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FACSys and Compliancy

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Title: FACSys and Compliancy


1
FACSys and Compliancy
  • Microsoft Windows Server 2003 with Share Point
    and FACSys can assist your compliancy efforts!

2
Who knows what these terms mean?
  • HIPAA
  • SOX
  • SEC Rule 17a-4
  • DoD 5015.2-STD
  • NASD
  • The Food and Drug Administrations Title 21, Part
    11
  • U.S. National Archives Records Administration
    General Records Schedule 20 (GRS20)
  • The European Directive on Data Protection

3
  • Not knowing could be costly!
  • It is the LAW!

4
  • In December 2002, The Securities and Exchange
    Commission, the New York Stock Exchange and NASD
    fined five firms a total of 8.25 million for
    failure to preserve e-mail communications.
  • Each of the firms consented (without admitting or
    denying the allegations) to findings that each
    failed to preserve for a period of three years,
    and/or preserve in an accessible place for two
    years, electronic communications relating to the
    business of the firm, including interoffice
    memoranda and communications.

5
  • And that includes FAX messages!

6
Just so you know next time someone asks you
7
  • HIPAA (Healthcare Insurance Portability and
    Accountability Act) and Gramm-Leach-Bliley are US
    privacy laws that regulate access to personal
    medical information. HIPAA, for example,
    regulates communications between patients,
    insurers and health care providers.

8
  • SOX The Sarbanes-Oxley Act creates new
    disclosure requirements for US public companies
    as well as new certification responsibilities for
    CEOs and CFOs.
  • If your book of business includes any publicly
    traded companies this may apply to you as well.

9
  • SEC Rule 17a-4 requires that all US financial
    institutions retain electronic documents
    including e-mail and instant messaging for at
    least six years.
  • Do you write insurance policies or do legal work
    for financial institutions?

10
  • DoD 5015.2-STD, Design Criteria Standard for
    Electronic Records Management Software
    Applications, provides implementing and
    procedural guidance on the management of records
    in the US Department of Defense.
  • e-Mail and fax messages are treated the same as
    any other record.

11
  • NASD (National Association of Securities Dealers)
    Rules 3010 and 3110 govern archive regulations
    for brokerages buying and selling stock on the
    NASDAQ.
  • (point of interest NASD is a BIG FACSys user)

12
  • another Point of Interest
  • Microsoft is listed on NASDAQ and they have four
    FACSys servers and 50,000 client licenses in
    Redmond. (since 1995)

13
  • The Food and Drug Administrations Title 21, Part
    11
  • requires the preservation of all electronic
    records.

14
  • U.S. National Archives Records Administration
    General Records Schedule 20 (GRS20)
  • manages rules for capturing and storing official
    government records. Some records need
    disposition approval and can only be authorized
    for erasure or deletion when an agency authority
    determines that they are no longer needed for
    administrative, legal, audit or other operational
    purposes.

15
  • The European Directive on Data Protection
    provides regional requirements and
    country-specific implementations by member
    states.
  • This law means that individuals have entitlements
    to access their personal data kept on file,
    within a defined time-scale (either
    electronically or in hard copy). It also covers
    use of data including to whom the data can be
    passed or how it is used.

16
What has this got to do with your faxes?
17
  • Paper documents (from that manual fax machine)
    are difficult to store, retrieve and index.
  • Electronic documents are a breeze to manage and
    retain their quality through a workflow.
  • You already use e-Mail and may be required to
    archive, index and retrieve these messages to be
    in compliance.

18
  • So why not store your faxes in your e-mail
    system?
  • or
  • in an electronic document management system?
  • or
  • In SharePoint so they are easy to index, file and
    retrieve!
  • and easier to transmit and receive.

19
  • How does FACSys help you to be compliant?

20
  • Fax enabling applications
  • Fax enabling e-mail
  • Fax enabling document management systems

21
  • Fax enabling applications
  • print to fax from the application
  • e-mail to fax from the application
  • customized faxing with AFM-SDK

22
  • Fax enabling e-mail
  • inbound and outbound
  • with MS Exchange or Lotus Notes
  • (as of FACSys 4.91)
  • with any SMTP mail system including Outlook
    Express, Gmail, Netscape Mail, Eudora, Hotmail
  • any ISP POP mail account.

23
  • Fax enabling document management systems
  • FACSys does not have a built-in document
    management system because
  • there are already about 100 of them.
  • Share Point does the job.
  • Many are very industry specific
  • and FACSys can fax-enable them ALL anyway!
  • How?

24
  • FACSys stores an industry standard TIF image file
    which all document managements systems can read
  • With version 4.9, FACSys can convert the TIF to a
    PDF and deliver it to your e-mail or

25
  • to a networked ARCHIVE folder or Share Point or
    an FTP site.
  • including the image along with a UNIQUE message
    identifier as meta data.
  • As a DAT file or an XML File

26
  • start10/05/2004 113024 sourcefax
    originalpagecount1 RemoteIdPeter Mittler
    RoutingInfoPeter

Meta data DAT example
27
lt?xm version'1.0' encoding'utf-8'?gt lt!--
Inbound Fax Metadata  --gt - ltFACSysFaxMetadatagt  
ltDateTimegt04/20/2005 185250lt/DateTimegt  
ltSourcegtfaxlt/Sourcegt   ltMessageIdgt22219lt/MessageI
dgt   ltTotalPageCountgt1lt/TotalPageCountgt  
ltStatusgtCompleted successfullylt/Statusgt  
ltOffHookTimegt17lt/OffHookTimegt   ltRemoteIdgtFACSys
Serverlt/RemoteIdgt   ltRoutingInfogt6773lt/RoutingInf
ogt   ltServergtANNEXlt/Servergt  
ltTransactionIdgtANNEX_20050420185250_22219lt/Transac
tionIdgt   ltAttachment Path"C\ArchiveTest\ANNEX_
20050420185250_22219.pdf" Type"PDF" /gt  
lt/FACSysFaxMetadatagt
  • Meta data XML - PDF example
  • Doc-management ready

28
Which means to you
  • Any document management system can extract this
    information, index it and store it.
  • It will work with system you already have or one
    you may acquire in the future.
  • No Doc Management system yet?
  • Store the faxes for future incorporation to a
    system.

29
  • That facilitates compliancy

and the real benefit to you is piece of mind that
all those fax messages are retrievable from
wherever you are without pulling paper files from
archival filing cabinets and then photocopying
for days!
30
  • By itself, no faxserver will make your company
    compliant.
  • It requires a mind-set to ensure that all the
    pieces of your messaging system deliver
    compliancy requirements in your particular
    business area.

31
  • Our mission here was to get you thinking about
    compliancy and how a faxserver contributes to
    that goal.
  • emFAST Inc. has added features to FACSys to
    assist you in this endeavor.
  • Need more information?

32
Reference Information
  • White Papers
  • How faxservers fax technologies fit SB IT
  • (http//download.emfast.com/doc/How_faxservers__f
    ax_technologies_fit_SB_IT.pdf)
  • FACSys and HIPAA
  • (http//download.emfast.com/doc/FACSys_and_HIPAA.p
    df)
  • emFAST Website www.emfast.com
  • FACSys Website www.facsys.com
  • FACSys Support Site www.faxserversupport.com
  • FACSys Training http//www.faxserversupport.com/fa
    st_training.htm

33
  • Thanks for your time today!
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