This is a continuation of an occasional series of articles about how specific capabilities of Exchange 2007 can be mapped to business challenges. The other parts, and other related topics, can be found here.

GOAL: Lower the risk of being non-compliant

Now here’s a can of worms. What is “compliance”?

There are all sorts of industry- or geography-specific rules around both data retention and data destruction, and knowing which ones apply to you and what you should do about them is pretty much a black art for many organisations.

The US Sarbanes-Oxley Act of 2002 came to fruition to make corporate governance and accounting information more robust, in the wake of various financial scandals (such as the collapse of Enron). Although SOX is a piece of US legislation, it applies to not just American companies, but any foreign companies who have a US stock market listing or who are a subsidiary of a US parent.

The Securities Exchange Commission defines a 7-year period for retention of financial information, and for other associated information which forms part of the audit or review of that financial information. Arguably, any email or document which discusses a major issue for the company, even if it doesn’t make specific reference to the impact on corporate finance, could be required to be retained.

These requirements understandably can cause IT managers and CIOs to worry that they might not be compliant with whatever rules they are expected to follow, especially since they vary hugely in different parts of the world, and for any global company, can be highly confusing.

So, for anyone worried about being non-compliant, the first thing they’ll need to do is figure out what it would take for them to be compliant, and how they can measure up to that. This is far from an easy task, and a whole industry has sprung up to try to reassure the frazzled executive that if they buy this product/engage these consultants, then all will be well.

NET: Nobody can sell you out-of-the-box compliance solutions. They will sell you tools which can be used to implement a regime of compliance, but the trick is knowing what that looks like.

Now, Exchange can be used as part of the compliance toolset, and in conjunction with whatever policies and processes the business has in place to ensure appropriate data retention is put in place, and that there is a proper discovery process that can prove that something either exists or does not.

There are a few things to look out for, though…

Keeping “everything” just delays the impact of the problem, doesn’t solve it

I’ve seen so many companies implement archiving solutions where they just keep every document or every email message. I think this is storing up big trouble for the future: it might solve an immediate problem of ticking the box to say everything is archived, but management of that archive is going to become a problem later down the line.

Any reasonable retention policy will specify that documents or other pieces of information of a particular type or topic need to be kept for a period of time. They don’t say that every single piece of paper or electronic information must be kept.

NET: Keep everything you need to keep, and decide (if you can) what is not required to be kept, and throw it away. See a previous post on using Managed Folders & policy to implement this on Exchange.

Knowing where the data is kept is the only way you’ll be able to find it again

It seems obvious, but if you’re going to get to the point where you need to retain information, you’d better know where it’s kept otherwise you’ll never be able to prove that the information was indeed retained (or, sometimes even more importantly, prove that the information doesn’t exist… even if it maybe did at one time).

From an email perspective, this means not keeping data squirreled away on the hard disks of users’ PCs, or in the form of email archives which can only be opened via a laborious and time consuming process.

NET: PST files on users’ PCs or on network shares, are bad news for any compliance regime. See my previous related post on the mailbox quota paradox of thrift.

Exchange 2007 introduced a powerful search capability which allows end user to run searches against everything in their mailbox, be it from Outlook or a web client, even a mobile device. The search technology makes it so easy for an individual to find emails and other content, that a lot of people have pretty much stopped filing emails and just let them pile up, knowing they can find the content again, quickly.

The same search technology offers an administrator (and this would likely not be the email admins: more likely a security officer or director of compliance) the ability to search across mailboxes for specific content, carrying out a discovery process.

Outsourcing the problem could be a solution

Here’s something that might be of interest, even if you’re not running Exchange 2007- having someone else store your compliance archive for you. Microsoft’s Exchange Hosted Services came about as part of the company’s acquisition of Frontbridge a few years ago.

Much attention has been paid to the Hosted Filtering service, where all inbound mail for your organisation is delivered first to the EHS datacentre, scanned for potentially malicious content, then the clean stuff delivered down to your own mail systems.

Hosted Archive is a companion technology which runs on top of the filtering: since all inbound (and outbound) email is routed through the EHS datacentre, it’s a good place to keep a long-term archive of it. And if you add journaling into the mix (where every message internal to your Exchange world is also copied up to the EHS datacentre), then you could tick the box of having kept a copy of all your mail, without really having to do much. Once you’ve got the filtering up & running anyway, enabling archiving is a phone call away and all you need to know at your end is how to enable journaling.

NET: Using hosted filtering reduces the risk of inbound malicious email infecting your systems, and of you spreading infected email to other external parties. Hosting your archive in the same place makes a lot of sense, and is a snap to set up.

Exchange 2007 does add a little to this mix though, in the shape of per-user journaling. In this instance, you could decide you don’t need to archive every email from every user, but only certain roles or levels of employee (eg HR and legal departments, plus board members & executives).

Now, using Hosted Archive does go against what I said earlier about keeping everything – except that in this instance, you don’t need to worry about how to do the keeping… that’s someone else’s problem…

Further information on using Exchange in a compliance regime can be seen in a series of video demos, whitepapers and case studies at the Compliance with Exchange 2007 page on Microsoft.com.

(This is a follow on to the previous post on measuring business impact, and the first post on the business case for Exchange 2007, and are my own thoughts on the case for moving to Exchange 2007). It’s part of a series of posts which I’m trying to keep succinct, though they tend to be a bit longer than usual. If you find them useful, please let me know…)

GOAL: Reduce the backup burden

Now I’m going to start by putting on the misty rose-tinted specs and think back to the good old days of Exchange 4.0/5.x. When server memory was measured in megabytes and hard disk capacity in the low Gbs, there were much lower bottlenecks to performance than exist today.

Lots of people deployed Exchange servers with their own idea of how many users they would “fit” onto each box – in some cases, it would be the whole organisation; in others, it would be as many users as that physical site would have (since good practice was then to deploy a server at every major location); some would be determined by how many mailboxes that server could handle before it ran out of puff. As wide area networks got faster, more reliable and less expensive, and as server hardware got better and cheaper, the bottleneck for lots of organisations stopped being about how many users the server could handle, and more about how many users was IT comfortable in having the server handle.

On closer inspection, this “comfort” level would typically come about for 2 reasons:

• Spread the active workload – If the server goes down (either planned or unplanned), I only want it to affect a percentage of the users rather than everyone. This way, I’d maybe have 2 medium-sized servers and put 250 users on each, rather than 500 users on one big server.
• Time to Recovery is lower – If I had to recover the server because of a disaster, I only have so many hours (as the SLA might state) to get everything back up and running, and it will take too long to restore that much data from tape. If I split the users across multiple servers, then the likelihood of a disaster affecting more than one server may be lower, and,  in the event of total site failure, the recovery of multiple servers can at least be done in parallel.

(Of course, there were other reasons, initially – maybe people didn’t believe the servers would handle the load, so played safe and deployed more than they really needed… or third party software, like Blackberry Enterprise Server, might have added extra load so they’d need to split the population across more servers).

So the ultimate bottleneck is the time it takes for a single database or single server’s data to be brought back online in the event of total failure. This time will be a function of how fast the backup media was (older DAT type tape backup systems might struggle to do 10Gb/hr, whereas a straight-to-disk backup might do 10 or 20 times that rate), and is often referred to in mumbo-jumbo whitepaper speak as “RTO” or Recovery Time Objective. If you’ve only got 6 hours before you need to have the data back online, and it takes 20Gb/hr to recover the data from your backup media, then at a maximum you could only afford to have 120Gb to be recovered and still have a hope of meeting the SLA.

There are a few things that can be done to mitigate this requirement:

• Agree a more forgiving RTO.
• Accept a lower RPO (Recovery Point Objective is, in essence, the stage you need to get to – eg have all the data back up and running, or possibly have service restored but with no historical data, such as with dial-tone recovery in Exchange).
• Reduce the volume of data which will need to be recovered in series – by separating out into multiple databases per server, or by having multiple servers.

Set realistic expectations

Now, it might sound like a non-starter to say that the RTO should be longer, or the RPO less functional – after all, the whole point of backup & disaster recovery is to carry on running even when bad stuff happens, right?

It’s important to think about why data is being backed up in the first place: it’s a similar argument to using clustering for high availability. You need to really know if you’re looking for availability, or recoverability. Availability means that you can keep a higher level of service, by continuing to provide service to users even when a physical server or other piece of infrastructure is no longer available, for whatever reason. Recoverability, on the other hand, is the ease and speed with which service and/or data can be brought online following a more sever failure.

I’ve spoken with lots of customers over the years who think they want clustering, but in reality they don’t know how to operate a single server in a well-managed and controlled fashion, so adding clusters would make things less reliable, not more. I’ve also spoken with customers who think they need site resilience, so if they lose their entire datacenter, they can carry on running from a backup site.

Since all but the largest organisations tend to run their datacenters in the same place where their users are (whether that “datacenter” is a cupboard under the stairs or the whole basement of their head office), in the event that the entire datacenter is wiped out, it’s quite likely that they’ll have lots of other things to worry about – like where the users are going to sit? How is the helpdesk going to function, and communicate effectively with all those now-stranded users? What about all the other, really mission critical applications? Is email really as important as the sales order processing system, or the customer-facing call centre?

In many cases, I think it is acceptable to have a recovery point objective of, within a reasonable time, delivering a service that will enable users to find each other and to send & receive mail. I don’t believe it’s always worth the effort and expense that would be required to bring all the users’ email online at the same time – I’d rather see mail service restored within an hour, even if it takes 5 days for the historical data to come back, compared to 8 hours for restoring any kind of service which included all the old data.

How much data to fit on each server in the first place

Microsoft’s best practice advice has been to limit the size of each Exchange database to 50Gb (in Exchange 2003), to make the backup & recovery process more manageable. If you built Exchange 2003 servers with the maximum number of databases, this would set the size “limit” of each server to 1Tb of data. In Exchange 2007, this advisory “limit” has been raised to 100Gb maximum per database, unless the server is replicating the data elsewhere (using the Continuous Replication technology), in which case it’s 200Gb per database. Oh, and Exchange 2007 raises the total number of databases to 50, so in theory, each server could now support 10Tb of data and still be recoverable within a reasonable time.

The total amount of data that can be accommodated on a single server is often used to make a decision about how many mailboxes to host there, and how big they should be – it’s pretty common to see sizes limited to 200Mb or thereabouts, though it does vary hugely (see the post on the Exchange Team blog from a couple of years ago to get a flavour). Exchange 2007 now defaults to having a mailbox quota of 10 times that size: 2Gb, made possible through some fundamental changes to the way Exchange handles and stores data.

Much of this storage efficiency now derives from Exchange 2007 running on 64-bit (x64) servers, meaning there’s potentially a lot more memory available for the server to cache disk contents in. A busy Exchange 2003 server (with, say, 4000 users), might only have enough memory to cache 250Kb of data for each user – probably not even enough for caching the index for the user’s mailbox, let alone any of the data. In Exchange 2007, the standard recommendation would be to size the server so as to have 5Mb or even 10Mb of memory for every user, resulting in dramatically more efficient use of the storage subsystem. This pay-off means that a traditional performance bottleneck on Exchange of the storage subsystem’s I/O throughput, is reduced considerably.

NET: Improvements in the underlying storage technology within Exchange 2007 mean that it is feasible to store a lot more data on each server, without performance suffering and without falling foul of your RTO/SLA goals.

I’ve posted before about Sizing Exchange 2007 environments.

What to back up and how?

When looking at backup and recovery strategies, it’s important to consider exactly what is being backed up, how often, and why.

Arguably, if you have a 2nd or 3rd online (or near-online) copy of a piece of data, then it’s less important to back it up in a more traditional fashion, since the primary point of recovery will be another of the online copies. The payoff for this approach is that it no longer matters as much if it takes a whole weekend to complete writing the backup to whatever medium you’re using (assuming some optical or magnetic media is still in play, of course), and that slower backup is likely to be used only for long-term archival or for recovery in a true catastrophe when all replicas of the data are gone.

Many organisations have sought to reduce the volume of data on Exchange for the purposes of meeting their SLAs, or because keeping large volumes of data on Exchange was traditionally more expensive due to the requirements for high-speed (and often shared) storage. With having more memory in an Exchange server due to it being 64-bit, the hit on I/O performance can be much lower, meaning that a 2007 server could host more data with the same set of disks than an equivalent 2003 server would (working on the assumption that Exchange will have historically hit disk I/O throughput bottlenecks before running out of disk space). The simplest way to reduce the volume of data stored on Exchange (and therefore, data which needs to be backed up and recovered on Exchange), is to reduce the mailbox quota of the end users.

In the post, Exchange mailbox quotas and ‘a paradox of thrift’, I talked about the downside of trying too hard to reduce mailbox sizes – the temptation is for the users to stuff everything into a PST file and have that being backed up (or risk being lost!) outside of Exchange. Maybe it’s better to invest in keeping more data online on Exchange, such that it’s always accessible from any client (unlike some archiving systems which require client-side software, thereby rendering the data unaccessible to non-Outlook clients), not replicated to users’ PCs when running in Cached Mode, and not being indexed for easy retrieval by either the Exchange Server or by the client PC.

NET: Taking data off Exchange and into either user’s PST archive files, or a centralised archiving system, may reduce the utility of the information by making it less easy to find and access, and could introduce more complex data management procedures as well as potential additional costs of ownership.

Coming to a datacenter near you

An interesting piece of “sleeper” technology may help reduce the discussions of backup technique: known simply as DPM, or System Center Data Protection Manager to give it its full title. DPM has been available for a while and targeted at backing up and restoring file server data, but the second release (DPM 2007) is due soon, and adds support for Exchange (as well as Sharepoint and SQL databases). In essence, DPM is an application which runs on Windows Server, that is used to manage snap-shots of the data source(s) it’s been assigned to protect. The server will happily take snaps at timely intervals and can keep them in a near-line state or archive them to offline (ie tape) storage for archival.

With very low cost but high-capacity disks (such as Serial-Attached SCSI arrays or even SATA disks deployed in fault-tolerant configurations), it could be possible to have DPM servers capable of backing up many Tbs of data as the first or second line of backup, before spooling off to tapes on an occasional basis for offsite storage. A lot of this technology has been around in some form for years (with storage vendors typically having their own proprietary mechanisms to create & manage the snapshots), but with a combination of Windows’ Volume Shadowcopy Services (VSS), Exchange’s support for VSS, and DPM’s provision of the back-end to the whole process, the cost of entry could be significantly lower.

NET: Keeping online snapshots of important systems doesn’t need to be as expensive as in the past, and can provide a better RTO and RPO than alternatives.

So, it’s important to think about how you backup and restore the Exchange servers in your organisation, but by using Exchange 2007, you could give the users a lot more quota that they’ve had before. Using Managed Folders in Exchange, you could cajole the users into keeping this data more free of stuff they don’t need to keep, and to more easily keep the stuff they do. All the while, it’s now possible to make sure the data is backed up quickly and at much lower cost than would have been previously possible with such volumes of data.

(this is a follow on to the previous post on measuring business impact, and are my own thoughts on the case for moving to Exchange 2007)

There are plenty of resources already published which talk about the top reasons to deploy, upgrade or migrate to Exchange 2007 – the top 10 reasons page would be a good place to start. I’d like to draw out some tangible benefits which are maybe less obvious than the headline-grabbing “reduce costs”/”make everyone’s life better” type reasons. I’ll approach these reasons over a number of posts, otherwise this blog will end up reading like a whitepaper (and nobody will read it…)

GOAL: Be more available at a realistic price

High availability is one of those aims which is often harder to achieve than it first appears. If you want a really highly-available system, you need to think hard not only about which bits need to be procured and deployed (eg clustered hardware and the appropriate software that works with it), but the systems management and operations teams need to be structured in such a way that they can actually deliver the promised availability. Also, a bit like disaster recovery, high availability is always easier to justify following an event where not having it is sorely missed… eg if a failure happens and knocks the systems out of production for a while, it’ll be easier to go cap-in-hand to the budget holder and ask for more money to stop it happening again.

Example: Mrs Dalton runs her own business, and like many SMBs, money was tight when the company was starting up – to the extent that they used hand-me-down PC hardware to run their main file/print/mail server. I had always said that this needed to be temporary only, and how they really should buy something better, and it was always something that was going to happen in the future.

Since I do all the IT in the business (and I don’t claim to do it well – only well enough that it stops being a burden for me… another characteristic of small businesses, I think), and Mrs D is the 1st line support for anyone in the office if/when things go wrong, it can be a house of cards if we’re both away. A year or two after they started, the (temporary) server blew its power supply whilst we were abroad on holiday, meaning there was no IT services at all – no internal or internet access (since the DHCP server was now offline) which ultimately meant no networked printers, no file shares with all the client docs, no mail (obviously) – basically everything stopped.

A local PC repair company was called in and managed to replace the PSU and restore working order (at a predictably high degree of expense), restoring normal service after 2 days of almost complete downtime.

Guess what? When we got back, the order went in for a nice shiny server with redundant PSU, redundant disks etc etc. No more questions asked…

Now a historical approach to making Exchange highly available would be to cluster the servers – something I’ve talked about previously in a Clustering & High Availability post.

The principal downside to the traditional Exchange 2003-style cluster (now known as a Single Copy Cluster) was that it required a Storage Area Network (at least if you wanted more than 2 nodes), which could be expensive compared to the kind of high-capacity local disk drives that might be the choice for a stand-alone server. Managing a SAN can be a costly and complex activity, especially if all you want to do with it is to use it with Exchange.

Also, with the Single-Copy model, there’s still a single point of failure – if the data on the SAN got corrupted (or worst case, the SAN itself goes boom), then everything is lost and you have to go back to the last backup, which could have been hours or even days old.

NET: Clustering Exchange, in the traditional sense, can help you deliver a better quality of service. Downtime through routine maintenance is reduced and fault tolerance of servers is automatically provided (to a point).

Now accepting that a single copy cluster (SCC) solution might be fine for reducing downtime due to more minor hardware failure or for managing the service uptime during routine maintenance, it doesn’t provide a true disaster-tolerant solution. Tragic events like the Sept 11th attacks, or the public transport bombs in cities such as London and Madrid, made a lot of organisations take the threat of total loss of their service more seriously … meaning more started looking at meaningful ways of providing a lights-out disaster recovery datacenter. In some industries, this is even a regulatory requirement.

Replication, Replication, Replication

Thinking about true site-tolerant DR just makes everything more complex by multiples – in the SCC environment, the only supported way to replicate data to the DR site will be to do it synchronously – ie the Exchange servers in site A write data to their SAN, which replicates that write to the SAN in site B, which acknowledges that it has received that data, all before the SAN in site A can acknowledge to the servers that the data has successfully been written. All this adds huge latency to the process, and can consume large amounts of high-speed bandwidth not to mention duplication of hardware and typically expensive software (to manage the replication) at both sides.

If you plan to shortcut this approach and use some other piece of replication software (which is installed on the Exchange servers at both ends) to manage the process, be careful – there are some clear supportability boundaries which you need to be aware of. Ask yourself – is taking a short cut to save money in a high availability solution, just a false economy? Check out the Deployment Guidelines for multi-site replication in Exchange 2003.

There are other approaches which could be relevant to you for site-loss resilience. In most cases, were you to completely lose a site (and for a period of time measured at least in days and possibly indefinitely), there will be other applications which need to be brought online more quickly than perhaps your email system – critical business systems on which your organisation depends. Also, if you lost a site entirely, there’s the logistics of managing where all the people are going to go? Work from home? Sit in temporary offices?

One practical solution here is to use something in Exchange 2003 or 2007 called Dial-tone recovery. In essence, it’s a way of bringing up Exchange service at a remote location without having immediate access to all the Exchange data. So your users can at least log in and receive mail, and be able to use email to communicate during the time of adjustment, with the premise that at some point in the near future (once all the other important systems are up & running), their previous Exchange mailbox data will be brought back online and they can access it again. Maybe that data isn’t going to be complete, though – it could be simply a copy of the last night’s backup which can be restored onto the servers at the secondary site.

Using Dial-tone (and an associated model called Standby clustering, where manual activation of standby servers in a secondary datacenter can bring service – and maybe data – online), can provide you a way of keep service availability high (albeit with temporary lowering of the quality, since all the historic data isn’t there) at a time when you might really need that service (ie in a true disaster). Both of these approaches can be achieved without the complexity and expense of sharing disk storage, and without having to replicate the data in real-time to a secondary location.

Exchange 2007 can help you solve this problem, out of the box

Exchange 2007 introduced a new model called Cluster Continuous Replication (CCR) which provides a near-real-time replication process. This is modelled in such

a way that you have a pair of Exchange mailbox servers (and they can only be doing the mailbox role, meaning you’re going to need other servers to take care of servicing web clients, performing mail delivery etc), and one of the servers is “active” at any time, with CCR taking care of the process of making sure that the copy of the data is also kept up to date, and providing the mechanism to automatically (or manually) fail over between the two nodes, and the two copies of the data.

What’s perhaps most significant about CCR is (apart from the fact that it’s in the box and therefore fully supported by Microsoft), is that there is no longer a requirement for the cluster nodes to access shared disk resources… meaning you don’t need a SAN (now, you may still have reasons for wanting a SAN, but it’s just not a requirement any more).

NET: Cluster Continuous Replication in Exchange 2007 can deliver a 2-node shared-nothing cluster architecture, where total failure of all components on one side can be automatically dealt with. Since there’s no requirement to share disk resources between the nodes, it may be possible to use high-speed, dedicated disks for each node, reducing the cost of procurement and the cost & complexity of managing the storage.

Exchange 2007 also offers Local Continuous Replication (LCR), designed for stand-alone servers to keep 2 copies of their databases on different sets of disks. LCR could be used to provide a low-cost way of keeping a copy of the data in a different place, ready to be brought online through a manual process. It is only applicable in a disaster recovery scenario, since it will not offer any form of failover in the event of a server failure or planned downtime.

Standby Continuous Replication (SCR) is the name given to another component of Exchange 2007, due to be part of the next service pack. This will provide a means to have standby, manually-activated, servers at a remote location, which receive a replica of data from a primary site, but without requiring the servers to be clustered. SCR could be used in conjunction with CCR, so a cluster which provides high availability at one location could also send a 3rd replica of its data to a remote site, to be used in case of total failure of the primary site.

 The key point is “reasonable price”

In summary, then: reducing downtime in your Exchange environment through clustering presents some challenges.

• If you only have one site, you can cluster servers to share disk storage and get a higher level of service availability (assuming you have the skills to manage the cluster properly). To do this, you’ll need some form of storage area network or iSCSI NAS appliance.
• If you need to provide site-loss resilience (either temporary but major, such as a complete power loss, or catastrophic, such as total loss of the site), there are 3rd-party software-based replication approaches which may be effective, but are not supported by Microsoft. Although these solutions may work well, you will need to factor in the possible additional risk of a more complex support arrangement. The time you least want to be struggling to find out who can and should be helping you get through a problem, is when you’ve had a site loss and are desperately trying to restore service.
• Fully supported site-loss resilience with Exchange 2003 can only be achieved by replicating data at a storage subsystem level – in essence, you have servers and SANs at both sites, and the SANs take care of real-time, synchronous, replication of the data between the sites. This can be expensive to procure (with proprietary replication technology not to mention high speed, low latency network to connect the sites – typically dark fibre), and complex to manage.
• There are manual approaches which can be used to provide a level of service at a secondary site, without requiring 3rd party software or hardware solutions – but these approaches are designed to be used for true disaster recovery, not necessarily appropriate for short-term outages such as temporary power failure or server hardware failure.
• The Cluster Continuous Replication approach in Exchange 2007 can be used to deliver a highly-available cluster in one site, or can be spanned across sites (subject to network capacity etc) to provide high-availability for server maintenance, and a degree of protection against total site failure of either location.

NET: The 3 different replication models which are integral to Exchange 2007 (LCR, CCR and SCR) can help satisfy an organisation’s requirements to provide a highly-available, and disaster-tolerant, enterprise messaging system. This can be achieved without requiring proprietary and expensive 3rd party software and/or hardware solutions, compared with what would be required to deliver the same service using Exchange 2003.

 

Topics to come in the next installments of the business case for Exchange 2007 include:

• Lower the risk of being non-compliant
• Reduce the backup burden
• Make flexible working easier