msg 382 enforcing compliance with exchange server andrew barnes director - emea marketing and...

MSG 382

Enforcing Compliance with Exchange ServerAndrew BarnesDirector - EMEA Marketing and Product Management

KVS Inc

CorporatCorporatee

1990s1990sPersonalPersonal1980s1980s

SpreadsheetsSpreadsheets Word Word

processorsprocessors Presentation Presentation

graphicsgraphics

NetworksNetworks E-mailE-mail Internet/IntranetInternet/Intranet Business process: Business process:

ERP, CRM, SCM…ERP, CRM, SCM…

Interconnection Interconnection of:of: PeoplePeople ProcessProcess DataData

EcosystemEcosystem2000s2000s

Impacts and Issues in Information Retention

Information Worker

MeetingsMeetings DocumentsDocuments Info SharingInfo Sharing

ReadingReading AnnotatingAnnotating AnalysisAnalysis

CreatingCreating ReusingReusing UpdatingUpdating

CommunicateCommunicate AbsorbAbsorb

CollaborateCollaborate

AuthorAuthor

DecideDecide

DesigningDesigning Note TakingNote Taking PublishingPublishing

EmailEmail MessagingMessaging PresentingPresenting

AccessAccess InformationInformation DataData PeoplePeople

ProjectsProjects InformationInformation TasksTasks

IndividualIndividual

TeamsTeams

Division

Enterprise

Industry

CreatingCreating ReusingReusing UpdatingUpdating

CommunicateCommunicate AbsorbAbsorb

CollaborateCollaborate

AuthorAuthor

DecideDecide

DesigningDesigning Note TakingNote Taking PublishingPublishing

EmailEmail MessagingMessaging PresentingPresenting

AccessAccess InformationInformation DataData PeoplePeople

ProjectsProjects InformationInformation TasksTasks

IndividualIndividual

TeamsTeams

DivisionDivision

EnterpriseEnterprise

IndustryIndustry

The KVS business

Rapid ImplementationTransparent To UsersCompelling ROIOpen API’s

Global OrganizationLeader in the archive spaceGreat product depth and breadthStrategic Partner Community

KVS develops, markets and supports archiving software which facilitates storage optimization,

simplifies the management of and enables discovery of content within business

critical collaboration systems

Store, Manage, Discover

Business Drivers

LifecycleLifecycleDocument & MessageDocument & Message

ManagementManagement

LifecycleLifecycleDocument & MessageDocument & Message

ManagementManagement

Retention &Compliance

StorageControl

PST & Legacy Information Migration

KnowledgeExploitation

Migration &Consolidation

Compliance, the Compelling Factors

Complex area with rules from many bodies, Global and Local, that drive across email, documents, instant messages, voice mail and most communications that take place between entities

Sarbanes Oxley

SEC 17a-x

Patriot Act

21 CFR 11

NASD rules 3010 & 3110

DOD 5015.2

MoReq

Etc…

DataProtection

Freedom of Information

FSA

RIPA

PRO

Commercial best practice

Etc…

SEC Press Release, December 3rd 2002 (http://www.sec.gov/news/press/2002-173.htm)

The Securities and Exchange Commission, the New York Stock Exchange and NASD today announced joint actions against five broker-dealers for violations of record-keeping requirements concerning e-mail communications. The firms consented to the imposition of fines totalling $8.25 million, along with a requirement to review their procedures to ensure compliance with record-keeping statutes and rules.

…consented, without admitting or denying the allegations, to findings that each:

Violated Section 17(a) of the Securities Exchange Act of 1934, Rule 17a-4 under the Exchange Act, NYSE Rule 440 and NASD Rule 3110 by failing to preserve for a period of three years, and/or preserve in an accessible place for two years, electronic communications relating to the business of the firm, including interoffice memoranda and communications. Violated NYSE Rule 342 and NASD Rule 3010 by failing to establish, maintain and enforce a supervisory system to assure compliance with NASD and NYSE rules and the federal securities laws relating to retention of electronic communications.

http://www.sec.gov/news/press/2002-173.htm

Aspects of legal retention

RetentionThe need to keep informationThe need to delete information that does not need to be kept

DisclosureThe need to make information available

SupervisionChecking for correct behavior by employees

DiscoveryLooking for stuff for formal enquiry

Compliance, the Compelling Factors

It is not acceptable to just delete mailEmail is dynamic not static like documentsEmails take on a life of its ownCorporations are responsible to deliver to opposing council whether or not policy states deletionIt’s not only the email (mail, attachments, and associations)

Mandatory retention periods for best information retention practiceSolutions need to be a combination of “Proactive”, “Reactive” and “Defensive”

KVS Compliance KVS Compliance InitiativeInitiative

announcing…announcing…

KVS Compliance InitiativeFully addresses needs of Compliance with focus in current phase on; Sarbanes Oxley Act, SEC mandates, DOD mandates, FDA mandates and EU policiesCompilation of best of breed by KVS and Partners

Microsoft TechnologiesExchangeSharePoint Portal ServerOffice Systems

Legacy Systems Import into the Information WorkerExchange 5.5 to 2000 & 2003Lotus JournalingDocument Management Systems (Documentum, FileNet, Hummingbird…)

PST and Public Folders to the ArchiveMDY Records ManagementInstant Messaging trapping and DiscoveryPrescribed Solution Offerings (PSO’s)

Storage

Servers BackupAnd

Restore

Windows OS

KVSCompliance

andDiscovery

Accelerators

KVS Enterprise

Vault for

Exchange&

SharePoint

FILTERS

KVS Compliance Architecture

SPS & OfficeDocs

PSTs &Public folders

Journals

Mailboxes EXCHANGE &

SPSContent Mgmt

import

Instant mail

Legacy import

External mail

DRM & 3rd Party Records Management

User Experience does not changeLower TCO (training, planning, implementation)

Enterprise Vault is part of the entire Microsoft Store Community

Users select items that are archived and open them like a normal message.

The archived items are then displayed to the user in their original application.

Availability?Availability?

Now!Now!

Architecture & Accelerator model

VaultVaultStorageStorage

Reviewdatabase

Storage, indexing,Storage, indexing,search, retrieval search, retrieval

servicesservices

JournalJournalArchiveArchive

Discovery or Compliance Accelerator

Standard EnterpriseVault

Exchange/SPS

Discovery or ComplianceAccelerator

Exchangejournals tomailboxes

Vault journal service movesemail from journalmailboxes

Vault storage service stores and indexes email

Review systemdatabase referencesemail in Vault store

Search and view from Vaultstorage

Email storedWORMstorage

Review ApplicationsDiscovery Example and Process

Case admins search journal archives toget result sets

Move result sets to case review set

Reviewers mark items, which end up as relevant or non-relevant


Target email is held in Enterprise Vault journal archives

Import opposition production into Vault for search and discovery

Case admins produce relevant itemsto opposition

KVS Enterprise Vault KVS Enterprise Vault and Acceleratorsand Accelerators

demodemo

Simon NashSimon NashSystems EngineerSystems EngineerKVSKVS

Determining the Right Mix

Information RetentionScenario #1


KVS Email ManagementKVS Email Management

KVS Email Journaling KVS Email Journaling

KVS Compliance & Discovery Accelerators




Records ManagementRecords Management




KVS Email Management KVS Email Management



Records ManagementRecords Management


KVS Enterprise Vault for SharePoint Portal ServerKVS Enterprise Vault for SharePoint Portal Server

KVS Email Management KVS Email Management



Proactive, Reactive, DefensiveProactive, Reactive, Defensive

The Information Worker + KVS2100SERVER 2100SERVER

RTCRTC

Enterprise Vault for SharePoint Portal Server and Enterprise Vault for Exchange co-exist as well as WSS functionality and Office11 data types

Government compliance and discovery maintained. Policy auto-enforced across all data types

Common MMC management Users search Exchange & SPS

from SPS or Outlook using MSFT or KVS search applications.

SPSSPS

ProjectProject2100SERVER

2100SERVER Exchange Exchange backupbackup

Instant Instant MessagingMessaging

2100SERVER

2100SERVER ExchangeExchange

2100SERVER

2100SERVER Records Mgmt

Content Mgmt

Community Resources

Community Resourceshttp://www.microsoft.com/communities/default.mspx

Most Valuable Professional (MVP)http://www.mvp.support.microsoft.com/

NewsgroupsConverse online with Microsoft Newsgroups, including Worldwidehttp://www.microsoft.com/communities/newsgroups/default.mspx

User GroupsMeet and learn with your peershttp://www.microsoft.com/communities/usergroups/default.mspx

http://www.microsoft.com/communities/default.mspx

http://www.mvp.support.microsoft.com/

http://www.mvp.support.microsoft.com/

http://www.microsoft.com/communities/newsgroups/default.mspx

http://www.microsoft.com/communities/usergroups/default.mspx

http://www.microsoft.com/communities/usergroups/default.mspx

evaluationsevaluations

© 2003 Microsoft Corporation. All rights reserved.© 2003 Microsoft Corporation. All rights reserved.This presentation is for informational purposes only. MICROSOFT MAKES NO WARRANTIES, EXPRESS OR IMPLIED, IN THIS SUMMARY.This presentation is for informational purposes only. MICROSOFT MAKES NO WARRANTIES, EXPRESS OR IMPLIED, IN THIS SUMMARY.

Appendix…Appendix…

Owner/ReviewerDelegate reviewer

Member Name 1Member Name 2Member Name 3 Member Name 4Etc.









Supervision user model


Member 1Member 2Member 3 Member 4Etc.

Review groups – parallel review by group managers/reviewers

Compliance administrators – manage review process, define reviewers/users/groups, get reports

Supervision process – “Compliance Accelerator”


Accept sample sets for review


Review and mark as “reviewed” or “questioned”

All review activityrecorded for audit

Reviewdatabase

Auto-search or reviewer driven search of journal archives to get sample sets

Discovery

Litigation supportExamples: incoming subpoena, HR investigation

FunctionalityScope is all archived/journaled information

Ad hoc searching

Review workflow

Final production of information

BenefitsOn-line, in-house discovery

Cost-effective reviewer utilization

Avoidance of review duplication

User model

Para-legal group

Reviewer 1Reviewer 2Reviewer 3 Reviewer 4Etc.

Review groups – progressive review by hierarchy of reviewers

Case administrator/s – manage discovery review process, define roles/users/marking, search

Inside counsel


Outside counsel


Discovery process - “Discovery Accelerator”

Reviewers mark items, which end up as relevant or non-relevant



Import opposition production into Vault for search and discovery

Case admins produce relevant itemsto opposition

Move result sets to case review set

Search 1+Search 2+Search 3

Everything is recorded

Search 1Search 1

Case admins search journal archives toget result sets

Search 1

© 2003 Microsoft Corporation. All rights reserved.© 2003 Microsoft Corporation. All rights reserved.This presentation is for informational purposes only. MICROSOFT MAKES NO WARRANTIES, EXPRESS OR IMPLIED, IN THIS SUMMARY.This presentation is for informational purposes only. MICROSOFT MAKES NO WARRANTIES, EXPRESS OR IMPLIED, IN THIS SUMMARY.