Email & E-forms Management

Reduce Risk, Prepare for

E-Discovery, and increase the productivity of your

employees

CFMA July 2009

Presented by Carol Hagen, MBA

of Hagen Business Systems Inc

Objectives

Email Challenges Defining Email Archiving Technology Approaches to Archiving Governance & E-Discovery E-Forms Overview Backups & Archiving

Exposure

Email is still out of control, with 55% of organizations having little or no confidence that important emails are recorded, complete and retrievable.

Management of content types like SMS/text messages, blogs and wikis are largely off the corporate radar in 75% of organizations and their lack of inclusion in the corporate archive is a major risk.

Email Stats

On average, employees spend more than an hour and a half per day processing their emails,

with one in five spending three or more hours of their day. Every person in your organization spends 182 hours per year looking for lost electronic files. Fix that, and you’ve seriously improved your productivity.

Manual Classification: The Five Second Rule

Employees will spend up to five seconds manually classifying documents

Average documents per employee:150 messages, 25 files per day

Time component 175 documents per day X 5 seconds per document x 5 days per week = 1:12 hour per week per employee

Will employees retain seemingly hurtful documents?Assurance and defensibility of compliance

Information Retention

“70% of an average organization’s

intellectual property resides in email messages and attachments.”

ESG Research 2005

What would you say are the 3 issues of most concern in your organization at the moment regarding emails?

© AIIM 2009, www.aiim.org

SharePoint

Outlook PSTs

Gmail

Third Party Archive

Backups

Exchange Server

Where is your e-mail?

What is Email Archiving?

– Providing a system to efficiently keep a copy of all inbound, outbound and internal email messages

– Adding the ability for end users to quickly and easily search their own archives

– Adding the ability for administrators (HR, Legal…

etc.) to quickly and easily search the entire archive

Why Archive? A Vicious Cycle of Volume vs. Control A Vicious Cycle of Volume vs. Control

Increasing storage and back-up costs

Users forced to manage quota

Quota management often results in

growing PSTs (Outlook auto-

archive)

• PSTs difficult to discovery centrally

• Regulatory retention

schedules contribute to

further volume/ storage issues

The problems with PSTs Compliance, cost, reliability Compliance, cost, reliability

IT Pro • Litigation hold can’t be enforced• PSTs cannot be easily discovered • Lost laptop results in exposure of PSTs• Backup/Recovery cost prohibitive

End User • Accessible on local machine only• Can’t get to PSTs when needed• PST corruptions increase on network share• As PSTs grow, stability lessens (>5GB)

Why should I Archive Email?

Volume • As data volume grows, Outlook performance compromised• Mailbox quotas control volume but also encourage PSTs• PSTs add to further performance/management issues

Why Archive E-mail? Key drivers

Retention • Compliance adds to volume challenges • Regulations mandate specific retention periods for

relevant email (SOX = 5 years, SEC rules = 6 years, HIPAA = 5-6 years)

Discovery • Manual retrieval costs can be HUGE (backup tapes, PSTs) • FRCP Amendments (US) place strict timelines on

discovery• Amendments cover all email from all sources, including

PSTs

Legal Discovery

FRCP (Federal Rules of Civil Procedure)– Adopted in December 2006– Require production of all requested

electronic information within 90 days Completeness and cost

– Nothing deleted, lost, or changed– If all your email is in the archive, you

shouldn’t have to do desktop discoveries

Timeliness– You can search across your entire

archive and export all emails to a file in about a minute

Best Buy Stores vs. Developers Diversified Realty Corp.

Developers Diversified said that they did not have the resources to find all the required materials. In response, court ordered them to produce materials from 345 backup tapes in 28 days at an estimated cost of nearly $500,000 not including attorney fees

Cases:

How Quickly Must You Prepare?

“CIO Strategies for the Retention and Deletion of Email”, MessageOne

Determine the Goals of the solution

Operational Efficiency Storage/Management Costs Security/Compliance

-then prioritize as email has many moving parts

Information Week, June 23, 2008

Implementation Models

Application Server (EMC, Symantec) Hosted (Google aka Postini, MessageOne) Appliance (Arcmail, Barracuda, Mirapoint) Client/Plug-In (search within email client)

- Some providers offer several implementation models

Gather Requirements

•Gather, identify & validate requirements

•Business requirements-problems to be addressed

•Functional requirements

•Technical requirements

What requirements do you need?

Search including full text in attachments? Legal Hold Export of search results in non-proprietary electronic form Deduplication - Single instance storage Compression Eliminate PSTs Web search and/or search from within Outlook screen Deleted email - user retrieval without tech support Instant Messages Platform other than Microsoft Exchange?

EMC SourceOne Family

Family designed for integrated content archiving and eDiscovery support across content types that provides proactive information management to…

Enable good information governance and litigation readiness

Reduce time, cost, and risk of eDiscovery; create repeatable discovery processes

Improve operational efficiencies of production systems

Improve content reuse for general business purposes

EMC SourceOne Products

EMC SourceOne E-mail ManagementProvides all core e-mail archiving capabilities for Microsoft Exchange, IBM Lotus Notes/Domino, and Instant Messaging

EMC SourceOne Discovery ManagerProvides discovery search and secure Legal Hold of e-mail found in EMC EmailXtender V4.8 SP1 and EMC SourceOne archives

EMC SourceOne Compliance ArchiveProvides advanced retention, security, and search; incorporates archived content into enterprise content management (ECM) processes

Application Server, Robust Enterprise Solution

Hosted – Google Gmail & Postini

After what period are your emails automatically deleted?

© AIIM 2009, www.aiim.org

Search an archive demonstration

What about Exchange 2010?

Coming in late 2009 with “Archiving Feature” Requires you to replace your Exchange Server

Hardware ‘personal archive’ - not as ‘business archive’ solution No records management and preservation of

electronic information beyond Exchange No case management in eDiscovery Can’t locate and ingest your PST files in your

network beyond the file server

As regards litigation procedures, which of the following would apply to your organization?

© AIIM 2009, www.aiim.org

Adobe Acrobat – Electronically fillable form Perfect Forms – Web-based forms with

workflow and integration (API also available) Formatta: Electronic Forms Designed for

Distributed Capture, Workflow, and Data Entry Automation

E-Forms

Interesting Numbers

$360 Billion (Gartner)– The amount of money spent extracting data from forms

$60 Billion (AIIM)– The amount spent by organizations on printed forms

$30-$150 (Gartner)– The amount spent processing a paper form for every dollar

spent producing it. 35%

– The number of incomplete or incorrect paper forms submitted by users

48

Web-based vs. Server Based75% abandonment rate - online forms95% of web forms cannot be saved, signed,

submitted electronicallyGartner: “… infuriating…”Formatta: “Data Rage”

Formatta Corporation

THE FORMS PROBLEM - User Perspective:

What are E-forms?

Electronic version of documents that collect data from end users

They are the front end of most business processes

Forms can be thought of as

the end user interface to

most applications

Construction Market Challenges

• Remote, decentralized operations• Frequent collaboration with third-parties (sub-contractors,

customers)• Ever-changing job codes• 90% of forms are hand-written (illegible, incomplete)• Frequent errors on forms• Slow cycle times• IT constraints

• Small budgets• Minimal systems infrastructure• Minimal computer skills• Limited expertise• Lack of mobile computing

51

PerfectForms

A do-it-yourself web application development tool. Build your own web applications in hours instead of months.

• Web-based • No coding required • No database management required• Integrates with your existing systems• Create Forms. Route and Track them. Then design dynamic reports.• Use it on demand or host it on your own servers

It’s simple to use workflow software.

Step 1 Step 2 Step 3 Step 4

Build the Forms

Add Intelligence

DefineWorkflow

CreateReports

Constructing a Workflow Process

How Does it Work?

How Does it Work?

Step OneDesign a Form

Step TwoDefine Behaviors

Step ThreeDescribe Workflow

Using our intuitive drag-n-drop forms design editor

Add intelligence to your form through definition of behaviors, which determine how your form will respond to user actions

Layout your workflow with this tool. Define how forms route and how notifications are sent.

How Does it Work?

Step FourDesign Reports

Step FiveLaunch it – No Coding!!!

Monitor your processes using an advanced reporting tool. Reports are live and dynamic.

Once the forms, behaviors, workflows, and reports are constructed. Launch your application. No coding required.

Form Design Features

Drag-n-drop objects from the toolbox to construct your form. Things like text boxes, buttons, checkboxes, drop downs, tables, lists, etc. Embed the form into existing web pages.

This four page application can be used for employees to obtain approval for days off work. It has a database look-up to automatically populate the manager of the employee who is making the request. You can either remove the 'find my info' button or create a simple database to query.

Behavior Features

Define the way that your form behaves like calculations, branching logic, or defining required fields. You can hide or show different fields based upon the users permissions. For example, a manager may want to read or write into certain fields that he/she wouldn’t want others to see or be able to change. Integrate with existing systems.

Workflow Features

Layout your workflow with this tool. Define how forms route and how notifications are sent. Integrate with your existing databases, web services, and other systems.

The project management application consists of 8 pages and includes a complex workflow. It is designed for managing projects from RFP through estimating, pricing, contract award, management, invoicing and project close. It demonstrates many input objects including text fields, radio buttons, check boxes, drop downs and file attachment. It shows how behavior functions operate, like notifications & escalations.

Reporting Features

Design comprehensive reports that monitor your processes using an advanced reporting tool. Reports are live and dynamic. You build with the same drag-n-drop editor. You can report on multiple processes. Use to build web pages and web portals. Great for surveys!

More than just an electronic version of a paper form, Formatta quickly captures, verifies, and moves data where it’s needed most—the critical business systems you use to run your organization.

Deploys in days.

Easy to use, requiring minimal training. 

A fraction of the cost of alternative approaches.

63

Data Capture Challenges: Timesheet

• Illegible handwriting• Coding errors and missing data• Difficult to disseminate code updates out to the field• Manual review and correction of timesheets at each stage

of process• Submission delays (FAX, mail, interoffice envelope)• Manual re-keying of data into Time & Attendance system

(keying errors)• No visibility into timesheet approval or payment status• No electronic record keeping

64

Current Timesheet Form

•Old Paper forms

•Signature

•Fax, Mail, forms in HR

•Too many people

•Changing task codes

•No data tracking

•Sub contractors

•No Management oversight

65

Current Timesheet Data Collection Process

Manual timesheet completion and FAX transmission to Project Manager.

Field

Timesheet review, corrections, approval, and FAX transmission to HR

Regional Office HQ

Review, approval, signature.

Final review, approval, signature and payment.

HR AdminProject Manager Controller

Addt’l error checking, and correction. Manual data entry into Time & Attendance system.

HQ HQ

ForemanEmployee HR Manager/Payroll

Pro

cess

Pro

cess

Pro

ble

ms

Pro

ble

ms

- Wrong codes-Missing data / empty fields-Transmission problems-No submission policies- Foreign language

TimesheetSystem

TimesheetSystem

PaymentSystem

CYCLE TIME 7-14 days

- Delayed receipt- Illegible

handwriting- Must FAX back to

foreman / employee for corrections

- Delayed receipt- Illegible

handwriting- Must FAX back to

project manager for corrections

- Arduous and slow data entry with keying errors

- Assumes interface between Time & Attendance systems and Payment system.

- Assumptions about all prior error checking and updated codes are often wrong.

66

Formatta Timesheet Form

67

Database query Employee with Formatta Autofill

Employee lookup

Task code connectedto database (acctg)

FasterAccountabilityData TrackingReduces mistakes

Integration with other Business critical systems

Email integrationDigital SignatureStatus

Formatta Timesheet Data Collection Process

Automated / assisted timesheet completion.

Field

Automatic receipt for review / approval.

Regional Office HQ

Review, approval, signature.

Final review, approval, signature and payment.

HR AdminProject Manager Controller

Automatic receipt for review / approval.

Data automatically integrated into Time & Attendance System.

HQ HQ

ForemanEmployee HR Manager

Pro

cess

Pro

cess

Ben

efit

sB

enef

its

- Ensures accurate and complete data

- Electronically submits information

- Supports foreign languages

- Enforces submission policies

TimesheetSystem

TimesheetSystem

PaymentSystem

CYCLE TIME 3 days

- Eliminates error correction

- Automates receipt- Accelerates

approval

- Eliminates error correction

- Automates receipt- Accelerates

approval- Integrates directly

into Time & Attendance System

- Eliminates error correction

- Accelerates approval

- Eliminates error correction

- Accelerates approval

68

Formatta Timesheet Benefits

• Streamline and centralize timesheet data collection• Eliminate dual data entry• Maximize data accuracy / Reduce time verifying and

correcting errors• Track status of unapproved timesheets easily• Provide audit trail for accountability and compliance• Establish a central point of collection and repository for

timesheets• Reduce FTE’s

69

Data Capture Challenges: Subcontractor Pre-Qualification

• Serially e-mailed among multiple parties at sub-contractor for completion, e.g., inability to process form simultaneously by multiple parties

• Coding errors and missing data, follow-up is often required

• Information from application manually entered into LOB system

• Application manually evaluated and processed

• No central visibility into process / approval status

• Average cycle time: 2+ weeks

• Full Time Employees: 2

70

Current Subcontractor Pre-Qualification Form

•Missing required data

•Multiple parties involved, form is emailed around

•Coding errors

•No visibility into process/approval status

•Additional paperwork are manually attached

•Data is entered manually into critical LOB systems

71

Pro

cess

Pro

cess

Current Subcontractor Pre-Qualification Process

Subcontractor Subcontractor

Finance

OperationsContracts Administrator

- Download pre-qualification application (MS Word) from General Contractor website and begin to fill out.

-Sections of pre-qualification application are completed by different departments and emailed to next department for completion.

- Completed application is emailed to General Contractor

-References complete reference forms (MS Word) and email back to General Contractor administrator.

- General Contractor administrator sends thank-you emails to references.

- Reviewed for completeness and accuracy. In 80% of cases, General Contractor contacts subcontractor to gather missing data.

- Reference forms (MS Word) are emailed to customers and banks that have been identified by subcontractor as references .

Legal

General Contractor

Administrator

Finance

Operations

Bank

Customers 1 - 4Administrator

General Contractor

72

Current Subcontractor Pre-Qualification Process- cont’dGeneral

ContractorGeneral

Contractor

Data EntryAdministrator

- Administrator emails pre-qualification application (MS Word) and references (MS Word) to data entry clerk.

-Data entry clerk inputs information from MS Word files into LOB system.

- General Contractor legal and finance departments review and score pre-qualification application.

- Notify subcontractor of application acceptance or denial via email.

Pro

cess

Pro

cess

Subcontractor

Legal

Finance

General Contractor

LOBSystem

Contracts Administrator

CYCLE TIME 2+ weeks 73

Formatta Subcontractor Pre-Qualification Form

Required data fieldsCaptures necessary information

Accurate codes through drop down list or radio buttons Reduces mistakes

Visibility into routing/approval status

Additional attachments travel with the formEliminates chances of losing paperwork

No data entry required Moves data directly into critical LOB systems

E-Forms Manager Workflow pushese-forms to users based on defined business process rules. ItStreamlines processes

Pro

cess

Pro

cess

Formatta Subcontractor Pre-Qualification Process

Subcontractor Subcontractor

Contracts Administrator

- Launches pre-qualification application from General Contractor website, begins to complete it.

-As different departments fill out sections of application, field-level validations are performed to ensure accuracy and completeness.

- Completed application submitted electronically.

- Information from pre-qualification application automatically posts to LOB system.

-Emails are automatically sent to references with a link to the online e-form they need to complete to fulfill reference request.

-References complete e-Forms and information automatically posts to LOB system.

LegalFinance

Operations

References

General Contractor

Finance

OperationsLOB System

- General Contractor legal and finance departments review and score pre-qualification application.

- Notify subcontractor of application acceptance or denial via email.

Subcontractor

Legal

Finance

Contracts Administrator

CYCLE TIME Less than a week

75

How is Archiving Different from Backups?

Backups are only a snapshot in time Difficult to retrieve emails in a timely manner Date range search often requires restoring

multiple backups No guarantee all emails are contained in

backups

Backup vs Archiving: What’s The Difference?

Backup Archiving

Operational backup and disaster recovery

Regulatory compliance and legal records retention

Copies messages Offloads messages

Multiple copies Single instances

No indices or search capabilities

Indexed for discovery and retrieval

Utilizes storage capacity Reduces storage capacity

Short retention (days or weeks)

Long retention (years)

IT responsibility Executive and legal responsibility

Combines Best of Tape & Disk

Enterprise-class removable disk storage media for data protection and

long-term archive applications

300 500 640120 16080 GBNEW inFall 2009

1TB

1TB in 2010

ProStor Systems Providing cost effective information archival

that meets compliance needs

RDX Device & Media OEM Business

InfiniVault Data Preservation System

InfiniVault – Data Preservation

What information is critical?How long must information be kept?

What is that going to cost?What are the compliance requirements?

Examples RetentionBusiness Records 7 or 10 years

Customer information Forever

Project As-Builts 30 years or forever

Personal records Forever

Emails As required (3mo – 10 years)

Documents, Email and Images

DocumentsImages, Email

ApplicationsScannersLegacy

ComplianceRetention

More documentsLarger size images

Increasing ImageStorage Demand

TechnologyObsolescence

Using InfiniVault

OffsiteRDX

RemovableDisk

Long-Term Data PreservationRegulatory Compliance

OptionalRemote

InfiniVaultRDX

Removable Disk

InfiniVault

Application Servers

Local Disk

Address capacity demands Meet compliance requirements Self-protecting storage Removable disk technology Protect from obsolescence

InfiniVault in Action

InfiniVault

Purpose 1Purpose 2Etc.

HRBusiness RecordsEtc.

StaffAdminOther

EmailBusinessGeneral

Independent Vaults - Multiple vaults with separate business and compliance rules - Protected copies made locally – may be replicated to another InfiniVault - Vaults isolated to specific RDX cartridges - May be WORM or read/write Vaults

. . .

Information to be Preserved

Online OfflineManaged

Applications e-mail, HSM, ECM, PACS,

System Utilities

Applications e-mail, HSM, ECM, PACS,

System Utilities

Vaults

InfiniVault in Action

Copy 1Online – 1 year

Copy 2Online – 1 mo.

Business Vault example

Two copies – copy 1 stays online for 1 year,

Copy 2 sent offsite every 4 weeks

For offline storage

Offline Copy 2(replace with empty carts)

BackupArchive

InfiniVault Economic Benefits

Economic– Move data off primary storage

Free up capacity Reduce backup & Disaster Recovery Lower disk cost

– Infinite capacity– Manage data by business requirements– Lowest power consumption– Compressed & single instanced files – Short and long-term retention – 30 years– Simplified administration and consolidation of storage tiers -

partition multiple storage vaults with independent policy settings

InfiniVault Compliance Benefits

– Immutability - Non-erasable, non-alterable – hardware enforced WORM– Automatic data retention and deletion policies– Multiple regulation requirements - simultaneously– Audit trail with chain-of-custody reporting– Data authenticity – content address (hash key) on data– E-discovery

File index & search for rapid retrieval Legal hold enforcement

– Encryption of data on RDX cartridges AES-256 algorithm Automated key management

– Automatic data protection – 1-4 copies of data and DR protection – Security – authenticated access

ProStor InfiniVault BenefitsProStor InfiniVault BenefitsLowest cost storage for fixed data:

Use less power and cooling via removable drives

Eliminate cost of obsolescence with true forward compatibility

Expand capacity with incremental disk cartridge purchase Follows the industry’s performance, capacity and cost curves

Lower system management overhead with simple administrative interface

88

Total Cost of Ownership

ProStor InfiniVault Tape Disk Optical

5TB/50% Annual Data Growth Base 2X 17X 4X

20TB/50% Annual Data Growth Base 2X 40x 4X

Total cost for years 1-5; comparative percentages are relative to ProStor InfiniVault

Total Cost of Ownership ComparisonHow much more expensive than ProStor InfiniVault?

ProStor InfiniVault BenefitsProStor InfiniVault Benefits

Simplified, automated compliance:

Seamless integration with current applications

Replace obsolete technology while maintaining established workflows

Automated access enforcement, retention management and disposition policy

Provide off-site redundancy using removable media and/or replication

Maximum reliability with 3rd-party verified 30 year disk cartridge life

eDiscovery support via on-demand search and retrieval

89

�email

Enforce Policy

�TT-1872, Patch H299

�TT-1345, Change

�TT-2694, Re-des

�TT-2194, Fix – block…

TT-1743, P

Ensure Durability, Recovery,

Immutability

Access Directly

References & ResourcesAssociation of Records Managers and Administrators www.arma.orgAssociation for Information and Image Management www.aiim.orgArcmail www.arcmail.comEMC www.emc.comFormatta www.formatta.comMicrosoft Exchange 2010 info http://www.archiving101.com/?p=178 The Electronic Discovery Reference Model www.edrm.netRecords Management Best Practices Guide http://www.ironmountain.com/knowledge/practices/recordsmgmtbestpractices.pdfProstor Systems www.prostorsystems.comPerfectforms www.perfectforms.com

Carol’s Contact info

Carol Hagen, PresidentHagen Business Systems Inc3461 W Jasper Dr, Chandler AZ 85226carol@hagenbusiness.comWebsite: http://www.hagenbusiness.com602-570-7289 cell

Join me on LinkedIn or follow me on Twitter Read Carol’s Technology Blog:

http://carolhagen.wordpress.com