Polaris IP, LLC v. Google Inc. et al

Filing 507

RESPONSE in Opposition re 460 MOTION in Limine Number 1 (Uncharted Prior Art References): Motion to Preclude Defendants' Reliance on or Reference to Uncharted Prior Art References (EZ Reader Manual and CBR Express Manuals) and Hearsay MOTION in Limine Number 1 (Uncharted Prior Art References): Motion to Preclude Defendants' Reliance on or Reference to Uncharted Prior Art References (EZ Reader Manual and CBR Express Manuals) and Hearsay MOTION in Limine Number 1 (Uncharted Prior Art References): Motion to Preclude Defendants' Reliance on or Reference to Uncharted Prior Art References (EZ Reader Manual and CBR Express Manuals) and Hearsay filed by AOL, LLC., Google Inc., Yahoo!, Inc.. (Attachments: # 1 Sistos Decl. ISO Defendants' Response, # 2 Branting Decl ISO Defendants' Response, # 3 Exhibit, # 4 Exhibit, # 5 Exhibit, # 6 Exhibit, # 7 Exhibit, # 8 Exhibit, # 9 Exhibit, # 10 Exhibit, # 11 Exhibit, # 12 Exhibit, # 13 Exhibit, # 14 Exhibit, # 15 Exhibit, # 16 Exhibit, # 17 Exhibit, # 18 Exhibit, # 19 Exhibit, # 20 Exhibit, # 21 Exhibit, # 22 Exhibit, # 23 Exhibit, # 24 Exhibit, # 25 Exhibit, # 26 Exhibit, # 27 Exhibit, # 28 Exhibit)(Sistos, Antonio)

Polaris IP, LLC v. Google Inc. et al

Doc. 507 Att. 21

EXHIBIT Q

Dockets.Justia.com

CONFIDENTIAL

EZ Reader User's Guide

and
Reference Manual

CHASE MANHATTAN BANK, N.A. CUSTOIVIER KNOWLEDGE TEAM

IPM00313

CONFIDENTIAL
EZ Rezder Use, s Gude ancl Reference Manual
05 February, 1996

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trUPIFIUCII I II-%L
EZ Reacer User's Gillesaild Reference Manua/

labk of °mints
PREFACE
introduction and Release Notes

6
6
6

Document Organization
Appendices

PART ONE - EZ READER OVERVIEVV

8
9
9
9

EXECUTIVE OVERVIEW
Business Purpose of EZ Reader
Business Benefits

EZ READER BUSINESS REQUIREMENTS
Overall Business Requirements

10
10

Functionality Requirements
Operation o1F_Z Reader
Ease of Use Performance Security Issues

10
JO

II
14

PART TWO - EZ READER DESIGN AND ENVIRONMENT15
EZ Reader Version 1.0 Environment An Integrated Knowledge-Based Application
Design Technical Objectives
15

15
15

16
V?

EZ Render Architecture
Process Flow Description ICnowledge-base module

18
19

EZ Reader/Lotus Notes connection
Constraints

19

20

PART THREE - EZ READER USAGE
3

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Training
EZ Reader Interface

21
21

PART FOUR - EZ READER MAINTENANCE
Maintenance
Business Changes Requiring EZ Reader Maintenance Technical Changes Requiring EZ Reader Maintenance

26
26

27

Maintenance Procedures
Skills Needed for EZ Reader Maintenance

27

22

Modifying ART*EnterpriSe® and related EZ Reader Code Role maintenance Case maintenance Action maintenance VIM/Notes API maintenance EZ Reader Deployrnent

28
32 36

' 39 43
49

Change Control Procedures
Troubleshooting Guide
52

APPENDICES
Appendix A - Error/Stains Messages
Appendix 13- EL Reader Glossary

53
53 54 56 57
58

Appendix C - Future Releases of EZ Reader Reusability
Administration

Appendix D - Standards ami Miscellaneous Additional Resources

ss 59

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Table of Figures
Figure 1: El Reader High-Level Architecture
17

Figure 2: El Reader Greeting Window Figure 3: Manual Processing File Selection Window Figure 4: Sample emails bond In DE1140TXT Figure 5: El Reader internal code process flow

22
23 24

30

Table øf Tables
Table 1: a Reader tile structure
Table 2: Phase-processing rules Table 3: Question rules Table 4: Translating an email message into a case Table 5: Refer ral categories and priorities Table 6: Action Codes "fable 7: VIM Session Management Futertions Table 8: VIM Message Container FUDCli0I15 Table 9: VIM Message Access and Attribute Functions Table /0: VTN1 Message Creation and Submission Functions
29 32
33 38
41

42 45

Table 11: FILEMSG functional Row Table 12: MARKMSG funetionatflow
Table 13: Notes API Mall and Database Access Functions

45 45 46 46 47 47

Tabk 14: WRITEMSG functional flow Table 15: Troubleshooting Tips
Table 16: Contacts and Support Numbers

4s
52 60

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Preface
introduction
and Release Notes
This document describes F7 Reader. currently in use by the ChaseDirect unit of Chase Manhattan Bank.

It describes El Reader version 1.0 requirements, design, operation, maintenance, and administration.

Document Organization

This document presents infommtion about EZ Reader in four Parts: EZ Reader Overview, EZ Reader Design, EZ Reader Usage, and EZ Reader Maintenance.

Part One - El Reader Overview (p. 8) focuses on the busi test mrpose, scope and objectives of the system, EZ Reader's overall position in the systems architecture as well as high-level information about application operation and visible process flow.

Part Two - EZ Reader Design and Environment (p. 15)
describes the El Reader design, architecture, and implementation, with sectiorts on requirements, process flows, and displays.

Part Three - El Reader Usage (p. 21) provides necessary information on rurming and terminating El Reader in its two available modes. This section also provides information about monitoring an F7 Reader session.

Part Four - El Reader Maintenance (p. 16) describes in detail
the steps necessary to maintance El Reader code, including the rolebase, casebase, and actionbase. Suggestions on techniques for more efficient maintenance are also included_

Appendices

Appendix A - Error/Status Messages describes applicvionrelated run time errorS and API-related status messages.

Appendix B - El Reader Glossary gives a list of words/phrases with their meanings pertinent to EZ Reader. A-ppendix C Future Releases of El Reader hog suggested enhancements. Appendix D - Standards and Miscellaneous describes

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miscellaneous issues, including a list of references and people to contact for problem resolution.

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Part One - EZ Reader Overview
Pan One - El Reader Overview consists of two sections:

Executive Overview
A description or the business environment of EZ Reader, including the system's purpose and role in the business process.

El Reader Business Requirements Overview
A high-level description of the major business rtxmirements addressed by EZ R

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EZ P.eader User s Cupde, and Reference Menem

Executive Overview
Business Purpose of
EZ Reader
ChaseDirect, the remote banking arm of Chase, receives h-undreds of electronic mail (emaiD messages per week from prospects and customers. The messages request information or servic.es such as check reorders or copies of processed cheelcs. Electronic mail from customers is received and processed y the staff of ChaseDirect Icsbui_o_l_autat. The number of incoming electronic letters exceeds 50 per day and ChaseDireet expects that this volume will grow significantly this year and beyond. Processing emails is costly because it involves a significant amount of manual intervention. As of July 1995, ChaseDirect rechnical Support spent 10 work days per month to proces s incoming emails. Since emails can currently only be read and responded to by people, a growth in ernail volurne suggests a corresponding increase in email processing support staff_

Business Benefits

EZ Reader will provide several significant benefits to ChaseDirect. It will: enable Chase to handle increasing email volumes without a proportional increase in staff. reduce future staff needs for processing entails, including people lo interpret, route and answer emails. provide faster email responses to customers.

EZ Reader will be designed to work within Chase's strategic plan for inns-company elec-tronic collaborationi.

the T./20 document conform/6n protocol

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EZ Reader Business Requirements
This section outlines specific requirernents for functionality, ease of use, and security. for EZ Reader.

Overall Business Requirements

EZ Reader's priman goal is to reduce the number of Internet emails that ChaseDirect Customer Service Representatives must process by acting as an intermediary intepretat, router, and automatic response generator for incoming email&

Functionality Requirements

El Reader contains a knowledgebase of interpretation rules and a casebase of actual ernalls linked to appropriate responses. The application also contains functions that are necessary for interfacing with, i.e., retrieving from and replyirg to, Lotus Notes mail software.

Operation of EZ Reader

F7 Reader has two available processing modes: continuous and manual. For production purposes, continuous processing is required for uninterrupted email retrieval (i.e., 24 hours a day, 7 days a week), interpretation, and response. Manual processing is intended for development, testing, and maintenance purposes.

Continuous Processing
In general, El Reader will operate continuOusly in conjunction with Lotus Notes mail functions in ChaseDirect Whenever a piece of electronic mail is received into the Lotus Notes environment in ChaseDirect, El Reader will automatically retrieve the email, process (i.e., interpret) it, and either automatically respond to it by placing it in a Lotus Notes "outbox" or forward it to the ChaseDirect "inbox" Vas human review and response. EZ Reader will reduce, but not eliminate, manual processing of email messages by ChaseDirect As the application expands, an increasing percentage of email will be processed without human intervention.
Initially, manual review of messages to which automatic responses are assigned by EZ Reader is needed to validate the
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quality of system processing. For this reason. ChaseDirect will still need to take manual steps to read and upload those messages that are assigned automatic responses by EL. Reader. Since EZ Reader will enable pre-sorting of mail into logical business process categories (automatic response or manaul review with different levels of priority), manual intervention will be streamlined.

Manual Processing
Manual processing is a mode of operation within F7 Reader that allows one to selectively choose the ernails that are being processed (from a text file). This environment makes EZ Reader readily accessible for maintenance and testing purposes. The basic process flow of emails (retrieval, interpretation, response) is equivalent to continuous processing. asentially, the main difference between the two processing modes is the location front where F7 Reader retrieves incoming email rnessages and vvhere the oumut is directed to: from a Lotus Notes mailbox, or from a text file.

Ease of Use

EZ Reader must incorporate features that save time atad effort for customer service representatives in their role of readhag and responding to email messages.,

Minimum operator intervention.
EZ Reader is an embedded application. This means that it runs stand-alone and is invisible to the nsor. Visually, it is a layer between the incoming Internet ernail and ChaseDirect's Customer Service Representatives (CSRs) In Rochester. Once EZ Reader is activated, it remains running. without manual intervention. In Mis sense, there is no sed to tran't Chase people on usage.

Reduction in man-hours.
All incoming emails are processed by EZ Reader. EZ Reader interprets all messages, deterrnining that some messages can be responded toautomatically_ These will be filtered out and

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processed without manual intervention. The remaining messages will be referred to CSRs in Rochester.

Access to processing status
EL Reader includes capabilities for managing and monitoring processing. EZ Reader displays status information during production and also vvrites to a Lotus Notes archive database for viewing, reporting, and archival purpose&

Performance

El Reader throughput, accuracy and timeliness need to be measured over time in order to validate performance and to predict the manual and system impacts of increasing volumes of emait. El Reader will collect data needed to produce performance statistics.
In the first phase of EZ Reader implementation, two knowledgebase tests were perforrned. The test bed consisted of 3 weeks worth of real Internet emails, responded to by the ChaseDirect Technical Support staff, but also processed by EZ Reader.

Application response time performance.
Processing start time and completion time were recorded by the system during the knowledgebase tests. On a Pentium 75 with 32 MB of memory, EZ Reader throughput averaged I message per second.

Interface response lime performance.
Because of the need to externally interface with Lotus Notes, email retrieval and automatic response time naay add-a few 131bIC seconds.

Overall response time pelformance.
El Reader response time requirements have not been set by Chase. The Customer Knowledge team has taken steps te optimize pmeessing tewonse time both in the %remand and the background.

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F7 Reader should meet response time performance requirements without forcing hardware or memory upgrades beyond the standard ART* Enterprisetf0 configuration.

Response Accuracy
Testing of the knowledge-base portion of F7 Reader has shovtm accuracy of responses_ The accuracy is measure in two ways: did EZ Reader classify the incoming email correctly (-A" automatic response, "R" = referral, or "D" = detected) and if the classification is correct, is the actual recommended action correct_ e.g., is it referred for the correct reason, is the automatic response appropriate for that email, etc.

In the first phase of EZ Reader implementation, two Icnowledgebase tests were performed. The test bed consisted of 3 weeks worth of real Internet emails, responded to I y the ChaseDirect Technical Support staff, but also processed by EZ Reader_ There were 390 incoming entails, for which EZ Reader responded to with an accuracy of approximately 94% (in the second test dated approximately December 13, 1995) with approximately 130 (or 68%) referrals. The breakdown of referrals is shown below:

50% MS Net request forms
30% 5% 5%
5% 5%

Sign-Up Kit requests Referenced specific person within ChaseDirect Contained material defined as sensitive Contained multiple questions or were lengthy entails Other (e.g., foreign addresses)

Note that although the percentage of entails responded to automatically was under target (approximately 50% autoresponses desired), this was due to the business reguiremeinat the time of the test_ It is important to tuiderstand that the breakdown of automatic response vs. refettals is highly dependent upon the specifications set forth by the ChaseDirect business staff. As time passes, and ChaseDirect creates more canned responses, the percentage of automatic responses will rise. Also, there is an obvious rise in automatic responseS whenever there is a large promotion (e.g., an ad in the NeW York Times which contains ChaseDirect's email address).

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Security Issues

It is cun-ently an established fact that the Internet is an unsecured environment. Emafis could be read by any number of persons as it is routed from jis source to its destination_ For this reason, there are few ways to secure a piece of email from a customer to ChaseDireet's Internet domain. Once in ChaseDirect's Lotus email environment, however, passwords are =wired in order to retrieve email. Only those persons within ChaseDirect's Technical Support staff having the Notes passwords have access to the incoming emails.
The FZ Reader/Lorus Notes cortnec-tion employs intermediate text files2 for passing emails to and from the two Windows applications. The securhy of ernails is ensured using this method because it overwrites the contents inunediately alley they ha* been read. For a detailed description of these in-IAAmediate text files and the status file, please refer to the Maintenance section of the document.

2 ideally, a clean interface via DLL calls is desired. but beta= of mom; limitations for sirnulated-32-bit AR-Mutt:wrist-2 and the I6-bit Vthrt.DLL, there were enough complications to warrant a work-around sohnion involving separate C programs and cxtemal text files.

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Part Two - EZ Reader Design and Environment
This section provides a high-level description of the technical environment. design objectives and constraints, architecture and components of F7 Reader.

EZ Reader Version 1,0

EZ Reader version 1.0 was developed using ART.Enterprise® 2.0 for Windows, interfacing with Lotus Notes via the VIM
protocol and Notes AP13.

Environment

The EL Reader application is built using specialized software lcnown as bowledge-based software.

An integrated KnowledgeBased Application

This specialized software is used at other financial services institutions such as American Express, Dun & Bradstreet, Fannie Mae, GE Capital and Swiss Bank.
Knowledge-based software syStems can interpret data from a wide variety of sources and display expert advice to a business mu/section or to automate a decision step. Unlike conventional software that only displays or calculates data, lazowledge-based software interprets data using rules of thumb.

Design

The EL Reader application is a software program that will reduce the arnount of manual intervention required to process incoming ' email& in ChaseDirect. Facade/ will be iniplemented in multiple Pbases. Phase I of EL Reader will:
automatically cla,ssify each incoming email;
1 VIM is the acronym for Vendor Independent Messaging and API stands for Application Programming Interface, which is necessary for two separate Windows-based applications to communicate, i.e., pass data, between each other.

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select a model response for each email froto a library of replies; automatically set a priority level for each ernail; prepare an aclutowledgement receipt to the sender, where appropriate; and route the original entail, model response and acknowledgement receipt (if any) into an appropriate mailbox in Lotus Notes. From Lotus Notes. the emails may be automatically sent andhor reviewed.
Proposed enhancements to EZ Reader are des,cribed in Appendix C - Fuhur.Releases of EZ Reader.

Technical Objectives

The primary objectives to be met in the EZ Reader technical design are as follows:

Design for speed and ease of use
EZ Reader is an embedded system which lies between Lotus Notes and the ChaseDirect Technical Support group. A very small amount of graphical interface is supplied, because very little interaction is required from the user.

Design to enable processing progress monitoring
Application administrators need an efficient means for process monitoring and reporting. EZ Reader makes this infmmation available through the archival Notes database, as well as on-line viewing of the cmicut email being processed.

Design for flexibility, sealability, extensibility, ea,se of maintenance and ease ofoperation
The knowledgc-based software used to build EZ Reader inherently adheres to these specifications. This software has been used to deploy very large commercial applications that require these characteristics.

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EZ Reader

Architecture

EZ Reader is a minimally-interactive client/server application that interfaces with Lotus Notes email software.

Customer

Message

I

#6

I #2
Response

Domain Server
Other

Notes Servers

Future EZ Reactor Position

Response

CRASEDIRECF Lotus Notes Server

Outbox

Manual Review Inbox

Lnbox

IManual Review
ChaseDirect

#3

1111:1
#4

EX

#3b

Reader

Figure 1: EZ. Reader Righ-Level Areldtgeture

17

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As shown in Figure 1 above, the F7 Reader system is a component client/server system. Processing takes place as follows (the three major steps, email retrieval, interpretation, and response are denoted in boldface):

Process Flow Description

I.

The customer sends an E-mail message to Chas" Manhattan Bank's Internet address.

2.

RETRIEVAL: Chase's corporate E-mail routcr passes the message to ChaseDirect's Lotus Notes mail management system. EZ Reader checks the Lotus Notes mail database for new mail throughout the day.
INTERPRETATION: As a new piece of mail comes in, F7 Reader retrieves the message and compares it to a library of actual customer messages, and categorizes the message. Categories are described in the section labeled "Key to Categories". EZ Reader recommends actions and responses based on the message's category and priority and routes the mail to one or more Lotus Notes mailboxes according to one of two action types:
The mail message is responded to automatically by El Reader. Automatic responses are routed directly to the 01/11)0X. The mail message cannot be responded to automatically and is referred to ChaseDirect for human review and response by being placed in another inboz. EZ Reader assigns a priority to ffie message and suggests a response, based on message type. Priorities are described in the section /abeled "Key to Categories - R,eferr al s".

3.

4.

RESPONSE: ChaseDirect reviews and assigns responses to all messages referred by EZ Reader and places these responses in the outbox.
ChaseDireet uploads messages in the outbox to the Lotus Notes server for transmission back to the customer. The customer receives ChaseDirec.t's E-mail reply.

5. 6.

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Knowledgebase module

Interpretation
The lmowledgebase portion of EZ Reader, written in the ART* Enterprise® language, combines case-based analysis and rule-based reasoning to interpret incoming email messages. Roles are used to drive the flow of processing, but also are utilized in a pre-processing phase, to identify and lag certain characteristics of a message. A case-based retrieval is then performed, searching for the best matching case of the current email against the casebase. /f any characteristics were tagged in pre-processing phase, they will contribute to the overall casebase score_ Details on the knowledgebase can be found in the Maintenance section of this document.

EZ Reader/ Lotus Notes

Retrieval and response
The ART* Enterpriselt) module of EZ Reader must still get its input data from somewhere and also have a place for its output. This is where the interface to Lotus Notes comes into play. The EZ Reader/Notes connection is accomplished using the VIM API4 as well as Notes' ovm MI. The Yendor Independent Messaging interface is an industry-standard application programming interface that provides the messaging (i.e., sending and retrieving rnail) functionality provided by Notes or any full-featured messaging system. VIM allows progranuners to develop mailenabled applications that are portable across various email systems. A listing of the VIM and Notes API functions used by EZ Reader can also be foluid in the Maintenance section.

connection

There will undoubtedly be some messages thaLEZ Reader will not be able to interpret, e.g., baisance messages All uniraerpretable messages will be forwarded RI a Lotus Notes mailbox that contains messages that =set aside for manual evaluation.

4 Please refer to the El Reader Glossary in Appendix Et - El Reader Glosany for further details.
5

A reasonable goat for El Reader would be tu interpret and process 50-SO percent of all messages.

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Constraints

EZ Reader is designed to operate vvithin a Windows 3.1 environment with an interface to Lotus Notes. EZ Reader's functionality depends upon the existence and continuous operability of programs lo retrieve and deliver email messages to and from Lotus Notes. If EZ Reader loses its Notes connection, it will automatically self-abort_

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-

Part Three - EZ Reader Usage
Part Ttu-ee describes how to use El Reader, with an emphasis on how to initialim, monitor, and terminate an El Reader session.

Training

Chase people will not need any special training to use EZ Reader. Input to F7. Reader is performed automatically between Lotus Notes and EZ Reader by the Windows VIM API functions of El Reader. EZ Reader results are sent to targeted Lotus Notes mailboxes and displayed as email messages.

EZ Reader Interface

Because EZ Reader is an evnbe,dded system, there is practically no external interface for interacting with it. Once started, El Reader will display a status screen (ART.EnterpriseWs Command Interpreter window) wlaich shows each incoming email message along with EZ Reader's recommendations on how to bes-t respond to it. This can be used to view the progress of El Reader, although emails may be proces,sed rather quickly and subsequently, the output messages may scroll by too quickly to read. MI processed emails are archived in a separate Notes datalsase, which one may acc.ess at any time to review the

imoming mails. This archive will also be used for statistical and reporting purposes.

Starting EZ Reader
EZ Reader is invoked by double-clicking on the El Reader icon in the program group EZ Reader in the Windows Program Manager.
Invoking EZ Reader brings up the EZ Reader Greeting Window which disphrys the Chasc logo and other identifying infra-carillon (see Figure 2).

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Continuous Processing O Manual Processing

Figure 2: EZ Reeder Greeting Window
EZ Reader functions in one of two modes: continuous- pro cessing and numual processing. Maaual processing should be use I when modifying, testing, or demoing El Reader code whereas continuous processing is used for production.

Continuous Processing lf the Continuous Processing radio button is seleckd and the Start button is clicked, then El Reader will begin lo continuously retrieve mails directly frorn Lotus Notesand process those messages. The cancel button, if pressed result-in imrnediate termination before any EZ Reader proces,sing even begins_ EZ. Reader is designed to run contlimmisly without human intervention; it is not recommended to hak processing freimently. lfit does becomes necessary. to take EZ Reader offline (for maintenance or upgrade prposes), then simply press the Break button at the top of the Command Interpreter windoW during continuous processing. This will break the ongoing communication with Lotus Notes until you continue or abort EZ Reader processing. At this point, you can take one of-two actions:
To continue processing, type m in the bottom of the window.

To abort EL Reader, type (halt) to stop the Me-base engine from firing, then type (ezr.abort) whkh is a functMn that ends EZ Reader processing and performs clean-up routines. Then

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when you are ready to place EZ Reader on-line again, f011ow the start-up procedures as described above.

maggapiaces,sing
Manual processing requires input from an external text file (selected by the user from the File Selection Window (see Figure 3), with the file extension ".trt". This text file should contain one or more emails in a format which replicates that of emails downloaded directly from the Internet& Contents of a test file in the EZ Reader directory. called DEMOIXT follows in Figure 4.

Figure 3: Manual Processing File Selection Window
When creating your ()Val test data, it is advised to use the samples in DEMO.TXT as a tempkue. Simply tailor the body of an email message to reflect that which you wish to test. -Them to actually run El Reader against the test email(s) you created, siniply run EZ Reader as usual, click thefl Manual processing radio button, then select the name of your file From the Pile Selection Window.

6 For manual processing, EZ Reade.r looks for a line containing "Mange text " to determine the end of the ernail header. A single entail bnins with the "Date: line and ends with the line' End of message "*". If you are' creating your own test file, make surt these lines exist in the appropriate positions; otherwise, El Reader will not be able to tiisenMinate between the header and the body of tbe message, and also between mukiple messages in the same text file. This is taken care of in continuous processing by the Lotus Notes API.

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begik
with Dale Tine

Date:
'From:

:7-SEP-19116 21:43:5/3153,

v.

.

To: CC:

natcom.com" [e-mail]"

Subj: ChaseDirott Sign Up Mt
Return-path: caetreix.netconi.com> Rocehted: from ix4.1x.netcom.com by de/bittern (PMDF V5.0-4 ff108130) Id <01HV0CU2SK0W9BVH2L(Cgdelpht.tom> OT CHASEONLINEOdeMbItorm Thu, 07 Sep1995

21:43:55-O-400 CE) Received: tom by Sx4.ix.nettom.com (88.12/SMI-41Mettom) id 3AA28650, Thu, 07 Sep 1495 18:42:48
-0700 Date: Thu, 07 Sep 1995 13:42:46 -0700 From: aebtrix.nettom.com (Alissa Ballot ) Subject: ChaseDtrect Sign Up Kit To: CHASEONDNE©delphi.com Message-id: [e-mail]>

MeSSagaTeke

-

.

Message text line ust be present Tor maraud-processing,-

Please send the sign up kit and free coupon book tc me: Joe A. Customer 100 East Elm Ave., #2 Some City, NY 10001

Thank youEnd of message
Joe

delimiter must be

prpealtordistingelsb.
Date: 19-SEP-1995 19:04:47.60 From: INWMIRRITgant.com* To: INWCHASEONLINEadelphicom"
CC: Subj: RE: question
MAIL

Retum-path: -cMIRRI©eol.com> Received:torn emout05.maiLaol.com (-port 4670'ffgemout05.malf. solemn) by detphi.com (PMDF V5.0-5 910680) id [e-mail]> for CRASEONLINEadelphibciM; Tue, 14 Sep 1945 14:04:43 -0400 (EDT)

Sep 199510:0322 -0400 Date: Tue, 19Sep 1996 19:03:22 -0400 From: MIRRI®aol.com Subject Re: question To: CHASB4NLINa@delphIcom
Massage-td: <[e-mail]> Contant-tramsfer-enooding: 76IT Niessage Teat

rm stal with chemical
will ihiS SINVICO be availat4e to us?

- End of message -

Figure 4: Sample emails found in DEMO.TXT

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Output from manual processing appears in the Command Inteciaretel window while EZ Reader is running. Although you can scroll back through the output, there is a liniitation to the amount of data in the Command Interpreter buffer. For this reason, if your test file is quite large, or if you want to print a hardcopy of the output, use the dribble command to dump the output to a text file.
Type the following command before you type the (run) command to invoke processing:
(dribble mc:Itae2Obtlezreaderlioutput.brt")

or whatever path7 and filename you wish. Then. once EZ Reader hns finished processing the text file of test emails, it will complete its own processing, leaving you back at the command prompt in the Command Interpreter_ At thispointoemember to close the dnible file by typing the (dribble) commancL Othenvise, all other text that subsequently appears in the Command Interpreter will also get dumped to that open output file!

7 Make sure to include a double back-slash when specifsing a path. This is because the back-slash is ignored and will also "escape the next character.

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Part Four - EZ Reader Maintenance
Part Three contarns a detailed description of the maintenance procedures for El Reader.

Maintenance

When designing and maintaining any knowledge-based systern, one should keep in mind the following 3 levels:
I. Business stratum

Data stratum Knowledge stratum
With respect to maintenarce, the business layer is one of the driving forces behind any modifications to El Reader. El Reader must reflect cunent business requirements for responding to customers via the Internet. The data stratum includes such things as identifying what data (and the source of this data) is needed by the business user, mapping the data to objects in ART* Enterprise®, adding access methods for new data, addressing any issues related to object destruction or storage, etc. In the case of El Reader, the data comes from one uniform source: Lotus Notes. Lotus Notes, in turn, receives its data from the Internet (bacluding the World Wide Web in future relean of El Reader) which means that the actual data source is invisible to El Reader. Consequently, the data layer does not play as important a role in this system as in a data-critical application such as Milestone Advisor. Changes to the Lotus Notes configuration, however, may result in updates to El Reader interface to Notes (i.e., the VINI API). In addition, changes in the business stratum may require updates to ART"EnterpriseVEZ Reader objects.

Once the data connection (between F2 Reader and Lotus Notes) is in place, the most important piece of El Reader is the acem-ate interpretation of incoming emails. This is embodied in the knowledge stratum. Maintenance procedures for the knowledgebase may include modifying the rulebase, casebase, and actionbase. Details of mch of the 3 strata follow:

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The following business-related events may result in El Reader maintenance:

Business Changes Requiring EZ Reader Maintenance
A new or revised association between a type of message and its prepared response is required. For instance, if mails concerning a marketing promotion need to be aaswered differently than originally, then EZ Reader maintenance should be requested or performed. (Maintenance is not required when response text is changed or responses are developed that are not associated to messages received by EZ. Reader.) A new type of action needs to be associated with a prerrared response. For instance, if emails concerning a newmarketing promotion need to be processed automatically, then F7 Reader usaintenanee should be requested or performed. A new informational action nee-ds to be recommended by El Reader when it detects a particular type of inconaing message, regardless of the response. For instance, if emails from foreign customers need to be flagged, then E7 Reader rnaintenance should be requested or performed. In addition, changes in the environment of EZ Reader may also result in EZ Reader lvlaintenance:

Technical Changes Requiring EZ Reader Maintenance Whenever a change in the technical environment around El Reader is planned, the application should be retested and assessed for needed changes. For example, if a new version of Lotus Notes will be installed, the application should butested and assessed for changes before the production installation is
done.

Maintenance Proceduns
Until Phase II of the project is complete, a team effort is needed in order to maintain the complete EZ Reader 'business system. OW primary objective for the period of tinte surrounding application deployment will be a complete transition of the development and maintenance for El Reader to Chase

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EZRe.cc tjsnsGc
and Reference Manua:

employees who have been trained by experienced knowledge base consultant&

tinder normal circumstances, requests for business changes should be able to be aceorrunodated within a few days in Phase 1 of EZ Reader.

Skills Needed far EZ Reader Maintenance

The following types of expertise must be coordinated in order to perform EZ Reader maintenance. Business knowledge of rules for outgoing correspondence. Chase electronic mail system architecture and plans. Knowledge Acquisition For knowledge systems development. ART*Enterprise® rulebase and document integration application piogramming, testing and debugging. Rule-based systems concepts. Case-based reasoning concepts. Lotus Notes software testing and debugging. Microsoft C-ht- and Notes VIM API software testing and debugging. PC network setup and operation_

Modifying
ART*Entetprise® and related EZ Reader Code
It is strongly recommended that one mad and understand the ART-Enterprise® documentation (especially for an understanding of rules and case-based reasoning) before attempting to make modifications to the EZ Reader code. At the very least one should make a copy of the relevant original files ez-rules art, ezcases art, ez-acts.art) befOre modifying them.

.S1IS

Tlae EZ Reader ART.Enterprisee cofte is divided into logically independent modules, which are each contained in a text file with the .art extension. In addition, EZ Reader calls several external C programs (executable binaries with the .exe file extension), which contain the API to Lotus Notes. These C programs make use of three external text files (having the extension aatt) for passing emails and status messages. These files are listed in Table I:

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Table 1: EZ Reader file structure

.FiWtrii.1543:' ,Ti0f44titASOAC41I4igt:'IWVAie, ,02:01.945V4.
ez-actshrt ez-cases.art
ez-cti_art

ez-gtobs.art

The set of actions that EZ Reader can recommend (the actionbase) The set of cases agairtst which the current email is compared (the casebase) Contains functions and objects related to the casebese Contains global variable and miscellaneous functions
'Contains EZ Reader Greeting VVindow objects

ez-greetart
az-rules.art filemsg.exe write-db.exe meritrnsg.exe
filemsg.out

The set of phase-processing rules and question rules (be ittabaae)
VIM API modtile to retrieve the next unread email message from Lorna Notes Notes API mddule to Write the response to a Lotus Notes database VIM API module that marksthe current email inessageas 'read' Text file containing the retrieved email Taxt file containing the original email appended with EZ Reader recommendations (the response) Text fife containing status/error messages generated by the API modules during runtime

sendrnssout
statMsg.out

.

Before describing how to maintain the lcnowledge portion of EZ Reader (i.e., the rulebase, casebace, and aetionbase), it is helpful to be familiar with the internal process flow of F7 Reader code, as diagranuned in Figure 5.

The basic flow of EZ Reader is similar for both continuous and manual processing. The flow of processing is driven by rules. Each rectangle in Figure 5 is in actualiry a phase-processing nil& The remaining rules in the rulebase are question ni/es, which fire when EZ Reader is in the pre-processing phase, (the ezreader:mail:process:pre rule). Question rules will be discussed in detail later-, basically, they are used to discena information about the content of an incoming ernail message and to recommend actions accordingly.

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and Reference Manua:
QS-reader:main

cancel.event
Cincel fallen innesent
1

.

b..- eZerfeleideCTIldir

Stan
Cullen

I

or -reader.main. irat-event

i
-

cancel
hon.,

_..._ e2-rearierenaln:
end

i

start
.

f

cashed

Prparrno
EOF /menus)

esri

ez-reacler-maltretelevc conlinuourcepi

API -- filemsg.exe
er-reatter-mell retrieve: oantInuous

ez-readermaitrewleva: manual

es. reader.

:prDcess.pra
Manual pracenelng

ez-readermatvroctst

. ez-readerma metal:
skip-se

t

el-readerolIIttprucess:
Postmancrer

API

writemsg.exe

API markmse.exe

Figure

EZ Reader internal code process flovv

The flow of phase-processing rules is described step-by-step as follows:
EZ-READER:MAIN:START: main initialization phase;

displays the greeting window, opens the output log file, loads the casebase, etc.

a)

EZ-READER:MAIN:INIT-EVENT: if the Start button

is pushed, this phase determines whether continuous processing or manual processing has been activated.

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EZ-READER:MAIL:IIETRIEVE: CONTINUOUS:API: this phase initiates a

call to the C API module that checks for new messages.
EZ-READER:NIAIL:RETRIEVE: CONTINUOUS: if new messages are found,

this phase retrieves the next unread email from the Lotus Notes Chase Direct-In box if El Reader is in continuous process mode. If EZ Reader is in manual processing mode, the neict unread email message from the input text file is retrieved.

iii)

EZ-READERMAIL:PROCESS:PRE:

contains question rules which flag certain characteristics of the current email (see the section below on Rule maintenance for more details), and determines whether or not a search on the casebase is necessary or not.
EZ-READER:MAIL:PROCESS:SEARCH: if

the pre-processing phase deems it necessary to search the casebase, then this phase calls the Rind-ion which performs the search. If it is not necessary to search the rasebase for the cuuent email, then the next phase is EZ-READER:NIAIL:
PflOCESSZKIP-SEARPH. EZ-READER:MAIL:PROCES&POST: this

vi)

phase determines The attual reconunended actions, and writes the original message appended with the set of actions, category, and priority back to a Lotus Notes database. Repeat steps (i) thru-(v). In conthmous processing mode, this loop runs until intemipted. When there is no unread mestage in the Citase Direct-In box, EZ Reader will wait patiently turtil the next email arrives. For manual processing, this bop tenninates when no MOM email messages remain in the input file.

EZ-READERMAIN:CANCEL-EVENT: if the Cancel

button is pushed in the Greeting Window., this

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phase will end all processing immediately and sets
I.

the phase to trigger EZ-READER:MAIN:END. EZ-READER:MAIN:END: Closes the output log file, and performs general housekeeping taslcs.

Rule maintenance

Both the phase-processing and question ruless used by EZ Reader (coilectively known as the rulebase) reside in an _art file called ez-rules.art within the EZ Reader subdirectory. In EZ Reader, Mes are used in two different ways: as phase-processing rules and as question rules. Eleven mies are related to the process flow of the system, which fire depending OR certain window pushbutton events and fact assertions (phases). Each phase denotes a single state of processing, only one of wbich is relevant at a ime. The eleven phase-processing rules along vvith their corresponding phases are detailed in Table 2.

Table 2: Phase-processing rules :03-oiorlowaaamikui%
ez-readermairrsti3rt ez-reader.maininit-event ez-reader.main:cancel-event
ez-readermail:retrieve:continuous:api ez-reader.maitretrieve:continuous ez-readermaitretrieve.manual ez-readermail:process:pre ez-readermail:process:skip-search

tto- tosmolootIonetbArsito 4 none always Eres upon start

- ..as.

(gtkevent activate ergwcpb:Start S?) fires when Start button is elicked in GreetingNIfindow (gtk:even activate ergwyboanced $7) fires when Cancel button is clicked in Greeting VVindow (phaseready-for-next-em.ail). CuOnt.inuous-PreUesa:). (q:'l) (phase ready-lor-next-eMall), (confinuous-process), (no-api) (phase-ready-for-next-ernad), (manual-process)

(phaseleady-to-prepteeass-ernail)
(phaseready#to-prOcess-emall) and (phaseskfp-Seeire.h) (phase ready-to-prtidess-email) and thiet (phase skip-sew:PM (phase ready-to-postprocess-email). (tontinuotisrprocess) (phase ready-tb-postptocess-ersait), (manual-process) (Phase end-of-procesSing)

ez-readarmail:procest:search
eZ-tea0ef:MBillprOCOSS;p0StODTIfirJUDItS

ez-reactermailprocess:postmanual ez-reader.main:end

A phase-processing rule for EZ Reader takes the form:
(define-rule name-of-rtde "Description of rule"

(declare (salience ?salience:*safience of Me)) ?x (phase phase-lot-rule-to-fins)
:For a detailed explanation of role-based reasoning, inchiding fact assertion, rule tiring, and salience, pleastrefer to the ART*Enupprisee online help called the function and Class Reference Library (die FACLR), or the hardcopy reference manuaLs.

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.

any other statements that must be true in order for the rule to fire ..

(retract ?x) retract the current phase ... actions relevant to the current phase .. : set the next phase (assert (phase next-phase-in-processing))

Following this form, the rule for ez-readermall:processtsearch looks like:
(define-rule ez-readermail:process:search "Find best fitting matcheS from the casebase for the turrent mail message" (declare (salience ?satterice'very-highl) "Tx <- (phase ready-to-process-email) (not (phase skip-search))
=>

(retract 7x) (ercb.search) , calls the casebase search function (assert (phase reedy-to-postprocess-emall)) assert the next phase

The second kind of rule, a question rule in EZ Reader terminology, is used for lagging certain characteristics or (or answering certain questions about) the current email and specifying action(s) based on the answers. There are three subclasses of question rules:

L Action-setting rules
add a detected action add an automatic response action

e) add a referral action Attribute-setting rules Action- and attribute-setting- rules
Table 3 lists the current set of question rules (in alphabetical order) along a brief description and what type of rule it is:

Table 3: Question tales
cfaddress? q:blank?
q: cancel?

q:change-of-arldress? Oa-not-call-customer?

re erence cus-tornets address? contain an empty/blank body? request cancellation of services? request a change of customer's address? request specifically not to be called?

attribute- and action-setting: defected antion-setting: automatic action-setting: referral action-setting: referral attribute- and action-setting: detectad

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crfax? q:fix-service? q:investment? q:foreign7 contain a fax number? request service or describe an error? contain investment references? reference a foreign country? contain a long message? reference Macintosh/Apple products? reference the Chase/Chemical merger? contain multiple questions? contain references to using Pay-On-Line? reference a specific (Chase) person? contain a phone number? reference to a lost or stolen ATM/credit card (=lain information defined as sensitive?
action-seding: deteCted attribute-setting attribute-setting attribute- andaction-setting: detected attribute-setting attribute-setting attribute-SettIng attribute-setting attribute-setting attribute- and actiowsetting: detected action.setting: detected action-setting: referral ' action-setting: referral, auto, and detected

qiengthy? q:macintosh?
q:merger? q:mulfiple? q:pay-on-line? q:person-referenced? q:phone? q:replacement? q:sensitive?

Question rules are set to fire ordy during the pre-processing phase (see Figure 5) where the fact (phase ready-to-preprocessemail) must currently be asserted (refer to Table 2 for the list of phase-processing rules and their corresponding fact assertions). This could be easily changed if necessary. In general, the form of a question rule is:
(define-rule name-of-rule? ")escription of rules (declare (salience ?salience:Might)) ; usually *high' (phase ready-to-preprocess-email) usually this phase (test

.. any other relevant conditions here ...
=>

. rule processing here ...

So, the questicartile for handling emails referencing the merger (q:merger?) looks something like:
(define-rule q:merger? "Does the message reference the Chase/Chemical Merger?' (declare (salience ?salience.Mighl) (phase ready-to-preprocess-email) (test (erclxin-mail-body? (createS "MERGER' "CHEMICAL"*CHEMBANK" "CHEM SELECTD)) => (ercb:add-question merger?) ; calls attribute-setting function

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By looking at the right hand side of the rule (lines after the => symbol), we see that q:merger? is an attribute-setting rule. This means that the merger? attribute of class:case is set to "yes" for the present case (result of calling the attribute-setting function). Then, if a search against the casebase is performed, the merger? attribute will contribute to the resulting match score. The rule for detecting sensitive information (gisensitIve?) is a bit more complic,ated. In this case, because Chasernirect business rules require that all mails containing material defmed as sensitive be referred, F7 Reader skips the casebase search and simpty refers the email (also adding the corresponding detected action):
(define-rule q:sensitive? is sensitive material included (e.g. account #)?" (declare (salience ?salienceThigh")) (phase ready-to-preprocess-email) (object present-case (description ?dese)) (test (or (erebin-mail-body? (create$ "ACir "ACCTit "ACCT r "ACCT NO" "ACCT. it" "ACCT: NO." " PINt " PIN NO" PIN NUMBER" "START UP PIN' "CUM' " SSN" " sat
"SOCIAL SECURITY NUMBER" "ACCOUNT NUMBER IS" "MY ACCOUNT:" "ACCOUNTr °ACCOUNT #" "ACCOUNT. e "ACCOUNT Na" "ACCOUNT NUMBER:" " PIC " 'AUTHORIZATION CODE" "SECRET CODE" "PERSONAL IDENTIFICATION CODE" "PERSONAL IDENTIFICATION NUNIBER"))

(masked-inember441999-99SS999" ?desc) ;checking account (masked-member$ 9999999ta9 e Idesc) ;sayings account (masked-rnemberr999=992999" ?desc) ;savings account

(masked:hi:lama '9-9994:39999n ?desc) ;time deposit (musked-rnorribet$'999-99-9999" ?dese) ;social seOurity #
(embiadd-question sensitive?) ;not really necessary
;

Set the referral action here

(write rkAr "Contain" s 'Sensitive information: refer.") (bind ?tease-titles "Contains sensbre Information; refer.")

(bind radian-Ur fereateS action:refer:service:priority-A
; Also tag the email with a detected actiori

(bind rdetected-actions' (action:append ?detected-actions' (treat@ action:detect:sensitive)))
; Skip the cesebase search
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(assert (phase skip-search))

Note that any question rule can fire in the pre-processing phase if the current eniail message passes that rule's criteria.. So, in the q:sensitive? example above, in addition to sensitive information being detected in this email, if the customer also included their address, phone, and fax nurnbers, all of those corresponding mies will fire, resulting in a recornmended action set containing all of the following
action:refer:service:priority:2 action:detect:sensitive

attion:detectaddress
action:detect:phone action:detect:fax.

Casi maintenance

The Text file ez-cases.art contains all cases found in the F7 Reader civ.ebase. Cases are instances of the class class:case which contains the following attributes:
(define-class class:easP object (number-key) ; casebae.P requirement unique value (dtte) ; descriptive text for the case (subject) currently not used in casebese matching (description) ; body of email message (actions) : key pointer(s) to action db (Multiple cardinatity) (category) ; used for outbox sorting ; used for outbox sorting (nripritY)
; Note: only-those attributes that contribute to_ the.
;
.

case base match score are set to "No" and "Yes". The other attributes are used for detection only. (address? 'No")
(binnk?) (do-not-call-customer? No") (cancel? "No") (fax?) (fix-service? "No") (foreign? "No") (investnient? "No")
(leroathY? "No")

(mecintosh?"No") (merger? "No')
(multiple? "No")

(pay-on-line? "Nci) (person-referenced? "No")

(replacement? 'No') (sensitiver'No")

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(phone?)
: following attributes not used, but could be for auditing purposes (date-ot-creation) (time-of-creation) (date-tast-modified) (time-last-modified) (author)

To add, modify, or delete cases in the casebase, there is no need to use ART*Enterprisce; simply use a text editor. To add a case to the casebase, follow the make-leers:lc: forni (copy/paste from existing cases is an easy and less error-prone way to add a new case).
(make-instance class:case :name case-name :unique case name :unique number key number-key case-key
title case-blie subject email-subject :not currently used in casebase matching description pertinent-part-of-email-body

salons (create$ some-actionl some-action2 . relevant-attribute? -Yes°

A simple case, then, looks like:
(make-instance class:case :name case2
number-key. 2 title "General ChaseDirect inquiry; Auto Respond."

subject "chase citrecr description "Please send information on rnanaging an account from my PC . My address actions (creare$ actiomauto:chase-direct-std) address? -Yes)

There are a couple of general tips to follow when adding cases:

1. Do not include specific information, such as a customer's
name, address, or phone number when translatm' g un email messa,ge into a case. But do remember to include (and set to "Yes") the relevant class:case attributes that appear within the text. This is important in contributing to the casebase match score. For instance, if a customer's email contains his address, remove the actual-address, but set the address? attribute to "Yes". The following example (Table 4:
9 We could have used the daane-instartea form, but this would have at-awl a permanent entry of each case in the system, whereas EZ Reader dynamic:any

toads the current climb= upon &t-up.

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Translating an email message into a caseTable 4) shows an original email message .and its corresponding case in the casebase:
Original email message
Date: MAIL 19-SEP-1995 21.44:4097 F/CIM: ItP7.-72053.2204(goompuserve.com" 'Thomas Hughes" To: /N%"ChaseCintine@delphi com"CheseDhocts
CCSubr.

Corresponding tase in easebase
(make-instance class:case :name case999 number-key 999 title -Lengthy inquiry ifOM 72053.2204goompuServe.00rn:

reNr:
Nov, Aocount

Return-path: <[e-mail]> Received: from artimg-5,compuserve.com Dort 475EngartcmgEtcornpuserve.con) by de/phial:am (PMDF V5.0-5410880) id
<011-1VH4DYFV008WW0P8eaelPhi-COra> tof chaseontine@delphi com: The, 19 Sep 1995 21.44;40 -0400 (EDT)

Subject 'New Accountdescription Dear Sirs, I recently saw your advertisement in The Now York Times. I ern intereNed in learning whether or not your
spasm would wort< for nu. Corm:ray 1 aro US11111 athatOn and Checkfree which is linked to a NOVV account et a savings honk. For the most part, everything W011tS pretty well I especially Eke the fact that t can have Quicken send my payments tia Checkfree without having to use any other software. Checkhee löself, however, could certainly use some

Received: by adb-ng-6.cumpuserve.com (8.6.10/5.950515)4 VAA27915: Tue. 19 Sep 1995 21:42:45 -0400 Date: Tua, 19 Sep 1995 2t:37:30 -0400 (EDT) From: Thorrurs Hughes <72053.2204@cornpuservecorn>
Subject: New ACGOOrn

To: ChaseDinta 4Chese0nUnefgdetphicom> Message-Id: 95092001373Q 720532204_6H6351(p)CompuServe.00/0> Contenttiansfer-encodIng: 7911 Message Text
Dear Sirs. I recently sraw your advertisement In The blew York Tenet. I am Interested in teaming whether or not your systern wouki work-for rne Currently I amusing Quicken and Checkfree whkil is linked Io a NOW account al a savings bank. For the most part everything works prefty welt 1 especially Ste the fact that I can have Quicken send my payments to Checkfree without having to use any other software. Checkftee Itself, however, could certainty use some Improvern.ent
I

improvement I wouldn't mind Rising the 9945/month fee. either. I was debating switching to Cittlaanies system MA
they have their own software which k find bao umvIeldy. Please E-Mail me back and tot ma know 91e details et your system. The fact that You are giving duicken aviay gave me hopo that I might baable lo use it with your system. Thanks,

octets fcreataS actiorueler.sales:prlorily:3)

address? 'Yes'
/angrily? °Yee

j

wouldn't mind losing the 99.95hrionItt fee, either. I was debating syNchITI910 cabal/Ws syetem but they have their own software which I
find too unwieldy. . Please E-Maal me back and let me know the chataks of your

system. The fact that you are giving Quicken away gave me hope that I might be able to use h with your system. Thanks, Tom Hughes
1854 Ftanch Drive

Syraane, NY 13057 (505)2844982
End Of me_ssage±'

Tabk 4: Translating an email message into a case
Also note in this example that the customer included his phone ' number, which EZ Reader will detect from the g:phone? rule. But because the phone? attribute is merely there for detected purposes, you would not wartt it to contribute to the match score. Therefore, it should not lye included in the case.

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Ven' lengthy email messages may not be appropriate candidates for new cases. The reason is because longer texts tend to contain more words that raise the casebase match score, whether the desired action is correa or not. It is best . to use cases (or edit the text) that contain only the phrases that are pertinent to the corresponding actions.
When should you add cases lo the ensebase-? The current casebase is appropriate for obtaining a high level of -accuracy with respect to the types of email inessages that are being sent in. If there is a new promotion, or you notice that many people are asking for information that is not currently addressed in the casebase, then it is recommended that cases be added to the casebase to handle these emails. Modification of existing cases is only required if business requirements dciem it necessary. If a new type of action is added to the actionbase, it may be wise to review the ensebase to see if any of tbe cases would provide a more accurate response with respect to this new action. Another appropriate time for modifications is when a question rule in the rulebase is added, modified, or deleted. For example, suppose a new attribute, current-customer?, is added to class:case whicithas a corresponding rule that fires whenever a current customer is detected and incorporates that attribute (e.g. q:currentcustomer?) into the match scoring. lt will then be necessuy to update any cases in the caseba.se that contain references to current customers by adding the attribute-value pair currentcustomer? "Yes".

It is generally not advised to delete existingcases from the easebase. In order to get good match scores (which translates into more accurate EZ Reader recommendations), the casebase should contain at least 200-cases. If there is a rase that appears to get the highest match score oflen, but the response is incorrect for the emails being matched (but is correct for the case nettle), this case is a good candidate for deletion. Most likely, this is a rather lengthy text that contains several caminan Chase/banking related phrases and keywords.

Action maintenance

The actionbase, which can be found in the text file ez-acts.art, is similar in structure to the casebase; it contains -instances of actions belonging to the class class:action which consists of the following attributes:
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(define-class class action object .; "A" for automatic response, "R" for referral. or (actiontype) "D" for detected (e.g., informational) (action:title) only applies to referrals (values I (highest) to 4) (action:priority)

(actiontategory) :: "AUTO% 'SALES, or 'SERVICE" ;; replaced by "canned.nsr Notes database of responses (action:text)
following attributes not used, but could be for auditing purposes (date-of-creation) (time-of-creation) (date-last-modified) (time-last-modified) (author)

A case defini on then takes on the following fomi.
(make-irstance class:action mame action name

action:type CA% r, or "R7
actiontitte "fine of action" action:priority (1, 2, 3, or 4}

actiontategory fAUTO", °SALES", or "SERVICE')
action:text "text of actIon (ff any)"

The definition for the ChaseDirect standard automatic response action is:
(make4nstance class:action :name aettgalaetriSbeett4lreCtSaction:type "A" aclion:titte °Automatic Response: ChaseDfrect Info Standard." action:text "Welcome to ChaseDirectjhank you for your interest In ChaseDirect . rest of canned response .. action:category "AUTO'

For each case in the casebase, all of its specified actions must be an action found in the actionhase and in the Notes repository (database) of canned responses; otherwise, an invalid response will appear if that case is selected by EZ Reader at runtime. The reverse does not hold true, though_ You can create an action that never gets used. You may want to do this if you know future

cases will use that actMn. The exam* below shows exactly
where to specify así action MITELC:

(make-instance class:case :name case999 number-key 999 tide thaseDirect and merger inquiry; auto respond." subject "ChaseDirecr

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descnption "I am interested in ChaseDirect. Please send
me more information about banking online. I am also concerned about the merger between Chase and Chemical Banks. How will this affect your products and services?"

actions (create$ action:auto:menger actiorrauto-chase-direct-std) merger? -Yes"

To insure the accuracy of action names referenced in a case, it may be helpful to mark&copy the action name from the actionbase, then paste it into the case, thereby reducing typos. Additions, modifications, and deletions of actions are necessary whenever business changes require them. For instance, at one time, emails referencing investments were marked as a detected action only, then later, Cha.seDirect created an automatic response for that type of email. In that case, the action:detectinv.estrnent was changed to action:auto:Investment with appropriate action:type , action:title, and action:text changes. Remember that modifications can simply be viewed as an addition plus a deletion.

Action Categories and Priorities
There are three general types of actions EZ Reader recommends:

I. A=Automatic: no manual review necessary R=Referrak needs manual review DnDetected: EX Reader found some information in the email currently being processed which-matches a prespecified keyword, phrase, or numbering scheme.
Furfiaermore, referred emails are classified into one of 2 categories with one of 4 priorities. These are shown in Table 5 below:

Table 5: Referral categories ami ptiorities

1

2 3
4

FraudfLostrStolen Cards bISblet (current promotion) Sensitive info, do not respond Fultifitnent lets Misc. service (specific person Misc. salsa (foreign, multiple referenced) questions, lengthy) Cpmments/FYI None

41

JPM00002

CONFIDEN I !AL
EL Reatie:- Use(s Ge,de ard Reieranre Manua!

In the actionbase, the general naming convention for refened actions is:
actIon:refer:CATEGORY{SERV10E,SALES}:PRIORITY:{1,2,3,4}

For example, the name of the action corresponding to lost ATM o,r cre,clit cards is action:refer:service:priority:1_ This categorization scheme will aid CSRs in quickly corning to an appropriate response for the cunera email.

The current set of actions is listed in Tableó below:

Table 6: Action Codes

"-AI"ttnAtit:"Ite-

.;15/9?:,:kSf-1-2,k-i.!:

'AD-OS.63'6a,

-P?--AS:Witst-fakian-

--

ACTION:AUTO:CHASE-DIRECT-MAC ACTION:AUTO:CHASE-DIRECT-&D ACTION:AUTO:INVESTMENT ACTION:AUTO:MERCER ACTION:AUTO:SENSMVE-WARNING ACTION:AUTO:SIGN-UP-ACK ACTION:DETECT:ADIDRESS ACTION:DETECT:DO-NOT-CALLCUSTOMER ACTION:ID CT:FAX ACTION:D J hCT:FOREIGN ACTION:DETECT:INVESTMENT ACTION:DETECT:NIS-MONEY ACTION:DETECT:MS-NETWORK ACTION:DETECT:PERSON-REFERENCED ACTION:DETECT:PHONE, ACTION:DETECT:QUICKEN ACTION:DETECT:SENSITIVE ACTION:DETECT:VVIN95 ACTION:NONE ACTION:REFER:PRIORITY:4 ACTION:REFER:SALES:VRIORITY:t ACTION:REFER:SALES-PRIORITY:2 ACTION:REFER:SALES:PRIOREM3 ACTION:REFER:SEFtVICEPRIORITY:1 ACTION:REFER:SERVICE:PRI0RITY:2 ACTION:REFER:SERVICE:PRIORITY:3 REFER:CANCEL-ACK

standard brochure for Macintosh customers standard brochure Intermark:Ir. aboutinvestments information about the Chase/Chemicat merger warning message for emails containing setisftive information acknowledgement message for sign-up-lilt requests a mailing address was included in the email customer requests NOT to be called by phone
.

a fax number was included in the email foreigri customer investment inquiry in email email enittains a reference to MS Money email carne from MSNET a specific CheseDirect employee was referenced a phone number was Indluded in the entail email contains a 'reference to Quieken email contains sensitive infewmatIon email references Wing5 no response necesSary comments/thank yous MSNat erriail forrns Fulfillment kits misc. sales (foreign, multiple questions, lengthy or no good recommendatiOn)

lost/Stolen Mama card
ernag contains senshive information misc. service (specific person referenced, problem that needs resolution) aclmowledgement message for a requeSt for cancel/alien of bank services acknowledgertient message telling sender that the email has been forwarded for further review

REFER:FOLLOW-UP-ACK

42

JPM00003

CONFIDENTIAL
EZ Re.a."-fer '..fser's Caine.

and Reference Manual
REFER:PAY-ON-LINE REFER:QUICKEN-FOR-MAC

customer has.a question/problem with Pay Online sentice customer inquires about Quicken for Macintosh

It is important to remember that actions are also housed in the Notes database called EZ Reader Canned Responses, which can be found on the same server as El Reader (current MCB-NOT01). The set of actions in ez-acts,art must be the same as the set of actions found in the canned responses database.

Note that the text oía response can be modified by the business users in Rochester; it is wording only and does not affect EZ Reader_ On the other hand, if they rerwire a new action or the deletion of an existing one, then the KB team is responsible for making these updates tø the Notes database_

VIMINotes API maintenance

Incoming email messages are routed from the Internet domain (e.g., [e-mail]) to a Lotus Notes inbox (named Chase Direct-In), fi-om which El Reader continuously retrieves unread messages one at a time. The ability for one Windows-Da program to pass data to and from another is accomplished via an application programming interface (API). EZ Reader uses the vendor independent messaging (VIM) API provided by Lotus Notes as well as Notes' own API.

The El Reader interface to Lotus Notes is accomplished using the vIM API i° as well as Notes' own API. The Vendor Independent Messaging interface is an industry-standard application programming interface that provides the messaging (i.e., sending and retrieving mail) functionality provided b