File Retention with EMC Diskxtender for Windows and EMC Centera Best Practices Planning

File Retention with EMC DiskXtender for Windows and EMC Centera Best Practices Planning

Abstract This white paper provides details on how EMC® DiskXtender® for Windows and EMC Centera® can protect files from change or deletion through the use of file retention. The paper provides a conceptual overview of the retention implementation process, as well as guidelines for enabling, changing, and overriding retention. September 2008

Copyright © 2008 EMC Corporation. All rights reserved. EMC believes the information in this publication is accurate as of its publication date. The information is subject to change without notice. THE INFORMATION IN THIS PUBLICATION IS PROVIDED “AS IS.” EMC CORPORATION MAKES NO REPRESENTATIONS OR WARRANTIES OF ANY KIND WITH RESPECT TO THE INFORMATION IN THIS PUBLICATION, AND SPECIFICALLY DISCLAIMS IMPLIED WARRANTIES OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE. Use, copying, and distribution of any EMC software described in this publication requires an applicable software license. For the most up-to-date listing of EMC product names, see EMC Corporation Trademarks on EMC.com All other trademarks used herein are the property of their respective owners. Part Number h5834

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Table of Contents

Executive summary...... 4 Introduction ...... 4 Audience ...... 4 Overview ...... 4 Understanding file retention...... 5 When you can use file retention...... 5 Types of retention...... 5 When files qualify for retention...... 6 Retention restrictions for saving files to the extended drive...... 6 Delaying retention enforcement ...... 7 Synchronizing retention on the extended drive and the media...... 7 What happens after retention expires ...... 8 Enabling file retention...... 8 Setting retention automatically ...... 8 Setting retention manually on specific files ...... 9 Changing file retention ...... 10 When you can change retention ...... 10 How to change retention with the Explorer Add-ons...... 10 Deleting retained files ...... 11 Conclusion...... 12 References ...... 12

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Executive summary An environment that is becoming increasingly subject to external and internal regulations and supervision adds an extra challenge for today’s organizations, determined to provide their customers with exceptional service and a satisfying experience. The scope and number of requirements and regulations facing businesses today are increasing, along with the costs of ensuring compliance. Even though the cost of compliance can be considerable, the legal and goodwill risks associated with non- compliance can be even higher. Compliance initiatives in all business areas are increasing and often require more than simple archival of data. Advanced technologies offer the opportunity to improve compliance results and minimize potential risks, while lowering the overall cost of compliance management. EMC® DiskXtender® for Microsoft Windows and EMC Centera® work together to archive static and infrequently changing digital information and to keep the data available online for immediate access. DiskXtender and EMC Centera enhance business value by capturing and preserving original content and ensuring complete, reliable integrity for the life of the archived information. Supported by unmatched retention and disposition management capabilities, DiskXtender and EMC Centera successfully address the most rigorous compliance regulations, while minimizing the total cost of ownership.

Introduction This white paper provides details on file retention and disposition management in DiskXtender for Windows and EMC Centera, including how and when DiskXtender applies retention to files, how to configure DiskXtender to apply retention, how the retention is passed to EMC Centera, and how to manage retained files.

Audience This white paper is intended for EMC customers, partners, and employees responsible for installing and configuring DiskXtender for Windows with EMC Centera in an environment with data integrity compliance requirements. Readers should be well-versed in the following topics: • DiskXtender and EMC Centera concepts and terminology • Microsoft Windows network administration

Overview DiskXtender is an automated, policy-based file system archiving solution for long-term data retention. It “extends” primary volumes by making them seem to have an unlimited amount of space. This is done by enabling automated policy-based migration and recall of user data to and from secondary storage from the local file system, while making the files appear to still be resident on the local volume. For example, users on the network may typically save data to a drive on a Microsoft Windows file server. If the drive is a Windows NT File System (NTFS) volume, you can use DiskXtender to significantly expand its file storage capabilities. The capacity expansion occurs without changing how a user views the data. File data saved to a drive extended by DiskXtender is moved to media (for example, to EMC Centera) without affecting the file listing as seen by the end user. EMC Centera is a content addressed storage (CAS) system, and is the first magnetic disk-based WORM device. DiskXtender and EMC Centera are tightly integrated to optimize file storage and retrieval performance. Several DiskXtender file migration and retention features are designed specifically to take advantage of the features available with an EMC Centera device.

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EMC Centera offers three compliance models or editions: • Basic — In its Basic edition, EMC Centera delivers the full power of CAS. Self-configuring, self- managing, and self-healing, it captures and preserves original content, protecting the context and structure of electronic records. However, data retention is not enforced, and advanced features such as shredding and advanced retention management are not available. • Governance Edition (GE) — Governance Edition provides the retention capabilities required by organizations to responsibly manage electronic records, in addition to the features provided by the Basic model. Deploying Governance Edition enforces organizational and application policies for information retention and disposition. Capture and preserve original content, and ensure complete, reliable integrity for the life of your archived information. • Compliance Edition Plus (CE+) — Compliance Edition Plus exploits the core strengths of the EMC Centera platform while adding extensive compliance capabilities to the Governance Edition model. CE+ is designed to meet the requirements of the most stringent of regulated business environments for electronic storage media as established by regulations such as the United States Securities and Exchange Commission (SEC), the Australian AS 3806 Compliance Programs, or other national and international regulatory groups.

Understanding file retention When you apply retention to a file, the file cannot be edited or deleted on the DiskXtender extended drive until the retention expires. You also cannot rename retained files, change their attributes, or move them to another location on the extended drive. If you edit a retained file, then you must save the file with a new filename to save the changes.

When you can use file retention You can apply retention to files on a DiskXtender extended drive regardless of the EMC Centera compliance model to which DiskXtender migrates the files. However, the compliance model does determine whether the files are also protected on EMC Centera. With GE or CE+, retained files are also protected on EMC Centera. With Basic, retained files are protected on the extended drive but are not protected on EMC Centera.

Note: Retention is also available in DiskXtender when you migrate files to shares on a retention-capable NAS device, such as an EMC Celerra® Network Server with the File-Level Retention (FLR) file system or a supported Network Appliance device with SnapLock software. The DiskXtender administration guide provides details on enabling retention for retention-capable NAS devices.

Types of retention The following table lists the three types of retention settings that are available when you migrate DiskXtender files to EMC Centera. Table 1: Types of retention

Type of retention Description Fixed retention period A specific time period (in days) during which file retention is enforced. Retention class A symbolic representation of a retention period. When you define the retention class on EMC Centera, you specify a name and a retention period in days. An EMC Centera representative can guide you on appropriate naming conventions for retention classes. If necessary, you can edit the retention period for a retention class by changing the class definition, thereby changing the retention period for a group of files. With EMC Centera CE+, you can only extend the retention period definition for a retention class. The list of retention classes and their definitions in DiskXtender are refreshed every time

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that the EMC Centera media service is refreshed. This occurs approximately every two minutes. The list is stored and updated locally on the DiskXtender server (in addition to the definition on the EMC Centera). This enables retention enforcement on the extended drive even if the EMC Centera device is unavailable. Even though you can configure retention classes of less than one day on EMC Centera, you cannot use those retention classes in DiskXtender. Retention classes of less than one day are not listed in the DiskXtender interface. Infinite retention Retention that can never expire.

Note: Because they can be edited—albeit only by someone with administrative privileges on the EMC Centera cluster—retention classes do not provide the same level of file security as a fixed retention period. If you have EMC Centera GE, an unscrupulous individual could edit a retention class to reduce the retention period so that retention expires early, thereby leaving important files vulnerable to editing or deletion. Use caution when assigning retention classes and EMC Centera administrative privileges.

When files qualify for retention Files on a DiskXtender extended drive qualify for retention—in other words, retention begins—when the files qualify for a move rule with retention enabled. Files qualify for move rules at the following times: • When the files are saved to the extended drive—in other words, when they are added, edited, renamed, or moved. • During a background scan of the extended drive. A background scan occurs by default each night starting at 12 A.M. Files qualify for move rules during a background scan in cases where the file did not qualify for a move rule when it was saved to the extended drive. For example: o The file was already on the extended drive when the move rule was created. o The move rules in the media folder may be configured with an age delay, so that files qualify only once they reach a certain age. If an age delay is configured for the move rule with retention, then qualifying files are not retained until after the delay has passed. You can also force all files to be evaluated against move rules during a background scan, regardless of move rule settings or when the files are saved to the extended drive. To disable real-time rule qualification, use the Enable real-time moves option on the Options tab of the Service Properties dialog box in the File System Manager Administrator. When a file qualifies for a move rule with retention enabled, DiskXtender adds the retention information to the attributes for the file, and the file is then protected on the extended drive. The retention setting is passed to the media when the file is actually moved. Files are moved to media when the file migration schedule is active for the extended drive. By default, the file migration schedule is active between 8 P.M. and 9 A.M., or overnight.

Retention restrictions for saving files to the extended drive If files qualify for move rules with retention as soon as the files are saved to the extended drive (because there are no age delays configured for the rules and real-time moves are enabled), then users cannot create files directly on the extended drive. This is because the files are protected from further editing once they are saved—or created—on the extended drive. If this is the case, then users must create and edit files in another location and then move them to the extended drive when they are finished. Alternatively, you may want to disable real-time moves or specify an age delay for the move rule. When real-time moves are disabled, files only qualify for move rules during a background scan. When move rules contain an age delay, files do not qualify for the rules until a certain number of days have passed since the file was created, last accessed, or last written to (modified). Retention is applied and the file is moved to media after the age delay has passed.

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Delaying retention enforcement DiskXtender automatically delays the application of retention on a file for 10 seconds after the file is saved to the extended drive. If retention is applied to a file as soon as the data is saved to the drive, some programs may not be able to finish saving the file because DiskXtender would deny any modifications to the file. This may occur with programs that open and close files in the background during the save process. Microsoft Word is an example of a program that saves files in this way. If necessary, you can extend the number of seconds that retention enforcement is delayed. To edit the retention delay, use the Delay in seconds before retention period is enforced option on the Options tab of the Extended Drive Properties dialog box. To access the Extended Drive Properties dialog box, right-click the extended drive and select Properties. You can further delay retention enforcement, if necessary, by setting an age delay for the move rules. When move rules contain an age delay, files do not qualify for the rules, and therefore, retention is not enforced, until a certain number of days have passed since the file was created, last accessed, or last written to (modified). Keep in mind, however, that when you specify a retention delay, you must balance any requirements for data protection with the practices used to create and store files on the extended drive.

Synchronizing retention on the extended drive and the media DiskXtender protects files on the extended drive as soon as they qualify for move rules with a retention setting. The retention is then passed to the media when the file is migrated. If you set global retention on the EMC Centera device and then you configure a different retention period through DiskXtender, the DiskXtender retention period applies. This is true even if the DiskXtender retention period is zero days (no retention). When you set a retention period of zero days through DiskXtender, then the file is not protected on the EMC Centera device, regardless of the EMC Centera compliance model or of any global retention period configured on EMC Centera.

Note: DiskXtender always applies a retention period to files written to EMC Centera, even if the retention period is zero days (no retention). You cannot automatically apply the global retention period set on the EMC Centera device to files on the extended drive. To match the global retention period on EMC Centera with the retention set on files on the extended drive, specify the same retention setting in DiskXtender as on EMC Centera. In the unlikely event that there is a delay between the time that the file qualifies for a move rule and the time that the file is actually migrated, then the total retention period is equivalent to the retention setting in the move rule plus the amount of time that the file was protected on the extended drive before it was migrated. For example, assume that the retention period on a move rule is 30 days. A file qualifies for the move rule as soon as it is saved to the extended drive on Monday at 9 A.M. The file is immediately protected on the extended drive starting at 9 A.M. However, the file is not migrated to media until Wednesday at 1 P.M. because the EMC Centera is offline. When DiskXtender migrates the file on Wednesday, it passes the retention period of 30 days to the media. The file is then protected on the media for 30 days after it is migrated to the media. DiskXtender updates the retention information for the file so that it is synchronized with the media for 30 days of retention. However, the file has already been protected on the extended drive for two days. As a result, the file is protected on the extended drive for a total of 32 days, and not the 30 days specified in the move rule.

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What happens after retention expires After retention expires, you can edit and delete the files as if retention had never been applied. DiskXtender does not automatically delete files after retention expires unless you configure delete rules. Delete rules enable you to specify which files to delete automatically based on the filename, age, size, or attributes on the file. Files that qualify for delete rules are deleted during the next background scan. The files are permanently deleted. In other words, they are not placed in the DiskXtender Recycler. For example, you set a retention period of 120 days to protect files on the extended drive, and you create a delete rule to delete the files automatically after 121 days. The retention expires after the 120 days pass. After the 121st day, a background scan occurs. The files are evaluated against the delete rule and deleted.

Enabling file retention You can enable retention automatically on files by configuring retention settings on move rules. You can also set retention on individual files by using the DiskXtender Explorer Add-ons.

Setting retention automatically To set retention automatically for files on the extended drive, configure retention on the move rules:

1. Configure an EMC Centera media service.

2. Configure an extended drive and create media folders on the extended drive for the files to manage with DiskXtender.

3. Create EMC Centera media groups in the media folders, and enable automatic media creation for the media groups.

4. Right-click the Move Rules node under a media folder and select New. The Move Rule Wizard appears, starting with the Type page.

5. Select Include to create a rule that qualifies files for migration, and then click Next.

6. Specify additional criteria for file migration and retention on the File Name, Size, Attributes, and Age pages of the wizard, clicking Next to proceed to each page of the wizard.

7. On the Settings page, select the media group with the retention-capable media.

8. Click Next.

9. On the Retention page, select the retention setting for the files that will qualify for the rule: • To apply a fixed retention period, select Retention Period and then specify the retention period in days in the text box. • To apply a retention class, select Retention Class and then select the retention class from the drop-down list. • To apply retention that never expires, select Infinite Retention.

10. Click Next.

11. Review the summary information and click Finish.

12. Repeat these steps to create retention move rules for each media folder that contains files that should be retained.

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If there are files on the extended drive when you create the move rules, the files are not evaluated against the new rules, and therefore are not retained, until the next background scan occurs. New files that are saved to the drive are evaluated against the new rules and retained when they are saved to the drive, as long as real-time moves remain enabled.

Setting retention manually on specific files To set retention manually on specific files:

1. Log in to a computer with the Explorer Add-ons installed. The account must be a member of the DxAdministrators group on the DiskXtender server.

2. Ensure that the file meets the criteria to qualify for a configured move rule that writes to retention- capable media.

3. Launch the Explorer Add-ons. You have the following choices: • Open the Shell Xtensions Wizard:

a. Right-click a file on the extended drive in Microsoft Windows Explorer and select DiskXtender > DiskXtender Shell Wizard.

b. On the first page of the wizard, select Set Retention and click Next.

c. On the Select Files page, select the files to retain and click Next. • Use the DiskXtender shortcut menu in Microsoft Windows Explorer:

a. Select the files or folder containing the files to retain.

b. Right-click the files and select DiskXtender > Set Retention Period. The Set Retention page appears.

4. Select the retention setting for the files: • To apply a fixed retention period, select Retention Period and then specify the retention period in days in the text box. • To apply a retention class, select Retention Class and then select the retention class from the drop-down list. • To apply retention that never expires, select Infinite Retention.

5. Click Next.

6. Review the summary information and click Finish.

7. Click Yes on the confirmation message.

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Changing file retention After you apply retention to a file, the only way to change the retention setting for the file is by using the DiskXtender Explorer Add-ons. You cannot change the retention setting for a file by changing the move rule for which the file originally qualified. Once a file qualifies for a move rule with a retention setting of one or more days (or a retention class or infinite retention), then the retention on the file is not changed automatically, even if the file is qualified against the move rules again as part of a background scan. When you change retention for a purged file, the file remains purged. In other words, DiskXtender does not need to fetch a file to change the retention setting for the file.

When you can change retention You can extend the retention period for a file or change the retention class. You cannot, however, reduce a retention period or switch from a retention class to either a fixed retention period or infinite retention. If you have EMC Centera CE+, then you cannot reduce the time period assigned to a retention class. In addition, you cannot edit the name of a retention class. To change the name of a retention class, you must create a new retention class with the new name, and then switch the retention setting on the files to the new retention class. The following table lists the options to edit retention on files that have been migrated to EMC Centera.

Table 2: Options to edit retention

If you use this retention option Then you can switch to this retention option A fixed retention period • A different fixed retention period, as long as you extend the retention period. • A retention class, as long as the retention class definition is for a time period that is greater than the current fixed retention period. • Infinite retention. A retention class A different retention class. The new retention class definition can be a shorter time period than the previous retention class definition. Infinite retention Not applicable. If you use infinite retention, you cannot switch to a different retention option.

How to change retention with the Explorer Add-ons To change retention:

1. Log in to a computer with the Explorer Add-ons installed. The account must be a member of the DxAdministrators group on the DiskXtender server.

2. Launch the Explorer Add-ons. You have the following choices: • Open the Shell Xtensions Wizard:

a. Right-click a file on the extended drive in Microsoft Windows Explorer and select DiskXtender > DiskXtender Shell Wizard.

b. On the first page of the wizard, select Set Retention and click Next.

c. On the Select Files page, select the files to retain and click Next.

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• Use the DiskXtender shortcut menu in Microsoft Windows Explorer:

a. Select the files or folder containing the files to retain.

b. Right-click the files and select DiskXtender > Set Retention Period. The Set Retention page appears.

3. Select the retention setting for the files: • To apply a fixed retention period, select Retention Period and then specify the retention period in days in the text box. • To apply a retention class, select Retention Class and then select the retention class from the drop-down list. • To apply retention that never expires, select Infinite Retention. The retention options that are available depend on the type of retention that has already been applied to the file.

4. Click Next.

5. Review the summary information and click Finish.

6. Click Yes on the confirmation message.

Deleting retained files If you have EMC Centera Basic or EMC Centera GE, you can delete retained files by performing a privileged delete with the DiskXtender Explorer Add-ons. To delete retained files on a CE+ device, contact an EMC Centera technical representative.

Note: Consider the compliance regulations followed by your company before you perform a privileged delete. To perform a privileged delete:

1. Ensure that the profile that DiskXtender uses to connect to EMC Centera has the right to perform privileged deletes. The EMC Centera online help provides additional information on profiles. Access profiles should be configured by an EMC Centera technical representative.

2. Log in to a computer with the Explorer Add-ons installed. The account must be a member of the DxAdministrators group on the DiskXtender server.

3. Launch the Explorer Add-ons. You have the following choices: • Open the Shell Xtensions Wizard:

a. Right-click a file on the extended drive in Microsoft Windows Explorer and select DiskXtender > DiskXtender Shell Wizard.

b. On the first page of the wizard, select Privileged Delete and click Next.

c. On the Select Files page, select the files and click Next.

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• Use the DiskXtender shortcut menu in Microsoft Windows Explorer:

a. Select the files or a folder containing the files.

b. Right-click the files and select DiskXtender > Privileged Delete. The Privileged Delete page appears.

4. Type an audit string that explains why you are deleting the file. The audit information can later be viewed by performing an EMC Centera query.

5. Click Next.

6. Review the summary information and click Finish.

7. Click Yes on the confirmation message. The file is permanently deleted. Even if the DiskXtender Recycler is enabled, the file is not placed in the Recycler. Conclusion DiskXtender and EMC Centera enable you to automatically archive and protect electronic data from changes or deletion, while leaving the data accessible for viewing. You also can dispose of the data automatically at the end of its lifecycle, if necessary. These measures assist you in successfully addressing compliance regulations, while minimizing the total cost of ownership.

References • EMC DiskXtender Release 6.3 Microsoft Windows Version Administration Guide • EMC Centera Online Help • White Paper: EMC Centera Compliance Models Governance Edition and Compliance Edition Plus – A Detailed Review

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