Fortis Email Management for Exchange

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Fortis Email Management for Exchange
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Agenda

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

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Pressures Driving Email Management

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

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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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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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PST Management

• Why Manage PST Files?
• Difficult to locate
• Hard to access/password protected
• Lack of central management/user-created
• Possible corruption issues
• Contain proprietary business knowledge
• Occupy valuable space
• Difficult to back-up
• Fortis Email Management can
• Locate all PST files (network and desktop)
• Report on PST files and their location
• Access and manage content within desktop and
  network PST files
• Export information out of PST Files
• Enforce corporate policies within PST file and
  mailboxes files concurrently
• Decrease the need for PST files

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PST Management

• Manage all (network and desktop) PST files
• Apply the same rules to mailboxes and PST files
  alike
• Locate and gather statistics on all PST files
  and mailboxes

Local
Network
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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 and NFA Rule
  2-9.
• Registered investment advisors must comply with
  new email retention provisions of Rule 204-2
  contained in the Investment Advisers Act.
• The Investment Dealers Association of Canada
  imposes email retention and supervisory
  requirements on Canadian investment dealers
  through IDA By-law 29.7.
• Other data retention requirements focused on the
  financial services space include NCUA Part 749,
  12 CFR 226.25, 17 CFR 270, 17 CFR 275 and 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 the Health
  Insurance Portability and Accountability Act
  (HIPAA), the Medicare Conditions of
  Participation. Further, Medicare and Medicaid
  reimbursement to rural health clinics requires
  that these clinics maintain medical records for
  six years.
• Contractors to the US federal government must
  satisfy provisions of the Federal Acquisition
  Regulation (FAR).
• Almost all organizations, depending on the
  jurisdiction(s) in which they operate, are
  subject to regulations like the
  Gramm-Leach-Bliley Act, Californias SB 1386, the
  Americans with Disabilities Act, the Patriot Act,
  the Toxic Substances Control Act, the Civil
  Rights Act of 1964 and the 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 in a case in
  which Perelman alleged that 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.
• 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 that had been requested.
• In December 2002, Salomon Smith Barney, Morgan
  Stanley, Piper Jaffrey Hopwood, Deutsche Bank
  and Goldman Sachs were fined a total of 8.25
  million because of their 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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Poor Martha

• Imclone and Martha Stewart
• Insider trading
• It was during this time, Congress contends, that
  Mr Bacanovic left his cryptic message with Ms
  Stewart's office.
• At 1.14pm he sent Mr Faneuil an email asking,
  "Has news come out yet? Let me know." Mr Faneuil
  responded "Noting (sic) yet. I'll let you know.
  No call from Martha either."

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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 Fortis Email Management and how
  it can address what we just discussed

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What is Fortis Email Management?

• Best-of-breed solution powered by Sherpa
  Softwares Archive and Mail Attender products
• Fortis Email Management 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 Fortis or other UNC
  paths
• All Exchange messages are stored as MSG in Fortis
• All archived MSG files can be launched back to
  MSG
• Fortis never changes the original file format
• Data about the email can be exported to XML or
  ASCII
• Attachments are stored in their native format

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FEM Meets Compliance Archiving Needs

• Fortis Email Management 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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Fortis Email Management Benefits

• Fortis Email Management (FEM) is the Only Archive
  Solution to Address all Essential Enterprise
  Requirements
• Storage Management / Mailbox Management allows
  administrators to set granular attachment
  stubbing policies. When attachments are stubbed,
  they are removed from the Exchange data store but
  still accessible via the archive directly from
  the original Outlook message. With FEM, companies
  can provide infinitely expandable mailboxes while
  decreasing Exchange data stores by as much as
  80.
• Record Retention Compliance Set granular
  retention and deletion policies using any
  criteria and FEM will make sure that messages are
  stored properly and deleted at the appropriate
  time.
• Continuity Recovery FEM Email Archive ensures
  that companies will never lose access to email
  and that no message will ever be lost. In the
  event of an outage in your primary mail
  environment, Fortis Disaster Recovery allows
  users to activate a standby email system in less
  than 60 seconds and provide full email
  capabilities including direct access to
  historical email contained in the archive.
• E-Discovery FEM makes it easy for legal counsel
  to search selected mailboxes or the entire
  environment using any search criteria.

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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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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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Fortis Email Management 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 Fortis Portal
• 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 - FEM provides a complete audit
  trail of all activities, including permission and
  policy changes.

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How Simple is it to Retrieve the Email from the
Fortis Archive?

• Select the Archived Emails Outlook folder
• Fortis Portal
• Fortis PowerWeb

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How Simple is it to Retrieve the Email from the
Fortis Archive?

• 3. Fortis LAN client

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How Simple is it to Retrieve the Email from the
Fortis Archive?

• 4. Select the URL on the email stub

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Fortis Email Management Features

• PST Management FEM 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 - Fortis Email Management provides the
  stub URL link so users can access info that has
  been archived to Fortis

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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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Journal to Archive
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Types of Journaling

• Message-only journaling - sends a copy of a
  message to the journaling mailbox every time a
  user in a journal-enabled mailbox database sends
  or receives a message
• Envelope journaling - provides a much more useful
  service because it records data about all
  recipients that a message is delivered to
• To comply, you must show who actually received a
  particular message, regardless of whether they
  were on the Bcc line, or were a member of a
  distribution group that has since changed

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Impact of Journaling

• The main impact on infrastructure is the increase
  in network traffic because of enabling journaling
• Storing 2 copies for each email
• The impact is directly proportional to the number
  of users who are being journalized and how much
  mail is sent between mailbox databases in the
  organization

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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 - Retention

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

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

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Competitive Landscape

• Top-tier Competitors
• Symantec Enterprise Vault
• MessageOne
• EMC
• Iron Mountain
• Fortiva
• NearPoint by Mimosa Systems
• Differentiators
• Very expensive
• 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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Fortis Email Management Advantages

• Easy installation
• Comprehensive PST file management eliminates PST
  files and associated management headaches
• No client installation
• No installation required on the Exchange server
• No additional database or hardware necessary
• Archived information is stored in its native
  format for easy retrieval
• Efficiently priced licensing with volume
  discounts available

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• For pricing or more information
• Jonathan Langdon-Phillips
• Director of Professional Services
• Tel [phone] ext. 623
• E-mail jlangdon_at_westbrooktech.com