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Email Regulatory Compliance: Preparing Your Organization

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You may be able to implement your policy with the tools you already have in house. Or, you may find that the email platform you are on is limited and you need to search for a third party vendor. This …

You may be able to implement your policy with the tools you already have in house. Or, you may find that the email platform you are on is limited and you need to search for a third party vendor. This is where Sherpa Software's Attender Utilities suite comes to the rescue. Let us be your Sherpa to the top of the mountain of data that you are trying to conquer. Our uniquely designed products for Lotus Notes & Domino will help you get all this data under control and manage it in whatever way you see fit. No matter what you decide to manage, Domino Mail, Applications, IBM Sametime, Lotus Quickr or your file shares, there is a Sherpa product to help you implement and enforce your Compliance policies.

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  • 1. Email Regulatory Compliance:Preparing Your OrganizationBy Denny RussellSenior Product Specialist, Lotus Domino 456 Washington Avenue, Suite 2 ● Bridgeville, PA 15017 p (412) 206-0005 ● f (412) 206-0018 information@sherpasoftware.com ● www.sherpasoftware.com
  • 2. Email Regulatory ComplianceUnder the copyright laws, neither the documentation nor the software can be copied, photocopied, reproduced, translated, orreduced to any electronic medium of machine-readable form, in whole or in part, without the written consent of Sherpa SoftwarePartners, except in the manner described in the software agreement.© Copyright 2011 Everest Software, L.P., d.b.a. Sherpa Software Partners, L.P.All rights reserved. Printed in the United States.Mail Attender for Exchange is the registered trademark of Everest Software, L.P. d.b.a. Sherpa Software Partners, L.P. Page 2 of 5
  • 3. Email Regulatory ComplianceYour Lotus Notes & Domino environment is a powerful communication tool. It probably consists ofseveral different data stores such as Domino Email & Application servers, Sametime servers, Quickrservers and even file shares/servers. It lets you collaborate, share and store all the data you need toefficiently do your job. With all the sharing of information, data can quickly grow and spin out of control.As the data grows, so will your exposure.This vulnerability can come in many different forms: 1. It could be running out of disk space and not being able to keep critical documents. This can and will lead to performance issues which will slow down your network and kill productivity. 2. It could be the result of Litigation and/or HR requests. All of that data may be used in Litigation and e-Discovery cases, which are serious problems depending on what side of the business you are on.Sure, disk space is still really cheap, or you could even move some of your data to the cloud. Throwingmore drives at it will solve the first issue to a point, but with that, you will see additional costs in terms oftime and money. And we are not just talking about time to install and set up this newly acquired spacebut more so the long term residual effects of keeping tons of data forever. End users are always going towant to keep everything and they may end up saving it in multiple places as well. Just adding additionalspace only encourages this behavior and will also require additional backup and process costs.Concerns for IT & HR/Legal DepartmentsBeing part of an IT team means you are worried about two separate, but equally important, issues: serverspace and performance. Your job is to keep the servers running at all times while managing the space sothere are no performance issues. As a member of the HR/Legal team, you are also worried about howthis data is going to harm your organization in the long run. • Are you going to be liable if you have all this data floating around? • Do you have everything that you are supposed to have based on your compliance and retention policies? • Where is all this data located? • Who has access to it?Several articles have been written on this topic in the past and are referenced in the “Related Articles andResources” section at the bottom of this article.A recent Sherpa poll asked:"Does your company have adequate compliance policies in place?"60% answered “No”Seriously, 60% of companies do not have a retention/compliance policy in place. Its been said that"Failure to plan is planning to fail," and this is a perfect example. With all this data, organizations musthave a plan in place. This means getting data under control and managing it appropriately. No matterwhat end users believe, they dont need or use all that data. And no matter what the industry, this datadoes not need kept forever. For example, Financial Services must comply with the records managementregulations of the FINRA and Publicly Traded Companies must comply with the records managementregulations of the Sarbanes-Oxley (SOX) Act.As departments work together, Legal/HRs role is to figure out what is best for the company as a whole.Make sure it fits in with any laws and regulations that the business may fall under. Only keep the data thatis required and be mindful of what is needed to be retained based on industry regulations. Also, keep inmind how the employees use and need the data and then present a plan to IT. Page 3 of 5
  • 4. Email Regulatory ComplianceFour Ways to Implement an Adequate Compliance StrategyIT has the role of implementing that plan. Their role is to 1) guide Legal/HR in terms of what can andcannot be done technically, and 2) ensure that the plan is implemented and adhered to. This means thatthe Retention policy is being enforced and you can prove that you are managing data according to thepolicy that has been put into place.1.) Enforce Retention PoliciesSince many industries are required by specific compliance regulations to secure and preserve documentsfor a statutory period of time, Sherpa Software offers a variety of regulatory compliance software productsthat allow you to implement and manage retention rules. Enforce policies on journal mailboxes, usermailboxes, local/network .NSF files, public folders and Domino databases that define how longinformation is kept in the system, who has access to what information and where it is stored long-term.Policies can be enforced by multiple criteria with flexible configuration options that allow you to applypolicies to specific mail files, Domino Directory Groups and/or users with Mail Attender for Lotus Notes.2.) Locate ContentThe key to addressing compliance regulations is to make sure all pertinent information is located withinyour Lotus Notes and Microsoft Exchange information stores. With the use of Sherpa Softwaresproprietary e-Discovery technology, easily search and discover emails, attachments, databases, instantmessages and files that contain relevant business information. Locate data based on a variety ofcustomizable search criteria such as keywords, dates, addresses, file types and more with DiscoveryAttender for Lotus Notes.3.) Archive InformationAfter the data is located, the key to addressing regulatory compliance is to preserve the data in a securelocation where it can be managed and protected for extended periods of time. Sherpa Softwaresarchiving tools can easily archive data to any storage device visible to the network. Once the informationis secured and indexed in an archive location, administrators can control the level of access rightsprovided to users, maintain audit trails of archive activity and enforce retention policies on archivedcontent to purge data upon its expiration with Mail Attender for Lotus Notes.4.) Protect Document Authenticity and Reduce Corporate LiabilitiesThe email communications an organizations employees compose, send or forward either internally orexternally also need to be in line with corporate and regulatory compliance requirements. With Sherpasregulatory compliance software, you can govern how email is used by end-users in accordance to therules impacting your organization. Maintain the integrity of information by prohibiting users fromediting/deleting emails with specific content and prevent confidential emails and attachments from beingdelivered based on administrator-specified qualifications with Compliance Attender for Lotus Notes.You may be able to implement your policy with the tools you already have in house. Or, you may find thatthe email platform you are on is limited and you need to search for a third party vendor. This is whereSherpa Softwares Attender Utilities suite comes to the rescue. Let us be your Sherpa to the top of themountain of data that you are trying to conquer. Our uniquely designed products for Lotus Notes &Domino will help you get all this data under control and manage it in whatever way you see fit. No matterwhat you decide to manage, Domino Mail, Applications, IBM Sametime, Lotus Quickr or your file shares,there is a Sherpa product to help you implement and enforce your Compliance policies. Page 4 of 5
  • 5. Email Regulatory ComplianceRelated Articles and Resources:http://www.sherpasoftware.com/blog/survey-results-email-regulatory-compliance/http://www.sherpasoftware.com/blog/preparing-for-information-management-2012/http://www.sherpasoftware.com/blog/managing-your-email-the-complete-series/http://www.sherpasoftware.com/solutions/enforce-regulatory-compliance.shtmlAbout the Author Denny is the Senior Product Specialist for the Domino products at Sherpa Software. Along with pre and post sales support, he is also involved with guiding the future direction of the products. You’ll find him contributing to the company’s blog as a writer and thought leader and he is also an Administrator for the Lotus Notes/Domino environment (including Traveler, Sametime, Quickr and Blackberry Enterprise Server for Lotus Notes) at Sherpa. Prior to Sherpa, Denny worked as a Technical Trainer teaching everything from basic end-user courses to Domino Administration and Development courses. His credentials include being a Certified Domino Administrator, Certified DominoDeveloper and Certified Domino Instructor since 1998. Denny holds a teaching degree in BusinessEducation from Indiana University of Pennsylvania.When not working, you’ll find him spending time with his wife, two kids and his Labrador Retriever, Bella.He also works with several youth organizations as a hockey coach and runs a website sharing thoseexperiences. Page 5 of 5

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