Today s Choices for. Compliance. Regulatory Requirements and Content Archiving Records Management ediscovery

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1 Today s Choices for Compliance Regulatory Requirements and Content Archiving Records Management ediscovery

2 Today s Choices for Compliance Regulatory Requirements Enables IT to provide for the confidentiality, integrity, and accessibility of information as called for in a variety of regulatory and corporate governance requirements. and Content Archiving Delivers automated, policy-based, costeffective archiving of and structured and unstructured content with retrieval and access for compliance. Records Management Enables organizations to manage complex management requirements around both structured and unstructured information. ediscovery Today, virtually every organization is affected in some way by compliance requirements. Internal governance issues and external regulatory requirements are forcing organizations to reexamine their IT systems to assure compliance. In short, compliance is about following the rules and being able to prove it. For many organizations, that means minimizing the risks associated with loss of reputation, reducing liability, enabling more cost-effective support for information discovery, and dealing with evolving complexity in the regulatory environment. This puts pressure on IT to provide enhanced information management capabilities. Most executives, as well as IT and legal departments, are feeling the pressure. Whether they realize that the issues are imposed by compliance or not, they are having to revamp their information management capabilities to provide support for legal discovery, enhanced records management capabilities, and more robust and content archiving applications. Many are finding it difficult to provide these enhanced services in an environment where their traditional infrastructures are stove-piped application by application. Providing enhanced information management that ensures the integrity of information, authenticated access, and managed disposition of information throughout its lifecycle is an essential requirement for IT. Regulatory Requirements For many industries, specific external regulatory and internal governance requirements are emerging that directly impact how an organization manages information. Whether it s HIPAA in healthcare, SEC 17a-4 in securities trading, 21 CFR Part 11 in pharmaceuticals, Basel II in Europe for banking, Sarbanes-Oxley for public companies, NASD 3010, or other regulations, IT organizations must respond or face financial, civil, or even criminal penalties. What these regulations have in common is the requirement for information confidentiality, information integrity, and information accessibility. Among the obstacles to achieving regulatory compliance are the traditional stovepiped applications that can inhibit the flow of information and create roadblocks to effective information management. A number of EMC offerings are important components in building a robust infrastructure equal to today s regulatory demands. Automates information archive and collection so companies can avoid a saveeverything strategy, enforce litigation hold, maintain chain of custody, and reduce the universe of documents sent for legal review. EMC can help you meet growing compliance requirements by providing new choices in information lifecycle management managing your information from creation through disposition. (Figure 1) 2 EMC Corporation

3 EMC Services EMC Assessment for Retention and ediscovery Service helps companies proactively manage information and retention policies on electronic information to better prepare for ediscovery. Customers receive a set of formal recommendations outlining steps to move from an expensive, reactive approach to ediscovery to a pro-active response model. EMC Infrastructure Services build a flexible information lifecycle management infrastructure which is often among the first steps in meeting compliance-driven regulatory requirements. EMC Services can help with infrastructure assessments and design. EMC Data Classification Services help define a tiered architecture that aligns business, legal, and regulatory requirements with architecture, data policies, and service levels. EMC Data Migration Services help mitigate the major business, technical, and operational risks associated with data migrations in newly built compliance environments. Figure 1 Today s Compliance Requirements EMC Software EMC Documentum ECM Platform provides management of semi-structured and unstructured data, enabling compliance across the entire IT infrastructure. EMC Documentum Compliance Manager automates the sharing and management of controlled content for organizations in regulated industries. Create, review, approve, and distribute content within an audited and tightly-managed environment. EMC Documentum Records Manager and Retention Policy Services makes it easy to control the entire lifecycle of corporate records: create, safeguard, access and destroy records according to a broad range of system-enforced policies. Comply with the recordkeeping requirements of regulations including the Department of Defense Chapters 2 & 4, Sarbanes-Oxley, HIPAA, and 21 CFR Part 11. EMC DiskXtender, Xtender, and DatabaseXtender archiving software help organizations to maximize a tiered storage infrastructure by ensuring content is stored on the appropriate tier in its lifecycle and content is managed according to retention policies. EMC Storage Management Software simplifies compliance by allowing information to be managed across tiered storage environments. Partner Software helps organizations manage operational and compliance risks so they can meet regulatory audit requirements. These applications leverage the EMC Documentum repository and EMC Services. EMC Storage Platforms EMC Tiered Storage provides the foundation for information lifecycle management (ILM) with solutions that meet varied service-level requirements as information moves across the infrastructure. Offerings include the Symmetrix and CLARiiON platforms configured for both SAN and NAS, as well as the Centera platform, purpose-built for active archiving of fixed content. EMC Centera helps facilitate compliance with externally driven regulations and internal governance requirements by ensuring information authenticity. Centera enforces application retention policies for storage and automates information replication to make certain that records are protected against accidental deletion, malicious intent, or business disruptions. Use Centera to comply with the data protection requirements of regulations, including the Department of Defense Chapters 2 & 4, Sarbanes-Oxley, HIPAA, NASD, and 21 CFR Part 11 while ensuring online information access at a total cost of ownership superior to optical or tape. EMC Corporation 3

4 and Content Archiving For many IT organizations, compliance is driving requirements for and other content archiving and retrieval. Often, issues are the first compliance challenges to become IT requirements. archiving today is a matter of serious concern, primarily as a means of litigation support, but also as a result of Sarbanes-Oxley and other regulatory mandates which require to be retained and accessible for specific periods of time. Traditional tape-based backup is limited in its ability to provide managed retention and timely accessibility for these requirements. As is the case with archiving, archiving of other types of unstructured content should be a part of an organization s overall compliance program. Unstructured digital information such as spreadsheets, medical images, or word processing documents may be subject to similar retention and managed access requirements. Yet many IT organizations are not equipped to manage unstructured content as well as they manage more traditional structured content in databases and file systems. That makes compliance requirements more difficult to meet. Not all s require equal treatment. What s needed are flexible solutions that enable IT organizations to manage selected categories of differently, based upon user-defined policies. A number of EMC offerings can help IT organizations cope with the compliance challenges of archiving today. (See Figure 2) Also, traditional tape-based or optical backup and archiving methods are limited in their ability to provide managed retention and timely accessibility for these requirements. EMC offers a variety of flexible solutions that enable IT organizations to manage archiving of unstructured content more effectively based upon corporate-defined policies. EMC Solutions Archiving Solution includes the archiving and retrieval functionality of EMC Xtender and partner solutions such as Symantec, IXOS and Entelagent to archive e- mail content from Exchange and Lotus environments, combined with the powerful storage capabilities of EMC s Centera storage platform. File System Archiving Solution delivers policybased, file-system archiving for terabyte to petabyte-size environments and provides fast, online accesses for all fixed-content assets. EMC Services Archive Assessment and Design Services assess customer processes and IT infrastructure to provide a design and project outline for implementing an archiving solution. EMC reviews the customer's environment, business and regulatory requirements, and business processes to develop a high-level design and plan for implementing archiving within their infrastructure. File System Archive Assessment Service enables your organization to obtain detailed information about each server, volume, and file in heterogeneous storage networks without requiring installation of a single server agent. Using industry-standard tools, EMC can analyze capacity utilization, file age distribution, and space consumption and deliver this information in easy-to-understand reports. Certified Data Erasure Services help you mitigate the risk of data dissemination at end-oflease, time-of-service, and equipment repurposing or relocation by using certified EMCdeveloped techniques to erase data from EMC Symmetrix and EMC CLARiiON networked storage systems to enable regulatory compliance. Figure 2 EMC Solutions for Compliance 4 EMC Corporation

5 EMC Software EMC Xtender provides centralized archiving and retrieval to help improve the operational efficiency of messaging environments, reduce the cost and risk of legal discovery, and automate retention and disposal policies. EMC Xaminer provides content monitoring and supervision capabilities so organizations can validate adherence with corporate policy and achieve regulatory compliance with NASD Rules 3010 and EMC Documentum Archive Services for software helps large organizations comply with regulations and corporate policy by capturing and instant messages in a centralized, secure archive. In the event of litigation, the company can search the archive and deliver high volumes of messages, quickly, accurately, and with assurance that the chain of custody is intact. EMC DiskXtender migrates inactive file system data off higher-cost storage to reduce storage costs, improve backup and recovery processes, satisfy compliance needs, and optimize service levels. EMC Documentum ECM Platform provides management of unstructured data across the entire IT infrastructure, facilitating all aspects of compliance, including records management. EMC Documentum Records Manager and Retention Policy Services automate the retention and disposition of content in compliance with regulations, legal stipulations, and best practices. Retention policies, holds, and expiration notifications can be automatically applied to any content within the Documentum repository, regardless of its age, type, or source. EMC Documentum Archive Services for SAP provide scalable, secure archiving services for complex IT infrastructures and highcapacity scenarios including archiving of Archive Development Kit (ADK) files, reports such as print lists, and business documents. Using EMC ViewPoint for SAP, users can easily browse, search, and view archived objects, from non-sap client applications. EMC Documentum Archive Services for Reports captures enterprise application report output, transforming it to fully indexed, ISO-compliant digital archives. Reports are stored and managed within EMC s unified archive platform. EMC Storage Platforms CLARiiON with ATA and Celerra with ATA are effective, low-cost repositories for production and archived information. EMC Centera is purpose-built, self-managing, self-healing, and self-configuring singleinstance storage for fixed content and with advanced archiving capabilities. EMC Centera Governance Edition and Compliance Edition Plus add advanced compliance capabilities such as audited delete, retention classes, configurable retention periods, litigation hold, and event-based retention for archiving. Records Management Records management may be among the first compliance requirements to emerge as an IT priority. Business demands such as legal or regulatory requirements mean that organizations must be able to access and retain electronic information that is evidence of its business operations, just like paper records. In turn, companies need to be able to produce that information quickly, reliably, and cost-effectively. Today s compliance requirements dictate that this unstructured data s, documents, spreadsheets, scanned images, PowerPoint presentations, and Web pages, as examples be managed as rigorously as structured data, i.e., transactional information in a database. Records Management applies the principles of information lifecycle management management of information from creation through disposition to electronic records. A number of EMC offerings address the compliance challenges of records management. EMC Services EMC Assessment for Retention and ediscovery Service helps companies proactively manage information and retention policies on electronic information to better prepare for ediscovery. Customers receive a set of formal recommendations outlining steps to move from an expensive, reactive approach to ediscovery to a pro-active response model. EMC Software EMC Documentum ECM Platform provides management of unstructured data across the entire IT infrastructure, facilitating all aspects of compliance, including records management. EMC Documentum Records Manager and Retention Policy Services make it easy to control the entire lifecycle of corporate records: create, safeguard, access, and destroy records according to a broad range of system-enforced policies. Comply with the recordkeeping requirements of regulations, including the Department of Defense Chapters 2 & 4, Sarbanes-Oxley, HIPAA, and 21 CFR Part 11. EMC DiskXtender, DatabaseXtender, and Xtender products deliver policy-based management capabilities for information in file systems, in databases, and in applications. EMC Documentum Archive Services for software helps large enterprise customers achieve compliance by automating the ongoing capture and archiving of s, company-wide in a complete, authentic archive. Standard disposition policies can be enforced for and other relevant content. EMC Captiva Input Management solutions enable users to input information in the form of paper, fax- and microfiche and transform it into electronic data, convert it into a useable format, and store it automatically in EMC s unified content repository. EMC Documentum Archive Services for Reports captures enterprise volume application output from line-of-business systems, transforming it into fully indexed, ISOcompliant digital archives. Reports are stored and managed within EMC s unified archive platform. EMC Storage Platforms EMC Centera is a secure, online, and costefficient archive storage platform that addresses the specific demands of records management. It provides an extensible platform for consolidating records from disparate information silos, facilitates new opportunities for information use, and eliminates redundant information while dramatically reducing management and administrative costs. EMC Centera Governance Edition and Compliance Edition Plus add advanced compliance capabilities such as audited delete, retention classes, configurable retention periods, litigation hold, and event-based retention for archiving. EMC Corporation 5

6 ediscovery The legal discovery requirement for electronic information known as ediscovery can be both costly and risky. And yet, organizations do not have an option when it comes to responding to legal issues resulting from court orders or government investigations. Without proactive information management and archiving organizations must decide between saving huge quantities of information or risk accidentally destroying the very information that the organization is obligated to preserve. Today s ediscovery requirements dictate that all information relevant to a legal case or government investigation s, documents, spreadsheets, scanned images, PowerPoint presentations, and Web pages, as examples is able to be produced if a subpoena is issued. EMC s ediscovery Solution combines EMC professional services expertise with archiving and content management on tiered storage platforms to drive cost out of today s inefficient and expensive legal-discovery process. The solution enables an information infrastructure to support proactive, efficient, and repeatable ediscovery processes for any content type. (See Figure 3) EMC Services EMC Assessment for Retention and ediscovery Service helps companies proactively manage information and retention policies on electronic information to better prepare for ediscovery. Customers receive a set of formal recommendations outlining steps to move from an expensive, reactive approach to ediscovery to a pro-active response model. EMC ediscovery Services provide a custom framework for the delivery of services to support legal discovery for and electronic documentation. EMC Technical Solutions and EMC Software Group consultants provide a wide range of services to design and implement archive systems, matter repository, and customized integration of the systems and GUI. Archiving Assessment Service provides a design and project outline for implementing an archiving solution in the corporate environment. EMC reviews the customer s environment, business and regulatory requirements, and business processes to develop the high-level design and plan. Archive Assessment and Design Services assess customer processes and IT infrastructure to provide a design and project outline for implementing an archiving solution. EMC reviews the customer s environment, business and regulatory requirements, and business processes to develop a high-level design and plan for implementing archiving within their infrastructure. EMC Tape Discovery Service provides a custom migration designed to recover content from backup tapes and move it to an online archive. EMC works with partner Renew Data for delivery of this service. Figure 3 EMC ediscovery 6 EMC Corporation

7 EMC Software EMC Xtender software automates the ongoing capture and archiving of s so standard retention and disposition policies can be enforced and the centrally managed archive can be easily searched using intelligent metadata. EMC Enterprise Content Integration Services (ECIS) software enables the efficient and comprehensive search across the production archive in order to locate litigation-relevant content for import into the legal matter repository. EMC Documentum Content Management software automates collection of all the content relevant to a specific legal matter, so preservation policies, such as legal hold, can be enforced. Information may be culled, examined, and efficiently exported for legal review, all while meeting access and security needs. EMC Storage Platforms EMC CLARiiON with ATA is an effective, lowcost repository for production and archived information. EMC Centera Content-Addressed Storage manages content automatically, ensuring document integrity, immutability, and assured destruction at the end of its lifecycle. Centera creates a unique identity for each document, demonstrating chain of custody and adding to a defensible ediscovery process. EMC Centera Governance Edition and Compliance Edition Plus add advanced compliance capabilities such as audited delete, retention classes, configurable retention periods, litigation hold, and event-based retention for archiving. EMC Corporation 7

8 Today s Choices for: Backup, Recovery, and Archiving Business Continuity Compliance Consolidation Content Management Optimizing Microsoft Exchange Oracle Applications and Databases SAP Take the Next Step For more information on specific ways EMC can improve the operation of your information infrastructure, contact your EMC sales representative, call , or visit our website at EMC Corporation Hopkinton Massachusetts In North America EMC 2, EMC, EMC ControlCenter, AlphaStor, ApplicationXtender, Captiva, Catalog Solution, Celerra, CentraStar, CLARalert, CLARiiON, ClientPak, Connectrix, Co-StandbyServer, Dantz, Direct Matrix Architecture, DiskXtender, DiskXtender 2000, Documentum, Xaminer, Xtender, Xtract, eroom, FLARE, HighRoad, InputAccel, Navisphere, OpenScale, PowerPath, Rainfinity, RepliStor, ResourcePak, Retrospect, Smarts, SnapShotServer, SnapView/IP, SRDF, Symmetrix, TimeFinder, VisualSAN, VSAM-Assist, WebXtender, where information lives, Xtender, and Xtender Solutions are registered trademarks and EMC Developers Program, EMC OnCourse, EMC Proven, EMC Snap, EMC Storage Administrator, Acartus, Access Logix, ArchiveXtender, Authentic Problems, Automated Resource Manager, AutoStart, AutoSwap, AVALONidm, C-Clip, Celerra Replicator, Centera, CLARevent, Codebook Correlation Technology, Common Information Model, CopyCross, CopyPoint, DatabaseXtender, Direct Matrix, EDM, E-Lab, Enginuity, FarPoint, Global File Virtualization, Graphic Visualization, InfoMover, Invista, MirrorView, NetWin, NetWorker, OnAlert, Powerlink, PowerSnap, RecoverPoint, RepliCare, SafeLine, SAN Advisor, SAN Copy, SAN Manager, SDMS, SnapImage, SnapSure, SnapView, StorageScope, SupportMate, SymmAPI, SymmEnabler, Symmetrix DMX, UltraPoint, UltraScale, Viewlets, and VisualSRM are trademarks of EMC Corporation. All other trademarks used herein are the property of their respective owners. Copyright 2004, 2006, 2007 EMC Corporation. All rights reserved. Published in the USA. 3/07. Brochure H1305.3