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Best Practices for Records Retention and E-Mailing. French Caldwell. What Should Your E-Mail Retention Policy Be?. Save Everything. Save Nothing. Get it wrong and it could cost you. $$$$$$. Key Issues. What are the trends influencing e-mail and content retention policies?

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what should your e mail retention policy be
What Should Your E-Mail Retention Policy Be?

Save Everything

Save Nothing

Get it wrong and it could cost you

$$$$$$

key issues
Key Issues
  • What are the trends influencing e-mail and content retention policies?
  • What technologies can be deployed to support e-mail and content retention?
  • What are the best practices for e-mail retention and content archiving?
what s driving document retention

Industry and Government Regulations

Business Continuity

Paper

Digital

Content

Communications(E-Mail, IM)

Risk Mitigation

Legal Discovery

What's Driving Document Retention?

Records

Management Focus

storage continues to outgrow every other data center hardware expenditure
Storage Continues to Outgrow Every Other Data Center Hardware Expenditure
  • Deduplication
  • Single-Instance Store
  • Compression
  • Cost per GB is just the tip of the iceberg.
    • Cost per usable GB
    • Optimal disk size
    • Cost to protect
    • Cost to expand
    • Media/spares

Tiering and Archiving

Power and Real Estate

Static data offers special opportunities for savings.

Think Green!

managing the exponential e mail growth

Operations and Performance

  • Increasing storage demand
  • Time to backup and recovery increases
  • Slower system performance

Compliance and Legal Discovery

  • Increasing government regulations
  • Increasing litigation costs
  • Faster response required
Managing the Exponential E-Mail Growth

Typical E-Mail Situation

30+% annual growth (in traffic, not necessarily storage)

Average 75 e-mails per day

7MB data per day

spiraling costs and litigation risk affects all companies
Spiraling Costs and Litigation Risk Affects All Companies
  • Litigation affects all organizations
    • Public and private; any size
    • Particularly vulnerable industries — securities, insurance, healthcare, financial services, consumer products, construction materials, food, transportation, pharmaceutical
  • The focus of litigation is increasingly dependent on the discovery and authenticity of electronic evidence
  • A study indicates that 90% of all corporate information created today is digital (USC)
  • In litigation, 75% of electronic evidence is e-mail
  • "Average" costs for e-discovery are running at $1.5 million per matter (Fulbright & Jaworski)
planning needed for changes in federal rules of civil procedure
Requires meetings to discuss e-discovery

Provides for reasonable access to potential evidence

Defines "electronically stored information"

Deals with inadvertent waivers of privilege

Specified potential production formats

Sets up possible "safe harbor" for lost data

Planning Needed for Changes in Federal Rules of Civil Procedure

IT needs to be prepared to accurately disclose what information is available, in what format, and what it would take to review and produce it.

managing the retention of business content
Records management enforces the policies and rules for the retention and disposition of content required for documenting business transactions.

Physical Documents

Electronic Content

Digital Communications

Strategic Planning Assumption:

By 2010, 40% of all Global 2000 companies will implement an enterprisewide records management system, up from 25% in 2005.

Managing the Retention of Business Content
selecting the right storage for content starts with data requirements

Tape

Optical

Selecting the Right Storage for Content Starts With Data Requirements

Rich Media

Financials

Document

Repositories

NAS

Web Pages

Disk

FC, ATA,SAS

Unified

CAS

Application

Support

Reports

E-mail

VTL

Imaging

Clustered

Storage

leveraging deduplication technologies to store more in less space
Leveraging Deduplication Technologies to Store More in Less Space

Providers

Full Backup 1

Incr .1

Incr. 2

Full Backup 2

  • COPAN
  • Data Domain
  • Diligent
  • ExaGrid
  • FalconStor
  • NEC
  • NetApp
  • Quantum
  • SEPATON

B

C

D

E

F

G

A

H

I

J

A

B

C

D

E

F

G

H

I

J

Backup Repository

Unique Data Redundant Data De-duplicated Data

Deduplication System

5PB Capacity

Assumes a 20-to-1 deduplication ratio.

May be more cost-effective than tape if there is lots of duplicate data.

retention management extending beyond records
Retention Management Extending Beyond Records

Information Life Cycle Management:

Optimizes the cost of storing, protecting and recoveringinformation by migrating data to the appropriate storage technology based onavailability, performance and retention requirements.

Content Management, Retention Management, Archiving, Data Access

Invoices

E-mail

High

Performance

High

Availability

Lower

Performance

Lower

Availability

Lowest

Availability

Deletion

Content

Files

Reports

Online

Near-Line

Offline

Cost per GB

Expensive

Moderate

Inexpensive

consolidate your content and platforms as archiving gains importance

E-Mail Archiving

Report (Print Stream)Archives

ERP Systems

Rich Media

ContentArchiving

Files

Imaging

Sharepoint Archiving

Static Content

Active Content

Consolidate Your Content and Platforms as Archiving Gains Importance
magic quadrant for e mail active archiving 2007 discovery is now key

challengers

leaders

ability to execute

niche players

visionaries

completeness of vision

Magic Quadrant for E-Mail Active Archiving, 2007 — Discovery is Now Key
  • Vendors Delivering Discovery Add-on Product Options:
  • Symantec
  • Zantaz
  • AXS-One
  • C2C (new)
  • CA
  • CommVault (new)
  • IBM (new)
  • Mimosa (new)
  • Waterford (new)

Symantec

EMC

Zantaz

ZL Technologies

IBM

HP

Quest Software

Mimosa Systems

Open Text

CA

AXS-One

C2C Systems

Messaging Architects

Waterford Technologies

CommVault

As of May 2007

(From "Magic Quadrant for E-Mail Active Archiving, 2007," 16 May 2007)

seven step implementation plan for records management

7

Establish continuous audit and review processes.

6

Communicate and train staff. Publish policies, retention schedule and procedures.

5

Select and deploy a records management solution.

4

Determine functional and technical requirements.

3

Build a file plan and retention schedule with access rights and document types.

2

Draft policies to detail enterprise needs for record keeping to satisfy business, regulatory, legal and fiscal requirements.

1

Build a program oversight team consisting of legal, finance, IT and business managers.

Seven-Step Implementation Plan for Records Management
developing a document retention policy
The legal and regulatory environment

Distributed or centralized data within an organization

Business practices and procedures that have evolved

The nature of the business

The culture of the organization

History of legal, regulatory and administrative proceedings

Developing a Document Retention Policy
which approach to message retention
Which Approach to Message Retention?

Delete E-Mails After XX Days

  • Easiest strategy to implement but requires good IT plan and employee training
  • Requires well-documented disposition rules and adequate "sanitization" of storage media

Save All E-Mails

  • Safest strategy for compliance in the absence of robust automatic categorization tools
  • Increasing demands on storage infrastructure

Save Only Select Messages

  • Most challenging strategy requiring integration to records retention policies
  • Requires good classification and metadata management
e mail retention the reality

PST

PST

PST

PST

PST

PST

PST

PST

PST

E-Mail Retention: The Reality
  • Mailboxes are capped at 200 MB, but PSTs (or local archives) are everywhere
  • PSTs
    • Consume over 50% of network file shares storage
    • Are corruptible
    • Represent the biggest challenge for organizations since they are uncontrolled and hard to discover

The biggest challenge for companies today is how

to deal with runaway PSTs

e mail retention the future

PST

PST

PST

PST

PST

PST

PST

PST

PST

E-Mail Retention: The Future
  • The most likely outcome of the current e-mail retention agony is:
    • Larger mailboxes, up to 1 GB, to meet user needs
    • Selective archival services based on user role and/or managed folders
    • Revocation of the right to create local archives
    • Selective destruction of established PSTs based on time

X

X

X

X

X

X

Users will need to be trained on what messages warrant

longer-term preservation, and how to do it

recommendations
Recommendations
  • Assess your records management program and determine if it provides you with the ability to recover critical records for conducting business.
  • Determine your compliance needs and the litigation risk that your enterprise faces.
  • Companies must distinguish between what is mandated and required by government, by corporate policy, and for business efficiency.
  • Don't underestimate the challenges and efforts in developing a records management program.
  • Organizations must proactively determine the balance between legal, compliance and user needs.
what to keep why to keep it
What to Keep — Why to Keep it?
  • Corporate policy records
    • Correspondence about HR disputes
    • Real estate portfolio communications
    • Financial transaction records
  • Government mandated records
    • Broker dealer communications
    • Hazardous materials handling
    • Etc.
  • Employee-retained for business efficiency
    • Project history
    • Reference material
    • Etc.

Optional preservation

Mandatory preservation

Companies must distinguish between what is mandated by

the government, versus what is mandated by corporate policy,

versus what is required for business efficiency