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 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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Securing Fax and Document Workflow: Driving Compliance in the Organization

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

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