1.1. Journaling Server

All email that is journaled is directed to a specific email server/mailbox (Journal Mailbox)

This server is dedicated to hosting the Journal mailbox.

2. Software –Enterprise Vault

2.1. Enterprise Vault Journaling

This part of the software gathers all email that is sent to a Journal Mailbox and Stores it in the Archive. See section “Email Journal Process” for details

2.2. Enterprise Vault Public Folder Archiving

This is the process where information stored in MS Exchange Public Folders are ingested into the archive. See “PFA Process” for more details

2.3. Enterprise Vault File System Archiving

This is the process where office automation files are ingested into the archive. See “FSA Process” for more details

2.4. Discovery Accelerator This is the web based application that is used to perform searches on the data

within the archive. See “Legal Discovery” for details.

2.5. Email S standardized on the Microsoft Exchange email system for all its email

communication. Please refer to the appendix E list of present application versions. For office automation suite of applications we have standardized on

Microsoft Office Professional Suite. This suite of applications includes Word, Excel, PowerPoint and Outlook. Microsoft Outlook is a personal information manager and e-mail communication software. It includes an e-mail client, calendar, task manager and address book. It is the corporate wide application used for all e-mail and calendaring.

3. E-mail Journaling

3.1. Definition

The ability for an email system to send a copy of any e-mail based message that is either transmitted or received in a mailbox to another “Journal Mailbox”

This applies to any email sent or received through the selected users Corporate E-mail account. List of Journal sites and activation dates can be found in Appendix A

3.2. Email Journal Process

When journaling is enabled on a Microsoft Exchange server Mail Store Database, the Exchange message categorizer transfers a copy of all messages sent or received by the Exchange mailbox to a single journal mailbox in real time. To archive journaled messages, an Enterprise Vault Exchange Journaling task takes items from the Journal mailbox, processes the items according to archiving policies, then passes the items to both the Storage and Indexing services and stores the items in the journal archive. When the messages are indexed and stored the task delete the original item from the Journal mailbox.

3.3. Envelope Journaling

The type of journaling being used is “Envelope Journaling”

This involves capturing all of the available recipients including Carbon Copy (CC), Blind Carbon Copy (BCC), From and To. It also involves capturing all members of a distribution group and capturing reports including delivery receipts, read receipts and out of the office notifications

E-mail Metadata retained in the archive adheres to but not limited to the “STANDARD FOR THE FORMAT OF ARPA INTERNET TEXT MESSAGES,” as published in August, 1982. More familiarly known as RFC 822, this standard describes twenty-five fields that Internet emails may contain. The full text of this RFC may be found at http://www.faqs.org/rfcs/rfc822.html

Below is an outline of the data as listed in RFC 822 Bcc , Cc, Comments, Date, Encrypted, From, In-Reply-To, Keywords,

Message-ID, Received, References, Reply-to, Resent-bcc, Resent-cc, Resent-date, Resent-From, Resent-Message-ID, Resent-Reply-to, Resent-Sender, Return-Path, Sender, Subject, To

All items that are attached to an email that is being journaled are stored in the archive.

Only messages/attachments that are listed in Appendix C are indexed and its contents searchable

Attachments /file types other than those listed in Appendix C are not indexed but are searchable by file name and metadata but not content

A list of all message types that are Journaled are available in Appendix B

3.4. Process Flow for Journaling

4. Public Folder Archiving

4.1. Definition

4.2. Public Folder Archiving Process

To archive the contents of an Exchange Public Folder, an Enterprise Vault Public Folder Archiving task connects to the selected Exchange server which houses the public folder. Next a list of any changes made in the public folder since last archive is created. Any differences found are copied to the archiving server which then processes the items according to archiving policies (see appendix F), then passes the items to both the Storage and

Indexing services and stores the items in the public folder archive and at the same time the items ingested are indexed.

5. File System Archiving

5.1. Definition

The ability to archive files that are stored on either local or remote file servers so as the files and content are retrievable

5.2. File System Archiving Process

The archiving task connects to the shares or LUN’s on the selected file servers. It compiles a list of all files and checks that list against the FSA policies (see appendix F) on the archiving server.

Any file found on the file server that meets the FSA policy but not listed in Appendix D are copied to the server performing the file archiving task which then passes the items to both the Storage and Indexing services and stores the items in the FSA archive.

Only Items listed in Appendix C are indexed and its contents searchable

6. Legal Discovery (E-Discovery)

6.1. Definition

The collection, preparation, review and production of electronic documents in litigation discovery. This includes e-mail, attachments, and other data stored on a computer, network, backup or other storage media. E-Discovery includes metadata

The implementation of E-Discovery is by using the Symantec application, Discovery Accelerator. This application is designed for data mining activities, to retrieve, review and mark messages and documents pertaining to a particular case. It is used to manage enterprise wide searches

6.2. E-Discovery process

The Discovery Accelerator application administrator sets up the case

To search against messages and documents that are already stored in the Enterprise Vault archives.

A user with search permissions creates a search and can specify which archives to search or can search all archives

When the search is complete all found items are displayed to allow the person who ran the search to validate that the results are as expected before accepting the search.

When the search is accepted the items are added to the case review set which is the list of items that the reviewers can look at.

The designated reviewer can then review the items and mark them as relevant.

Items marked as relevant can then be produced or exported into either the original file format as in files from file servers or as PST files when dealing with email messages

6.3. Export

This enables the items to be viewed outside Discovery Accelerator before the review process is complete. Exporting items does not cause the item to be locked so reviewers can continue to work on them.

6.4. Production

Once an item is produced it is locked in Discovery Accelerator and the marks assigned to the items cannot be changed.

6.5. Legal Hold

This is the ability to place a marker on the items within a search to ensure that the item is not deleted from the archive. Only when legal hold is removed from the items can it be deleted from the archive. One item can have multiple holds in place and until all holds are removed the item is retained in the archive

7. Legal Hold7.1. What is Legal hold (See 6.5)7.2. Affect on data retention policies

The Legal hold system is designed to exclude items from the deletion policies

The items that are put on hold are marked in the database as On Hold and when the deletion process is run these items are excluded from the deletion process

7.3.

8. Archive Data Retention (Data Purge)

8.1. DefinitionThe erase of any data the is not on legal hold and exceeds the corporate specified six years for data retention

8.2. Purge Schedule The purge schedule that has been completed to date can be found in

Appendix G8.3. Purged Items Date Distribution

The list detailing the number of items deleted each year can be found in Appendix H

8.4. Purge Process Prerequisites All items pertaining to present legal cases need to be discovered Searches accepted into the respective cases and the respective cases placed

on Legal Hold. 8.5. Cleanup Process Overview

Confirm with Legal that all items are on hold for known pending Verification of the earliest retention date Review process with Audit Department Approval of activation date per Management direction Apply retention categories (year by year) Monitor and confirm record counts for accuracy/verification

8.6. Retention Purge Actions The purge will be carried out over an agreed time with Corporate Legal

team. The deletions will begin with first running a report for the number of items

to be deleted and on day two run the actual expiry for that time period. Deletions will be done in batches of one year at a time Example: Run deletion in report mode for items older than Jan 1 1996 on Friday. Delete items older than Jan 1 1996 on Saturday. Once complete, repeat process for all items older than Jan 1 1997 in report mode on Saturday and so on.

Following the archive purge there will be a 30-day period for Legal review/validation of retained data. Upon receipt of validation, the tapes used in loading the archive with data will be shredded and burned.

Appendix C

List if items that can be indexedNote not all items listed below are in the archive. This is a list of the file types that the

software is capable of converting and indexing

Word ProcessingGeneric TextANSI Text 7 and 8 bitASCII Text 7 and 8 bitEBCDIC All versionsHTML Through 3.0 (some limitations)IBM FFT All versionsIBM Revisable Form Text All versionsMicrosoft Rich Text Format (RTF) All versionsText Mail (MIME) No specific versionUnicode Text All versionsWML Version 5.2XML No specific versionDOS Word ProcessorsDEC WPS Plus (DX) Through 4.0DEC WPS Plus (WPL) Through 4.1DisplayWrite 2 and 3 (TXT) All versionsDisplayWrite 4 and 5 Through Release 2.0Enable 3.0, 4.0, and 4.5First Choice Through 3.0Framework 3.0IBM Writing Assistant 1.01Lotus Manuscript Version 2.0MASS11 Versions through 8.0Microsoft Word Versions through 6.01 Clean Content supports Microsoft Office Word, Excel and PowerPoint versions 97 – 2003ORACLE DATA SHEET2Microsoft Works Versions through 2.0MultiMate Versions through 4.0Navy DIF All versionsNota Bene Version 3.0Novell WordPerfect Versions through 6.1Office Writer Versions 4.0 through 6.0PC-File Letter Versions through 5.0PC-File+ Letter Versions through 3.0PFS:Write Versions A, B, and CProfessional Write Versions through 2.1Q&A Version 2.0

Samna Word IV+ Versions through Samna WordSmartWare II Version 1.02Sprint Versions through 1.0Total Word Version 1.2Volkswriter 3 and 4 Versions through 1.0Wang PC (IWP) Versions through 2.6WordMARC Plus Versions through ComposerWordStar Versions through 7.0WordStar 2000 Versions through 3.0XyWrite Versions through III PlusWindows Word ProcessorsAdobe FrameMaker (MIF) Version 6.0Hangul Version 97, 2002JustSystems Ichitaro Versions 5.0, 6.0, 8.0–13.0, 2004JustWrite Versions through 3.0Legacy Versions through 1.1Lotus AMI/AMI Professional Versions through 3.1Lotus Word Pro Millenium Versions 96 throughEdition 9.6, text onlyMicrosoft Write Versions through 3.0Microsoft Word Versions through 2007Microsoft WordPad All versionsMicrosoft Works Versions through 4.0Novell Perfect Works Version 2.0Novell/Corel WordPerfect Versions through 12.0, X3OpenOffice Writer (Windows and Linux) Versions 1.1, 2.0Professional Write Plus Version 1.0Q&A Write Version 3.0StarOffice Writer Versions 5.2, 6.x, 7.x, and 8.0WordStar Version 1.0ORACLE DATA SHEET3Mac Word ProcessorsMacWrite II Version 1.1Microsoft Word (Mac) 2004 Versions 3.0–4.0, 98, 2001,Microsoft Works (Mac) Versions through 2.0Novell WordPerfect Versions 1.02 through 3.0Outside In Technology File Format Listing: SpreadsheetsEnable Versions 3.0, 4.0, and 4.5First Choice Versions through 3.0Framework Version 3.0Lotus 1-2-3 (DOS and Windows) Versions through 5.0Lotus 1-2-3 (OS/2) Versions through 2.0Lotus 1-2-3 Charts (DOS and Windows) Versions through 5.0Lotus 1-2-3 for SmartSuite Versions 97–Millennium 9.6Lotus Symphony Versions 1.0, 1.1, and 2.0

Microsoft Excel Charts Versions 2.x–7.0Microsoft Excel (Mac) Versions 3.0–4.0, 98, 2001, 2004Microsoft Excel (Windows) Versions 2.2 through 2007Microsoft MultiPlan Version 4.0Microsoft Works (Windows) Versions through 4.0Microsoft Works (DOS) Versions through 2.0Microsoft Works (Mac) Versions through 2.0Mosaic Twin Version 2.5Novell Perfect Works Version 2.0OpenOffice Calc Versions 1.1, 2.0 (text only)PFS: Professional Plan Version 1.0Quattro Pro (DOS) Versions through 5.0Quattro Pro (Windows) Versions through 12.0, X3SmartWare II Version 1.02StarOffice Calc (text only) Versions 5.2, 6.x, 7.x, and 8.0SuperCalc 5 Version 4.0VP Planner 3D Version 1.0Outside In Technology File Format Listing: PresentationsCorel/Novell Presentations Versions through 12.0, X3Harvard Graphics for DOS Versions 2.x and 3.xHarvard Graphics (Windows) Windows versionsFreelance (Windows) 9.6 Versions through MillenniumFreelance for OS/2 Versions through 2.0Microsoft PowerPoint (Windows) Versions 3.0 through 2007Microsoft PowerPoint (Mac) 2004 Versions 4.0 through 2001ORACLE DATA SHEET4OpenOffice Impress Versions 1.1, 2.0StarOffice Impress Versions 5.2, 6.x, 7.x, and 8.0GraphicsAdobe Photoshop (PSD) Version 4.0Adobe Illustrator Versions through 7.0, 9.0Adobe FrameMaker graphics (FMV) Vector/raster through 5.0Adobe Acrobat (PDF) Versions 2.1, 3.0–7.0, JapaneseAmi Draw (SDW) Ami DrawAutoCAD Drawing 2000i Versions 2.5–2.6, 9.0–14.0,and 2002AutoCAD Drawing Versions 2004 and 2005 (text)AutoShade Rendering (RND) Version 2.0Binary Group 3 Fax All versionsBitmap (BMP, RLE, ICO, CUR,OS/2 DIB, and WARP) All versionsCALS Raster (GP4) Type I and Type IICorel Clipart format (CMX) Versions 5 through 6Corel Draw (CDR) Versions 3.x–8.xCorel Draw (CDR with TIFF header) Versions 2.x–9.x

Computer Graphics Metafile (CGM) ANSI, CALS NIST version 3.0Encapsulated PostScript (EPS) TIFF header onlyGEM Paint (IMG) No specific versionGraphics Environment Mgr (GEM) Bitmap and vectorGraphics Interchange Format (GIF) No specific versionHewlett-Packard Graphics Language (HPGL) Version 2IBM Graphics Data Format (GDF) Version 1.0IBM Picture Interchange Format (PIF) Version 1.0Initial Graphics Exchange Spec (IGES) Version 5.1JFIF (JPEG not in TIFF format) All versionsJPEG (including EXIF) All versionsKodak Flash Pix (FPX) All versionsKodak Photo CD (PCD) Version 1.0Lotus PIC All versionsLotus Snapshot All versionsMacintosh PICT1 and PICT2 Bitmap onlyMacPaint (PNTG) No specific versionMicrografx Draw (DRW) Versions through 4.0Micrografx Designer (DRW) Versions through 3.1Micrografx Designer (DSF) Windows 95, version 6.0Novell PerfectWorks (Draw) Version 2.0OpenOffice Draw Versions 1.1 2.0 (text only)ORACLE DATA SHEET5OS/2 PM Metafile (MET) Version 3.0Paint Shop Pro 6 (PSP) Windows only, versions 5.0–6.0PC Paintbrush (PCX and DCX) All versionsPortable Bitmap (PBM) All versionsPortable Graymap (PGM) No specific versionPortable Network Graphics (PNG) Version 1.0Portable Pixmap (PPM) No specific versionPostScript (PS) Level IIProgressive JPEG No specific versionSun Raster (SRS) No specific versionStar Office Draw 5.2, 6.x, 7.x, and 8.0 (text only)TIFF Versions through 6TIFF CCITT Groups 3 and 4 Versions through 6Truevision TGA (TARGA) Version 2Visio (preview) Version 4Visio 2003 Versions 5, 2000, 2002,WBMP No specific versionWindows Enhanced Metafile (EMF) No specific versionWindows Metafile (WMF) No specific versionWordPerfect Graphics (WPG and WPG2) Versions through 2.0, 7, and 10X-Windows Bitmap (XBM) x10 compatibleX-Windows Dump (XWD) x10 compatible

X-Windows Pixmap (XPM) x10 compatibleCompressed FormatsGzip All versionsLZA Self Extracting Compress All versionsLZH Compress All versionsMicrosoft Binder Versions 7.0–97(conversion supported only on Windows)MIME Text MailUUEncodeUNIX CompressUNIX TARZIP PKWARE versions through 2.04gDatabaseAccess Versions through 2.0dBASE Versions through 5.0DataEase Version 4.xdBXL Version 1.3Enable Versions 3.0, 4.0, and 4.5ORACLE DATA SHEET6First Choice Versions through 3.0FoxBase Version 2.1Framework Version 3.0Microsoft Works (Windows) Versions through 4.0Microsoft Works (DOS) Versions through 2.0Microsoft Works (Mac) Versions through 2.0Paradox (DOS) Versions through 4.0Paradox (Windows) Versions through 1.0Personal R:BASE Version 1.0R:BASE 5000 Versions through 3.1R:BASE System V Version 1.0Reflex Version 2.0Q & A Versions through 2.0SmartWare II Version 1.02Other FormatsExecutable (EXE, DLL)Executable (Windows) NTEXIF Metadata extraction onlyMacromedia Flash Text onlyMicrosoft Outlook Express (EML) Versions 97–2003Microsoft Outlook Folder (PST) Versions 97–2007Microsoft Outlook Form Template (OFT) Versions 97–2003Microsoft Outlook Message (MSG) All versionsMicrosoft Outlook Offline Folder (OST) Versions 97–2003Microsoft Project Versions 98–2003 (text only)MP3 ID3 metadata only

vCard Version 2.1Yahoo! Instant Messenger Archive No specific version