document solutions document solutions william zastrow president, ceo filemark corporation july 29,...

Document Solutions Document Solutions

William ZastrowPresident, CEOFileMark Corporation

July 29, 2008


Document Management equals Risk Management in an Age of Audits


Why Manage Documents?Why Manage Documents?

• Paperless business process efficiency

• Cost avoidance, cost displacement

• More responsive customer service

• Improved document search, security and control

• Automated document archiving, distribution and lifecycle management

• Business risk mitigation and regulatory compliance


• Risk is the net negative impact of a vulnerability, considering both the probability and impact of occurrence

• Risk Management is the process of identifying risk, assessing risk, and taking steps to reduce risk to an acceptable level

Risk ManagementRisk Management


• Policies, practices, technologies and management controls to protect legal interests and comply with regulations

• Information lifecycle management – retention, disposition rules

• Complete audit trails

• Authentic, permanent, unalterable records

• Systematic controls to ensure record authenticity, security and process consistency

Records Management (RM) DefinitionRecords Management (RM) Definition


XSEC 17A-4

X

X

X

X

Health-care

XXGramm-Leach-Bliley

XXXUS Patriot Act

Affects any business doing

business with a CA resident

XXXXXCalifornia SB 1386 *

XXBasel II

Affects public and private companies XXXXXeDiscovery

Affects benefits dept of all companies,

and schools

XHIPAA

Affects public companiesXXXXXSarbanes-Oxley

NotesManufact-

uringPharma-ceuticals

BankingInsuranceFinanceRegulation

Examples of Industry RegulationsExamples of Industry Regulations


• Capture all business transactions, eMails and correspondence – no exceptions

• Store it twice – keep one copy on non-erasable media

• Validate records as genuine

• Enforce prescribed 7-year retention period

• Provide fast, easy access to records for first 2 years

• Keep information secure

• Delete systematically, and then only according to official retention rules

• Maintain accurate, detailed audit trails

Sarbanes/Oxley RM Compliance SimplifiedSarbanes/Oxley RM Compliance Simplified

Source: IBM


• File plans

• Classification

• Universal record capture and indexing

• Declaration

• Rules-based record retention, disposition, migration and disposal schedules, holds

• Activity logs and reporting

• Support for non-rewriteable, non-erasable document storage

• User/group document access control

What’s Needed For RM?What’s Needed For RM?


Retention and Disposition RulesRetention and Disposition Rules


Audit and Activity LogsAudit and Activity Logs


Archive

Automated Bulk eMail ArchivingAutomated Bulk eMail Archiving

Send

Receive Auto-Index

DatabaseDatabaseServerServer


• Automatic archiving of messages from one or more local or remote MS Exchange servers or other IMAP-complaint eMail servers

• Save inbound messages, outbound messages or both

• Save internal messages, external messages or both

• Save messages with or without attachments

• Archive only one copy of attachments sent to multiple recipients

• Option to ignore mail to and from particular users

• Automatic classification, spam filters

• Automatic indexing to database, full text search option

• Rules-based retention and disposition, audit trails

• Backup and restore

Bulk eMail ArchivingBulk eMail Archiving


• Save selected eMails directly from MS Outlook desktop

• User-defined rules-based retention

• Automatic indexing to database

• Save documents directly from MS Office applications

• Word, Excel, PowerPoint

• Drag/drop documents directly from MS Desktop or file system

• Indexed or full text search

• Document routing for collaboration

• Create searchable CDs or DVDs of selected documents for audits or litigation discovery

eMail and eDocument ArchivingeMail and eDocument Archiving

eMaill


Print

Print

Mainframe

HostHost

Automated Computer Output ArchivingAutomated Computer Output Archiving

Reports, Invoices, Statements

Reports, Invoices, Statements

Print StreamsPrint StreamsCapture Capture DatabaseDatabase

ServerServer

Document Solutions Document Solutions Paper Document CapturePaper Document Capture

Batch Scan Indexing- Manual- Assisted- OCR- Barcode- OMR

IndexAuto-Fill

Mainframe

BusinessApplications

ArchivingArchiving

DatabaseDatabaseServerServer

Document Solutions Document Solutions SimpleIndexSimpleIndex

Automatic Zone OCR

Automatic Barcode Recognition

Pont and Shoot OCR

Intelligent Forms Processing - Free form indexing - Pattern matching - Dictionary lookups


Security levelbased on LOG ON

SMARTi Browser ClientSMARTi Browser Client


• Software developer, professional services provider, direct sales and technical support

• Technology Focus – affordable document capture and archiving, transactional document processing, records management

• Founded in 1989, based in Millbury MA

FileMark CorporationFileMark Corporation


Transforming Business Documentsinto Organized Information Assets

Document Solutions Document Solutions Document Solutions Document Solutions

www.filemark.com

508-865-4844508-865-4844

document solutions document solutions william zastrow president, ceo filemark corporation july 29,...

Documents

x x basel

schools x hipaa

health care x x grammleach

management controls

activity logs slide

regulatory compliance

x us patriot act

inbound messages