CommonStore Email Archiving Presented by: &

1. CommonStore Email ArchivingPresented by:&

2. Welcome Today’s Presenters: Carol Schreiber President Workgroup Connections, Inc. Jim Bergeson IBM Solutions Specialist, Information Integration & Content Management Software IBM

3. What’s New with Workgroup Connections • August 2006 – Celebrating 13th Years in Business as a Company and an IBM Premier Business Partner • Experienced Record Revenue Growth in 2005 • Increased Our IBM Software Sales by 400% • Continue to Focus our Core Business on IBM Software • Adding New Strategic IBM Software Offerings

4. IBM Software Brands • Extend our Service Offerings Across the IBM Software Brands • Select Strategic Products that can Benefit our Core Customer Base • Websphere Portal • Websphere Application Server • Websphere Business Integration Tools • Workplace Forms • Content Manager Products • CommonStore Email Archiving

5. IBM Business Partner Program • IBM Works Closely with Workgroup Connections in Helping to Expand our Core Product and Service Offerings • Increased the Role of the Value Added Distributors (VADS) • Ingram Micro • Market Development, Sales & Technical Expertise • IBM has Made Dramatic Changes to the Partner Program over the Past 2 Years • Increased Resources • Increased Technical and Sales Training • Increased Funding and Incentives for Business Partners • Example – Today’s CommonStore Presentation • Sales & Marketing Expertise • Technical Expertise • Business Partner Enablement

6. Managing Your E-mail to:- Reduce IT Costs and Improve Performance- Improve Customer Service- Address Compliance Requirements- Store as a Business Document Jim Bergeson bergeson@us.ibm.com

7. Agenda • Introduction • What’s driving the need for e-mail archiving today? • E-mail archiving solutions – IBM’s approach • To manage the growth of the email / messaging system • To address compliance requirements • To treat emails as business records • As part of an overall Enterprise Content Management Solution • Demonstration • Q &A • Close

8. Recent News “Wall Street Firms fined for not preserving e-mail” “We think that the emails were destroyed”

9. Email problems are unceasing (Ovum 2004) • “…. businesses can’t afford to be without their email systems, and they cannot afford to lose business-critical email that provides a record of their business decisions and transactions. Such records are required for accountability and productivity purposes.” • Mailboxes are overflowing & IT is forced to restrict the size of employees mailboxes • Email systems don’t provide searchable archive storage • Litigation costs • Non-compliance with regulations and laws • Email systems do not provide an audit trail • Email systems do not help email value (as a business document) to be realised • Each mailbox is an information silo

10. Mailbox Management Challenges • Mail boxes • Mail is not just a communication tool • Mailbox is often used for keeping track of business information (customer folder, project folder, etc...) • Mailbox can be a mixture of important business data, informal communication, even private mails • Often, there are no retention policies in place • Current industry data • 76 emails/day/user • 80-100KB/email • 140MB / month/user • 1.7GB / year/ user • 3000 users : 5TB / year • 80% of organizations use email to close business transactions / orders. • Average number of e-mails that are kept: 10 daily per user (going up) • Message storage growth in excess of 25% per year!

11. Why organizations are archiving email • Storage / Mailbox Management: • to improve email server performance & reduce IT (storage & labor) costs • to manage the huge growth in email volumes – more users, larger mail boxes, growing size of attachments, email message storage redundancy • The lack of email management impacts end user productivity. • Regulatory Compliance & Legal Discovery • to comply with laws, regulations and internal policies (search, monitoring, supervision, discovery & retention) • to protect themselves from lawsuits by having a formal retention policy (FORRESTER, by Erica Rugullies and Robert Markham, 2004) • to reduce the cost of providing email evidence as part of litigation • Information Sharing • to make the email & attachment (content) “business records” available to others in the organization (for customer service, cross marketing, fraud detection, etc.)

12. What is in the mail box? • 90% of all e-mails have no attachments • Emails with graphics continue to take up more storage space • 10% have attachments….. • However, attachments occupy about 75% of the total storage • Attachments can be enormous • Old e-mails • Little access • Are kept for possible later look-up • Have potential issues for compliance reporting • Users don’t want to delete old emails “just in case they may need it”

13. Specific Industry Requirements • Financial / Insurance firms • Email and Instant Messaging archiving to non-erasable storage devices • Supervision - monitoring, sampling, workflow, auditing, reporting • Cross industry (Manufacturing, Healthcare, Legal, Government, etc.) • Providing enterprise access to email as a business / transaction record • accessing old email that has been stored but not deleted • Litigation support – to produce evidence to support litigation • discovery, reporting, and case production • Content filtering to support corporate compliance policies • Scanning and quarantine of potentially offensive or inappropriate email is becoming more prevalent. • Records Retention • Corporate File Plan – declare, classify, manage and destroy • Save eMails for only a specified period of time to reduce legal exposure • Event based management, legal hold, final disposition management

14. Who in the organization is concerned about email archiving? • Compliance Officer/Manager/Director • regulatory compliance • Chief/Senior Counsel • litigation support / protection • Chief Security Officer • compliance & litigation • IT Mgr, Notes Administrator or Exchange Administrator • control email growth & administration • CIO, CEO • reduce costs (email infrastructure & lawsuit exposure) • Line of Business, Sales, Customer Service Exec. • customer service & sales support

15. Email Business Problems & Pains • Email Administrator: • “My email users are complaining about poor response time” • “I need to keep adding more and more disk storage because of the explosive growth in email volume and large attachments. Backups and restores take too long. It’s a challenge to keep control of our email system” • CIO: • “I think it’s ridiculous that we have so much redundant information being stored in our email system. People send the same email and attachments to multiple people and we store the same information multiple times” • “The business units are all over me about the restrictions we impose to keep mail box sizes down” • Line of Business Executive: • “My employees don’t have the time to think about which emails should be saved and which should be destroyed. We need a standard policy” • “There are a lot of emails that are customer service related that we never see or know about because we are not included in the distribution. It would be great if we could do a search on a repository for specific words, terms or names to see all the emails our customers are sending” • Compliance Officer: • “If we are not NASD or SEC compliant, we could be liable for sizable fines” • “I must be able to show that our email management process prevents emails from being altered” • Chief Legal Counsel: • “We have a lot of legal exposure because some emails are on desktop PC’s or backup tapes that should be destroyed while there are other emails that we need to keep that we cannot find.” • “Our chances of winning favorable judgments in litigation are reduced when we cannot show that we have a “usual and customary” process for managing email and other records. It is a slow & expensive process to search emails that are on backup tape.”

16. SEC Rule 17a-4 Digital Archiving Requirements NASD Rule 3010 & 3110 SupervisoryRequirements Legal and Regulatory Requirements • Compliance with state or federal legislation, industry regulations • Often document retention rules are specified • Content supervision may be required • E-mails as evidence in legal cases / litigation

17. E-mails as legal evidence • Informal e-mails have played a critical role in lawsuits • Often there is no policy to manage email as a business record • A formal records management or archiving policy can prevent intentional or accidental deletion of email (evidence) • Central archive makes search and restore easy (versus mounting backup tapes and printing all emails) • Email messages including message body and attachments can be searched and discovered

18. E-mail active-archiving systems should: (by Gartner, 24 Nov 2003, What Is E-Mail Active Archiving? ) • Automate the capture and archiving of all e-mail messages • Provide the end user the option of accessing the archive via a Web client or through the e-mail client. • Include auditing to track access to archived records • Support the secure storage of increasingly large archives offering multiple storage options for the archive • Exploit Hierarchical Storage Management (HSM) technology to automatically prune the active email data store for more efficient operation • Offer migration tools and temporary offline local storage options to eliminate the storage of e-mail messages in personal folder storage outside the control of the archive system • Package or integrate with tools to manage the discovery process, narrowing the search and managing the steps needed to deliver records • Include basic records management features or integrate with a robust records management solution to manage the life cycle of the records to ensure proper retention and deletion • Package tools for sampling and management of the compliance process

19. IBM CommonStore solutions bring relief for your email system! • Provide efficient and automatic offload from Lotus Domino or Microsoft Exchange • Can store email in an electronic archive system (repository) • Provide easy retrieval through the existing email client • Provide regulatory compliance • Records management capability can be added • Can be part of an overall Enterprise Content Management (ECM) solution

20. Moves email &/or attachments from personal mail boxes in expensive production environment to inexpensive storage environment (electronic archive) User-driven or automatic (rule based) archiving Simple rule set (policies) Document age (modification date, access date), Document size, Mail box size,etc. Various archiving options Attachment archiving Mail body remains within email client Stub archiving Leaves the mail header ("stub") in email client as a placeholder Placeholder can be text, a retrieval “hot-spot” or an intelligent abstract of the message Removing the entire message Can still search for email Maintains email form “fidelity”. Can convert emails to PDF, TIFF, rich text, etc. if required Efficient & automatic email &/or attachment offload from Lotus Domino or Microsoft Exchange

21. Characteristics of an Electronic Archive System (repository) • IBM archive repository options: • IBM Content Manager or Content Manager OnDemand system • Choice of server platform (Windows, AIX, Sun, HP-UX, iSeries, zOS /390) • Flexible mapping of e-mail message attributes such as subject, sender, date, etc. to repository index meta data • Other attributes can be added to the email such as customer number, vendor number, policy number, etc. • Email can be stored in subject-matter “folders” with other application content such as order documents, insurance or loan applications, statements, written correspondence, etc. • Reduced storage costs with Single-Instance-Store • Storage on tape, hard disk, non-erasable disk or optical (WORM), etc.

22. eMail Clients eMailServer(s) Manual or Auto Archiving CommonStore IBM Content Manager or Content Mgr OnDemand Repository Tivoli Storage Mgr. Storage Media (disk, tape, optical) Using IBM CommonStore to Archive Emails to a Content Repository • Archiving to IBM Content Manager (CM) or OnDemand • Secure storage • Write Once Read Many (WORM) media • Implementation and enforcement of e-mail retention policies • Seamless retrieval of archived e-mail and attachments from Outlook client, Notes client or CM client • Direct access by users to archived messages with Full Text Search on message body, attachments • Storage savings with Single Instance Store (SIS) in CM • CM folder management

23. Easy retrieval through the email client (Lotus Notes or Microsoft Outlook) • Fully integrated, easy to use • Special support for mobile users • Can also access emails through the client of the electronic archive • No Client code installation needed (integrated in mail template)

24. Example: Attachment archiving Attachment placeholders

25. Reference records Data object Single-Instance-Storing of emails saves storage costs Send mail with distribution list CommonStore eliminates duplicates while storing CommonStore Mailboxes on mail server

26. IBM CommonStore Demonstration

27. IBM CommonStore Solutions for Regulatory Compliance • Message Monitoring with Orchestria (Supervision) • IBM Email Search (Discovery)

28. Intelligent Review or Realtime Review for Message Monitoring & Retention Customers • Sample Behaviors/Patterns • “Misuse of Funds” • “ Illegal” • “Unauthorized” • Customer Complaints • Stock Manipulation • Insider Activity • IPO • Hard Sell • Rumors • Inside Knowledge • Order/Order Confirmation • High Pressure Tactics • Stock Hype • Restricted Issues • Jokes / Profanity • Confidential Information • Non-Public Personal Data • System e.g.Configurable • File Size Limits • Unauthorized Solicitation • Litigation • Regulatory Inquiry • Any Customer-Defined Lexicons Internet Quarantined Compliance & Content Management Content Manager Released Compliance Reviewer Employees Litigation Officers Email SYSTEM

29. IBM Content Manager for Message Monitoring & Retention Solution • Content Management for Message Monitoring and Retention • Combination of • IBM components • Content Mgr: archive • CSLD, CSX: mailbox management (stubbing in personal mailboxes) • eMail Search for Discovery (Intelligent search and retrieve for litigation support) • Orchestria components*: • Intelligent Review • Real Time Review • (To meet NASD regulations for supervision) • *Orchestria is purchased separately from an Orchestria business partner “journaled”emails subject to message monitoring (compliance regulations) eMail Clients Manual or Auto Archiving eMailServer(s) Orchestria* CommonStore Content Manager Tivoli Storage Mgr. Non-erasable Storage Media(DR 550, NetApp SnapLock)

30. IBM eMailSearch for Discovery eMailSearch application Export Request Messagingsystem Content Manager v8 CommonStore

31. IBM Email Search (EMS) • Discovery and Compliance • Used by organizations that need to meet federal or state laws / regulations and/or industry regulations • Examples: SEC regulations, SOX, NASD, DoD 5012 • Need is often driven by legal dept., compliance dept., marketing & sales, customer service, auditors, fraud prevention, etc. • Provides: • Fast and reliable access to archived email (across the enterprise) • “We don’t know what we will search for” -> full-text search • “We don’t know how often we will search” -> scalable search engine • “We don’t know what we will search for” -> flexible queries • “We have to handle big volumes” -> scalable e-mail repository • Discovery search of e-mail content (Example: litigation) • Controlled deletion for risk mitigation • IT Benefits • Backup tapes are not an option (restore too slow) • Central archiving easier to search than user local mail archives • Need a central, easy-to-use search interface

32. Discovery Driven Requirements • Fast and reliable access to archived email • “We don’t know what we will search for” -> full-text search • “We don’t know how often we will search” -> scalable search engine • “We don’t know what we will search for” -> flexible queries • “We have to handle big volumes” -> scalable e-mail repository • “We just want to be prepared in case we need to search one day” • Technical Response • Backup tapes are not an option (restore too slow) • Central archiving better than local mail archives by user -> CommonStore with Content Manager as backend • Central, easy-to-use search interface -> eMailSearch offering

33. eMailSearch Offering • Leverages strategic IBM CM Software infrastructure providing industry leading capabilities, scalability and manageability • Content Manager, DB2, CommonStore for Lotus Domino, Tivoli Storage Mgr. • Offering provides support for Discovery activities against the eMail archive • Easy to use and intuitive web based interface • Search email header data fields: To, From, Date, Cc, Bcc, Subject • Search email bodies and attachments via full text index • Search with keywords, phrases, Boolean logic and wild cards • Client renders emails with highlighting including lotus notes rich text • Attachments viewed in native format via native application • Selected eMails can be exported to NSF DB for further analysis and delivery to other organizations if needed (SEC for example) • National Language Support (NLS) via fully Unicode enabled IBM software stack

34. eMailSearch – Search panel Attribute based search Full-text search

35. eMailSearch - Hit list, preview and highlighting Highlighting of search result

36. eMailSearch - Browser view of formatted eMail

37. eMailSearch - Export feature Export action

38. eMail Clients eMailServer(s) Manual or Auto Archiving Other “imaging” or content management applications CommonStore Content Manager IBM Content Manager or Content Mgr OnDemand Repository Tivoli Storage Mgr. Client Storage Media (disk, tape, optical) The central “content” repository can be used for other content management applications

39. Use the Content Manager Client for easy retrieval of emails and other content from the IBM Content Manager repository Full Text indexing and retrieval from Content Manager • Enter a search • Get a hit list (results) • Click to open document

40. IBM Enterprise Content Management (ECM) Business application generated invoices, statements, reports • Why ECM: • Eliminates paper-based work processes that reduce user productivity • Automates work processes • Provides concurrent access to content • E-mail needs to be treated as a business asset • Office documents can be shared via this enterprise library / repository • Customer service is improved because all business content is available on-line • Web content is always current • Rich Media (Video and Audio) is available as needed on line Scanned Paper and fax ERP, SCM, CRM data Business Content In IBM Content Manager E-mail Office documents & correspondence Audio, Video, Photo Web Content

41. CommonStore is part of the IBM Enterprise Content Management Solution Business application generated invoices, statements, reports Scanned Paper and fax Wireless & PDA ERP, SCM, CRM data Business Content in a Central Repository Kiosk E-mail Office documents & correspondence Portal / Browser Audio, Video, Photo Web Content Call Center

42. What if information & content is located in multiple, disparate repositories?

43. Call Center CRM/ERP Self-Service Compliance Web Sites Content Manager ReportMgmt Web Content/Media AssetMgmt Other Imaging or WorkflowDoc Mgmt System NetworkFileSystems ERP, CRM, DB, etc. IBM Information Integrator - Content Edition Provides access to related content that is stored in multiple repositories. • Search by: • SSN • Part Number • Vendor Number • Contract Number • Customer Number • Loan Number • P.O. Number • etc. • Single interface to multiple content sources and workflow systems • Federated (simultaneous) search to multiple content and data repositories

44. The customer service representative (CSR) accesses the documents tab for a virtual view of all content related to the customer, regardless of where it is stored.

45. In Summary, IBM CommonStore Email Management … • Reduces email operational costs • Fewer disk storage systems & servers • Single-instance-store • Compression • Faster email server backup & restore • Lower litigation costs with efficient, accurate email retrieval • Less costly disaster recovery implementations • No need for local archives on user PC workstations • Provides business unit benefits • Improves system performance (response time) • Allows messaging system (email) content to be used as business documents • Increases user productivity by reducing email search and retrieval times • Provides increased business content security • Safely archives email for regulatory, legal or corporate compliance reasons • Improves customer service

46. IBM Differentiation • Low risk solution – IBM is the leader in Content Management solutions • 1.5 million CommonStore users • All IBM solution (CommonStore email Interface, Content Manager repository, Tivoli Storage Management software, database, hardware, etc.) • Scalable • we have installations from 200 to 60,000 seats • Extensive Platform coverage • Microsoft Exchange and Lotus Domino Email systems • Repository platforms include Wintel, AIX, SUN, z/OS • Email archiving is part of IBM’s Enterprise Content Management portfolio of award-winning solutions • easy add-on of additional integrated components such as IBM Records Manager Content Management, Imaging, Workflow, Report Mgmt & Distribution, COLD, Web Content Management, SAP archiving, etc. • expand use of Content Manager repository for other content management needs such as digital media archive, web content management archive, “office” documents archive, etc. • Information Integration • Combining structured and unstructured information with Information Integration and Information Integration for Content Edition, IICE

47. Technical Summary • CommonStore for Exchange • Runs on Windows 2000, XP, 2003 Server • Supports MS Exchange 5.5, 2000, 2003 • Supports Outlook 97, 98, 2000, XP, 2003 • CommonStore for Lotus Domino • Runs on Windows 2000, XP, 2003 and AIX • Supports Domino R5 and R6 • Supports Notes Client, Domino Web Mail and iNotes • Supported backend archive repositories • Content Manager v7.1 (Windows, AIX, zOS) • Content Manager v8.2 and higher (Windows, AIX, Sun Solaris, Linux, zOS) • Content Manager OnDemand v5.1 (iSeries) • Content Manager OnDemand v7.1 (Windows, AIX, Sun Solaris, HP-UX, zOS) • Tivoli Storage Manager v4.2 and higher (Limited functionality)

48. Various email archiving configuration options to meet customer needs • Use IBM CommonStore to archive emails and/or attachments to a “content repository”. • Use the content repository for other content applications such as imaging, digital content, report / statement archive, etc. • Use IBM CommonStore with IBM Records Manager to “declare” emails business records. • Use IBM CommonStore with an email “search & discovery” product such as IBM Email Search (EMS) • For regulatory compliance, customer service, litigation support and enterprise search • Use IBM CommonStore with an email “supervision & discovery” product such as iLumin Assentor • For regulatory compliance

49. Case studies • Large enterprise in the travel industry with 50,000 Notes users • Before: 12 TB on Domino servers • After: 4 TB on Domino server, 8 TB in Content Manager Insurance company with 2,500 Exchange users • Before: 600 MB average mailbox size • After: just 200 MB • Saving every month: 15 GB Insurance company (US) with 50,000 Notes users • Has used CommonStore for SEC compliance since 2000 • Reference video on Internet • Archiving • Automatic preprocessing and archival with Notes agent • Index fields: recipient, sender, date, subject • 150.000+ e-mails per day; currently 150 million mails in archive (approx. 7 TB) • Storage on WORM tape • Old backup tapes • Restored back to 1998 • Instant messaging • Have started archiving Sametime chat logs Commonstore Success Stories - http://www.ibm.com/software/success

50. Further information • Recommended web links • http://www.ibm.com/software/data/commonstore • http://www.ibm.com/software/data/cm • http://www.ibm.com/software/data/cm/cmgr/rm