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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
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Presentation Agenda E-mail Usage and Challenges
as a Business Record Strategies Best (& Worst) Practices Retention Classification Strategies with ECM Archiving Policies
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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.
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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
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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.
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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 .
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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
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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
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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!
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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.
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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
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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
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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
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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.
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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
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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.)
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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!
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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?
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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
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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.
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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.
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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.
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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.
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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.
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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
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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
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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
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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.
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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
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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.
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Outlook functionality
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ECM Integration functionality
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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
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Upload E-mail (drag/drop)
Free Indexing! Upload (drag/drop) 35
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Upload E-mail (toolbar button)
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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
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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
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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
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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.
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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
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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.
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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
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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
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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
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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
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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).
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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
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& 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
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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
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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
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Comparison - Email Options with ECM
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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.
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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
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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.
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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?
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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.
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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
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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!
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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!
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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.
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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:
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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.
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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 ).
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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.
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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:
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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
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Questions? Thank you! Tom Forsyth, CRM Account Executive
DataBank IMX LLC 1421 Patton Place, Suite 200 Carrollton, TX Phone: Cell:
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