1. An Overview of GroupWise ® and Records Retention Lindsey Johnstone System Manager to the City Council City of Seattle lindsey.johnstone@seattle.gov

2. © March 9, 2004 Novell Inc. 2 one Net: Information without boundaries…where the right people are connected with the right information at the right time to make the right decisions. The one Net vision Novell exteNd ™ Novell Nsure ™ Novell Nterprise ™ Novell Ngage SM : : : :

3. © March 9, 2004 Novell Inc. 3 The one Net vision Novell Nterprise is an innovative family of products which gives you the power to enable and manage the constant interaction of people with your business systems — regardless of who they are or where they are. Novell Nterprise ™ Novell exteNd ™ Novell Nsure ™ Novell Nterprise ™ Novell Ngage SM : : : :

4. © March 9, 2004 Novell Inc. 4 Why Be Concerned? Storage The average user will attempt to retain/store 500 MB of messages per year (+1.5 TB of storage/year for 11,000 users) Volume IDC projects 33 billion messages per day in 2005, up from 23 billion MPD today Cost $1.6 mil to archive/restore messages for an organization with 8000, exceeds entire HD budget. White House spent $10M to recover 246K messages from 4,900 backup tapes…

5. © March 9, 2004 Novell Inc. 5 Knowledge IDC Reports that 60% of business critical information is stored in messaging systems Access 80% of archived data is either unprotected or inaccessible Critical information is routinely destroyed or lost Productivity Can you afford to burden users with the time overhead of mail management? Why Be Concerned?

6. © March 9, 2004 Novell Inc. 6 Strategy Needs to include consideration of some or all of the following: Local, state, or federal laws regarding citizen access Post office settings Messaging policies Hardware needs Message flow Storage method Storage management Retrieval process

7. © March 9, 2004 Novell Inc. 7 Local, state, or federal laws regarding citizen access Varies as to what is retainable Different retention schedules depending on position Length of time required to retain Tiered access - HIPAA Strategy (cont.)

8. © March 9, 2004 Novell Inc. 8 Verticals covered today Financial Legal Health & Medical Government Agencies Utilities Defense Consumer goods Strategy (cont.) Verticals covered tomorrow Any business process, in any organization, where records management has traditionally been applied to paper

9. © March 9, 2004 Novell Inc. 9 Policy Messaging policies Who owns the information? Personal use policies Retention schedule (45/7/120) Legal requirements Resource management

10. © March 9, 2004 Novell Inc. 10 Review Federal, State and Municipal Guidelines and Statutes to validate applicability Align with current Document Policies Define Mail Usage Policies No policy equates to multiple individual policies Encourage Positive Behavioral Change Policy

11. © March 9, 2004 Novell Inc. 11 ISO 17799 (standard for information security management) The Freedom of Information Act Securities and Exchange Commission Food and Drug Administration Policy HIPAA NARA GRS20 (Federal US) DOD 5015.2 Design criteria standard for electronic records management software applications Policy

12. © March 9, 2004 Novell Inc. 12 Legal Discovery Harassment Disclosure & Expected Lack of Privacy ECPA (Electronic Communications Privacy Act) Security Organization’s Internet Policy Contrast to Physical Security – Open Accounts Resources Bandwidth Storage Personnel Costs Policy

13. © March 9, 2004 Novell Inc. 13 Policy All e-mails to be preserved: For a period of not less than six years, First two years in an easily accessible place E-mails to be archived: On non-rewriteable, non-erasable formats where the quality and accuracy of the archiving process can be automatically verified Provide full audits of the archive environment Ability to review both inbound and outbound e-mail content

14. © March 9, 2004 Novell Inc. 14 Policy Why is retention required? Support for potential litigation Internal workflow Knowledge Management Historical record Some Sobering Facts (CNI 2001) 34% of Organizations could not recover e-mails Recovery costs too high to justify ongoing litigation, settlement is only option Almost half of all users routinely ignore policies

15. © March 9, 2004 Novell Inc. 15 Policy Destruction & Duplication Processes should be in place to ensure that these messages are removed from the message store to avoid the potential of conflict. Consider copied messages on laptops, PDA’s & home systems Think long term Messages may have to be stored and retrieved long after GroupWise ®, NetWare ® and the hardware are obsolete. Media may also degrade or become obsolete – plan periodical migration of archived data

16. © March 9, 2004 Novell Inc. 16 Storage Management Large Volume of Messages Messaging Growth Rates – Overwhelming Amount of Information CNI Reports Average 70 Messages /day (200 a day for elected officials) Loss of User productivity to deal with it Impact on internal systems and software – Volumes increasing annually at 33% – New services (UM & VOIP) will increase mailbox storage requirements – Limiting Mailbox Sizes is not really a long term option.

17. © March 9, 2004 Novell Inc. 17 Disk Space is Cheap... Increased management costs Additional hardware (tape backup) Performance degradation Higher Data Integrity Risks Impact to Disaster Recovery Storage Management

18. © March 9, 2004 Novell Inc. 18 Large Message Stores Storage Management Increased potential for message corruption Access and Performance Issues Increased Administrative Costs 14-16 Hours/week e-mail backup and recovery 6 Hours / week recovering e-mails from tape 25% of time on retention management Hardware Costs Over the next 5 years, expect a 6 fold decrease in the $/TB, but a 100 fold increase in data. The net result is a projected 13 fold increase in total storage mgmt costs Disaster Recovery Impact

19. © March 9, 2004 Novell Inc. 19 Content All Messages or Public Record Messages? Regulatory Compliancy? Internal/External or External Messages? Attachments, copies, links Message, Date Information, Delivery Information, Distribution & Addressing Lists Mail, Appointments, Tasks, Notes, Phone Messages, Personal Items, Address Books Storage Management

20. © March 9, 2004 Novell Inc. 20 Accessibility Access to information from GroupWise Access from External Applications What information? Who has access? Required Security?

21. © March 9, 2004 Novell Inc. 21 Destruction Data Retention & Destruction Guidelines Legislation, compliance, policy Message Tagging & Classification Fundamental to destruction Transitory messages? (Friday afternoon notices of cleaning out the refrigerator) Destruction Authorization? Physical Destruction criteria Online records, backed up records

22. © March 9, 2004 Novell Inc. 22 Regulations & Guidelines DoD 5015.2-STD Design Criteria Standard for Electronic Records Management Software Applications Defines Functional Components of a Records Management Application Defines Metadata Structures for Classifying Physical and Electronic Documents Requires User Classifications Processes

23. © March 9, 2004 Novell Inc. 23 Mandatory Metadata Record Fields Record Category Name Record Category Identifier Record Category Description Disposition Instructions Disposition Authority Permanent Record Indicator Vital Record Indicator Vital Record Review Cycle Regulations & Guidelines …Plus Metadata Folder Fields

24. © March 9, 2004 Novell Inc. 24 Secretary of State –Washington State Guidelines for Developing Policy and Establishing Procedures for E-Mail Differentiates Public & Transitory Messages Advises on creation of E-mail Policies Advocates destruction of transitory messages (executive order 00-30 Public Records Privacy Protection) http://www.secstate.wa.gov/archives/gs.aspx Regulations & Guidelines

25. © March 9, 2004 Novell Inc. 25 Challenges Version changing Enforcement Storage Retrieval process Collaboration Participation Novell GroupWise ®

26. © March 9, 2004 Novell Inc. 26 Version changing If the software is updated, does it allow backwards compatibility? If you change systems, can you still access the “old” information? Challenges (cont.)

27. © March 9, 2004 Novell Inc. 27 Enforcement Who’s in charge? Who polices the process? Backup Do all stakeholders understand the need to comply? Implications if they don’t Are the policies stated clearly and enforceable? Beware unreasonable expectations Challenges (cont.)

28. © March 9, 2004 Novell Inc. 28 Storage Server-based Budget CD Does it meet standards? Emulation or transfer software Integration seamless? Paper Space Challenges (cont.)

29. © March 9, 2004 Novell Inc. 29 Retrieval process What is the process for requesting records Is it easy to use and timely? What retained records will be available, and to whom, and when? Challenges (cont.)

30. © March 9, 2004 Novell Inc. 30 Collaboration What dependent externals are involved? Microsoft Word Microsoft Excel Microsoft Access Corel WordPerfect Web Challenges (cont.)

31. © March 9, 2004 Novell Inc. 31 Participation Are all stakeholders “on board” with the plan? Is there citizen involvement with the planning, administration or oversight of the process? How available is the information? By request Web-based Terminal-based Challenges (cont.)

32. © March 9, 2004 Novell Inc. 32 GroupWise Encryption Need a client to de-encrypt Process What matrix do you employ to separate retainables Education Easy, if relying on a third party product Challenges (cont.)

33. © March 9, 2004 Novell Inc. 33 Whoops Recovery process Disaster recovery policies Training New employee training Retraining and monitoring Backup Robust enough? Challenges (cont.)

34. © March 9, 2004 Novell Inc. 34 Where Do We Go from Here? The Goal http://www.novell.com/coolsolutions/gov/features/a_lindsey_j_record_retention_gov.html A completely invisible to the end user, comprehensive mechanism to record all retainable emails, both external and internal, with message flow tracking contained in a database environment that would allow for extensive subject and message text searching and filtering. Additionally, provide a method of extraction that would be readily accessible and allow for Internet access of the records.

35. © March 9, 2004 Novell Inc. 35 Links – Comprehensive Products http://www.nexic.com/discovery/index.html Discovery Suite http://www.gmb.com.au/Products/gem.htm GEM http://www.intellireach.com/products/message_archive.htm ArchiveManager for GroupWise

36. © March 9, 2004 Novell Inc. 36 Links – Value Added products http://www.beginfinite.com/html/guinevere.html Archiving, virus scanning, footnotes, extension exclusion http://www.omni-ts.com/index.asp?page=products&prod_id=18 Value added with some archiving capability

37. © March 9, 2004 Novell Inc. 37 Other Useful Links http://www.gwtools.com/index.cfm Number of products www.stack.co.uk/groupwise_footnote.htm Disclaimers www.intellireach.com/groupwise/ Management suite www.caledonia.net/catalog.html Helpful tools and utilities http://nps.kck.dk/nps/servlet/portalservice?Language=UK Useful utility kit www.arma.org Association of Records Managers and Administrators

38. © March 9, 2004 Novell Inc. 38 Lindsey’s links crmp@seattle.gov HIPAA Extract Provided by Elizabeth Cole Fifty state plus Canadian province URL table Provided by Jennifer Smith-Winkler, Records Manager, City of Seattle

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