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An Overview of GroupWise® and Records Retention
Lindsey JohnstoneSystem Manager to the City CouncilCity of Seattlelindsey.johnstone@seattle.gov
© March 9, 2004 Novell Inc.2
one Net: Information without boundaries…where the right people are connected with the right information at the right time to make the right decisions.
The one Net vision
Novell exteNd™
Novell Nsure™
Novell Nterprise™
Novell NgageSM
:
:
:
:
© March 9, 2004 Novell Inc.3
The one Net vision
Novell Nterprise is an innovative family of products which gives you the power to enable and manage the constant interaction of people with your business systems — regardless of who they are or where they are.
Novell Nterprise™
Novell exteNd™
Novell Nsure™
Novell Nterprise™
Novell NgageSM
:
:
:
:
© March 9, 2004 Novell Inc.4
Why Be Concerned?
Storage• The average user will attempt to retain/store
500 MB of messages per year (+1.5 TB of storage/year for 11,000 users)
Volume• IDC projects 33 billion messages per day in
2005, up from 23 billion MPD today
Cost• $1.6 mil to archive/restore messages for an
organization with 8000, exceeds entire HD budget.
• White House spent $10M to recover 246K messages from 4,900 backup tapes…
© March 9, 2004 Novell Inc.5
Knowledge• IDC Reports that 60% of business critical
information is stored in messaging systems
Access• 80% of archived data is either unprotected or
inaccessible• Critical information is routinely destroyed or
lost
Productivity• Can you afford to burden users with the time
overhead of mail management?
Why Be Concerned?
© March 9, 2004 Novell Inc.6
Strategy
Needs to include consideration of some or all of the following:
• Local, state, or federal laws regarding citizen access
• Post office settings
• Messaging policies
• Hardware needs
• Message flow
• Storage method
• Storage management
• Retrieval process
© March 9, 2004 Novell Inc.7
Local, state, or federal laws regarding citizen access
• Varies as to what is retainable
• Different retention schedules depending on position
• Length of time required to retain
• Tiered access - HIPAA
Strategy (cont.)
© March 9, 2004 Novell Inc.8
Verticals covered today• Financial• Legal• Health & Medical• Government Agencies• Utilities• Defense• Consumer goods
Strategy (cont.)
Verticals covered tomorrow• Any business process, in any organization, where
records management has traditionally been applied to paper
© March 9, 2004 Novell Inc.9
Policy
Messaging policies
• Who owns the information?
• Personal use policies
• Retention schedule (45/7/120)
• Legal requirements
• Resource management
© March 9, 2004 Novell Inc.10
Review Federal, State and Municipal Guidelines and Statutes to validate applicability
Align with current Document Policies
Define Mail Usage Policies• No policy equates to multiple
individual policies
• Encourage Positive Behavioral Change
Policy
© March 9, 2004 Novell Inc.11
• ISO 17799 (standard for information security management)
• The Freedom of Information Act
• Securities and Exchange Commission
• Food and Drug Administration Policy
• HIPAA
• NARA GRS20 (Federal US)
• DOD 5015.2 Design criteria standard for electronic records management software applications
Policy
© March 9, 2004 Novell Inc.12
Legal• Discovery• Harassment• Disclosure & Expected Lack of Privacy
• ECPA (Electronic Communications Privacy Act)
Security• Organization’s Internet Policy• Contrast to Physical Security – Open
Accounts
Resources• Bandwidth• Storage• Personnel Costs
Policy
© March 9, 2004 Novell Inc.13
Policy
• All e-mails to be preserved:• For a period of not less than six years,
• First two years in an easily accessible place
• E-mails to be archived:• On non-rewriteable, non-erasable formats
• where the quality and accuracy of the archiving process can be automatically verified
• Provide full audits of the archive environment
• Ability to review both inbound and outbound e-mail content
© March 9, 2004 Novell Inc.14
Policy
Why is retention required?• Support for potential litigation• Internal workflow• Knowledge Management• Historical record
Some Sobering Facts (CNI 2001)• 34% of Organizations could not recover e-
mails• Recovery costs too high to justify ongoing
litigation, settlement is only option• Almost half of all users routinely ignore
policies
© March 9, 2004 Novell Inc.15
Policy
Destruction & Duplication• Processes should be in place to ensure that
these messages are removed from the message store to avoid the potential of conflict. Consider copied messages on laptops, PDA’s & home systems
Think long term• Messages may have to be stored and retrieved
long after GroupWise®, NetWare® and the hardware are obsolete. Media may also degrade or become obsolete – plan periodical migration of archived data
© March 9, 2004 Novell Inc.16
Storage Management
Large Volume of Messages
Messaging Growth Rates
– Overwhelming Amount of Information• CNI Reports Average 70 Messages /day
(200 a day for elected officials)• Loss of User productivity to deal with it• Impact on internal systems and software
– Volumes increasing annually at 33%
– New services (UM & VOIP) will increase mailbox storage requirements
– Limiting Mailbox Sizes is not really a long term option.
© March 9, 2004 Novell Inc.17
Disk Space is Cheap...
• Increased management costs
• Additional hardware (tape backup)
• Performance degradation
• Higher Data Integrity Risks
• Impact to Disaster Recovery
Storage Management
© March 9, 2004 Novell Inc.18
Large Message Stores
Storage Management
• Increased potential for message corruption• Access and Performance Issues• Increased Administrative Costs
• 14-16 Hours/week e-mail backup and recovery
• 6 Hours / week recovering e-mails from tape• 25% of time on retention management
• Hardware Costs• Over the next 5 years, expect a 6 fold
decrease in the $/TB, but a 100 fold increase in data.
• The net result is a projected 13 fold increase in total storage mgmt costs
• Disaster Recovery Impact
© March 9, 2004 Novell Inc.19
Content
• All Messages or Public Record Messages?
• Regulatory Compliancy?
• Internal/External or External Messages?
• Attachments, copies, links
• Message, Date Information, Delivery Information, Distribution & Addressing Lists
• Mail, Appointments, Tasks, Notes, Phone Messages, Personal Items, Address Books
Storage Management
© March 9, 2004 Novell Inc.20
Accessibility
• Access to information from GroupWise
• Access from External Applications
• What information?
• Who has access?
• Required Security?
© March 9, 2004 Novell Inc.21
Destruction
Data Retention & Destruction Guidelines
• Legislation, compliance, policy
• Message Tagging & Classification• Fundamental to destruction
• Transitory messages? (Friday afternoon notices of cleaning out the refrigerator)
• Destruction Authorization?
• Physical Destruction criteria• Online records, backed up records
© March 9, 2004 Novell Inc.22
Regulations & Guidelines
DoD 5015.2-STD• Design Criteria Standard for Electronic Records
Management Software Applications• Defines Functional Components of a
Records Management Application
• Defines Metadata Structures for Classifying Physical and Electronic Documents
• Requires User Classifications Processes
© March 9, 2004 Novell Inc.23
Mandatory Metadata Record Fields• Record Category Name• Record Category Identifier• Record Category Description• Disposition Instructions• Disposition Authority• Permanent Record Indicator• Vital Record Indicator• Vital Record Review Cycle
Regulations & Guidelines
…Plus Metadata Folder Fields
© March 9, 2004 Novell Inc.24
Secretary of State –Washington State
• Guidelines for Developing Policy and Establishing Procedures for E-Mail
• Differentiates Public & Transitory Messages
• Advises on creation of E-mail Policies
• Advocates destruction of transitory messages
(executive order 00-30 Public Records Privacy Protection)
http://www.secstate.wa.gov/archives/gs.aspx
Regulations & Guidelines
© March 9, 2004 Novell Inc.25
Challenges
• Version changing
• Enforcement
• Storage
• Retrieval process
• Collaboration
• Participation
• Novell GroupWise®
© March 9, 2004 Novell Inc.26
• Version changing
• If the software is updated, does it allow backwards compatibility?
• If you change systems, can you still access the “old” information?
Challenges (cont.)
© March 9, 2004 Novell Inc.27
• Enforcement• Who’s in charge?
• Who polices the process?• Backup
• Do all stakeholders understand the need to comply?• Implications if they don’t
• Are the policies stated clearly and enforceable?• Beware unreasonable expectations
Challenges (cont.)
© March 9, 2004 Novell Inc.28
• Storage• Server-based
• Budget
• CD• Does it meet standards?
• Emulation or transfer software• Integration seamless?
• Paper• Space
Challenges (cont.)
© March 9, 2004 Novell Inc.29
• Retrieval process
• What is the process for requesting records
• Is it easy to use and timely?
• What retained records will be available, and to whom, and when?
Challenges (cont.)
© March 9, 2004 Novell Inc.30
• Collaboration
• What dependent externals are involved?
• Microsoft Word• Microsoft Excel• Microsoft Access• Corel WordPerfect• Web
Challenges (cont.)
© March 9, 2004 Novell Inc.31
• Participation• Are all stakeholders “on board”
with the plan?• Is there citizen involvement with
the planning, administration or oversight of the process?
• How available is the information?• By request
• Web-based
• Terminal-based
Challenges (cont.)
© March 9, 2004 Novell Inc.32
• GroupWise• Encryption
• Need a client to de-encrypt
• Process• What matrix do you employ to
separate retainables
• Education• Easy, if relying on a third party
product
Challenges (cont.)
© March 9, 2004 Novell Inc.33
• Whoops• Recovery process
• Disaster recovery policies
• Training• New employee training• Retraining and monitoring
• Backup• Robust enough?
Challenges (cont.)
© March 9, 2004 Novell Inc.34
Where Do We Go from Here?
The Goal
http://www.novell.com/coolsolutions/gov/features/a_lindsey_j_record_retention_gov.html
A completely invisible to the end user, comprehensive mechanism to record all retainable emails, both external and internal, with message flow tracking contained in a database environment that would allow for extensive subject and message text searching and filtering. Additionally, provide a method of extraction that would be readily accessible and allow for Internet access of the records.
© March 9, 2004 Novell Inc.35
Links – Comprehensive Products
http://www.nexic.com/discovery/index.html
Discovery Suite
http://www.gmb.com.au/Products/gem.htm
GEM
http://www.intellireach.com/products/message_archive.htm
ArchiveManager for GroupWise
© March 9, 2004 Novell Inc.36
Links – Value Added products
http://www.beginfinite.com/html/guinevere.html
Archiving, virus scanning, footnotes, extension exclusion
http://www.omni-ts.com/index.asp?page=products&prod_id=18
Value added with some archiving capability
© March 9, 2004 Novell Inc.37
Other Useful Links
http://www.gwtools.com/index.cfm• Number of products
www.stack.co.uk/groupwise_footnote.htm• Disclaimers
www.intellireach.com/groupwise/• Management suite
www.caledonia.net/catalog.html • Helpful tools and utilities
http://nps.kck.dk/nps/servlet/portalservice?Language=UK• Useful utility kit
www.arma.org• Association of Records Managers and Administrators
© March 9, 2004 Novell Inc.38
Lindsey’s links
crmp@seattle.gov
HIPAA ExtractProvided by Elizabeth Cole
Fifty state plus Canadian province URL tableProvided by Jennifer Smith-Winkler, Records Manager, City of Seattle
© March 9, 2004 Novell Inc.40
General DisclaimerThis document is not to be construed as a promise by any participating company to develop, deliver, or market a product. Novell, Inc., makes no representations or warranties with respect to the contents of this document, and specifically disclaims any express or implied warranties of merchantability or fitness for any particular purpose. Further, Novell, Inc., reserves the right to revise this document and to make changes to its content, at any time, without obligation to notify any person or entity of such revisions or changes. All Novell marks referenced in this presentation are trademarks or registered trademarks of Novell, Inc. in the United States and other countries. All third-party trademarks are the property of their respective owners.
No part of this work may be practiced, performed, copied, distributed, revised, modified, translated, abridged, condensed, expanded, collected, or adapted without the prior written consent of Novell, Inc. Any use or exploitation of this work without authorization could subject the perpetrator to criminal and civil liability.
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