by Steve Kenniston, Senior Strategist,
This article grapples with one of the hottest business and
technology issues facing companies today: What do you do with all your data?
One thing is certain: We’re all under pressure to keep more data for longer
periods of time, with greater consequences surrounding its entire life cycle.
At each stage—from creation onward to retention and destruction—doing the
correct thing with your corporate data is more important than ever.
As a result of the corporate accounting scandals of the last
few years, new laws and the increased enforcement of old laws now require
enterprises to reevaluate their records-management policies. E-mail records
management has become a particular area of focus. Printing documents was the
electronic records management solution for some enterprises, but with the
growth in the volume of e-mail and instant messaging, enterprises need a new
approach. Concurrently, the expanding size of e-mail system data stores
presents operational challenges to IT organizations as they try to keep these
systems running efficiently.
A new set of solutions has emerged to help solve these
complex e-mail records management and e-mail system management issues. In their
research, many industry analysts refer to this market area as “e-mail active
A good e-mail active archiving product provides a searchable
archive of all e-mail messages for a defined period of time. It can often be
used independently or as part of a corporate business record repository for
legal and business management uses. It should also allow organizations to
reduce the size of production e-mail data stores to gain significant
operational efficiencies and related cost savings.
Clearly, as more vendors concern themselves with protecting,
archiving, and recovering distributed data for their customers, we’ll all be
prompted to think about how we’re addressing e-mail records management. But it’s
becoming clear that vendors aren’t the only ones banging this drum. Published
research, from analyst firms such as Gartner and others, also supports this
view. Given regulatory requirements and escalating requests for electronic
discovery, waiting until the enterprise plan for electronic records retention
is defined, or for e-mail active archiving technology to get even more mature,
could place your entire enterprise at risk.
IT departments already had enough on their hands trying to
cope with the relentless increase in data storage and backup requirements. Now
the need for secure, long-term electronic communications archiving procedures is
greater than ever, significantly adding to IT’s
burden. To help in easing this burden, here are some areas to consider when
selecting an e-mail archiving solution for your organization.
The regulatory landscape
The Securities and Exchange Commission’s investigations into
recent “creative” (i.e., unethical) accounting practices have led to
a number of changes in the ways corporations will be required to manage their
records. “In the past year or two,” says Dave Simpson,
editor-in-chief of InfoStor, “events such as the scandals that have hit
very large companies have led to new federal regulations, which mandate how
long companies have to hang on to e-mail, including attachments.” Some of
these regulations include:
SEC Rule 17a
that certain business records and communications be readily accessible for
two years and at least accessible for a year after that. It further
requires that transaction-related records and communications be kept and
accessible for seven years after the event.
National Association of Securities Dealers (NASD) Conduct Rules 3010 and
NASD members to designate a supervisory role within the company to ensure
compliance with regulations, and have a system in place to supervise the
activities of its employees and associates. This system must enable the retention
and review of transactions and correspondence.
members to preserve all books and correspondence, including customer order
tickets, account information, and complaints. Much of this material is in
the form of e-mail.
The Sarbanes-Oxley Act
Specifically related to document retention, the Act states
failure to maintain audit or review of work papers for at least five years
is punishable by up to five years in prison, and/or a fine.
altering, destroying, or concealing records or documents in order to
compromise the integrity of the record for use in an official proceeding
is punishable by up to 20 years in prison, and/or an unspecified fine
alteration, destruction, or concealment of any records with the intent of
obstructing a federal investigation carries an unspecified fine amount,
and/or jail time of up to 10 years.
General legal discovery
Legal discovery rules require any company involved in legal
proceedings, regardless of size or industry, to produce evidence contained in
electronic communications. The typical process can be exhaustive and expensive.
It’s true that paper trails can do a good job of protecting
organizations from fraud and error by providing evidence that is acceptable in
court. But what happens when interactions and records exist only in electronic
format, as is more and more often the case? Many companies, unfamiliar with the
concept of treating e-mail messages as business records, have been accustomed
to deleting them automatically after a certain time period (usually 90 days or
so). Subsequently, if any of these messages are needed as evidence in legal
proceedings, these companies are often out of luck.
As regulatory and legal discovery pressures continue to
increase, however, the corporate world is learning its lesson. “Most large
companies,” says Andrew Rathmell, CEO of the Information Assurance
Advisory Council, “now recognize that they can be crippled overnight if
their reputations are harmed by failure to protect their information assets.”
That underscores the importance of ensuring that business-critical e-mail
messages and their attachments are efficiently captured, classified, archived,
retrieved, and also destroyed when they’ve finally outlived their usefulness.
Building the foundation for e-mail-related regulatory compliance
The requirement: An efficient and affordable compliance
solution that preserves maximum evidential weight. While regulations can be
very strict about how archived messages should be treated, these rules refer
only to relevant messages that have to do with client and partner
communications, or contain internal sharing of important information. None of
the regulations so far has required companies to archive absolutely all
messages passing through the system.
At the same time, archiving absolutely all messages is often
seen as the easiest and lowest-risk route to compliance. While today this may
still be the safest choice, these companies will face the difficult task of
managing an enormous volume of messages in two to three years, which not every
archiving solution may be able to handle. Given this, it’s critical that you
select a solution that is ideally suited for corporate-wide e-mail capture and
archiving based on key words/phrases, individuals, roles, or other customizable
identifier—while maintaining long-term security, efficiency, and economy
related to storage requirements.
Beyond backup and more than mail store management
Distinguishing between e-mail backup and e-mail archival is
critical if regulatory problems are to be avoided. E-mail backup systems are
designed to provide wholesale recovery of the e-mail server, should a disaster
befall the production environment. These systems are not designed for
compliance or legal discovery-related record retention.
Simple e-mail system backups have no provision for the
review of individual e-mail records. Backup processes format the data to reduce
storage space and speed future recovery processing. This formatting works
against attempts to review and retrieve individual messages.
A true e-mail archiving and retention system ensures, at a
minimum, that companies have ready access to any given e-mail record, whenever
it is needed. Maximizing the evidential
weight of e-mail records also requires a secure audit trail capable of tracking
every action against every archived e-mail message.
Look for security and scalability
A good approach to e-mail archiving will capture every e-mail
and attachment and compress the data. A better approach ensures that a unique
key is generated and encrypted, and that the message is digitally signed. The
compressed, encrypted, and signed messages and attachments, normalized for
single-instance, should then be written to a highly scalable relational
database. Only after the archived message is successfully stored in the
database should it be deleted from the archive inbox.
Keep in mind that solutions that troll mail servers for
messages may not provide the best approach. Some products process mail messages
as they pass through the server. This real-time processing provides airtight
auditing and leaves no window for the messages to be tampered with prior to
being encrypted and archived. A distributed configuration for the archiver,
which may run as a Windows service, can also eliminate the potential for
degraded mail server performance due to archiving. Look for a solution that is
able to run multiple archiver processes simultaneously, each accessing a
different mail server. This will aid in scalability as the flow of e-mail
True compliance means maintaining the audit trail
The best e-mail archiving solutions will perform
comprehensive auditing of every event in the life cycle of an e-mail message.
Each time a message is stored, viewed, retrieved, or deleted, the audit system
tracks the change, logging the activity in a secure database. Any changes made
to policy configurations affecting an archived message should also be audited.
The encryption and digital signing of all e-mail and
attachments, as soon as they enter the archiving process, eliminate any
possibility of the audit trail being circumvented. Without comprehensive
encryption, this guarantee cannot be made. The combination of strong encryption
and a bulletproof audit trail allows administrators to vouch for
organizational compliance with auditing requirements and regulations with
NOTE: This article is
meant for information purposes only. Designing and deploying solutions for
compliance purposes should always be done with the advice of a lawyer or
consultant whose specialty lies in the area of archiving regulations.