Electronic Records Management: A Checklist for Success Central Missouri Chapter Jesse Wilkins April 16, 2009

EMAIL MANAGEMENT TECHNOLOGIES

Messaging system Not built to store massive amounts of messages And attachments And manage as records Difficult to search across inboxes Discovery, auditing

Not built to store massive amounts of messages

And attachments

And manage as records

Difficult to search across

inboxes

Discovery, auditing

Print & file Common approach Challenges: Loss of metadata Attachments Typical threaded email message Volume to print and to file Authenticity (phishing)

Common approach

Challenges:

Loss of metadata

Attachments

Typical threaded email

message

Volume to print and to file

Authenticity (phishing)

Backup tapes Archival vs. backup Backups store data, not files or messages Multiple copies of data Readability of older tapes Format, media, hardware

Archival vs. backup

Backups store data, not files or messages

Multiple copies of data

Readability of older tapes

Format, media, hardware

Email management applications Move messages out of the messaging application May provide simple retention management But NOT records management solutions Many different capabilities available

Move messages out of the messaging application

May provide simple retention management

But NOT records management solutions

Many different capabilities available

Email archiving Copy or remove messages from messaging application store to other storage Enforce rules for archiving based on age, size, user, or mailbox quotas Enable centralized message capture and management

Copy or remove messages from messaging application store to other storage

Enforce rules for archiving based on age, size, user, or mailbox quotas

Enable centralized message capture and management

Email compliance Provide compliance functionality for specific requirements HIPAA, S-OX, etc. Message monitoring and notification Message auditing Incident and case management

Provide compliance functionality for specific requirements

HIPAA, S-OX, etc.

Message monitoring

and notification

Message auditing

Incident and case

management

Email discovery Provide litigation hold for email messaging system Message search, review, and production Evidence preservation Annotation and redaction Case management

Provide litigation hold for email messaging system

Message search, review, and production

Evidence preservation

Annotation and redaction

Case management

Encryption and digital signatures Encryption solutions encrypt messages from - and sometimes within - the organization Digital signature solutions used to sign messages from the organization Generally managed centrally

Encryption solutions encrypt messages from - and sometimes within - the organization

Digital signature solutions used to sign messages from the organization

Generally managed

centrally

Email security Designed to protect the organization from external threats May provide attachment blocking and filtering May protect against directory harvest attacks May provide spam blocking

Designed to protect the organization

from external threats

May provide attachment

blocking and filtering

May protect against directory

harvest attacks

May provide spam blocking

Personal archive management Search the network to find .pst files Extract messages and moves them into the email archive May also leave .pst files in place but note location and index their contents Often provide single-instance storage and de-duplication Enforce policies for .pst files

Search the network to find .pst files

Extract messages and moves them into the email archive

May also leave .pst files in place but note location and index their contents

Often provide single-instance storage and de-duplication

Enforce policies for .pst files

Policy management Provide enforcement of policies and procedures Ethical walls Content filtering Attachment filtering May also provide audit trails for actions taken

Provide enforcement of

policies and procedures

Ethical walls

Content filtering

Attachment filtering

May also provide audit

trails for actions taken

ECRM solutions Most systems support email management May run at server or client Many support single-instance storage May allow declaration, management of messages as records Varying support for attachment management, metadata management

Most systems support email management

May run at server or client

Many support single-instance storage

May allow declaration, management of messages as records

Varying support for attachment management, metadata management

EMAIL MANAGEMENT IMPLEMENTATION MODELS

Implementation models The solutions listed earlier use a number of different implementation models Appliance Application server Hosted Client/plug-in Some providers offer several implementation models

The solutions listed earlier use a number of different implementation models

Appliance

Application server

Hosted

Client/plug-in

Some providers offer several implementation models

Appliance-based solutions The solution is pre-installed on a server Connected to the network and the messaging application Fairly common approach for email security and archiving Database considerations

The solution is pre-installed on a server

Connected to the network and the messaging application

Fairly common approach for email security and archiving

Database considerations

Appliance considerations Benefits: No need for separate hardware Minimal need to configure system Drawbacks: May not be robust enough Hardware may not be upgradable May only work with certain platforms

Benefits:

No need for separate hardware

Minimal need to configure system

Drawbacks:

May not be robust enough

Hardware may not be upgradable

May only work with certain platforms

Application server The solution is installed on a server on the network and connected to the messaging application Most common approach today May require RDBMS Solution may need to be installed on the messaging application server BAD!

The solution is installed on a server on the network and connected to the messaging application

Most common approach today

May require RDBMS

Solution may need to be installed on the messaging application server

BAD!

Application server considerations Benefits: Hardware can be upgraded to meet solution requirements Wide choice of hardware to choose from Drawbacks: Requires dedicated hardware and configuration May only work on certain platforms

Benefits:

Hardware can be upgraded to meet solution requirements

Wide choice of hardware to choose from

Drawbacks:

Requires dedicated hardware and configuration

May only work on certain platforms

Hosted solutions Solution is provisioned by a third party Highly available and scalable Subscription-based pricing

Solution is provisioned by a third party

Highly available and scalable

Subscription-based pricing

Hosted solution benefits The organization can purchase only as much as is needed Someone else has responsibility for backup, configuration, security Generally platform-independent May reduce internal network traffic

The organization can purchase only as much as is needed

Someone else has responsibility for backup, configuration, security

Generally platform-independent

May reduce internal network traffic

Hosted solution drawbacks Cultural considerations Reliability issues Vendor stability Discovery issues Migration considerations

Cultural considerations

Reliability issues

Vendor stability

Discovery issues

Migration considerations

Client/plug-in Solution is installed on users’ machines, either as stand-alone application or plug-in Most solutions can be deployed using scripts or policy objects; some must be installed manually Client applications run separately; plug-ins are integrated into the client

Solution is installed on users’ machines, either as stand-alone application or plug-in

Most solutions can be deployed using scripts or policy objects; some must be installed manually

Client applications run

separately; plug-ins are

integrated into the client

Client benefits and drawbacks Benefits: Only deploy to users who require it Drawbacks: Decentralized deployment and usage can be difficult to manage May require specific configurations, clients, security settings, etc. Leaves it under control of the user

Benefits:

Only deploy to users who require it

Drawbacks:

Decentralized deployment and usage can be difficult to manage

May require specific configurations, clients, security settings, etc.

Leaves it under control of the user

SELECTING THE RIGHT SOLUTION FOR YOU

Who is involved in the selection? IT Own the existing messaging application Installation and configuration of system Support for system Records management Understand recordkeeping and compliance requirements Legal Understand litigation support requirements

IT

Own the existing messaging application

Installation and configuration of system

Support for system

Records management

Understand recordkeeping and compliance requirements

Legal

Understand litigation support requirements

Determine the goal of the solution(s) What are the problems to be addressed? Operational efficiency (user-focused) Storage/management costs Security/compliance Prioritize among the issues to be addressed and proposed solutions

What are the problems to be addressed?

Operational efficiency (user-focused)

Storage/management costs

Security/compliance

Prioritize among the

issues to be addressed

and proposed solutions

Gather requirements Gather, identify, and validate requirements Business requirements The problem(s) to be addressed Functional requirements What type of functionality will solve the problem(s)? Technical requirements

Gather, identify, and validate requirements

Business requirements

The problem(s) to be addressed

Functional requirements

What type of functionality will solve the problem(s)?

Technical requirements

Research Research the available solutions Vendor resources Trade publications Conferences Associations Consultants and analyst firms Standards and guidelines

Research the available solutions

Vendor resources

Trade publications

Conferences

Associations

Consultants and

analyst firms

Standards and guidelines

The short list Determine the vendors to consider Narrow the list based on the messaging applications and platforms supported, key functionality, and deployment models Invite remaining vendors to provide demonstrations, references, and pilots

Determine the vendors to consider

Narrow the list based on the messaging applications and platforms supported, key functionality, and deployment models

Invite remaining vendors to provide demonstrations, references, and pilots

Select the solution Cost should be a factor but not the most important criteria Pricing is not the same as cost Select the solution that most closely matches organization’s requirements Select a vendor you can work with and that is committed to the relationship

Cost should be a factor but not the most important criteria

Pricing is not the same as cost

Select the solution that most closely matches organization’s requirements

Select a vendor you can work with and that is committed to the relationship

Summary Email management technologies can assist in managing email better But they are not records management solutions Requirements are a key part of the discussion Solution should be selected by IT, RM, legal

Email management technologies can assist in managing email better

But they are not records management solutions

Requirements are a key part of the discussion

Solution should be selected by IT, RM, legal

Questions?