PRESENTATION: Capture. Compliance. Centralization. How Advanced Rendering Delivers Improved Customer Experience

Capture. Compliance. Centralization. How Advanced Rendering Delivers

Improved Customer Experience

Agenda

• Welcome & Introduction • Panel Discussion• Guest Speakers

• Veri Solutions• fme

• Demo – Adlib• Closing Remarks

• Madison Square Garden• Basketball & Networking (Knicks vs Hawks)

How Advanced Rendering Delivers Improved Customer Experience

Introduction & Overview

Enterprise Content Management

Document Dependencewith a variety of systems, processes and file formats

claims processing

document archival

pay stubsproduct documents

FDA submissions

online contentHR/employee documents

annual reports

RFP/RFI

eD

isco

very

co

ntr

ac

ts

case processing records management

project plans

form processing

order processing

SCM WEBEMAILERP BPAPLMECM

Cross-Industry

• Sarbanes-Oxley• Governance• Basel II

• US Patriot Act • DOMEA (German)• BSI (UK)• ISO 15489, 23081• ANSI

• Marketing/Brand• Legal• Admin • HR

Industry-Specific

• Financial Services• Basel II• SEC• SOX

• Public Sector• FOIA/ATIP• GPEA• NARA/LAC

• Healthcare• HIPAA• PIPEDA

• Life Science• eCTD• eTMF• 21CFR11

Compliance is Everywhere

Broad Based Norms

Industry Regulated

Organizationally Mandated

The ‘Not-So-Standard’, PDF Standard

Evolution Of Rendering

Shareware / Freeware

Basic rendering: Consumer Desktop Products

Basic rendering: Embedded

System Features

Advanced Rendering

Defining Advanced Rendering:

“PDF-ing” at the next level with features like:

• Accuracy/High Fidelity • Automated, Metadata-rules driven,

document conversion/assembly• Enhancements (Table of Contents,

Headers/Footers & Watermarks)• Internal navigations: Bookmarks,

Hyperlinks, ToC, Pagination• Documents Searchability (OCR)

• Multiple input support – 400+ file types, ECM integration

• Multiple output support – PDF, PDF/A, tiff, Thumbnails

Enterprise-Grade architecture providing:

• Massive Scalability• Centralized management control• High Availability • Fault Tolerance• Load Balancing

Scan-to-Archive vs. Capture-to-Process

INGESTION

Digestion

Advanced Rendering as a Shared Service

• To automatically convert, OCR & assemble your content

• Highest fidelity on the market

• Highest accuracy in OCR

• Regulatory Compliant and secure

• Supports PDF/A for archival

• Search-enabled documents

• Integrates with business tools

• High volume performance

Adlib Helps Meet Your PDF RequirementsAcross the Enterprise with a single solution


Panel DiscussionCapture. Compliance. Centralization.

Panel Question

What are the top content challenges organizations face

today?

Panel Question

What are customers’ content expectations?

Panel Question

How does content management relate to risk?

Panel Question

What does ‘Compliance’ for content mean in 2015?

Panel Question

What are the Best Practices to ensure document compliance

within ECM?

Panel Question

What can organizations do to address unstructured content?

Panel Question

What challenges do Finance organizations face related to

content capture?

Panel Question

How centralized are content strategies in most organizations?

Panel Question

What’s the value of a System Integrators in achieving an ECM

vision in 2015?

Customer Discussion

What has been the biggest content management ‘win’ in the last 5

years?

Panel Discussion

What should organizations do next/now?

Summary

Current Situation

Major Risks/Opportunities

Next Steps


Guest Speaker:

Frank D'EntroneDirector fme US, LLC

fme

The Case for Repository Consolidation

fme US, LLC, Frank D’Entrone, November 10, 2014

fme US, LLC, Frank D‘Entrone, © fme US, LLC28

fme AG – Copyright-Information

Copyright Notice:

The information contained in this presentation is subject to copyright by fme US, LLC and must not be copied, passed to third parties or used in any other than its intended way without prior written consent by fme.

fme US, LLC108 Mill Plain RoadDanbury, CT 06811United States

Tel: (203) 617-4250Fax: (203)702-5218Mail: [email protected]: www.fme-us.com


The Issue

• Companies produce high volume of documentation

• This makes the management of unstructured information imperative

• But the information is often spread around the organization:

in different IT locations and solutions

in some cases no Document Management System

applying different or old technologies


The Reality

• Terabytes of legacy content in diverse out-of-date systems:

cost millions annually to maintain

finding anything is time consuming and not always successful

thereby increasing the legal exposure substantially

• Records Management Policies have not been implemented

• Compliance is at risk

• Knowledge Management remains illusive


The Pain

• Enterprise wide sufferance resulting from maintaining diverse systems and information locations for unstructured data (content):

Insufficient access to information

Maintenance efforts and costs

Quality and compliance risks

No centralized governance


The Vision

• Creating a more effective document management capability by:

Standardizing on a technology platform

Consolidating on a shared, common repository with common metadata

Think Enterprise

Eliminating redundant capabilities and reducing cost

Implementing essential Records Management and optimized compliance practices


The Implementation Strategy

• The Source Repositories are often unstructured:

Inconsistent structures

Poorly respected naming conventions

No or inconsistent meta-data (Attributes)

Duplication

Limited to no version control

• Simply moving this to a new ECM System brings no benefit !!!

Garbage in Garbage out

May actually worsen the situation

• The correct Strategy:

A rational Storage and Attribute Structure needs to be designed

Documents must be correctly classified and mapped


The Implementation – Analysis and Plan

• Creating a Concept for a common target repository:

• Defining a Unified Metadata Model

• Taxonomy and Naming conventions

• Common Security and Access Policies

• Records Management Policies and Retention cycles

• Migration Analysis and Planning

Analyzing and evaluating existing data sources against the new model

• Analyze legacy repositories and technology

• Data volume and its implication

• Data types and its implications (large files, etc)

• Availability and quality of legacy meta data

• how to extract legacy objects and meta data

• What to do about application specifics (existing workflows, user interface, etc)

Defining the migration strategy and logistics

• How to handle the volume (hardware needs)

• How to cause minimum disruptions to end users

• Managing locations, responsibilities

• Staff and skill requirements

Project planning and cost estimates


The Implementation - Execution

• Setting up the target repository

Basic structure, Document Types, Attributes, Permissible

Retention Policies, Life Cycles, Workflows

• Effect any special adaptations:

Extraction of certain sources

Special processing rules

Application set up (user interface, workflows, etc)

• Creating migration batches and defining mapping rules

Eliminating duplicates

Defining mapping rules for legacy metadata

Testing rules

• Executing the content migration Batch by Batch

• Implement Change Management Activities

• Going live with the common repository


The Bottom Line

• What are the benefits of a consolidated repository environment?

Meeting the needs of the business:

• Quality, accessibility and security of information

• Easier access to enterprise knowledge

• Common metadata model

• Reduced process and project delays

Records Management and Compliance

• Improved ability to defend records as reliable and authentic

• Reduced compliance risks

• Centralized governance

IT Efficiencies and Savings

• Harmonized technology platform

• Technology/Platform Subject matter experts (SME)

• Reduced maintenance support and costs


• Classifying and Mapping Documents is complex and time consuming

• How to extract sufficient information for the creation of Meta Data

• Moving and linking documents into the right folders

• Assigning correct attributes

• Assigning Access Rights (ACLs)

• Most Migration Tools do this poorly !

• Insufficient Focus on Data Analysis and Mapping Support

• Resulting in Excessive Migration Costs

• Extensive manual Effort required

• Extra Programming and Debugging Effort required

The Right Tools for the Job


fme’s migration-center

• Out-of-the-Box Software Solution for any type of Migration Project

Rich Functionality, no extra Programming or debugging Effort,

Excellent user und admin interface

Standardized migration of file systems and ECM repositories

• Intelligent, rule-based mapping of Objects to Target System

Extraction of Meta Data from Source system where available

Rule-based mapping through:• Automatic assignment of Target Folder Structure, Attribute model, Access

Rights• A variety of Value Lists, Algorithms and Commands for different datasets• Dynamic testing of Mapping Rules before committing them (simulation)• Validation of metadata before import

Optional, but powerful End-User Client for handling exceptions or personal documents

• Fast Object Load into ECM Repository

Including full audit capability for sensitive environments

migration-center for EMC InfoArchive


migration-center is perfectly suited to separate static but valuable content from active content no matter which source and target systems are involved.

Application Archiving (Live Archiving)


On Premise Applications(Unstructured/Structured Data)

Data VolumePerformanceBackup CostsStorage

EMC InfoArchiveUnstructured/Structured Inactive

Records

Data VolumePerformanceBackup CostStorage

On/Off Premise Applications

(Unstructured/Structured Data)

inactivecontent

The product lets you define a wide range of selection criteria for separating your inactive from active data and migrate/archive these inactive data to EMC InfoArchive.

Application Decommissioning



Data VolumeComplexityBackup CostsStorageMaintenance Cost

Enterprise ArchiveUnstructured/Structured Inactive

Records

Data VolumeComplexityBackup CostStorageMaintenance Cost

inactivecontent

migration-center supports multiple platforms and therefore it is the product of choice for legacy application decommissioning.



Migration, archive and/or decommission at once!



Data VolumePerformanceComplexityBackup CostsStorageMaintenance Cost

EMC InfoArchiveUnstructured/Structured Inactive

Records

Data VolumePerformanceComplexityBackup CostStorageMaintenance Cost

Archive Inactive content

Migrateactive content

Legacy applications can be decommissioned by migrating the active content to an new ECM system and archiving inactive content to EMC InfoArchive.



Feb-8-2008


Guest Speaker:

Richard E DavisManaging Partner

Veri Solutions

Solutions & Services Delivery to Address Client Challenges Across Industry Sectors

Litigation e-Discovery

Regulatory compliance

Internal investigations

Global recordsmanagement

M & A activity

Business intelligence

Storageoptimization

Global information

security

Information Governance: • Records Information Management (RIM). • Proactive Data Classification for Data Remediation • Electronic and Physical Records De-Duplication• Information Security and Compliance• Complex Relational Database Consolidation

E-Discovery:• Auditing of Data• Organization, Management, Search, and

Production of Data• Proactive Litigation Readiness • M&A Due Diligence• Legal Hold Management

Professional Services:• Document Review• Project Management.• Turnkey Delivery.• Workflow Consulting• Technology Training• Contingent Subject Matter Expertise (SME) • Staffing for GRC, E-Discovery

Requirements of the process:• Scalable.• Defensible.• Repeatable.• Cost effective.• Minimal operational impact. • Part of a broader institutional

information governance strategy.

Phase 1 Phase 3Phase 2



Phase 10Phase 11

TriggeringEvent

Litigation M&A

Compliance

Modular Legal Data Lifecycle Management* - Leadership in e-Discovery

Earlier version of this workflow appears in *Managing e-Discovery & ESI: from Pre-Litigation through Trial (Co-authored 3 chapters) – American Bar Association Treatise: ISBN - 9781616329730 (pbk.), 1616329734 (pbk.) – 11/11

Modular Legal Data Lifecycle Management* - Data Capture in the Enterprise

ITInformation

SecurityLegal RIM

Sales & Marketing

R & D

RIMInternal

InvestigationsDiscovery Auditing

Data Mining / MDM

Unstructured Active MediaStructured Semi-

Structured

Regional & Business

Driven Policy

Infrastructure Complexity

Geographically Disparate Sources

Operational Requirements

FACTA(US)

GLBA(US)

PIPL(Japan)

DIRECTIVE 95/46

(EU)

DPA 1998(UK)

Dodd Frank(US)

Stakeholder Beneficiaries(Functions & “The Business”)

InterdependentData Classification Initiatives (SIC / NAICS driven)

Legal Control of EnterpriseData (on-line / offline)

Environmental Considerations

Non-discretionary / discretionary Regulatory Frameworks(SIC / NAICS driven)

PIPED(Can)

48

• Data is collected in a forensically sound fashion.

• File hashing is done for chain of custody purposes.

• Data is stored in a databases.

The Veri Data Visibility Process

• Data is ingested into the process and additional hashing is done, hash is saved in a DB.

• Hash from collection could also be ingested.

Phase I Phase II

49

• We use a number of algorithms to do text comparison which text similarity clustering, an innovative way to manage duplicates across file types.

• Document version control and management can be enabled using this technique.

• Classification of the data within the parameters of any information governance initiative leads to success.

The Veri Data Visibility Process

Phase III Phase IV


Adlib Technical Strategists:

Joe BiernackiJon Halbert

Dark Unstructured Data

How much of this credit risk is in your derivative contracts?

$3.3 trillion

Adlib and our partners deliver solutions that can automatically extract unstructured data from ISDA derivative swap contracts. This data is extremely valuable to you from both a compliance perspective and the ability to easily identify potential areas of risk.

With Adlib Software extracting this data, organizations can conduct a quantitative analysis along with balance sheet evaluations, access to timely and accurate data and more…

Think about how you review hundreds or thousands of ISDA contracts.

inefficient?

is it costly?

error prone?

risk of not knowing?!

There Is A SolutionTo Your Problem

Your ISDA ContractRepository

ADLIB Extraction & Analysis

Reports

+ + =

Proactive Contract Management

Now you can action on the credit risks in your derivative contracts.

Solution

RecognizeUnstructured

ISDA Data

Searches & Analyzes Contracts, Create

Structured ISDA Data

EXPORTS TO EXCEL

How does it work?

Fully AutomatedOn Demand Analysis

Adlib technology can be applied to any contracts to solve the challenges of

extracting data/risk information.

Classification Flow

Hash DeDuplication

Text DeDuplication

Image DeDup

• Classification & Attribution

Deduplication Flow

Hash DeDuplication• Generate hash value of file content• Analyzes hash values• Duplicates identified & removed

Deduplication Flow

Text DeDuplication

• Compares text (natively)• OCR Image only content• Duplicates identified & removed (threshold)

Deduplication Flow

Image DeDup • Pixel by pixel comparison

• Duplicates identified & removed (threshold)

Classification Flow

Hash DeDuplication

Text DeDuplication

Image DeDup

• Classification & Attribution

Benefits & Potential Use Cases

Content Migration• Automate classification of content from other locations to current system of record• Create data dictionary to enable ongoing automated classification for content

ingestion

Repository Cleanup• Remove duplicate content from current system of record• Prevent duplicates from being continually ingested into the system of record

Contract Management• Enable analysts to easily find critical data on ISDA contracts• Use the data to make critical decisions on SWAP contracts• Save final (executed) agreements and remove all preceding versions

Revision History• Automatic grouping of document revisions based on document similarity


Demo


PDF Therapy

PDF Therapy: A Structured Approach to Explore Your Organizations’ Content Delivery Needs

• PDF Therapy is ideal if your organization:

o Has multiple functional groups with unique demands or isolated solutions

o Has large volumes or diverse document

o Needs to improve/automate the delivery of high-value content

o Requires automated archiving or enhancement

o Is challenged with capture/classification projects

Discovery

Discussion

Delivery

2

Too many solutions

The 4 buckets of rendering pain

Consistency Fidelity

Performance

Things we’ve learned …

1. Rendering vendor consolidation is a high priority2. Performance of Rendition Servers is a key issue3. Fidelity 4. Email Rendering is a growing request5. Metadata, metadata, metadata6. Upgrades to newer version of advanced rendering

software need to be less painful7. True High Availability and Fault Tolerant setup in a

virtualized environment 8. Cloud is on everyone’s mind9. Electronic Document Capture10. Redaction

Questions....

APPENDIX

4 Buckets of Rendering PainToo Many Rendering Solutions

Many firms have several solutions for different projects.

The IT department is stuck servicing all of them.

Departmental Implementations with old file formats add to the complexity and variety of implementations.

A shared service that renders and publishes across all departments in your entire organization resolves those issues.

4 Buckets of Rendering PainConsistency of Output

When different engines of disparate solutions are creating PDFs, the results will be different PDFs from every engine.

Different systems can’t support all input file formats, nor do they provide one output.

Your rendering and publishing will only be uniform when using a single system that accepts inputs from all file types and outputs the correct PDF standard – every time.

4 Buckets of Rendering PainOutput Fidelity

You want renditions to look exactly like source documents.

You have to trust that your output complies with regulatory standards

That involves a consistent method of checking and auditing how output fidelity meets a written standard… especially when rendering very old file formats.

Performance

A rendering and publishing solution must:- Keep up with peak requests, - monitor conversion- report on hiccups and crashes- Act on job incompletion

You’ll know your conversion process is reliable when it allows you to track how well your server farms are running at any given point – per hour, day, or month – to determine if you’re meeting SLAs.