How to Optimally Manage Email in the Enterprise
Today's email best practices call for the management of email records based on a formal records series and retention schedule. The records series describes the type of records in the organization, and the retention schedule defines retention periods and proper procedures for destruction.
Email Archiving and Records Management Systems
When it comes to choosing an email management solution, two major areas should be considered: Email archiving and records management. While email archiving products vary in features, they all offer these five basic functions:
1. Storage management. Storage management helps organizations decrease storage requirements by:
a. Moving the body of the email and attachments to the archive, leaving only a message stub in the email system;
b. Centralizing email storage at a single location and removing copies from all email servers; and
c. De-duplicating attachments that may have been included within numerous emails.
2. Email capture. Organizations can meet specific regulatory or business requirements by capturing all incoming and outgoing traffic.
3. Discovery. A compliance officer or super-user can use discovery features to search across all email in the archive.
4. Mailbox management. This feature allows deletion of emails in user mailboxes based on criteria such as email volume or age.
5. Lifecycle rules. Organizations can apply a rules-based approach to enforcing policies and best practices. Rule examples include:
a. Start archiving when the volume is 80% full and continue until the volume is 50% full;
b. Archive all files older than 30 days except for hidden and system files; and
c. Archive *.zip and *.avi files older than five days and larger than 20 MB.
Part two of the solution is records management. Records management manages the organization's documents of record as provable un-editable originals, and the document lifecycle from creation to disposition within the guidelines of the organization's retention plan.
While records management systems differ based on the record types they manage, we will consider enterprise records management systems that manage email and are certified under the U.S. DoD 5015.2 standard. Following are key features of enterprise records management systems as required by 5015.2:
1. Storage. Email must be stored as follows:
a. In the original format or restorable to its originating email system or compatible system(s); and
b. Un-editable and read only.
2. Email metadata. The system must capture the who, what, when and where of the original email message.
3. Audit and access. All access to email must be tracked and limited based on a security model.
4. Retention. Email must be managed the same as all other electronic and physical records based on the organization's retention plan.
5. Destruction. Email destruction must be based on the organization's retention plan. Destroyed information must be scrubbed or shredded to assure the email is not recovered.
6. Security. Users other than the email recipients will have access to emails based on a security model.
7. Organization security. Security tied to the organization's records series.
In addition to the features above, many enterprise records management systems support:
1. Complex security models. Allows organizations to limit access to emails based on user, security clearance, code words, caveats ((e.g., executive employees only) and roles-based security.
2. Disposition hold. Holds may be placed on emails to prevent destruction until the hold is removed.
Does the Right Approach Include Both?
Email archiving and records management both offer features that help organizations meet the challenges of optimally managing email. They bring similar functionality and unique strengths. Specifically, email archiving alleviates storage problems related to functions such as stubbing and de-duplication; however, it does not support the key records management functionality critical to meeting compliance and records requirements. Some of the drawbacks of using simply an email archiving system are as follows:
Retention is based on time or volume;
Emails are not stored attached to the records hierarchy which limits searching and event-based retention;
There is a lack of required audit trails; and
Personal emails are stored with business emails. Ideally, a combination of email archiving and records management offers the best of both worlds to deliver an effective email management solution. Features offered by email archiving:
Stubbing; u Storage compression;
Review and supervision of email required for NASD and other specific requirements;
De-duplication of emails attachments; and u Storage of non-records for short-term retention. Features offered by records management:
Lifecycle management tied to the organization's retention schedule;
Discovery of all records across the enterprise, including email;
Email available based on security model, not just recipient and administrator rights; and
Management of all records across the enterprise, including physical and electronic.
With both systems in a fully integrated solution, organizations can take full advantage of the storage management capabilities of email archiving and the lifecycle and retention capabilities of records management. Lastly, by combining lifecycle management, discovery and disposition features, the organization can meet all regulatory requirements for all records within the enterprise.
CA (NYSE: CA), one of the world's largest information technology (IT) management software companies, unifies and simplifies the management of enterprisewide IT for greater business results. Our vision, tools and expertise help customers manage risk, improve service, manage costs and align IT investments with business needs. CA's records management, email management, file management and discovery solutions enable customers to fulfill compliance policies and discovery demands across the enterprise—without incurring large-scale infrastructure changes. CA MDY FileSurf is certified under U.S. DoD 5015.2 Std for records management applications (Ch. 2/4).