IBM Advantage: IBM Watson Compare and Comply Element Classification

Transcription

1 IBM Advantage: IBM Watson Compare and Comply Element Classification Executive overview... 1 Introducing Watson Compare and Comply... 2 Definitions... 3 Element Classification insights... 4 Sample use cases... 4 Element Classification API... 4 Element Classification labels... 5 Element Classification differences from core Watson Discovery Service features... 6 API differences between IBM Cloud and IBM Cloud Private... 8 Reference architectures... 9 Discovery Element Classification on IBM Cloud... 9 Compare and Comply Element Classification on IBM Cloud Private Product recommendations Limitations...13 Security...13 Management and maintenance...14 Deployment considerations...15 The right cloud platform...15 Robust ecosystem References...16 Executive overview Thousands of people write governing legal documents that apply to a litany of situations in various industries. To understand this content, organizations employ professionals to analyze every sentence and make educated guesses on how the content affects their client. Tools that are currently in the market help clean up documents and data. Cognitive Copyright 2018 IBM Corporation 1

2 technologies can help guide and grow professional expertise through evidence-based learning. You can quickly discover important elements of governing documents in the public IBM Cloud through Watson Discovery or in IBM Cloud Private with Element Classification. Element Classification analyzes the content of governing documents (such as procurement contracts) to significantly reduce the time and effort required to review contracts, make edits, and identify legal risks. The service analyzes the content of governing documents, making sense of the specifics of a document who it pertains to and what kind of statements are within. Watson Discovery gives you the ability to query the parsed semantic elements of a governing document and to locate relevant sections and passages. You can search and discover across collections of governing documents to easily find documents of interest and discover new insights. Pre-trained APIs help enable Watson Discovery Service to deliver market-leading semantic extraction of contracts with Element Classification enrichment. The goal of Element Classification is to empower the users who experience daily challenges working with long, complex legal documents and procedures to chain together actions, training, and interfaces and to create solutions that work for them. Introducing Watson Compare and Comply Across industries, the workload of legal, procurement, and regulatory professionals is growing and becoming more complex, which can result in increased maintenance and compliance costs. IBM Watson Compare and Comply augments human intelligence by extracting the semantics within governing documents such as contracts. This can help these professionals better understand the governing documents, making them more effective and efficient. By quickly identifying the responsible parties, types of actions required, and categories included in the governing documents, Watson Compare and Comply can help improve professionals' ability to do analysis and reviews. The first release of Watson Compare and Comply is the Element Classification capability. This paper uses the information and reference architectures described in the IBM Advantage for Cognitive Discovery Architecture paper to describe the Discovery Element Classification enrichment feature of Watson Discovery Service in IBM Cloud. However, on IBM Cloud Private, the Element Classification capability is a standalone API known as Compare and Comply Element Classification. The differences are discussed later in this Copyright 2018 IBM Corporation 2

3 paper. You should read the IBM Advantage for Cognitive Discovery Architecture paper before proceeding. Definitions Digital PDF Scanned PDF IBM Cloud Private Watson Discovery Service Watson Knowledge Studio Governing documents Element PDF is Portable Document Format, an open standard for viewing and printing documents. Digital PDF refers to a non-scanned document. Each element on the page is captured distinctly. Text is stored as text, although the flow of text might need to be surmised because it is positioned using drawing commands, not semantically. A scanned PDF is one that is image based. These are typically created page by page with a scanner or camera and assembled into a single PDF document. Text is not stored as text but as part of the image. IBM Cloud Private is an on-premises software stack developed by IBM. It supports multiple underlying technologies such as Kubernetes and Cloud Foundry. It provides a way to deploy modern cloud-based applications on-premises within a secure enterprise data center. Watson Discovery Service is a cognitive search and content analytics engine. It unifies structured and unstructured data with pre-enriched content and uses a simplified query language to eliminate the need for manual filtering of results. Watson Knowledge Studio is software as a service that allows a team to teach Watson the language of a domain with custom models that identify entities and relationships unique to an industry, in unstructured text. Governing documents are documents, such as contracts, that use legal language to describe agreements between two or more parties. Within the scope of Watson Element Classification, an element is a sentence. An element may be classified using one or more of the classifications supported by the system. Copyright 2018 IBM Corporation 3

4 Element Classification insights Users can gain insights from Element Classification in two ways: 1. Users can view an individual governing document and focus specifically on classifications in which they have an interest. For example, you could view only clauses related to intellectual property. This could allow you to focus on the document aspects related to your work and thus use your time more efficiently. 2. Users can query across a collection of governing documents for concepts that occur across the collection. For example, you could search for all documents that have a warranty clause and a contract created after a given date. With this capability, you could validate those warranty clauses against a standard or identify the contracts that need amendments for a new warranty standard. Sample use cases 1. View annotations for a governing document. Reduce the amount of time it takes to review a document by quickly focusing on the parts pertinent to your tasks. 2. Search a repository of governing documents by element classification (party, nature, category), metadata, and keywords to find documents related to your tasks. For example, you could find all the governing documents in your human resources collection that have a warranty clause and were created in the last year. 3. Track clauses for the contract activities under execution and violation of clauses. Derive clause patterns from contract documents and map to their respective activities for further monitoring and fulfillment of contracts during their enactment. 4. Organizations often have archives, files servers, or collaboration shares like SharePoint that are not well organized and contain thousands of documents, some of which might be contracts or might be related to a legal matter. These documents might not be named in obvious ways or have metadata that makes it simple to know what the content is. By creating a custom model based on Element Classification to identify and separate contract and legal documents from archives and file stores, organizations can harvest useful files for reuse and better support destruction of files under their compliance policies. Element Classification API The Element Classification API is comprised of two main capabilities, PDF conversion and natural language processing (NLP). PDF conversion Converts to HTML and to plain text. Copyright 2018 IBM Corporation 4

5 Identifies structural elements including lists, list identifiers, sections, sub-sections, headers, footers, and more. Leverages 10+ years of IBM Research innovations to improve extraction, including table identification and extraction. Includes supervised and unsupervised training on extensive document corpus, some domain-specific and some not, using a PDF-specific data science and quality governance process. Natural language processing Trained in specific industry sub-domain: procurement service agreement contracts. Leverages multiple algorithms from IBM Research with a detailed reconciliation process balancing results cross-algorithm. Supervised and unsupervised training on extensive corpus of domain-specific documents using an NLP-specific data science and quality governance process. Element Classification labels The natural language processing feature of Element Classification enriches governing documents with several types of annotations: The following are examples of Element Classification labels: Parties array o Party the text that was identified as a party in the document (for example, company name) o Role the specific role of the party that has been identified Buyer User Supplier None Nature (type of element) Copyright 2018 IBM Corporation 5

6 o Definition o Disclaimer o Exclusion o Obligation o Right Category (specific class) o Amendments o Confidentiality o Definitions o Force majeure o Indemnification o Liability o Payment terms and billing o Pricing and taxes o Responsibilities o Term and termination o Warranties o And more The Element Type is the combination of Nature and Party, which are always paired together in a classification. Examples are Supplier Obligation (Supplier is the Party and Obligation is the Nature) and Buyer Right (Buyer is the Party and Right is the Nature). An element may contain a Type classification, a Category classification, neither, or both. An element will never contain a Party without a Nature, nor a Nature without a Party. Element Classification differences from core Watson Discovery Service features Document types Although Watson Discovery supports PDF, Microsoft Word, and HTML as input documents, Discovery Element Classification supports only digital PDFs; it does not support images or scans at this time. The PDF file size is limited to 50MB. Annotations Although Watson Discovery Service annotations are restricted to the first 50K characters of input, Discovery Element Classification will annotate the entire document, up to the 50MB limit. When you upload a collection of documents, the configuration is set to Default Configuration. By selecting Default Contract Configuration from the dropdown menu, Copyright 2018 IBM Corporation 6

7 the service is configured to parse through the contracts ingested and to classify terms and clauses. Although Watson Discovery Service annotates the plain text version of a document, Element Classification annotates the HTML version of the document and provides the corresponding offsets. Typical Watson Discovery Service annotations are provided on words and short phrases, but Element Classification classifies on a sentence-by-sentence basis. The annotations are for an entire sentence and are not broken down further. Element Classifications can be combined with NLU annotations, using the default model (news) and custom models. However, note the difference in annotations between plain text and HTML. Training No training is required for Element Classification. Watson Discovery Service allows you to create custom natural language models using Watson Knowledge Studio. You can also create them for governing documents. However, the elements classified by Element Classification are pre-trained and ready to use by default. The Element Classification enrichments are limited to the set described in Element Classification labels. If you have a business need for additional enrichments of your governing documents, you might find it useful to train a custom natural language model for your governing documents. If you want to create custom natural language models using Watson Knowledge Studio, follow these steps: 1. Train a model in Watson Knowledge Studio using a representative sample of documents and creating training data. 2. Within Watson Knowledge Studio, deploy the model to Watson Discovery Service. 3. Associate your deployed model to one or more Watson Discovery Service collections using a configuration. The configuration should also enable the Element Classification enrichments. 4. Ingest governing documents into your collection. The documents are enriched with your custom model and with Element Classification when they are ingested. Get more information about creating custom models in Watson Knowledge Studio. Copyright 2018 IBM Corporation 7

8 Get more information about integrating Watson Knowledge Studio with Watson Discovery Service. Search By default, Element Classification stores its results under the enriched_html JSON tag. If you are searching on elements, you should search under this JSON tag and not under the entities tag where the base Watson Discovery Service enrichments are stored. Effort Watson Discovery is available as a cloud-based service and can be used immediately. The Element Classification capability is available at no charge for a limited number (500) of annotations using the Watson Discovery Service Lite plan. You can upgrade to a paid Advanced plan to process more Element Classification enrichments. Using Discovery, you can get started quickly, since it is a cloud-based service and can be provisioned in minutes. Using the on-premises Watson Compare and Comply solution requires an IBM Cloud Private environment, which is installed and configured within an enterprise data center. If you already have an IBM Cloud Private environment, you must purchase and deploy Watson Compare and Comply for IBM Cloud Private before you can get started. After this, the effort involved is similar between the IBM Cloud and IBM Cloud Private offerings. API differences between IBM Cloud and IBM Cloud Private The Element Classification API is somewhat different between IBM Cloud and IBM Cloud Private. In IBM Cloud, Element Classification is part of Watson Discovery Service, but the API is standalone in IBM Cloud Private. Discovery Services are not supported on IBM Cloud Private at the time of this writing. IBM Cloud Multiple calls are required. The first call to ingest the document is asynchronous, meaning that once the file is uploaded, the request completes. Meanwhile, the document is still being processed on the server and another API must be called to determine when the processing is complete. Finally, a third call is required to fetch or query the document. Watson Discovery Service provides a content store and search capability. Watson Discovery Service also provides the optional capability of default News model annotations and custom annotations trained with Watson Knowledge Studio. IBM Cloud Private The API is synchronous. With a single call, you upload your document, it is processed, and the results are returned. Results are not stored. Because Watson Discovery Service is not Copyright 2018 IBM Corporation 8

9 available on IBM Cloud Private at this time, there is no storage and there is no search capability pre-configured. Also, there are no Watson Discovery Service annotations (base News model) nor any custom annotations trained with Watson Knowledge Studio. Reference architectures Discovery Element Classification on IBM Cloud In the IBM Cloud, Element Classification is a feature of the Watson Discovery Service. It is an additional set of annotations that can be used to enrich governing documents. The existing Watson Discovery Service reference architecture can also serve as the reference architecture for Discovery Element Classification. The following diagram depicts the architectural components recommended to build an application leveraging the Element Classification feature of Watson Discovery Service on IBM Cloud. Copyright 2018 IBM Corporation 9

10 The following flows describe how a user could view the annotations of a governing document using Watson Discovery Service on IBM Cloud. User runtime flow 1. User enters a search query through the web application using concepts or terms related to governing documents. 2. Connectivity from the enterprise network to the cloud is secured through VPN and edge services, which consists of domain name server, CDN server, firewall, and load balancers. This group of services handles the request and gets it to the right destination securely. 4. A custom developed discovery application orchestrates all the business flow and internal API calls to the discovery service. 5. The discovery service configured with the Element Classification enrichment processes the query and returns the results to the discovery application. 6. The discovery application visualizes the results for the user. 7. The user can view the annotations for governing documents provided by the Element Classification capabilities of Watson Discovery. Data collection flow 1. In the back end, internal content is ingested from various enterprise content repositories through the Watson Discovery Service Data Crawler, Watson Discovery tooling, or a custom application using ingestion APIs. 2. External content can be ingested through a custom application using ingestion APIs. 3. All content is stored and enriched with cognitive data, including governing documents enrichments, within collections. For further details, see The IBM Advantage for Cognitive Discovery Cloud Architecture. Compare and Comply Element Classification on IBM Cloud Private The following diagram depicts the architectural components recommended to build an application leveraging the Element Classification API on IBM Cloud Private. Copyright 2018 IBM Corporation 10

11 The following flows describe how a user could view the annotations of a governing document using Element Classification on IBM Cloud Private. Ingestion flow 1. The data crawler running in the enterprise data center is connected to the enterprise data source and invoked. Invocation can occur manually or be scheduled. 2. The crawler crawls the enterprise data source for governing documents in PDF format. 3. The crawler uploads the discovered governing documents for processing. 4. The transformation and connectivity service performs any operations such as inserting metadata or document scans. It then forwards the documents to the orchestration service running in IBM Cloud Private. 5. The orchestration service receives the governing documents and sends it to the Compare and Comply Element Classification API. 6. The Compare and Comply Element Classification API receives the PDF, converts it to HTML and annotates the contents. The results are returned in a JSON format. Copyright 2018 IBM Corporation 11

12 7. Orchestration receives the JSON results from the Compare and Comply Element Classification API and forwards them to the data microservice. 8. The data service sends the results to the NoSQL database for storage. 9. The NoSQL database persists the results. Because the content is JSON, no transformation is required. User flow a. The orchestration service running in IBM Cloud Private serves the user interface. The user logs in to the user interface and invokes a command to search or view governing documents from the application. A request is sent to orchestration. b. Orchestration receives the request and forwards it to the data microservice. c. The data microservice makes a query to the NoSQL database. d. The NoSQL database runs the query and returns the results. e. The data microservice receives the results and returns them to orchestration. f. Orchestration returns the results to the user interface. g. The user interface processes the results for display to the user. h. The user views the annotations for the governing documents. Product recommendations The following products are recommended to use in the implementation: Component Description Product Data crawler NoSQL database Transformation and connectivity Crawls document repository, such as file system or SharePoint, and sends files to orchestration for processing. Storage for results of processing. NoSQL is recommended because the results from Element Classification are JSON. Includes scalable messaging and transformation and secure connectivity. Custom on IBM Cloud Private Discovery Data Crawler on IBM Cloud IBM Cloudant, Mongo DB, Watson Discovery Service IBM Integration Bus container, IBM DataPower, IBM API Connect, IBM Secure Gateway Copyright 2018 IBM Corporation 12

13 Data microservice Orchestration Element Classification Edge services Provides REST API access to the underlying NoSQL database. Provides REST API access to application. Coordinates control flow of information. Analyzes the content of governing documents, making sense of the specifics of a document. Includes services needed to allow data to flow safely from the Internet. IBM SDK for Node.js, IBM Liberty for Java IBM SDK for Node.js, IBM Liberty for Java Compare and Comply Element Classification on IBM Cloud Private Watson Discovery Service Advanced with Element Classification on IBM Cloud DNS, CDN, firewall, load balancer Limitations At the time of this writing, the following limitations exist: Element Classification is trained on one document type: procurement service agreement contracts. The service therefore performs best with similar governing documents. The only input format accepted is digital PDFs. Scanned PDFs are not supported. However, scanned PDFs can be pre-processed using OCR software and then sent to the service. The documents must be single column, contain no images, and must not be security enabled PDFs. Any tables in the documents are identified but the content within is not analyzed. File size is limited to 50MB. Security All information sent to IBM Cloud APIs is encrypted in transit using TLS 1.2. Information stored on IBM Cloud is encrypted at rest. API authentication and authorization is controlled Copyright 2018 IBM Corporation 13

14 by API keys generated and managed by an administrator for the client s IBM Cloud account. Administrator and user access to IBM Cloud accounts can be controlled using IBMid or through federation to a client s enterprise LDAP. If IBM Cloud Private is used, then IBM Cloud Private must be properly configured to enable both encryption in transit and encryption at rest. Encryption at rest on IBM Cloud Private is enabled by the underlying persistent volume. Administrator and user access for IBM Cloud Private is controlled by IBM Cloud Private user management, which can be backed by the client s enterprise LDAP. Management and maintenance Several aspects of the system need to be managed and maintained: Users and groups with access to the system API keys Documents Users and groups are typically managed in the enterprise LDAP and access is controlled using roles assigned to users in the application logic. This could occur in the orchestration component. API keys are managed by an administrator and provide the system access to APIs, such as the Element Classification API. On IBM Cloud, the API keys for the Element Classification feature are managed by Watson Discovery Service. Documents are crawled or uploaded by a user and then processed by the system. In the proposed architecture, the results of the processing, and the original file, are stored for use by the application. Documents must be managed in case of changes when a document changes, it must be re-crawled or re-uploaded to the system. You could avoid management of documents by storing documents in a central shared repository and processing them on demand. However, this precludes users from uploading their own documents and it requires strict use of central shared repository. Furthermore, users must wait until processing completes before they see the results. Copyright 2018 IBM Corporation 14

15 Deployment considerations As stated earlier, the critical success factor for creating successful cognitive discovery solutions is a secure, user friendly cloud platform. The cloud platform provides capabilities for actionable insights. IBM Cloud includes cognitive services across their cloud deployment options. Here are some of the important considerations for deploying cognitive systems: Isolation o The Element Classification feature of Watson Discovery Service is available in public IBM Cloud. o Compare and Comply Element Classification is available on IBM Cloud Private. Privacy o Securely explore your isolated content. Content is encrypted at rest and in transit. o On IBM Cloud, access is controlled by API keys managed by your IBM Cloud administrator. o On IBM Cloud Private, control access to your content locally. Region and language support o Currently Element Classification is available in English. Performance and scalability o Watson Discovery Service Advanced Edition on IBM Cloud includes: Up to 1,000,000 documents per month 80 GB of storage 100 Collections 500 Element Classifications per month included 5,000 query expansions with 25,000 total terms Additional plans are available o On IBM Cloud Private, a minimum of 2 virtual processor cores is required for the Compare and Comply Element Classification API. The right cloud platform To create an efficient cognitive environment, your enterprise-grade cloud platform must be built on a data-first architecture that gives you the choice between using a public, private, or proprietary hybrid architecture. The cloud platform must be user friendly and created with scalability and resiliency in mind. Copyright 2018 IBM Corporation 15

16 The IBM Cloud platform can give enterprises: Control over where the customers data resides. A level of security that enables the secured movement of content from other cloud providers and customers existing data centers into the IBM Cloud platform. Capabilities to encrypt and store data securely. Capabilities for secured access of information and systems. IBM Cloud is an industrialized cloud, which enables integration between data and applications and also between public, private, and proprietary clouds. IBM Cloud is an industry-centric cloud, offering capabilities designed for industry-specific data or content and regulations. This gives you broad variety in the information available to Watson Discovery Service for use in creating collections. IBM Cloud provides 120+ services and includes Watson APIs, services, and software that help you enable your business. Robust ecosystem Your business ecosystem plays a major role in the successful transition to a cognitive business. Watson services can be strengthened by content captured in the peer cloud of companies that have instrumented the physical world to create a robust ecosystem for solving business challenges. Here are a few examples of how Watson services can be used in conjunction with ecosystem partners to gain insights into data: Content captured by car manufacturers can be used with IBM Watson services to provide car-related information to drivers and for self-driving cars. Content captured by health-monitoring devices like blood sugar monitoring devices can be used to give doctors recommendations about changes in medication or to remind patients to take medication at the right time. References The IBM Advantage for Cognitive Discovery Cloud Architecture The IBM Advantage for Implementing the CSCC Cloud Customer Reference Architecture for Internet of Things (IoT) ISO/IEC 17788:2014 Information technology -- Cloud computing -- Overview and vocabulary ISO/IEC 17789:2014 Information technology -- Cloud computing -- Reference architecture Copyright 2018 IBM Corporation 16

17 IBM Watson Discovery portfolio o IBM Watson Discovery o IBM Watson Knowledge Studio o IBM Watson Natural Language Understanding Using Element Classification feature of Watson Discovery Cognitive discovery reference architecture IBM Cloud catalog Cognitive glossary Copyright 2018 IBM Corporation 17