Email management for exchange

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Email management for exchange

• Pressures Driving Adoption, Compliance and
  Product Overview

2
Agenda

• Pressures driving document management
• Why email management?
• Important compliance mandates
• What is Sherpas Email Management?
• What can be archived?
• Benefits
• Features
• How do you retrieve emails?
• Journaling
• Exchange limitations
• Competitive landscape
• Target market
• Questions to ask
• Demonstration

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Email Management Statistics

• In the past 3 years, 81 of IT departments have
  been required to search back-ups to retrieve one
  or more emails
• Almost 50 of organizations have been ordered by
  a court or regulatory body to produce email
• 4 out of 5 users employ personal/local archives
  (PST) to store messaging system data

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Pressures Driving Email Management

• Compliance
• Storage
• eDiscovery
• Business Continuity
• Corporate policies
• PST management

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Why Email Management?

• eDiscovery - Can your organization search across
  all mailboxes for eDiscovery purposes?
• Speed of Retrieval An organization faced with
  the cost of satisfying a legal discovery order
  using nothing but backup tapes faces potentially
  major costs
• Disaster Recovery fault-tolerant high
  availability access to emails when as disaster
  occurs. No need to restore back-up tapes.

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Why Email Management?

• Storage Management reduce storage space on the
  Exchange server, increase server performance and
  decrease back-up/recovery
• Knowledge Management - Email systems have become
  the primary file transport mechanism and
  repository for most organizations. 90 of email
  users refer to old email when composing new email
• Email Mining - extract knowledge from a company's
  rapidly expanding email stores, using specialized
  email archiving solutions
• PST Management What happens if a users local
  PST file mysteriously disappears?

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• Email Management and Compliance

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Important Compliance Mandates

• Broker-dealers must comply with a variety of
  retention and supervisory regulations, including
• SEC Rules 17a-3 and 17a-4
• NASD Rules 2210 and 3110
• NYSE Rules 440, 342 and 472
• NFA Rule 2-9
• Registered investment advisors must comply with
  new email retention provisions of
• Investment Advisers Act Rule 204-2
• The Investment Dealers Association of Canada
  imposes email retention and supervisory
  requirements on Canadian investment dealers
  through
• IDA By-law 29.7

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Important Compliance Mandates

• K-12 and High Education need to comply with
• Family Educational Rights and Privacy Act (FERPA)
  which is a Federal law that protects the privacy
  of student education records
• Financial services space include
• NCUA Part 749
• 12 CFR 226.25
• 17 CFR 270
• 17 CFR 275
• 17 CFR 240
• Large, public companies face regulatory
  requirements from statutes like Sarbanes-Oxley,
  specifically Sections 404 and 802.

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Important Compliance Mandates

• Organizations that manage healthcare-related
  information must satisfy statutes like
• Health Insurance Portability and Accountability
  Act (HIPAA)
• Contractors to the US federal government must
  satisfy provisions of the Federal Acquisition
  Regulation (FAR).
• Cyber Security Enhancement Act Allows U.S.
  government officials to receive email records
  from ISPs without warrants

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Important Compliance Mandates

• Almost all organizations, depending on the
  jurisdiction(s) in which they operate, are
  subject to regulations like
• Gramm-Leach-Bliley Act
• Californias SB 1386
• Americans with Disabilities Act
• Patriot Act
• Toxic Substances Control Act
• Civil Rights Act of 1964
• Personal Information Protection and Electronic
  Documents Act (Canada)
• To name but a few of the many regulations that
  include data retention provisions

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What If You Dont Comply?

• Ronald Perelman sued Morgan Stanley
• Morgan Stanley did not uncover fraud at appliance
  maker Sunbeam.
• Because Morgan Stanley did not provide to the
  court emails that it was ordered to produce, the
  judge in the case told the jury that Morgan
  Stanleys failure to produce the emails was an
  act of bad faith
• Perelman won a 1.7 billion judgment.
• Further, in February 2006, the SEC fined Morgan
  Stanley 15 million because of their inability to
  produce the required emails in this case.

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What If You Dont Comply?

• In March of 2004, Bank of America was fined 10
  million by the SEC for failure to
• a) continue to retain email records regarding a
  recent merger and
• b) for taking too long to comply with regulatory
  requests.
• The SEC charged that Bank of America misled
  regulators and took too long to produce evidence
  in an investigation of improper trading by
  employees at its securities brokerage.
• The bank complained that it would be too much
  work to produce certain archived emails
• It took the bank nearly two years to produce all
  of the emails

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What If You Dont Comply?

• In December 2002, Salomon Smith Barney, Morgan
  Stanley, Piper Jaffrey Hopwood, Deutsche Bank
  and Goldman Sachs were fined a total of 8.25
  million
• Failure to adhere to SEC Rule 17a-4 which
  requires broker-dealers to preserve electronic
  data on non-rewritable, non-erasable storage.

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Important Facts to Know About Email

• Email constitutes a written communication that
  carries the same formality and weight of a
  certified letter
• Email is increasingly included in legal discovery
  orders. Courts are increasingly finding that
  email contains valuable content that can be of
  value in legal discovery proceedings
• Deleted email is never completely deleted
• Deleting email on a regular basis is no guarantee
  an organization will not be held liable for
  producing email

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• Now, lets review Sherpa Archive Attender and how
  it can address what we just discussed

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What is Email Management?

• Sherpa Archive Attender consists of a server-side
  Microsoft Exchange level archiving tool
• Also supports eDiscovery, email manipulation,
  logic and quota management
• Does not sit on the Exchange server
• Provides back-end, transparent archiving of
  Exchange email accounts to any UNC path
• All Exchange messages are stored as zipped MSG
  within file system
• All archived MSG files can restored or deleted to
  Exchange

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Compliance Archiving

• Sherpa Archive Attender solution can
• Archive for specific users/departments
• Archive specific content based on keywords
• Archive all incoming and outgoing messages from
  the journal mailbox in native format
• Search archived data for compliance reviews
• Index archived messages and attachments for quick
  search results
• Maintain audit trails of all activity within the
  archive
• Enforce retentions on archived data so
  information is automatically purged after its
  useful life

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What Can be Archived?

• Exchange Mailboxes
• Messages
• Calendar Entries
• Contacts
• Tasks
• Journals
• Sticky Notes
• PST Files
• Journal Mailbox

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Email Retention

• Hierarchical Storage Management- move older/less
  critical data to secondary storage
• Delete archived messages after retention period
  expires

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Features

• Store Once, Access from Anywhere Store each
  email once and use it for storage management,
  legal discovery, continuity, recovery, and
  compliance. Retrieve anywhere in the world
  through .Net web interface
• Fast Search Discovery Retrieval of email and
  ANY type of attachments based on email content
  and search terms. Full support for complex
  e-discovery search, retrieval, and export.
• Full Outlook Integration Users can search the
  archive, retrieve stored attachments, and restore
  lost messages directly from Outlook or any web
  browser.
• Granular Policy Management Complete
  administrator control over mail retention
  policies by user, group, or message makes it easy
  to implement complex retention policies and to
  flag targeted messages with legal holds.
• Email Audit Trail - provides a complete audit
  trail of all activities, including permission and
  policy changes.

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Features

• PST Management supports both desktop or network
  PST files
• Public Folders ability to archive content
  stored in a public folder like collaborative
  project emails, calendar appointments, contacts,
  etc
• Stubbing - provides the stub URL link so users
  can access emails that have been archived
• De-duplication ability to archive only one copy
  of an email copied to multiple people
• Restore and Delete archived emails items can be
  restored with correct permissions

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Retrieve archived Email

• Select the URL on the email stub

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eDiscovery and Searching

• Administrator can search across all archives
  (messages and/or attachments)
• Allow Compliance/Security Officer to conduct
  searches across the archives
• Multi-threaded, simultaneous searching of
  individual indexes allows for faster responses

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Sherpa Stub options

• Multiple stub options to address varying needs
• Plaintext stub options to minimize space
• HTML stub options
• Option to include original body in the stub to
  support user searches in the Outlook client

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• The Importance of Exchange Journaling to an
  Archive Solution

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What is Journaling?

• Journaling is the ability to record all
  communications in an organization.
• It is important to understand the difference
  between journaling and archiving.
• Journaling is the ability to record all email
  communications
• Archiving refers to reducing the strain of
  storing data by backing it up, removing it from
  its native environment, and storing it elsewhere
• You may use Exchange journaling as a tool in your
  e-mail retention or archival strategy

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Why Journaling?

• Organizations must maintain records of
  communication that occur when employees perform
  daily business tasks
• The following is a list of regulations with
  requirements for journaling
• Sarbanes-Oxley Act
• SEC Rule 17A-4
• NASD 3110 and 3111
• Gramm-Leach-Bliley Act (Financial Institution
  Privacy Protection Act of 2001, Financial
  Institution Privacy Protection Act of 2003)
• Healthcare Insurance Portability and
  Accountability Act of 1996 (HIPAA)
• Uniting and Strengthening America by Providing
  Appropriate Tools Required to Intercept and
  Obstruct Terrorism Act of 2001 (Patriot Act)

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• So, why cant I use Exchange to manage my emails?

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Exchange Limitations

• PST files - no central management within Exchange
• Poor reporting and trending capabilities
• Retention and automated purging
• Black hole for storage always expanding
  Exchange storage
• Limited options to manage journal emails
• No good continuity strategy
• Limited policy enforcement options no
  granularity

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Policy enforcement

• 70 preset rules
• Flexible policy management criteria
• Folder level management
• Customize reports
• Multiple levels of deletion

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• Who are the competitors and how does Sherpa
  differentiate itself?

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Competitive Landscape

• Top-tier Competitors
• Symantec Enterprise Vault
• Mimosa
• MessageOne
• EMC
• Iron Mountain
• Fortiva
• NearPoint by Mimosa Systems
• Differentiators
• Very expensive
• Log shipping vs. MAPI
• Difficult to implement
• Only work with Exchange
• Not integrated with turn-key records and document
  management

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Target Market

• Regulated Industries
• Financial services
• Broker-dealers in securities trading
• Investment advisors
• Large public companies
• Healthcare
• Contractors to the federal government
• Banks
• These customers MUST implement email management
• Unregulated Industries
• Legal
• Architects
• Manufacturing for quality control processes
• Transportation
• Education

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Questions to Ask

• What are your email policies and how are they
  enforced?
• Do your email policies address the need to reduce
  storage costs, increase security, and reduce
  liability?
• What are you doing with outbound emails?
• How do your email policies differ by department?
• Are you aware of compliance mandates that affect
  email archiving and retention?
• Are you within the financial services, healthcare
  or banking industries? If so, are you in
  compliance with strict regulations around email
  management?

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• For pricing or more information
• Brent Wesler
• Office 203-789-8791 ext 119
• Mobile [phone]
• bwesler_at_infinet-sys.com