Presented at CFMA VOS 7/16/09

1. 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

2. Objectives
 Email Challenges
 Defining Email Archiving
 Technology Approaches to Archiving
 Governance & E-Discovery
 E-Forms Overview
 Backups & Archiving

3. 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.

4. 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.

5. 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

7. Information Retention
“70% of an average
organization’s
intellectual property
resides in email
messages and
attachments.”
ESG Research 2005

8. What would you say are the 3 issues of most
concern in your organization at the moment
regarding emails?
© AIIM 2009, www.aiim.org

9. Where is your e-mail?
SharePoint
Outlook PSTs
Exchange
Server Gmail
Backups Third Party Archive

10. 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

11. Why Archive?
A Vicious Cycle of Volume vs. Control
• PSTs difficult to
discovery centrally
• Regulatory retention Increasing storage and
schedules contribute back-up costs
to further volume/
storage issues
Quota management
often results in growing Users forced to
PSTs (Outlook auto- manage quota
archive)

12. The problems with PSTs
Compliance, cost, reliability
T Pro
• Litigation hold can’t be enforced
• PSTs cannot be easily discovered
• Lost laptop results in exposure of PSTs
• Backup/Recovery cost prohibitive
nd 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)

13. Why should I Archive
Email?

14. Why Archive E-mail?
Key drivers
olume
s data volume grows, Outlook performance compromised
ailbox quotas control volume but also encourage PSTs
etention further performance/management issues
STs add to
ompliance adds to volume challenges
egulations mandate specific retention periods for relevant email
(SOX = 5 years, SEC rules = 6 years, HIPAA = 5-6 years)
iscovery
• 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

16. 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

17. Cases:
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

21. How Quickly Must You Prepare?
“CIO Strategies for the Retention and Deletion of Email”, MessageOne

23. Determine the Goals of the solution
 Operational Efficiency
 Storage/Management Costs
 Security/Compliance
-then prioritize as email has many moving parts

24. Information Week, June 23, 2008

26. 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

27. Gather Requirements
•Gather, identify & validate requirements
•Business requirements-problems to be addressed
•Functional requirements
•Technical requirements

28. 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?

32. Application Server, Robust Enterprise
Solution
EMC SourceOne Family
EMC SourceOne Products Family designed for integrated content
archiving and eDiscovery support across
content types that provides proactive
EMC SourceOne E-mail Management information management to…
Provides all core e-mail archiving capabilities for
Microsoft Exchange, IBM Lotus Notes/Domino, and  Enable good information governance and
Instant Messaging litigation readiness
 Reduce time, cost, and risk of
EMC SourceOne Discovery Manager eDiscovery; create repeatable discovery
Provides discovery search and secure Legal Hold of processes
e-mail found in EMC EmailXtender V4.8 SP1 and
EMC SourceOne archives  Improve operational efficiencies of
production systems
EMC SourceOne Compliance Archive  Improve content reuse for general
Provides advanced retention, security, and search; business purposes
incorporates archived content into enterprise content
management (ECM) processes

36. Hosted – Google Gmail & Postini

40. After what period are your emails
automatically deleted?
© AIIM 2009, www.aiim.org

41. Search an archive demonstration

42. 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

44. As regards litigation procedures,
which of the following would
apply to your organization?
© AIIM 2009, www.aiim.org

46. E-Forms
 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

47. 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. THE FORMS PROBLEM - User
Perspective:
Web-based vs. Server Based
 75% abandonment rate - online forms
 95% of web forms cannot be saved, signed,
submitted electronically
 Gartner: “… infuriating…”
 Formatta: “Data Rage”
Formatta Corporation 48

49. 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

50. E-forms Impact on the ECM Market
Formatta Corporation 50

51. 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

53. 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.

54. How Does it Work?
Constructing a Workflow Process
Step 1 Step 2 Step 3 Step 4
Build the Add Define Create
Forms Intelligence Workflow Reports

55. How Does it Work?
Step One Step Two Step Three
Design a Form Define Behaviors Describe Workflow
Using our intuitive drag-n-drop Add intelligence to your form Layout your workflow with this tool.
forms design editor through definition of behaviors, Define how forms route and how
which determine how your form notifications are sent.
will respond to user actions

56. How Does it Work?
Step Four Step Five
Design Reports Launch it – No Coding!!!
Monitor your processes using Once the forms, behaviors,
an advanced reporting tool. workflows, and reports are
Reports are live and dynamic. constructed. Launch your
application. No coding required.

57. 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.

58. 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.

59. 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.

60. 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.

61. 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.

62. 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!

63. 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

64. 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

65. 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

66. Current Timesheet Data Collection
Process
Field Regional Office HQ HQ HQ
Timesheet Timesheet Payment
System System System
Foreman Project Manager HR Admin HR Manager/Payroll Controller
Employee
Manual timesheet Timesheet review, Addt’l error checking, Review, approval, Final review, approval,
Process
completion and FAX corrections, approval, and correction. signature. signature and
transmission to and FAX transmission Manual data entry payment.
Project Manager. to HR into Time &
Attendance system.
- Wrong codes - Delayed receipt - Delayed receipt - Assumptions about - Assumes interface
-Missing data / - Illegible - Illegible all prior error between Time &
Problems
empty fields handwriting handwriting checking and Attendance
-Transmission - Must FAX back to - Must FAX back to updated codes are systems and
problems foreman / project manager often wrong. Payment system.
-No submission employee for for corrections
policies corrections - Arduous and slow
- Foreign language data entry with
keying errors
CYCLE TIME 7-14 days 66

67. Formatta Timesheet Form
Database query
Employee with
Formatta Autofill
Employee lookup
Task code connected
to database (acctg)
Faster
Accountability
Data Tracking
Reduces mistakes
Integration with other
Business critical systems
Email integration
Digital Signature
Status 67

68. Formatta Timesheet Data
Collection Process
Field Regional Office HQ HQ HQ
Timesheet Timesheet Payment
System System System
Foreman
Employee Project Manager HR Admin HR Manager Controller
Automated / assisted Automatic receipt for Automatic receipt for Review, approval, Final review, approval,
Process
timesheet completion. review / approval. review / approval. signature. signature and
payment.
Data automatically
integrated into Time &
Attendance System.
- Ensures accurate - Eliminates error - Eliminates error - Eliminates error - Eliminates error
and complete data correction correction correction correction
- Electronically - Automates receipt - Automates receipt - Accelerates - Accelerates
Benefits
submits - Accelerates - Accelerates approval approval
information approval approval
- Supports foreign - Integrates directly
languages into Time &
- Enforces Attendance System
submission policies
CYCLE TIME 3 days 68

69. 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

70. 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

71. 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

72. Current Subcontractor Pre-Qualification Process
Bank
General General
Subcontractor Subcontractor Contractor Contractor
Finance
Customers 1 - 4
Contracts Operations Administrator
Administrator
Finance Administrator
Operations
Legal
- Download pre- -Sections of pre- - Reviewed for -References complete
qualification qualification completeness and reference forms (MS
application (MS application are accuracy. In 80% of cases, Word) and email back to
Word) from completed by General Contractor General Contractor
Process
General different contacts subcontractor to administrator.
gather missing data.
Contractor departments and
website and emailed to next - General Contractor
- Reference forms (MS
begin to fill out. department for Word) are emailed to administrator sends
completion. customers and banks that thank-you emails to
have been identified by references.
- Completed subcontractor as
application is emailed references .
to General Contractor
72

73. Current Subcontractor Pre-Qualification Process- cont’d
General General General
Contractor Contractor Contractor Subcontractor
Legal Contracts
Administrator Data Entry Administrator
LOB
System
Finance
- Administrator -Data entry clerk - General
emails pre- inputs information Contractor legal
qualification from MS Word files and finance
application (MS into LOB system. departments
Word) and review and score
Process
references (MS pre-qualification
Word) to data application.
entry clerk.
- Notify
subcontractor of
application
acceptance or
denial via email.
CYCLE TIME 2+ weeks 73

74. Formatta Subcontractor
Pre-Qualification Form
Required data fields
Captures necessary
information
E-Forms
Accurate codes through drop Manager
down list or radio buttons Workflow
Reduces mistakes pushes
Visibility into routing/approval e-forms to
status users based
Additional attachments travel
on defined
with the form business
Eliminates chances of losing process rules.
paperwork
It
No data entry required Moves Streamlines
data directly into critical LOB
systems
processes

75. Formatta Subcontractor
Pre-Qualification Process
General Contractor Subcontractor
Subcontractor Subcontractor
LOB System
Operations
Legal Contracts
Contracts References Administrator
Administrator Finance
Finance Finance
Legal Operations
- Launches pre- -As different - Information from pre- - General
qualification departments fill out qualification application Contractor legal
application from sections of automatically posts to and finance
General application, field-level LOB system. departments
Contractor validations are -Emails are review and score
Process
website, begins performed to ensure automatically sent to pre-qualification
to complete it. accuracy and references with a link to application.
completeness. the online e-form they
need to complete to - Notify
- Completed subcontractor of
fulfill reference request.
application submitted application
electronically. -References complete e- acceptance or
Forms and information denial via email.
automatically posts to
LOB system. 75
CYCLE TIME Less than a week

76. Key Questions
– How many forms do you distribute (online or on paper)
– How many of these forms get sent back from the audience
– What percentage of forms need to be reprocessed due to errors –
incomplete, inaccurate?
– What does that process look like (over the phone, mail or what)
– How does the data get from the form to the systems that need it.
– How is the form stored after it is processed?
– What are the error rates associated with those two processes?
– Does all the data from the form get into that system or is it only
key data?
– What would be the value in making all the information accessible?
– Would it increase the value of their existing enterprise systems if
that we so?

77. 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

78. Backup vs Archiving:
What’s The Difference?
Backup Archiving
Operational backup and Regulatory compliance and legal
disaster recovery records retention
Copies messages Offloads messages
Multiple copies Single instances
No indices or search
Indexed for discovery and retrieval
capabilities
Utilizes storage capacity Reduces storage capacity
Short retention (days or
Long retention (years)
weeks)
IT responsibility Executive and legal responsibility

79. Enterprise-class removable disk
storage media for data protection and
long-term archive applications
Combines Best of Tape & Disk
1TB in 2010
80 GB 120 160 300 500 640 1TB
NEW in
Fall 2009

80. ProStor Systems
Providing cost effective information archival
that meets compliance needs
RDX Device & Media InfiniVault Data
OEM Business Preservation System

81. 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 Retention
Business Records 7 or 10 years
Customer information Forever
Project As-Builts 30 years or forever
Personal records Forever
Emails As required (3mo – 10 years)

82. Increasing Image
Storage Demand
Documents, Email and Images
Documents Compliance
Images, Email Retention
Applications
Scanners
Legacy
More documents
Larger size images
Technology
Obsolescence

83. Using InfiniVault
Application Servers
InfiniVault  Address capacity demands
 Meet compliance requirements
 Self-protecting storage
 Removable disk technology
 Protect from obsolescence
Local Disk
Optional
RDX Remote
Removable InfiniVault
Disk Offsite
RDX
Long-Term Data Preservation Removable
Disk
Regulatory Compliance

84. Applications
e-mail, HSM,
ECM, PACS,
System Utilities InfiniVault in Action
Information to be Preserved
Vaults InfiniVault
General Business Email
Purpose 1 HR Staff
Purpose 2 Business Records Admin
Etc. Etc. Other
...
Managed
Online Offline
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

85. InfiniVault in Action
Business Vault example
Two copies – copy 1 stays
online for 1 year,
Copy 2 sent offsite every 4
Copy 1 Copy 2 weeks
Online – 1 year Online – 1 mo.
Offline Copy 2
(replace with
empty carts)
For offline storage
Archive Backup

86. 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

87. 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

88. ProStor InfiniVault Benefits
Lowest 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
Total Cost of Ownership Comparison
How much more expensive than ProStor InfiniVault?
Total Cost of ProStor
Ownership 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
88

89. ProStor InfiniVault Benefits
Simplified, automated compliance:
Seamless integration with current
applications
Replace obsolete technology while
maintaining established workflows email
Automated access enforcement,
retention management and
disposition policy Enforce
Policy
Provide off-site redundancy using
removable media and/or replication
TT-1872, Patch H299
Maximum reliability with 3rd-party TT-1345, Change
TT-2694, Re-des
verified 30 year disk cartridge life
TT-2194, Fix
– block… Ensure Durability,
TT-17
Recovery,
43, P Immutability
eDiscovery support via on-demand
search and retrieval
Access Directly
89

90. References & Resources
Association of Records Managers and Administrators www.arma.org
Association for Information and Image Management www.aiim.org
Arcmail www.arcmail.com
EMC www.emc.com
Formatta www.formatta.com
Microsoft Exchange 2010 info http://www.archiving101.com/?p=178
The Electronic Discovery Reference Model www.edrm.net
Records Management Best Practices Guide
http://www.ironmountain.com/knowledge/practices/recordsmgmtbestpractic
Prostor Systems www.prostorsystems.com
Perfectforms www.perfectforms.com

91. Carol’s Contact info
Carol Hagen, President
Hagen Business Systems Inc
3461 W Jasper Dr, Chandler AZ 85226
carol@hagenbusiness.com
Website: http://www.hagenbusiness.com
602-570-7289 cell
Join me on LinkedIn or follow me on Twitter
Read Carol’s Technology Blog:
http://carolhagen.wordpress.com