Securing Fax and Document Workflow: Driving Compliance in the Organization

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How compliant is your organization? The risks of non-compliance are real and many industries are particularly affected by compliance such as financial services. Developing a compliance strategy is …

How compliant is your organization? The risks of non-compliance are real and many industries are particularly affected by compliance such as financial services. Developing a compliance strategy is imperative to avoid issues. Learn how Open Text Fax and Document Distribution support your strategy through integrated solutions that address the whole information lifecycle.

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  • 1. Copyright © Open Text Corporation 2008 - 2009. All rights reserved.
    Slide 1
    Securing Fax and Document Workflow
    Geoffrey Anderson
    Sr. Product Manager
    Open Text Fax and Document Distribution Group
    April 16, 2010
    Driving Compliance in the Organization
  • 2. Did you know?
  • 3. How Compliant Is Your Organization?
    Are you relying on paper-based document delivery processes?
    Do you have control over who, how, and where documents are being delivered?
    Are you confident that information is being received by the right people?
    Do you have an audit trail for your corporate communications?
    Is your confidential information kept private?
  • 4. The Risks of Non-compliance Are Real
    Stiff fines
    Jail time for executives
    Loss of reputation
    Loss of brand image
    Loss of market position
  • 5. Industries Most Affected by Compliance
    Financial Services
    Insurance and Real Estate
    Healthcare
    Legal
    Government Entities
    Copyright © Open Text Corporation 2008 - 2009. All rights reserved.
    Slide 5
  • 6. Security and Compliance Challenges
    Automating the document delivery processes
    Centralizing information delivery and receipt
    Safeguarding document confidentiality
    Protecting information against tampering and alteration
    Tracking, limiting, and monitoring access to information
    Providing secure storage, historical data, and managing document destruction
  • 7. Common Regulations
  • 8. Sarbanes-Oxley
    Sarbanes-Oxley is the US Government’s response to corporate financial scandals
    Corporations must monitor, track and manage the creation and reporting of all financial info required for governmental reporting
    Corporations must establish and maintain an internal control structure and certify its effectiveness
    Corporations cannot delete records of transactions or related documents as it pertains towards financial performance of the company
    Executives that knowingly sign falsified reports and anyone that destroys audit records can receive up to 10 years in prison and fines
    Destruction, falsification and/or alteration of documents in federal investigations and bankruptcy proceedings can lead to sentences of up to 20 years in prison and fines
    IT managers must enforce document retention policies
  • 9. Gramm-Leach-Bliley
    Disclosure of “non-public information” by Financial Entities
    Financial institutionsmust:
    Respect the privacy of customers and protect the security and confidentiality of customers’ non-public personal information
    Protect against any anticipated threats to the security or integrity of customer records, and protect against the unauthorized access to, or use of such records or information
    Publish and disclose their policies regarding use of client personal info on a regular basis
    Financial organizations cannot:
    Disclose non-public information about their customers
    Use or share the info except to perform a service on behalf of the client, with their permission
  • 10. HIPAA
    HIPAA requires health care entities, including hospitals, doctors, nurses, health plans, labs, pharmacies and billing and claims agents, to protect the privacy of a patient’s health information, particularly when communicating electronically.
    HIPAA security rule determines how personal health information must be stored and transmitted to:
    Ensure privacy, security and accuracy
    Restrict access to personal healthcare information
    Verify transmission
    Report, track and provide audit trail
  • 11. Developing a Compliance Strategy
    Copyright © Open Text Corporation 2008 - 2009. All rights reserved.
    Slide 11
  • 12. Top 5 Compliance Issues Facing Organizations
    Process control – control who has access, and when and where documents are delivered
    Information integrity – uncontrolled business documents are potential security threats
    Privacy – without some form of access control, there is no privacy or security
    Tracking, reporting, and audit trail – regulations dictate that business protect information, provide a history of what has happened to the information, and which personnel have had access to it
    Document storage – the problem with storing paper-based documents is the lack of privacy, control, and the difficulties in tracking down information for audit trails
    Copyright © Open Text Corporation 2008 - 2009. All rights reserved.
    Slide 12
  • 13. Solutions for Supporting Compliance
    Centralized delivery
    Integration
    Tamper-resistant
    Security and management
    Audit trail
    Track history
    Electronic fax repository
    Copyright © Open Text Corporation 2008 - 2009. All rights reserved.
    Slide 13
  • 14. Document Delivery & Archiving:An Integrated Solution
    Copyright © Open Text Corporation 2008 - 2009. All rights reserved.
    Slide 14
  • 15. Open Text Fax and Document Distribution Solutions
    Low-risk with a high-return on investment
    Proven, reliable solutions
    Over 25 years of fax experience
    Secure, ensuring confidentiality, and control
    Tightly integrated with front and back-office applications
    Timely, efficient and universally accessible
    Easy to install, use and manage
    Flexible and scalable systems to match your needs
    Copyright © Open Text Corporation 2008 - 2009. All rights reserved.
    Slide 15
  • 16. Open Text Fax Server, RightFax Edition
    The market leader in fax server software
    Integrates and automates the flow of fax, paper, and electronic documents
    Makes your documents more secure and traceable
    Provides a complete audit trail for desktop faxing
    Fax over IP (FoIP) capabilities help organizations extend their VoIP networks to provide secure document delivery
    Copyright © Open Text Corporation 2008 - 2009. All rights reserved.
    Slide 16
  • 17. Open Text Fax Appliance, FaxPress Edition
    Complete network fax solution in an appliance
    Includes all the necessary hardware and software
    Immediately usable upon installation
    Allows users to send and receive faxes from the desktop, email, and back-end applications
    Integrates with most MFP’s as well
    The perfect solution for small to mid-size businesses or workgroups that need to maintain a high standard of security and efficiency
    Turnkey solutions require minimal setup and management
    Copyright © Open Text Corporation 2008 - 2009. All rights reserved.
    Slide 17
  • 18. Open Text Document Server, Alchemy Edition
    A document management software solution used by thousands of small and mid-size businesses worldwide
    Provides document scanning, document imaging, document archiving, fax archiving and electronic records management capabilities
    Creates a digital file cabinet for your organization
    Securely store any document type and then find it within seconds, even years later
    Copyright © Open Text Corporation 2008 - 2009. All rights reserved.
    Slide 18
  • 19. Open Text Workflow Server, .NET Edition
    Flexible, integrated, and easy-to-implement workflow solutions
    Creates a trusted environment where people, processes and documents can come together to improve efficiency, address compliance and increase profitability
    Brings new levels of productivity to any repeatable business activity from simple workgroup tasks up to enterprise wide processes
    Copyright © Open Text Corporation 2008 - 2009. All rights reserved.
    Slide 19
  • 20. Summary
    Expanding government regulations put companies at risk
    Open Text Fax and Document Distribution – integrated solutions that address the whole information lifecycle
    Solutions to fit any organizational need
    Trusted solutions leveraged by more than 100,000 Fax Servers in the field
    Copyright © Open Text Corporation 2008 - 2009. All rights reserved.
    Slide 20
  • 21. Copyright © Open Text Corporation 2008 - 2009. All rights reserved.
    Slide 21
    Thank You