CA 02873544 2016-09-15
COMPUTER SYSTEMS AND COMPUTER METHODS FOR AUTOMATED ON-
DEMAND CUSTOMIZABLE ASSEMBLING AND HIGH THROUGHPUT
PRINTING OF DOCUMENTS
[0001/2] A portion of the disclosure of this patent document contains material
which is
subject to copyright protection. The copyright owner has no objection to the
facsimile
reproduction by anyone of the patent document or patent disclosure as it
appears in the
Patent and Trademark Office patent file or records, but otherwise reserves all
copyright
rights whatsoever.
TECHNICAL FIELD
[0003] In some embodiments, the instant invention is related to computer-
implemented
methods and computer systems for automated on-demand customizable assembling
and
high throughput printing of documents.
BACKGROUND OF INVENTION
[0004] Generally, many industries experience requirements associated with mass
mailings of printed material which are, typically, required a relatively short
turnaround
from a time when a request for mass mailing is received by a printer to a time
when the
requested mass mailing is accomplished.
BRIEF SUMMARY OF INVENTION
[0005] In some embodiments, the instant invention provides for a computer-
implemented method that includes at least the following steps of: periodically
receiving, by
at least one specifically programed computer system, investment transactional
data
identifying investment transactions of a plurality of investors, where the
investment
transactional data is received during a first time period and where the
investment
transactional data, for each investor of the plurality
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of the inventors, includes; i) at least one investment identifier of at least
one investment that is,
directly or indirectly, owned or managed by such investor, and ii) at least
one investment
transaction identifier of each investment transaction of such investor that
involves the at least one
investment; where the plurality of investor comprises at least a thousand
investors;
automatically determining, by the at least one specifically programed computer
system, based, at
least in part, on the investment transactional data, at least one first
document, at least one second
document, or both, to be mailed to each investor of the plurality of
investors, where the at least
one first document, the at least one second document, or both, are associated
with the at least one
investment of such investor; automatically generating, by the at least one
specifically programed
computer system, a delivery data for each mailing to be mailed to each
investor of the plurality
of investors, where the delivery data includes: bucslip data or trade
confirmation data, where the
bucslip data includes: a mailing address of such investor and a listing of the
at least one first
document, the at least one second document, or both, to be mailed to such
investor, and where
the trade confirmation data includes: at least one trade confirmation for at
least one investment
transaction of such investor, and at least one of the following: a) the
listing of the at least one
first document, the at least one second document, or both, to be mailed to
such investor, b) at
least one communication targeted to such investor, ii) assembling data that
identifies assembling
instructions for assembling each mailing to be mailed to each investor of the
plurality of
investors, where the assembling instructions comprise a plurality of
instructions selected from
the group consisting of: a first instruction identifying a quantity of
documents to be included in
such mailing, a second instruction identifying a quantity of pages of
documents to be included in
such mailing, a third instruction identifying a type of each document to be
included in such
mailing, a fourth instruction identifying, for each document to be included in
such mailing, that
such document is to be packed in a folded condition or an unfolded condition,
a fifth instruction
identifying a finishing to he applied to each document to be included in such
mailing, a sixth
instruction identifying a type of a mailing envelope to be used for such
mailing, a seventh
instruction classifying such mailing by weight based, at least in part, on
postal weight categories,
an eight instruction identifying a postage data based, at least in part, on
the classifying such
mailing in accordance with the seventh instruction, and a ninth instruction
identifying a
predetermined number of the investment transactions to which such mailing
corresponds, based,
at least in part, on: a first size and a first thickness of the at least one
first document, and a
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second size and a second thickness of the at least one second document; iii)
unique production
control bar code data, generated based, at least in part, on the assembling
data and the at least
one investment transaction identifier; and printing at least one unique
production control bar
code based, at least in part, on the unique production control bar code data,
where the unique
production control bar code is configured to be used for: i) assembling each
mailing envelope,
and it) tracking such mailing envelope before such mailing envelope is
deposited with a postal
service.
[0006] In some embodiments, the above exemplary method further includes:
automatically
determining, by the at least one specifically programed computer system, a
printing allocation
among a plurality of printers to print documents for mailings to the plurality
of investors based,
at least in part, on the delivery data.
[0007] In some embodiments, the bueslip data further comprises the at least
one communication
targeted to such investor.
[0008] In some embodiments, the above exemplary method further includes:
periodically
obtaining, by the at least one specifically programed computer system, the at
least one first
document, the at least one second document, or both, from at least one
electronic depository;
automatically converting, by the at least one specifically programed computer
system, the at least
one first document, the at least one second document, or both, into at least
one print-ready
formatted file; periodically receiving, by the at least one specifically
programed computer
system, change data, identifying changes in the at least one first document,
the at least one
second document, or both; automatically updating, by the at least one
specifically programed
computer system, the at least one first document, the at least one second
document, or both,
based, at least in part, on the change data; and automatically updating, by
the at least one
specifically programed computer system, the at least one print-ready formatted
file based, at least
in part, on the change data.
[0009] In some embodiments, the above exemplary method further includes:
automatically
assembling, in a machine automated mode, based at least in part on reading the
at least one
unique production control bar code, each mailing envelope, by: i) selecting,
by the at least one
specifically programed computer system, a plurality of printed materials from
a plurality of
feeders of at least one assembling mechanism, where the plurality of printed
materials are
selected from the group consisting of: 1) the at least one first document, 2)
the at least one
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second document, 3) at least one first bucslip document, printed based, at
least in part, on the
bucslip data, 4) at least one first trade confirmation document, printed
based, at least in part, on
the trade confirmation data, and ii) packaging the plurality of printed
materials into such mailing
envelope.
[0010] In some embodiments, the above exemplary method further includes:
utilizing, by the at
least one specifically programed computer system, at least one camera to read
an image of the at
least one unique production control bar code.
[0011] In some embodiments, the above exemplary method further includes:
automatically
generating, by the at least one specifically programed computer system, based
on at least in part
on the delivery data, at least one tracking log, at least one manifest
document for a postal service,
or both; and automatically tracking, by the at least one specifically
programed computer system,
the mailings to the plurality of investors, based at least in part on the at
least one unique
production control bar code and at least one of the following: the at least
one tracking log and the
at least one manifest document.
[001:2] in some embodiments, the above exemplary tracking the mailings
includes: utilizing, by
the at least one specifically programed computer system, at least one camera
to read an image of
the at least one unique production control bar code, and automatically
entering, by the at least
one specifically programed computer system, tracking data into the at least
one tracking log,
[0013] In some embodiments, the above exemplary method further includes:
applying a postage,
by the at least one specifically programed. computer system, to such mailing
envelope, based at
least in part on the at least one unique production control bar code; or
associating a postage, by
the at least one specifically programed computer system, to such mailing
envelope, based at least
in part on the at least one unique production control bar code.
[0014] In some embodiments, the above exemplary investment transactional data
of each
investor further includes account identifying data for at least one investment
account of such
investor with at least one financial institution.
[0015] In some embodiments, the above exemplary automatically assembling each
mailing
envelope further includes: automatically inserting at least one third document
received from a
financial institution associated with the investment transactional data of
such investor.
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[0016] In some embodiments, the above exemplary at least one first document,
the at least one
second document, or both, are: i) financial compliance documents and ii)
represent branded
documents or documents obtained from Edgar.
[0017] In some embodiments, the above exemplary determining includes:
automatically
cant-hitting a first printed inventory of the at least one first document, a
second printed inventory
of the at least one second document, or both; and automatically suppressing a
duplicate delivery,
to each investor, of the at least one first document, the at least one second
document, or both.
[0018] In some embodiments, the above exemplary at least one communication
targeted to such
investor includes at least one of the following: i) infoimation related to the
at least one
investment that is, directly or indirectly, owned or managed by such investor,
and ii) infoimation
related to at least one investment account of such investor.
[0019] In some embodiments, the above exemplary assembling of the mailings to
the plurality of
investors occurs before a second time period, and where a difference between
the first time
period and the second time period is twenty-four hours or less.
[0020] in some embodiments, the instant invention provides for a specially
.programmed
computer system that includes at least the following components: at least one
specialized
computer machine that includes: a non-transient memory having at least one
region for storing
particular computer executable program code; and at least one processor for
executing the
particular program code stored in the memory, where the particular program
code is configured
so that the at least one specialize computer machine is configured to at least
perform the
following operations: periodically receiving, by at least one specifically
programed computer
system, investment transactional data identifying investment transactions of a
plurality of
investors, where the investment transactional data is received during a first
time period and
where the investment transactional data, for each investor of the plurality of
the inventors,
includes: i) at least one investment identifier of at least one investment
that is, directly or
indirectly, owned or managed by such investor, and ii) at least one investment
transaction
identifier of each investment transaction of such investor that involves the
at least one
investment; where the plurality of investor comprises at least a thousand
investors;
automatically determining, by the at least one specifically programed computer
system, based, at
least in part, on the investment transactional data, at least one first
document, at least one second
document, or both, to be mailed to each investor of the plurality of
investors, where the at least
CA 02873544 2014-12-05
one first document, the at least one second document, or both, are associated
with the at least one
investment of such investor; automatically generating, by the at least one
specifically programed
computer system, a delivery data for each mailing to be mailed to each
investor of the plurality
of investors, where the delivery data includes: bucslip data or trade
continuation data, where the
bucslip data includes: a mailing address of such investor and a listing of the
at least one first
document, the at least one second document, or both, to be mailed to such
investor, and where
the trade confirmation data includes: at least one trade confirmation for at
least one investment
transaction of such investor, and at least one of the following: a) the
listing of the at least one
first document, the at least one second document, or both, to be mailed to
such investor, b) at
least one communication targeted to such investor, ii) assembling data that
identifies assembling
instructions for assembling each mailing to be mailed to each investor of the
plurality of
investors, where the assembling instructions comprise a plurality of
instructions selected from
the group consisting of: a first instruction identifying a quantity of
documents to be included in
such mailing, a second instruction identifying a quantity of pages of
documents to be included in
such mailing, a third instruction identifying a type of each document to be
included in such
mailing, a fourth instruction identifying, for each document to be included in
such mailing, that
such document is to be packed in a folded condition or an unfolded condition,
a fifth instmction
identifying a finishing to be applied to each document to be included in such
mailing, a sixth
instruction identifying a type of a mailing envelope to be used for such
mailing, a seventh
instruction, classifying such mailing by weight based, at least in part, on
postal weight categories,
an eight instruction identifying a postage data based, at least in part, on
the classifying such
mailing in accordance with the seventh instruction, and a ninth instruction
identifying a
predetermined number of the investment transactions to which such mailing
eoffesponds, based,
at least in part, on: a first size and a first thickness of the at least one
first document, and a
second size and a second thickness of the at least one second document; iii)
unique production
control bar code data, generated based, at least in part, on the assembling
data and the at least
one investment transaction identifier; and printing at least one unique
production control bar
code based, at least in part, on the unique production control bar code data,
where the unique
production control bar code is configured to be used for: i) assembling each
mailing envelope,
and ii) tracking such mailing envelope before such mailing envelope is
deposited with a postal
service.
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BRIEF DESCRIPTION OF THE FIGURES
[0021] The present invention can be further explained with reference to the
attached drawings,
wherein like structures are referred to by like numerals throughout the
several views. The
drawings shown are not necessarily to scale, with emphasis instead generally
being placed upon
illustrating the principles of the present invention. Further, some features
may be exaggerated to
show details of particular components.
[0022] FIG. 1 is a flowchart representative of some embodiments of the present
invention.
[0023] FIG. 2 is a screenshot representative of some embodiments of the
present invention.
[0024] FIG. 3 is a screenshot representative of some embodiments of the
present invention.
[0025] FIGS. 4A-4G are screenshots representative of some embodiments of the
present
invention.
[0026] FIGS. 5-61 are screenshots representative of some embodiments of the
present invention.
[0027]
[0028] FIG. 62A is another flowchart representative of some embodiments of the
present
invention.
[0029] FIGS. 62B-62H arc magnified portions of FIG. 62A.
[0030] In addition, any measurements, specifications and the like shown in the
figures are
intended to be illustrative, and not restrictive. Therefore, specific
structural and functional details
disclosed herein are not to be interpreted as limiting, but merely as a
representative basis for
teaching one skilled in the art to variously employ the present invention.
[0031]
DETAILED DESCRIPTION OF INVENTION
[0032] Among those benefits and improvements that have been disclosed, other
objects and
advantages of this invention can become apparent from the following
description taken in
conjunction with the accompanying figures. Detailed embodiments of the present
invention are
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disclosed herein; however, it is to be understood that the disclosed
embodiments are merely
illustrative of the invention that may be embodied in various forms. In
addition, each of the
examples given in connection with the various embodiments of the invention
which are intended
to be illustrative, and not restrictive. Any alterations and further
modifications of the inventive
feature illustrated herein, and any additional applications of the principles
of the invention as
illustrated herein, which can noinially occur to one skilled in the relevant
art and having
possession of this disclosure, areto be considered within the scope of the
invention.
[0033] Throughout the specification and claims, the following terms take the
meanings explicitly
associated herein, unless the context clearly dictates otherwise. The phrases
"in one
embodiment" and "in some embodiments" as used herein do not necessarily refer
to the same
embodiment(s), though it may. Furthermore, the phrases "in another embodiment"
and "in some
other embodiments" as used herein do not necessarily refer to a different
embodiment, although
it may. Thus, as
described below, various embodiments of the invention may be readily
combined, without departing from the scope or spirit of the invention..
[0034] in addition, as used herein, the term "or" is an inclusive "or"
operator, and is equivalent to
the term "and/or," = unless the context clearly dictates otherwise. The term
''based on" is not
exclusive and allows for being based on additional factors not described,
unless the context
clearly dictates otherwise. In addition, throughout the specification, the
meaning of "a," "an," and
'the" include plural references. The meaning of "in" includes "in" and ''on."
[0035] In some embodiments, the instant computer-implemented methods and
computer systems
are directed to automated on-demand customizable assembling and high
throughput printing
(identified, for example, in some specific instances in Figures and this
description by the term.
"AOS") of documents such as, but not limited to, prospectuses of mutual funds
and/or materials
of issuers that mutual funds and/or issuers want and/or require to provide to
their own
investors/shareholders. In some embodiments, the terms "post-sale," "post-sale
fulfillment," and
similar are referred herein to the provision of particular documents after,
for example, an
investment purchase transaction has occurred.
[0036] As used herein, a "financial instrument" refers to a contract/interest
representing equity
ownership, debt or credit, typically in relation to a corporate or
governmental entity, where the
contract is typically saleable at one or more financial trading venues. Some
examples of
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"financial instruments" can include, but are not limited to, stocks, bonds,
commodities, swaps,
futures, and currency traded on currency exchanges.
[0037] As used herein, the terms "automated" and "dynamic(ly)" identify an
event/action that
can occur without any human intervention. In some embodiments, the
automated/dynamic
event/action might occur in real-time or periodically such as, but not limited
to, less than hourly,
hourly, daily-, weekly, and/or monthly.
[0038] In some embodiments, the inventive computer systems/machines of the
instant invention
allow to customizable assembling and high throughput printing of at least two
distinct documents
for each of at least 1,000 recipients. In some embodiments, the inventive
computer
systems/machines of the instant invention allow to customizable assembling and
high throughput
printing of at least five distinct documents for each of at least 1,000
recipients. In some
embodiments, the inventive computer systems/machines of the instant invention
allow to
customizable assembling and high throughput printing of at least ten distinct
documents for each
of at least 1,000 recipients. In some embodiments, the inventive computer
systems/machines of
the instant invention allow to customizable assembling and high throughput
printing of at least
fifteen distinct documents for each of at = least 1,000 recipients. In some
embodiments, the
inventive computer systems/machines of the instant invention allow to
customizable assembling
and high throughput printing of at least twenty distinct documents for each of
at least 1,000
recipients. In some
embodiments, the inventive computer systems/machines of the instant
invention allow to customizable assembling and high throughput printing of at
least fifty distinct
documents for each of at least 1,000 recipients.
[0039] In some embodiments, the inventive computer systems/machines of the
instant, invention
allow to customizable assembling and high throughput printing of at least two
distinct documents
for each of at least 1,000 recipients. In some embodiments, the inventive
computer
systems/machines of the instant invention allow to customizable assembling and
high throughput
printing of at least two distinct documents for each of at least 10,000
recipients. In some
embodiments, the inventive computer systems/machines of the instant invention
allow to
customizable assembling and high throughput printing of at least two distinct
documents for each
of at least 1,000 recipients. In some embodiments, the inventive computer
systems/machines of
the instant invention allow to customizable assembling and high throughput
printing of at least
two distinct documents for each of at least 100,000 recipients. In some
embodiments, the
=
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inventive computer systems/machines of the instant invention allow to
customizable assembling
and high throughput printing of at least two distinct documents for each of at
least 1,000,000
recipients.
[0040] In some embodiments, the inventive computer systems/machines of the
instant invention
allow to customizable assembling and high throughput printing of at least two
distinct documents
for each of at least 25 recipients within a period of few minutes from the
receipt of information
associated with a triggering action/event (e,g., purchase of a security). In
some embodiments,
the inventive computer systems/machines of the instant invention allow to
customizable
assembling and high throughput printing of at least two distinct documents for
each of at least 50
recipients within a period of time that is less than an hour from the receipt
of information.
associated with a triggering action/event (e.g., purchase of a security). In
some embodiments,
the inventive computer systems/machines of the instant invention allow to
customizable
assembling and high throughput printing of at least two distinct documents for
each of at least
1,000 recipients within a period of time that is less than 24 hours from the
receipt of infoimation
associated with a triggering action/event (e.g., purchase of a security). In
some embodiments,
the inventive computer systems/machines of the instant -invention allow to
customizable
assembling and high throughput printing of at least two distinct documents for
each of at least
5,000 recipients within a period of time that is less than 36 hours from the
receipt of information
associated with a triggering action/event (e.g., purchase of a security). In
some embodiments,
the inventive computer systems/machines of the instant invention allow to
customizable
assembling and high throughput printing of at least two distinct documents for
each of at least
)0,000 recipients within a period of time that is less than 48 hours from the
receipt of
information associated with a triggering action/event (e.g., purchase of a
security). In some
embodiments, the inventive computer systems/machines of the instant invention
allow to
customizable assembling and high throughput printing of at least two distinct
documents for each
of at least 100,000 recipients within a period of time that is less than 72
hours from the receipt of
information associated with a triggering action/event (e.g., purchase of a
security). In some
embodiments, the inventive computer systems/machines of the instant invention
allow to
customizable assembling and high throughput printing of at least two distinct
documents for each
of at least 1,000,000 recipients within a period of time that is less than 7
days from the receipt of
infonnation associated with a triggering action/event (e.g., purchase of a
security). In some
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embodiments, the inventive computer systems/machines of the instant invention
allow to
customizable assembling and high throughput printing of documents within a
period of time that
is less than 10 days from the receipt of information associated with a
triggering action/event
(e.g.õ purchase of a security).
[0041] In some embodiments, the customizable assembling of the instant
invention includes
automatic compiling at least two distinct documents into at least one delivery
packaging (e.g., a
mailing envelop). In some embodiments, the customizable assembling of the
instant invention
includes automatic compiling at least two distinct documents into at least one
delivery packaging
(e.g., a mailing envelop) that has been further automatically prepared with a
metered postage
based on the packaging characteristics such as, but not limited to, weight and
size.
[0042] In some embodiments, the inventive computer systems/machines of the
instant invention
are utilized to automatically manage document inventory levels (e.g.,
prospectuses). In some
embodiments, the inventive computer systems/machines of the instant invention
allow to
automatically create queues when at least one of the following conditions
()Mills:
= When a backorder condition occurs and the inventory is not sufficient to
fulfill current trade
requirements;
* When the inventory level falls below a minimum threshold;
* When the projected demand exceeds the quantity on hand; and
O When a document (e.g., prospectuses) is due to expire and/or no longer
valid.
[0043] In some embodiments, the inventive computer systems/machines of the
instant invention
allows to satisfy compliance for the Post Sale deliveries by ensuring that the
latest version of the
Prospectus filed with the SEC via Edgar, is the version that is delivered to
the investor.
[0044] In some embodiments, the inventive computer systems/machines of the
instant invention
automatically calculate a recommended order quantity based on the security
type and/or other
business rules. In some embodiments, the quantity can be manually overridden
prior to placing
the order. In sonic embodiments, Individual or bulk orders can be submitted to
the vendors or
issuers automatically, as the queues are worked.
[0045] In some embodiments, the inventive computer systems/machines of the
instant invention
offer the ability to view and report on ordering history to satisfy inquiries.
In some
embodiments, the inventive computer systems/machines of the instant invention
allow users to
manage electronic versions of documents with print on demand (e.g., on-demand
printing of Summary prospectuses).
[0046] In some embodiments, the inventive computer systems/machines of the
instant
invention are described in accordance with term definitions given in Table
1.1.
Table 1.1
Term Definition
PSEG AFP Page Segment Resource file.
PDF Adobe Portable Data Format document file
Receipt ID A numerical identifier that uniquely identifies the PDF for
Broadridge Systems
AFP ID The Receipt Id represented as num-36 (digits 0-9A-Z)
Transform The process that converts PDF or postscript data into AFP
WMS Warehouse Management System
AFP Advanced Function Printing (AFP) is a document format originally
defined by
IBM to drive its printers and support the typical form printing on laser
printers.
EDGAR Electronic Data Gathering, Analysis and Retrieval. System that
performs
automated collection, validation, indexing, acceptance, and forwarding of
submissions by companies and others who are required by law to file forms
with the SEC.
AOS Automated Ordering System
DPS Digital Print Solution
DTE Document Transformation Engine
[0047] In some embodiments, the inventive computer systems/machines of the
instant
invention can offer the following illustrative functionalities, detailed in
Table 1.2.
Table 1.2
Interface Name Incoming Platform Purpose
/Outgoing
Prospectus In/Out Mainframe Prospectus Plus:
Plus 1. Processes incoming data from
Banks/Brokers.
2. Feeds the WMS (warehouse management
system) system with order data.
3. Feeds the DPS system with print requests.
4. Accepts feeds from the WMS system.
5. Transmits data back to the Banks/Brokers.
6. Transmits data to Document processing
repository(ies) and receives data/PDF
documents from Document processing
repository(ies).
7. Receives data/PDF documents from Mutual
Fund companies.
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g. Feeds W1µ,4S with Document IDs from
EDIT/LOAD feeds.
WMS In/Out Distributed WMS:
I. Processes order data and feeds Prospectus
Plus.
2. Feeds Prospectus Plus the High Speed data
elements.
3. Communicates to AOS/DHS directly.
4. Feeds Prospectus Plus with the High Speed
data for the Document processing
repository(ies) process.
AOS/DTE In/Out Distributed AOS/DTE:
I Uploads PDF documents and pass them on to
the document transformation engine.
2. Passes PDF documents and XML sidecar to
Document processing repository(ies).
3. Receives PDF documents and mapping from
Document processing repository(ies).
4. Accesses PDF documents stored in Electronic
Document Delivery and Archival system.
Document In/Out Distributed VDW:
processing 1. Mines the EDGAR database and produces
repository(ies) I PDF documents based on the EDGAR filings.
VDW 2. Stores and make available PDF documents.
Electronic In/Out Distributed Electronic Document Delivery and Archival
Document i system:
Delivery and 1. Document archive that communicates to
Archival other systems using the Electronic
Document
system Delivery and Archival system's APIs and
direct network connectivity.
DPS In/Out Distributed DPS:
1. Receives print requests and produces finished
1 documents.
[00481 EXEMPLARY STEP-BY-STEP FLOW PROCESSES
[0049] In some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention operate in accordance with an
exemplary flow process
of Figure 1.
[0050] 1.0 some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention operate in accordance with an
exemplary flow process
of Figure 2.
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[0051] In some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention operate in accordance with an
exemplary flow process
of Figure 3.
[0052] In some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention operate in accordance with an
exemplary flow process
of Figures 4A-4G.
[0053] in some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention operate in accordance with an
exemplary flow process
of Figure 5.
[0054] In some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention operate in accordance with an
exemplary flow process
of Figure 6.
[00551 In some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention operate in accordance with an
exemplary flow process
of Figure?.
[0056] In some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention operate in accordance with an
exemplary flow process
of Figure 8.
[0057] In some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention operate in accordance with an
exemplary flow process
of Figure 9.
[0058] In some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention operate in accordance with an
exemplary flow process
of Figure 10.
[0059] In some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention operate in accordance with an
exemplary flow process
of Figure 12.
[0060] In some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention operate in accordance with an
exemplary flow process
of Figure 13.
14
CA 02873544 2014-12-05
[00611 In some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention operate in accordance with an
exemplary flow process
of Figure 14.
[0062] In some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention operate in accordance with an
exemplary flow process
of Figure 15.
[0063] In some embodiments, client(s) send(s) their trades (e.g., Trade Data
from Banks/Brokers
sources) in records (edit/load job) which contains their clients' trade
information, Cusip
numbers, customers' names & addresses, broker client numbers and/or various
other
information_ The edit/loads come in various formats such as, but are not
limited to, Connect
Direct Enterprise, which is really a server version of mainframe format, FTP,
Dial Up, etc. In
some embodiments, the data is loaded into a DB2 table which is ready for
fulfillment. In some
embodiments, trades can be fulfilled via three types of avenues:
[0064] The first avenue and first step can be physical material which is
located in the warehouse
in a printing facility.
o Mainframe sends
fulfillment requirements to WMS õ
o WMS responds with availability & backorder info
[0065] The second avenue and second step can be through the High Speed Summary
Prospectus
Process_ There are certain Cusips numbers which are flagged in the Catalog
File as summary
prospectus and with an associated PDF (PCLS File). This file can be
interrogated by the
mainframe to find out if the document is available through High Speed Summary
Prospectus.
[0066] The third avenue can be to send the Cusip numbers to Document
processing
repository(ies). If Document processing repository(ies) does not have an
associated document
available, the trade is flagged as WM, waiting material. Trades that are
flagged as WM (waiting
material) are sent to the Automated Ordering System AOS.
o Mainframe (ME) extracts Cusip level backorder requirements and sends to
.AOS
once a day.
o MF extracts Cusip level backorder requirements and sends to \VMS multiple
times a day.
CA 02873544 2014-12-05
[0067] The AOS Ordering group uses the transactions that were downloaded to
procure material
to fulfill the trades that are in waiting material status. In some
embodiments, periodically (e.g.,
at the end of the day) .AOS sends a file that contains security type and issue
code that were
modified throughout the day to the mainframe which is then processed by a job
that runs in the
Post Sale End of Day. In sonic embodiments, the uploaded files update the Post
Sale Cusips
Number VS.AM file, PCLS. The PCLS file is used in the Post Sale Fulfillment
process to
determine if material is available in the warehouse, high speed or Document
processing
repository(ies).
[0068] in some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention operate in accordance with an
exemplary flow process
of Figure 16. Figure 16 identifies the following steps:
[0069] 1 ¨ Trade Data from Banks/Brokers
[0070] 1.1 Event triggered Edit transactions and load files
[0071] 1.2 Process Trades by copying to DB2 R.ec by Rec for processing
[0072] 1.3 Moves from DB2 to VSAM
[0073] 2 ¨ Determine Inventory Availability
[0074] 2.1 Scheduled process to determine order totals aggregated by Cusip
and MF sends
fulfillment requirements to WIVES
[0075] 2.2 WMS responds with what is available by Cusip & backorder info
[0076] 3 ¨ Backorder transactions
[0077] 3.1 MF extracts Cusip level backorder requirements and sends to AOS
once a day
[0078] 3.2 IviF extracts Cusip level backorder requirements and sends to
VMS multiple
times a day
[0079] 4 ¨ Place Orders
[0080] 4.1 Ordering team enters orders. Backorders, Repl.enishincnt(CRP) &
Expiring Pros.
[0081] 4.2 Orders & Follow-Ups sent to Offset Print Suppliers via email
[0082] 5 -- Receive Offset Documents
[0083] 5.1 Supplier delivers documents
[0084] 5.2 Warehouse receives inventory, updates WM.S, sends paperwork to
Ordering.
[0085] 6 ¨ Mutual Fund & Broker access
[0086] 6.1 Mutual Funds access Inventory status of their documents
16
CA 02873544 2014-12-05
[0087] 6.2 Clients access AOS ordering history
[0088] 6.3 Clients access ordering history from AOS via web service and
trade history
from Prospectus View
[0089] 7¨ Notification data.
[0090] 7.1 Issue code 84: Security type updates sent to MF, triggers
process to update
PCLS, data included in nightly Notification files to clients
[0091] 8 ¨ Electronic Document Handling
[0092] 8.1 Mutual Funds ftp's or mails "Branded" pdf documents to AOS, pdf
s are
bounced to NAS. Ordering processes does via Document Handling page.
[0093] Sending pdfixrn.l does to Document processing repository(ies).
[0094] 8.2 Funds file forms electronically then Edgar. Document processing
repository(ies)
(also referred as NR/New River/Andover) extract(s) the data & loads into ar
system, ftp's (Edgar
Sourced) pdf s/xml, mapping data & process status to AOS (also refered as
Broadridge)
(processed by background tasks).
[0095] 8.3 Pdf s logged in AOS Document Tracking tables, archived in
Electronic
Document Delivery and Archival system (accessible from Document Tracking
page), written to
NAS for processing by Docinfo.
[0096] 8.4 Docinfo interrogates pdf does, updates AOS_DocumentTracking,
forwards
pdf S for AFP transformation.
[0097] 8.5 Transform proe polls /PDFS On NAS, transforms- PDF2AFP,
deposit/PSEG-S
[0098] 8.6 TransformMonitor pols /PSEGS on NAS,rnarks AOS_DoeumentTracking
as "Transformed".
[0099] 8,7 Control set process identifies "Transformed" does on
AOS_DoeumentTracking
that sends updates to MF, Submits MF Control Set print.
[0100] 8.8 QA reviews Control Set, "Fails" where appropriate AFP QC screen.
[0101] 8.9 Upload process interrogates AOS_DocumentTracking to identify all
"Active",
extracts meta, updates Mainframe files with information on electronic versions
[0102] 9 ¨ Pick Process
[01031 9.1 Mainframe determines if trades can be fulfilled with offset or
electronic version
[0104] 9.2 Submits Pick ticket or
[0105] 9.3 Summary Prospectus print as appropriate.
17
CA 02873544 2014-12-05
[0106] 10 CreatePdf
[0107] 1.0,1 Function to ingesticombin.e multiple document types and create
single pdf
which is emailed to subrnitter.(combinespdf, xis, doe, txt, jpg, etc)
[0108] 2J AOS Load Process schedule
[0109] In some embodiments, on real-time basis or periodically, the instant
invention performs
the process to load AOS backorder data by querying at least one or more pre-
determined
electronic sources based on current and historical data associated with a
particular job.
[0110] 2.2 ADS Export Process schedule
[0111] In some embodiments, on real-time basis or periodically, the instant
invention performs
the process to export ADS processed data by transmitting the processed data
(e.g., print
instructions, issue file update) to at least one or more pre-determined
electronic sources based on
current and historical data associated with a particular job.
[0112] EXEMPLARY COMPONENTS/ FUNCTIONS
[0113] Some embodiments of the instant invention can have the following are
the exemplary
components of the AOS application, as detailed in Table 1.3.
Table 1.3
Vendor/Contact Screens that maintain Vendor, Mutual Fund and Issuer contact
Maintenance information in the ADS database.
User Management Screens that maintain User credentials to determine who is
authenticated
to use ADS and Who is authorized to use specific functions throughout
ADS.
Backorder Screen to manage and order material for trade transactions
that are in
processing backorder status.
I Replenishment Screen that interacts with the WMS system to proactively
place orders for
Order Processing material before it goes into backorder status.
Expiring Screen that interacts with the WMS system to proactively place
orders for
Prospectus Order expiring material based on an expiration date.
Processing
I Electronic
System functionality that allow Broadridge to manage electronic versions
i Document of documents as opposed to hard copy,
Processing
! Order Tracking Screens that allow the Ordering Associates to maintain
previously placed
orders.
Reporting Menu that allows access to multiple Order related reports
Client Access Issuers and Mutual Funds have restricted access to certain
functionallity
Lyaintenance j Screens to maintain control tables that control the logic of
ADS
16
CA 02873544 2014-12-05
[0114] Vendor/Contact Maintenance
[0115] In some embodiments, this component of the application gives the
Ordering Associates
the ability to add/maintain contact information on the Print Vendors, Issuers,
and Mutual Funds
that they deal with throughout the course of their dealings in the Prospectus
management
process. The data maintained here is Name, Address, Phone, Email, CC, Company
Name, Types
of Security they deal with and Special Instructions related dealing with them
and Switches.
These tables are leveraged throughout the system to identify the customer 8z
supply the
email/contact information required to automatically send them entails.
[0116] In some embodiments, the instant invention can utilize the following
exemplary switches
for the Document Handling:
a. Offset ¨ Identifies vendors sourcing offset inventories
b. POD Indicates vendors sourcing PDF documents
c. L&L DoeSouree ¨ Indicates the source of the document that can be used
for Linking
and Layering
d. POD DoeSouree ¨ Indicates the source of the document that can be used
for printing
e. POD Billable ¨ Indicates the entity to bill for the printed material
EDGAR Check ¨ Indicates that a vendor has contracted for the EDGAR Check
product. This can be used for billing
g. L&L ¨ Indicates that a vendor has contracted for the Linking and Layering
product.
This can be used for billing
h. XBRL ¨ Indicates that a vendor has contracted for the XBRL product. This
can be
used for billing
i. Imposed ¨ Indicates that a vendor can be sourcing documents that can need
to be
imposed before they can be consumed
j. Color ¨ Indicates that a vendor can be sourcing both colored and gray scale
documents to be used for Linking and Layering and POD print, respectively.
[0 1 17] In some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention receive vendor information by
utilizing exemplary
functionality(ies) in accordance with Figures 17 and 18..
[Oil S] User Management
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CA 02873544 2014-12-05
[0119] In some embodiments, AOS users' information is stored in a user table
in the AOS
database. These User entries are maintained using the user management screens
by Admin role
user, In some embodiments, AOS uses user credentials to determine the
authorization roles to
determine what screens the user can and can't view in AOS. In some
embodiments, the user
authentication information (password) can be also stored in DB2 table and
queried using a Web
Service.
[0120] Enhanced Security
[0121] In some embodiments, the instant invention utilizes a secure
authentication service called
SDS. For extra security, when logging in, the password is encrypted before it
is sent over the
web to prevent anyone from capturing your userid/password as the data is being
transmitted.
This sign on data is routed to the SDS process where it is validated against a
separate secure
database before it lets you into AOS. External users they login by the lutps
link in the address
instead of just http, this means that in addition to encrypting the sip on
info it is also using an
additional secure communication protocol that can encrypt ALL of the data
being sent back &
forth between user's machine & the AOS software on servers.
[0122] In some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention provide enhance security by
utilizing exemplary
functi onality(ies) in accordance with Figure 19.
[01231 Enhanced Role Management
[0124] In some
embodiments, in addition to the internal roles (admin, manager, order, guest,
guestall and systems), the AOS can allow for specific roles for client & fund.
By assigning roles
to users, the AOS can control the areas of the system that someone is
authorized to access and
protect or hide controls and data that we don't want them to have. In some
embodiments, the
AOS has EditMenu screen which is only accessible to the system role that
manages the Menu
and Roles functionality, this allow o dynamically add (or take away) the
access to different roles,
screens, menu options, certain fields and controls.
[0125] In some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention provide role management by utilizing
exemplary
functionality(i.es) in accordance with Figures 20-22.
[0126] Order Processing
[0127] Backorder Processing
CA 02873544 2014-12-05
[0128] In some embodiments, this component of the application gives the
Ordering Associates
visibility to all the Cusips that are currently in Backorder status because:
1 No inventory available to fulfill the deliver)/ of the Prospectus
document related to
that security in the warehouse.
The file is not available through the high Speed Summary Prospectus Process.
3 Document processing repository(ies) does not have an associated
document; the trade
is flagged as WM, waiting material.
[0129] In some embodiments, the Backorder status is determined by a
combination of logic in
the WMS system and the Mainframe systems which are then transmitted to the AOS
system and
loaded into the database every morning. In some embodiments, the Ordering
Associates review
the Backorder transactions, correct info if needed and flag transactions with
Issue Codes if they
need help from the Issuers on a given transaction. In some embodiments, if the
transaction does
not have any errors or issues, the Ordering Associate can select the items
they want to order,
place the order and in the order screen, select the contact(s) from the Vendor
Contact table that
should receive the order.
[0130] Add Follow up date, delivery method, internal and external notes if
needed and attach
documents and WMS inventory report if needed then submit the Order. The Order
can be
automatically emailed to the contact Or printed to be faxed or mailed
depending on the delivery
method maintained in the vendor table and logged in the database.
[0131] In some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention provide order processing by
utilizing exemplary
functionality(ies) in accordance with Figure 23.
[0132] Replenishment Order Processing
[0133] In some embodiments, the instant invention can allow to proactively
place orders for
material before it goes into backorder status. In some embodiments, the logic
calculates a
Reorder Point (CRP) to determine what is needed based on past usage and
security specific
parameters that are extracted from tables in the WMS database. In some
embodiments, this logic
is only applied to Mutual Fund ordering. In some embodiments, the Ordering
Associate can
select the vendor, ADS can retrieve the transactions from WMS for that vendor.
The Ordering
Associate. can select the items they want to order, updated Quantities, select
the contact(s) from
the Vendor Contact table that should receive the order. Add Follow up date,
delivery method,
21
CA 02873544 2014-12-05
internal and external notes if needed and add documents and attach WMS
inventory report if
needed then submit the Order. The Order can be automatically emailed to the
contact or printed
to be faxed or mailed depending on the delivery method maintained in the
vendor table and
logged in the database.
[01341 In some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention provide order processing by
utilizing exemplary
functionality(i es) in accordance with Figure 24.
[0135] Expiring Prospectus Order Processing
[0136] In some embodiments, the instant invention allows to proactively place
orders for
updated prospectuses before they expire. Prospectuses are typically dated and
typically expire
on the respective expiry dates which are generally a year from the effective
date but do vary. The
expiration date is typically calculated based on security specific parameters
that are extracted
from tables in the WMS database. In some embodiments, this logic is only
applied to Mutual
Fund ordering.
[0137] In some embodiments, the Ordering Associate can select the vendor;
update the date
default selection if needed the AOS can retrieve the transactions that
expiration date is near from
[0138] WMS for that vendor. In some embodiments, the Ordering Associate can
select the items
they want to order, updated Quantities, select the contact(s) from the Vendor
Contact table that
should receive the order. Add Follow up date, delivery method, internal and
external notes if
needed and add documents and attach WMS inventory report if needed then submit
the Order.
[0139] In some embodiments, the Order can be automatically emailed to the
contact or printed to
be faxed or mailed depending on the delivery method maintained in the vendor
table and logged
in the database.
[0140] in some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention provide order processing by
utilizing exemplary
functionality(ies) in accordance with Figures 25-26.
[0141] Order Tracking
[01421 In some embodiments, this is where. the orders are tracked by the
ordering group from
start to completion. In some embodiments, the user could use this section to
either:
= Follow-up an order
= Close an order
22
CA 02873544 2014-12-05
* Cancel an order
[0143] In some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention provide order tracking by utilizing
exemplary
functionality(ies) in accordance with Figures 27-28.
[0144] Review/Follow-up (Order Receipt Processing)
[0145] In some embodiments, the user can track the order from start to
completion. In some
embodiments, the user can view:
= Order Detail
= Order contacts
= Order history
= Modified Backorders
[0146] In some embodiments, when ordered material is received, they're logged
into the
warehousing system (WMS) and receipt documents are utilized to automatically
update the AOS
system against the origjnal orders that were placed in the Order Receiving
section.
[0147] In some embodiments, this information can he included in the Order
Review history, the
client Cusip activity report as well as the Prospectus View application,
[0148] In some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention provide order followup by utilizing
exemplary
functionality(ies) in accordance with Figure 29.
[0149] Close
[0150] In some embodiments, the user can view:
* Order Detail
= Order contacts
= Order history
= Modified Backorders, and.
* if need be update, the notes.
[0151] Cancel
[0152] In some embodiments, same as Close Order, the user can view:
* Order Detail
* Order contacts
= Order history
23
CA 02873544 2014-12-05
= Modified Backorders, and
= If need be update, the notes.
[0153] In some embodiments, the difference between closing an order and
canceling order, the
client can be notified through an email that the order has been canceled..
[0154] Reports
[0155] In this section the users can be able to generate and view reports. For
example, an Order
Reports option shows various statistics:
1 Number of Open, Mapped Orders by Security Type (corporate, Government
etc....) placed;
2 Top 20 Backorders
by Security Type (corporate, Government etc....).
[0156] In some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention provide order reports by utilizing
exemplary
functionality(ies) in accordance with Figure 30.
[0157] BackOrder Reports
[0158] In some embodiments, this Back.Ord.er report shows back orders with
transactions that
have quantity greater than 50 by Security Type. In some embodiments, the
inventive computer
methods and the computer systems/machines of the instant invention provide
backorder reports
by utilizing exemplary functionality(ies) in accordance with Figure 31.
[0159] Inventory Report
[0160] In some embodiments, this report is also used externally by the Fund.
It shows the item
usage for the period selected the monthly average and what is on hand. On the
Inventory Report,
just as is done on the Backorder screen, the Vendor Prefix is pre-populated
and protected when
the page is loaded, so they can only access data related to their fund. They
can specify the date
criteria to further control the date range that is returned. AOS creates the
report in an Excel
spreadsheet which they are free to save on their machine, edit, modify, etc.
In some
embodiments, the inventive computer methods and the computer systems/machines
of the instant
invention provide inventory reports by utilizing exemplary functionality(ies)
in accordance with
Figure 32.
[0161] Orders by Prefix Report
[0162] In some embodiments, orders for a selected vendor that were submitted
with quantity
amount/received and follow up dates. In some embodiments, the inventive
computer methods
24
CA 02873544 2014-12-05
and the computer systems/machines of the instant invention provide order
reports by utilizing
exemplary functionality(ies) in accordance with Figure 33.
[0163] Client Cusip Status Report
[0164] In some embodiments, this report can provide order history within the
selected date range
for the Cusip(s) selected including activity type, external notes, user,
modified details, status, etc.
In some embodiments, a user has an option to submit I to 5 Cusips and/or a
special formatted
excel file that include all the Cusips for which the report can be ran
against. In some
embodiments, the inventive computer methods and the computer systems/machines
of the instant
invention provide Cusip status reports by utilizing exemplary
fanctionality(ies) in accordance
with Figures 34-35.
[0165] Cusip Monitor Report
[0166] This Report is used to more accurately reflect the activity of the
Ordering Associates.
This user range which is maintained in the Range Filter Screen, drives the
logic that generates
this report. In some
embodiments, the inventive computer methods and the computer
systems/machines of the instant invention provide Cusip monitor reports by
utilizing exemplary
functionality(ies) in accordance with Figures 36-38.
[0167] Modified Cusip Details Report
[0168] In some embodiments, this report's function allows the user to quickly
& easily identify
any security type and/or issue code changes that were done to transactions
processed. In some
embodiments, this is a very flexible function that gives the ability to
specify a wide range of
selection criteria to easily return filtered info. In some embodiments, a user
can specify a given
Cusip, ranges of Cusips, catalogs, dates, etc. In some embodiments, the user
can click a check
box to list all transactions with issue codes or security type changes. In
some embodiments, the
user can specify a user 8z return all the Cusip modifications done by that
person. In some
embodiments, the user can also load an Excel file with a list of Cusips that a
client may send you
requesting info on those specific Cusips. In some embodiments, the user can
mix & match the
options below to fit your needs. In some embodiments, the inventive computer
methods and the
computer systems/machines of the instant invention provide modified Cusip
details reports by
utilizing exemplary .functionality(ies) in accordance with Figures 39-40.
[0169] :Billing Contact Report
CA 02873544 2014-12-05
[0170] In this Report the user has an option to view All, Active or Disabled
Contact Report. This
report shows Billing contact info. In some embodiments, the inventive computer
methods and
the computer systems/machines of the instant invention provide billing reports
by utilizing
exemplary functionality(ies) in accordance with Figure 41.
[0171] MAINFENANCE
[0172] In this Maintenance section the users can be able to create/update:
* Prefix Cross Reference
= Create PDF
= Issue Codes
= En-or Codes
* PDF Page size Maintenance
[0173] In some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention provide maintenance by utilizing
exemplary
functionality(ies) in accordance with Figure 42,
[0174] Prefix Cross Reference
[0175] In some embodiments, this is where the Parent/Child relationship of the
vendors is
created and maintained. In some embodiments, the inventive computer methods
and the
computer systems/machines of the instant invention provide prefix cross
reference by utilizing
exemplary functionality(ies) in accordance with Figure 43.
[0176] Create PDF
[0177] In some embodiments, this is where the user can convert or combine
different types of
documents into a PDF. In some embodiments, the inventive computer methods and
the computer
systems/machines of the instant invention provide document processing by
utilizing exemplary
functionality(ies) in accordance with Figure 44.
[0178] Issue Codes
[0179] In some embodiments, this is where the Issue Codes are maintained. In
some
embodiments, the inventive computer methods and the computer systems/machines
of the instant
invention provide issue codes management by utilizing exemplary
functionality(ies) in
accordance with Figure 45,
[0180] Error Codes
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CA 02873544 2014-12-05
[0181] In some embodiments, this is where the Error Codes for the document
handling are
maintained. In some embodiments, they are used for the document handling QC to
flag
document with the error code/description when they fail a document. In some
embodiments, the
inventive computer methods and the computer systems/machines of the instant
invention provide
error codes management by utilizing exemplary functionality(ies) in accordance
with Figure 46.
[0182] PDF Page Size Code Maintenance
[0183] In some embodiments, this is where PDF Page Size/Codes for the document
handling are
configured and maintained. in some embodiments, they are used for the document
handling to
define what are the range of sizes for a document allowed to fall under a
certain Code (L, M,S).
In some embodiments, the inventive computer methods and the computer
systems/machines of
the instant invention provide pdf page size code management by utilizing
exemplary
functionality(ies) in accordance with Figure 47.
[0184] External Access
[0185] Client Access
[0186] In some embodiments, when a user logs in, who has been defined under
the Role of
Client, the user can only be allowed to view the Client usip Status report
which is called using
a web service so that it could be used by another system (Prospect View) as
shown below. In
some embodiments, the user can have inquiry access only: all update
functionality can be
protected, in some embodiments, certain data and be blocked from being
accessed by the user
such as, but not limited to, internal notes, etc. In some embodiments, the
inventive computer
methods and the computer systems/machines of the instant invention provide
user/client access
management by utilizing exemplary functionality(ies) in accordance with Figure
48.
[0187] Fund Access
[0188] In some embodiments, when the user logs in who has been defined under
the Role of
Fund, the user can be allowed to view Backorders and generate Inventory
reports for only the
Fund that the user represents, In some embodiments, logic can be driven based
on a Security
Type for this user and a Prefix specified on the Add/Update User screen. In
one example, when
clients/users login to AOS, they can only get access to the Inventory Report.
Through the Prefix
cross reference logic where the Parent/Child relationship of the vendors, data
belonging to all
those prefixes can be returned. In some embodiments, the inventive computer
methods and the
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CA 02873544 2014-12-05
computer systems/machines of the instant invention provide fund user/client
access management
by utilizing exemplary functionality(ies) in accordance with Figures 49-50.
[0189] DOCUMENT HANDLING SYSTEM (DHS)
[0190] Document Load
[0191] In some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention have an ability to print/deliver
documents on demand
from electronic PDF versions of Issuer documents (Prospectus, SummaryPrO, SAI,
Annual
Report etc.) In some embodiments, these electronic documents are obtained from
various
sources. In some embodiments, the first source being an SEC filing service
called EDGAR. For
example, all publically traded companies are required to file registration
statements, periodic
reports, and other forms electronically through EDGAR. In some embodiments,
AOS's
document processing repository(ies) has/have an automated process which mines
the EDGAR
database, extracts the documents/data & loads into its/their system(s). In
some embodiments,
document processing repository(ies) transmit(s) these (Edgar Sourced) pcif
s/xml, mapping data
& process status files and FTP them to print facilities throughout the day. In
some embodiments,
these files are ingested, logged in the database & made print ready for high
speed print by
background processes.
[0192] in some embodiments, some issuers may prefer to distribute "Branded"
documents with
logos, color, etc., and these are supplied directly to AOS from the issuer
via, for example, FTP or
emails. Ordering reviews and processes the "Branded" documents via the
Document Handling
page and the system forwards the pdf and xml metadata (document info) files to
the document
processing repository(ies) via, for example, FTP. In some embodiments, these
"Branded"
documents can be used in place of the EDGAR sourced documents for print, web
presentation &
e-delivery purposes.
[0193] In some cases, the Issuers create "Branded" documents but don't send
them to AOS and
in this situation; the AOS pulls documents from the Issuers web site, ingest
them through the
Document Load screen and make them available for print as described above.
In some
embodiments, each ingested PDF is first run through a process which
interrogates all documents,
extracts PDF attributes from each, logs the attributes in the database 8z.
forwards the does to an
additional conversion server. This server runs a third party product (PDF2AFP)
to convert the
document from PDF format into AF.P format, forwards the APP version of the
document to a
28
CA 02873544 2014-12-05
folder which is accessible to the IPM/IPW print process. At this point the
database reference for
each document is updated to indicate that this document as available for
print.
[01911] In some embodiments, there are 2 types of documents that are used:
* Branded Documents: Some Issuers prefer to distribute "Branded" Documents
with logos,
color, etc., and these are supplied directly to Broadridge from the Issuer via
FTP or emails.
In some cases, the Issuers create "Branded" documents but don't send them to
Broadridge
and in this situation; the Ordering Team can pull documents from the Issuers
web site.
= Edgar Documents: All publically traded companies are required to file
registration
statements, periodic reports, and other forms electronically through EDGAR.
Broadridge Document processing repository(ies) has an automated process which
mines the
EDGAR database, extracts the documents/data & loads it into their system.
Document
processing repository(ies) transmits these (Edgar Sourced) pdf s with XVII.,
'files that
contains document Metadata, mapping data & process status files and FTP them
to
Broadridge Print facility I throughout the day.
[0195] In some embodiments, branded documents received from Funds through
email or FTP
are loaded into AOS using the Document Handling System and submitted. In some
embodiments, Document processing repository(ies) receive(s) Edgar Documents
which are then
ingested into AOS by a DocumentResponse process triggered by a web service, on
real-time
basis or periodially, for example every 30 minutes. In some embodiments, the
documents that
are loaded whether loaded by a user or received through FTP from Document
processing
repository(ies) and ingested:
I Documents information gets stored in AOS DB
2 Documents get sent to DDS
3 Documents get Transformed to AFP files so that they are Mainframe print
ready and get sent to the NAS AFP folder.
4 Documents get sent to Electronic Document Delivery and Archival system to he
archived
Documents that are loaded get sent to Document processing repository(tes)
through
FTP so that they get Edgar checked and get back all the information related to
the
document such as Dodd. ExpirationDate, Effecti velD ate; Ammended D ate,
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CA 02873544 2014-12-05
FilingDate, SupplementDate, LatestSupplementDate, DeadDate, FundFamily,
LatestSupplernentFilingDate, LatestSupplementDate.
[0196] In some embodiments, there are 3 types of Feeds that we receive from
Document
processing repository(ies) throughout the day to update print database(s).
Document Response
feed:
= For Branded Documents: the document information related to the document
loaded
in an XML file.
For Edgar Documents: the documents (PDF) and the document information related
to
the document in an XML file.
Document Status feed: the Document status report which provides statuses for
all the
processes that a document goes thru at Document processing repository(ies).
Whenever a process status for a branded document is changed, the status update
is
FTPd to us in the status report.
= Mapping Data feed: the information related to all the document in a
mapping tile
(Intraday mapping file) that is received on real-time or a predetermined
periodic
basis, for example, throughout the day and processed by a MappingData process.
= The document information extracted: Dodd, Prefix, ExpirationDate,
.EffeetiveDate,
AmmendecIDate, FilingDate, SupplementDate, LatestSupplementDate, DeadDate,
FundFamily, LatestSupplementFilingDate, LatestSupplementDate.
[0197] in some embodiments, at certain time, the Version Control process gets
triggered. In
some embodiments, the Version Control process Activateibactivate/Pend document
accordingly.
[0198] The active documents (ready to he fulfilled by the Mainframe process)
then are uploaded
to the Mainframe using a \VMS batch process. For Version Control see Version
Control.
[0199] In some embodiments, the Version Control process can have one or more
of the
following steps.
[0200] 1) In some embodiments, the user can load Branded documents received
from the issuer
either through FTP or Email Using the Document Load Screen (see Fig. 51).
[0201] 2) in some embodiments, once the Document is submitted, a record gets
inserted in the
tracker/ trackerdetails tables, an )(NIL file with the documents Metadata gets
generated. In some
embodiments, the instant invention utilized encryption protocols (e.g., MD5)
for secure data
3D
CA 02873544 2014-12-05
transmissions. In some embodiments, a copy of the Document and XML files get
sent to
PDFInbox folder on the Web Server, where it gets ingested by Electronic
Document Delivery
and Archival system's Ingestion scheduled task that runs on-demand/real-time
or on a pre-set
periodic basis. The Electronic Document Delivery and Archival system Ingestion
can move the
document with the XML files to the Electronic Document Delivery and Archival
system Archive
Library.
[0202] 3) In some embodiments, a copy of the Document and XML files get copied
to the NAS.
In some embodiments, the PDF is first run through DocInfo, a process which
interrogates all
documents, extracts PDF attributes, logs the attributes in the database &
forwards the does to an
additional conversion server to be transformed. This server runs a third party
product
(PDF2AFP) to convert the document from PDF foonat into AFP format, forwards
the AFP
version of the document to a folder which is accessible to the IPM/IPW print
process. At this
point the database reference for each document is updated to indicate that
this document as
available for print. In some embodiments, document types that can be
transformed are as
follows:
i. spro ¨ Summary prospectus
sprs ¨ Summary prospectus supplement
prps ¨ Statutory prospectus supplement
iv. misc¨ Letters
v. mise ¨ Custom Portfolio
[0203] In some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention provide document type management by
utilizing
exemplary funetionality(ies) in accordance with Figure 52.
{0204] 4) In some embodiments, a copy of the Document and XML files get copied
to DDS
folder.
[0205] 5) In some embodiments, a copy of Document/XMLi.done files get FTPd to
Document
processing repository(ies) using the Receipt Id as the name that got created
when the document
was first submitted. In some embodiments, the inventive computer methods and
the computer
systems/machines of the instant invention provide action/event confirmations
(e.g., an email) by
utilizing exemplary functionaLty(ies) in accordance with Figure 53.
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CA 02873544 2014-12-05
[02061 6) In some embodiments, the docurnentsfXIVILI.done files that are sent
to Document
processing repository(ies) can get FTPd back to AOS where a process moves them
to the NAS so
that they can be processed through the response feed with other Edgar
documents/XMLLdone,
and are named with Document processing repository(ies)'s Dodds instead of the
Receip ID
which can be used to update print facility's records with those DocIDs and
fund family, etc.,
extracted from the XML file. In some embodiments, other fields can be update
with information
received through other feeds from Document processing repository(ies) (mapping
Feed, Intraday
Feed, FilingDate Feed, Status Feed) such as Prefix, filing date, expiration
date, supplement date
etc,. whether the Documents were Loaded through AOS DHS or through the :Feed
(Edgar
Does)from Document processing repository(ies).
[0207] In some embodiments, the DoeumentProcessStatus feed provides info on
the outcome of
the Edgar Check. This feed can be processed and can update the Document
Tracker with the
Process Status, In some embodiments, an email are generated and an excel file
of the Statusfeed
get generated and attached to the email and get sent the Edgar Check Alert
email box (Ordering
Group). In some embodiments, XML/Done files get FTPd to AOS where a process
moves them
to the NAS.
[0208] in some embodiments, there are three types of Mapping files we receive
from Document
processing repository(ies) that get FTPd to AOS where there is a process that
moves them to the
NAS, so that they can be processed. For more details, see Document processing
repository(ies)
DHS feeds,
[0209] 7) in some embodiments, periodically, the Version. Control process gets
triggered by the
last mapping file received from Document processing repository(ies) by a
window Service.
[0210] The Version Control process Activate/Inactivate/Pend document
accordingly.
[0211] The active documents (ready to be fulfilled by the Mainframe process)
then are uploaded
to the Mainframe using a \VMS batch process.
[0212] Document Tracking
[0213] In some embodiments, documents processed through this Document Load
screen are
logged, tracked in the AOS database and archived in Electronic Document
Delivery and Archival
system. In some embodiments, the documents and information related to each
document is
accessible via the Document Tracker screen. In some embodiments, the document
search criteria
on this screen allow the user to select a specific document or a group of
documents based on very
32
CA 02873544 2014-12-05
granular search criteria. In some embodiments, a document can be identified
based on any
combination of the following fields: Item Number, Material Code, Receipt ID,
AFP_IDõ
Imposed, Prefix, User ID, Cusip, PDELID, Status Date, Status, Doe Type, Entry
Date,
Vendor Name, Source or a specific File Name. Once the page retrieves
information on the
documents included in your search criteria, you can retrieve the actual
document from Electronic
Document Delivery and Archival system by clicking on an pdf icon.
[0214] This can invoke the PE API and retrieve the document to your screen.
The user can also
use this screen to retransmit a document(s) which can FTP the selected
document/XML/drie to
Document processing repository(ies). In some embodiments, the inventive
computer methods
and the computer systems/machines of the instant invention provide retransform
documents by
utilizing exemplary functionality(ies) in accordance with Figure 54.
[0215] Print Preparation.
[0216] In some embodiments, documents are ingested as a PDF, run through a
process which
interrogates each one, extracts attributes from each, logs the attributes in
the database &
forwards the does to an additional conversion server. This server runs a third
party product
(PDT:2AF?) that converts the document from PDF format into AFP format. The AFP
version of
the document is then forwarded to a file share which is accessible to the
.IPM/IPW print process.
At this point the database reference for each document is updated to indicate
that this document
as available for print.
[0217] Exemplary Quality Control
[0218] In some embodiments, at periodic rate, there is a QC upload process
that gets triggered
which sends Document attributes from the AOS Tracker and WMS that have not
been QCed and
sends that to the Mainframe to print a set of 1 each of newly submitted PDF's
to be printed. In
some embodiments, these control set documents are reviewed by QC prior to
being used for
actual Prod runs. To segregate this control set, the
DocumentInfo/TransforniMonitor to flag these
does as Transformed after the submission/transformation processes. In some
embodiments, the
Transformed status can identify the does to be selected in a QC upload
process. After the QC
print run, QC can review the printed output for errors. In some embodiments,
if there are
problems with a given document, the user can log on to the Document Handling
portion of the
AOS application and use the AFP QC Scan Screen to change the status of the
given document to
Fail. In some embodiments, to speed the process, all the user has to enter
either manually enter
33
CA 02873544 2014-12-05
the AFP JD or use scanning gun, the system can automatically fail the document
and they can be
required to check which Error code(s) to indicate why the document failed. In
some
embodiments, associates with QC role can be routed directly to this QC screen
which is a
restricted view that does not allow the Retransmit function, In some
embodiments, if a given
document passes the QC inspection, the QC flag in the Tracker get set to 'Y'
and they'll be
selected later in the WMS upload which runs after the FeedMappi.ng and Version
Control, and
selects and sends active documents/records to the Mainframe. In some
embodiments, the
mainframe files tell the print process which documents can be used in the
Production print run.
[0219] Exemplary AFP QC Scan Screen (Figures 55-56j
[0220] In some embodiments, the logic behind this screen as follows:
i. Only fail documents where the QCed flag is set to N.
ii. Change the status in the Document Tracker to F ¨ always.
iii. Record the transaction in the Detail table.
[0221] Exemplary QC Batch Screen (Figure 571
[0222] In some embodiments, this screen is where a QC user completes the batch
which sets
Documents that have gone. through the QC process by setting the QC flag in the
tracker to 'Y'.
Documents with the QC flag set to 'Y' can be selected to be processed by VC.
[0223] A QC user can select the batch to be completed, then click the Complete
Batch button:
^ Each record in the batch can be flagged as being completed.
* Each record in the batch can be date/time stamped.
* The associate ID of the person completing the batch can be captured.
[0224] Capture the status changes. In some embodiments, the following values
can be captured
for each record of the batch being completed:
I. ProcessName=" PrinterQC "
2. ProcessStatus="S-ucceded"/ProcessStatus="Failed/Pa.ssed"
3. Process Status 1/1="25 "/ Process Sta tusid="26"
4. ProcessStatusCode=" Printer QC Passed"/ ProcessStatusCode=" Printer QC
Failed"
5. ProcessStatusDesc-=," Passed Print facility I printer QC"/
ProcessStatusDesc=" Failed Print
facility I printer QC"
[0225] In some embodiments, the instant invention allows to generate the
XMLIdone status feed
to be transmitted to Document processing repository(ies).
34
CA 02873544 2014-12-05
[0226] In some embodiments, the instant invention allows to transmit the
Xfs/IL/dorie status file
to Document processing repository(ies) via FTP:
= Document processing repository(ies)'s FTP site
= Destination folder ¨ DocStatus
[0227] Exemplary DHS Flow Diagrams
[0228] Steps of an exemplary DHS diagram 1 in accordance to some embodiments
of the instant
invention (Figure 58)
[0229] 1.0 All the vendors that go through the Document Handling Solution. In
some
embodiments, any change the status whether it is a newly entered Vendor or an
Updated Vendor
a process gets triggered to FTP all those changes to Document processing
repository(ies).
[0230] 2.0 Branded documents get F 1Pci or Emailed to us by the
users/client (e.g., Mutual
Funds, Issuers, etc).
[0231] 3.0 An automated Process can move FIP'd document from the FTP to the
Client folder on the NAS.
[02321 4.0 The User uses the Document Handling System (DHS) to load either
the
Document from the NAS or the emailed and submit it.
[0233] 5.0 The document Information get 'stored on the AOS Database with
status 'NEW.
[0234] 5.1 The document get copied. to the PDFInbox folder on the the AOS
WebServer
which can be moved to the Electronic Document Delivery and Archival system
archive.
[02351 5.2 The document get copied to a the staging Transmit folder on the
AOS WebS erver
which can be FTPd the Document processing repository(ies).
[0236] 5.3 The document get copied to a the Validation folder on NAS to be
picked up
and moved by Doeumentinfo functionality.
[0237] 5.4 The document get copied to the DDS tblder on the AOS WebServer.
[0238] 5.5 The document get moved and FTP'd to Document processing
repository(ies) from
the staging Transmit Folder on the .AOS WebServer.
[0239] 5.1 A scheduled window task that run on-demand/real-time or on a pre-
set periodic
basis which triggers a .NET console App that ingests the PDFs and XML files
that were
deposited in the 1NBOX folder and back them up. For example, the predetermined
periodic
basis can be Monday through Friday. In some embodiments, the scheduled Task
also triggers a
CA 02873544 2014-12-05
process that load all the PDFs and XlvIL files to the Electronic Document
Delivery and Archival
system archive.
[0240] 6.0 The document get moved from the Validation Folder to the
TransformInn to be
transformed by the DocumentInfo process and updates the AOS DB with Document
Attributes
such as page count, page size, etc..
[0241] 6.1 The document get copied to the Error folder if it errors off.
[0242] 6.2 The document get moved to the Transformin Folder to be
Transformed by the
Transform Monitor process.
[0243] 6.3 Transform process polls PDF(S) on NAS, transforms them using,
for example but
not limited to, PDF2AFP.
[0244] 6.4 Transfoini process move transfered Document (Print Ready
Resource files) to the
TransformOUT folder for the Mainframe to use.
[0245] 7.0 Document processing repository(ies) can FTP back the Branded
documents that
we sent to them as well as the Edgar document that Document processing
repository(ies)
generated by mining the SEC filing service called EDGAR. In some embodiments,
document
processing repository(ies) can also e-mail a Sidecar XML file for each
document containing
Document Attributes. In some embodiments, those files can be deposited on the
NAS in the
DocumentResponse folder,
[0246] 7.1 Document processing repository( i es) can FTP throughout the day
the status info
on the outcome of the Edgar check. This information can be needed to update
the Document
Tracker with the Process Status. The files can be deposited in the
DocumentProcessStatus folder
on the FTP site.
[0247] 7.2 Document processing repository(ies) can also .FTP on-demand/real-
time or on a
pre-set periodic basis an IntraDay mapping file and I filingDate mapping file
on-demand/real-
time or on a pre-set periodic basis as well as a Mapping file on-demand/real-
time or on a pre-set
periodic basis. In. some embodiments, this information can be needed to update
the Document
Tracker. In some embodiments, all the mapping files get deposited in the
MappingData folder
on the FTP site.
[0248] 8.0 A process that gets triggered by Autosys to move files FTPd from
Document
processing repository(ies) to a DocumentResponse folder on the NAS.
36
CA 02873544 2014-12-05
[0249] 8.1 A process that gets triggered by Autosys to move files F1'Pd
from Document
processing repository(ies) to a DocumentProcessStatus folder on the NAS.
[0250] 8.2 A process that gets triggered by Autosys to move files FTPd from
Document
processing repository(ies) to a MappingData folder on the NAS.
[0251] 9,0 A Window Service running on the AOS Webserver processes those
FTP'd files,
updates the AOS Database, and move the files to the Archiving folders on the
NAS accordingly.
[0252] 10.0 On-demand/real-time or on a pre-set periodic basis, there is a
QC upload process
that gets triggered and sends Document attributes from the AOS Tracker and WMS
(10.1) that
have not been QCed and sends that to the Mainframe to print (13.0) a set of I
each of newly
submitted PDF's to be printed and reviewed by QC.
[0253] 11.0 On-demand/real-time or on a pre-set periodic basis (e.g., prior
to the Mapping file
and Version control) this gets Triggered and, uploaded document information
from AOS process
(11.1) and WIVIS (11.2) to Mainframe (1.3.0).
[0254] 12.0 On-demand/real-time or on a pre-set periodic basis (e.g., after
the Mapping file
and Version control process has ran), this process gets triggered and uploads
document
information from AOS (12.1) and WNIS (12.2) to Mainframe (13.0).
[0255] Steps of the exemplary DHS Diagram 2 (Figures 4A-4G)j
[0256] 1.0 Vendor Maintenance.
[0257] 1.1 Any changes to the vendor options are extracted to an Excel
spreadsheet and
transmitted to Document processing repository(ies) via FTP.
[0258] 2.0 Users/Clients (e.g., Mutual Fund companies, Public Company Issuers)
transmit their
Branded PDF documents to Broa.dridQe.
[0259] 2.1 FTP transmissions of documents in bulk.
[0260] 2.2 Email transmissions of smaller volume documents.
[0261] 3.0 Autosys process that moves the clients' documents from the FTP site
to client
specific folders on the NAS.
[0262] 4.0 Ordering uploads the documents using Document Load function in
.AOS.
[0263] 4.1 AOS accesses the client specific folders on the NAS to allow
Ordering to load each
document.
[0264] 4.2 Ordering load each document received via email.
[0265] 5.0 Document load process.
37
CA 02873544 2014-12-05
[0266] 5.1 Document metadata gets created in the AOS database with a status of
N (new).
[0267] 5.2 The documents are copied to the PDFInbox folder.
[0268] 5.2.1 The Electronic Document Delivery and Archival system Ingestion
process
processes the documents in the PDFInbox folder,
[0269] 5.3 The documents are copied to the PDFTransmit folder.
[0270] 5.3.1 The documents and status XML files are transmitted to the
Document processing
repository(ies) FTP site by the AOSWinService.
[0271] 5.4 The documents are copied to the PDFValidation folder.
[0272] 5.5 The documents are copied to the DDS folder (e.g., documents in the
DDS folder are
used for the cut sheet print process).
[0273] 6.0 Electronic Document Delivery and Archival system Ingestion Process.
[0274] 6.1 The process zips all the documents and associated XML files and
moves the resulting
zip file to the Data folder.
[0275] 6.1 The process transmits the zip tile to the Electronic Document
Delivery and Archival
system environment for archiving using Conneet:Direct.
[0276] 7.0 The documents are processed by the Documentinfo process.
[0277] 7.1 The Documentinfo process currently extracts the page size and
number of pages.
[0278] 7.1.1 Documents that are not of a valid page size are moved to the
Errors folder.
[0279] 7.1.2 Documents that are processed successfully are moved to the
TransformIN folder.
[0280] 8.0 Transformation process.
[0281] 8.1 The Transform process transforms the documents in the TransfonnIN
folder.
[0282] 8.1.1 The Transform process outputs the PSEGS to the TransformOUT
folder.
[0283] 8.1.2 The TranstbrmMonitor process monitors the TransformOUT folder and
updates to
T in the AOS database.
[0284] 9.0 VDWE process in Document processing repository(ies).
[0285] 9.1 Document processing repository(ies) transmits document status XML
files via FTP.
[0286] 9.1.1 Autosys process that moves the status XML files to the NAS.
[0287] 9.1.2 AOSWinService process.
[0288] 1. Applies the status updates to the AOS database.
[0289] 2. Moves the XML files to the archive. folder.
[0290] 9.2 Document processing repository(ies) transmits mapping files via
FTP.
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CA 02873544 2014-12-05
[0291] 9.11 .Autosys process that moves the mapping files to the NAS.
[0292] 9.2.2 A.OSWinService process.
[0293] 9.2.2.1. Applies the mapping data to the .AOS database.
[0294] 9.2.2.2 Executes the Version Control process (fund mapping file only).
[0295] 9.2.2.3. Moves the mapping files to the archive folder.
[0296] 9.3 Document processing repository(ies) transmits documents and
associated sidecar
XMI, files via FTP.
[0297] 9.3.1 Autosys process that moves the.documents and associated sidecar
X/v11, files to the
NAS,
[0298] 9.3.2 AOSWinService process.
[0299] 9.3.2.1 Create document rnetadata record in the AOS database.
[0300] 9.3.2.2 Moves the documents and XML files to the archive folder (e.g.,
documents,
including Branded documents that were previously sent to Document processing
repository(ies).)
[0301] 10.0 WMS Upload processes.
[0302] 10.1 WMS Upload process extracts data from the AOS and WMS databases
for all active
documents.
[0303] 10.1.1 WMS Upload process creates data file.
[0304] 10.2 WMS QC Upload process extracts data from the AOS and WMS databases
for
documents that have not been QC"d.
[0305] 10.2.1 WMS QC Upload process creates data file.
[0306] 10,3 WMS NR Upload process extracts data from the AOS and WMS databases
for all
active documents.
[0307] 10.3.1 WMS Upload process creates data file.
[0308] 11.0 Upload files are transmitted to the mainframe to drive the various
document print
processes.
[0309] EXEMPLARY DOCUMENT PROCESSING REPOS1TORY(IES) DHS FEEDS
[03[0] in some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention feed(s) from Document processing
repository(ies)
(NR/Ne-wRiver/Anclover) that can be: PDFs (Branded and Document processing
repository(ies)'s
generated PDFs from EDGAR filings), status reports for the submitted branded
documents, and
the mapping files for the documents that have been processed.
39
CA 02873544 2014-12-05
[0311] In some embodiments, there are 3 Document processing repository(ies)
feeds that
AOS/DHS can be designated as, but is not limited to:
- DocumentResponse (Response Feed)
2- DocumentProcessStatus (Status Feed)
3- MappingData (Mapping Feed)
[0312] Document Response.
[0313] In some embodiments, the DocumentResponse feed can include information
in response
to Branded Documents that AOS had originally processed through the Document
Handling
system and forwarded on to Document processing repository(ies) for
Link&Layering,
EdgarCheck, Out of Stock, etc. In some embodiments, the DocumentResponse feed
from
Document processing repository(ies) can serve as an acknowledgement mechanism
that
identifies to AOS that Document processing repository(ies) actually received &
processed the
documents that AOS transmitted,
[0314] In some embodiments, the DocumentResponse feed can also contain Branded
(
documents that we sent) /Edgar sourced PDF documents and Meta data about these
documents,
The Document Handling logic can be processing these files throughout the day,
ingesting them,
archiving them, logging them in our database & forwarding them to the next
logical step in our
process. In some embodiments, when AOS -first processes Edgar sourced does
from Document
processing repository(les). AOS might not have enough information to identify
which fund they
are for or what security they describe so they are logged into AOS a "NEWR"
document with no
associated mapping info. In some embodiments, a MappingData feed can be
received throughout
the day to assist in this identification
[0315] In some embodiments, branded .PIDFs uploaded to Document processing
repository(ies)
are uploaded hack to AOS FTP site along with a sidecar XML file. This sidecar
XML tile
contains the Document processing repository(ies) generated unique id for the
document. PDFs
and sidecar XML tiles are delivered and then a corresponding .done file is
uploaded to indicate
upload is complete.
[0316] In some embodiments, delivery location for the Document Response Feed
files can he in
the DocurnentResponse folder. In some embodiments, AOS's process moves them to
the NAS.
[0317] Delivery Protocol
CA 02873544 2014-12-05
[0318] In some embodiments, PDFs are uploaded to our FTP site. For each PDF
delivered, there
is a corresponding sidecar XML file and a .done file. These files are
delivered throughout the day
and night and processed at a determined interval repeatedly by a process that
gets triggered by a
window service on a periodic basis (e.g., every 30 minutes, every hour, daily,
etc.).
[0319] File naming format
[0320] In some embodiments, PDF file ¨ DOCID.pdf (DOCID is .the Document
processing
repository(ies)'s generated DOCID).
103211 Sidecar XIVIL file ¨ DOCID.pdfxml (this file contains the Meta data for
the PDF file).
[0322] .done file ¨ DOCID.pdfdone (this is the trigger file to indicate PDF
file and sidecar Xl\iff,
file have been uploaded).
[0323] Document Status Process.
[0324] In some embodiments, Delivery location for the Document Status Report
can be a
DocumentProcess Status folder and be then transmitted to the NA S.
[0325] In some embodiments, the Document status report provides statuses for
all the processes
that a document goes thru at Document processing repository(ies). In some
embodiments,
whenever a process status for a branded document is changed, the status update
is FTP'd to AOS
in the status report.
[0326] In some embodiments, a process, once the files are received, gets
triggered that moves
those files from the FTP Site to the NAS. In some embodiments, a service
(e.g., the
DocumentProcessStatus feed) can run periodically, for example, every 30
minutes, hi some
embodiments, this feed can be processed and updates the Document Tracker with
the Process
Status.
[0327] In some embodiments, an email can be generated and an excel file of the
StatusFeed get
generated and attached to the email and get sent th Edgar Cheek Alert email
box (Ordering
Group). in some embodiments, a status report with the status for multiple
documents (i.e. there
can be multiple <document> elements), as shown in Figure 59.
[0328] Delivery Protocol
[0329] In some embodiments, a status report is uploaded to our FTP site. In
some embodiments,
a ".done" file is also uploaded to indicate the status report has been
uploaded successfully if
there is no corresponding ".done" file.
[0330] Exemplary File naming format can be;
41
CA 02873544 2014-12-05
[0331} 1) DocumentStatusReport_datetime.xml (datetime- YTYYMMDDHHniniSS.); and
[03321 2) DoeumentStatusReport_datetime.xml.done.
[0333] Document processing reposi.tory(ies)'s exemplary Failure/Process status
conditions are
shown in Ta.ble 1.4.
Table 1.4
Process Name 1 Process Status Description ________________________ 7
InoestCheck Processin_ has not startediet
IngestCheck Processing has started, but not completed
: IneestCheek Pre- f=rocessine completed successfully
= IngestCheck File format not stlpp_orted
IngestChec¨k-- -- ----
File could ___________________ not be opened in native viewer
e _______________________________________________ _
IngestCheck Digital signature from metadata did not match
signature
______________________ calculated on file
In = estCheek _________ Metaclata given with document was corrupt
__. -1--
DocAssociation Processing has not started - et
1 DocAssociation Processing. has started, but not completed
_
1 DocAssociation Associate CUSIP and Supplements completed successfully
1 DocAssociation Unrecognized document type
DocAssociation Document type recognized, but subrnitter not
authorized for
that document type
DocAssociation Matching, unexpired, Edgar document found, but at
least one
supplement from submitted doe does not match the primary
document in the submitted doe
DocAssociation File could not be opened in native viewer
-7-4
¨DocAssociation There was not one and only one base document contained
in
the submitted document (e.g. more than one prospectus or zero
____________________ , prospectuses)
-r-- _________________________________________________________ _
EdgarCheck Processing has not started yet
-----i
EdgarCheck Processing has started, but not completed -1
EdgarCheck Passed EdgarCheck
EdgarCheck Passed EdgarCheck through an override
EdgarCheck File format not supported
EdgarCheck File could not be opened in native viewer
-1-- - --I
EdgarCheek Di uital signature from metadata did not match
signature
calculated on file
-
t EdgarCheck. _____ _a Meta.data given with document was corapi t
..__
i_EdgarCheck Unrecognized document type
lEdgarCheck Document type recognized, but submitter not authorized
for
1-
- - ¨ - that document type
EdgarCheck
¨
IVIatching, unexpired, Edgar document found, but at least one
i supplement from submitted doc does not match the
primary
1 document in the submitted doe
r---- - _________________________________________________________ _
; EdgarCheck File could not be opened in native viewer
--- I--
42
CA 02873544 2014-12-05
Process Name Process Status Description
EdgarCheck There was not one and only one base document contained
in
the submitted document (e.g. more than one prospectus or zero
ectuses) ___________________________________________________________
EdgarCheck No corresponding Edgar document could be found based on
matching CUSIPs
EdgarCheck A matching Edgar document was found that has newer
effective/revision dates
EdgarCheck Matching Edgar document with matching dates was found,
but
Edgar document is expired
EdgarCheck Matching Edgar document was found, but the
effective/revision dates for each CUSIP associated to the
__ - document did not match
EdgarCheck Matching, unexpired, Edgar document found, but
submitted
doe has fewer supplements than Edgar doe
EdgarCheck Matching, unexpired, Edgar document found, but
submitted
doe has more supplements than Edgar doe
EdgarCheck Matching, unexpired, Edgar document found, but at least
one
supplement from submitted doe does not match the primary
document in the submitted doe
EdgarCheck Matching, unexpired, Edgar document found, but at least
one
supplement from submitted doe has a different date than Edgar
PrinterQC Processing has not started-yet
PrinterQC Processing has started, but not completed.
.PrinterQC Passed Print facility I printer QC
PrinterQC J Failed Print facility I printer QC
DocTrackerStatusIipdate Print facility has not
indicated document should be
discontinued
DocTrackerStatusUpdate jrint facility I document has been reactivated
Do_cTrackerStatusUpdate Print facility I discontinued use of document
FilingDateCheek Print facility I. Edgar Filing Date Cheek Passed
FilitioDateCheck Print facility t Edgar Filing, Date Check Failed
=
DocExpiration Print facility 1 has not expired the doc
DocExpiration Print facility 1 lias expired the doe
[03341 Mapping Data process.
[0335] In some embodiments, delivery time for the mapping file can be
throughout the day or at
night. In some embodiments, delivery location for the mapping file(s) can be
in a iViappingData
folder from which they can he moved to the NAS. In some embodiments, there are
3 types of
Mapping .files that are received from Document processing repository(ies):
[03361 1) FundMapping_YYYYMMDDI-11-ImmSS.txt (also known as the fund mapping
file) (In
some embodiments; this file is used by the Version Control Process);
43
CA 02873544 2014-12-05
[0337] 2) IntradayFundMapping YYYYMMDDI-11-firmaSS.bct which runs on real-time
or a
periodic basis (e.g., several times a day, etc.) (it is used to update AOS
Document tracker fields:
Dodd, Prefix, ExpirationDate, EffectiveDate, A.mmendedDate, FilingDate,
SupplementDate,
LatestSupplementDate, DeadDate, FundFamily, LatestSupplementFilingDate,
LatestSupplementDate; and to populate the AOS_Crossreference and
AOS_DocumentAssociation); and
[0338] 3) FilingDate_FundMapping_YYYYMMD.DHFItninSS.txt (this file runs real-
time or on
a periodic basis (e.g., once a day, etc.), and is used to update ADS Document
tracker fields:
Dodd, Prefix, ExpirationDate, EffectiveDate, AmmendedDate, FilingDate,
SupplementDate,
LatestSupplementDate, DeadDate, FundFamily, LatestSupplementFilingDate,
LatestSupplementDate) and to populate the AOS_Crossreference and
AOS_DocumentAssociation).
[0339] In some embodiments, the function of the intraday Mapping Feed process
and Filing
Date Mapping Feed process can be as follows:
[0340] I) ADS Cross Reference (this interim mapping feed process can also
populate the new
cross-reference as follows:
[0341] a. If CUSIP/PDF_ID/Document Type combination does not exists, insert a
record into the
ADS mapping table.
[0342] Document Association
[0343] Since the Mapping Feed can be returning the attributes of a single
document at any given
time (e.g., the document is either a new Branded or old Branded document, or
the document is
either a new Edgar or old Edgar document), the Version Control process
identifies documents
that are linked together with the document being returned based on the
AOS_Crossreference and
AOS _DocumentAssociation tables/fields. For example, the AOS_Doe.A.ssociation
uses a Master
Doc ID/Dodd as the link. For example, new AOS_CrossReference and
DocumentAssociation
tables can be maintained during the mapping feed processing_ For example, the
new cross-
reference can contain the following columns:
[0344] Master Doc ID
[0345] Doc ID
[0346] Doc Type
[0347] Doc Source
44
CA 02873544 2014-12-05
[0348] Effective Date
[0349] Revision Date
[0350] Latest Supplement Date
[0351] Filing Date
[0352] Latest Supplement Filing Date, and
[0353] Status.
[0354] In some embodiments, the process for populating this new cross-
reference can be as
follows:
- If Doe ID / Doe Type combination does not exist in the new Document
Association table, then:
-- Use CUS1P to reference the AOS cross-reference table for existing
documents;
-- If documents are found in the AOS cross-reference table, then:
1) Use existing Doc ID(s) to query the new Document Association table;
1.a) If document is found in the new Document Association table, then:
insert a record for the new document using the existing Master Doc ID into new
Document
Association table;
1.13) If document is not found in the new Document Association table, then:
1.b.1. Generate new Master Doc ID, and
1.b.2. Insert a record for each document using the Master Doe ID into new
Document
Association table;
-- If documents are not found in the ADS cross-reference table, then:
1.a. 1 . Generate new Master Doc ID, and
1.a.2. Insert a record for new document using the Master Doe ID into new
Document Association
table.
[0355] In some embodiments, a process based on a
file
FilingDateFundMapping _YYYYMMDDRI-ImmSS.txt runs once a day prior to the
mapping file,
and is used to apdate .AOS Document tracker fields: Dodd, Prefix,
ExpirationDate,
EffectiveDate, AmmendedDate, Filin.gD ate, Supp]ementDate,
LatestSupplernentDate, DeadDate,
fualFamily, LatestSupplementFilingDate, LatestSupplementDate.
[0356] in some embodiments, the functions of the Mapping Feed process can
utilize AOS Cross
Reference functionality (since AOS can be maintaining multiple document types
related to a
CUS EP, create a satellite cross-reference table in additional to one present
in W.MS, this new
CA 02873544 2014-12-05
cross-reference table can be maintained during the mapping feed processing and
can contain at
least the following columns: CUSIP, Ticker Symbol, Receipt ID, and Document
Type).
[0357} hi some embodiments, the process for populating this new cross-
reference can be as
follows:
- If CUSIP/PDF ID/Document Type combination does not exists, insert a record
into the AOS
cross-reference table;
- Document Association (since the Mapping Feed can return the attributes of a
single document
at any given time (e.g., the document is either a new Branded or old Branded
document, or the
document is either a new Edgar or old Edgar document);
- the Version Control process identifies documents that are linked together
with the document
being returned in order for the Version Control process to
Activate/Inactivate/Pend the right
documents, and that where the .AOS_Crossreference and AOS_DocumentAssociation
come to
play:
I) the AOS_DocAssociation uses a Master Doc ID/Dodd as the link;
2) the AOS_CrossReference and DocumentAssociation tables can be maintained
during the
mapping feed processing, and the AOS_CrossReference table can contain at least
the following
columns: Master Doc ID, Doc ID, Doc Type, Doc Source, Effective Date, Revision
Date, Latest
Supplement Date, Filing Date, Latest Supplement Filing Date, and Status.
[0358} In some embodiments, the process for populating this new cross-
reference can be as
follows:
If Doc ID / Doc Type combination does not exist in the new Document
Association table, then:
-- use CUSIP to reference the ACS cross-reference table for existing
documents;
- If documents are found in the AOS cross-reference table, then:
-- use existing Doe ID(s) to query the new Document Association table;
- If document is found in the new Document Association table, then:
-- Insert a record for the new document using the existing Master Doc ID into
new Document
Association table;
- IT document is not found in the new Document Association table, then:
-- Generate new Master Doc ID, and
-- Insert a record for each document using the Master Doc ID into new Document
Association.
table.
46
CA 02873544 2014-12-05
- If documents are not found in the AOS cross-reference table, then:
-- Generate new Master Doe ID, and
-- Insert a record for new document using the Master Doc ID into new Document
Association
table. ,
[0359] In some embodiments, the file format is Pipe (1) delimited. In some
embodiments,
sidecar xml and .done files come with the mapping file. In some embodiments,
the .done file
indicate the file upload is completed.
[0360] Delivery Protocol
[0361] In some embodiments, a mapping file is uploaded to AOS's FTP site. In
some
embodiments, the Mapping file is delivered along with a sidecar xml file and a
.done file. In
some embodiments, the invention utilizes that following file naming format:
[0362] MappingFile: FundMapping_datetime.txt:
[0363] Sidecar XML File: FundMapping_datetime.txt.xml (Meta data for the
mapping file);
[0364] .done file: FundMa.pping_datetime.txt.donc (a trigger file to indicate
that the mapping
file(s) and the sidecar XML file(s) have been uploaded successfully).
[0365] Table 1.5 shows exemplary fields that a tracking table can have.
Table 1.5
CUSIP The CUSIP identifying the share class of the fund
, Doc ID I\TR.D1, document ID for the PDF of this document
r
Is Current Value can be I if the document is the currently effective
document available in
Edgar or 0 if there is a newer document available or this document is expired
Submitter AOS receipt TD
Doe ID
Page Count Number of pages in the PDF
Fund Product This is a 4-character code identifying the product type of the
fund (e.g. OEMF
Type is open-ended mutual fund, ETF is exchange traded fund, UT is
UIT, etc.) I
Doe Type Possible doe type codes are as follows:
F Code Description
,spro Summary prospectus
sprs Summary prospectus supplement
pros Statutory_propectus
[ prps _____________ Statutory prospectus supplement
misc Any non-CLISIP based document (e.g.
letters)
, .
47
CA 02873544 2014-12-05
Val% fii6ORAIiilaLlanatla,ithAtkattl:AAISFA14:7
Note that spro and pros documents can also have supplements combined into
them, so when delivering them, the sprs and prps do not also need to be
delivered. The 288 file should only have a prosispro or prps/sprs for a given
CUSIP for a given investor, never both pros/spro and prpsfsprs.
Fund Name The name of the fund (includes the share class name)
Eff Date The effective date of the document as given on the front cover
Rev Date The revision date of the document as given on the front cover ¨
the date can be
identified on the cover with language like "revised as of' or "as supplemented
on", etc. If no revision date is given on the cover, this field can be blank.
Filing Date Date the filing was made with Edgar (get this through the Doe
ID <-> RFID
association ¨ the assumption with a branded PDF is that it must pass
EdgarCheck to be included in the mapping tile, so there can be an RFID
associated with it).
Exp Date Expiration date of the document ¨ calculated as 16 months + 1 day
from the
financial date if the financial date is available, otherwise 12 months from
the
effective date. Note: if a newer document in Edgar is available but there is
not
yet a PDF for it, the expiration date can be set to the later of the newly-
filed
documents filing date and effective/revision date. For branded does, this is
populated with any expiration date specified to us by the fund company (has
not
happened before). If no expiration date has been specified for the branded
doe.,
then this is only populated if EdgarCheck has associated an Edgar document,
and it can contain the calculated expiration date based on the data from the
___________ associated Edgar document.
Ticker The ticker for the CUSP
Fund State Indicating whether the fund is active or dead.
New CUSTP The new CUSIP this CUSIP has been mapped to - populated if the
fund state is
dead and there's a new CUSIP available _____________________________
_
Dead Date The date the CUSIP was liquidated, merged, etc. ¨ populated if
the fund state is
dead and we were able to determine the date it was hi uidated, mereed, etc.
Last The effective date of the last supplement filed against this
document (null if
Supplement there are no supplements of this document is a supplement)
D ate
Last The filing date of the last supplement filed against this
document (null if there
Supplement are no supplements or this document is a supplement)
1 Filing Date
[0366] Version Control
[03671 in some embodiments, to utilize a Version Control of the material, the
vendor of that
document has to be set in the vendor maintenance screen.
[0368] Exem lar Switches For Version Control
[0369] In some embodiments, a Version Control flag in the Document Type table
is used to
indicate if that specific document type should be subjected to version
control. In some
48
CA 02873544 2014-12-05
embodiments, the version control can interrogate this flag determine what
documents should be
included. In some embodiments, the status of the document in
AOS_DoctunentTracking can be
either Transformmed, Active, Pending or Reload
[0370] In some embodiments, the Version Control results in specific common
actions to take
effect in AOS and WMS. In some embodiments, the following are the exemplary
groupings of
exemplary common actions that can take place during the Version Control
process:
a. Update actions Group I:
i. Do not reset DTS;
ii. Leave the old Branded/EDGAR Active;
iii. Leave the old inventories Active;
iv; Leave the old dates in WMS;
b. Update actions Group 2:
i. Do not reset DTS;
ii. Inactive the old Branded/EDGAR;
iii. Destroy the old inventories;
iv. Leave the old dates in WMS;
c. Update actions Group 3;
i. Reset DTS;
ii. Inactivate the old Branded/EDGAR;
iii. Activate the new Branded/EDGAR;
iv. Destroy the old inventories;
v. Update the dates in WMS;
d. Update actions Group 4:
i. Reset DTS;
ii. Inactive the old Branded/EDGAR;
iii. Destroy the old inventories;
iv. Leave the old dates in WMS;
e. Status XML to reactivate a document:
i. Capture the status changes ¨ the following values can be captured:
1. ProcessName="FilingDateCheck"
2. ProcessStatus=" Succeeded"
49
CA 02873544 2014-12-05
ProcessStatusId="30"
4. ProcessStatusCode=" Filing Date Check Passed"
5. ProcessStatusDesc=" Print facility 1 Edgar Filing Date Check Passed";
Generate the XML status feed to be transmitted to Document processing
repository(ies);
iii. Transmit the XML status file to Document processing repository(ies) via
FTP.
I. Document processing repository(ies)'s FTP site;
2. Destination folder ¨ DocStatus;
f. Status XML to take down a document:
i. Capture the status changes ¨ the following values can be captured:
I. ProcessName=" FilingDateCheck"
2. ProcessStatus=" Failed"
3. ProcessStatusld="31"
4. ProcessStatusCode= "Filing Date Check Failed"
5. ProcessStatusDesc---" Print facility 1 Edgar Filing Date Check Failed":
ii. Generate the XML status feed to be transmitted to Document processing
repository(ies);
Iii. Transmit the XML status file to Document processing repository(ies) via
FTP,
I Document processing repository(iesis FTP siteDestination folder ¨
DoeStatus;
g. Determine EDGAR Check status:
i. The ProcStatusID field in the Document Tracker table can now store the
EDGAR Check Status;
Ii. Get associated documents:
i. Query the new Document Association table using current Doc ID to get the
Master Doe ID:
1. Use the Master Doc ID to retrieve all associated documents from the
new Document Association table.
[03711 In some embodiments, the instant invention maintains version control of
Branded
Documents, EDGA.R documents, trade confirmations, advertising materials and
other documents
CA 02873544 2014-12-05
that are to be send out so as to confirm that the correct version of each
particular document is
used for fulfillment.
[0372] Examples Of Post-sale Flow And Dependencies
[03731 In some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention utilize an exemplary process flow
shown in Figure 60,
by which the AOS application interacts with the mainframe as well as the WMS
system.
[0374] Exemplary Primary Data Sources
[0375] In some embodiments, AOS's main database is the ADP_AOS_PDB database
but it also
interfaces with the WMS systems database WADV.
[0376] Exemplary Postsale AOS/DHS Environment
[0377] In some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention utilize an exemplary Post-Sale
AOS/DHS environment
shown in Figure 61.
[0378] Exemplary Bar Code Instructions
[0379] In some embodiments, the inventive computer methods and the computer
systems/machines of the instant invention utilize the following processes to
encode 2D Bar Code
or any other suitable scanable identifier(s) that direct(s) high throughput
printing machines (e.g.,
by utilizing a camera module of a printer) how to on-demand and selectively
print and assemble
distinct documents into mailings. in some embodiments, 2D .Bar Code(s) can be
printed on a
trade confirmation page that list all securities/financial instruments that an
investor owns and/or
has purchased. In some embodiments, the inventive computer systems and methods
may -utilize
devices that can communicate printing and assembling instructions via IEEE S
02.11b, a wireless
networking standard, e.g., wireless chipsets, instead of 2D Bar Code(s). In
some embodiments,
the inventive computer system and methods may utilize devices with
technologies such as
NetSense, UFnP. iReady, Bluetooth as a communication medium,
[0380] In some embodiments, the inventive computer systems and methods may
utilize devices
that can communicate printing and assembling instructions via Near Field
communications, or
NFC, which is a set of short-range wireless technologies, typically requiring
a distance of 10 cm
or less. NFC operates at 13.56 MHz and at rates ranging from 106 kbit/s to 848
kbit/s. NEC
typically involves an initiator and a target; the initiator, typically,
actively generates a RF field
Si
CA 02873544 2014-12-05
that can power a passive target. In some embodiments, NFC can be an open
platform technology
standardized in, for instance, ECMA-340 and ISO/TEC 18092 standards.
[03811 In some embodiments, the printers are initiators and the encoded trade
confirmations
include encoded targets, such as tags or stickers that do not require
batteries.
[03821 In some embodiments, the script (instructions) can take as input the
weight and thickness
information for paper, envelope, and insert(s). In some embodiments, the
script (instructions)
performs calculations to determine average weights and thicknesses based on a
number of sheets.
In some embodiments, the script (instructions) uses those calculations to
build the "PATTR"
records needed by MailStreamPlu.s process. In some embodiments, the script
(instructions) also
creates a WEIGHTS file that is used in calculating the total piece weights for
StreamWeaver
code as further detailed.
[03831 Below is an exemplary annotated computer script that creates the weight
table needed for
postal manifesting:
# Input: Takes 5 arguments,
(I) The input paper and envelop info,
(2) The input insert inib, - = --
(3) The jobid; this can be prepended to the output file names
(4) The job path name
(5) Envelop type - value should be fold, fiat, or both; this
controls which output files can be generated; default
is both
(6) Indicator for 3.2oz category - if this is set to Y, then
a special 3.2oz category can be included; this is used
for the Posisale project; default is N
## Output: Produces 2 files.
OUTPRMFD: This is the weight table for FOLDS
OUTPRMFL: This is the weight table for FLATS
OUTTXTFD: This is the weight txt file for FOLDS
OUTT.XTFL: This is the weight txt file for FLATS
For example:
52
CA 02873544 2014-12-05
my Shelp = "<Paper_Env:Wt_File><Insert_Wt_File> <JobId> <Working_Dir>
<Env_Type>
<3.2_0z_Indicator>";
ARGV[0] - the input paper and env info file
ARGV[2] - the input insert info file
ARGV[2] - the job name
ARGV[3] - the job path name
ARGV[4] - the env type
A.RGV[5] - 3.2oz indicator
if ( S4ARGV + < 4 )
print "usage: SO ShelpVIS!";
exit 12;
STEP I -
# Read in the input file that contains the weights and
# thickness for the paper and envelopes (fold and fiat)
print "\tFOLDRaper Weightpaper ThicknessjEnv WeightlEnv =Thicknessj.Max
SheetsjEnv
LenlEn-v Height\n";
1
Folding instructions
444444#0444444#4444441141,144444401-Witillittitt#44444*-444#
4 Validate that we have only 1 entry each
.4 for the FOLDS and FLATS
4i114444444#44=44fr#4441#4-44444444-44#4444444444,4444444444
if (Sthldjound != 111$flatfound != I) {
if (Vold_ found != 1) {
print ""ER.ROR" Expected I entry for FOLD in input fi}e, found Sfold_found,
\n";
1
if ($flat_found != 1) {
print ""ERROR" Expected 1 entry for FLAT in input file, found Sflat_foundAn";
53
CA 02873544 2014-12-05
print "\tTlie following fields are expected:\n";
print "\tFOILD1Paper Weightpaper ThicknesslEnv WeightlEriv ThicknessMax
SheetslEnv
enlEnv Height{ \n";
print "\tFLATiPaper WeightiPaper ThicknessiEnv WeightlEnv Thickness Max Sheets
Env
LenjEnv Heightl\n";
exit 9;
<figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref>#¨= !#43446-- -- -<figref></figref><figref></figref><figref></figref><figref></figref>#
# STEP 2 - #
# Read in the input file that contains the weights and ft
# thicknesses for the inserts
# In one example; the number of inserts can be from 1 to 5. In one example,
the number of
inserts can be from I to 10.
In one example, the number of inserts can be from 1 to 15.
while(zINPUT2>){
# parse out the fields - INSERT 1 #
#44<figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref>4</figref>#
if (Scols2[01=¨ /)
if (defined Scols2[1] && (Scols2[11ne " && Seols2[1] i^ ()) {
ins I _name Scols2[1];
$insl_wt = Scols2[2];
insl_tk = Sc,o1s2[3];
Sinsl_ usage --- Scols2[4];
Sinsl_pull_ratio = Sco1s2[5];
if (defined Sco1s2[6]) {Sinsi_doc_ent Scols2[611;
<figref></figref><figref></figref><figref></figref><figref>4</figref><figref></figref><figref></figref><figref></figref><figref></figref>###
# parse out the fields - INSERT 2
54
CA 02873544 2014-12-05
<figref></figref>#k<figref></figref>#<figref>W</figref><figref></figref><figref></figref>O##
if ($cols2[0] in/21) {
if (defined Scols2[1] && ($cols2[11 ne " && Scols2[1] /^ /))
Sins2_name = Scols2[1];
Sins2_wt Scols2[2];
Sins2_tk = Seols2{31;
Sins2_usage = Seols2[4];
Sins2_pull_ratio = Scols2[5];
if (defined Sco1s2[61) {,Sins2_doc_ent = Scols2[6]};
<figref></figref>.- ¨,<figref></figref>###fittt!<figref></figref>###
# parse out the fields - INSERT 3 #
#14<figref></figref>A*<figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref>###
if (Scols2[0] =¨ 11)/30 {
if (defined Scols411 AL& (Scols2[1] ne " && $cols2 [1} I^ /))
$ins3__nanie = Scols2f I I;
Sins3_wt = $co1s2[21;
Sins3tk Scols2[31;
$ins3_usage = Scols2141,
Sins3_pull_ratio = Sc,o1s2151;
if (defined Scols2[61) {$ins3 docent = Scols2[6]};
<figref></figref><figref></figref>#44<figref></figref>#M1<figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref>###4#4###
# STEP 3 -
# Create the SWeaver weight files. There can be a file for #
# FLATS and a file for FOLDS. These files are used in SWeaver #
# to initialize the variables for the paper, envelope, and
# insert weights.
<figref></figref><figref></figref><figref></figref><figref></figref>#tt<figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref>#t<figref></figref><figref></figref>
CA 02873544 2014-12-05
if (SenvType /bothii. SenvType (fold/i)
printi(ouTTxTFD
>\n");
= printf (OUTTXTFD "<! Presort and manifest weights files for FOLDS
printf (ouTTxTFD
>An");
print (OU Fl __ XTFD
printf (OUTTXTFD "inailing_envwt = %03d <1 envel wt in 1000ths of an oz. >\n",
$fo1d_env_wt*1000);
print (OUTTXTFD
printf (OUTTXTFD __ "paper_wt = %03d <1 paper wt in 1000ths of an oz. >41",
Sfold Japer_wt*l. 000);
print (OUTTXTFD "
printf (OUTTXTFD "poeket1 _wt = %03d <! insert pg wt in 1000ths oz. >
Sinsl_wt*1000);
print (OUTTXTFD
printf (OUTTXTF.D "pocket_2_wt = %03d < insert pg wt in 1000ths oz. >VI",
$ins2_wt*1000);
print (OUTTXTFD "
.printf (OUTTXTFD "pocket_3_wt = %03d <! insert pg wt in 1000ths oz. >\n".
Sins3_wt*1000);
print (OU _____ i1XTFD
if (SenvType =¨ iboth/i SenvType -- (flat/i) {
printf (ou ____ r 1 xTFL
printf (OUTTXTFL "<1 Presort and manifest weights files for FLATS
pri ntf (ourTxTFL
>Aro;
print (OUTTXTFL "
56
CA 02873544 2014-12-05
printf (0111'1 XTFL "mailing_env_wt %03d <! envel wt in 1000ths of an oz.
>\n",
Stlat_env_wt*1000);
print (OUTTXTFL
printf (OUTTXTFL "paper_wt = %03d <! paper wt in 1000ths of an oz. >\n'',
Stlat__p-aper_ivt*1000);
print (01.3FI.XTFL " \%\%");
printf(OUi'l XTFL "pocket_l_wt = %03d <! insert pg wt in 1000tlas oz. >.\n",
Sinsl_wt*1000);
print (01_11.-1 XTFL
printf (01.11- I XTFL "pocket_2_wt %03d <! insert pg
wt in 1000ths oz. >\n",
Sins2_wt*1000);
print (OUTTXTFL " 1%\%");
printf (01111 _____________________________________________ XTFL
"pocket_3_vvl. ¨ %03d <I insert pg wt in 1000ths oz. >\n",
Sin.s3_wt*1000);
# STEP 4 -
# Calculate the average weights and thicknesses.
# First, get the average for each insert based on its pull ratio. #
Second, get the average for the envelop and inserts by summing up #
# the envelop and the average of each insert.
# Calc insert weight averages #
#11<figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref>###
my Sinsl wt_avg $insi_wt * Sinsl_pull_ratio;
my $ins2._wt_avg Sins2_vit * $ins2_pull_ratio;
my Sins.3_wt_avg $ins3_wt * Sins3_pull_ratio;
# Cato insert thickness averages #
<figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref>#<figref>4</figref>
57
CA 02873544 2014-12-05
my Sins l_tk_avg = Sins I_Ik * Sinsl_pull_ratio;
my Sins2_tk_avg Sins2_1k * Sins2_pull_ratio;
my Sins3_tk_avg= Sins3_tk Sins3_pull_ratio;
<figref></figref>###- = = = = ¨<figref></figref>#-<figref></figref>##t#W<figref></figref>
# Caie env/insert weight and #
# thickness averages
my Sfold_ins_env_avg_wt= Sfold_cnv_wt + Sinsl _wt_avg + Sins2_wt_avg +
Sins3_wt_avg;
my Sfold_ins_env_avg_tk = Sfold_env_tk + Sinsl_tk_avg+ Sins2_tk_avg +
Sins3_tk_avg;
my $flat nsenvavgwt= Sflat_env_wt + Sins 1_wt_avg + Sins2_wt_avg 4-
Sins3_wt_avg;
my Sflat_ins_env_avg_tk = $flat_env_tk + Sins I_tk_avg + Sins2_tk_avg +
Sins3_tk_a.vg,
4 STEP 5 -
4 Calculate the average weights and thicknesses based on the #
# number of sheets. This is used to determine the ounce #
4 categories used by rnailstream plus.
i1ll<figref></figref>44#104444<figref></figref>#
<figref></figref><figref></figref>4W<figref></figref><figref></figref>#titLY44<figref></figref>##*##
g Initialize variables 4
<figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref>##
my (%A.vgWeight, %AvgThickness, %WtCategory);
my ($0z01_fold_cnt, S0z02_tbid_cnt, $0z03_fold_ent, $0z32 Joici_cnt,
$0z35_fold_cnt) = (0,
0, 0, 0, 0);
my ($0zOl_flat_crit, 50z02_flat_cnt., $0z03_" flat_ent, S0z04_flat_ent)= (0,
0, 0, 0);
my ($0z01.__flat_beg, S0z02_flat_beg, $O703fiatbeg, S0z04_11at_beg)= (0, 0, 0,
0);
rny ($0z05_flat_beg, SOz06_flat_._beg, 50z07_flatbeg, $0z08_flat_beg)= (0, 0,
0, 0);
my ($0z0l_tlat_en.d, S0z02,fiat_enci, 50z03_flat_end, Oz04_flat_end) = (0, 0,
0, 0);
58
CA 02873544 2014-12-05
my ($0z0.5_flat_end, 50z06_flat_end, $0z0?flat_end, 50z08_flat_end)-- (0, 0,
0, 0);
#44<figref></figref><figref></figref><figref></figref><figref></figref>#<figref>4</figref>' - = ¨044
# Cale values through max number #
# of sheets
= = - ¨ - . .<figref></figref><figref>4</figref><figref></figref>##44441#
for (my Si = 1; $i <= $flat_max_sheets; $1-H-)
tf Cak for FOLDS
if (Si <¨ Sibld_max_sheets) {
SAvgWeight {Si} = (Sfold_paper_wt * Si) + Sfold_ins_env_avg_wt;
SAvgThickness {Si) ¨ ($fold_paper_tk * Si) Sfold_ins_env_avg_tk;
<figref></figref><figref></figref><figref></figref>#*4<figref></figref>##
# FOLDS - 1 Ounce #
if (SAvgWeight{Si} < 1.0) {
SWtCategory {Si)
SOzOl_fold_cnt f;
if ($0zO)_fold_cnt == 1) {
SOzOl_foldbeg= $1;
SOzOl_fold_end =
<figref></figref><figref></figref><figref></figref><figref></figref><figref></figref>#
# FOLDS - 2 Ounce
<figref></figref><figref></figref><figref></figref><figref></figref><figref></figref>
etsif (SAvgWeight{Si} <2.0) {
SVvICategory =
$0z02 Joid_ent++;
if ($0z02 jbldcnt == I)
SOz02_ fol beg = Si;
59
CA 02873544 2014-12-05
$0z02Jold_end =
# FOLDS - 3.2 Ounce #
# (used in Postsale)
elsif (SAvgWeight {Si} < 2.5) {
SWtCategory {Si) =
$0z32Jold_cnt +;
if ($0z32Jold_cnt ¨ 1) { $0z32_fold_beg Si; }
$0z32_fold_end =
<figref></figref>###*4<figref></figref>414<figref></figref>4<figref></figref><figref></figref><figref></figref>###
N Cale for FLATS for each ounce from 1 to 13 ounces#
<figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref>*4<figref></figref>##W41#
else {
SAvgWeight{Si} = (Sflat_paper_v,rt * Si) Sflat_ins_eny_avg_wt;
SAvgThickness {Si) = ($flat_paper_tk Si) + $flat_ins_env_avg_tk;
<figref></figref><figref></figref><figref></figref><figref></figref><figref></figref>##
# FLATS - 1 Ounce #
<figref></figref><figref></figref><figref></figref><figref></figref><figref></figref>##
if (S.AvgWeight (Si) < 1.0)
=
SWtCategory{Si}
SOzOl_flat_cnt++;
if ($0z01_ flat_cnt 1) { $0zOl_flat_beg = Si; }
SOzOl_flat_end =
# FLATS - 2 Ounce #
<figref></figref><figref>3</figref><figref></figref><figref></figref><figref></figref>#
CA 02873544 2014-12-05
elsif (SAvgWeight{lii} < 2.0)
$WtCategory {Si } = "02";
SOz02flat_ent++;
if ($0z02_flat_crit 1) { $0z02_flat_beg Si; }
SOz02_flat_end =
<figref></figref><figref></figref><figref></figref>#W<figref></figref><figref></figref>#
# More than 13 ounces #
<figref></figref><figref></figref><figref></figref><figref></figref><figref></figref>###
$WiCategory{Si-} = "ERR";
<figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref><figref></figref>#
SrTIP 6 - = #
if Output the information that we have gathered. This is for #
# reference only so that we can see all the values that have #
# been caculated. This can aide in debugging.
my $wttab_file = SpathName . "1" . SjobNarne "_!_wght_table.txt";
open(WTTABLE, 5, $wttah_tile);
print WTTABLE"
printf WrIABLE " WEIGHT AND THICKNESS TABLE FOR JOB %s
\n",SjobNarne;
print WTTABLE
print WTTABLE " ---- -1- --- 4 -
print WTTABLE "I Material Weight I Pull Weighted
I Thickness I Pull I Thickness
I'm";
print WTTABLE I Ratio I Average ! I Ratio I Average le;
61.
CA 02873544 2014-12-05
print WTTABLE "+ ---------- 4-
+\a";
printf VvrTTABLE "1Fold Paper 1 %6.4f 11,000 1 %6Af 1%6.4f 1 L000 1%6.4f 1\n",
$fold_paper_wt, $fold_paper_wt, $fold_paper_tk, $fold_paper_tk;
print WTTABLE "+ ---
+'1";
printf WTTABLE "1 Flat Paper 1%6.4f 11.000 1%6.4f 1%6.4f 11.000 1%6.4f 11n",
$flat_paper_wt, Sflat_paper_wt; $flat_paper_tk, Sflat _paper_tk;
print WTTABLE -----
+41";
printf WTTABLE " Fold Env 1%6.4f 11.000 %6,4f
1%6.4f 11.000 1%6.4f 1\n",
$fold_env_wt, $ fold_env_wt, $fold_env_tk, Sfold_env_tk;
print WTTABLE "+ ------------------------- +-
+\n";
printf WTTABLE "'Flat Env 1%6.4f 1 L000 1%6.4f 1%6.4f 11.000 1%6.4f
$fl at_env_wt, $flat_env_wt, $flat_env_tk, Sflat_env_tk;
print WTTABLE " ---
+\n";
pri nt f WTT ABLE "I Insert 1 1%6.4f 11.000 1%6.4f 1%6.4f 11.000 1%6.4f P.,n",
Sinsl_wt, Sins1 oull_ratio, $insl_wt_avg, $insl tk., $insl_pull_ratio,
Sinsl_tk_avg;
print WTTABLE "+ ---------------------------------------- 4-
p ri n tf WITABLE "1 Insert 2 1%6,4f 1.000 %6.4f 1%6.4f 11.000 I %6.4f
Sins2_wt, $ins2_wt_avg, $ins2_tk, $ins2_pull_ ratio,
Sins2_tk_avg;
print WTTABLE. "+ --
+\n";
printf WI-TABLE "1 Insert 3 1%6.4f 11.000 1%6.4f 1%6.4f 11.000 1%6.4f 1\n",
Sins3_wt, Sins3_wt_avg, $ins3_tk, Sins3_ pull ratio,
Sin.s3_tk_avg;
print WTTABLE "4 ------------------------- 4-
+41';
print WTTABLE ''\n";
62
CA 02873544 2014-12-05
printf WTTABLE "FOLDS InsertfEnv Weight = %6.4f Insert/Env Thickness =
%6.4f\n",
$fold_ins_env_avg_wt, $fold_ins_env_avg_tk;
printf WTTABLE "FLATS Insert/Env Weight ¨ %6.4f insert/Env Thickness =
%6.4flia",
$flat_ins_env_avg_wt, $fiat_ins_env_avg_tk;
print WTTABLE "\n";
= ¨ = .= = = <figref></figref><figref></figref><figref>4</figref><figref></figref>###W#80<figref></figref>#141N-01<figref></figref><figref></figref><figref></figref><figref></figref>-
M#14<figref></figref><figref></figref>##
# STEP 7 -
# Determine the thickness to be
used for the P A FIR entry that #
# is used by Mailstream Plus.
# For each ounce category:
# if the table has I entry, then use it.
# if the table has 2-4 entries, then use avg of the last 2 values. #
# if the table has 5+ entries, then
use 2nd to the last one. #
<figref></figref><figref></figref><figref></figref><figref></figref><figref></figref>##
# FOLDS - 1 Ounce #
<figref></figref><figref></figref>#44#4444#
my $0zOl_fold tk= 0;
if ($0zOl_fold_cat == 1) {
$0zOl_thld_tk = SAvg Thickness { $0z0 l_fold_beg};
f ($O z01 _fold__ ent >= 2 &A: SOzOljoldcnt <= 4)
$0z01foldtk = (SAvgThickness $0z0 1 Jold_end} + $ AvgThi clot ess {$0z0 I _fo
Id_end-
I })/2;
if ($0z01 Jold_cnt 5)
$0zOl_th I d_t k = SAvgThickness {$0z0)_fold_end- I };
<figref></figref><figref></figref><figref></figref><figref></figref>###Wthl
FOLDS - 2 Ounce #
63
CA 02873544 2014-12-05
my $0702_fold_tk = 0;
if ($. 0702_fold_ent I) {
$0702 Jold_tk = $AvgThickness{$0702Jolci_begj;
if ($0702__fold_cnt ¨ 2 && $0702__fold_cat. <= 4) {
$0702_fold_tk = ($AvgThickness {$0702Jold_end} $AvgThickness {$07,02Jold_end-
I })/.2;
if ($ 0702 jold_cnt.>¨ 5) {
$0702_fold_tk = $AvgThickness {$0702 Jold_end-1);
if ($0702J-old ¨ 0) {
$0z02_fold_tk SOzOl_fold_tk + .05;
# FOLDS - 3 Ounce #
<figref></figref><figref></figref><figref></figref><figref></figref><figref></figref>##
my $07.03Joldjk = 0;
if ($0703__fold_cut ¨ 1) {
$0703__fold_tk = $AvgThickness { $0703 Jo1d_beg};
if ($0z03Jold_ent >= 2 && $0z03 fold <= 4) {
$0703_fold_tk = ($AvgThickness{$0z03_fold_end) $AvgThickness {$0703fold_end-
1})/2;
if ($0703__fold_ent L>= 5) {
$07,03foldik =$AvgThickness ($0703 Jc.)1d_encl-l} ;
if ($07.03:Fold__tk == 0) {
$0703_ fold_tk = $0702__fold_tk + .05;
64
CA 02873544 2014-12-05
=
my S0z32_fold_tk ¨ 0;
if (Soz32_ind
# FOLDS - 3.2 Ounce #
# (used in Postsale)#
ffttittflt<figref></figref>#
if (S0z32 Jold_cnt ¨ 1) {
SOz32_foldik = $AvgThickness {$0z32_fold_beg} ;
if ($0z32 jold_ent >¨ 2 && $0z32fold_ent <¨ 4) {
SOz32_fold_tk ($AvgThielcnessfS0z32 fold_endl SAvgThiekness {$0z32_fold_end-
i })r2;
if ($0z321old_ent >- 5) {
SOz32_fold_tk SAvgnickness{$0z32 Jbld_end-1};
if ($0z32_fold_tk 0) {
$0z32_fbid_tk SOz03_fold_tk .012; =
'4 FLATS - 1 Ounce 4
44444#1.1404#14444-4444144
my SOz01 jlat_tk ¨ 0;
if ($0z0 1 Jlat_ent )) {
SOzOl_flat_tk = $AvgThickness {S0z01_fl at_beg) ;
if ($0zOl_flat_cnt >= 2 && $0zOl_flat_cut <= 4) {
SOz01 jIatik ($Avgnickness{SOz0 1 _fiat_end} S.AvgThickness {SOz01_fiat_end-
1})/2;
CA 02873544 2014-12-05
if ($0z01 jlat_cnt >-- 5) {
$0 zOl_flat_tk = SAvgThickness {$0z0 1_11 at_end- I ;
if (SOzOljtat_tk 0) {
$0z01_flat_tk = SOzOl_foldik;
ttlf<figref></figref><figref></figref><figref>14</figref><figref></figref>4
# FLATS - 2 Ounce #
<figref></figref><figref></figref>34<figref></figref><figref></figref>114
my $0z02_flat_tk = 0;
if ($0z02_11at_cut ¨ I) {
$0z0211aLtk SAvgThickness {$0z02 jlat_beg}
if ($0z02_flat__cut >=. 2 && SOz02_flat_cnt <= 4) {
SOz02_flat._tk ($AvgThickness { $0z02_11a.t._end). + $A.vgThickness
{$0z02_flat_end-1})/2;
if (S0z0211at_ent >= 5) {
$0z02 SAvgThickness ($0z02_flat_end- ;
if ($0z022-.1 at_ _tk == 0) {
SOz02_flat_tk SOz02 jold_tk;
****
FLATS - 13 Ounce #
<figref></figref><figref></figref><figref></figref><figref></figref>4<figref></figref>
my $0-.-e13_flat_tk = 0;
f ($0z1 3 _flat_cnt 1) {
$0z1 3 .flat_tk = SAvgnickness{SOz..1 3_flat_beg};
66
CA 02873544 2014-12-05
if ($0713_ ft at_crit >= 2 && SOz13_flat_cnt <= 4) {
$0213_flat_tk = (SAvg Thickness { $0z13_flat_end} + SAygThickness
$0z13_tlat_end-1 .1)/2;
if ($Oz13 Jlat_cnt >= 5)
$ 3__flat_tk = SAYgThickness {$0z13. Jlat_end-1 ;
if ($0z13ilat tic == 0) {
$0z13_flat_tk = $0212_flat + .05;
4444444444444444441i44-44A*##4444#4441-i4444441i44444444444444#4-44444444
STEP 8 -
Output the P ATTR values calculated above.
444444444444#4,4-44i#44441#444444A444444444444444#44444444**4444444444444
4441,4444444444444#4444
4 FOLDS
4tifititti#<figref>40</figref><figref></figref>##44#
if ($envType $eiwType =¨ Ifoid/i) (
printf GUTPRIVIFD "P A FIR 021 2 01 06.25 %05.2f %05.2f %05.2f
R N Y
Y 41",
SOzOl_fold_11:*100,Sfold_env_len.,$fold_enviit;
printf OUTPRMFD "P ATTR 02 12.50 %05.2f 405.2f
/005.2f RN Y \n",
$0z02._fold_tk*100,Sfold_env 1 en.,$fold_env_ht;
printf OUTPRMFD "P ATTR 03 18.75 %05.2f %05.2f %05.2f
RN Y
$0z03_fold_tic*100,Sfold_env_1en,Stbld_enviit;
if ($oz32_ind ti) (
printIOUTPRWIFD "P ATTR 32 20.00 %05.2f %05.2f
/005.2f R N Y
\D",
$0z32._fold_tk*100,$fold_env_1en,$fo1c.i_env _ht;
printf OUTPRMFD "P ATTR 35 21.87 %05.2f %05.2f %05.2f
RN Y
S0z35 fold_jk*100,Sfold_env Jen,Sfold_env_ht;
67
CA 02873544 2014-12-05
#4****<figref></figref>#4<figref></figref>#
# FLATS
if (SenvType /bothJi I enyType /flat/i)
printf OUTPRIVIFL "P A FIR 021 2 01 06.25 %05.2f %05,2f
%05.2f RN Y
Y\n",
$0zOlJlat_]tk.* I 00,$flat_env_le.n,Sflat_env_ht;
printf OUTPRIVEFL "P ATTR 02 12.50 %05.2f %05.2f %0.5.2f RN Y \n",
SOz02ilat_tk*100,1;flat_env1en,Sflat_env_ht;
printf OUTPRMFL "P ATTR 03 18.75 %05.21%05.2f %05.2f RN Y \n",
$0z03__flat_tk* I 00,$flat_env_len,Sflat_env_ht;
[0384] Exemplary Exception Processing Workflows Based on FiDires 62A-62H
[0385] Data Receiving and Processing
[0386] In some embodiments, data files received via secure Connect Enterprise
file transfer into
the inventive computer system (e.g., from a mainframe cniputer). In some
embodiments, address
line, trade date, account number, and ticker number parsed out. in some
embodiments, X added
to 5th position to create street ticker to equal a street CUSIP. In some
embodiments,
Ticker/CUSIP bumped up against MSDI (Master Security Description Index) for
validation. In
one embodiment, MS:D1 is a database of CUS1Ps with descriptions obtained from
brokers and/or
Mutual Fund companies. In some embodiments, Invalid CUSIP matched against
mainframe and
historical information about investors (e.g., personal information, account
information, etc.)
and/or transactional history. In some embodiments, address files are verified
against NCO.A
(National Change of Address dataset of approximately 160 million permanent
change-of-address
(COA) records, which is updated weekly). In sonic embodiments, the instant
invention utilizes
CASS certification (Coding Accuracy Support System (C.ASS) used by LISPS to
evaluate the
accuracy of software that corrects and matches street addresses), which is
updated quarterly. In
some embodiments, during the data processing, the instant invention can
suppress duplicate
trades and/or combine mailing process for trades of same
investor(s)/household(s).
[0387] Job file creation.
68
CA 02873544 2014-12-05
[0383] In some embodiments, an exemplary inventive Info Print Workflow (shown
in Figures
62A-62H)creates .IDF file (Intelligent Data Files based on IntellaSert
software) which drives
tracking process of a piece (e.g., document, mailing, etc). IntellaSert is a
software suite from
I3Ciive Bell & Howell that converts existing mail piece data into an
IntellaSerts's Data File
("IDF") format, and/or converts completed mail piece data into a format for
higher level auditing
and/or accounting systems. In some embodiments, a Transformer system utilizing
IntellaSert
software extracts specific data fields during the print file creation and uses
this data to generate
2-D matrix barcodes. In some embodiments, the 2-D matrix barcode contains data
unique to
each printed page. In some embodiments, camera(s) mounted on our inserters
(assembling
machines) scan each barcode during the insertion process. In some embodiments,
the inventive
computer system of the instant invention converts this information back into a
digital record and
matches this record with a corresponding 'Dr generated. during the creation of
the original print
file. In some embodiments, when insertion of all documents in a file is
complete, the updated
data is automatically reconciled with the original I.DF print file data. In
some embodiments, this
reconciliation allows to resolve any mail piece integrity issues before
approving mailings for
delivery to the USPS. In some embodiments, the generated tracking information
allow to
research and/or verify the correct processing of specific mail pieces
historically.
[0389] Tracking system data
[0390] in some embodiments, an exemplary Info Print workflow and the piece
tracking
technology are involved in the data tracking in according to the instant
invention.
[03911 Prospectus View updated
[0392] In some embodiments, updates are pulled from the inventive computer
system (e.g.,
mainframe) after each pick. For example, pick-ups occur each business day at
approximately
4:00 AM, 12:00 PM, 3:00 PM; and prospectus view is updated 8:30 AM, 1:00 PM
and 4:00 PM.
[0393] In some embodiments, the Prospectus View update process is distinct
from a notification
file process.
[0394] Printing ¨flow steps of an exemplary process 1
[0395] Step 1: Does a document meet criteria for High Speed solution?
[039(i] Step 2: If yes, place a printing job in a print queue.
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[0397] In some embodiments, the DDS Print system (computer system(s) and
printing/assembling device(s) that handle the printing/ binding of buckslips,
andlor investor
material) is involved in step 2.
[0398] Step 3: Bucsiips and sum prospectuses printed inline.
[0399] In some embodiments, each bucslip includes mailing address, partial
account number,
CUSP and/or trade information. In some embodiments, the DDS Print system is
involved in
step 3.
[0400] Step 4: Jobs released to production. In some embodiments, the DDS Print
system is
involved in step 4.
[0401] Step 5: Reporting updated.
[0402] Step 6: Job info updated.
[0403] Step 7: Notification file updated.
[0404] Step 8: Automatic Inserting.
[0405] Step 9: Bueslips printed (in some embodiments, Bucslip includes mailing
address, partial
account number, CUSIP and trade information). In some embodiments, the DDS
Print system is
involved in step 9. ,
[0406] Step 10: Order sheet printed. In some embodiments, the DDS Print system
is involved in
step 10.
[0407] Printing --fiow steps of an exemplary process 2
[0408] Step 1: Print output to Inserters (automatic assembling mechanism). In
some
embodiments, the Material Handler system is involved in step 1 and receives
data from the Print
Output system and the Job Tickets handling system.
[0409] Step 2: Print output loaded into address hopper. In some embodiments,
the print output
can include: a bucslip, a confirm, and summary prospectus(es). In some
embodiments, the Insert
systems/devices (assembling mechanisms) are involved in step 2, receiving data
from the Print
Output system, and outputting inserted mail pieces.
[0410] Step 3: Envelopes loaded into envelope hopper. In some embodiments, the
Insert
systems/devices (assembling mechanisms) are involved in step 3, receiving
envelopes, and
outputting inserted mail pieces.
[0411] Step 4: Addresses and materials inserted.. In some embodiments, bucslip
includes mailing
address, partial account number. CUSIP, and trade information. in some
embodiments, the
CA 02873544 2014-12-05
Insert systems/devices (assembling mechanisms) are involved in step 4,
receiving envelopes and
print outputs, and outputting inserted mail pieces. In some embodiments, the
Insert
systems/devices (assembling mechanisms) identify exception cases (exceptions)
such as, but not
limited to:
- diverted mail piece (e.g., incorrect address),
- poor quality mail piece,
- mixed weights,
- damaged mail piece,
- short physical inventory (e.g., no printed summary prospectuses --
unfulfilled bucslips scanned
to be included in reprint print file),
- file printing is incorrect/corrupt or printing does not meet quality
standards, and
- Postal service/Expeditor/Pre-sorter returns mail piece.
[0412} Step .5: Periodic and/or ad hoe quality inspections performed. In some
embodiments, the
Insert systeins/devices (assembling mechanisms) are involved in step 5,
[0413] Step 6: Determining if there is/are exception(s). In some embodiments,
exemplary
exceptions can be at least one of the following:
- damaged envelope:
--mutilated or page counts fail systematic reconciliation process,
--diverted by machine;
- missing envelope:
-- envelope deemed missing:
---if physically identified, envelope goes back through scanning process for
system
reconciliation., or
---if envelope not identified, envelope sequence is flagged as a reprint;
- mismatch.
[0414} in some embodiments, exemplary rules to automatically deal with
exceptions can have a
predetermined time guidelines such as, but not limited to:
- same day exceptions:
-- If corrected before 2:30 PM, include in same day mail,
-- If corrected after 2:30 PM, include in a next day mail and update a
notification file with a new
mail date
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CA 02873544 2014-12-05
- Pre-Sort exceptions:
-- if job is mailed, sent infoiniation to a .Presorter to matched with
returned "bad" mail when a
PreSort truck comes back within 1-2 days.
[0415] Step 7: Finished mail pieces placed in container. In some embodiments,
completed mail
pieces are automatically packaged into appropriate USPS supplied receptacles
based on USES
requirements, such as:
- Mail bucket,
- Mail tray, and
- Mail sack.
[0416] In some embodiments, the Insert systems/devices (assembling mechanisms)
are involved
in step 7, receiving completed mail pieces and outputting USES packaged mail.
[0417] Step 8: Exceptions scanned into system. In some embodiments, barcodes
on bucslips are
scanned into system to be reprinted and uploaded to mainframe to be included
in next reprint
print queue. In some embodiments, the Quality Control system is involved in
step 8
[0418] Step 9: Reprint list submitted. In some embodiments, the Quality
Control system
systematically uploads a reprint list that includes, but not limited to,
address sequence
identification information to be included in a new file to enable
reprocessing.
[0419] Step .10: Affected pieces logged and segregated. In some embodiments,
the Insert
systems/devices (assembling mechanisms) are involved in step 10.
[0420] Step 11: Exceptions reconciled in tracking system. in some embodiments,
the Quality
Control system identifies exceptions in tracking system as "Reprint
Necessary." and
[04211 Step 12: Enabling tracking system at inserting machine. In some
embodiments, the Insert
systems/devices (assembling mechanisms) are involved in step 12.
[0422] Table 1.6 identifies exemplary inputs/outputs for exceptions processing
in accordance
with some embodiments of the instant invention.
Table 1,6
in.* ut Out ut Value
rnailpieces
Bucksh s
Completed mail pi ece (s)
Components to be inserted_i
Delivered mailpieces
Envelopes
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CA 02873544 2014-12-05
Input / Output Value
inserted mailpieces
Job Tickets
Order ticket
Print Output
Print output
Summary prospectus .
USPS packaged mail
[0423] Table.] .7 identifies exemplary computer systems in accordance with
some embodiments
of the instant invention.
Table 1.7
Value
Mainframe
Info Print Workflow
Piece tracking technology
Postsalc Web
Prospectus Plus
Mainframe
Prospectus View
[0424] Table L8 identifies exemplary exceptions in accordance with some
embodiments of the
instant invention.
Table 1.8
Value
"0" inventory
Bad mail addresses
Damaged envelope
Damaged mail.piece
Diverted rnailpiece
File Corrupt (POD)
Mismatch
1Mixed weights
=
. Poor quality
Poor quality mailpiece
Short inventory
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CA 02873544 2014-12-05
[04251 In some embodiments, the inventive computer methods and the computer
systems/
machines of the instant invention can be utilized for printing/mailing
documents that are related
to the following industries, but are not limited to:
[0426] Credit Unions / Banking,
[04271 Employee Benefits ¨ Health Care, Retirement,
[0428] Employer! Employee Contribution & Pension Plans (e.g., 401(k)),
[0429] Insurance, and
[0430] Utilities.
[04311 In some embodiments, the instant invention provides for a computer-
implemented
method that includes at least the following steps of: periodically receiving,
by at least one
specifically programed computer system, investment transactional data
identifying investment
transactions of a plurality of investors, where the investment transactional
data is received during
a 'first time period and where the investment transactional data, for each
investor of the plurality
of the inventors, includes: i) at least one investment identifier of at least
one investment that is,
directly or indirectly, owned or managed by such investor, and ii) at least
one investment
transaction identifier of each investment transaction of such investor that
involves the at-least one
investment; where the plurality of investor comprises at least a thousand
investors;
automatically determining, by the at least one specifically programed computer
system, based, at
least in part, on the investment transactional data, at least one first
document, at least one second
document, or both, to be mailed to each investor of the plurality of
investors, where the at least
one first document, the at least one second document, or both, are associated
with the at least one
investment of such investor; automatically generating, by the at least one
specifically programed
computer system, a delivery data for each mailing to be mailed to each
investor of the plurality
of investors, where the delivery data includes: bucslip data or trade
confirmation data, where the
bueslip data includes: a mailing address of such investor and a listing of the
at least one first
document, the at least one second document, or both, to be mailed to such
investor, and where
the trade confirmation data includes: at least one trade confirmation for at
least one investment
transaction of such investor, and at least one of the following: a) the
listing of the at least one
first document, the at least one second document, or both, to be mailed to
such investor, b) at
least one communication targeted to such investor, ii) assembling data that
identifies assembling
instructions for assembling each mailing to be mailed to each investor of the
plurality of
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CA 02873544 2014-12-05
investors, where the assembling instructions comprise a plurality of
instructions selected from
the group consisting of: a first instruction identifying a quantity of
documents to be included in
such mailing, a second instruction identifying a quantity of pages of
documents to be included in
such mailing, a third instruction identifying a type of each document to be
included in such
mailing, a fourth instruction identifying, for each document to be included in
such mailing, that
such document is to be packed in a folded condition or an unfolded condition,
a fifth instruction
identifying a finishing to be applied to each document to be included in such
mailing, a sixth
instruction identifying a type of a mailing envelope to be used for such
mailing, a seventh
instruction classifying such mailing by weight based, at least in part, on
postal weight categories,
an eight instruction identifying a postage data based, at least in part, on
the classifying such
mailing in accordance with the seventh instruction, and a ninth instruction
identifying a
predetermined number of the investment transactions to which such mailing
corresponds, based,
at least in part, on: a first size and a first thickness of the at least one
first document, and a
second size and a second thickness of the at least one second document;
unique production
control bar code data, generated based, at least in part, on the assembling
data and the at least
one investment transaction id.entitiert- and printing at least one unique
production control bar
code based, at least in part, on the unique production control bar code data,
where the unique
production control bar code is configured to be used for: i) assembling each
mailing envelope,
and ii) tracking such mailing envelope before such mailing envelope is
deposited with a postal
service.
[0432) in some embodiments, the above exemplary method further includes:
automatically
determining, by the at least one specifically -progained computer system, a
printing allocation
among a plurality of printers to print documents for mailings to the plurality
of investors based,
at least in part, on the delivery data.
[04311 In some embodiments, the bueslip data further comprises the at least
one communication
targeted to such investor.
[04341 In some embodiments, the above exemplary method further includes:
periodically
obtaining, by the at least one specifically programed computer system, the at
least one first
document, the at least one second document, or both, from at least one
electronic depository;
automatically converting, by the at least one specifically programed computer
system, the at least
one first document, the at least one second document, or both, into at least
one print-ready
CA 02873544 2014-12-05
formatted file; periodically receiving, by the at least one specifically
programed computer
system, change data, identifying changes in the at least one first document,
the at least one
second document, or both; automatically updating, by the at least one
specifically programed
computer system, the at least one first document, the at least one second
document, or both,
based, at least in part, on the change data; and automatically updating, by
the at least one
specifically programed computer system, the at least one print-ready formatted
file based, at least
in part, on the change data.
[0435] In some embodiments, the above exemplary method further includes:
automatically
assembling, in a machine automated mode, based at least in part on reading the
at least one
unique production control bar code, each mailing envelope, by: i) selecting,
by the at least one
specifically programed computer system, a plurality of printed materials from
a plurality of
feeders of at least one assembling mechanism, where the plurality of printed
materials are
selected from the group consisting of: 1) the at least one first document, 2)
the at least one
second document, 3) at least one first bucslip document, printed based, at
least in part, on the
bucslip data, 4) at least one first trade confirmation document, printed
based, at least in part, on
the trade confirmation data, and ii) packaging the plurality of printed
materials into such mailing
envelope.
[0436] In some embodiments, the above exemplary method further includes:
utilizing, by the at
least one specifically programed computer system, at least one camera to read
an image of the at.
least one unique production control bar code.
[0437] In some embodiments, the above exemplary method further includes:
automatically
generating, by the at least one specifically progarned computer system, based
on at least in part
on the delivery data, at least one tracking log, at least one manifest
document for a postal service,
or both; and automatically tracking, by the at least one specifically
programed computer system,
the mailings to the plurality of investors; based at least in part on the at
least one unique
production control bar code and at least one of the following: the at least
one tracking log and the
at least one manifest document.
[0438] In some embodiments, the above exemplary tracking the mailings
includes: utilizing., by
the at least one specifically programed computer system, at least one camera
to read an image of
the at least one unique production control bar code, and
automatically entering, by the al least
one specifically programed computer system, tracking data into the at least
one tracking log.
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CA 02873544 2014-12-05
[0439] In some embodiments, the above exemplary method further includes:
applying a postage,
by the at least one specifically programed computer system, to such mailing
envelope, based at
least in part on the at least one unique production control bar code; or
associating a postage, by
the at least one specifically programed computer system, to such mailing
envelope, based at least
in part on the at least one unique production control bar code.
[0440] In some embodiments, the above exemplary investment transactional data
of each
investor further includes account identifying data for at least one investment
account of such
investor with at least one financial institution.
[0491] In some embodiments, the above exemplary automatically assembling each
mailing
envelope further includes: automatically inserting at least one third document
received from a
financial institution associated with the investment transactional data of
such investor.
[0442] In some embodiments, the above exemplary at least one first document,
the at least one
second document, or both, are: i) financial compliance documents and ii)
represent branded
documents or documents obtained from Edgar.
[0443] In some embodiments, the above exemplary determining includes:
automatically
confirming a first printed inventory of the at least one first document, a
second printed inventory
of the at least one second document, or both; and automatically suppressing a
duplicate delivery,
to each investor, of the at least one first document, the at least one second
document, or both.
[04441 In some embodiments, the above exemplary at least one communication
targeted to such
investor includes at least one of the following: i) information related to the
at least one
investment that is, directly or indirectly, owned or managed by such investor,
and ii) information
related to at least one investment account of such investor.
[04451 In some embodiments, the above exemplary assembling of the mailings to
the plurality of
investors occurs before a second time period, and where a difference between
the first time
period and the second time period is twenty-four hours or less.
[0446] In some embodiments, the instant invention provides for a specially
programmed
computer system that includes at least the following components: at least one
specialized
computer machine that includes: a non-transient memory having at least one
reon for storing
particular computer executable program code; and at least one processor for
executing the
particular program code stored in the memory, where the particular program
code is configured
so that the at least one specialize computer machine is configured to at least
perform the
77
CA 02873544 2014-12-05
following operations: periodically receiving, by at least one specifically
programed computer
system, investment transactional data identifying investment transactions of a
plurality of
investors, where the investment transactional data is received during a first
time period and
where the investment transactional data, for each investor of the plurality of
the inventors,
includes: i) at least one investment identifier of at least one investment
that is, directly or
indirectly, owned or managed by such investor, and ii) at least one investment
transaction
identifier of each investment transaction of such investor that involves the
at least one
investment; where the plurality of investor comprises at least a thousand
investors;
automatically determining, by the at least one specifically programed computer
system, based, at
least in part, on the investment transactional data, at least one first
document, at least one second
document, or both, to be mailed to each investor of the plurality of
investors, where the at least
one first document, the at least one second document, or both, are associated
with the at least one
investment of such investor; automatically generating, by the at least one
specifically programed
computer system, a delivery data for each mailing to be mailed to each
investor of the plurality
of investors, where the delivery data includes: bucslip data or trade
confirmation data, where the
bucslip data includesaaa mailing address of such investor and a listing of the
at least one
first
document, the at least one second document, or both, to be mailed to such
investor, and where
the trade confirmation data includes: at least one trade confirmation for at
least one investment
transaction of such investor, and at least one of the following: a) the
listing of the at least one
first document, the at least one second document, or both, to be mailed to
such investor, b) at
least one communication targeted to such investor, ii) assembling data that
identifies assembling
instnictions for assembling each mailing to be mailed to each investor of the
plurality of
investors, where the assembling instructions. comprise a plurality of
instructions selected from
the group consisting of: a first instruction identifying a quantity of
documents to be included in
such mailing, a second instruction identifying a quantity of pages of
documents to be included in
such mailing, a third instruction identifying a type of each document to be
included in such
mailing, a fourth instruction identifying, for each document to be included in
such mailing, that
such document is to he packed in a folded condition or an unfolded condition,
a fifth instruction
identifying a finishing to be applied to each document to be included in such
mailing, a sixth
instruction identifying a type of a mailing envelope to be used for such
mailing, a seventh
instruction classifying such mailing by weight based, at least in part, on
postal weight categories,
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CA 02873544 2014-12-05
an eight instruction identifying a postage data based, at least in part, on
the classifying such
mailing in accordance with the seventh instruction, and a ninth instruction
identifying a
predetermined number of the investment transactions to which such mailing
corresponds, based,
at least in part, on: a first size and a first thickness of the at least one
first document, and a
second size and a second thickness of the at least one second document; iii)
unique production
control bar code data, generated based, at least in part, on the assembling
data and the at least
one investment transaction identifier; and printing at least one unique
production control bar
code based, at least in part, on the unique production control bar code data,
where the unique
production control bar code is configured to be used for: i) assembling each
mailing envelope,
and ii) tracking such mailing envelope before such mailing envelope is
deposited with a postal
service.
[0447] As detailed herein, in some embodiments, the inventive computer methods
and the
computer systems/machines of the instant invention utilize various computer
machines.
However, not all of these computer machines may be required to practice the
invention, and
variations in the arrangement and type of the components may be made without
departing from
the spirit or scope of the invention. In some.embodiment, the computer
systems/machines of the
instant invention host a large number of members and concurrent transactions.
In other
embodiments, the computer systems/machines of the instant invention are based
on scalable
computer and network architectures that incorporate varies strategies for
assessing the data,
caching, searching, and database connection pooling.
[041481 In one example, the exemplary scalable architecture is an architecture
that is capable of
operating multiple servers. In some embodiments, the computing system/machines
in accordance
with the instant invention may include, but not limiting to, one or more
programmed computers,
systems employing distributed networking, or other type of system that might
be used to transmit
and process electronic data. In some embodiments, client devices (e.g.,
computers, mobile
device, etc.) of AOS's users include virtually any computing device capable of
receiving and
sending a message over a network to and from another computing device, such as
servers, each
other, and the like.
[0449] In some embodiments, the set of such devices includes devices that
typically connect
using a wired communications medium such as personal computers, multiprocessor
systems,
microprocessor-based or programmable consumer electronics, network PCs, and
the like. In
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CA 02873544 2014-12-05
embodiments, the set of such devices also includes devices that typically
connect using a
wireless communications medium such as cell phones, smart phones, pagers,
walkie talkies,
radio frequency (RF) devices, infrared (IR) devices, CBs, integrated devices
combining one or
more of the preceding devices, or virtually any mobile device, and the like.
Similarly, in
embodiments, client devices are any device that is capable of connecting using
a wired or
wireless communication medium such as a PDA, POCKET PC, wearable computer, and
any
other device that is equipped to communicate over a wired and/or wireless
communication
medium.
[0450] In some embodiments, the client devices are further configured to
receive a message from
the another computing device employing another mechanism, including, but not
limited to email,
Short Message Service (SIAS), Multimedia Message Service (MMS), instant
messaging (IM),
internet relay chat (IRC)õ miRC, Jabber, and the like.
[0451] In some embodiments, the utilized networks can be configured to couple
one computing
device to another computing device to enable them to communicate. In some
embodiments, the
exemplary networks are enabled to employ any form of computer readable media
for
communicating information from one electronic device to another, Also, in some
embodiments,
the networks can include a wireless interface, and/or a wired interface, such
as the Internet, in
addition to local area networks (LANs), wide area networks (WANs), direct
connections, such as
through a universal serial bus (USB) port, other forms of computer-readable
media, or any
combination thereof. in some embodiments, on an interconnected set of LANs,
including those
based on differing architectures and .protocols, a router acts as a link
between LANs, enabling
messages to be sent from one to another. Also, in some embodiments,
communication links
within LANs typically include twisted wire pair or coaxial cable, while
communication links
between networks may utilize analog telephone lines, full Or fractional
dedicated digital lines
including-11 , T2, T3, and T4, Integrated Services Digital Networks (ISDNs),
Digital Subscriber
Lines (DSLs), wireless links including satellite links, or other
communications links known to
those skilled in the art.
[0452] Furthermore, in embodiments, remote computers and other related
electronic devices
could be remotely connected to either LANs or WANs via a modem and temporary
telephone
link. In essence, in some embodiments, the exemplary network can includes any
communication
method by which information may travel between client devices and servers.
CA 02873544 2014-12-05
[0453] In some embodiments, each of the client devices (e.g., computers,
mobile device, smart
routers, etc.) comprises a computer-readable medium, such as a random access
memory (RAM)
coupled to at least one processor. In some embodiments, the processor executes
computer-
executable program instructions stored in non-transient memory. Such
processors comprise a
microprocessor, an ASIC, and state machines. Such processors comprise, or are
be in
communication with, media, for example computer-readable media, which stores
instructions
that, when executed by the processor, cause the processor to perform the steps
described herein.
[0454] Some embodiments of computer-readable media include, but are not
limited to, an
electronic, optical, magnetic, or other storage or transmission device capable
of providing a
processor with computer-readable instructions. In some embodiments, other
examples of suitable
media include, but are not limited to, a floppy disk, CD-ROM, DVD, magnetic
disk, memory
chip, ROM, RAM, an ASIC, a configured processor, all optical media, all
magnetic tape or other
magnetic media, or any other medium from which a computer processor can read
instructions.
Also, various other forms of computer-readable media transmit or carry
instructions to a
computer, including a router, private or public network, or other transmission
device or channel,
both wired and wireless. In some embodiments, the instructions comprise code
from any
computer-programming language, including, for example, C, C++, C4, Visual
Basic, Java,
Python, Ped, and JavaSeript.
[04551 In some embodiments, the client devices also include a number of
external or internal
devices such as a mouse, a CD-ROM, DVD, a keyboard, a display, or other input
or output
devices. In some embodiments, examples of client devices are personal
computers, digital
assistants, personal digital assistants, cellular phones, mobile phones, smart
phones, pagers,
digital tablets, laptop computers, Internet .appliances, and other processor-
based devices. In
general, a client device is any type of processor-based platform that is
connected to a network
and that interacts with one or more application programs of the instant
invention. Client devices
and AOS application can operate on any operating system capable of supporting
a browser or
browser-enabled application, such as MicrosofiTM, WindowsTM, or Linux. In
some
embodiments, the client devices include, for example, personal computers
executing a browser
application program such as Microsoft Corporation's Internet ExplorerTM, Apple
Computer, Inc.'s
SafariTM, Mozilla Firefox, and Opera.
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CA 02873544 2014-12-05
[0456] Of note, the embodiments described herein may, of course, be
implemented using any
appropriate computer system hardware and/or computer system software. In this
regard, those of
ordinary skill in the art are well versed in the type of computer hardware
that may be used (e.g., a
mainframe, a mini-computer, a personal computer ("PC"), a network (e.g., an
intranet and/or the
internet)), the type of computer programming techniques that may be used
(e.g., object oriented
programming), and the type of computer programming languages that may be used
(e.g., C++,
Basic, AJAX, Javaseript). The aforementioned examples are, of course,
illustrative and not
restrictive.
[04571 While a number of embodiments of the present invention have been
described, it is
understood that these embodiments are illustrative only, and not restrictive,
and that many
modifications may become apparent to those of ordinary skill in the art.
Further still, the various
steps may be carried out in any desired order (and any desired steps may be
added and/or any
desired steps may be eliminated).
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