With an increase in regulations and internal policies governing data retention, e-mail has come into the spotlight. In fact, securing and preserving e-mail data is more important than ever before. Attend this session to hear the perspective of a legal expert in e-mail archiving and e-Discovery. We'll also discuss the options available for addressing this need through our partners, many of whom have significant expertise in this area.

1. CL109
Archiving and e-Discovery
for Novell GroupWise
Jim F. Lundberg
Vice President, Legal
Novell, Inc.
Travis Grandpre
Product Marketing Manager
Novell, Inc.

2. Why are Archiving and e-Discovery
Issues Becoming More Significant?
• Legislation and Other Rules
– HIPAA
– SOX
– GLB
– FRCP
• Recessionary Times
– Cost cutting across all Corporate Budgets
– Fortune 500 impact
2 © Novell, Inc. All rights reserved.

3. Email Life Cycle – Creation
• SOX – Demonstrate origination from a specific person
• HIPAA – Protect against unauthorized access and
include necessary disclaimers
• Outside messages require inbound verification and
protection to avoid inappropriate content or security
risks
3 © Novell, Inc. All rights reserved.

4. Email Life Cycle – Distribution
• HIPAA – Must prevent unintended distribution of health
information
• GLB - Must prevent unintended distribution of
confidential personal financial information
• SOX – Audit capabilities of distribution
• Protecting against unauthorized distribution of trade
secrets or confidential information
4 © Novell, Inc. All rights reserved.

5. Email Life Cycle – Retention
• HIPAA, GLB – Requires protection against
unauthorized access
• HIPAA, SOX, Litigation – Ability to search and retrieve.
• Litigation & audit - Protect against deletion or loss
during.
5 © Novell, Inc. All rights reserved.

6. Email Policy Considerations
• Identity verification
• Information protection
• Content filtering
• Archiving and preservation
• Proof of compliance
• Authentication
• Virus and spam protection
6 © Novell, Inc. All rights reserved.

7. Electronic Discovery Obligations
Evolving Standards in Litigation
– New Cases Every Day (e.g. The Pension Committee of the
Univ. of Montreal, et. al. v. Banc of Am. Securities, LLC, et.al.)
– Duty to preserve arises “once a party reasonably anticipates
litigation”.
– “Failure to preserve evidence resulting in the loss or destruction
of relevant information is surely negligent and may be grossly
negligent or willful”.
– “Gross Negligence” where there was “no evidence that the
defendants did anything to stop routine destruction”.
– “Gross Negligence” where loss of data due to unfamiliarity with
retention policy.
– Failure to collect or properly review can be grossly negligent or
willful (includes former employees).
7 © Novell, Inc. All rights reserved.

8. “Spoliation”
• “Spoliation refers to the destruction or alteration of evidence.”
• Courts have inherent power to impose sanctions for spoliation.
• Sanctions include:
– Fines or “cost shifting”
– Evidence Preclusion
– Adverse Inference - “presume lost data was favorable to
opposition's case”
– Dismissal or Default Judgment
• Severity of Sanction is generally based on the Judge's
determination of party's negligence and relevance of data.
8 © Novell, Inc. All rights reserved.

9. Electronic Discovery Process
• Identification
• Preservation
• Collection
• Review
• Forensic data analysis
• Production
*In 2008 - Fortune 500 companies estimated cost of litigation at $210 Billion (1/3 of
after tax profit for that year)
9 © Novell, Inc. All rights reserved.

10. Identification
• What machines are connected to a network?
• Ability to identify individual files contained in email
system
• Identifying requested information (ie.. file type, creator,
custodians, access dates, keywords)
10 © Novell, Inc. All rights reserved.

11. Preservation
• Files and metadata
• Tracking preservation requests - “Litigation holds”
• “Holding in place” or “Copying to secure repository”
11 © Novell, Inc. All rights reserved.

12. Collection
• Automation vs. Custodian directed
• If responsive – requires copying for processing.
• Collection reports and logs
• Preserve integrity of metadata
12 © Novell, Inc. All rights reserved.

13. Review
• Inclusion vs. Exclusion • Search capabilities
– Identification – Recognition
– Bates Numbering – Categorization
– Privileges – Redaction
– Work product – Native File Format viewers
– Attorney-Client – Exporting to various formats
– Confidentiality) – litigation support
databases or other review
products
13 © Novell, Inc. All rights reserved.

14. Forensic Data Analysis
• Metadata
• Custodian access
• Analysis of multiple repositories
14 © Novell, Inc. All rights reserved.

15. Production
• Electronic files vs. Hard Documents
• Native format
• Other format (ie. XML)
15 © Novell, Inc. All rights reserved.

16. Q&A

17. Partner Solutions
17 © Novell, Inc. All rights reserved.

19. Unpublished Work of Novell, Inc. All Rights Reserved.
This work is an unpublished work and contains confidential, proprietary, and trade secret information of Novell, Inc.
Access to this work is restricted to Novell employees who have a need to know to perform tasks within the scope
of their assignments. No part of this work may be practiced, performed, copied, distributed, revised, modified,
translated, abridged, condensed, expanded, collected, or adapted without the prior written consent of Novell, Inc.
Any use or exploitation of this work without authorization could subject the perpetrator to criminal and civil liability.
General Disclaimer
This document is not to be construed as a promise by any participating company to develop, deliver, or market a
product. It is not a commitment to deliver any material, code, or functionality, and should not be relied upon in
making purchasing decisions. Novell, Inc. makes no representations or warranties with respect to the contents
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remains at the sole discretion of Novell. Further, Novell, Inc. reserves the right to revise this document and to
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changes. All Novell marks referenced in this presentation are trademarks or registered trademarks of Novell, Inc.
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