email management & e-forms
DESCRIPTION
Presented at CFMA VOS 7/16/09TRANSCRIPT
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
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 [email protected]: 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