Symantec 2011 Information Retention and eDiscovery Survey Global Key Findings

Information Retention and eDiscovery Survey

Global Data

Methodology

• Survey performed by Applied Research

• 2,000 organizations worldwide

• Enterprises (1,000+ employees)

• IT management and Legal

• Cross-industry

2

Key Findings

• There is more to eDiscovery than email

• Wide variations in information retention practices

• Companies employing best practices fare dramatically better

• Despite risks, organizations still not prepared

There is More to eDiscovery than Email

• Focusing your eDiscovery efforts on email is no longer enough

• Documents requested more frequently than email:

– Files and documents

– Database or application data

• New media starting to appear

– Instant messaging and text

– Social media

Top Tier Have Better Information Protection Practices

• 81% more likely to have a formal retention plan

• 63% more likely to automate legal holds

• 50% more likely to use a formal archiving tool

• 36% more likely to have policy prohibiting end-user archives

• 33% less likely to perform legal holds in backup system

Better Practices Drive Dramatically Better Outcomes

• 64% faster response to eDiscovery requests

• 2.3 times higher success rate for eDiscovery requests, leading to less issues:

– 78% less likely to be sanctioned by the courts

– 47% less likely to lead to compromised legal position

– 20% less likely to have fines levied

• 45% less likely to disclose too much information leading to compromised litigation position

Despite Risks, Organizations Still Not Prepared

• Nearly half do not have an information retention plan

• 30% are only discussing and 14 % have no plans

• When ask why:

– 41% don’t see a need

– 38% feel it is too costly

– 27% have not chartered anyone with the responsibility

– 26% don’t have time

– 21% lack expertise

Recommendations• Create and implement a records and information management (RIM) program

• Periodically delete electronically storied information (ESI) according to your RIM program

• Use backup solution for recovery and archiving technology for discovery to limit exposure to costly restoration in the event of litigation

• Conduct litigation readiness exercises to determine exposure areas and formulate a prioritized remediation plan

• Deploy advanced legal hold processes and solutions to minimize the risk of non-compliance

• Prepare for eDiscovery and governmental inquires by casting a wider ESI net, including social media, cloud data, instant messaging and structured data systems

9

AppendixAll questions included

10

Demographics

11

33%

33%

34%

0% 5% 10% 15% 20% 25% 30% 35% 40%

1,000 to 2,499

2,500 to 4,999 (medium enterprise)

5,000 or more (large enterprise)

Q2: How many employees does your organization have in all locations worldwide?

12

14%

10%

10%

9%

8%

6%

6%

6%

6%

6%

6%

5%

3%

2%

1%

1%

1%

1%

0%

0% 2% 4% 6% 8% 10% 12% 14% 16%

Finance and Insurance

Information Technology and Communications

Manufacturing

Wholesale and Retail

Construction

Education, Learning and Support

Energy

Government

Medical, Health Care and Welfare

Transport and freight service (cover such as Airline/railway industry)

Other

Scientific research, professional and technical services

Internet

Real estate and goods rental and leasing

Advertisement

Eating and drinking services, accommodations

Legal

Living-related and personal services and amusement services

Media

Q3: What is your organization's primary industry?

13

29%

26%

26%

19%

0% 5% 10% 15% 20% 25% 30% 35%

C-level or business owner

Management role in IT, primarily focused on strategic issues

Management role in IT, primarily focused on tactical/operational issues

Management role focused primarily on cyber security

Q4: What is your primary role?

14

1%

2%

1%

24%

6%

1%

5%

10%

25%

10%

3%

3%

9%

0% 5% 10% 15% 20% 25% 30%

President

Owner

Partner

CIO

CTO

CISO

Vice President or Senior Vice President in a computing area

Director in a computing area

Manager of Information Systems or Computer Systems

Systems analyst

Systems architect

Systems designer

Other

Q5: What is your title?

15

30 or less (Millennial)22%

31 to 49 (Gen-X)70%

50 or older (Boomer)8%

What is your age?

16

Male81%

Female19%

Q7: What is your gender?

17

12.34

10

0

2

4

6

8

10

12

14

Mean Median

Q8: How many years have you been working in computer systems and technology?

18

2%

3%

3%

5%

8%

17%

18%

16%

15%

7%

6%

0% 5% 10% 15% 20%

Less than $500,000

$500,000 to $2,000,000

$2,000,000 to $7,500,000

$7,500,000 to $30,000,000

$30,000,000 to $100,000,000

$100,000,000 to $500,000,000

$500,000,000 to $1,500,000,000

$1,500,000,000 to $5,000,000,000

$5,000,000,000 to $25,000,000,000

$25,000,000,000 to $100,000,000,000

More than $100,000,000,000

Q9: What are your company's annual revenues?

19

1%

6%

5%

11%

32%

30%

8%

4%

1%

2%

0% 5% 10% 15% 20% 25% 30% 35%

Declining 25% per year or greater

Declining at between 10 to 24% per year

Declining at between 1 to 9% per year

Flat: Neither growing nor declining

Growing at between 1 to 9% per year

Growing at between 10 to 24% per year

Growing at 25 to 49% per year

Growing at 50 to 99% per year

Growing at 100% per year or more

Decline to state

Q10: Characterize your company's year-over-year annual growth rate in terms of annual revenue:

20

Overall Storage QuestionsIT Department

21

232,326.1

2,0000

50,000

100,000

150,000

200,000

250,000

Mean Median

Q184: How many email users are there in your business?

22

33%

13%

11%

11%

7%

7%

6%

5%

5%

4%

0% 5% 10% 15% 20% 25% 30% 35%

Email

Email Archiving

Email Security

Email Encryption

Data Loss Prevention

ERP

Web Security Instant Messaging

DRM

Email Continuity

HR Management

Q185: Which applications have you moved or are you considering moving to the cloud?

23

1,278,339.9

2000

200,000

400,000

600,000

800,000

1,000,000

1,200,000

1,400,000

Mean Median

Terabytes

Q186: What is the total storage capacity of all of your organization's data centers combined worldwide?

24

27%

20%

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

Mean Median

Q187: What is your estimated growth of storage over the next 12 months?

25

BackupIT Department

26

40%

35%

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

Mean Median

Q188: What percentage of your backups has infinite retention?

27

43%39%40% 40%

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

Legal holds Infinite retention for other reasons

Q189: What percentage of your backup storage used for infinite retention is dedicated to each of the following?

Mean

Median

28

Yes75%

No25%

Q190: Are you routinely performing legal holds in your backup environment?

29

33%30%30%

25%

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

Is possibly not needed for business or shouldn't be kept in a backup.

You actually shouldn't have due to litigation risk.

Q191: What percentage of your backup data is data that:

Mean

Median

30

ArchivingIT Department

31

6% 9% 10% 9% 11%

38%42% 42% 44%

45%

56%49% 48% 47% 44%

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

Moving files off primary storage to another hard

disk for long-term storage

Providing tools to facilitate the recovery of archived

information for eDiscovery requests

Active management of the archived information

Storage optimization Quality end-user experience

Q192: Which of the following features are needed for an archiving system to be complete?

1 - Not required, not necessary 2 - Optional, but nice to have 3 - Required

32

5%

17%

36%

35%

8%

0% 5% 10% 15% 20% 25% 30% 35% 40%

We don't archive this kind of information

We archive manually

We use software designed specifically for archiving

We use our backup software

No corporate standard, employees manage their own archiving

Q193a: What do you use for archiving information in your organization?

(Email)

33

7%

15%

32%

40%

6%

0% 5% 10% 15% 20% 25% 30% 35% 40% 45%

We don't archive this kind of information

We archive manually

We use software designed specifically for archiving

We use our backup software

No corporate standard, employees manage their own archiving

Q193b: What do you use for archiving information in your organization?(SharePoint)

34

3%

14%

34%

42%

8%

0% 5% 10% 15% 20% 25% 30% 35% 40% 45%

We don't archive this kind of information

We archive manually

We use software designed specifically for archiving

We use our backup software

No corporate standard, employees manage their own archiving

Q193c: What do you use for archiving information in your organization?

(Files and Documents)

35

3%

12%

36%

42%

7%

0% 5% 10% 15% 20% 25% 30% 35% 40% 45%

We don't archive this kind of information

We archive manually

We use software designed specifically for archiving

We use our backup software

No corporate standard, employees manage their own archiving

Q193d: What do you use for archiving information in your organization?

(Database or Application Data)

36

17%

14%

29%

28%

13%

0% 5% 10% 15% 20% 25% 30% 35%

We don't archive this kind of information

We archive manually

We use software designed specifically for archiving

We use our backup software

No corporate standard, employees manage their own archiving

Q193e: What do you use for archiving information in your organization?

(Instant Messenger, SMS Text and PIN-to-PIN)

37

22%

12%

25%

28%

13%

0% 5% 10% 15% 20% 25% 30%

We don't archive this kind of information

We archive manually

We use software designed specifically for archiving

We use our backup software

No corporate standard, employees manage their own archiving

Q193f: What do you use for archiving information in your organization?(Social Media)

38

5%

11%

15%

11%

21%

15%

12%

11%

0% 5% 10% 15% 20% 25%

0 to 3 months

3 months to 1 year

1 to 2 years

2 to 3 years

3 to 5 years

Indefinitely

Varies based upon user group

Varies based on content

Q194a: How long do you retain content in your archiving system?(Email)

39

5%

10%

12%

15%

19%

13%

14%

12%

0% 2% 4% 6% 8% 10% 12% 14% 16% 18% 20%

0 to 3 months

3 months to 1 year

1 to 2 years

2 to 3 years

3 to 5 years

Indefinitely

Varies based upon user group

Varies based on content

Q194b: How long do you retain content in your archiving system?(SharePoint)

40

3%

7%

10%

12%

21%

18%

17%

13%

0% 5% 10% 15% 20% 25%

0 to 3 months

3 months to 1 year

1 to 2 years

2 to 3 years

3 to 5 years

Indefinitely

Varies based upon user group

Varies based on content

Q194c: How long do you retain content in your archiving system?(Files and Documents)

41

3%

7%

9%

11%

20%

20%

18%

12%

0% 5% 10% 15% 20% 25%

0 to 3 months

3 months to 1 year

1 to 2 years

2 to 3 years

3 to 5 years

Indefinitely

Varies based upon user group

Varies based on content

Q194d: How long do you retain content in your archiving system?(Database or Application Data)

42

7%

13%

15%

14%

17%

10%

13%

12%

0% 2% 4% 6% 8% 10% 12% 14% 16% 18%

0 to 3 months

3 months to 1 year

1 to 2 years

2 to 3 years

3 to 5 years

Indefinitely

Varies based upon user group

Varies based on content

Q194e: How long do you retain content in your archiving system?(Instant Messenger, SMS Text, or PIN-to-PIN)

43

8%

11%

14%

15%

17%

10%

13%

12%

0% 2% 4% 6% 8% 10% 12% 14% 16% 18%

0 to 3 months

3 months to 1 year

1 to 2 years

2 to 3 years

3 to 5 years

Indefinitely

Varies based upon user group

Varies based on content

Q194f: How long do you retain content in your archiving system?(Social Media)

44

17%

34%

32%

18%

0% 5% 10% 15% 20% 25% 30% 35% 40%

We don't have a policy

We have a policy that allows it

We have a policy that partially restricts it

We have a policy that prohibits it

Q195: What is your policy around end users creating their own archives?

45

10%

27%

23%

31%

9%

0% 5% 10% 15% 20% 25% 30% 35%

Never

Rarely

Not uncommon

Frequently

All the time

Q196: Any policies notwithstanding, how often do your users informally archive electronic information?

46

eDiscoveryIT Department

47

71%

50%

42%

39%

38%

36%

0% 10% 20% 30% 40% 50% 60% 70% 80%

Image the entire mailbox, directory, database, etc.

We have an automated archiving system that handles this

Preserve an entire backup set

We have enterprise search and collection tools

We ask the end user not to delete items

We ask the end user to copy files to new location

Q197a: How do you implement a legal hold on email?(Mark all that apply.)

48

48%

43%

40%

35%

35%

33%

0% 5% 10% 15% 20% 25% 30% 35% 40% 45% 50%

Preserve an entire backup set

We have enterprise search and collection tools

We have an automated archiving system that handles this

We ask the end user to copy files to new location

We ask the end user not to delete items

Image the entire mailbox, directory, database, etc.

Q197b: How do you implement a legal hold on SharePoint?(Mark all that apply.)

49

54%

52%

51%

46%

45%

42%

0% 10% 20% 30% 40% 50% 60%

We have an automated archiving system that handles this

Preserve an entire backup set

We ask the end user not to delete items

We have enterprise search and collection tools

We ask the end user to copy files to new location

Image the entire mailbox, directory, database, etc.

Q197c: How do you implement a legal hold on files and documents?

(Mark all that apply.)

50

27%

25%

24%

21%

19%

19%

0% 5% 10% 15% 20% 25% 30%

We have enterprise search and collection tools

We ask the end user to copy files to new location

We ask the end user not to delete items

We have an automated archiving system that handles this

Image the entire mailbox, directory, database, etc.

Preserve an entire backup set

Q197d: How do you implement a legal hold on social media?(Mark all that apply.)

51

Yes79%

No21%

Q198: Do you believe that a proper information retention strategy/policy should allow you to delete information?

52

29.6

9

0

5

10

15

20

25

30

35

Mean Median

Q199: How many days does it take you to give your lawyers information they need to make an early case assessment?

53

Information RetentionIT Department

54

9%

13%

25%

35%

17%

0% 5% 10% 15% 20% 25% 30% 35% 40%

Extremely unsure

Somewhat unsure

Neutral

Somewhat confident

Extremely confident

Q200: How would you rate your preparedness to responding to a legal, compliance or regulatory request for electronically stored

information?

55

63.5

40

10

20

30

40

50

60

70

Mean Median

Q201: How many times in the past year has your company had to respond to a legal, compliance or regulatory request for

electronically stored information?

56

2% 3% 4% 6%12%

17%7% 9%

13% 13%

16%15%

24%27%

25%30%

28%27%

40%38% 33%

33%27% 24%

27% 23% 25%18% 17% 17%

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

Files and documents Database or application data

Email SharePoint Instant Messenger, SMS Text and PIN-to-

PIN blackberry devices

Social media

Q202: How frequently are the following documents requested in conjunction with a legal, compliance or regulatory request for

electronically stored information?

1 - Never 2 - Rarely 3 - Neutral 4 - Often 5 - Almost always

57

67%

61%

58%

51%

44%

41%

0% 10% 20% 30% 40% 50% 60% 70% 80%

Files and documents

Database or application data

Email

SharePoint

Instant Messenger, SMS Text and PIN-to-PIN blackberry devices

Social media

Q202: How frequently are the following documents requested in conjunction with a legal, compliance or regulatory request for

electronically stored information?(Often/Almost always)

58

9%

12%

17%

19%

28%

32%

0% 5% 10% 15% 20% 25% 30% 35%

Files and documents

Database or application data

Email

SharePoint

Instant Messenger, SMS Text and PIN-to-PIN blackberry devices

Social media

Q202: How frequently are the following documents requested in conjunction with a legal, compliance or regulatory request for

electronically stored information?(Never/Rarely)

59

39%

30%

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

Mean Median

Q203: What percentage of the time do you go to your backup infrastructure to comply with a legal, compliance or regulatory

request for electronically stored information?

60

66.3

12

0

10

20

30

40

50

60

70

Mean Median

Hours

Q204: On average, how much IT staff time does it take if they have to go to your backup infrastructure to comply with a legal, compliance or regulatory request for electronically stored

information?

61

79.4

60

10

20

30

40

50

60

70

80

90

Mean Median

Q205: How many times per year do you estimate you need to go to your backup infrastructure to comply with a legal, compliance or

regulatory request for electronically stored information?

62

Success RatioIT Department

63

15%

14%

25%

47%

0% 5% 10% 15% 20% 25% 30% 35% 40% 45% 50%

Completely fail to fulfill the request

Partially fail to fulfill the request

Successfully fulfill the request, but more slowly than the requestor would like

Successfully fulfill the request in a timeframe that is acceptable to the requestor

Q206: When asked to respond to a legal, compliance or regulatory request for electronically stored information, what percentage of the

time do you do each of the following?(Means shown)

64

10%

10%

25%

35%

0% 5% 10% 15% 20% 25% 30% 35% 40%

Completely fail to fulfill the request

Partially fail to fulfill the request

Successfully fulfill the request, but more slowly than the requestor would like

Successfully fulfill the request in a timeframe that is acceptable to the requestor

Q206: When asked to respond to a legal, compliance or regulatory request for electronically stored information, what percentage of the

time do you do each of the following?(Medians shown)

65

42%

41%

38%

28%

26%

25%

0% 5% 10% 15% 20% 25% 30% 35% 40% 45%

Damage to Enterprise reputation or embarrassment

Fines

Compromised legal position

Sanctions by courts

Hampered our ability to make decisions in a timely fashion

Raised our profile as a potential litigation target

Q207: In those cases where you were either late, partially or completely unsuccessful, which of the following consequences did

you experience as a result?

66

29%25% 25%

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

Primary storage Backup storage Archive storage

Q208: What percentage of your deletions is made without considering your retention policies?

(Means shown)

67

25% 25%

20%

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

Primary storage Backup storage Archive storage

Q208: What percentage of your deletions is made without considering your retention policies?

(Medians shown)

68

14%

30%

24%

32%

0% 5% 10% 15% 20% 25% 30% 35%

We don't have one and no plans to create one

We are in the discussion/planning phase

We are currently putting our plan into operation

We have a plan in place

Q209: What is the status of your formal retention plan?

69

1% 1% 1%4% 2%

7%

29%

23%

34%

40%

42%

35%

26%32%

23%

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

Compliance or legal personnel IT End users

Q210: How well does each of these constituents understand your enterprise information retention plan?

1 - No understanding at all 2 - Poor 3 - Average 4 - Very good 5 - Excellent

70

66%

74%

58%

0% 10% 20% 30% 40% 50% 60% 70% 80%

Compliance or legal personnel

IT

End users

Q210: How well does each of these constituents understand your enterprise information retention plan?(Very good/Excellent understanding)

71

5%

3%

8%

0% 5% 10% 15%

Compliance or legal personnel

IT

End users

Q210: How well does each of these constituents understand your enterprise information retention plan?

(Poor/No understanding)

72

1% 1% 1%2% 2% 5%

27% 24%

34%

42%41%

37%

28%32%

24%

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

Compliance or legal personnel IT End users

Q211: How well do each of these constituents comply with your enterprise information management plan?

1 - They don't comply at all 2 - Poor 3 - Average 4 - Very good 5 - Excellent

73

70%

73%

60%

0% 10% 20% 30% 40% 50% 60% 70% 80%

Compliance or legal personnel

IT

End users

Q211: How well do each of these constituents comply with your enterprise information retention plan?

(Very good/Excellent compliance)

74

3%

3%

6%

0% 1% 2% 3% 4% 5% 6% 7%

Compliance or legal personnel

IT

End users

Q211: How well do each of these constituents comply with your enterprise information retention plan?

(Poor/No compliance)

75

41%

38%

27%

26%

21%

0% 5% 10% 15% 20% 25% 30% 35% 40% 45%

We don't see a need for it

Cost

Nobody is chartered with that responsibility

We don’t have time

We lack the expertise to build such a plan

Q212: Why don't you have, nor plan to create, an information retention plan?

(Mark all that apply.)

76

DemographicsLegal Department

77

30 or less (Millenial)16%

31 to 49 (Gen-X)77%

50 or older (Boomer)7%

L5: What is your age?

78

Male82%

Female18%

L6: What is your gender?

79

12.99

12.0

0

2

4

6

8

10

12

14

Mean Median

L7: For how many years have you been working in or with the computer systems and technology industry?

80

15%

56%

18%

8%

3%

0% 10% 20% 30% 40% 50% 60%

Corporate attorney

Legal liaison to IT

Legal project manager

General counsel

Paralegal

L10: What is your job title?

81

50%

53%

57%

58%

50%

47%

43%

42%

0% 10% 20% 30% 40% 50% 60% 70%

Legal holds of electronic information

Retention policies for electronic information

Internal review for early case assessment

eDiscovery

L11: What is your level of knowledge in terms of day-to-day operations in each of the following areas?

Excellent

Good

82

Information RetentionLegal Department

83

12%

7%

15%

40%

27%

0% 5% 10% 15% 20% 25% 30% 35% 40% 45%

Extremely unsure

Somewhat unsure

Neutral

Somewhat confident

Extremely confident

L12: How would you rate your company's preparedness to responding to a legal, compliance or regulatory request for

electronically stored information?

84

81.78

5.0

0

10

20

30

40

50

60

70

80

90

Mean Median

L13: How many times in the past year has your company had to respond to a legal, compliance or regulatory request for

electronically stored information?

85

5%

31%

25%

28%

12%

0% 5% 10% 15% 20% 25% 30% 35%

Not at all

Very little

Neutral

A lot

Completely

L14: How much do you rely on outside counsel when responding to such requests to respond to a legal, compliance or regulatory

request for electronically stored information?

86

58%

20%

12%

10%

0% 10% 20% 30% 40% 50% 60% 70%

Successfully fulfill the request, timeframe acceptable to requestor

Successfully fulfill the request, slower than requestor would like

Partially fail to fulfill the request

Completely fail to fulfill the request

L15: When asked to respond to a legal, compliance or regulatory request for electronically stored information, what percentage of the

time do you do each of the following?(Means shown)

87

60%

20%

10%

4%

0% 10% 20% 30% 40% 50% 60% 70%

Successfully fulfill the request, timeframe acceptable to requestor

Successfully fulfill the request, slower than requestor would like

Partially fail to fulfill the request

Completely fail to fulfill the request

L15: When asked to respond to a legal, compliance or regulatory request for electronically stored information, what percentage of the

time do you do each of the following?(Medians shown)

88

23%

22%

20%

13%

12%

10%

0% 5% 10% 15% 20% 25%

Fines

Compromised legal position

Damage to Enterprise reputation or embarrassment

Hampered ability to make decisions in a timely fashion

Sanctions by courts

Raised our profile as a potential litigation target

L16: In those cases where you were either late, partially or completely unsuccessful, which of the following consequences did

you experience as a result?

89

6%

36%

26%

32%

0% 5% 10% 15% 20% 25% 30% 35% 40%

No plan, no plans to create one

Discussion/Planning phase

Currently implementing

Already implemented

L17: What is the status of your formal information retention plan?

90

1% 1% 1%3% 3%

6%

24%19%

30%

39%

39%

36%

33%40%

27%

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

Compliance or legal personnel IT End users

L18: How well does each of these constituents understand your enterprise information retention plan?

1 - No understanding 2 - Poor 3 - Average 4 - Very good 5 - Excellent

91

72%

78%

63%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90%

Compliance or legal personnel

IT

End users

L18: How well does each of these constituents understand your enterprise information retention plan?(Very good/Excellent understanding)

92

4%

3%

7%

0% 5% 10% 15%

Compliance or legal personnel

IT

End users

L18: How well does each of these constituents understand your enterprise information retention plan?

(No/Poor understanding)

93

90%

90%

78%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Compliance or legal personnel

IT

End users

L19: Have you provided training on your enterprise information retention plan to each of these constituents?

94

1% 0% 1%2% 2%6%

23%19%

29%

43%

41%

39%

31%38%

26%

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

Compliance or legal personnel IT End users

L20: How well do each of these constituents comply with your enterprise information management plan?

1 - Don't comply 2 - Poor 3 - Average 4 - Very good 5 - Excellent

95

74%

78%

64%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90%

Compliance or legal personnel

IT

End users

L20: How well do each of these constituents comply with your enterprise information management plan?

(Very good/Excellent compliance)

96

3%

3%

7%

0% 5% 10% 15%

Compliance or legal personnel

IT

End users

L20: How well do each of these constituents comply with your enterprise information management plan?

(No/ Poor compliance)

97

46%

36%

32%

26%

19%

0% 5% 10% 15% 20% 25% 30% 35% 40% 45% 50%

Cost

We don't see a need for it

Nobody is chartered with that responsibility

We lack the expertise to build such a plan

We don't have time

L21: Why don't you have any plans to implement a formal information retention plan?

(Mark all that apply.)

98

eDiscoveryLegal Department

99

69%

45%

44%

37%

34%

31%

30%

30%

0% 10% 20% 30% 40% 50% 60% 70% 80%

Ask IT to image the entire mailbox, directory, database, etc.

IT uses automated archiving system to handle this

Ask IT to preserve entire backup set

Enterprise search and collection tool

Ask end user not to delete items

Hybrid model of some automated lit hold and some user independent

Solely rely on self-collection

Ask end user to copy files to new location

L22a: When you are implementing a legal hold, what actions do you take?

(Email)

100

51%

40%

39%

36%

34%

34%

34%

27%

0% 10% 20% 30% 40% 50% 60%

Ask IT to preserve entire backup set

Enterprise search and collection tool

IT uses automated archiving system to handle this

Ask IT to image the entire mailbox, directory, database, etc.

Hybrid model of some automated lit hold and some user independent

Ask end user to copy files to new location

Ask end user not to delete items

Solely rely on self-collection

L22b: When you are implementing a legal hold, what actions do you take?

(SharePoint)

101

51%

50%

43%

42%

41%

38%

33%

30%

0% 10% 20% 30% 40% 50% 60%

IT uses automated archiving system to handle this

Ask IT to preserve entire backup set

Enterprise search and collection tool

Ask end user not to delete items

Ask IT to image the entire mailbox, directory, database, etc.

Ask end user to copy files to new location

Hybrid model of some automated lit hold and some user independent

Solely rely on self-collection

L22c: When you are implementing a legal hold, what actions do you take?

(Files and Documents)

102

34%

27%

26%

25%

24%

24%

23%

23%

0% 5% 10% 15% 20% 25% 30% 35% 40%

Enterprise search and collection tool

Solely rely on self-collection

Ask IT to image the entire mailbox, directory, database, etc.

Ask end user not to delete items

Ask end user to copy files to new location

Hybrid model of some automated lit hold and some user independent

Ask IT to preserve entire backup set

IT uses automated archiving system to handle this

L22d: When you are implementing a legal hold, what actions do you take?

(Social Media)

103

Yes61%

No39%

L23: Are you aware of anyone within your organization that has been deposed around information management practices and

technology?

104

Yes66%

No34%

L24: Have you identified an individual responsible for depositions concerning information management practices and technology?

105

34%

26%

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

Mean Median

L25: What percentage of information that is placed on legal hold is not specifically relevant for that litigation?

106

63%

57%

50%

32%

16%

0% 10% 20% 30% 40% 50% 60% 70%

Increased collection, review, and analysis time

Increased collection, review, and analysis costs

Risk that sensitive information may be disclosed

Compromised litigation position

Information unintentionally made available for potential future litigation

L26: What consequences have flowed from preserving more than you needed to?

(Mark all that apply.)

107

Yes85%

No15%

L27: Do you believe that proper information retention strategy/policy should allow you to delete information?

108

16.35

8.0

0

2

4

6

8

10

12

14

16

18

Mean Median

L28: How many days does it take IT to give the legal department information you need to make an early case assessment?

109

80%

58%

54%

50%

47%

45%

41%

37%

37%

33%

32%

22%

20%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90%

Emails

Databases

Word processing documents

System or file backups

Spreadsheets

SharePoint content

Internet browser histories

Instant messaging histories

Contents of individual hard drives

Digital photographs

Digital audio files

Social media

Digital video files

L29: Which of the following forms of Electronically Stored Information (ESI) do you most commonly need to search for

information relevant to a legal matter?

110

37%

51%

10%

3%

0% 10% 20% 30% 40% 50% 60%

It's critical to my everyday work

It's important, but dependent on the matter

It's neither important nor unimportant

It has little impact on my everyday work

L30: How would you describe the importance of ESI in the legal matters you deal with?

111

32%

25%

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

Mean Median

L31: In your experience, by what magintude has the amount of ESI relevant to your legal matters grown in the last five years?

112

89%

82%

79%

78%

76%

76%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Requests for information from external regulators

Requests for information concerning litigation matters

To track internal compliance

Requests for information relating to financial transactions/due diligence

Requests for information relating to criminal investigations

Human resources investigations

L32: Does your organization make use of ESI in the following scenarios?

113

Yes83%

No17%

L33: Do you and/or your team have the right skills and resources to gather and analyze ESI to be considered in the scenarios outlined

above effectively?

114

58%

49%

42%

41%

30%

20%

0% 10% 20% 30% 40% 50% 60% 70%

The volume of ESI to be searched

Insufficient time permitted to investigate ESI thoroughly

Data supplied in obsolete or propietary file formats

Insufficient people to investigate ESI thoroughly

Processing multimedia data

Lack of technology with intelligent and/or keyword search capabilities

L34: Which of the following do you find are the greatest challenges when identifying which ESI might be relevant to a legal matter?

(Mark all that apply.)

115

26%

22%

14%

8%

30%

0% 5% 10% 15% 20% 25% 30% 35%

Yes, within the past 3 months

Yes, within the past 6 months

Yes, within the past year

Yes, within the past 2 years

No

L35: Has a matter in which you have been involved ever been impacted, delayed or resulted in sanctions because of issues

relating to ESI?

116

32%

26%

19%

10%

14%

0% 5% 10% 15% 20% 25% 30% 35%

Yes, within the past 3 months

Yes, within the past 6 months

Yes, within the past year

Yes, within the past 2 years

No

L36: Have you ever been successful in a matter because of ESI identified and collected during an investigation that was later

submitted as evidence?

117

35%

16%

11%

7%

6%

5%

5%

5%

4%

3%

2%

1%

1%

0% 5% 10% 15% 20% 25% 30% 35% 40%

Emails

Database

System or file backups

Word processing documents

Spreadsheets

Internet browser histories

Instant messaging histories

SharePoint content

The contents of individual hard drives

Digital photographs

Digital audio files

Digital video files

Social media

L37: Which form of ESI do you believe would be most useful to you and/or your team when searching for information relevant to a legal

matter?

118

39%

31%

17%

13%

0% 5% 10% 15% 20% 25% 30% 35% 40% 45%

Better regulatory framework for dealing with ESI at a national level

Greater consistency of legislation relating to ESI at an international level

Greater standardization of technology

Improvements to search technology used to identify, preserve and process ESI

L38: What do you believe would alleviate the present challenges relating to ESI?