Symantec 2011 Information Retention and eDiscovery Survey Global Key Findings
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Symantec’s 2011 Information Retention and eDiscovery Survey examines how enterprises manage their ever-growing volumes of electronically stored information and prepare for the eventuality of an eDiscovery request. The survey of legal and IT personnel at 2,000 enterprises worldwide found email is not the primary source of records companies must produce, and more importantly, respondents who employ best practices for records and information management are significantly less at risk of court sanctions or fines.
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Symantec 2011 Information Retention and eDiscovery Survey Global Key Findings
- 1. Information Retention and eDiscovery Survey Global Data
- 2. Methodology • Survey performed by Applied Research • 2,000 organizations worldwide • Enterprises (1,000+ employees) • IT management and Legal • Cross-industry 2
- 3. 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
- 4. 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
- 5. 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
- 6. 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
- 7. 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
- 8. 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
- 10. Demographics 10
- 11. Q2: How many employees does your organization have in all locations worldwide? 1,000 to 2,499 33% 2,500 to 4,999 (medium enterprise) 33% 5,000 or more (large enterprise) 34% 0% 5% 10% 15% 20% 25% 30% 35% 40% 11
- 12. Q3: What is your organization's primary industry? Media 0% Living-related and personal services and amusement services 1% Legal 1% Eating and drinking services, accommodations 1% Advertisement 1% Real estate and goods rental and leasing 2% Internet 3% Scientific research, professional and technical services 5% Other 6% Transport and freight service (cover such as Airline/railway industry) 6% Medical, Health Care and Welfare 6% Government 6% Energy 6% Education, Learning and Support 6% Construction 8% Wholesale and Retail 9% Manufacturing 10% Information Technology and Communications 10% Finance and Insurance 14% 0% 2% 4% 6% 8% 10% 12% 14% 16% 12
- 13. Q4: What is your primary role? Management role focused primarily on cyber security 19% Management role in IT, primarily focused on tactical/operational 26% issues Management role in IT, primarily focused on strategic issues 26% C-level or business owner 29% 0% 5% 10% 15% 20% 25% 30% 35% 13
- 14. Q5: What is your title? President 1% Owner 2% Partner 1% CIO 24% CTO 6% CISO 1% Vice President or Senior Vice President in a computing area 5% Director in a computing area 10% Manager of Information Systems or Computer Systems 25% Systems analyst 10% Systems architect 3% Systems designer 3% Other 9% 0% 5% 10% 15% 20% 25% 30% 14
- 15. What is your age? 50 or older (Boomer) 8% 30 or less (Millennial) 22% 31 to 49 (Gen-X) 70% 15
- 16. Q7: What is your gender? Female 19% Male 81% 16
- 17. Q8: How many years have you been working in computer systems and technology? 14 12 12.34 10 10 8 6 4 2 0 Mean Median 17
- 18. Q9: What are your company's annual revenues? Less than $500,000 2% $500,000 to $2,000,000 3% $2,000,000 to $7,500,000 3% $7,500,000 to $30,000,000 5% $30,000,000 to $100,000,000 8% $100,000,000 to $500,000,000 17% $500,000,000 to $1,500,000,000 18% $1,500,000,000 to $5,000,000,000 16% $5,000,000,000 to $25,000,000,000 15% $25,000,000,000 to $100,000,000,000 7% More than $100,000,000,000 6% 0% 5% 10% 15% 20% 18
- 19. Q10: Characterize your company's year-over-year annual growth rate in terms of annual revenue: Declining 25% per year or greater 1% Declining at between 10 to 24% per year 6% Declining at between 1 to 9% per year 5% Flat: Neither growing nor declining 11% Growing at between 1 to 9% per year 32% Growing at between 10 to 24% per year 30% Growing at 25 to 49% per year 8% Growing at 50 to 99% per year 4% Growing at 100% per year or more 1% Decline to state 2% 0% 5% 10% 15% 20% 25% 30% 35% 19
- 20. Overall Storage Questions IT Department 20
- 21. Q184: How many email users are there in your business? 250,000 232,326.1 200,000 150,000 100,000 50,000 2,000 0 Mean Median 21
- 22. Q185: Which applications have you moved or are you considering moving to the cloud? HR Management 4% Email Continuity 5% DRM 5% Web Security Instant Messaging 6% ERP 7% Data Loss Prevention 7% Email Encryption 11% Email Security 11% Email Archiving 13% Email 33% 0% 5% 10% 15% 20% 25% 30% 35% 22
- 23. Q186: What is the total storage capacity of all of your organization's data centers combined worldwide? 1,400,000 1,200,000 1,278,339.9 1,000,000 Terabytes 800,000 600,000 400,000 200,000 200 0 Mean Median 23
- 24. Q187: What is your estimated growth of storage over the next 12 months? 100% 90% 80% 70% 60% 50% 40% 30% 27% 20% 20% 10% 0% Mean Median 24
- 25. Backup IT Department 25
- 26. Q188: What percentage of your backups has infinite retention? 100% 90% 80% 70% 60% 50% 40% 40% 30% 35% 20% 10% 0% Mean Median 26
- 27. Q189: What percentage of your backup storage used for infinite retention is dedicated to each of the following? 100% 90% 80% 70% 60% 50% Mean Median 40% 43% 40% 39% 40% 30% 20% 10% 0% Legal holds Infinite retention for other reasons 27
- 28. Q190: Are you routinely performing legal holds in your backup environment? No 25% Yes 75% 28
- 29. Q191: What percentage of your backup data is data that: 100% 90% 80% 70% 60% 50% Mean 40% Median 30% 33% 30% 30% 20% 25% 10% 0% Is possibly not needed for business or shouldn't be kept in a You actually shouldn't have due to litigation risk. backup. 29
- 30. Archiving IT Department 30
- 31. 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 100% 90% 80% 49% 48% 47% 44% 70% 56% 60% 50% 40% 44% 45% 30% 42% 42% 38% 20% 10% 6% 9% 10% 9% 11% 0% Moving files off primary Providing tools to facilitate Active management of the Storage optimization Quality end-user storage to another hard the recovery of archived archived information experience disk for long-term storage information for eDiscovery requests 31
- 32. Q193a: What do you use for archiving information in your organization? (Email) No corporate standard, employees manage their own archiving 8% We use our backup software 35% We use software designed specifically for archiving 36% We archive manually 17% We don't archive this kind of information 5% 0% 5% 10% 15% 20% 25% 30% 35% 40% 32
- 33. Q193b: What do you use for archiving information in your organization? (SharePoint) No corporate standard, employees manage their own archiving 6% We use our backup software 40% We use software designed specifically for archiving 32% We archive manually 15% We don't archive this kind of information 7% 0% 5% 10% 15% 20% 25% 30% 35% 40% 45% 33
- 34. Q193c: What do you use for archiving information in your organization? (Files and Documents) No corporate standard, employees manage their own archiving 8% We use our backup software 42% We use software designed specifically for archiving 34% We archive manually 14% We don't archive this kind of information 3% 0% 5% 10% 15% 20% 25% 30% 35% 40% 45% 34
- 35. Q193d: What do you use for archiving information in your organization? (Database or Application Data) No corporate standard, employees manage their own archiving 7% We use our backup software 42% We use software designed specifically for archiving 36% We archive manually 12% We don't archive this kind of information 3% 0% 5% 10% 15% 20% 25% 30% 35% 40% 45% 35
- 36. Q193e: What do you use for archiving information in your organization? (Instant Messenger, SMS Text and PIN-to-PIN) No corporate standard, employees manage their own archiving 13% We use our backup software 28% We use software designed specifically for archiving 29% We archive manually 14% We don't archive this kind of information 17% 0% 5% 10% 15% 20% 25% 30% 35% 36
- 37. Q193f: What do you use for archiving information in your organization? (Social Media) No corporate standard, employees manage their own archiving 13% We use our backup software 28% We use software designed specifically for archiving 25% We archive manually 12% We don't archive this kind of information 22% 0% 5% 10% 15% 20% 25% 30% 37
- 38. Q194a: How long do you retain content in your archiving system? (Email) 0 to 3 months 5% 3 months to 1 year 11% 1 to 2 years 15% 2 to 3 years 11% 3 to 5 years 21% Indefinitely 15% Varies based upon user group 12% Varies based on content 11% 0% 5% 10% 15% 20% 25% 38
- 39. Q194b: How long do you retain content in your archiving system? (SharePoint) 0 to 3 months 5% 3 months to 1 year 10% 1 to 2 years 12% 2 to 3 years 15% 3 to 5 years 19% Indefinitely 13% Varies based upon user group 14% Varies based on content 12% 0% 2% 4% 6% 8% 10% 12% 14% 16% 18% 20% 39
- 40. Q194c: How long do you retain content in your archiving system? (Files and Documents) 0 to 3 months 3% 3 months to 1 year 7% 1 to 2 years 10% 2 to 3 years 12% 3 to 5 years 21% Indefinitely 18% Varies based upon user group 17% Varies based on content 13% 0% 5% 10% 15% 20% 25% 40
- 41. Q194d: How long do you retain content in your archiving system? (Database or Application Data) 0 to 3 months 3% 3 months to 1 year 7% 1 to 2 years 9% 2 to 3 years 11% 3 to 5 years 20% Indefinitely 20% Varies based upon user group 18% Varies based on content 12% 0% 5% 10% 15% 20% 25% 41
- 42. Q194e: How long do you retain content in your archiving system? (Instant Messenger, SMS Text, or PIN-to-PIN) 0 to 3 months 7% 3 months to 1 year 13% 1 to 2 years 15% 2 to 3 years 14% 3 to 5 years 17% Indefinitely 10% Varies based upon user group 13% Varies based on content 12% 0% 2% 4% 6% 8% 10% 12% 14% 16% 18% 42
- 43. Q194f: How long do you retain content in your archiving system? (Social Media) 0 to 3 months 8% 3 months to 1 year 11% 1 to 2 years 14% 2 to 3 years 15% 3 to 5 years 17% Indefinitely 10% Varies based upon user group 13% Varies based on content 12% 0% 2% 4% 6% 8% 10% 12% 14% 16% 18% 43
- 44. Q195: What is your policy around end users creating their own archives? We have a policy that prohibits it 18% We have a policy that partially restricts it 32% We have a policy that allows it 34% We don't have a policy 17% 0% 5% 10% 15% 20% 25% 30% 35% 40% 44
- 45. Q196: Any policies notwithstanding, how often do your users informally archive electronic information? All the time 9% Frequently 31% Not uncommon 23% Rarely 27% Never 10% 0% 5% 10% 15% 20% 25% 30% 35% 45
- 46. eDiscovery IT Department 46
- 47. Q197a: How do you implement a legal hold on email? (Mark all that apply.) We ask the end user to copy files to new location 36% We ask the end user not to delete items 38% We have enterprise search and collection tools 39% Preserve an entire backup set 42% We have an automated archiving system that handles this 50% Image the entire mailbox, directory, database, etc. 71% 0% 10% 20% 30% 40% 50% 60% 70% 80% 47
- 48. Q197b: How do you implement a legal hold on SharePoint? (Mark all that apply.) Image the entire mailbox, directory, database, etc. 33% We ask the end user not to delete items 35% We ask the end user to copy files to new location 35% We have an automated archiving system that handles this 40% We have enterprise search and collection tools 43% Preserve an entire backup set 48% 0% 5% 10% 15% 20% 25% 30% 35% 40% 45% 50% 48
- 49. Q197c: How do you implement a legal hold on files and documents? (Mark all that apply.) Image the entire mailbox, directory, database, etc. 42% We ask the end user to copy files to new location 45% We have enterprise search and collection tools 46% We ask the end user not to delete items 51% Preserve an entire backup set 52% We have an automated archiving system that handles this 54% 0% 10% 20% 30% 40% 50% 60% 49
- 50. Q197d: How do you implement a legal hold on social media? (Mark all that apply.) Preserve an entire backup set 19% Image the entire mailbox, directory, database, etc. 19% We have an automated archiving system that handles this 21% We ask the end user not to delete items 24% We ask the end user to copy files to new location 25% We have enterprise search and collection tools 27% 0% 5% 10% 15% 20% 25% 30% 50
- 51. Q198: Do you believe that a proper information retention strategy/policy should allow you to delete information? No 21% Yes 79% 51
- 52. Q199: How many days does it take you to give your lawyers information they need to make an early case assessment? 35 30 29.6 25 20 15 10 9 5 0 Mean Median 52
- 54. Q200: How would you rate your preparedness to responding to a legal, compliance or regulatory request for electronically stored information? Extremely confident 17% Somewhat confident 35% Neutral 25% Somewhat unsure 13% Extremely unsure 9% 0% 5% 10% 15% 20% 25% 30% 35% 40% 54
- 55. 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? 70 60 63.5 50 40 30 20 10 4 0 Mean Median 55
- 56. 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 100% 90% 18% 17% 17% 27% 23% 25% 80% 70% 27% 24% 33% 60% 38% 33% 50% 40% 27% 40% 28% 30% 30% 25% 27% 15% 20% 24% 16% 10% 13% 13% 9% 17% 7% 12% 2% 3% 4% 6% 0% Files and documents Database or Email SharePoint Instant Messenger, Social media application data SMS Text and PIN-to- PIN blackberry devices 56
- 57. Q202: How frequently are the following documents requested in conjunction with a legal, compliance or regulatory request for electronically stored information? (Often/Almost always) Social media 41% Instant Messenger, SMS Text and PIN-to-PIN blackberry devices 44% SharePoint 51% Email 58% Database or application data 61% Files and documents 67% 0% 10% 20% 30% 40% 50% 60% 70% 80% 57
- 58. Q202: How frequently are the following documents requested in conjunction with a legal, compliance or regulatory request for electronically stored information? (Never/Rarely) Social media 32% Instant Messenger, SMS Text and PIN-to-PIN blackberry devices 28% SharePoint 19% Email 17% Database or application data 12% Files and documents 9% 0% 5% 10% 15% 20% 25% 30% 35% 58
- 59. 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? 100% 90% 80% 70% 60% 50% 40% 39% 30% 30% 20% 10% 0% Mean Median 59
- 60. 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? 70 66.3 60 50 40 Hours 30 20 10 12 0 Mean Median 60
- 61. 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? 90 80 79.4 70 60 50 40 30 20 10 6 0 Mean Median 61
- 62. Success Ratio IT Department 62
- 63. 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) Successfully fulfill the request in a timeframe that is acceptable to the requestor 47% Successfully fulfill the request, but more slowly than the requestor would like 25% Partially fail to fulfill the request 14% Completely fail to fulfill the request 15% 0% 5% 10% 15% 20% 25% 30% 35% 40% 45% 50% 63
- 64. 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) Successfully fulfill the request in a timeframe that is acceptable to the requestor 35% Successfully fulfill the request, but more slowly than the requestor would like 25% Partially fail to fulfill the request 10% Completely fail to fulfill the request 10% 0% 5% 10% 15% 20% 25% 30% 35% 40% 64
- 65. Q207: In those cases where you were either late, partially or completely unsuccessful, which of the following consequences did you experience as a result? Raised our profile as a potential litigation target 25% Hampered our ability to make decisions in a timely fashion 26% Sanctions by courts 28% Compromised legal position 38% Fines 41% Damage to Enterprise reputation or embarrassment 42% 0% 5% 10% 15% 20% 25% 30% 35% 40% 45% 65
- 66. Q208: What percentage of your deletions is made without considering your retention policies? (Means shown) 100% 90% 80% 70% 60% 50% 40% 30% 29% 20% 25% 25% 10% 0% Primary storage Backup storage Archive storage 66
- 67. Q208: What percentage of your deletions is made without considering your retention policies? (Medians shown) 100% 90% 80% 70% 60% 50% 40% 30% 20% 25% 25% 20% 10% 0% Primary storage Backup storage Archive storage 67
- 68. Q209: What is the status of your formal retention plan? We have a plan in place 32% We are currently putting our plan into operation 24% We are in the discussion/planning phase 30% We don't have one and no plans to create one 14% 0% 5% 10% 15% 20% 25% 30% 35% 68
- 69. 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 100% 90% 23% 26% 32% 80% 70% 60% 35% 40% 50% 42% 40% 30% 34% 20% 29% 23% 10% 4% 7% 0% 1% 2% 1% 1% Compliance or legal personnel IT End users 69
- 70. Q210: How well does each of these constituents understand your enterprise information retention plan? (Very good/Excellent understanding) End users 58% IT 74% Compliance or legal personnel 66% 0% 10% 20% 30% 40% 50% 60% 70% 80% 70
- 71. Q210: How well does each of these constituents understand your enterprise information retention plan? (Poor/No understanding) End users 8% IT 3% Compliance or legal personnel 5% 0% 5% 10% 15% 71
- 72. 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 100% 90% 24% 28% 32% 80% 70% 60% 37% 50% 42% 41% 40% 30% 34% 20% 27% 24% 10% 2% 2% 5% 0% 1% 1% 1% Compliance or legal personnel IT End users 72
- 73. Q211: How well do each of these constituents comply with your enterprise information retention plan? (Very good/Excellent compliance) End users 60% IT 73% Compliance or legal personnel 70% 0% 10% 20% 30% 40% 50% 60% 70% 80% 73
- 74. Q211: How well do each of these constituents comply with your enterprise information retention plan? (Poor/No compliance) End users 6% IT 3% Compliance or legal personnel 3% 0% 1% 2% 3% 4% 5% 6% 7% 74
- 75. Q212: Why don't you have, nor plan to create, an information retention plan? (Mark all that apply.) We lack the expertise to build such a plan 21% We don’t have time 26% Nobody is chartered with that responsibility 27% Cost 38% We don't see a need for it 41% 0% 5% 10% 15% 20% 25% 30% 35% 40% 45% 75
- 77. L5: What is your age? 50 or older (Boomer) 7% 30 or less (Millenial) 16% 31 to 49 (Gen-X) 77% 77
- 78. L6: What is your gender? Female 18% Male 82% 78
- 79. L7: For how many years have you been working in or with the computer systems and technology industry? 14 12.99 12 12.0 10 8 6 4 2 0 Mean Median 79
- 80. L10: What is your job title? Paralegal 3% General counsel 8% Legal project manager 18% Legal liaison to IT 56% Corporate attorney 15% 0% 10% 20% 30% 40% 50% 60% 80
- 81. L11: What is your level of knowledge in terms of day-to-day operations in each of the following areas? 42% eDiscovery 58% 43% Internal review for early case assessment 57% Excellent Good 47% Retention policies for electronic information 53% 50% Legal holds of electronic information 50% 0% 10% 20% 30% 40% 50% 60% 70% 81
- 83. L12: How would you rate your company's preparedness to responding to a legal, compliance or regulatory request for electronically stored information? Extremely confident 27% Somewhat confident 40% Neutral 15% Somewhat unsure 7% Extremely unsure 12% 0% 5% 10% 15% 20% 25% 30% 35% 40% 45% 83
- 84. 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? 90 80 81.78 70 60 50 40 30 20 10 5.0 0 Mean Median 84
- 85. 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? Completely 12% A lot 28% Neutral 25% Very little 31% Not at all 5% 0% 5% 10% 15% 20% 25% 30% 35% 85
- 86. 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) Completely fail to fulfill the request 10% Partially fail to fulfill the request 12% Successfully fulfill the request, slower than requestor would like 20% Successfully fulfill the request, timeframe acceptable to requestor 58% 0% 10% 20% 30% 40% 50% 60% 70% 86
- 87. 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) Completely fail to fulfill the request 4% Partially fail to fulfill the request 10% Successfully fulfill the request, slower than requestor would like 20% Successfully fulfill the request, timeframe acceptable to requestor 60% 0% 10% 20% 30% 40% 50% 60% 70% 87
- 88. L16: In those cases where you were either late, partially or completely unsuccessful, which of the following consequences did you experience as a result? Raised our profile as a potential litigation target 10% Sanctions by courts 12% Hampered ability to make decisions in a timely fashion 13% Damage to Enterprise reputation or embarrassment 20% Compromised legal position 22% Fines 23% 0% 5% 10% 15% 20% 25% 88
- 89. L17: What is the status of your formal information retention plan? Already implemented 32% Currently implementing 26% Discussion/Planning phase 36% No plan, no plans to create one 6% 0% 5% 10% 15% 20% 25% 30% 35% 40% 89
- 90. 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 100% 90% 27% 33% 80% 40% 70% 60% 36% 50% 39% 40% 39% 30% 20% 30% 24% 19% 10% 3% 6% 0% 1% 3% 1% 1% Compliance or legal personnel IT End users 90
- 91. L18: How well does each of these constituents understand your enterprise information retention plan? (Very good/Excellent understanding) End users 63% IT 78% Compliance or legal personnel 72% 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 91
- 92. L18: How well does each of these constituents understand your enterprise information retention plan? (No/Poor understanding) End users 7% IT 3% Compliance or legal personnel 4% 0% 5% 10% 15% 92
- 93. L19: Have you provided training on your enterprise information retention plan to each of these constituents? End users 78% IT 90% Compliance or legal personnel 90% 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% 93
- 94. 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 100% 90% 26% 31% 80% 38% 70% 60% 39% 50% 43% 40% 41% 30% 20% 29% 23% 10% 19% 2% 1% 6% 0% 2% 0% 1% Compliance or legal personnel IT End users 94
- 95. L20: How well do each of these constituents comply with your enterprise information management plan? (Very good/Excellent compliance) End users 64% IT 78% Compliance or legal personnel 74% 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 95
- 96. L20: How well do each of these constituents comply with your enterprise information management plan? (No/ Poor compliance) End users 7% IT 3% Compliance or legal personnel 3% 0% 5% 10% 15% 96
- 97. L21: Why don't you have any plans to implement a formal information retention plan? (Mark all that apply.) We don't have time 19% We lack the expertise to build such a plan 26% Nobody is chartered with that responsibility 32% We don't see a need for it 36% Cost 46% 0% 5% 10% 15% 20% 25% 30% 35% 40% 45% 50% 97
- 98. eDiscovery Legal Department 98
- 99. L22a: When you are implementing a legal hold, what actions do you take? (Email) Ask end user to copy files to new location 30% Solely rely on self-collection 30% Hybrid model of some automated lit hold and some user independent 31% Ask end user not to delete items 34% Enterprise search and collection tool 37% Ask IT to preserve entire backup set 44% IT uses automated archiving system to handle this 45% Ask IT to image the entire mailbox, directory, database, etc. 69% 0% 10% 20% 30% 40% 50% 60% 70% 80% 99
- 100. L22b: When you are implementing a legal hold, what actions do you take? (SharePoint) Solely rely on self-collection 27% Ask end user not to delete items 34% Ask end user to copy files to new location 34% Hybrid model of some automated lit hold and some user independent 34% Ask IT to image the entire mailbox, directory, database, etc. 36% IT uses automated archiving system to handle this 39% Enterprise search and collection tool 40% Ask IT to preserve entire backup set 51% 0% 10% 20% 30% 40% 50% 60% 100
- 101. L22c: When you are implementing a legal hold, what actions do you take? (Files and Documents) Solely rely on self-collection 30% Hybrid model of some automated lit hold and some user independent 33% Ask end user to copy files to new location 38% Ask IT to image the entire mailbox, directory, database, etc. 41% Ask end user not to delete items 42% Enterprise search and collection tool 43% Ask IT to preserve entire backup set 50% IT uses automated archiving system to handle this 51% 0% 10% 20% 30% 40% 50% 60% 101
- 102. L22d: When you are implementing a legal hold, what actions do you take? (Social Media) IT uses automated archiving system to handle this 23% Ask IT to preserve entire backup set 23% Hybrid model of some automated lit hold and some user independent 24% Ask end user to copy files to new location 24% Ask end user not to delete items 25% Ask IT to image the entire mailbox, directory, database, etc. 26% Solely rely on self-collection 27% Enterprise search and collection tool 34% 0% 5% 10% 15% 20% 25% 30% 35% 40% 102
- 103. L23: Are you aware of anyone within your organization that has been deposed around information management practices and technology? No 39% Yes 61% 103
- 104. L24: Have you identified an individual responsible for depositions concerning information management practices and technology? No 34% Yes 66% 104
- 105. L25: What percentage of information that is placed on legal hold is not specifically relevant for that litigation? 100% 90% 80% 70% 60% 50% 40% 30% 34% 26% 20% 10% 0% Mean Median 105
- 106. L26: What consequences have flowed from preserving more than you needed to? (Mark all that apply.) Information unintentionally made available for potential future litigation 16% Compromised litigation position 32% Risk that sensitive information may be disclosed 50% Increased collection, review, and analysis costs 57% Increased collection, review, and analysis time 63% 0% 10% 20% 30% 40% 50% 60% 70% 106
- 107. L27: Do you believe that proper information retention strategy/policy should allow you to delete information? No 15% Yes 85% 107
- 108. L28: How many days does it take IT to give the legal department information you need to make an early case assessment? 18 16 16.35 14 12 10 8 8.0 6 4 2 0 Mean Median 108
- 109. 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? Digital video files 20% Social media 22% Digital audio files 32% Digital photographs 33% Contents of individual hard drives 37% Instant messaging histories 37% Internet browser histories 41% SharePoint content 45% Spreadsheets 47% System or file backups 50% Word processing documents 54% Databases 58% Emails 80% 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 109
- 110. L30: How would you describe the importance of ESI in the legal matters you deal with? It has little impact on my everyday work 3% It's neither important nor unimportant 10% It's important, but dependent on the matter 51% It's critical to my everyday work 37% 0% 10% 20% 30% 40% 50% 60% 110
- 111. L31: In your experience, by what magintude has the amount of ESI relevant to your legal matters grown in the last five years? 100% 90% 80% 70% 60% 50% 40% 30% 32% 20% 25% 10% 0% Mean Median 111
- 112. L32: Does your organization make use of ESI in the following scenarios? Human resources investigations 76% Requests for information relating to criminal investigations 76% Requests for information relating to financial transactions/due diligence 78% To track internal compliance 79% Requests for information concerning litigation matters 82% Requests for information from external regulators 89% 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% 112
- 113. 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? No 17% Yes 83% 113
- 114. 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.) Lack of technology with intelligent and/or keyword search capabilities 20% Processing multimedia data 30% Insufficient people to investigate ESI thoroughly 41% Data supplied in obsolete or propietary file formats 42% Insufficient time permitted to investigate ESI thoroughly 49% The volume of ESI to be searched 58% 0% 10% 20% 30% 40% 50% 60% 70% 114
- 115. L35: Has a matter in which you have been involved ever been impacted, delayed or resulted in sanctions because of issues relating to ESI? Yes, within the past 3 months 26% Yes, within the past 6 months 22% Yes, within the past year 14% Yes, within the past 2 years 8% No 30% 0% 5% 10% 15% 20% 25% 30% 35% 115
- 116. L36: Have you ever been successful in a matter because of ESI identified and collected during an investigation that was later submitted as evidence? Yes, within the past 3 months 32% Yes, within the past 6 months 26% Yes, within the past year 19% Yes, within the past 2 years 10% No 14% 0% 5% 10% 15% 20% 25% 30% 35% 116
- 117. 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? Social media 1% Digital video files 1% Digital audio files 2% Digital photographs 3% The contents of individual hard drives 4% SharePoint content 5% Instant messaging histories 5% Internet browser histories 5% Spreadsheets 6% Word processing documents 7% System or file backups 11% Database 16% Emails 35% 0% 5% 10% 15% 20% 25% 30% 35% 40% 117
- 118. L38: What do you believe would alleviate the present challenges relating to ESI? Improvements to search technology used to identify, preserve and process ESI 13% Greater standardization of technology 17% Greater consistency of legislation relating to ESI at an international level 31% Better regulatory framework for dealing with ESI at a national level 39% 0% 5% 10% 15% 20% 25% 30% 35% 40% 45% 118