Document Solutions Document Solutions William Zastrow President, CEO FileMark Corporation July 29, 2008 Document Solutions Document Solutions Document Management equals Risk Management in an Age of Audits

Document Solutions Document Solutions 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

Document Solutions Document Solutions 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 Management

Document Solutions Document Solutions 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) Definition

Document Solutions Document Solutions X SEC 17A-4 X X X X Health- care X X Gramm-Leach- Bliley XX X US Patriot Act Affects any business doing business with a CA resident XXXX X California SB 1386 * X X Basel II Affects public and private companies XXXX X eDiscovery Affects benefits dept of all companies, and schools X HIPAA Affects public companies XXXX X Sarbanes-Oxley Notes Manufact- uring Pharma- ceuticals BankingInsuranceFinance Regulation Examples of Industry Regulations

Document Solutions Document Solutions Capture all business transactions, s 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 Simplified Source: IBM

Document Solutions Document Solutions 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?

Document Solutions Document Solutions Retention and Disposition Rules

Document Solutions Document Solutions Audit and Activity Logs

Document Solutions Document Solutions Archive Automated Bulk Archiving Send Receive Auto-Index DatabaseServer

Document Solutions Document Solutions Automatic archiving of messages from one or more local or remote MS Exchange servers or other IMAP-complaint 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 Archiving

Document Solutions Document Solutions Save selected s 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 and eDocument Archiving l

Document Solutions Document Solutions Print  Host Automated Computer Output Archiving Reports, Invoices, Statements Print Streams Capture  DatabaseServer

Document Solutions Document Solutions Computer Output to Low-cost Disk / Enterprise Report Management Automated computer output capture and archiving Eliminates printing and manual distribution of internal reports Saves the cost of printing, paper, ink, microfilm, copies, multi-part forms and postage Instant access to exact replicas of printed reports, statements and invoices from anywhere Automatic distribution Data mining, reports from reports Indexed or full text search COLD/ERM

Document Solutions Document Solutions The Inefficiencies of Paper The typical office worker spends 6 weeks a year looking for documents It takes 7 minutes to find a paper file, but only 2-4 seconds to find a file electronically Each file retrieval costs $1.40 vs. $.01 for a 3 second electronic retrieval $12/hr) Cost to find a misfiled document: $120 Cost to recreate a lost document: $250 Source: AIIM and ARMA

Document Solutions Document Solutions Paper Document Capture Batch Scan Indexing - Manual - Assisted - OCR - Barcode - OMR Index Auto-Fill Business Applications Archiving DatabaseServer

Document Solutions Document Solutions SimpleIndex Automatic Zone OCR Automatic Barcode Recognition Pont and Shoot OCR Intelligent Forms Processing - Free form indexing - Pattern matching - Dictionary lookups

Document Solutions Document Solutions Built-in document/work routing – simple to set up, simple to use Many applications – transaction processing, approvals, collaboration, report distribution, eForms processing, records management Work items are documents (images, reports, office docs, , etc.) with case notes and/or eForms. Work items are sequentially “routed” to work queues of designated users, roles or groups Optional notification, reminders and timed escalation via Document-Centric Workflow

Document Solutions Document Solutions Case Notes Accounting Shipping / Receiving Supervisor √ Accounts Payable Complete Pend Cancel NA Workflow View Administration Windows Help Case Notes

Document Solutions Document Solutions Security level based on LOG ON SMARTi Browser Client SMARTi Browser Client

Document Solutions Document Solutions

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 Corporation

Document Solutions Document Solutions Transforming Business Documents into Organized Information Assets Document Solutions Document Solutions