system, and 
yet the user can define local customized options 

55 for that management policy to be applied at local 
storage devices in the network. 



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Brief Description of the Drawings 

These and other objects, features and advan- 
tages of the invention will be more fully appre- 
ciated with reference to the accompanying figures. 
Fig. 1A is an architectural block diagram of 
a first example data processing sys- 
tem within which the invention finds 
application. 

Fig. 1B is an architectural block diagram of 
a second example data processing 
system within which the invention 
finds application. 

Fig. 1C is a more detailed block diagram of 
the image object distribution man- 
ager (IODM) processor 100. 

Fig. 1D is a more detailed block diagram of 
the archive server processor 106. 

Fig. 1E is a more detailed block diagram of 
the input workstation processor 1 08. 

Fig. 1F is a more detailed block diagram of 
the user workstation processor 1 1 2. 

Fig. 1G is a more detailed block diagram of 
the user workstation processor 1 1 4. 

Fig. 2 is a flow diagram of the sequence of 
operational steps depicting the mi- 
gration between an original site and 
archival site. 

Fig. 3 is a flow diagram of a sequence of 
operational steps which depicts the 
migration of file control in a more 
detailed manner. 

Fig. 4 is a flow diagram of a sequence of 
operational steps depicting the pro- 
cess for the receipt of file control 
information by a target server. 

Fig. 5 is a flow diagram of a sequence of 
operational steps for the retrieval by 
a local server from a remote server, 
of file control information. 

Fig. 6A illustrates an example application of 
the invention, for the date of 3 
March 1993, inputting the Jones 
document. 

Fig. 6B continues the example of Fig. 6A, for 
the date of 4 March 1993, sending 
the master file to the user work- 
station 112 and keeping a copy at 
the input workstation 108. 

Fig. 6C continues the illustration of Fig. 6B 
for the date of 6 March 1993, ar- 
chiving the master file at the archive 
106, keeping a copy of the file at the 
user workstation 112, and deleting a 
copy of the file at the input work- 
station 108. 

Fig. 6D continues the illustration of Fig. 6C, 
for the date of 7 March 1993, send- 



ing a copy of the file to the user 
workstation 114. 
Fig. 6E modifies the example of Fig. 6B by 
returning to the date of 5 March 
5 1993, and sending the master file to 

the user workstation 1 1 4 and keep- 
ing a copy at the user workstation 
112. 

Fig. 6F continues the example of Fig. 6E at 
w a later time on the date of 5 March 

1993, archiving the master file to the 
archive 106 and keeping a copy at 
the user workstation 114. Discussion 
of the Preferred Embodiment 
75 In accordance with the invention, when an ob- 

ject is captured into a local server, it is assigned 
attributes that define its Systems Managed Storage 
(SMS) characteristics and policies, such as how 
long to stay at certain points in the storage hierar- 
20 chy. Examples: how long to reside on DASD before 
migration to optical storage, how long to reside on 
optical before migration to tape, and so on. The 
invention extends the characteristics and policies 
as follows: 

25 " Define a new policy that controls how long 
the new object resides locally before being 
sent to an archival site. 
" The new policy includes rules that allow the 
object to be given SMS attributes for its 

30 archival site by the original capture site or by 

the archival site, or both, with the actions of 
the archival site taking precedence. The ar- 
chival site then manages the object in parallel 
with the management of the original site. 

35 * The new policy includes rules that allow the 
object to be deleted when it has been ar- 
chived at another site. 
* The new policy includes rules that allow the 
object to be given new SMS attributes at the 

40 local site after it has been archived at another 

site. This allows an object to be managed 
differently after it has made a transition from 
being the original master copy of an object to 
being a copy of the now-archived original. 

45 * When an object is deleted at the archival site, 
either by manual action or as a consequence 
of the management policies (e.g., automatic 
expiration), copies of the object stored at 
other sites may no longer be referenced. 

so * The archival process may occur at any time 
during the lifetime of the local object (the 
lifetime runs from object capture to expira- 
tion). The archival process may occur at any 
point in the storage hierarchy. 

55 * When a remote site requests a copy of an 
object stored locally, the remote site receives 
the SMS attributes of the object as well as 
the object itself, and the remote site may 



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retain those attributes or assign its own at- 
tributes and policies independent of the origi- 
nal. 

Object copies and object originals may have 
identical or different storage management 
policies, depending on the local rules. For 
example, copies may have a limited lifetime 
or copies might be limited to higher-speed 
storage media intended for temporary, quick 
access. Copies may also be placed on per- 
manent archival media as desired within the 
policies. 

" The execution of the policies, once estab- 
lished, is automatic and does not require 
explicit manual action. 
The architectural diagrams of Fig. 1A and Fig. 
1B, provide examples of network of storage de- 
vices, with an input site, an archive site and one or 
more user sites, in a distributed data processing 
system. 

Token ring local area network 105 is an exam- 
ple of a system of servers which can input, store, 
transfer and display document image objects. Each 
server can include a workstation processor with a 
hard disk drive storage, such as an IBM PS/2 Mod 
80, for example. Input workstation server 108 is 
connected to LAN 105, and has a document scan- 
ner 110 as the input device. Workstation server 112 
is connected to LAN 105. Workstation server 114 is 
connected to LAN 105. The archive server 106 is 
connected to LAN 105 in Fig. 1B, and has an 
optical mass storage device for archiving document 
images. A central data base server 104 is con- 
nected to LAN 105, for providing an index to all 
documents stored in the system. The image object 
distribution manager (IODM) server 100 connected 
to the LAN 105, stores a master set of control 
tables which define the storage policy for the var- 
ious types of documents stored in the system and 
the various classes of storage in the system. The 
archive server 106 may be connected through the 
IODM server 100 to the LAN 105 in an alternate 
embodiment shown in Fig. 1A. 

Figs. 1A and 1B show a first workstation 108 
which includes a first storage which can receive a 
storage object, for example the image of a docu- 
ment which has been scanned into the system. In 
accordance with the invention, the storage object at 
workstation 108 can be stored in accordance with a 
storage management policy by means of storing 
control characters in association with the object, in 
the first workstation 108. For example, the duration 
of storage of the storage object may be encoded in 
the control characters which are stored in associ- 
ation with the storage of the object at workstation 
108. 

Figs. 1A and 1B also show a second work- 
station 112 which includes a second storage ca- 



BNSDOCJO <EP 0617373A2_I_> 



pable of storing objects such as image objects. In 
accordance with the invention, when an application 
or user desires to transfer a copy of the stored 
object at workstation 108 to the second storage 

5 device in the workstation 112, the storage manage- 
ment control characters stored in association with 
the stored object are transferred along with the 
stored object from the first workstation 108 to the 
second workstation 112. There, in workstation 112, 

w both the copy of the object to be stored and the 
associated storage management characters are 
stored. 

Further in accordance with the invention, a 
local clock can be associated with or contained in 

75 the first workstation 108, for the purpose of timing 
processes carried out at workstation 108. In accor- 
dance with the invention, the control characters 
associated with the object stored in the first in 
workstation 108, can specify a duration of storage 

20 for the object or alternately an instant in time for 
the initiation of further action at workstation 108 on 
the stored object. Such further action can include 
the deletion of the stored object, the transmission 
of the stored object to a second device, such as 

25 the workstation 112, or other storage management 
function. 

Still further in accordance with the invention, a 
local clock can be associated or contained in the 
second workstation 112, to time processes carried 

30 out in the second workstation. In accordance with 
the invention, the control characters associated with 
the copy of the object stored in the second work- 
station 112. can specify the duration of storage for 
the copy of the object stored in workstation 112. 

35 Still further, the control characters can specify the 
instant in time at which other storage management 
functions can be performed on the copy of the 
object stored in workstation 112, through a monitor- 
ing of the local clock in the workstation 112 and a 

40 comparison of the local time with the timing in- 
formation stored or contained in the control char- 
acters stored in association with the copy of the 
object in workstation 112. 

Still further in accordance with the invention, a 

45 universal expiration instant can be specified in the 
control characters associated with the original copy 
of the object stored in workstation 108 and the 
derivative copy of the object stored in workstation 
112. When the universal instant of time occurs, 

so corresponding to a system-wide instant specified 
by a system-wide clock, the original copy of the 
object at workstation 1 08 and the derivative copy of 
the object in workstation 112 can be simultaneous- 
ly or substantially simultaneously deleted from the 

55 respective storage devices in the two workstations. 

Figs. 1A and 1B also show a central data base 
index 104 which stores an inverted file index that 
relates object files stored in the system, to their 

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respective storage location addresses. In accor- 
dance with the invention, if the control characters 
associated with an object stored at a storage loca- 
tion in the system, such as the first storage device 
in the workstation 108, specifies the transfer of a 
copy of the object to another storage device or 
specifies the deletion of the object from a storage 
device such as the workstation 108, then a mes- 
sage is transmitted from the processor associated 
with the storage device, such as the workstation 
108, to the central data base index 104, to update 
the inverted file index information to reflect the 
change in the location or the change in existence 
of the stored object file. 

Figs. 1A and 1B also show an archive server 
106 which is connected to LAN 105 and which may 
also be connected to the central data base index 
104. In accordance with the invention, the deriva- 
tive copy of the object stored at the second stor- 
age device in the second workstation 112 in asso- 
ciation with its control characters for that stored 
object, can have its storage control specified by its 
control characters as follows. After a specified du- 
ration or at a specified instant in time, a copy of 
the derivative copy, that is a third copy of the 
object, can be transferred from the second work- 
station 112 to the archive server 106 for archive 
storage in the archive server 106. 

Figs. 1A and 1B also show an additional user 
workstation 114 which can be coupled to the token 
ring LAN, for accessing copies of the derivative 
copy of the object stored in the workstation 112 in 
response to application or user requests. 

Thus it is seen that storage management con- 
trol can be distributed along with an object file to 
be stored, by associating with the object, file con- 
trol information in the form of control characters 
which are transmitted in associated with the object 
file to diverse storage locations in a complex data 
processing system. 

Fig. 1C illustrates the image object distribution 
manager (IODM) processor 100. Processor 100 in- 
cludes the memory 120 connected by means of 
the bus 125 to the CPU 122, the keyboard and 
display 124, and the LAN adapter 126 which cou- 
ples the processor 100 to the LAN 105. Also in- 
cluded is the host adapter 127 connecting the bus 
125 to the archive server processor 106 in the 
embodiment shown in Fig. 1A. Also shown in Fig. 
1C is the object storage 128 connected to the bus 
125, which can be a combination of magnetic hard 
disk drives and/or optical storage in both the read 
only and the read/write or the write-once-read- 
many embodiments. * 

The memory 1 20 stores the management class 
table 121 which embodies the user-defined system 
managed storage policy for the data processing 
system of Fig. 1A or Fig. IB. The management 



BNSOOCID: <EP_ 0617373A2_I_> 



class table 121 is accessed by the document type 
and the storage class. Document types can be 
correspondence or they can be buckslips or other 
types of document images intended to be stored in 

5 storage devices located throughout the network of 
Fig. 1A or Fig. 1B. The management class table 
121 provides for a document type of "correspon- 
dence" or "CORR" which provides, for example, 
with a retention period measured in days for both 

;o master copies and derivative copies of a document. 
The retention period can be customized for storage 
classes of input workstations which may be dif- 
ferent from storage classes of user workstations 
which may be different from storage classes of 

15 archive servers in the network of Fig. 1A or Fig. 1B. 
The management class table 121 also provides for 
the period during which a master document may 
reside on input workstations and user workstations 
in the network prior to its being automatically ar- 

20 chived in an archive server processor, for example 
the archive server processor 106 of Figs. 1A or 1B. 

The memory 120 of Fig. 1C also includes the 
image object distribution management program 
123 which is shown in greater detail in the pseudo 

25 code of Table 1 . The programs stored in the mem- 
ory 120 are sequences of executable instructions 
which are executed by the CPU 122. The memory 
120 of Fig. 1C can also store a data base search- 
ing program 118 which will provide searching sup- 

30 port for searching the management class table 121 
when input query of document type, storage class, 
and master or copy status of a particular document 
is input to the processor 100. The memory 120 of 
Fig. 1C will also include a document image man- 

35 agement program 116, such as has been described 
in the related patent applications by C. A. Parks, et 
al. and by M. R. Addink, et al., cited above. The 
memory 120 of Fig. 1C will also include an operat- 
ing system program 1 1 5. A better understanding of 

40 the operation of the IODM processor 100 can be 
gained by referring to the example shown in Figs. 
6A-6F, as described below. 

Fig. 1D is a detailed block diagram of the 
archive server processor 106. The processor 106 

45 includes the memory 130 which is connected by 
means of the bus 135 to the CPU 132, the key- 
board and display 134, and the LAN adapter 136 
which connects to the LAN 105. Also included is 
the index adapter 137 which connects to the cen- 

5b tral data base index processor 104. Also included 
is the object storage 138, which can be combina- 
tions of magnetic hard disk drives and/or optical 
storage devices of the read only, read/write or 
write-once-read many types. 

55 The memory 130 includes the local storage 

policy value attributes 182 which provide user- 
defined local options for a storage policy to be 
applied to the archive server processor 106. The 

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memory 130 also includes the archive memory 
catalog 131 which provides a partition for the stor- 
age of control attributes which are supplied by the 
IODM processor 100 and specifically from the 
management class table 121 therein, to implement 
a system-wide storage management policy. 

The memory 130 also includes a local policy 
override partition 183, which the user or system 
administrator can use to indicate whether the local 
storage policy values 182 or the system-wide stor- 
age policy stored in the archive memory catalog 
131 is to be applied in storing a particular file or 
class of files. Also included in the memory 130 of 
Fig. 1D is the image object distribution manager 
program 133 shown in the pseudo code of Table 4. 
The programs stored in the memory 130 are se- 
quences of executable instructions which are ex- 
ecuted by the CPU 132. 

Also included in the archive server processor 
106 is the object access method program 139 
which facilitates the accessing of objects stored in 
the object storage 138. Also included in memory 
130 is the document image management program 
116 and the operating system program 115. A 
better understanding of the operation of the archive 
server processor 106 can be had by reference to 
the example shown in Figs. 6A-6F, which will be 
discussed below. 

Fig. 1E is a detailed block diagram of the input 
workstation processor 108. Processor 108 includes 
the memory 140 which is connected by means of 
the bus 145 to the CPU 142, the keyboard and 
display 144, and the LAN adapter 146 which con- 
nects to the LAN 105. Also included is the scanner 
adapter 147 which connects to the scanner 110 
and the object storage 148. The object storage 148 
can be a combination of magnetic hard drives and 
optical storage devices of the read only, read/write 
or write-once-read-many type. 

Also included in the input workstation proces- 
sor 108 is the local storage policy attribute values 
180 in the memory 140, which stores user-defined 
values for some of the control attributes for storing 
particular classes of files in the processor 108. Also 
included in the memory 140 is the input memory 
catalog 141 which is a partition for storing the 
storage control attributes received from the IODM 
processor 100 and in particular from the manage- 
ment class table 121 therein, to implement a sys- 
tem-wide storage policy. 

The memory 140 also includes a local policy 
override partition 1 81 , which stores a user provided 
yes or no value to indicate whether the local stor- 
age policy attribute values 180 are to override the 
system-wide storage policy values provided in the 
input memory catalog 141. The memory 140 also 
includes the image object distribution manager pro- 
gram 1 43 which is shown in pseudo code in Table 



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2. The programs in the memory 140 are sequences 
of executable instructions which are executed by 
the CPU 142. Also included in the memory 140 is 
the intelligent forms processing program 149 which 
5 can be used to perform a character recognition of 
information on document images scanned in by the 
scanner 110, to provide the automatic generation of 
alphanumeric control strings which would substitute 
for the control strings input by the keyboard 144. 
io Examples of such control information would be 
document type, file name or other information typi- 
cally required when a new document is scanned 
into the system. The intelligent forms processing 
program 149 is described in greater detail in the 
75 copending patent application serial number 
07/870,129 by T. S. Betts, et al. entitled "Data 
Processing System and Method for Sequentially 
Repairing Character Recognition Errors for 
Scanned Images of Document Forms," filed April 
20 15, 1992, assigned to the IBM Corporation and 
incorporated herein by reference. 

Also included in the memory 140 is the docu- 
ment image management program 116 and operat- 
ing system program 115. A better understanding of 
25 the operation of the input workstation processor 
108 can be had by referring to Figs. 6A-6F describ- 
ing an example, which will be discussed below. 

Fig. 1F illustrates the user workstation proces- 
sor 112. Processor 112 includes the memory 150 
30 which is connected by means of the bus 155 to the 
CPU 152, the keyboard and display 154 and the 
LAN adapter 156 which connects to the LAN 105. 
Also included is an I/O adapter 157 enabling the 
processor 112 to communicate with other networks. 
35 Also included is the object storage 158 which can 
be a magnetic hard drive storage combined with an 
optical storage of the read only, read/write or write- 
once-read-many type. 

The memory 150 also includes the local stor- 
40 age policy attribute values 184 which are user- 
defined storage policy values for particular types of 
documents to be stored in the processor 112. The 
memory 150 also includes the user memory cata- 
log 151 which is a partition for storing storage 
45 policy attributes received from the management 
class table 121 of the IODM processor 100. The 
memory 150 also includes the local policy override 
partition 185 which enables the user to decide 
whether to apply the local storage policy attribute 
so values 184 or alternately the system-wide storage 
policy values in the user memory catalog 151. 

The memory 150 also includes the image ob- 
ject distribution manager program 153 which is 
shown in greater detail of the pseudo code of 
55 Table 3. The programs stored in the memory 150 
are sequences of executable instructions which are 
executed in the CPU 152. Also included in the 
memory 150 is the. document image management 

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program 116 and the operating system program 
115. A better appreciation for the operation of the 
user workstation processor 1 1 2 can be had by 
reference to the example illustrated in Figs. 6A-6F, 
which will be discussed below. 

Fig. 6G is a detailed block diagram of the user 
workstation processor 114. The user workstation 
processor 114 includes the memory 160 which is 
connected by means of the bus 165 to the CPU 
162, the keyboard and display 164 and the LAN 
adapter 166 which is connected to the LAN 105. 
Also included is the I/O adapter 167 which allows 
the processor 114 to be connected to other net- 
works. Also included is the object storage 168 
which can be a magnetic hard drive storage com- 
bined with an optical storage of the read only, 
read/write, or write-once-read-many type. 

The memory 160 also includes the local stor- 
age policy attribute values 186 which are attribute 
values defined by the user for specific application 
at the processor 114, to implement a local policy 
for specific types of documents stored at processor 
114. Also included in the memory 160 is the user 
memory catalog 161 which is a partition for storing 
storage attribute values received from the IODM 
processor and in particular from the management 
class table 121 therein, which embody the system- 
wide storage management policy. 

Also included in the memory 160 is the local 
policy override partition 187 which stores an indica- 
tion provided by the user as to whether the local 
storage policy attribute values 186 or alternately 
the system-wide storage policy values in user 
memory catalog 161 are to be applied. Also in- 
cluded in the memory 160 is the image object 
distribution manager program 163 which is shown 
in pseudo code in Table 3. The programs stored in 
the memory 160 are sequences of executable 
instructions which are executed by the CPU 162. 
Also included in the memory 160 is the document 
image management program 116 and the operating 
system program 1 1 5. A better understanding of the 
operation of the user workstation processor 114 
can be had by referring to the example illustrated 
in Figs. 6A-6F, which will be discussed below. 

The memory catalog partitions shown for the 
input workstation 108, the user workstation 112, the 
archive server 106 and the user workstation 114, 
are all shown with a similar format. The input 
memory catalog 141, the user memory catalog 
151, the archive catalog 131 and the user memory 
catalog 161 all include an update partition for stor- 
ing the last date upon which that partition was 
written into. Each of these memory catalogs also 
includes a store class 170 which stores the storage 
class for that particular processor. Each memory 
catalog also includes a file name partition 171 
which stores the file name for a corresponding file 



which is stored in the object storage for that pro- 
cessor. The memory catalog also includes a mas- 
ter/copy partition 172, which stores the status of 
the file as being either a master copy or a deriva- 

5 tive copy which is currently stored in the object 
storage of that processor. Each memory catalog 
also includes a document type partition 173 which 
stores the document type, for example "correspon- 
dence" or "CORR" as a first document type or 

w "buckslips" as a second document type, for exam- 
ple. Each memory catalog also includes a data 
made partition 174 which stores the date upon 
which the master document image was scanned 
into the system by the scanner 110. The memory 

75 catalogs also include the archive period partition 
175 which provides the period during which a mas- 
ter document image may reside in the system 
following the date made 1 74, before the master file 
is transferred to the archive storage 106. Each 

20 memory catalog also includes the archive date 
partition 176 which is the date upon which the 
master file is to be archived. The memory catalogs 
also include the retention period partition 177 which 
stores the period during which the file may reside 

25 in the object storage of the processor, starting from 
the day it was initially stored in the object storage. 
The memory catalogs are include the retention 
date partition which stores the date upon which the 
file is removed from the object storage of the 

30 processor. The partitions illustrated in Figs. 1D-1F 
and in Figs. 6A-6F are merely illustrative of the 
kinds of attributes which can be provided in the 
memory catalog for these classes of storage de- 
vices and processors. Not all of the memory cata- 

35 logs for all of the processors in the network of Fig. 
1 A or Fig. 1B need be identical. Fewer or additional 
storage control attributes can be provided by the 
memory catalogs in each of these processors. An 
understanding of the operation and use of the 

40 memory catalogs can be had by referring to the 
example illustrated in Figs. 6A-6F which will be 
discussed below. 

Fig. 2 illustrates a flow diagram of the se- 
quence of operational steps for carrying out the 

45 process of migration of file control information be- 
tween an original site and an archival site. The 
following are the steps shown in Fig. 2. 

Steps and Their Discussion for Fig. 2 

50 

202. Original hard copy source document is 
submitted to the input device, such as scanned 
in by a document scanner 110 at workstation 
108. 

55 204. Document image is received from the input 
device 110 and stored temporarily on the hard 
disk drive at the workstation 108. 



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206. In some scenarios, a user may choose to 
review the new document at that time and as- 
sign attributes to the document, such as 
keywords, account number, or priority of action. 
This step may be augmented by intelligent doc- 5 
ument processing, as described in the copen- 
ding patent application serial number 07/870,129 
by T. S. Betts, et al. entitled "Data Processing 
System and Method for Sequentially Repairing 
Character Recognition Errors for Scanned Im- 10 
ages of Document Forms," filed April 15, 1992, 
assigned to the IBM Corporation and incorpo- 
rated herein by reference. 
208. Either by explicit user action or by internal 
system processing, the document is assigned a 15 
set of management policies. 
210. System software stores the document con- 
tent on the target server 112 and enters storage 
control information about the document in the 
server's catalog. 20 
212. System software examines the document 
information in the catalog and determines how 
many days should pass before the document is 
migrated to an archival site 106. Server's 112 
catalog is set to indicate the date at which 25 
migration is scheduled. 

214. On or after the date scheduled for this 
document, system software examines the serv- 
er's 112 catalog for documents that require ac- 
tion. System software determines this document 30 
requires action - migration to an archive site 
106. 

216. See flow "Migration Detail" of Fig. 3, which 
completes. 

218. Because the original document content is 35 
being moved to the archival site 106, the server 
112 marks its remaining copy of the document 
as a "copy" distinguished from "master" or 
"original," by altering the storage control in- 
formation in the server's 112 catalog. 40 
220. Server 112 looks at the management poli- 
cies for the document. One policy establishes 
what to do to documents that have been mi- 
grated to another server, e.g. archive 106. That 
is. delete or preserve the document on server 45 
112. 

222. If the policy indicates deletion, then the 
server 112 deletes its copy of the document 
from its storage space and catalog. Flow com- 
pletes. 50 
224. If the policy indicates no deletion (preserve 
copy), then the document is not deleted from 
server 112. Check other management policies 
for the document. A policy may allow the at- 
tributes of a document to be changed after it 55 
has been migrated, because a document copy 
may be managed differently than its master. 



226. If the local policy for this type of document 
does not allow attributes to change after migra- 
tion, leave attributes alone. Only the "copy" vs. 
"master" indication has changed. Go to step 
230. 

228. If the local policy for this type of document 
allows attributes to change, then system soft- 
ware or customized user code determines new 
attributes for the document. 
230. Compute next management action for the 
document based on its attributes and the current 
date. 

Fig. 3 is a flow diagram of a sequence of 
operational steps which provides a more detailed 
illustration of the migration of file control char- 
acters. The migration detail flow steps are as fol- 
lows: 

Migration Detail Flow of Fig. 3 

302. Local server policy identifies which server 

in the network is the target archival server 106 

for this server's 112 captured documents. 

304. If local server 112 policy does not allow a 

document to be given new policy attributes as it 

migrates, then skip to step 308. 

306. System software or customized user code 

determines the attributes to be sent with the 

object to its new server 106. These attributes do 

not affect the attributes in the local server's 112 

catalog. 

308. Send document content and attributes to 
new server 106. The attributes sent are either 
the active attributes. Then, go to flow "Receipt 
by Target Server" in Fig. 4. 
312. Target server 106 notifies source server 
1 12 of successful receipt. 
314. Source server 112 updates central catalog 
in IODM 100 for all servers to record that the 
document "master" is now on the target server. 
Fig. 4 is a flow diagram of a sequence of 

operational steps which depicts the process for 

receipt of file control information by a target server. 

The following are the steps for the receipt by the 

target server. 

Receipt by Target Server for Fig. 4 

402. Target server 106 receives document and 
the suggested attributes from the source server 
112. 

404. If target server's 106 local policy does not 
allow attributes to be sent from another server, 
skip to step 408. 

406. Validate that attributes sent by source serv- 
er 112 are acceptable. Override attributes that 
are not acceptable, using system software or 
customized user code. Skip to step 410. 



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408. Use target server's 106 local policy for 
migrated documents to assign policy attributes 
to the received document. 
410. Store document in target server's 106 stor- 
age space and in its catalog. 5 
412. Use document's policy attributes and their 
meaning at the target server 106 to schedule 
next action for the document at that server. The 
action might include migrating the document to 
a third server for more permanent archival, de- w 
leting it. or other storage management action. 
This action is independent of document man- 
agement at the original source server 108 that 
captured the document. Step 414 determines if 
the target server 106 policy allows attributes for 75 
time, based on current date and management 
policies for that server and document. 
Fig. 5 is a flow diagram of a sequence, of 
operational steps for performing the process of 
retrieval of file control information by a local server 20 
114 from a remote server 106. The following steps 
describe the retrieval from a remote server. 

Retrieval From Remote Server for Fig. 5 

25 

502. Locai server 114 determines it needs docu- 
ment that it does not have, and determines 
which remote server 106 has the document 
master, using the control index 104. 
504. Local server 114 requests copy of the 30 
document from the server 1 06 with the master. 
506. Owning server 106 sends document and 
relevant policy attributes to the requesting local 
server 114. 

508. If local server's 114 policy does not allow 35 
acceptance of attributes sent from another serv- 
er, skip to 512. 

510. Validate that attributes sent by remote 
server 106 are acceptable. Override attributes 
that are not acceptable, using system software 40 
or customized user code. Skip to step 514. 
512. Use local server's 114 policy for new 
copies of documents to assign policy attributes 
to the received document. 

514. Store document and attributes in local serv- 45 
er's 114 storage space and in its catalog. 
516. Use document's policy attributes and their 
meaning at the target server 114 to schedule 
next action for the document at that server 114. 
The action may not include migrating the docu- 50 
ment to another server for more permanent ar- 
chival, because this is not the master copy of 
the document, and only master copies may be 
migrated. This action is independent of docu- 
ment management at the owning remote server 55 
106. and independent of whether this local serv- 
er 114 was the same server that captured the 
original source document before migration. 



EXAMPLE 1 

A letter arrives to a business from a customer 
asking for the addition of a new person to an 
insurance policy. The business employee who han- 
dles incoming mail scans (110) the letter into the 
storage system (108) and, based on the customer 
number from the letter, puts it into the customer's 
folder. Because the letter is a policy change letter, 
the employee assigns the letter to management 
category POLICY LETTER. 

You could consider POLICY LETTER a "man- 
agement class," which is one of the set of "control 
characters." Now, previously the system storage 
administrator had given the management class the 
following other characteristics for managing this 
type of data. These control values were previously 
stored in IODM 100, and are now downloaded to 
server 108. 

"Migration period" - 0 days. Migrate this object 
to the archive at the first opportunity. The customer 
wishes to have a permanent archive made the 
same day as images arrive into the system. 

Storage class" - store the image on DASD. 
Class transition period" - 7 days. Keep the local 
image on DASD for one week. This is to keep a 
local copy handy during the likely period of pro- 
cessing by the company and potential follow-up 
with customer. 

"Retention period" - 7 days. Delete the object 
at this site after one week. Instead of a class 
transition to a slower medium, the object will be 
purged. 

The flows of Figs. 2-5 show changing attributes 
during the migration to the archive site 106. Here is 
an example of what could happen. In this example, 
the local site (112) decides to change the attributes 
when it sends the image to the archive site (106). It 
says the image's management class should be 
"ARCHIVED" which the system storage administra- 
tor previously defined in IODM 100. These values 
for "ARCHIVED" management class are now down- 
loaded to server 106. It could have characteristics 
(at the target archive site 106): 

"Migration period" - none. This class does not 
migrate anywhere because it is the final destina- 
tion. "Storage class" - store the image on DASD. 

"Class transition period" - 1 day. After one 
day, the image will be migrated to another storage 
class (optical) at this site. Note that this occurs 
independently of the seven-day period still running 
down at the original capture site. Retention period" 
- 7 years. For this company, this type of image 
must be retained for seven years. 



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EXAMPLE 2 

A particular example of system managed stor- 
age in accordance with the invention, is provided in 
Figs. 6A-6F. The pseudo code represented in Ta- 
bles 1-4 should also be referred to in discussing 
the example of Figs. 6A-6F. The example refers to 
the system of Figs. 1 A or 1 B and provides for the 
input of a hard copy Jones document into the input 
workstation 108. This is followed by the transfer of 
the master copy to the user workstation 112 and 
the retention of a derivative copy in the input 
workstation 108. This is followed by the transfer of 
the master copy to the archive server 106 and the 
retention of a derivative copy in the user work- 
station 112 and further, the expiration of the reten- 
tion period for the copy in the input workstation 
108. This is followed by the transfer of a derivative 
copy of the file to the user workstation 114. This 
sequence is illustrates in Figs. 6A-6D. 

In Fig. 6A, the scanner 110 scans in the hard 
copy Jones document and the image file for that 
document is transferred to the input object storage 
148 of the input workstation 108 where it is stored 
as a master copy. Substantially simultaneously, the 
document type input is provided either by the 
keyboard 144 for the input workstation 108, or 
alternately the document type is derived from char- 
acter recognition on the scanned image from the 
scanner 110. The document type information is 
then transferred from the input processor 108 to 
the IODM processor 100. The IODM processor 100 
will then use the document type input, which in this 
case is "correspondence" and the storage class for 
the input workstation 108, which is "input work- 
station," to select a retention period and an archive 
master period. Since it is a master copy which is to 
be stored in the input object storage 148, it will be 
the retention period for a master copy at an input 
workstation for a document type which is "cor- 
respondence " which is accessed from the manage- 
ment class table 121. Also, the archive master 
period will be selected for the input workstation 
storage class. The value of the retention period of 
five days and of the archive period three days is 
then output from the IODM processor 100 to the 
input workstation 108, where it is stored in the input 
memory catalog 141. . 

The following values are stored in the input 
memory catalog 141 at this time. First the update 
value of 3 March 1993 is stored. The storage class 
170 is "input." The file name 171 is "Jones." The 
master/copy 172 is "master." The document type 
173 is "CORR." The date made 174 is today's date 
of 3 March 1993. The archive period 175 is the 
value transferred from the IODM processor or three 
days. The archive date 176 is computed by adding 
the archive period 175 to the date made 174, which 



becomes 6 March 1993. The retention period 177 
is the value transferred from the IODM processor 
100 or five days. A retention date 178 is computed 
from the archive date 176 plus the retention period 

5 177, which becomes 8 March 1993. These control 
attributes stored in the input memory catalog 141 
of the input workstation 108, will provide the sys- 
tem-wide storage management policy for the stor- 
age of the Jones master file in the object storage 

w 148. If the user has specified that the local policy 
override 181 in the input workstation processor 108 
would be effective, then the local storage policy 
attribute values 180 would have been substituted 
for the corresponding values in the input memory 

75 catalog 141. 

For the example shown in Figs 6A-6F, the local 
policy override partitions will all be set to "no" so 
that the system-wide storage policy will be imple- 
mented. Reference should be made to the pseudo 

20 code of Tables 1 and 2 for a detailed understand- 
ing of the sequence of steps carried out in storing 
the master file of the Jones document in the input 
object storage 148 and in entering the storage 
control attributes into the input memory catalog 

25 141. 

Fig. 6B illustrates the operation on the following 
day for March 1993 sending the master file from 
the input workstation 108 to the user workstation 
112 and of keeping a copy of the file at the input 

30 workstation 108. As is shown in Fig. 6B, the stor- 
age class 170 for the user memory catalog 151 is 
"user." The file name 171 of "Jones" is transferred 
from the input workstation 108. The master/copy 
172 is "master," the document type 173 is 

35 "CORR," the data made 174 is still the original 
scanning date of 3 March 1993. The archive period 
175 is received from the management class table 
121 of the IODM processor 100 and is a value of 
two days. The archive date 176 is computed by 

AO adding the archive period of two days to the date 
made 174, which becomes the archive date 176 of 
5 March 1993. The retention period 177 is received 
from the management class table 121 of the IODM 
processor 100 and is a value of 10 days. This 

45 value is added to the update value of 4 March 
1993, which is the date that the entry is made to 
the user memory catalog 151. Thus the retention 
date 178 is the retention period 177 of 10 days 
added to the update of 4 March 1993, or 14 March 

so 1993. Reference should be made to the pseudo 
code of Tables 1, 2 and 3 to understand the 
detailed steps carried out in Fig. 6B. 

Rg. 6C shows the action on 6 March 199, of 
archiving the master at the archive 106, keeping a 

55 copy at the user workstation 112 and deleting a 
copy at the input workstation 108 because it has 
expired. Reference should be made to Tables 1-4 
for the pseudo code detailed representation of the 

10 



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Steps for Fig. 6C. 

Fig. 6D shows the action on 7 March 1993 
sending a copy to the user workstation 114. Refer- 
ence should be made to the pseudo code in Ta- 
bles 1-4 for a detailed description of the steps 
which accomplish Fig. 6D. Fig. 6E and Fig. 6F 
modify the example, taking the time back to 4 
March 1993 in Fig. 6B. Following Fig. 6B, Fig. 6E 
then occurs on 5 March 1993, and sends the 
master to the user workstation 114 and keeps a 
copy at the user workstation 112. Reference should 
be made to the pseudo code of Tables 1-4 for 
detailed steps carried out in Fig. 6E. 

Fig. 6F occurs at a later time on the same day 
of 5 March 1993, where the master is archived on 
the archive server 106 and a copy is kept at the 
user workstation 114 (see Tables 1-4 for details). 

The transition of the example from Fig. 6B to 
Fig. 6C archives the master file at the archive 106 
by transferring it from the user 112. A copy is to be 
kept at the workstation 112. Tables 1-4 illustrate 
the detailed steps for transferring from the manage- 
ment class table 121 in the IODM processor 100 
the appropriate control attributes for system-wide 
storage policy to the user memory catalog 151 of 
the user workstation 112 and to the archive mem- 
ory catalog 131 in the archive server 106. In" par- 
ticular, it can be seen that the archive period 175 
and retention period 1 77 are transferred to the user 
memory catalog 151 from the management class 
table 121, and that the resulting archive date 176 
and the retention date 178 are computed and writ- 
ten into the user memory catalog 151. Also it can 
be seen that the archive period 175 and the reten- 
tion period 177 have been transferred to the ar- 
chive memory catalog 131 for the archive server 
106. From this, the archive date 176 and the reten- 
tion date 178 are computed and written into the 
archive memory catalog 131. In this example, the 
local policy override for the user workstation 112 
and the archive server 106 are set to "no" so that 
the system-wide policy established by the manage- 
ment class table 121 in the IODM processor 100, is 
applied at the user workstation 112 and the archive 
server 106. 

In addition, it can be seen in Fig. 6C. that the 
retention date of 6 March 1993 for the copy of the 
file stored in the input workstation 108, as repre- 
sented by the input memory catalog 141 of Fig. 
6B, has expired on the date 6 March 1993, as 
represented in Fig. 6C. This results in the retention 
routine executed in the input workstation 108, de- 
leting the copy of the file stored in the input object 
server 148 and deleting the entry for the Jones 
copy in the input memory catalog 141, as is shown 
in Fig. 6. This operation is set forth in greater detail 
in Table 2. 



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Thus it can be seen that the system-wide stor- 
age policy established by the system administrator 
and embodied in the management class table 121 
in the IODM memory 120 of the IODM processor 

5 100, is carried out in various servers and storage 
devices in the network. 

Fig. 6D illustrates the transition in the example 
from Fig. 6C, for the following day of 7 March 
1993, where a copy of the file stored in the archive 

w server 106, is transferred to the workstation 114. 
Fig. 6D shows that the appropriate storage control 
attributes are output from the management class 
table 121 in the IODM processor 100 to the user 
memory catalog 161 in the user workstation 114, in 

75 association with the transfer from the archive server 
106 of a copy of the Jones file to the object 
storage 168 in the user workstation 114. In particu- 
lar, the archive period 175 and the retention period 
177 are transferred from the management class 

20 table 121 to the user memory catalog 161 as 
shown in Fig. 6D. Then, the archive date 176 is 
computed and the retention date 178 is computed 
and those values are stored in the user memory 
catalog 161 of Fig. 6D. These steps are provided in 

25 the pseudo code of Table 3. 

It can be seen that a retention date has been 
computed of 9 March 1993 for the copy stored at 
the user workstation 114. This carries out the sys- 
tem-wide storage policy established by the system 

30 administrator and embodied in the management 
class table 121. Reference can be made to Fig. 1G 
illustrating the user workstation processor 114, to 
see the effect of a local policy override. If the local 
policy override 187 indicates "yes," then the local 

35 storage policy values 186 will be substituted for 
system-wide policy values which have been stored 
in the user memory catalog 161 for the user work- 
station processor 114. In the case of a local policy 
override, the retention period 177 of 15 days, as 

40 provided in the local storage policy values 186 of 
Fig. 1G, will be substituted for the system-wide 
specified retention period 177 of two days which 
was provided by the IODM processor 100. This 
would result in a computed retention date 178 of 

45 the addition of 15 days to the 7 March 1993 update 
value, which would result in a 22 March 1993 
retention date 178 being the effective retention 
date for the copy of the Jones file stored at trje 
user workstation 114 on 7 March 1993. In this 

so manner, a system-wide storage management poli- 
cy can be given effect, and yet local user selection 
of alternate storage policies can be effectively sub- 
stituted. 

Regarding the transition from Fig. 6B on 4 
55 March 1993 to Fig. 6C on 6 March 1993, it is noted 
that the archive date 176 in the user memory 
catalog 151 of Fig. 6B specifies 5 March 1993. 
However, as is observed in Fig. 6C, the date of 

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archiving is 6 March 1993. An example of this 
circumstance would be if the date 5 March 1993 
fell on a holiday so that the user workstation 1 1 2 
was not turned on on that day. As can be seen in 
the pseudo code of Table 3, when the user work- 5 
station is turned on, an initial inquiry is made as to 
whether there are any archive dates which are the 
same day or older than the current day. Thus, the 
master file stored in the user object storage 158 is 
archived on the day 6 March 1993 following the 10 
specified archive date 176 of 5 March 1993 for the 
user memorycatalog 151 of Fig. 6B. 

To illustrate the feature of transferring a file 
between the same class of storage devices, Figs. 
6E and 6F are provided for the example. Fig. 6E 75 
starts from Fig. 6B whose date is 4 March 1993, 
and on the following day 5 March 1993, Fig. 6E 
provides for the transfer of the master copy of the 
Jones file from the user workstation 112 to the user 
workstation 114. (This transfer before archiving 20 
would be possible in the example, if the user 
workstation 112 sent the file to workstation 114 
after midnight, so that the date becomes 050393, 
but the device has remained on. Thus step 802 of 
Table 3 is not satisfied.) This example in Fig. 6E is 25 
a transfer of a file without changing its master/copy 
status and without changing its storage class status 
which remains "user." Since the document type 
173 also does not change, no change in the stor- 
age control attributes are necessary in order to 30 
maintain the effect of the system-wide policy es- 
tablished in the management class table 121 of the 
IODM processor 100. Therefore, as can be seen in 
Fig. 6E. in the transfer of the master file from the 
user object store 158 in user workstation 1 12 to the 35 
user object store 168 in the user workstation 114, 
the contents of the user memory catalog 151 at the 
user workstation 112 is transferred to the user 
memory catalog 161 in the user workstation 114. At 
the user workstation 114, the extra copy which is 40 
received has the retention period 177 used to re- 
compute the retention date 178, by adding the 
retention period of 10 days to the user memory 
catalog update of 5 March 1993, resulting in a new 
computed retention date 178 of 15 March 1993, 45 
which is written into the user memory catalog 161. 
In this manner, the storage control attributes pro- 
vided for the storage of the master file in the user 
workstation 112, are transferred to the user work- 
station 114, and those attributes which must be re- 50 
computed such as the retention date 178, are re- 
computed and stored at the new location. In this 
manner, the system-wide storage management 
policy is given effect. 

The transition from Fig. 6E to Fig. 6F occurs 55 
later on the same day of 5 March 1993, where the 
pseudo code of Table 3 determines that the master 
file stored in the user workstation 114 is ready to 



be archived in the archive server 106. The transfer 
of the master file from the user workstation 1 14 to 
the archive server 106 and the keeping of a copy 
of that file at the user workstation 114 is accom- 
panied by the transfer of the appropriate storage 
control attributes from the management class table 
121 in the IODM processor 100 to the user mem- 
ory catalog 161 and the archive memory catalog 
131, as shown in Fig. 6F. In particular, the archive 
period 175 and the retention period 177 are trans- 
ferred into the user memory catalog 161 and the 
corresponding archive date 176 and the retention 
178 are re-computed into the user memory catalog 
161. The file name 171, master copy status 172, 
document type 173 and date made 174 are trans- 
ferred directly from the user memory catalog 161 
to the archive memory catalog 131. The archive 
period 175 and the retention period 177 are trans- 
ferred to the archive memory catalog 131 from the 
management class table 121 of the IODM proces- 
sor 100. The archive date 176 and the retention 
date 178 are then re-computed and stored in the 
archive memory catalog 131. In this manner, the 
system-wide storage management policy embodi- 
ment in the IODM processor 100. is given effect in 
the user workstation 114 and the archive server 
106. 

The invention can be applied to image man- 
agement systems and to management of arbitrary 
machine-readable object types, since any object 
type is a potential candidate for storage manage- 
ment policies. 

The resulting invention enables an originating 
storage location to establish the criteria for storage 
management for file throughout a complex, distrib- 
uted storage data processing system. 

Although a specific embodiment of the inven- 
tion has been disclosed, it will be understood by 
those having skill in the art that changes can be 
made to that specific embodiment without depart- 
ing from the spirit and the scope of the invention. 

Claims 

1. In a data processing system having a plurality 
of storage devices, including an originating 
storage device and an archiving storage de- 
vice, a method for parallel system managed 
storage for objects, comprising the steps of: 
receiving an object file at an originating stor- 
age location; 

assembling control information to control the 
storage of said file in a storage device; 
transmitting a copy of said file and said control 
information to a second storage device in said 
data processing system; 
performing said control functions at said sec- 
ond storage device in response to said control 



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information. 

2. The method of claim 1 which further com- 
prises: 

said control information controlling a duration 
of storage for said object file. 

3. The method of claim 2 which further com- 
prises: 

deleting said object file at said originating stor- 
age location; 

reading said control information at said second 
storage location associated with said copy of 
said file; 

deleting said copy of said file at said second 
storage location, in response to said control 
information. 

4. The method of claim 1, which further com- 
prises: 

selectively performing alternate local option 
control functions at said second storage de- 
vice. 

5. The method of claim 1, wherein said control 
information controls the migration of said ob- 
ject file to a third storage device in said sys- 
tem. 

6. The method of claim 1, wherein said control 
information controls the migration of said ob- 
ject file to a third storage device in said sys- 
tem after a duration from said receiving at said 
originating location. 

7. In a data processing system having a plurality 
of storage devices, including an originating 
storage device and an archiving storage de- 
vice, a subsystem for parallel system managed 
storage for objects, comprising: 

receiving means for receiving an object file at 

an originating storage location; 

assembling means coupled to said receiving 

means, for assembling control characters to 

control the storage of said file in a storage 

device; 

transmitting means coupled to said assembling 
means, for transmitting over a communication 
link a copy of said file and said control char- 
acters to a second storage device in said data 
processing system; 

control means coupled to said communication 
link, for performing said control functions at 
said second storage device in response to said 
control characters. 

8. The subsystem of claim 7 which further com- 
prises: 



said control characters controlling a duration of 
storage for said object file. 

9. The subsystem of claim 8 which further com- 
5 prises: 

first deleting means coupled to said receiving 
means, for deleting said object file at said 
originating storage location; 
reading means coupled to said control means, 
10 for reading said control characters at said sec- 

ond storage location associated with said copy 
of said file; 

second deleting means coupled to said read- 
ing means, for deleting said copy of said file at 
;5 said second storage location, in response to 

said control information. 

10. The subsystem of claim 7, wherein said object 
file is an image object file. 

20 

11. The subsystem of claim 7, wherein said control 
information controls the migration of said ob- 
ject file to a third storage device in said sys- 
tem. 

25 

12. The subsystem of claim 7, wherein said control 
information controls the migration of said ob- 
ject file to a third storage device in said sys- 
tem after a duration. 

30 



35 



40 



45 



50 



55 



13 



BNSDOCID <EP_0617373A2_I_> 



EP 0 617 373 A2 



FIGURE 1A 



ARCHIVE 




CENTRAL 


SERVER 




DATABASE 


PROCESSOR 




INDEX 




106 




PROCESSOR 
104 



IMAGE 
OBJECT 

DISTRIBUTION 
MANAGER 
PROCESSOR 
100 



LAN 105 



T 



INPUT 

WORKSTATION 

PROCESSOR 

108 



USER 

WORKSTATION 

PROCESSOR 

112 



USER 

WORKSTATION 

PROCESSOR 

114 



SCANNER 
110 



BNSDCOD <EP _0617373A2_I_> 



14 



EP 0 617 373 A2 



FIGURE 1B 



IMAGE 

OBJECT 

DISTRIBUTION 

MANAGER 

PROCESSOR 

100 



ARCHIVE 




CENTRAL 


SERVER 




DATABASE 


PROCESSOR 




INDEX 




106 




PROCESSOR 
104 



X 



LAN 105 



INPUT 

WORKSTATION 

PROCESSOR 

108 



USER 

WORKSTATION 

PROCESSOR 

112 



USER 

WORKSTATION 

PROCESSOR 

114 



SCANNER 
110 



BNSDOCID <EP_0617373A2J_> 



15 



EP 0 617 373 A2 



FIGURE 1C 



IODM PROCESSOR 100 



IODM MEMORY 120 





MANAGEMENT CLASS 


TABLE 121 




DOC . TYPE — > 

STORAGE j 
CLASS ! 


CORRESPONDENCE 
PERIODS 
RETENTION 


( DAYS ) 
ARCHIVE 
MASTER 


j BUCK SLIPS 

j PERIODS 

| RETENTION 


( DAYS ) 
ARCHIVE 
MASTER 


i i 

INPUT WKSTA ! 


MASTER | COPY 
5 1 2 


3 


I MASTER ! COPY 
1 1 ! 1 




USER WKSTA. | 


10 ! 2 


2 


j 10 j 2 




ARCHIVE J 


PERM i - 









IMAGE OBJECT DISTRIBUTION MANAGER PROGRAM 123 (TABLE 1) 



DATA BASE SEARCHING PROGRAM 118 



DOCUMENT IMAGE MANAGEMENT PROGRAM 116 



OPERATIING SYSTEM PROGRAM 115 



BUS 125 



CPU 
122 



KEYBD/ 

DISPLAY 

124 



LAN 

ADAPT 

126 



LAN 105^> 



HOST 

ADAPT 

127 



OBJECT 

STORAGE 

128 



TO 106 



BNSDOCID: <EP 0617373A2_I_> 



16 



EP 0 617 373 A2 



FIGURE 1 D 



ARCHIVE SERVER PROCESSOR 106 



> 









MEMORY 130 












LOCAL 

STORAGE 

POLICY 

VALUES 

182 


STORE 
CLASS 
170 


FILE- 
NAME 
171 


MASTER 
/ COPY 
172 


DOC 

TYPE 

173 


DATE 
MADE 
174 


ARCHIV 
PERIOD 
175 


ARCH 
DATE 
176 


RETENT 
PERIOD 
177 


RETEN 

DATE 

178 






ARCH 




MASTER 


CORR 








5 YRS 






131, 






















ARCHIVE 

MEMORY 

CATALOG 

UPDATE= 

060393 


STORE 
CLASS 
170 


FILE- 
NAME 
171 


MASTER 
/ COPY 
172* 


DOC 

TYPE 

173 


DATE 
MADE 
174 


ARCHIV 
PERIOD 
175 


ARCH 
DATE 
176 


RETENT 
PERIOD 
177 


RETEN 

DATE 

178 






ARCH 


JONES 


MASTER 


CORR 


3393 






PERM 


PERM 
























LOCAL POLICY OVERRIDE 


(YES/NO) 183 










IMAGE OBJECT DISTRIBUTION MANAGER 


PROGRAM 13 3 


(TABLE 4) 




OBJECT ACCESS METHOD PROGRAM 


139 












DOCUMENT IMAGE MANAGEMENT PROGRAM 


116 










OPERATIING SYSTEM PROGRAM 115 



BUS 135 v 



CPU 




KEYBD/ 






DISPLAY 


132 




134 



LAN 

ADAPT 

136 



LAN 105- 



INDEX 
ADAPT 
137 



OBJECT 

STORAGE 

138 



TO 104 



BNSDOCID: <CP 0617373A2_I_> 



17 



EP 0 617 373 A2 



FIGURE 1E 



INPUT WORKSTATION PROCESSOR 108, 









MEMORY 140 












LOCAL 

STORAGE 

POLICY 

VALUES 

180 


STORE 
CLASS 
170 


FILE- 
NAME 
171 


MASTER 
/ COPY 
172 


DOC 

TYPE 

173 


DATE 
MADE 
174 


ARCHIV 
PERIOD 
175 


ARCH 
DATE 
176 


RETENT 
PERIOD 
177 


RETEN 

DATE 

178 






INPUT 




MASTER 


CORR 




7 




20 




























INPUT 

MEMORY 

CATALOG 

UPDATE= 

030393 


STORE 
CLASS 
170 


FILE- 
NAME 
171 


MASTER 
/ COPY 
172 


DOC 

TYPE 

173 


DATE 
MADE 
174 


ARCHIV 
PERIOD 
175 


ARCH 
DATE 
176 


RETENT 
PERIOD 
177 


RETEN 

DATE 

178 






INPUT 


JONES 


MASTER 


CORR 


3393 


3 


6393 


5 


08393 
























LOCAL POLICY OVERRIDE 


(YES /NO) 181 










IMAGE OBJECT DISTRIBUTION MANAGER 


PROGRAM 143 


(TABLE 2) 




INTELLIGENT FORMS PROCESSING 


PROGRAM 149 








DOCUMENT IMAGE MANAGEMENT PROGRAM 


116 










OPERATIING SYSTEM PROGRAM 115 



BUS 14 5 



CPU 




142 





KEYBD/ 

DISPLAY 

144 



LAN 

ADAPT 

146 



SCAN 

ADAPT 

147 



LAN 



ios4 



OBJECT 

STORAGE 

148 



TO 110 



BNSDOCID: <BP 0617373A2J_> 



18 



EP 0 617 373 A2 



FIGURE IF 



USER WORKSTATION PROCESSOR 112 









MEMORY 150 












LOCAL 

STORAGE 

POLICY 

VALUES 

184 


STORE 
CLASS 
170 


FILE- 
NAME 
171 


MASTER 
/ COPY 
172 


DOC 

TYPE 

173 


DATE 
MADE 
174 


ARCHIV 
PERIOD 
175 


ARCH 
DATE 
176 


RETENT 
PERIOD 
177 


RETEN 

DATE 

178 






USER 




MASTER 


CORR 




8 




25 






151, 






















USER 

MEMORY 

CATALOG 

UPDATE= 

040393 


STORE 
CLASS 
170 


FILE- 
NAME 
171 


MASTER 
/ COPY 
172 


DOC 

TYPE 

173 


DATE 
MADE 
174 


ARCHIV 
PERIOD 
175 


ARCH 
DATE 
176 


RETENT 
PERIOD 
177 


RETEN 

DATE 

178 






USER 


JONES 


MASTER 


CORR 


3393 


2 


5393 


10 


14393 
























LOCAL POLICY OVERRIDE 


(YES/NO) 185 










IMAGE OBJECT DISTRIBUTION MANAGER 


PROGRAM 153 


(TABLE 3) 




DOCUMENT IMAGE MANAGEMENT PROGRAM 


116 










OPERATIING SYSTEM PROGRAM 115 



OBJECT 

STORAGE 

158 



BUS 155 



CPU 




KEYBD/ 






DISPLAY 


152 




154 



LAN 

ADAPT 

156 



LAN 105- 



I/O 

ADAPT 

157 



BNSOOCID <EP_ 0617373A2J_> 



19 



EP 0 617 373 A2 



FIGURE 1G 



USER WORKSTATION PROCESSOR 114 









MEMORY 160 












LOCAL 

STORAGE 

POLICY 

VALUES 

186 


STORE 
CLASS 
170 


FILE- 
NAME 
171 


MASTER 
/ COPY 
172 


DOC 

TYPE 

173 


DATE 
MADE 
174 


ARCHIV 
PERIOD 
175 


ARCH 
DATE 
176 


RETENT 
PERIOD 
177 


RETEN 

DATE 

178 






USER 




COPY 


CORR 




10 




15 






161 . 






















USER 

MEMORY 

CATALOG 

UPDATE= 

070393 


STORE 
CLASS 
170 


FILE- 
NAME 
171 


MASTER 
/ COPY 
172 


DOC 

TYPE 

173 


DATE 
MADE 
174 


ARCHIV 
PERIOD 
175 


ARCH 
DATE 
176 


RETENT 
PERIOD 
177 


RETEN 

DATE 

178 






USER 


JONES 


COPY 


CORR 


3393 






2 


09393 
























LOCAL POLICY OVERRIDE 


(YES/NO) 187 










IMAGE OBJECT DISTRIBUTION MANAGER 


PROGRAM 163 


(TABLE 3) 




DOCUMENT IMAGE MANAGEMENT PROGRAM 


116 










OPERATIING SYSTEM PROGRAM 115 



BUS 155 



CPU 
162 



KEYBD/ 

DISPLAY 

164 



LAN 

ADAPT 

166 



LAN 



105-4 



I/O 

ADAPT 

167 



OBJECT 

STORAGE 

168 



BNSOOOD <EP_ 0617373A2_I_> 



20 



EP 0 617 373 A2 



FIG ' 2 MIGRATION BETWEEN 

DOCUMENT ORIGINAL SITE 

| 202 . AND ARCHIVAL SITE 

V r 
INPUT DOCUMENT OBJECT 
I 

V 

RECEIVE AT USER WORKSTATION 204 
V 

USER IDENTIFY * S DOCUMENT INDEX ATTRIBUTES ^206 
V 

ATTRIBUTES DETERMINE DOCUMENT MANAGEMENT POLICIES 208 
(POLICY INCLUDES HOW LONG A NEWLY CAPTURED 
DOCUMENT STAYS ON THE LOCAL SERVER BEFORE 
MIGRATION TO ARCHIVAL SITE) 

V 

DOCUMENT IS STORED ON SERVER AND ITS 210 
POLICY ATTRIBUTES ARE ALSO STORED ON SERVER 
I 

V 

MIGRATION TO ARCHIVAL SITE IS SCHEDULED FOR FUTURE 212 
TIME BASED ON CURRENT DATE AND MANAGEMENT POLICIES — "* 
FOR THAT SERVER AND DOCUMENT 
I 

V 

SERVER DETECTS THAT MIGRATION DATE HAS ARRIVED 214 
AND BEGINS MIGRATION PROCESS (SEE OTHER FLOW) «*-* 

V 

MIGRATION TO ARCHIVAL SITE COMPLETES 216 
V 

DOCUMENT IS MARKED AS A "COPY" INSTEAD OF ORIGINAL 218 
AT THE CAPTURE SITE (ORIGINAL IS NOW AT ARCHIVAL SITE) 

V 

DOES LOCAL POLICY SAY TO DELETE MIGRATED DOCUMENTS? 220 



YES 



222 DELETE DOCUMENT AND ITS ATTRIBUTES 
^—i- FROM LOCAL SERVER 
I 

V 

DONE 



NO 



V 

DOES LOCAL POLICY ALLOW CHANGING ATTRIBUTES 224 
OF LOCAL COPIES ONCE MIGRATED TO ARCHIVAL SITE? 



YES 



NO, 
DO NOTHING 

226 



228 UPDATE POLICY ATTRIBUTES FOR THIS 
DOCUMENT AT LOCAL SERVER 

I V 
. V 

COMPUTE NEW MANAGEMENT ACTION DATE FOR THE DOCUMENT 230 



BNSDOCID <EP._ 06t7373A2J_> 



21 



EP 0 617 373 A2 



FIG. 3 



MIGRATION DETAIL FLOW 

SOURCE SERVER SELECTS ITS TARGET SERVER 



302 



DOES SOURCE SERVER'S POLICY DEFINITION ALLOW THE 
SENDING OF ATTRIBUTES DIFFERENT THAN THE CURRENT 
VALUES FOR A MIGRATING DOCUMENT? 



NO 



304 



YES 



V 



DETERMINE NEW ATTRIBUTES TO BE SENT, 
LEAVING LOCAL CATALOG ALONE 



306 



SEND DOCUMENT AND ATTRIBUTES TO TARGET SERVER 3 08 



ACKNOWLEDGMENT OF SUCCESSFUL RECEIPT 



312 



UPDATE MASTER CATALOG TO RECORD TRANSFER AND NEW 

LOCATION FOR DOCUMENT MASTER 314 
I ^ 
V 
DONE 



MIGRATION DETAIL FLOW 



BNSDGCID <CP 0617373A2_I_> 



22 



EP 0 617 373 A2 



FIG. 4 

RECEIPT BY TARGET SERVER 

DOCUMENT AND SUGGESTED ATTRIBUTES, 

FROM THE SOURCE SERVER 402 



V 

DOES TARGET SERVER 1 S POLICY DEFINITION ALLOW 
ATTRIBUTES TO BE ACCEPTED FROM SOURCE SERVER? 



NO YES 

V **4 06 

VALIDATE ATTRIBUTES, OVERRIDE ERRORS 



USE TARGET SERVER'S LOCAL POLICY TO ASSIGN NEW 
ATTRIBUTES TO THE INCOMING DOCUMENT . 

408 " 



V 

STORE DOCUMENT AND ATTRIBUTES IN TARGET SERVER 



404 



410 



SCHEDULE NEXT MANAGEMENT ACTION FOR DOCUMENT &12 
AT THE TARGET SERVER 
I 

V 

DOES TARGET SERVER POLICY ALLOW ATTRIBUTES FOR 
TIME BASED ON CURRENT DATE AND MANAGEMENT POLICIES 
FOR THAT SERVER AND DOCUMENT 
I 

V 

DONE 



414 



RECEIPT BY TARGET SERVER 



BNSDOCID <EP__0617373A2J_> 



23 



EP 0 617 373 A2 



FIG. 5 

RETRIEVAL BY LOCAL SERVER FROM REMOTE SERVER 



LOCAL SERVER DETERMINES IT REQUIRES A COPY OF 
A DOCUMENT STORED AT REMOTE SERVER 



502 



V 

LOCAL SERVER SENDS MESSAGE TO REMOTE SERVER 
WITH THAT DOCUMENT, ASKING FOR A COPY 504 

V 

REMOTE SERVER REPLIES WITH THE DOCUMENT 

AND ITS POLICY ATTRIBUTES 506 



DOES LOCAL SERVER ACCEPT ATTRIBUTES OF COPIES 
FROM REMOTE SERVER? 



NO YES 

V *510 
VALIDATE ATTRIBUTES, OVERRIDE ERRORS 



V 

USE LOCAL SERVER'S LOCAL POLICY TO ASSIGN NEW 
ATTRIBUTES TO THE INCOMING DOCUMENT . 

512 * 



508 



STORE DOCUMENT AND ATTRIBUTES IN LOCAL SERVER 514 
AS A DOCUMENT COPY 



SCHEDULE NEXT MANAGEMENT ACTION FOR DOCUMENT 516 
AT THE LOCAL SERVER ' 



V 

DONE 

RETRIEVAL FROM REMOTE SERVER 



BNSOOCID <EP 0617373A2_I_> 



24 



EP 0 617 373 A2 



FIGURE 6A 



SCANNER 
110 






INPUT 
(108) 
OB. STORE 




MASTER 




158; 


USER 
( 112) 
OB . STORE 










ARCHIVE 

(106; 
03. STORE 






168, 


USER 
(114) 
OB. STORE 







DATE " 030393: INPUT JONES DOCUMENT 



DOCUMENT 
TYPE INPUT 
144 




INPUT 

PROCESSOR 

108 




IODM 

PROCESSOR 
100 









IODM MEMORY 120 
MANAGEMENT CLASS 


TABLE 121 




DOC. TYPE — > 

STORAGE i 

CLASS ! 
i i 


CORRESPONDENCE 

PERIODS (DAYS) 
RETENTION j ARCHIVE 
J MASTER 


1 3UCK SLIPS 

! PERIODS 

J RETENTION 


(DAYS) 
ARCHIVE 
MASTER 


> i 
INPUT WKSTAj 


MASTER j COPY J 
5 ! 2 J 3 


! MASTER } COPY 

! i ! i 




USER WKSTA. j 


10 i 2 J 2 


i io i 2 




ARCHIVE j 


PERM j - j - 







INPUT 

MEMORY 

CATALOG 

UPDATE- 

030393 


STORE 
CLASS 
170 


FILE- 
NAME 
171 


MASTER 
/ COPY 
172 


DOC 

TYPE 

173 


DATE 
MADE 
174 


ARCHIV 
PERIOD 
175 


ARCH 
DATE 
176 


RETENT 
PERIOD 
177 


RETEN 

DATE 

178 


INPUT 


JONES 


MASTER 


CORR 


3393 


3 


6393 


5 


08393 


151, 


USER 
MEMORY 
CATALOG 
UPDATE- 


STORE 
CLASS 
170 


FILE- 
NAME 
171 


MASTER 
/ COPY 
172 


DOC 

TYPE 

173 


DATE 
MADE 
174 


ARCHIV 
PERIOD 
175 


ARCH 
DATE 
176 


RETENT 
PERIOD 
177 


RETEN 

DATE 

178 


USER 


















131, 


ARCHIVE 
MEMORY 
CATALOG 
UPDATE= 


STORE 
CLASS 
170 


FILE- 
NAME 
171 


MASTER 
/ COPY 
172 


DOC 

TYPE 

173 


DATE 
MADE 
174 


ARCHIV 
PERIOD 
175 


ARCH 
DATE 
176 


RETENT 
PERIOD 
177 


RETEN 

DATE 

178 


ARCH 


















161 ; 




USER 
MEMORY 
CATALOG 
UPDATE= 


STORE 
CLASS 
170 


FILE- 
NAME 
171 


MASTER 
/ COPY 
172 


DOC 

TYPE 

173 


DATE 
MADE 
174 


ARCHIV 
PERIOD 
175 


ARCH 
DATE 
176 


RETENT 
PERIOD 
177 


RETEN 

DATE 

178 


USER 



















BNSDOCID <EP 0617373A2J_> 



25 



EP 0 617 373 A2 



FIGURE 6B 



SCANNER 
110 




148 


INPUT 
(108) 
OB. STORE 




COPY 




IS* 

• 


USER 
(112) 
OB . STORE 


MASTER 




131 


ARCHIVE 

(106) 
OB. STORE 






16J 


USER 
(114) 
OR. STOP E 





DATE = 040393: SEND MASTER TO USER WORKSTATION 112 
KEEP COPY AT INPUT WORKSTATION 108 



DOCUMENT 
TYPE INPUT 
144 




INPUT 

PROCESSOR 

108 




IODM 

PROCESSOR 
100 









IODM MEMORY 120 
MANAGEMENT CLASS 


TABLE 121 




DOC. TYPE — > 

STORAGE J 
CLASS J 
i i 


CORRESPONDENCE 

PERIODS (DAYS) 
RETENTION J ARCHIVE 
1 MASTER 


J BUCK SLIPS 

; PERIODS 

! RETENTION 


( DAYS ) 
ARCHIVE 
MASTER 


i i 

INPUT wksta; 


MASTER } COPY j 
5 ! 2 | 3 


j MASTER | COPY 
! 1 !i 




USER WKSTA. j 


10 ! 2 ! 2 


) 10 ! 2 




ARCHIVE J 


perm i - i - 







INPUT 

MEMORY 

CATALOG 

UPDATE= 

040393 


STORE 
CLASS 
170 


FILE- 
NAME 
171 


MASTER 
/ COPY 
172 


DOC 

TYPE 

173 


DATE 
MADE 
174 


ARCHIV 
PERIOD 
175 


ARCH 
DATE 
176 


RETENT 
PERIOD 
177 


RETEN 

DATE 

178 


INPUT 


JONES 


COPY 


CORR 


3393 






2 


06393 


151, 




i 

V 

i 


T" 

V 


" 1 

V 

i 


i 

V 

i 












i 


4 








USER 

MEMORY 

CATALOG 

UPDATE= 

04CT393 


STORE 
CLASS 
170 


FILE- 
NAME 
171 


MASTER 
/ COPY 
172 


DOC 

TYPE 

173 


DATE 
MADE 
174 


ARCHIV 
PERIOD 
175 


ARCH 
DATE 
176 


RETENT 
PERIOD 
177 


RETEN 

DATE 

178 


USER 


JONES 


MASTER 


CORR 


3393 


2 


5393 


10 


14393 



ARCHIVE 
MEMORY 
CATALOG 
UPDATE= 


STORE 
CLASS 
170 


FILE- 
NAME 
171 


MASTER 
/ COPY 
172 


DOC 

TYPE 

173 


DATE 
MADE 
174 


ARCHIV 
PERIOD 
175 


ARCH 
DATE 
176 


RETENT 
PERIOD 
177 


RETEN 

DATE 

178 


ARCH 



















USER 
MEMORY 
CATALOG 
UPDATE= 


STORE 
CLASS 
170 


FILE- 
NAME 
171 


MASTER 
/ COPY 
172 


DOC 

TYPE 

173 


DATE 
MADE 
174 


ARCHIV 
PERIOD 
175 


ARCH 
DATE 
176 


RETENT 
PERIOD 
177 


RETEN 

DATE 

178 


USER 



















BNSOOCID *EP_ 0617373A2J_> 



26 



EP 0 617 373 A2 



FIGURE 6C 



SCANNER 
110 




14f 


> 


INPUT 
(108) 
OB . STORE 






158; 


USER 
(112) 
OB. STORE 


> 


COPY 




13* 

r 


ARCHIVE 

(106) 
OE . STORE 


MASTER 




16* 


USER 
(114) 
Ofi . STORE 





DATE = 060393: ARCHIVE MASTER AT ARCHIVE 106 

KEEP COPY AT USER WORKSTATION 112 
DELETE COPY AT INPUT WORKSTATION 108 



DOCUMENT 
TYPE INPUT 
144 




INPUT 

PROCESSOR 

108 




IODM 

PROCESSOR 
100 







IODM MEMORY 120 
MANAGEMENT CLASS TABLE 121 



DOC. TYPE ~ > 

STORAGE ! 
CLASS | 


CORRESPONDENCE 
PERIODS 
RETENTION \ 


(DAYS) 
ARCHIVE 
MASTER 


BUCK SLIPS 

PERIODS 
RETENTION 


( DAYS ) 
ARCHIVE 
MASTER 


i t 

INPUT wksta; 


MASTER 
5 


j COPY 
! 2 


3 


MASTER j COPY J 

1 ! 1 ! 




USER WKSTA. | 


10 


! 2 


2 


10 i 2 | 




ARCHIVE ! 


PERM 











INPUT 

MEMORY 

CATALOG 

UPDATE= 

060393 



STORE 
CLASS 
170 

INPUT 



FILE- 
NAME 
171 



MASTER 
/ COPY 
172 



DOC 

TYPE 

173 



DATE 
MADE 
174 



ARCHIV 
PERIOD 
175 



ARCH 
DATE 
176 



RETENT 
PERIOD 
177 



RETEN 

DATE 

178 



USER 

MEMCRY 

CATALOG 

UPDATE= 

060393 


STORE 
CLASS 
170 


FILE- 
NAME 
171 


MASTER 
/ COPY 
172 


DOC 

TYPE 

173 


DATE 
MADE 
174 


ARCHIV 
PERIOD 
175 


ARCH 
DATE 
176 


RETENT 
PERIOD 
177 


RETEN 

DATE 

178 


USER 


JONES' 


COPY 


CORR 


3393 






2 


08393 


131, 




I 

V 


i 

V 

' 


( 

V 

' 


i 

V 























ARCHIVE STORE FILE- MASTER DOC DATE ARCHIV ARCH RETENT RETEN 

MEMORY CLASS NAME / COPY TYPE MADE PERIOD DATE PERIOD DATE 

CATALOG 170 171 172 173 174 175 176 177 178 

UPDATE= 

060393 ARCH JONES MASTER CORR 3393 - - PERM PERM 



161^ 



USER 
MEMORY 
CATALOG 
UPDATE= 


STORE 
CLASS 
170 


FILE- 
NAME 
171 


MASTER 
/ COPY 
172 


DOC 

TYPE 

173 


DATE 
MADE 
174 


ARCHIV 
PERIOD 
175 


ARCH 
DATE 
176 


RETENT 
PERIOD 
177 


RETEN 

DATE 

178 


USER 



















BNSUOCiO <EP 0617373A2.I_> 



27 



EP 0 617 373 A2 



FIGURE 6D 



DATE = 070393: SEND COPY TO USER WORKSTATION 114 



SCANNER 
110 



148, 



INPUT 
(108) 
CB. STORE 



158, 



USER 
(112) 
CB. STORE 



COPY 



138, 



ARCHIVE 

(106) 
CB. STORE 



MASTER 



168. 

:: / 

USER 
(114) 
CB. STORE 

COPY 



DOCUMENT 
TYPE INPUT 
144 



INPUT 

PROCESSOR 

108 



IODM 

PROCESSOR 
100 





IODM MEMORY 120 
MANAGEMENT CLASS 


TABLE 121 




DOC. TYPE --> 
STORAGE ! 

class ; 

1 1 


CORRESPONDENCE 

PERIODS (DAYS) 
RETENTION j ARCHIVE 
! MASTER 


j BUCK SLIPS 

! " PERIODS 

; RETENTION J 


(DAYS) 
ARCHIVE 
MASTER 


1 1 
INPUT WKSTA j 


MASTER J COPY | 
5 |2 |3 


J MASTER J COPY j 

!l ! 1 ! 




USER WKSTA. j 


10 j 2 j 2 


! 10 i 2 i 




ARCHIVE | 


PERM j - j - 







141. 



INPUT 
MEMORY 
CATALOG 
UPDATE= 


STORE 
CLASS 
170 


FILE- 
NAME 
171 


MASTER 
/ COPY 
172 


DOC 

TYPE 

173 


DATE 
MADE 
174 


ARCHIV 
PERIOD 
17S 


ARCH 
DATE 
176 


RETENT 
PERIOD 
177 


RETEN 

DATE 

178 


060393 


INPUT 


















151, 














USER 
MEMORY 
CATALOG 
UPDATE= 


STORE 
CLASS 
170 


FILE- 
NAME 
171 


MASTER 
/ COPY 
172 


DOC 

TYPE 

173 


DATE 
MADE 
174 


ARCHIV 
PERIOD 
175 


ARCH 
DATE 
176 


RETENT 
PERIOD 
177 


RETEN 

DATE 

178 


060393 


USER 


JONES 


COPY 


CORR 


3393 






2 


08393 


131, 












ARCHIVE 
MEMORY 
CATALOG 
UPDATE= 


STORE 
CLASS 
170 


FILE- 
NAME 
171 


MASTER 
/ COPY 
172 


DOC 

TYPE 

173 


DATE 
MADE 
174 


ARCHIV 
PERIOD 
175 


ARCH 
DATE 
176 


RETENT 
PERIOD 
177 


RETEN 

DATE 

178 


060393 


ARCH 


JONES 


MASTER 
-J ' 


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USER 
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DOC 

TYPE 

173 


DATE 
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174 


ARCHIV 
PERIOD 
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ARCH 
DATE 
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RETENT 
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DATE 
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070393 


USER 


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2 


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BNSOOCID: <EP 06l7373A2_l_> 



28 



EP 0 617 373 A2 



FIGURE 6E 



DATE = 050393: SEND MASTER TO USER WORKSTATION 114 
KEEP COPY AT USER WORKSTATION 112 



SCANNER 
110 



148, 



INPUT 
(108) 
GB . STORE 



COPY 



158. 



USI 
(1j 
OB. I 


ZR 
12) 
3 TORE 


COPY 



168 » 
— i C 

USER 
(114) 
OB . STORE 

' MASTER 

138, 

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(106) 
03 . STORE 



DOCUMENT 
TYPE INPUT 
144 



INPUT 

PROCESSOR 

108 



IODM 

PROCESSOR 
100 



IODM MEMORY 120 
MANAGEMENT CLASS TABLE 121 



DOC. TYPE --> CORRESPONDENCE 

PERIODS (DAYS) 



STORAGE 
CLASS 



INPUT WKSTA 
USER WKSTA. 
ARCHIVE 



RETENTION 



MASTER 
5 

10 

PERM 



COPY 
2 



ARCHIVE 
MASTER 



BUCK_SLIPS 

PERIODS (DAYS) 



RETENTION 



MASTER 
1 

10 



COPY 
1 



ARCHIVE 
MASTER 







141, 






INPUT 
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CLASS 
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FILE- 
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171 


MASTER 
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172 


DOC 

TYPE 

173 


DATE 
MADE 
174 


ARCHIV 
PERIOD 
175 


ARCH 
DATE 
176 


RETENT 
PERIOD 
177 


RETEN 

DATE 

178 




040393 


INPUT 


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COPY 


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3393 






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151, 


































* 




\ 




USER 
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STORE 
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171 


MASTER 
/ COPY 
172 


DOC 

TYPE 

173 


DATE 
MADE 
174 


ARCHIV 
PERIOD 
175 


ARCH 
DATE 
176 


RETENT 
PERIOD 
177 


RETEN 

DATE 

178 




050393 


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DATE 
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DATE 
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BNCOOCID: <E»_0617373A2_L> 



29 



EP 0 617 373 A2 



FIGURE 6F DATE = 050393 (LATER): ARCHIVE MASTER TO ARCHIVE 106 

KEEP COPY AT USER WORKSTATION 114 



SCANNER 
110 



148, 

INPUT 
(108) 
OB. STORE 

COPY 

158, 

USER 
(112) 
OB. STORE 



COPY 

168, 

USER 
(114) 
OB. STORE 

COPY 

ARCHIVE 

(106) 
OB. STORE 

MASTER 



DOCUMENT 
TYPE INPUT 
144 



INPUT 

PROCESSOR 

108 



TODM 

PROCESSOR 
100 



IODM MEMORY 120 
MANAGEMENT CLASS TABLE 121 


DOC. TYPE --> CORRESPONDENCE | 

S PERIODS (DAYS) J 

STORAGE ! RETENTION j ARCHIVE J 

CLASS ! J MASTER J 
ii ii 


BUCK SLIPS 

PERIODS (DAYS) 
RETENTION j ARCHIVE 
1 MASTER 


; MASTER ; 
INPUT WKSTAJ 5 j 


COPY j 

2 ! 


3 




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1 


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USER WKSTA. J 10 j 


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DATE 
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DATE 
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DATE 

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TYPE 

173 


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DATE 
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DATE 
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PERIOD 
177 


RETEN 

DATE 

178 


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JONES 


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CORR 


3393 






PERM 


PERM 



ONSDOCID <EP__0617373A2_L> 



30 



Europaisches Patentamt 
European Patent Office 
Office europeen des brevets 



© Publication number: 



0 617 373 A3 



EUROPEAN PATENT APPLICATION 



© Application number: 94103265.8 


© Int. CIA G06F 15/40 


@ Date of filing: 04.03.94 




© Priority: 24.03.93 US 36305 


9125 Wandering Trail Drive 




Potomac, MD 20854 (US) 


@ Date of publication of application: 


Inventor: Daley, Michael E. 


OQ f\Q QA Diillafin QA !1Q 

^o.uy.b4 bulletin y^/oy 


#<>uy roiara riace 




Rockville, MD 20855 (US) 


© Designated Contracting States: 


Inventor: Motter, Wesley J. 


DE FR GB 


23647 Rolling Fork Way 




Gaithersburg, MD 20882 (US) 


® Date of deferred publication of the search report: 


Inventor: Tiwari, Manoj K. 


26.10.94 Bulletin 94/43 


13336 Neerwinder Place 




Germantown, MD 20874 (US) 


© Applicant: International Business Machines 


© Representative: Harrison, Robert John 


Corporation 


Old Orchard Road 


IBM Deutschland 


Armonk, N.Y. 10504 (US) 


Informationssysteme GmbH, 




Patentwesen und Urheberrecht 


© Inventor: Burket, Thomas G. 


D-70548 Stuttgart (DE) 



© A method and system for parallel, system managed storage for objects on multiple servers. 



CO 
< 

CO 
CO 

5 



© A distributed storage system is disclosed in 
which an originating storage location establishes the 
criteria for storage management for a file. When the 
file is transmitted to other, subsidiary storage loca- 
tions, it is accompanied by information controlling 
the storage of the file. For example, the duration of 
storage will be controlled by the control information. 
When a master file is deleted from an archive, in 
accordance with the criteria established at the time 
of storage, copies of the file at subsidiary locations 
can either be rendered inaccessible or alternately 
the storage management for that file can be 
changed. A feature is the distribution of storage 
management control information along with the file to 
diverse storage locations in a complex data process- 
ing system. 



FIGURE 1A 



ARCHIVE 
SERVER 
PROCESSOR 
LOS 



CENTRAL 

DATABASE 

INDEX 

PP.OCESSOa 

104 



IMAGE 
OBJECT 

DISTRIBUTION 
MANAGER 
PROCESSOR 
100 







LAN 


105 y 
















input y 


USER 






USER 




WORKSTATION II 


WORKSTATION 




WORKSTATION fl 


PROCESSOR D 


PROCESSOR 




PROCESSOR N 


106 




112 






114 





DNSDOCID <PP. _0617373A3J_> 



Rank Xerox (UK) Business Services 

13. 10/3.09/3.3.41 



4 



Ku rope an Patent 
Office 



EUROPEAN SEARCH REPORT 



Application Number 

EP 94 10 3265 



DOCUMENTS CONSIDERED TO BE RELEVANT 



Category 



Citation of document with indication, where appropriate, 
of relevant c 



Relevant 
to < 



CLASSIFICATION Or THE 
APPLICATION (lotCLS) 



D,A 



D.A 



EP-A-0 417 396 (I.B.M. CORPORATION) 20 
March 1991 

* the whole document * 

US-A-5 161 214 (ADDINK ET AL.) 3 November 
1992 

* the whole document * 



1.7 



1.7 



G06F15/40 



TECHNICAL FIELDS 
SEARCHED flnt.C1.5> 



G06F 



The present search report has been drawn up for all claims 



THE HAGUE 



Mi •! cMfMlu •( (he test* 

25 August 1994 



Katerbau, R 



CATEGORY OF CITED DOCUMENTS 

X : particularly relevant if* taken alone 

Y : aarticttlarty relevant if combined with another 

document of tfct same category 
A : technological background 
O : non-written disclosure 
P: 



T : theory or principle underlying the 
E : carficr patent document, hot published on, or 



D : document cited in the application 
L : document cited for other reasons 



A : men her of the same patent family, corresponding 



BNSDOCID <EP_0617373A3.I,»