Proofpoint: Security, Compliance and the Cloud

18 posts categorized "Rick Dales, VP Product Management"

January 12, 2010

Focus on Email Archiving: Exchange 2010 and Third-party Email Archiving Solutions, Cost Savings from SaaS, Demo and Other Resources

Email-Archiving-LogoI wanted to take a moment to remind readers that tomorrow (Wednesday, January 13th, 2009), Proofpoint's live web seminar series continues with "Email Archiving in Exchange 2010: Are Third-Party Solutions Still Necessary?"

Proofpoint's VP of Product Management for email archiving, Rick Dales, will discuss the top reasons that you'll still need a third-party email archiving solution, even if you upgrade to Exchange 2010. And, as always, we'll answer as many of your questions during the live question and answer session at the end of the webinar. Rick is a great presenter and a true expert in the email archiving space, making this a "don't miss" event.

If you'd like to register, visit the following link where you can get a taste of Rick's insights on email archiving in Exchange 2010, download his new TechBrief with even more detail, and register for the webinar (by filling out the form toward the bottom of the page):

Read more and register:
Email Archiving in Exchange 2010: Are Third-Party Solutions Still Necessary?

(By the way, if you're reading this after January 13th, you can still register at that page and view a replay of the web seminar.)

If taking control of email archiving is on your organization's list of IT resolutions for 2010, here are a few more resources to help you get started:

  • Get a quick overview of Proofpoint ARCHIVE, our SaaS email archiving solution by watching this short Flash demo and reading our eDiscovery whitepaper, "Email Archiving: A Proactive Approach to eDiscover":
    Watch: Email Archiving Demo »
  • Learn how Software-as-a-Service solutions for email archiving can reduce your total cost of ownership for email archiving by reading this whitepaper from Osterman Research, "Realizing the Cost Savings and Other Benefits from SaaS Email Archiving":
    Learn: Reduce Archiving Costs »
  • Get more details about Proofpoint ARCHIVE, our SaaS email archiving solution by visiting our product information page:
    Proofpoint ARCHIVE product information »

November 23, 2009

Email Archiving in Exchange 2010: Will You Still Need Third-party Email Archiving Solutions?

TechBrief-Email-Archiving-and-Exchange-2010We're seeing a lot of questions from organizations that are considering deploying an email archiving solution (such as Proofpoint ARCHIVE) about what impact, if any, Microsoft Exchange 2010 will have on their email archiving plans.

Among the many enhancements in Exchange 2010 are basic email retention features, basic eDiscovery features and a variety of storage management improvements. The question is, will these improvements eliminate the need for third-party archiving solutions?

Proofpoint email archiving expert Rick Dales wrote up a great summary of the new archiving-related features in Exchange 2010 and how well they address the true email archiving and eDiscovery needs that we see in enterprises today.

His comments are summarized in a new Proofpoint TechBrief which you can download by clicking the image in this post, or the link below (this document does not require registration to download):

Proofpoint TechBrief: Email Archiving and Exchange 2010 (PDF document)

This document does a great job of explaining these enhancements in the latest version of Exchange and how, for many enterprises, they won't replace the need for more robust third-party email archiving solutions. There's a lot of great detail in this document, but in short, we feel that:

"Organizations deploy archiving solutions to address three main business problems: Storage management, legal discovery and compliance. For some organizations, Microsoft’s solution may help address some storage management challenges. However, legal discovery seems to be the most pressing driver for recent archiving deployments—and Exchange 2010 only addresses the most basic of legal discovery scenarios. Finally, Exchange 2010 does not address the compliance concerns, particularly for SEC regulated firms, so these organizations clearly need a third-party archive."

Whichever side of this debate you take, I think you'll find this new TechBrief an interesting read! This topic will be the subject of an upcoming live Proofpoint web seminar in the new year. Watch the blog for details.

September 28, 2009

Rick Dales Presenting on eDiscovery in the Cloud at Computer Forensics Show

Proofpoint's own Rick Dales, VP of product management for our email archiving business, will be presenting a session at next week's Computer Forensics Show in Santa Clara, CA. If you're coming to the Computer Forensics Show, don't miss his presentation "eDiscovery in the Cloud: Policy, Technology and Security Requirements for SaaS Email Archiving," to be given at 9:00 AM, Monday October 5, 2009.

The abstract for this presentation on SaaS email archiving and related issues is as follows:

The average US company faces 300 lawsuits at a given time, highlighting the need for effective retention policies and the technologies to monitor and enforce them. Proper data retention isn’t just best practice, it’s a legal obligation – especially considering a majority of business-critical data is found in email and other electronic communications. In order to prepare for the legal discovery of electronic data, organizations must adopt a holistic approach to managing all types of data so that it can be easily searched and retrieved when necessary.

Rick Dales will give an overview of the compliance and litigation readiness issues faced by today’s enterprises, with a focus on the high-speed search and encryption technologies for secure email archiving and transmission.

In this session, attendees will learn the benefits of a SaaS-based archiving solution, such as lower TCO, less IT management involvement, scalability and a predictable cost structure. Additionally, Dales will explain how SaaS email archiving can help enterprises avoid the most common eDiscovery pitfalls, including:

1. Not knowing where your data is
2. Not having an enforced retention policy that reduces risk
3. Not having a way to enforce a litigation hold
4. Attending a meet and confer session without understanding what data exists and what
risks it exposes
5. Not being prepared to search, collect and process the data quickly and cost effectively

July 23, 2008

Four Best Practices to Make the Most of Stubbing (Part 2 of 2)

Posted by Rick Dales, VP Product Management

In my last post, I introduced the concept of stubbing and listed some of its benefits and drawbacks. This post will look at four best practices that businesses should follow if they rely on stubbing in their organization.

1. If you can train users to search for older messages, don’t stub
One of the easiest ways to address storage management challenges is to impose mailbox quotas and provide users with access to search the archive (preferably directly within Outlook).  You can reduce the end-user maintenance burden by applying automated cleanup rules on users’ mailboxes (particularly the sent and deleted items folders) with the tools included in Exchange (Mailbox Manager for 2003, Managed Folders for 2007).  Many companies have found that imposing clear age limits on the data that lives in Exchange (i.e. only the last 90 days of mail is in the mailbox) makes it easy for end-users to understand what to look for where.

2. Only stub attachments, not messages

Stubbing messages has a significant impact on end-user experience.  In general this means message the preview window in Outlook doesn’t work unless client-side software is deployed.  From an Exchange server perspective, since most attachments aren’t single instanced (due to Office’s updates on metadata) you will get most of the storage benefit without materially impacting the number of objects in the database if you focus on stubbing attachments, but leave the message itself intact.

3. Apply consistent stubbing policies across users within the same mailbox database
As described above, if a message is delivered to multiple users in the same mailbox database, but you only stub for some of them you can actually increase storage requirements.  While most tools allow you to specify stubbing rules on a per-mailbox basis, you should really consider re-organizing your mailboxes to assign policies within a given mailbox database if you need to.

4. Time stubbing processes to complete before a full backup starts
Most companies perform incremental backups on a nightly basis and full backups once per week.  Incremental backups of an Exchange store take less time than full backups when a small proportion of the content has changed since the last backup (assuming that you use an Exchange store-aware agent).  Since stubbing can result in significant changes, you can end up with incremental backups that take as long a full backup would.  As a result, it is wise to plan your stubbing window to occur in the period between the last of the incremental backups and the start of your full backup window.

July 17, 2008

To Stub or Not to Stub (Part 1 of 2)

Posted by Rick Dales, VP Product Management

In the world of email archiving, there is an ongoing argument about the value of stubbing, a process designed to help manage the storage in Exchange by replacing messages or attachments on an email server with a link to a copy of the file in an archive. I thought I’d weigh in on this topic, first by explaining the concept and looking at the pros and cons, and then (in a second post), providing a list of four best practices that businesses should follow if they’re relying on stubbing in their organization.

With the growth of email volume outpacing the reduction in total cost of storage ownership, it comes as no surprise that IT is struggling to manage Exchange storage. The real frustration for most Exchange administrators is that the vast majority of their storage is occupied with content that people almost never read. For performance and reliability reasons, Exchange is usually implemented on the most expensive of storage platforms making this usage pattern extremely expensive. Furthermore, as a transaction system, every piece of data is open for modification. This means that every piece of data needs to be backed up on a regular basis.

Introducing Stubbing – How it works
All of these factors have led IT to investigate archiving as a means to address their storage challenges. The idea is simple – focus the Exchange server on the delivery and management of current mail, and push the older mail to another repository that can be managed on less expensive infrastructure. That repository can then use archival storage management processes that allow for incremental backup of only newly added information, rather than the entire set.

Moving the data to another location (the archive) benefits IT; however, training users to change their behavior and look for this information in a new application (often with unique user interfaces and workflows) is often too cumbersome for broad adoption. To address these concerns, archiving vendors introduced features known as stubbing or shortcutting. This involves replacing the messages or attachments in users’ mailboxes with a pointer to the copy in the archive. From an end-user’s perspective, the email data is still accessible from Outlook, and yet they don’t run into their mailbox quota less often.

Stubbing Drawbacks
Stubbing isn’t without its drawbacks, however. To understand the impact on storage, you need a solid understanding of Exchange’s single instance storage model. When a message is delivered to multiple recipients within the same mailbox database (storage group), the message body and attachments are only stored once, and the message entry in each mailbox simply references the single copy of this data.

When a user modifies a message in their mailbox, Exchange creates a unique copy of the content and points the message in the user’s mailbox to that copy. As Exchange doesn’t provide any way to access the single-instance store of content, stubbing processes behave like end-user edits -- modifying messages on a mailbox by mailbox basis. If a message was sent to multiple recipients on the same mailbox database, but you only stub content for some of them, you actually increase not decrease storage by implementing stubbing. Furthermore, even though stubs may be small (typically <2K), as the stubbing process works through each mailbox, it is creating separate items in the single-instance store.

Since many elements of Exchange and data management processes are impacted by the number of entries in the tables, not just their total size, the unwinding of single-instance storage in Exchange can be problematic. As it happens, however, Microsoft Office has a habit of updating attachment metadata when a user views the item, which in most environments means that single-instance storage is pretty much non-existent within Exchange. The more of these changes that are made in Exchange between backups, the longer an incremental backup of the mail system will take.

Microsoft’s answer to the storage management problem is to change Exchange 2007 to support dramatically larger mailboxes and to change the way backup processes work so that managing these larger mailboxes databases becomes more practical. While most firms that I’ve talked to plan to increase mailbox sizes with their conversion to Exchange 2007, few are creating the 1GB mailboxes that Microsoft touts.

Conclusion
Clearly, stubbing is not the straightforward Exchange storage management solution that some vendors would have you believe. That having been said, when implemented properly, it can be a valuable tool to manage the growth of Exchange storage with minimal impact on end-user behavior. In my next post, I’ll talk about four best practices to make the most of stubbing in your organization.

May 20, 2008

Can one email archiving approach meet all your needs? (Part 4 of 4)

Posted by Rick Dales, VP Product Management

In my last  three posts, I introduced the idea that there are multiple approaches to archiving and took a deeper look at the two most widely-used methods – mailbox archiving and journaled archiving.  I conclude this series of posts by addressing the question that often comes up:  Can one email archiving approach equally solve both your mailbox storage management challenges as well as meet your legal discovery and compliance requirements?

As I mentioned in my first post, companies may have many goals when they decide to implement an email archive, but some goals may end up being in conflict with others.   For example, the IT group may implement an archive for mailbox storage management purposes and let users control which messages are archived and which ones are deleted.   However, by doing this, they defeat the organization’s retention policy and make the archive a meaningless place to manage preservation orders for a litigation hold. 

Most of the in-house archiving software products implement both mailbox archiving and journal archiving and allow customers to enable both approaches as a way to deal with the limitations of each.  Not only does this not provide an overly practical solution, it also results in duplicate storage of content (despite what they might tell you about single instance storage).

At Fortiva, we use journal archiving because we wanted to ensure that we could address the litigation readiness and compliance requirements.  However, as I mentioned in my previous posts, using journaling as a source of information that you plan to expose to end-users requires additional work (that most archives don’t attempt to do).  We do the extra work to understand routing of messages and assignment to end-user mailboxes so that one copy of the message can be used for both end-user access as well as discovery purposes. 

Fortiva offers capabilities such as stubbing, a process similar to mailbox archiving where a periodic scan of mailboxes is performed.  Unlike implementing mailbox archiving on top of journaling, we scan mailboxes and then use our powerful real-time search engine to find the item that already exists in the archive to determine what the stub (or shortcut) in the mailbox should point to.  Doing so allows us to leverage the single copy of the data that is already in the archive via journaling.

It must be noted that Fortiva’s solution is built around a retention policy engine that assigns retention when messages are archived.  This means that neither users nor IT can simply say “I don’t need this anymore” and delete items at will.  As such, while Fortiva provides the added value of addressing storage management challenges, our on-demand archive is most suited for those that have a need for consistent retention as a core business requirement. 

While most modern archiving solutions offer some capabilities to address legal discovery and storage management challenges, each will have limitations on one area or the other – partially because the “optimal” business rules for each problem are in conflict. Thus, knowing what your primary goal will help you decide which email archiving approach is best suited for your organization.

May 16, 2008

Approach 2: Journaled Archiving (Part 3 of 4)

Posted by Rick Dales, VP Product Management

In my last two posts, I talked about the fact that there are multiple approaches to archiving, each with its pros and cons. I also took a closer look at one of those approaches – mailbox archiving.  In this post, I will dive more deeply into another widely-used approach – journaled archiving – including how it works and what problems it is best suited to address.

Journaled archiving relies on a feature in the mail system that captures a copy of every message in transport (as it is sent/received) and puts a copy in another mailbox.  This copy of the message is stored as an attachment to a message known as a journal report, which contains additional information about the actual recipients of the original message.  The archiving system then uses this “journal mailbox” as a source of messages to be captured (and typically deletes the content once it has been captured).  Some outsourced solutions rely on the customer configuring journaling to deliver to a remote SMTP address.

Strengths

  • Complete capture of email messages
    The journaling process places a copy of every message that is sent/received into a separate mailbox at the same time that a user receives it in their mailbox.  A user choosing to delete the message in their own mailbox has no bearing on whether the message gets archived. 
  • A single, complete picture of each message
    As the journaling process includes BCC information and expansion of distribution lists, the archiving system can provide a full picture of the original message.  While multiple Exchange servers can increase the complexity on this front (because multiple journal reports may be created), the data exists to allow an archiving system to collapse the data into a single message containing all information about the actual recipients.

Weaknesses

  • Providing end-user access to their own mail is difficult
    To provide end-users with access to the messages that they sent or received, an archiving system has to determine which mailboxes a message was actually delivered to.  The address information on journal reports is insufficient to archive this, as forwarding and routing rules must be factored into the equation.   While it is possible to do this (and Fortiva does), most other journal mail systems do not, resulting in journaled messages being available only to IT or legal that have rights to see all mail.
  • No direct ability to modify/stub messages
    There is no connection between a journal report in the journaling mailbox and the messages that live in users’ mailboxes.  Replacing message content in users’ mailboxes with a pointer to the message captured using journaling, requires the archiving system to use complex lookup routines based upon content similarity.  Fortiva uses this approach, but most firms do not.

Appropriate Uses of Journaled Archiving

Best suited for: Legal and Regulatory Compliance
Journaled archiving is the Microsoft-recommended approach for capturing data for legal discovery and compliance requirements.  It allows for the complete capture of all messages in a single, unified view.

Not usually well-suited for: Email Storage Management*
Unless the archiving vendor specifically implements other processes to cleanup user mailboxes, journaled archiving approaches won’t address storage management challenges. Some journaled archiving solutions, including Fortiva, have implemented attachment stubbing (replacing attachments with a link to the file in the archive) to address this.

Not usually well-suited for: End-user Access*
Unless the archiving vendor specially implements techniques to determine which users actually received mail, users will either not be able to access their own mail, or will be granted access to a subset of the messages that they actually received. Some solutions, such as Fortiva, have developed a way to overcome this, allowing end-users to fully access all their archived mail.  Because journaled archiving isn’t working against the users’ mailbox, it can’t record which folder each user chooses to file the messages into.

* NOTE - As a point of reference (and self-disclosure), Fortiva uses journaled archiving. It overcomes some of the noted limitations with additional address resolution techniques and the use of a periodic scan of users’ mailboxes to allow for the stubbing of older attachments.

May 06, 2008

Approach 1: Mailbox Archiving (Part 2 of 4)

Posted by Rick Dales, VP Product Management

In a previous post, I introduced the idea that there are multiple approaches to archiving.  In this post, I will dive more deeply into one of the two most common approaches, known as mailbox archiving, including how it works and what problems it is best suited to address.

Mailbox archiving is the process of periodically connecting to a user’s mailbox and looking for content that matches some criteria (an archiving policy) and adding it to the archive.  While a mailbox archiving process might run on a nightly basis, typically the archiving policies are set to only store messages that are older than a certain age (typically 30-90 days).

Strengths

  • Visibility to all content and state information in the mailbox
    By connecting directly to the user’s mailbox, the archiving system can see (and choose to capture) any type of content, including calendar events, that wouldn’t be sent to another user.  Similarly, they can capture which folder the user has put the item into.
  • Ability to modify messages in the mailbox
    With direct access to the user’s mailbox, the original message can be modified (flagged), deleted or replaced with a pointer to the copy in the archive.
  • Easy to provide end-user access
    As the archive knows which mailbox it found a message in, it can easily provide the appropriate security controls to provide users with access to the messages in their mailbox without granting access to other messages.

Weaknesses

  • Incomplete set of messages are captured
    Similar to backups, any periodic snapshot activity cannot record things that arrived and were subsequently deleted between capture cycles.  Given that users read and then deleted over 50% of messages on the day they receive them, periodic capture will miss the majority of mail – even if the archiving policy is set to capture messages immediately. 
  • Incomplete picture of each message’s recipients
    When a user receives a message they have no visibility to the set of recipients that were BCC’d.  In addition, if the message was sent to a distribution list, the actual set of recipients isn’t stored with the message.  In the period between message receipt and capture, the membership of the distribution list can change materially (or the distribution list can be deleted from the mail system entirely).
  • Duplicate message removal is very difficult
    While digital signatures can be used to find and remove duplication of message bodies and attachments to optimize the storage within the archive, removing duplication of the messages themselves is difficult because the set of recipients may be different and the meta data about when a message was received will vary from mailbox to mailbox.  When performing legal discovery across a set of users, duplicate copies of messages from different user’s mailboxes dramatically increases the costs of reviewing messages to be produced for opposing counsel.

Appropriate Uses of Mailbox Archiving

Bested suited for:
Mailbox Storage Management
Mailbox archiving is appropriate for active mailbox storage management. A significant advantage -  mailbox archiving systems can “stub” or “shortcut” messages so that users don’t need to change their behavior to access historical mail. It is important to note, however, that without an active process that removes content from user’s mailbox, an archive only aids in storage management if combined with tight mailbox quotas – requiring users to spend hours each month on manual cleanup tasks.

Not appropriate for: Legal Discovery or Regulatory Compliance
Since mailbox archiving does not ensure the archiving all messages, nor does it provide a complete view of all message traffic, it is not suitable to address legal discovery or regulatory compliance requirements.

Click here to read Part 1 of Different Approaches to Archiving Email

April 22, 2008

Understanding the Different Approaches to Archiving Email (Part 1 of 4)

Posted by Rick Dales, VP Product Marketing

Discussing email archiving can be challenging, because the phrase “email archiving” is interpreted in very different ways, based upon the set of problems users are trying to address. Similarly, dedicated email archiving systems are not alike, and may offer different approaches to archiving.

Before selecting an email archive, it’s important to first understand the fundamental differences between these different approaches. Each one has pros and cons, depending on your archiving goals. These goals typically include (in no particular order):

  1. Providing a central, searchable, deduplicated repository of email data to use for the enforcement of litigation hold orders and the execution of legal discovery requests
  2. Provision of a systematic review process to monitor content sent/received by regulated employees (generally this is only in the financial services space)
  3. Providing easy access for users to their historical mail for productivity purposes, without keeping all of the mail on the production mail system
  4. Maintaining access to historical information when employees leave the organization

As I will explain over my next few posts, each of the current archiving approaches has limitations when trying to address all of these challenges. As a result, the selection of an email archiving system must first consider the best archiving approach to achieve your goals. Given that these goals can be in conflict, it will be equally important to prioritize your objectives and decide which items you are willing to make compromises on.

In my next few blog posts, I will provide a high-level overview of the main archiving approaches, outlining the pros and cons of each, from my perspective. (full disclosure: Fortiva uses a journaled archiving approach)

March 28, 2008

Reducing the Risks, Costs and Time of e-Discovery: EDRM and Email Archiving

Posted by Rick Dales, VP Product Management

This week I participated in a live webcast at Fortiva that discussed how an email archive can reduce the cost, risk and time involved with e-discovery. I thought it might be helpful to share some of the ideas from that event here on the blog.

A lot of people use the Electronic Discovery Reference Model (EDRM) to explain the steps involved in the e-discovery process. Since having an email archive significantly changes how a company deals with the first four phases of the model, I’m going to focus on those areas (as they pertain to email). First, I’ll explain what each step involves, and then provide a general sense of the time and costs involved (with and without an email archive).

Ultimately, as the diagram below shows, having an email archive in place can dramatically reduce the costs involved with e-discovery, not to mention the risks.

  1. Information Management – This is the first step in the model, and it refers to the organizing of information and the application of consistent retention policies. 

    Today, most firms have poorly defined retention policies and little, if any, way to enforce them across the organization. As a result, most companies dedicate very little – if any – budget to this step. The problem is, with no enforced policies, businesses are at risk of spoliation from destruction of data that should have been retained during a lawsuit. They also may be exposed to excess legal risk by maintaining data beyond the retention policy.

    By adding an email archive which captures a copy of every email message and applies consistent retention policies, a company can avoid these risks. Proactively capturing email into a central, searchable repository also increases visibility, and allows legal counsel to conduct early case assessment. It also makes future steps in the EDRM process faster and less expensive.  However, adding an archive requires a company to dedicate a moderate budget amount upfront.

  2. Identification – This step basically involves determining where – and in what format – email exists.

    Without an archive, this may require IT to find and catalog backup tapes, PST files (on the corporate network, individual laptops and desktops, and portable storage devices), and email servers. The hard costs are generally fairly low, but the time and effort required by IT can add up significantly.

    By adding an email archive, this step can essentially be eliminated, especially if a company takes steps to eliminate the use of PST files. Since all email is stored in the archive, it is a single source from which all e-discovery requests can be met.

  3. Preservation & Collection – Preservation means ensuring that email is protected against destruction or alteration (generally after a litigation hold), while collection refers to the gathering of email from the various sources catalogued in the identification phase. These two steps can sometimes overlap.

    Without an archive, enforcing a litigation hold manually (by asking individuals to retain information) is a hit or miss situation. Even if you can ensure that all relevant information is preserved (ie. by storing complete backup tapes), you will almost always end up retaining more data than necessary – potentially exposing the business to additional risk.

    With an archive in place, the preservation & collection process is radically reshaped. With all data stored in a central location, there’s no need for collection at all. The archive also allows you to easily enforce a preservation/hold order for only the data required, without risking additional data deletion/spoliation of evidence (in Fortiva’s case, a litigation hold can literally be enforced with a click of a button).

  4. Processing, Review & Analysis – This phase involves the preparation of data, as well as the review and analysis of that data. This is where the most dramatic time and cost-saving benefits can be achieved with an email archive.

    Without an archive, this generally involves restoring backup tapes and removing duplicates, which can be an extraordinarily expensive process (the average cost to restore a single backup tape is $2,500 and some businesses may have hundreds of tapes to restore). This is also when the initial culling process takes place - eliminating unnecessary documents in order to reduce the amount of data that needs to be manually reviewed. Since processing work is typically done by third parties with limited culling capabilities, the resulting dataset that needs to be reviewed is generally very large.

    With an archive in place, all the data is stored in a deduplicated fashion, and it can be searched and reviewed at any time.  This allows businesses to conduct early case assessment before meeting with opposing counsel (or even before a formal case is filed).  A powerful search feature also makes the culling process more effective, ultimately reducing the amount of data that needs to be reviewed and analyzed.

  5. Presentation – Since theoretically, the same dataset will be produced following the first four stages, an archive has no material impact on production and presentation costs.

As you can see in the diagram above, an archive involves moderate incremental costs in the information management phase (regardless of whether or not you’re involved in litigation); however, it dramatically reduces the total cost of the e-discovery process when a request comes up. Ultimately, even if you only have one case that requires e-discovery over the course of three years, it still makes economic sense to implement an archive (based on Fortiva’s pricing). This is true without taking into consideration the additional risks (and potential costs) that come with not having an archive in place.

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