Enterprise Vault™ Introduction and Planning

A company's compliance strategy may typically require the following:

• A certain percentage of employees' electronic messages to be captured and checked by compliance officers on a regular basis. Electronic messages may include email, instant messages, social media messages, faxes, and, particularly in the financial sector, Bloomberg messages. Depending on the compliance strategy, monitoring may be required of internal messages (messages sent between employees in certain departments), or external messages (messages sent between employees in certain departments and people outside the company).

• Regular searches to be run on electronic messages to capture any instances of unacceptable language or illegal business practice, such as insider dealing.

• Messages to be stored securely for several years and retrieved quickly at any time.

• Detailed audit information showing the review history of a message.

Enterprise Vault can be used to provide secure archiving of all company messages. Compliance Accelerator then builds on Enterprise Vault to provide the following additional features to assist an organization in implementing their compliance strategy:

• The option to collect a configurable, random sample of items from a variety of archives (Exchange or Domino journal mailbox, SMTP, or shared), and add them to the set of messages for review.

• A system for defining the employees that are to be monitored and grouping them in an organizational structure that reflects the departments within the company. The messages of certain employees (called "exception employees"), such as senior managers, can be kept separate and reviewed by specially assigned reviewers.

• A client application that enables compliance administrators to configure Compliance Accelerator to fit the requirements of the company's compliance strategy. For example, departments of employees can be managed, granular access permissions can be assigned to designated compliance officers and administrators, automatic searches of messages can be scheduled, and sets of words for searches can be added and managed.

• The client application also enables designated compliance officers or reviewers to read and mark the messages that are captured.

• History information about all employees monitored, messages captured and the review process applied to each message is kept securely in a SQL database.