An Overview of GroupWise ® and Records Retention Lindsey Johnstone System Manager to the City...

An Overview of GroupWise® and Records Retention

Lindsey JohnstoneSystem Manager to the City CouncilCity of [email protected]

© 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

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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.

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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…


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?


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


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.)


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


Policy

Messaging policies

• Who owns the information?

• Personal use policies

• Retention schedule (45/7/120)

• Legal requirements

• Resource management


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


• 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


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


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


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


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


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.


Disk Space is Cheap...

• Increased management costs

• Additional hardware (tape backup)

• Performance degradation

• Higher Data Integrity Risks

• Impact to Disaster Recovery

Storage Management


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


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


Accessibility

• Access to information from GroupWise

• Access from External Applications

• What information?

• Who has access?

• Required Security?


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


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


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


…Plus Metadata Folder Fields


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



Challenges

• Version changing

• Enforcement

• Storage


• Collaboration

• Participation

• Novell GroupWise®


• 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.)


• 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.)


• Storage• Server-based

• Budget

• CD• Does it meet standards?

• Emulation or transfer software• Integration seamless?

• Paper• Space

Challenges (cont.)



• 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.)


• Collaboration

• What dependent externals are involved?

• Microsoft Word• Microsoft Excel• Microsoft Access• Corel WordPerfect• Web

Challenges (cont.)


• 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.)


• 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.)


• Whoops• Recovery process

• Disaster recovery policies

• Training• New employee training• Retraining and monitoring

• Backup• Robust enough?

Challenges (cont.)


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.


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

http://www.nexic.com/discovery/index.html

http://www.intellireach.com/products/message_archive.htm


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

http://www.beginfinite.com/html/guinevere.html

http://www.omni-ts.com/index.asp?page=products&prod_id=18


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


Lindsey’s links

[email protected]

HIPAA ExtractProvided by Elizabeth Cole

Fifty state plus Canadian province URL tableProvided by Jennifer Smith-Winkler, Records Manager, City of Seattle


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An Overview of GroupWise ® and Records Retention Lindsey Johnstone System Manager to the City...

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