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William ZastrowPresident, CEOFileMark Corporation
July 29, 2008
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Document Management equals Risk Management in an Age of Audits
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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
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• 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
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• 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
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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
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• 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
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• 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?
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Retention and Disposition RulesRetention and Disposition Rules
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Audit and Activity LogsAudit and Activity Logs
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Archive
Automated Bulk eMail ArchivingAutomated Bulk eMail Archiving
Send
Receive Auto-Index
DatabaseDatabaseServerServer
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• 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
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• 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
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Mainframe
HostHost
Automated Computer Output ArchivingAutomated Computer Output Archiving
Reports, Invoices, Statements
Reports, Invoices, Statements
Print StreamsPrint StreamsCapture Capture DatabaseDatabase
ServerServer
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Batch Scan Indexing- Manual- Assisted- OCR- Barcode- OMR
IndexAuto-Fill
Mainframe
BusinessApplications
ArchivingArchiving
DatabaseDatabaseServerServer
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Automatic Zone OCR
Automatic Barcode Recognition
Pont and Shoot OCR
Intelligent Forms Processing - Free form indexing - Pattern matching - Dictionary lookups
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Security levelbased on LOG ON
SMARTi Browser ClientSMARTi Browser Client
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• 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
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Transforming Business Documentsinto Organized Information Assets
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www.filemark.com
508-865-4844508-865-4844
