Print-to-Mail Recovery 101 Presented By: Ron Stott Account Executive Mail-Gard

Print-to-Mail Recovery 101

Presented By: Ron Stott

Account ExecutiveMail-Gard

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Balancing every day production workload with time demands of putting together a print-to-mail disaster recovery plan

Assess your requirements for protecting your critical printed/inserted applications

SLA’s – Determine if your requirements for recovery are the same as everyday production

Implementing the recovery plan – more comprehensive than you may realize

Completing the plan, and confidence that your applications and your business are recoverable

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POP QUIZ


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1. Historically, how long does the average Print-to-Mail Disaster Recovery outage last?

A) 14 days B) 28 days C) 78 days

2. What is the average cost of an inserter?A) $500,000 B) $800,000 C) $1,000,000

3. Do you think your company can survive without your print/mail operations?

YES NO


POP QUIZ

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alancing every day production workload with time demands of putting together a print-to-mail disaster recovery plan…

This will be the challenge for your print and mail operations management.

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Timeline, Responsibilities

PHASE 1

Establish Plan

PHASE 2

Implement

PHASE 3

Test/Review

Six – Twelve Months

Six - Eight Weeks

One-Two Weeks

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Determine Plan/Set

Goals



PHASE ONE

Responsible Parties: Risk, Continuity, IT, Network Security,

Data, Print, Insert

Goals: - Business Impact Analysis

- Determine risk and compliance issues

- Determine continuity goals

- Determine roles and responsibilities

- Review critical applications

- Set plan in action

6 Months 12 Months

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Print-to-Mail Recovery 101Timeline, Responsibilities

PHASE TWO

Goals: - Set recovery goals with vendor - Establish Data Transfer and Verify- Provide specifications to vendor - Test Preparations

Responsible Parties: Continuity, IT, Network Security, Data, Print, Insert

1st Call w/Vendor

Review Specs

Take-Aways

IT, Network Security,

Data, Print, Insert

2nd Call w/Vendor

Technical

Take-Aways

IT, Network Security,

Data

3rd Call w/Vendor

Pre-Test

Take-Aways

Data, Print, Insert

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PHASE THREE

Test, Review and

ManagementResponsible Parties: Risk, Continuity, IT, Network Security,

Data, Print, Insert

Goals: - Test data transfer, print and insert at recovery vendor to confirm recoverability

- Review tested print-to-mail applications and production procedures against production control

- Set up Change Management procedures

- Set up future test dates and requirements

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Does your IT, Print and Mail staff have the time to develop DR plan?


Consider Time and Budget

Risk Manager $90.00/hr

Continuity Planner $90.00/hr

IT $100.00/hr

Data/Applications $90.00/hr

Print $75.00/hr

Insert $75.00/hr

$520.00/hr

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AssistanceBring in Print/Mail Consultant to assist with production

requirements, test preparation and implementation

Benefits: - Shorten Cycle time from development to implementation of print-to-mail recovery plan

- Allows print and mail operations team to focus on their daily requirements

- Save money


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ssess your requirements for protecting your critical printed/inserted applications

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Can your company afford…

Loss of Revenue

Service Level Penalties

Fines

Cash Flow Disrupted

Corporate Image

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What about the information

printed on the documents?

DOCUMENT

llillilillilillililillililllilil

John Q Sample

123 Main Street

Anytown, USA

Amount Due: $350.00 Due Date: 1/1/05

Financial Balance: $566,599.00

Recent Transactions:

Fund Name Amount

XYX$3,400.00

TQ1$5,600.00

Explanation of Benefits:

Surgeryapproved

Emergency Room Visit pending

Pharmacyapproved

Policy #: 1234 73294 7

Auto insurance

coverage details

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These requirements do not go away in the event of a disaster… they become even more important. Your

recovery vendor must meet all of your regulatory and service level requirements

HIPAA SEC Regulations

Sarbanes-Oxley OCC 2001-47

Gramm-Leach-Bliley BC-177

The following regulations are now critical to print and mail operations

What About Service Level Requirements?

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Regulations are being enforced!

“Every business whether large or small,

must take reasonable and appropriate

measures to protect sensitive consumer

information from acquisition to disposal…

This agency will continue to prosecute companies

that fail to fulfill their legal responsibility…”

Federal Trade Commission, December 18, 2007

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LA’s – Determine if your requirements for recovery are the same as everyday production

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• Consider recovery time objective for data

• Determine priority jobs

• Forms/Materials delivery will impact start up

• Allow start up time at vendor

Plan for Realistic SLA’s

No one can go Zero to Hundred on day one!

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Disaster Data Rec’d Recovery Client Declared at Hotsite Completed

1/Financial Sept 1 Sept 13 (12 days later) Oct 5 (22 days)

2/Government Sept 9 Sept 13 (4 days later) Jan 18 (4.2

months)

3/Financial Sept 1 Sept 9 (8 days later) Feb16 (5.2

months)

4/Insurance Oct 26 Oct 27 (1 day later) Nov 4 (1 week))

Actual Recovery Timelines

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Client: Contracted: Needed for Disaster:

1/Financial 1 Printer 3 Printers 6 Inserters48,000 images per day 335,000 images per day

2/Government 1 Printer 1 Inserter 2 Printers 1 Inserters

50,000 images per day 265,000 images per day

3/Financial 1 Printer 1 Inserter 2 Printers 1 Inserters

50,000 images per day 180,000 images per day

4/Insurance 3 Printers 2 Inserters 1 Printer 1 Inserter150,000 images per day 90,000 images per day


Recovery Requirements v Actual Need

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mplementing The Recovery Plan

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Gather the Elements

IT

Data

Print

Insert

- Determine method of communications

- Establish connectivity

- Confirm security requirements needed at DR vendor

- Gather application data

- Gather data/print resources

- Prepare hardware/software requirements

- Prepare materials

- Prepare barcode technology, tracking requirements

- Consider postal requirements

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IT Establish and test connectivity to recovery center

(host – remote)

Insure your corporate security policies are followed at DR vendor

IT and Data

Data Prepare application data and resources for transfer

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Print

Detail Application specifications for recovery vendor (form size, start command, tray pulls, dpi setting, trim size, etc)

Confirm Data Team has all requirements in place

Provide print sample to recovery vendor for verification of successful print

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Insert

Detail Application specifications for recovery vendor(inserter used, fold, envelope, additional inserts, barcode technology, etc)

Provide barcode methodology and insert set up information

Provide job tracking and any MRDF/IDF requirements

Provide insert samples to recovery vendor for sample of fold, insert, position in window, etc

Provide postal requirements (pre-sort, meter, indicia – need USPS exception). Postage Accounting System requirements

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ompleting the plan, and confidence that your applications and your business are recoverable

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Confirm critical print-to-mail

applications can be recovered within timeline required and adhere to all

acceptance requirements

Data transfer to recovery vendor, print data received according to print

specifications, printed output finished according to insert requirements

Successful Recovery Plans


Testing

Purpose:

Process:

Payoff:

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Confirms recoverability at vendor prior to signing contractual agreement

Recent industry research indicates minor changes made to applications throughout the year often result in execution failures during annual recovery testing. This research suggests that customers that did test their recovery systems on a quarterly basis had fewer problematic issues that those that tested annually.

Confirms capacity levels can be achieved at recovery vendor


Testing

Proof of Concept

On-Going

Capacity

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Keeping Current

Change Management procedures must be in place to insure updates to systems, software,

materials, etc can be duplicated at the recovery vendor


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Questions?

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Study Guide

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Print-to-Mail Recovery 101: Study Guide

Item Job NameJob

Description Form Code Form Size Printer Used Data FormatStart

Command MICR? Cut/Cont. 1up/2up Bin DPISimplex/D

uplexFinished

SizeSpecial

Instructions

Estimated Monthly Volume

1

2

3

4

5

6

7

8

9

10

11

12

13

14

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1617181920

Print-to-Mail Recovery: Print Information Grid

Glossary: Job Name = Name that client calls the application. Job Description = What type of application it is. Form Code = Item or code number on form being printed on. Form Size = Size of form before processing. Printer Used = Printer the application is running on in client's shop. Data Format = Format the data is being processed in. Start Command = Needed for Xerox Printers. DJDE String = Needed for Xerox Printers. MICR = Type of print (Used mainly for checks). Cut/Cont. = Are forms cut sheet or continuous? 1up/2up = What is the upness of the forms? Bin = Tray selection form is being pulled from. DPI = Dots Per Inch being printed at. Simplex/Duplex = Are forms being printed on the front or on the front and the back? Finished Size = Form size once post processing is completed. Special Instructions = Any specific instructions regarding to print. Estimated Monthly Volume = Volume being printed each month, per application.

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Item Job Name Job Description Inserter Used Fold TypeIntelligent? (read logic)

Type of Barcode Logic

Selective Inserts? Matching?

If Match Job, with what?

Min./Max. Set Size

Form Size (Finished)

Form Code

OSE Size

OSE Code

BRE Size

BRE Code

Add'l Inserts Size

Add'l Inserts Code

Special Instructions

Estimated Monthly Volume

1

2

3

4

5

6

7

8

9

10

11

12

13

14

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1617181920

Glossary: Job Name = Name that client calls the application. Job Description = What type of application it is. Inserter Used = Inserter the applcation is running on in client's shop. Fold Type = How form is folded (C, Z, 1/2). Type of Barcode Logic = Barcode on form (OMR, 3 of 9, 2 of 5). Intelligent = Does the barcode get read? Selective = Are inserts, including BRE, selective or global? Min.Max. Set Size = Minimum page set into envelope and maximum page set into envelope. Form Size (Finished) = Size of form after post-processing. Form Code = Item or code on form being printed on. OSE Size = Size of the outside envelope. OSE Code = Item or code on outside envelope being used. BRE Size = Size of the business return envelope. BRE Code = Item or code on business return envelope being used. Add'l Inserts Size = Size of any additional inserts. Add'l Inserts Code = Item or code on any additional inserts. Special Instructions = Any specific inserting instructions. Estimated Monthly Volume = Volume of inserted output each month.

Print-to-Mail Recovery: Insert Information Grid

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Action Item Responsibility Completion Date

Proof of Concept Test

Print and Insert Grids to Recovery Vendor Customer TBD

Pre-Test Discussion to determine test scope, expectations Recovery Vendor TBD

Review data, print and mail specifications with Customer Recovery Vendor TBD

Barcode logic and sample MRDF files to Recovery Vendor for test set up Customer TBD

Pre-Test Samples to Recovery Vendor Customer TBD

Proof of Concept Test at Recovery Vendor Recovery Vendor TBD

Proof of Concept Test Report to Customer Recovery Vendor TBD

Account Implementation - General

Review non-tested application specifics Customer and Recovery Vendor date tbd upon receipt of contract

Gather samples and detailed specifications of all non-tested applications Customer and Recovery Vendor date tbd upon receipt of contract

Gather additional barcode logic or MRDF files (if needed) Customer and Recovery Vendor date tbd upon receipt of contract

Quality Control Procedures to Recovery Vendor Customer date tbd upon receipt of contract

Additional security procedures required (if any) to Recovery Vendor Customer date tbd upon receipt of contract

Declaration Authorization Information to Recovery Vendor Customer date tbd upon receipt of contract

Review postal procedures for disaster declaration Customer and Recovery Vendor date tbd upon receipt of contract

Implementation Timeline forPrint-to-Mail Continuity and Recovery Services

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Print-to-Mail Recovery 101: Study GuideData

Description of Data Transmission method preferred

Configure and test method of transmission Customer and Recovery Vendor At request of Customer

Finalize automation of file receipt decryption and spooling notification, if required Recovery Vendor At request of Customer

Confirm resource requirements, set up monthly transfer, if requested Customer and Recovery Vendor At request of Customer

Print

Description of Print Requirements

Determine initial control document for print priority (at time of disaster) Customer and Recovery Vendor prior to next test date

Maintain print specifications on print grid, samples, etc Customer and Recovery Vendor

Insert

Description of Insert Requirements

Maintain insert specifications on insert grid, samples, barcode methodology, Customer and Recovery Vendor

postal requirements, etc

Account Maintenance

Change Management Updates Customer and Recovery Vendor Quarterly

Inventory Customer and Recovery Vendor As Needed/Upon Client Request

Annual Testing

Determine annual testing schedule (quarterly, semi-annual, etc) Customer upon receipt of contract

Send test date requests to mail-gard Customer upon receipt of contract

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In reference to your print-to-mail operations center, please answer the following:

Yes/ No

Do your print-to-mail operations have a defined recovery plan? __________

Do they have a designated recovery leader? __________

Are they part of your organizations global disaster recovery plan? __________

Do they have a designated print-to-mail recovery site? __________

Do they regularly conduct disaster recovery testing of print-to-mail applications? __________

Do your (internal) customers review your disaster recovery plans? __________

Do your (internal) customers participate in the testing? __________

What was the date of your last print-to-mail DR test? _______________

Print-to-Mail Recovery: Current Recovery Status

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Please indicate which internal units/ processes, currently generating print work, include print-to-mail recovery in their DR plans. Also indicate if print-to-mail applications have been tested, and percentage of workload that is currently recoverable

Print-to-Mail Included in DR Plan

Print-to-Mail Applications Tested

% of Print-to-Mail Work Recoverable

IT Main Processing Sites(s) __________ __________ __________

Mid Range, Server, Satellite Sites __________ __________ __________

Business Units __________ __________ __________

Customers __________ __________ __________

Support Groups __________ __________ __________

Remote Offices __________ __________ __________

Organization Partners __________ __________ __________

Processing Centers __________ __________ __________

Other: __________________ __________ __________ __________

Print-to-Mail Recovery: Organization DR Plan Inclusion

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Do your print and mail operations have pre-assigned procedures and responsibilities in place in case of disruption?

Print and Mail Job Processing ______________________________

Personnel Assignments and Responsibilities ______________________________

Equipment Use and Prioritization ______________________________

Communication Requirements ______________________________

Staffing Requirements ______________________________

Forms, Supplies, etc Requirements ______________________________

Vendor Support ______________________________

Print General Operations ______________________________

Postal Requirements, Funds ______________________________

No procedure in place, documented as such

Procedure in Place, not document

Procedure in Place and documented

Print-to-Mail Disaster Recovery Response Procedures

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Print-to-Mail ProcessesVital Records Backed Up

Backup Responsibility

AssignedBackup

Frequency Off-Site StorageAccessibility to Records

Production Control __________ __________ __________ __________ __________

Printer Control __________ __________ __________ __________ __________

Inserter Control __________ __________ __________ __________ __________

Materials __________ __________ __________ __________ __________

Administration __________ __________ __________ __________ __________

Forma Control __________ __________ __________ __________ __________

Forms Design __________ __________ __________ __________ __________

Job Set Up __________ __________ __________ __________ __________

Yes/No Yes/No Daily/MonthlyQuarterly Other Company Facility 24/7, limited

Offsite storage

Print-to-Mail DR Backup and Responsibility

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Application/ Document TypeRelative

ImportanceVolume per

Month

Stockholder Documents ______ __________ 0 = No Importance

Customer Statements ______ __________ 5 = Moderate Importance

Payroll ______ __________ 10 - Extreme Importance

Invoices ______ __________

Checks ______ __________

EOB's ______ __________

Policies ______ __________

Cancellation Notices ______ __________

Regulatory Filings ______ __________

Tax Filings ______ __________

Government Filings ______ __________

General Business Correspondence ______ __________

Accounts Payable ______ __________

Accounts Receivable ______ __________

Other ______________________ ______ __________

Document Recovery Details: Type/ Importance

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Equipment Model# of Units in Production

Volume per Month

Estimate Needed for Recovery

Estimate Volume for Recovery

Continuous Printer __________ __________ __________ __________ __________

Continuous MICR Printer __________ __________ __________ __________ __________

Continuous Highlight Color Printer __________ __________ __________ __________ __________

Cut Sheet Printer __________ __________ __________ __________ __________

Cut Sheet MICR Printer __________ __________ __________ __________ __________

Cut Sheet Highlight Color Printer __________ __________ __________ __________ __________

Cut Sheet Full Color Printer __________ __________ __________ __________ __________

__________

Standard Inserter __________ __________ __________ __________ __________

Intelligent Inserter __________ __________ __________ __________ __________

ADF/MRDF/IDF Requirements __________ __________ __________ __________ __________

Burster __________ __________ __________ __________ __________

Bowe __________ __________ __________ __________ __________

Interstack __________ __________ __________ __________ __________

Pressure Sealer/Folder __________ __________ __________ __________ __________

Booklet Assembly __________ __________ __________ __________ __________

Postage Meters __________ __________ __________ __________ __________

Sorters __________ __________ __________ __________ __________

Production Environment

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If utilizing second company facility as back up, review the following question to

insure recoverability

CompatibilityYes/ No

Do your print sites print similar jobs? __________

Are your print sites mirror images of each other? __________

Do your print sites routinely transmit jobs between sites for processing? __________

Are your print and mail sites similarly equipped? __________

Are your print and mail sites running at or near capacity? __________

Can all jobs be produced at the alternate site? __________

Print & Mail Multi-Site Compatibility

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Application/ Document TypeRecovery Time

Objective EquipmentTime to 100% Productivity

Stockholder Documents __________ Continuous Printer __________

Customer Statements __________ Continuous MICR Printer __________

Payroll __________ Continuous Highlight Color Printer __________

Invoices __________ Cut Sheet Printer

Checks __________ Cut Sheet MICR Printer __________

EOB's __________ Cut Sheet Highlight Color Printer __________

Policies __________ Cut Sheet Full Color Printer __________

Cancellation Notices __________

Regulatory Filings __________ Standard Inserter __________

Tax Filings __________ Intelligent Inserter __________

Government Filings __________ ADF/MRDF/IDF Requirements __________

General Business Correspondence __________ Burster __________

Accounts Payable __________ Bowe __________

Accounts Receivable __________ Interstack __________

Other ______________________ __________ Pressure Sealer/Folder __________

Other ______________________ __________ Booklet Assembly __________

Other ______________________ __________ Postage Meters __________

Other ______________________ __________ Sorters __________

24, 48, 72 Hours 1-5 Days, 5 - 10 days

Service Level Requirements

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Your print-to-mail process rely on a variety of communication services and/ or data delivery methods to perform their functions. For the communication services

Communication Service Yes/ NoBack Up Service

in PlaceRequired for Print-to-

Mail Recovery

T1 __________ __________ __________

FTP __________ __________ __________

VPN __________ __________ __________

Tape (Cartridge) __________ __________ __________

Other __________ __________ __________

identified, indicate your reliance on this type of communication method.

Print-to-Mail Operations - Communication Requirements

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For each print delivery application indicate your operation's reliance on the application. Also indicate if the application is compatible with/ can be handle by your

print-to-mail recovery vendor

Yes/ NoCapability at

Recovery Vendor

JES 2 or JES 3 __________ __________

Barr __________ __________

Solimar __________ __________

Oce Prisma __________ __________

Flexserver __________ __________

RSA __________ __________

Other _______________________ __________ __________

Print-to-Mail Processing Reconstruction

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For each of these print data streams indicate your operation's reliance on the application. Also indicate if the data stream can be restored at the print-to-mail recovery vendor

Yes/ NoCapability at

Recovery Vendor

AFP/IPDS __________ __________

PCL __________ __________

Postscript __________ __________

PDF __________ __________

Metacode __________ __________

Line Condition Data __________ __________

XML __________ __________

HTML __________ __________

TIFF __________ __________

Other ______________________ __________ __________

***Remember to include required printer resources for successful print***

Print-to-Mail Data Streams

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What Tools are used for job tracking purposes throughout print-to-mail production ?

Will these tracking procedures need to be replicated at the print-to-mail recovery vendor?

Yes/ No Required at Recovery Vendor

IDF __________ __________

MRDF __________ __________

Other __________________ __________ __________

Print-to-Mail Recovery: Insert Tracking Requirements

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Indicate method of postage is used:

Yes/ No Note:

Meter __________ Postage funds must be directed to recovery vendor prior to start of recovery production

Indicia __________ Permit authorization for exception to mail using your permit number out of recovery

vendor's local post office must be obtained prior to start of recovery production

Postage funds must be available in permit

Pre-Sort Required: 1st Class __________ Confirm recovery vendor has pre-sort equipment or 3rd party vendor

Pre-Sort Required: Standard __________

Manifesting __________ Authorization for exception to mail must be approved by recovery vendor's local post office,

entry point info must be changed, reports must be provided to print-to-mail recovery vendor

Postage Tracking System Used: __________ Provide details to recovery provider if implementing during recovery production

IMB __________ May 2008

Print-to-Mail Recovery: Postal Requirements

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Determine frequency of procedures for plan maintenance

Monthly, Quarterly, Semi-Annually, Annually

Reviewing your print-to-pail DR plan _____________________

Updating your print-to-mail DR plan _____________________

Change management procedures in place _____________________

Testing your print-to-mail DR plan _____________________

Verifying your print-to-mail DR plan effectiveness _____________________

Distributing your print-to-mail DR plan _____________________

Print-to-Mail Recovery: Plan Maintenance