1. Strategies for Effective E-mail Management Presentation Given by Tom Forsyth, CRM
Presentation for the ARMA
Southwest Region
CRM Conference
Dallas, TX.
April 10, 2015

2. Presentation Agenda E-mail Usage and Challenges
as a Business Record
Strategies
Best (& Worst) Practices
Retention
Classification
Strategies with ECM
Archiving
Policies

3. E-mail Management Imperatives
Strategic imperative for many organizations.
Courts say is legitimate area of discovery.
Easy target for regulators/lawyers hunting “smoking gun”.
Company must develop policy & procedures.
Trend that impacts on the adoption of ECM.
Leverage ECM or Archive to manage s.
Regulatory requirements for service organizations and financial institutions to manage s.

4. What others say...
“Organizations need to apply the net of information governance to capture the important data while letting the transient data go free”
Jesse Wilkins in Technology for Managing
“…smaller volumes of coupled with better management and organization translate directly into smaller costs during discovery”
John Montana, J.D., Strategies for Minimizing Litigation Risks
“ to me is like gold mining. Given enough , I can sift through it and always find some nuggets to hurt the other side”
Class Action Attorney

5. Challenge to Records Managers
“There is a distinction between record retention which looks at whether or not you have an obligation to preserve a document and electronic discovery which looks at if the document exists whether you have an obligation to produce it.”
- Ethan A. Berghoff, Baker & McKenzie Chicago.
Applying records management to s should be a high priority before your organization gets involved in an e-Discovery situation.

6. Challenge to Records Managers
You need to keep your records long enough to satisfy retention requirements but no longer than necessary to reduce costs associated with discovery & storage .

8. Typical employee sends & receives…
25,000
The typical employee sends and receives nearly 25,000 messages per year!
Source: “A Smarter Way to Manage ” (
s Per Year (100 day / 250 days year )
Source: “A Smarter Way to Manage ” at com 8 8

9. Annual E-mail Volume Estimates
10 employees -1 year
250,000 s
500 employees - 1 year
12.5 million s
2,000 employees - 1 year
50 million s 9

10. Corporate E-mail Usage Statistics
An organization with:
16,000 mailboxes
100 s day per user (current average is 160)
Creates almost 3 billion s in 7 years!
s per user per day in file size:
18MB of a day in 2007
21 MB in 2009
28MB by 2011
growth at 30% per year.
That equals 6 GB per User Each Year
Entire Organization: 100 TB Year!

11. E-mail Usage Statistics
70% of them use s to negotiate contracts and agreements.
84% use s to describe operational and/or product strategies.
63% to discuss HR issues.
80% of data produced for discovery, audits, FOIA requests, etc. is .
Yet only 45% of organizations have an policy.
Only 19% of organizations have adopted archiving.

12. The Problems Regular backups of the e-mail database,
is not a substitute for an retention program
Restoring multiple tapes to find ,
is a long and costly process.
Users don’t want to delete anything,
yet expect solid Outlook performance.
Mailbox stores continue to grow,
requiring more storage space, faster disks, etc.
Exchange is the archive!
No central repository of .
No history of sent/received .
Can’t retrieve s easily.
Non-compliant.
Bottom Line:
s may not be captured
Difficult to retrieve critical s 12 12

13. Potential Strategies Maintain all emails (monolithic retention)
Impose Mail box limits
Deploy managed folders for temporary records or working documents.
Delete transitory records after days.
Print out s and put them in folders.
Allow users to archive s to PST files.
Set up global archiving
Leverage archiving of business records to content management system.
Exchange is the archive!
No central repository of .
No history of sent/received .
Can’t retrieve s easily.
Non-compliant.
Bottom Line:
s may not be captured
Difficult to retrieve critical s 13 13

14. So what are the bad strategies?
Doing nothing & maintaining all s
Imposing aggressive mail box limits
Archiving all s to archive.
Declaring there are no s that are business records.
Allow users to save s to PST files, file shares or removable media.
Printing out s to put in paper folders.
Saving monthly back-up tabs of servers.
Exchange is the archive!
No central repository of .
No history of sent/received .
Can’t retrieve s easily.
Non-compliant.
Bottom Line:
s may not be captured
Difficult to retrieve critical s 14 14

15. E-mails as Business Records
consists of record types like regular mail.
messages are official records when:
Created or received in the transaction of business
Retained as evidence of official transactions.
Attachments can be (separate) records.
Meta-data is essential to managing your s.
Content (subject) determines retention.
Many are related to your job functions.

16. TYPICAL HR CONTENT RECEIVED BY E-MAIL Cover Letters Applications
I9’s or W-4’s
Resumes
Let’s use an HR example.
An HR transaction is made up of any of the following documents: Application, Resume, Cover Letter, Reference, I9, W4, Profile Record, etc. All or some of these documents are required to successfully complete the transaction of hiring, on-boarding, benefits change, etc. of an employee.
Well, what if these documents live in two different system?
The HR Generalist spends her time switching between these two applications to get her job done.
Its clear that the Outlook toolset is incomplete.
Difficulties arise when Office Outlook is part of a transactional process.
References
Employee Profile
Worksheets 16

17. Other Types of Emails with Records
Contracts & supporting documents
Contract negotiations
Credit & collection records via can be official records
Vendor invoices & credits received by
Purchase requisitions
Legal Opinions or 3rd party subpoenas
Approval Documents (expenses, budgets, projects, etc.)

18. Best places to start…
Understanding itself is not a record series; it is the content of the that defines it is a record.
Start with a up-to-date retention schedule.
Establish policy for managing s.
Create an file plan.
Engage users in classifying s.
Ensure deletion is centrally managed.
Disable PST files & storing files on hard drives.
Monthly Back-up Tapes are not for long term retention!

19. Elements of Email File Plan
ID records to be retained in inbox vs. other repositories (exchange server, archive, ECM).
What records do you retain and how long?
Determine who is the record owner.
Decide if you implement on a go forward basis vs. how you address legacy s.
Configure archive or Exchange server for Folders and Retention settings.
What is your strategy for long term records?

20. Retention Schedules for E-mails
Common Retention Schedules
Complaints – 2 years
Correspondence on program/policy development – 5 years
Open records requests – 1 year
Consolidate your schedule.
You don’t want 200 categories for s!
Only a small number of records are related to
Limit choices to 5 record types per user.
Set up categories for “working” s such as:
Reference
Internal Projects

21. 3 Zone E-mail Strategy Approach
Transitory s (90 days): 35-75%
Reference or Working s (1-2 years): 20-40% *
Actual Business Documents: 5-15% *
If 75% of s are transitory, then 37.5 million of the s in an organization with 2,000 mailboxes can be readily disposed of!
* These are documents that would be managed according to your retention policy.

22. Strategies for Managing E-mail
Users are responsible for managing their own .
Put reference records in managed folders.
Apply retention to the managed folders.
Archive s in archive.
Transfer s with business content & longer term retention to archive or ECM.
Leave non-records in messaging system.
Delete personal (transitory) messages after 90 days.

23. Foundation for E-mail Solutions
Declare & classify s that need to be retained.
Users should migrate official records to appropriate “folders” using a secure and accessible archive system or repository
The archives should be on a shared LAN drive - not .PST files on your hard drive.

24. Foundation for E-mail Solutions
Utilize archive/repository to preserve, provide access and apply retention rules.
Your appropriate retention schedule should be applied to the records in your archive system.
Apply record “holds” in risk management event.
Force a user review of s.

25. E-mail Warning Process
Automate warnings & deletion process
Force a user review of “up for deletion” s.
Users warned at the “80th” days that will be deleted on the “90th”.
Users browse list and either:
– Archive
– Leave to be deleted
– Delete directly
Purge transitory s.

26. Managed Folders for Retention
Working Documents (2-3 years)
Business Records
(7 years)
Long Term
10+ years
Permanent
Projects
Final Contract
Financial
Resolutions
These Messages could go into Archive or ECM system
Collection Records
Issues

27. Managing E-mail with ECM
Ad hoc classification by user
Within Client Desktop
Outlook, Lotus Notes, Domino
Archiving of all s
MS Exchange Server
Message Journaling
Selective Archiving of s
s from specific business process “in-boxes”
Such as

28. 1. Connect E-mail to the transaction.
An ECM Based Solution
1. Connect to the transaction.
is part of the process.
1. s and attachments drive business processes.
2. s and attachments are part of the transaction.
Users live in the client.
1. Access content from client application.
2. Interact with the business process transaction directly from the client.
is part of the process:
1. s and attachments drive business processes.
2. s and attachments are part of the transaction. 28

29. 2. Keep user in E-mail application.
An ECM Based Solution
2. Keep user in application.
Users live in the client:
1. Access content from client application.
2. Interact with the business process transaction directly from the client.

30. Specifically… ECM solutions offer integrations for Office Outlook
Users can remain in preferred applications
Leverage familiar Office/Outlook features
Ease deployment and installation efforts 30

31. Classifying s
User declares an as a business record based on content & relationship to the business process.
User classifies it as a record by “drag and drop” into a folder.
The folder has been pre-configured to:
Determine which document type the belongs to.
Assign meta-data automatically to keywords (index) values associated with the doc type.
Retention rules in the ECM system are applied to s.
A shortcut or link to the can be maintained in your Outlook mailbox.

32. Outlook functionality32

33. ECM Integration functionality33

34. ECM Functionality Within Outlook
Upload s/attachments into ECM
Drag/drop to Outlook folder
Click “Upload” button
Store and attachments either as:
Separate documents
One document
Retrieve/open any content stored in ECM
Leverage ECM functionality
Attach documents from ECM to s
Launch and/or Execute Workflows
from the message 34

35. Upload E-mail (drag/drop)
Free Indexing!
Upload (drag/drop) 35

36. Upload E-mail (toolbar button)36

37. Import your e-mails and/or attachments into your ECM system
Document Upload (import)…Unity-based
Import your s and/or attachments into your ECM system 37

38. Import Options Attachment (native format) .txt .doc/docx .rtf
.xls/xlsx
.ppt/pptx
.pdf
( format)
.txt
.rtf
.msg
.htm/html
Each item separately or together in a single file
only or attachment only
Or save and or attachments as TIF images using “Print to TIF drivers” 38

39. Automate Indexing of E-mails
MAIL System Keywords
Mapped Keywords
Static Keywords
AutoFill Keyword Sets
Keyword Data Sets
Host LOB Applications
Option to apply indexing to all messages or attachments! 39

40. Approach Advantages
Content owners are involved with classifying s.
s stored in ECM system can be linked to and retrieved along with other transactional documents.
s managed for retention using ECM
Date drive retention for individual document types
Event driven retention for groups of related records.
Legal Holds can be applied to records so they are not removed according to retention.
s can be full text searchable.
s that are business records are stored in a single central repository.
Maximizes benefit from your ECM deployment.

41. Five Second Rule Employees will spend up to 5 seconds
manually classifying documents.
Otherwise they will use the 5 seconds subverting the classification system.
Overall compliance drops significantly.
Mark Diamond CEO of Contoural at ARMA 2012
“ Classification Strategies that Actually Work” 41

42. E-mail Archiving with ECM
Store both s & attachments
Create special collections based on meta-data criteria
Search archive for messages
meta-data
Full Text Search
Recover s even if deleted from Exchange.
Original messages can be replaced with “stub”.
Purge messages after retention period fulfilled.

43. MS Exchange Platforms Microsoft Exchange 2000 SP3 August roll-up 2004
with Microsoft Outlook
Microsoft Exchange 2000 SP3 August roll-up 2004
Microsoft Exchange 2003 SP1 or greater
Microsoft Exchange 2007 43

44. E-mail Database & Disk Groups
ARCHIVE ALL S FROM EXCHANGE SERVER TO ARCHIVE USING MESSAGE JOURNALING
Incoming
Exchange Server
Database & Disk Groups
Journal Mailbox
Ongoing Journaling and Archival
copy sent from Exchange Server to the Journal Mailbox.
Archive pulls all s in Journal Mailbox.
Captured s are stored in a file and a record is added to the database.
(Messages can be retrieved from the Archive via the ECM Client using metadata and full-text search on content.)
ECM User
& Archive Services 44

45. E-mail Database & Disk Groups
Incoming
ARCHIVE EXISTING S FROM EXCHANGE SERVER OR YOUR PST FILES USING WEB CRAWLERS
Database & Disk Groups
Exchange Server
Exchange Crawler
Journal Mailbox
Backfile Conversion
Exchange Crawler – archives existing s from Microsoft Exchange
Workstation Crawler – archives PST files and (loose) MSG file from workstations and/or network locations
ECM User
Workstation Crawler
& Archive Services 45

46. Stubbing Service
Provides direct access to in the archive via Outlook client
Connection made to the archive via a “stub” of the in Exchange
Reduces the size of messages stored in Exchange
Other features:
Mailbox specific
Log of number of messages and mailboxes stubbed 46 46

47. Email Archiving Advantages
All s are archived in a central repository outside of Exchange; it could be in the cloud.
Retention can be applied to the s such as s can be managed for a monolithic period (2 to 5 years).
s are full text searchable.
Special collections can be created for eDiscovery purposes.
Ideal for organizations that require all s to be archived (i.e. banking institutions, brokerage firms).

48. Selective E-mail Archiving
Specific s/attachments imported as ECM documents based on rules
Allows select content to participate in business processes as it makes sense
Documents stored in ECM, cross-referenced to related content and/or sent to a Workflow 48

49. & E-mail Archive Services E-mail Database & Disk Groups
Bill Smith
RE:
Fri 5/8/2009
Details of last Purchase Order
Thurs 5/7/2009
Karen
I’ll be out of town next week
PO attached
FW: PO attached
Steven Taylor
Weekly update
This is a funny story…
Subject
12 month evaluation due
I found it.
Weds 5/6/2009
URGENT: please call!!
RE: Benefits question
Supplied Purchase Order
Your password was reset
New meeting?
Cancelled: Meeting with Bill
Tues 5/5/2009
Thanks
Patrick T
Vacation pictures!
Meeting Scheduled
RE: Meeting Scheduled
PO attached for project
Benefits question
Sam Jones
FW: another template
Tues 5/5//2009
Lunch today?
Mon 5/5/2009
Project materials needed
Journal Mailbox
& Archive Services
Database & Disk Groups
Exchange Server
PO attached for project
Tues 5/5/2009
Supplied Purchase Order
Weds 5/6/2009
PO attached
Thurs 5/7/2009
Stubbing Service
Archive Subscription Server can optionally store an /attachment into ECM Repository as a Document Type for participation in Workflow, Folder, Custom Queries. Use s for both archive/retrieval (compliance, administration) and transactional processing (as part of the business process). Vendor correspondence related to a purchase order, agreed to one time price reduction on invoice. Investigating purchasing agent who received kickbacks from vendor – find this copy via Archive. is also cross-referenced to original PO.
ECM User 49

50. Organizational Value E-mail Recovery
Automatically capture and archive
Recover via a single interface
Support compliance initiatives
Exchange Performance
Reduce cost of Exchange administration
Eliminate the misuse of in-boxes/clients
Keep administrators and users happy 50 50

51. Archiving Vs. Outlook Integration
Enterprise
Exchange Server Journal
Auto Capture/Index s
All or selective groups
Full Text Searching
Ability to build sub-sets
Audit Logs
Retention
Where there is need to archive all s for regulatory compliance/discovery
Outlook/Notes/Groupwise
Desktop, Role-based
User Defines Content
Capture Content Tied to Business Function
Auto Indexing with ability to index other criteria
Native Format
& Attachment stored together or separately
exists along with other records that are part of process
Manage for retention:
Date based
Event based

52. Comparison - Email Options with ECM

53. E-mail Technologies Messaging Applications Archiving Solutions
Messages stored in inbox; difficult for others to access
Not designed to handle growing volumes of s.
Does not provide litigation holds except for entire mailboxes.
Archiving Solutions
Move or copy messages to a central, separate repository
Uses defined rules to archive s:
Age, size, attachments, sender/recipient, content, etc.
Indexed to provide faster search
May provide de-duplication or single instance storage.
Facilitate retention & disposition
Tamper proof storage.
Replace message with stub in Messaging System.

54. E-mail Technologies E-mail Management Solutions Compliance Solutions
Set up walls between groups like banking & consulting
Scan for inappropriate content, sensitive or confidential data
Address proliferation of PST files on user desktops
Scour archives for messages to de-duplicate & send to archiving.
Classification by message content or metadata
Apply tags or labels to s
Compliance Solutions
Address specific compliance requirements
May include archiving component.
monitoring & notification
Block messages or sent alerts

55. E-mail Technologies Discovery Solutions Security Solutions
Streamline message discovery & litigation support
Apply litigation holds & ability to lift holds.
archiving component.
Searching tools to find responsive messages.
Add metadata like bates # to messages
Redaction & Exporting
Security Solutions
Scan for threats (incoming or outgoing)
Assert control over mobile deivces.
Centralize encryption methods.

56. Managing Emails in the Cloud
Does the cloud solution support managed folders and retention?
Does the cloud solution enable legal holds?
How do you get large amounts of s back when you have that eDiscovery project?
What are the security issues relating to Cloud storage? Are the s stored in your jurisdiction?
Will the cloud solution allow me to put s in my ECM Solution?
How does the cost increase over time?

57. Program Costs
In her Webinar titled “ Archiving: Avoiding an ‘End-Run’ Around RIM”, Deborah Juhnke, CRM, provides this analysis for an Archiving program:
$6 per user per month and 5K users = $30K per month
Program cost to organization is $360K in year one.
With 30% growth, cost goes up to $468K in the 2nd year
Cost is $1.34 million after 5 years.

58. E-mail Policy Elements
State the principles of your policy
belongs to organization and not the user
management adheres to regulatory requirements
usage: what is acceptable, what is effective
Retention and Disposition, Archival Issues
Back-ups
Legal Issues (holds, discovery)
Privacy, Monitoring, Security and/or Technology
Mobile & Remote like web-based
Procedures & Responsibilities for Compliance
Training
Audit

59. Effective E-mail Usage
s should always be professional.
Use an appropriate content-based subject line
Be careful on what you send/forward.
Copy only those who need the information.
Don’t automatically “reply to all” on s.
Is always the best way to communicate?
Use collaborative tools like IM, Blogs, SP, ECM, Wiki, RSS, especially for one way communication.
Do you need to send attachments? Send a link instead!

60. Email Charter (www.emailcharter.org)
Respect recipients time
Short or slow is not rude
Celebrate clarity
Quash open-ended questions?
Slash surplus CC’s
Tighten the ( ) thread
Attack attachments
Give the gifts of EOM or NNTR
Cut out content-less responses
Disconnect!

61. Guiding Principles for Email Management - AIIM
belongs to the organization
is a business tool.
should be used appropriately.
must be managed according to its content and value to the organization.
should be stored appropriately.
is not a record series by itself.
Users must be trained on your policy and file plan.
User participation is based on their roles.
policies have to be enforced & applied equally.

62. ROI ECM offer a strong payback on your organization’s investment.
50% of ECM adopters report an ROI of 1 year or less while almost 30% report they were able to recover their investments in less than 5 years
AIIM provides an ROI calculator which can help you to develop an ROI for management solution.
The calculator can be accessed at:
AIIM Professional Members can access it at:

63. Where to Start? Be proactive in reducing the volume of emails
Address s from a policy perpective
Usage, Retention & Disposition, Privacy, etc.
This will reduce the amount of to be managed.
Framework to ensure your EMM meets legal, regulatory & operational requirements.
Implement policy with training
Use technology as a tool for compliance
Audit your program for effectiveness & user compliance.

64. ARMA & AIIM Resources
ARMA International: Requirements for Managing Electronic Messages as Records (ANSI/ARMA )
AIIM International: Performance Guideline for the Legal Acceptance of Records Produced by Information Technology (ANSI/AIIM TR31).
ARMA International: Vital Records Programs: Identifying, Managing, and Recovering Business-Critical Records (ANSI/ARMA ).

65. ARMA Webinars
A Case Study: Establishing an Effective Program by John Annuziello
Classification Strategies that Work by Mark Diamond, Founder & CEO of Contoural.
Archiving: Avoiding an “End-Run” Around RIM by Deborah H. Juhnke, CRM
Halt the Hoarding of & Other Documents by Mark Diamond of Contoural.

66. Other Resources: Contoural White Papers:
10 Best Practices for Archiving
Archiving ROI & Business Case
What IT Can Do If You’re Going To Be Sued
Technologies for Managing s
by Jesse Wilkins, CRM, CDIA+
The Risks of Mismanagement:

67. Acknowledgements Lois Dillard, CRM Pat Dixon, CRM Karen Harris, CRM
Susan Hubbard, CRM
Angie Fares, CRM
Jesse Wilkins, CRM
Mark Diamond, CEO, Contoural, Inc.
Hyland Software, Developers of OnBase

68. Questions? Thank you! Tom Forsyth, CRM Account Executive
DataBank IMX LLC
1421 Patton Place, Suite 200
Carrollton, TX
Phone:
Cell: