Market Overview: Information Archiving, Q2 2015

Transcription

1 For: Enterprise Architecture Professionals Market Overview: Information Archiving, Q by Cheryl McKinnon, May 12, 2015 Updated: May 20, 2015 KEY TAKEAWAYS Innovative Vendors Put Information Worker Requirements On The Road Map Laggard vendors focus on a traditional -- and narrow -- audience of archiving users. These include technology management pros as well as compliance, legal, supervision, and investigative roles. Innovative vendors invest in usability, social media connectors, mobile access, and improved search to serve the needs of business users. And Social Media Requirements Drives Adoption Of SaaS Alternatives Cloud providers are red hot as regulated industries, such as banking, address externallyimposed mandates to capture large swaths of content. Communication that is related to customers, whether in , instant message, or other social channels, is among the most heavily regulated content types, and remains a top target for automated archiving. Three Questions Will Help Navigate A Varied And Crowded Vendor Landscape Ask: What content types need to be captured? Is it time to look at a cloud provider? Who will be the audience for the archived content? This report covers comprehensive archive platforms, content archive solutions, and and messaging archive solutions. Related Forrester reports cover the social media and big data archiving vendor landscape. Forrester Research, Inc., 60 Acorn Park Drive, Cambridge, MA USA Tel: Fax:

2 MAY 12, 2015 UPDATED: MAY 20, 2015 Market Overview: Information Archiving, Q Innovative Vendors Move Beyond Just Compliance To Become Sources Of Insights And Corporate Memory by Cheryl McKinnon with Nick Hayes, Leslie Owens, Claire O Malley, and Shaun McGovern WHY READ THIS REPORT Enterprise architects, in many regulated industries, are refreshing their approach to information archiving. As newer, innovative vendors are assessed, enterprise architecture (EA) professionals must add new requirements to the product wish list. Archives are among the systems of record to be mined for business insights that provide sources of data, content, and customer communication. However, archiving technologies are often perceived as only serving the needs of back office, legal, or compliance roles. While this has historically been true, Forrester recognizes that some archiving vendors are transforming how these content repositories can be used. Forrester has assessed 31 archiving vendors in this market overview. Read this report to understand the vendor landscape and learn where the innovation is happening. Table Of Contents Archiving Use Cases Shift From Compliance To Sources Of Insights Discovery And Life-Cycle Management Still Persist As Requirements Vendor Landscape Varies: Understand Business And Governance Needs WHAT IT MEANS Archived Content Can Be Mined For Insights Supplemental Material Notes & Resources Forrester interviewed 31 vendor and user companies, including Actiance, CommVault, EMC, HP, Microsoft, Mimecast, Smarsh, and ZL Technologies. Related Research Documents Archiving Platforms Evolve Into Sources Of Insight And Corporate Memory Market Overview: Social Media Archiving Reboot Your Information Governance Program With An Outside-In Perspective 2015, Forrester Research, Inc. All rights reserved. Unauthorized reproduction is strictly prohibited. Information is based on best available resources. Opinions reflect judgment at the time and are subject to change. Forrester, Technographics, Forrester Wave, RoleView, TechRadar, and Total Economic Impact are trademarks of Forrester Research, Inc. All other trademarks are the property of their respective companies. To purchase reprints of this document, please clientsupport@forrester.com. For additional information, go to

3 Market Overview: Information Archiving, Q ARCHIVING USE CASES SHIFT FROM COMPLIANCE TO SOURCES OF INSIGHTS Enterprise architecture professionals are looking for opportunities to accelerate their move to a business technology (BT) agenda. This agenda includes software, cloud services, mobile devices, and apps, and the supporting contextual and infrastructure services that help organizations win, serve, and retain customers. 1 Archiving deployments today are ripe targets within broader infrastructure refresh programs. Legacy deployments that are slow, inflexible, and have high administrative overhead are ready to be replaced with modern architectures, faster search, and fresher licensing models. Rigid Focus On Cost Cutting And Compliance Narrows Today s Archiving Strategies Archiving platforms, like enterprise content management (ECM) and other repository systems, serve as essential systems of record, providing the infrastructure and context services for the information that fuels core business mission. 2 Documents chronicle organizational business decisions and relay this information in easy-to-read formats. Whether your core business mission is revenue growth, improved compliance with laws and regulations, or a laser focus on customer retention and service, business continuity depends on secure retention and preservation of content. Currently, many archiving programs serve traditional IT or compliance use cases. These conventional programs are: Driven by senior technology management executives. Forty-three percent of surveyed archiving decision-makers named the CIO or CTO as their key executive sponsor for their archiving program. Line-of-business managers, corporate general counsels, and other C-level and executive sponsors were named by 24% of survey respondents. No C-level or senior executive support was reported by 22% of archiving program leaders (see Figure 1). 3 Still implemented predominantly on-premises. Despite the competitive and growing market of software-as-a-service (SaaS) archiving providers, 43% of archiving decision-makers still claim to have a strategy to centralize on a single on-premises archiving solution. A further 20% expect to implement tactical point solutions for specific sources (such as , SharePoint, enterprise resource planning [ERP] systems, etc.). Only 7% are working toward a single cloud, hosted, or SaaS solution. 4 The single repository for , but more fragmented for other content sources. Archiving program leaders largely centralize platforms for and message capture, with 74% reporting that they use just one solution for this content. This is in marked contrast to the approach taken to archiving content or document sources, where only 38% report using one solution. Twenty-one percent report using two solutions, with 27% reporting three or more solutions in use (see Figure 2). 5

4 Market Overview: Information Archiving, Q Governed centrally. Sixty-two percent of archiving technology managers report that decisions about deployment and business rules are made centrally. A further 17% report more of a federated approach (with some decisions made centrally, but executed in business units or regions), with 11% describing their governance approach as decentralized (most decisions made in business or regional units). 6 Figure 1 Technology Executives Are Key Sponsors Of Archiving Programs Who is the key executive sponsor for your ECM or information archiving program? (Archiving) Don t know 12% Neither C-level nor senior executive sponsor 22% CIO, CTO, or senior most IT decision-maker 43% Other C-level or executive sponsor 24% Base: 60 ECM and archiving professionals (percentages do not total 100 because of rounding) Source: Forrester s July 2014 Global Enterprise Content Management And Archiving Online Survey Source: Forrester Research, Inc. Unauthorized reproduction, citation, or distribution prohibited.

5 Market Overview: Information Archiving, Q Figure 2 Archiving Strategies Are Likely To Be Centralized How many ECM and archiving solutions are currently utilized by your firm? ( /message archiving solutions) One 74% Two 9% Three Four or more 4% 2% Don t know 11% Base: 53 ECM and archiving professionals How many ECM and archiving solutions are currently utilized by your firm? (Content/document archiving solutions) One 38% Two 21% Three Four or more Don t know 14% 13% 14% Base: 56 ECM and archiving professionals Source: Forrester s July 2014 Global Enterprise Content Management And Archiving Online Survey Source: Forrester Research, Inc. Unauthorized reproduction, citation, or distribution prohibited.

6 Market Overview: Information Archiving, Q Access To Archived Content And Customer Communication Opens New Opportunities Innovative archiving vendors are investing in capabilities that open access to archived information to a broader set of stakeholders. They recognize business users as consumers of archived content, in addition to traditional technology and compliance management roles. Search, analytics, and mobile access are key areas of archive innovation. Connectors for cloud and social apps are also hallmarks of archiving vendors pushing the envelope of communication capture. 7 Speed is a feature. Differentiators also include investments that improve performance, particularly for vendors that build response times into their service-level agreements (SLAs). 8 Bold EA pros can address business needs with enhanced archiving platforms by: Providing business users with easier access to customer communication and content. Regulated businesses, such as banks, frequently archive incoming and outgoing client communication automatically. Proactive monitoring and scanning of for non-compliant content happens transparently, allowing busy professionals to access directly from the archive, often with no impact to productivity. Automated categorization can ensure communication to or from particular contacts are handled consistently, and easily retrieved. Extending consistent information governance policies to more content types. Archiving vendors are moving far beyond capture, allowing consistent application of retention, disposition, security, or other policies to multiple content types. Connectors to messaging, social media, collaboration, or file shares enables risk management roles to be assured that appropriate guardrails protect corporate content. 9 Identifying patterns of behavior to either emulate or eliminate. Historical content may be a rich source of data to nourish systems of insights. Customer or product intelligence is often locked away in or other documents produced by knowledge workers. Text analytics can find and extract corporate memory to enrich data mining initiatives. Alternatively, risk and compliance officers can mine legal hold or use supervision capabilities to proactively detect employee behavior that will result in complaints or lawsuits. 10 DISCOVERY AND LIFE-CYCLE MANAGEMENT STILL PERSIST AS REQUIREMENTS ECM and archiving professionals rate search, along with retention and disposition management, as the most important capabilities needed in an archiving solution (see Figure 3). 11 Search is the basis for key use cases including location of key content by business users, as well as the identification, collection, preservation, and analysis phases of investigative processes (e.g., ediscovery, internal investigations, and responses to external regulatory requests.)

7 Market Overview: Information Archiving, Q Figure 3 Search And Life-Cycle Management Top The List Of Essential Archiving Capabilities Please prioritize the following list of information archiving components from most important to least important to deliver to your organization. Least important (8, 9, 10) Most important (1, 2, 3) Search 8% 57% Retention and disposition management Connectors for on-premises content storage (file shares, SharePoint, and ECM) ediscovery Automated capture Legal hold Encryption Storage device management Connectors for cloud or SaaS content storage (public cloud, file sync-share, and Office 365) Content analytics 47% 19% 17% 32% 25% 30% 32% 28% 30% 57% 43% 32% 32% 30% 28% 23% 23% 17% Base: 53 ECM and archiving professionals (Not all response options shown) Source: Forrester s July 2014 Global Enterprise Content Management And Archiving Online Survey Source: Forrester Research, Inc. Unauthorized reproduction, citation, or distribution prohibited.

8 Market Overview: Information Archiving, Q Enforce Policies Consistently Across Diverse Content Types While search delivers value to both business and technology roles, other key archiving capabilities help technology managers fulfill their obligations to enforce policies. Support for legal and compliance teams during investigations and ediscovery, and the timely disposal of obsolete information, are also top drivers for investment. In fact, archive platforms are supplementing and in some cases, supplanting investments in records management systems. So key archiving capabilities now include: Retention and disposition management. Records and information management professionals lead the charge in the development of retention schedules for enterprise information. 12 Regulated industries, in particular, will have externally-imposed obligations to keep , documents, and other forms of business records. For example, an energy company may need to keep plant documentation for the life of the facility, plus 10 years. Deletion or destruction practices may also be mandated to ensure controlled information, such as financial data, personally-identifiable information (PII), or patient records are expunged in a manner that ensures the data cannot be reconstructed. Integrations and connectors to diverse content sources. Many incumbent archiving platforms were architected for . Technology managers, however, now value platforms that can connect to a broad range of content sources. Ingestion of content in native format, instead of being converted to an paradigm, is becoming important to preserve context. 13 Cloud content sources, however, do not rate as highly yet. Archiving decision-makers listed connectors for cloud content, such as file sync-and-share providers or Office 365, as the lowest priority for their archiving platform. Forrester expects this prioritization to shift as SaaS rises in adoption. Support for ediscovery and legal holds. Compliance and governance of content has long been a driver for information archiving adoption. , content, and data need to be easily located in order to respond to requests from legal counsel or regulators. This means search and analytics are essential. ECM systems, , file shares, and on-premises line-of-business applications are among the top targets for investigations and discovery (see Figure 4). Legal hold capabilities ensure that items that are potentially relevant to a case are not deleted or altered. Some archiving platforms have advanced legal hold communication management capabilities to manage the identification of custodians and correspondence workflows. 14 Automated capture of from an expanded range of providers. still remains a top target for ediscovery and investigations. One-third of archiving decision-makers named automated capture as highly important to their organization. 15 As adoption of cloud-based , such as Exchange Online or Gmail, gain corporate traction, archiving vendors keep pace. Vendors may offer options to archive s from an inbox based on rules after a period of time, or if tagged or saved into a particular folder, or to capture directly from the server as it comes into or out of the enterprise. The latter option is often used by highly regulated firms, such as banks or investment companies that are subject to regulations for customer communications. 16

9 Market Overview: Information Archiving, Q Figure 4 Documents And Are The Top Targets For Investigation And Discovery From regulatory, investigative, and ediscovery perspectives, how important are the following content types applications for your organization? Not at all important Somewhat unimportant Somewhat Important Very Important Document management/ecm 2% 27% 67% Line-of-business applications on-premises (e.g., ERP or CRM) File systems/shared drives 2% 5% 3% 5% 3% 26% 32% 35% 61% 50% 45% Physical/paper records Databases 3% 9% 5% 3% 35% 21% 36% 50% Desktops/laptops 5% 6% 27% 38% Intranets Line-of-business applications, cloud, or SaaS (e.g., expense management andhr/talent management) Mobile devices or data (smartphones or tablets) 7% 14% 14% 14% 5% 11% 29% 27% 38% 17% 38% 15% Public websites 9% 18% 20% 33% Big data sources 12% 11% 24% 20% Cloud-based file sharing and collaboration 18% 8% 26% 17% Social media (e.g., Facebook, LinkedIn, and Twitter) 12% 26% 23% 9% Instant messages 15% 21% 25% 6% Voic 20% 17% 21% 2% Base: 66 ECM and archiving professionals (Not all responses shown) Source: Forrester s July 2014 Global Enterprise Content Management And Archiving Online Survey Source: Forrester Research, Inc. Unauthorized reproduction, citation, or distribution prohibited.

10 Market Overview: Information Archiving, Q VENDOR LANDSCAPE VARIES: UNDERSTAND BUSINESS AND GOVERNANCE NEEDS EA pros must ask three questions when looking at new archiving platforms: What content types need to be captured? Is it time to look at a cloud provider? Who will be the audience for the archived content? These questions will help set up a decision path to navigate a varied and crowded market (see Figure 5). Requirements to archive and search a range of broad information types will drive a different vendor short list rather than requirements focused more narrowly on compliance-driven supervision. EA pros should elicit input from line-of-business users who create and use this static content, in addition to legal and compliance teams, in order to make the right decision (see Figure 6). Figure 5 Archive Vendors May Be Point Solution Specialists Or May Connect To Multiple Sources Sources for a comprehensive archive Archiving point solutions and messaging Comprehensive archiving platforms Ingest from multiple sources and information types Databases Content/ documents Social media ERP/line-ofbusiness applications Web content Source: Forrester Research, Inc. Unauthorized reproduction, citation, or distribution prohibited.

11 Market Overview: Information Archiving, Q Figure 6 List Of Vendors Assessed In This Market Overview Vendor name Actiance ASG AvePoint BAE Systems Applied Intelligence (formerly SilverSky) Barracuda Networks Bloomberg Product(s) Actiance Alcatraz Platform ASG ViewDirect Suite (includes ASG-Mobius Luminist and other modules) (distributed) (mainframe) DocAve Archiver 6.4, AvePoint Compliance Guardian 3.2 SilverSky Archive Barracuda Message Archiver, Barracuda ArchiveOne Bloomberg Vault, Bloomberg Vault File Analytics, Bloomberg Gateway Deployment options Pricing model Multitenant Per user per cloud, dedicated month or private cloud on-premises, or through Managed Service Providers (MSPs) On-premises On-premises SaaS only On-premises, or SaaS through managed service provider (MSP) partners; ArchiveOne via private or public cloud SaaS offering, cloud repository, and file analytics module installed on-premises Server based plus sessionbased (concurrent users) DocAve Archiver per SharePoint server; compliance Guardian per server, per agent, or per user Per user per month Top markets & verticals North America and Europe Financial services, energy, and healthcare North America and Europe Financial services, government, and healthcare North America, Europe, and APAC Financial services, government, and healthcare ArchiveOne North America and Enterprise Europe and Advanced Discovery Government, medical, per-mailbox, and financial services ArchiveOne Enterprise files by storage volume Not disclosed North America Financial services and healthcare North America, Europe, and Middle East Financial services, insurance, and energy Key buyers Senior technology managers, general counsel, CISO, or chief of compliance C-level roles (CEO, CMO, COO, CIO, and CTO) and VPlevel line-ofbusiness managers (VP of operations and VP of technology) SharePoint administrators, CIOs, and records managers CIO, CISO, and compliance officers Director of IT and general counsel CTO, chief compliance officer, and general counsel Source: Forrester Research, Inc. Unauthorized reproduction, citation, or distribution prohibited.

12 Market Overview: Information Archiving, Q Figure 6 List Of Vendors Assessed In This Market Overview (Cont.) Vendor name CommVault Simpana 10 On-premises, CommVault cloud services, and hybrid options Daegis Product(s) Daegis AXS- One Archive Deployment options On-premises or cloud (public or hosted) Pricing model Per-mailbox for , by storage capacity for other sources Per mailbox or GB per month depending on data source Top markets & verticals North America and Europe Government, education, healthcare, financial services, and manufacturing North America, Europe, and APAC Financial services, healthcare, and manufacturing Key buyers C-level technology roles, compliance, general counsel, risk, and security CIO, CCO, general counsel, and records management EMC SourceOne, InfoArchive SourceOne: Onpremises or terabyte Per-user or by managed service via outsourcing partners InfoArchive: Onpremises, or managed service in customer, partner or EMC data centers North America, Europe, and APAC Financial services, telecom, and manufacturing CIO, chief compliance officers, and VP of records Erado Message Control Solutions Element Compliance Platform 8.5 SaaS, multi-tenant, or private tenant, via public or private cloud Per user, per content type, or per month North America and Europe Financ publicly traded companies, and healthcare CIO, chief compliance officer, CFO, CMO, and individual insurance advisors/agents Global Relay Communications Global Relay Archive & Compliance Reviewer SaaS, delivered via private cloud in Global Relay data centers Per user or per month: stand-alone or bundled content types North America and Europe Finance, publicly traded companies, and healthcare CIO, CCO, general counsel, C-Level technology roles, security Source: Forrester Research, Inc. Unauthorized reproduction, citation, or distribution prohibited.

13 Market Overview: Information Archiving, Q Figure 6 List Of Vendors Assessed In This Market Overview (Cont.) Vendor name HP IBM Metalogix Product(s) HP Digital Safe, HP Consolidated Archive (HPCA), HP Structured Data Manager 7.2 (HP SDM) IBM Content Collector 4.0 Metalogix Archive Manager Exchange Edition, Files Edition, SharePoint Edition, Metalogix StoragePoint Microsoft Exchange 2013, Exchange Online, SharePoint 2013, SharePoint Online, Lync Online, Office 365 Deployment options HP Digital Safe is private cloud or as managed service in client data center. HPCA is onpremises ICC available onpremises, in IBM Smartcloud public cloud, or as managed service in private cloud or data center On-premises, also virtual private cloud on Amazon Web Services or MS Azure On-premises or Cloud and Hybrid with Office 365 Pricing model Digital Safe as either per mailbox per month, or volume based (per GB per month), plus set up fee. HPCA is per mailbox for and by volume for other content; additional costs for ediscovery and supervision modules. archiving per mailbox, SharePoint and file archiving per processor; perpetual and fixed-term licensing available Per mailbox for ; volume for files and number of web front ends for SharePoint Top markets & verticals North America, EMEA, and Asia Pacific Financial services, legal, and government North America and Europe Financial services, government, and biotech/medical North America and Europe technical, education, and healthcare Key buyers CIO, director of IT, general counsel, chief compliance officer, VP of risk, and VP of information management CIO and general counsel CIO, CTO, CEO, IT director, and exchange administrator Per user Not disclosed Not disclosed Source: Forrester Research, Inc. Unauthorized reproduction, citation, or distribution prohibited.

14 Market Overview: Information Archiving, Q Figure 6 List Of Vendors Assessed In This Market Overview (Cont.) Vendor name Mimecast OpenText Proofpoint Smarsh Product(s) Mimecast Enterprise Information Archive, File Archive, Lync IM Archive, SharePoint Archive, Journal Archive for Office 365, Mimecast Archive OpenText Content Suite, OpenText Archive, Management, Auto- Classification, Early Case Assessment, OpenText Integration Center, Extended ECM for SAP, and Oracle 10.5 Proofpoint Enterprise Archive , Proofpoint Enterprise Governance 19.8, Proofpoint Enterprise Collaboration Archiving, Proofpoint Content Control The Archiving Platform Deployment options SaaS, sole, and hybrid options On-premises, managed hosted service, or SaaS SaaS via Proofpoint managed data centers SaaS only Pricing model Per user per year; file archiving priced per GB OpenText Archive by named user, server and volumebased, or transaction based; perpetual or subscription licensing available Per mailbox Per seat (mailbox, user, or account), per month; annual contract Sonian Sonian SaaS only Per user, per month Top markets & verticals Europe and North America Manufacturing, technical, financial, and legal North America, Europe, and Asia Pacific Telecom/Internet companies, financial services, government, manufacturing, and technology North America and Europe Financial services, healthcare, and manufacturing/ technology North America and Europe Financial services and government North America and Europe Retail, government, and professional services Key buyers CIO, CISO, CFO, and technology manager CIO, SVP of compliance, chief information governance officer, and VP of IT IT or messaging executives roles in conjunction with legal and compliance roles Chief compliance officer, CIO, CTO, or general counsel CEO, technology managers, legal, or compliance officers Source: Forrester Research, Inc. Unauthorized reproduction, citation, or distribution prohibited.

15 Market Overview: Information Archiving, Q Figure 6 List Of Vendors Assessed In This Market Overview (Cont.) Vendor name Symantec Enterprise Vault EV.cloud Enterprise Vault: on-premises or hybrid EV.cloud: public cloud or hybrid Viewpointe OnPointe Managed service in private cloud ZL Technologies Product(s) ZL Unified Archive Deployment options On-premises or cloud Hosted managed services via partners Pricing model Enterprise Vault: for per mailbox; capacity model for files and SharePoint content; EV.cloud: per mailbox per month Tiers based on volume, per-user, and per-month Per mailbox/ user for ; file archiving by storage Top markets & verticals North America, Europe, and Asia Pacific Manufacturing/ technical, financial services, and government North America Financial services and insurance North America, Japan, and Europe Financial services, pharmaceutical/ biotech, and manufacturing Key buyers VP/director of IT, CIO, general counsel, and records manager CIO, senior technology manager, senior compliance, legal, and finance officers CEO, CIO, chief compliance, or risk officers Source: Forrester Research, Inc. Unauthorized reproduction, citation, or distribution prohibited. Social Media Specialists Help Regulated Industries Embrace Customer Experience Social media and mobile communications are now commonly treated as any other channel, such as , but their dynamic format creates headaches trying to properly ensure authenticity and preserve context. Social archiving vendors look to help meet these emerging challenges by offering direct capture of social posts, full recreation of metadata, unified archiving platforms, and a slew of vendor partnerships. Social channels are a growing gap in many EA and compliance pros information governance and ediscovery strategies. 17 Key vendors addressing this social media governance gap include: Actiance, ArchiveSocial, Bloomberg, Erado Message Control Solutions, Global Relay Communications, Hearsay Social, Integritie, Netbox Blue, Proofpoint, Smarsh, Social SafeGuard, Socialware.com, and SunGard. A deeper analysis of this segment of the archiving market can be found in Market Overview: Social Media Archiving. 18

16 Market Overview: Information Archiving, Q And Messaging Specialists Provide Cost-Effective Compliance With SaaS Forrester has surveyed 8 vendors on their archiving and supervision capabilities (see Figure 7). Several of these vendors also have connectors to support archiving files, social media, or from SharePoint and other content management systems. Vendors offering SaaS or other cloud-based managed services are quickly gaining traction, serving the needs of regulated industries, such as financial services. Key requirements are to capture, archive, supervise, and preserve customer communication. and messaging specialist archiving vendors include: BAE Systems Applied Intelligence (formerly SilverSky). BAE Systems Applied Intelligence recently acquired SilverSky. It supports life-cycle management, including legal holds, and offers write once, read many (WORM) compliance storage to meet the needs of regulated industries. Full text and metadata searches allow search across more than 500 file types. Classification and collection of items can be automated using predefined saved queries (for example, by sender, by keyword, or by business unit) to support discovery and investigative use cases. Business users can use the archive anywhere feature to access archived content from an MS Outlook client or mobile device. The web user interface uses responsive design for mobile users. The FolderSync feature can replicate an end user s MS Outlook folder structure to encourage adoption. Barracuda Networks. Well-known as an and message archiving appliance provider, with Barracuda Message Archiver, Barracuda has evolved its product offering via its acquisition of vendor C2C in Barracuda ArchiveOne (rebranded from C2C) extends archiving capabilities to file shares and SharePoint sites. The ArchiveOne information management module, called Advanced Discovery extends discovery capabilities to allow auditable in-place legal holds and disposal actions for items stored outside the archive repository. Content is indexed to allow both full-text and metadata search via Outlook, Web, or administrative user interfaces. Enterprises with data sovereignty requirements can use metadata-driven policies to determine archiving to a specific repository. Bloomberg. Bloomberg Vault archives a range of content sources beyond its own native messaging platform, providing supervision and compliance monitoring for predominantly financial services firms. ediscovery requirements for legal holds, collection, retrieval, tagging, and first-pass reviews are supported. Full text and metadata search is supported for over 400 file types, as is search based on message senders, communication direction (from A to B), or time slices across days. End users can search their own personal vault via Outlook. A policy engine processes archived data through pre-defined policies that administrators can customize. These rules can detect potential violations related to compliance, employee behavior, security, or PII. EMC (SourceOne). SourceOne is EMC s on-premises offering to meet specific and message archiving for regulated industries, with supervision capabilities to sample and review communication based on a lexicon of terms. File and SharePoint archiving are also supported, with integration to Documentum RM that provides life-cycle management. Instant messages are ingested in format by default, though native format is supported via third party tools,

17 Market Overview: Information Archiving, Q such as Actiance. Archived items can be directed into specific folders to support legal holds or directed into user-defined folders. Analysis of metadata during ingestion can determine content type and direct the item to the appropriate archive folder. Erado Message Control Solutions. The cloud-based Element Compliance Platform archives a broad range of , social media, website, and message sources, and provides policy-driven supervision and surveillance capabilities for both inbound and outbound communication. Items are archived in.eml format. Full text indexing allows users to search metadata and content, including attachments. Mobile search is supported. Archived data is encrypted via AES 256 at disk and database levels. Mimecast. Mimecast s cloud-based archiving platform supports a range of and message sources, with particular depth across the Microsoft stack. Legal holds include dynamic holds that extend to newly archived content. Life-cycle rules can ensure items are effectively destroyed at the end of a retention period, with perpetual retention as a default. Items are indexed upon archiving, supporting Boolean, natural language or proximity searches for metadata, content, or attachments. Mimecast can provide a search for SLA for search response times. An integrated gateway service enables detection of sensitive content such as health (PHI), credit card, or other PII in content. Data centers in North America, Europe, or offshore and rules for data storage and infrastructure management support data sovereignty requirements. Users can search and view their data via an app for major mobile platforms. Native apps are available for Android, ios, BlackBerry, and Windows Phone. Sonian. Sonian s cloud-based archiving product pro provides immutable WORM storage, search, and data encryption in transit and at-rest. Sonian s default retention is to keep everything, but customers can choose to establish alternative retention periods. Legal holds are supported, though currently multiple holds per item are not available. Sonian uses Elastic Search to support customers needing to query millions of records within seconds. Content can be filtered, tagged, and exported as PST, EML, NSF, PDF, HTML, or TXT files. Users can search their own content using the MyArchive web user interface. Sonian leverages Amazon, IBM SoftLayer, and Micrsoft Azure cloud infrastructures.

18 Market Overview: Information Archiving, Q Figure 7 Vendor Support For Archiving And Supervision IBM Notes (formerly Lotus Notes)/Domino Other systems Supervision supported Exchange Online MS Exchange Vendor name Groupwise Product Gmail Actiance ASG AvePoint BAE Systems Applied Intelligence (formerly SilverSky) Barracuda Networks Bloomberg Actiance Alcatraz Platform ASG-ViewDirect Suite DocAve Archiver, AvePoint Compliance Guardian SilverSky Archive Barracuda Message Archiver, Barracuda ArchiveOne Bloomberg Vault, Bloomberg Vault File Analytics, Bloomberg Gateway CommVault Simpana 10 Daegis Daegis AXS-One Archive EMC EMC SourceOne, EMC InfoArchive Partial Erado Message Control Solutions Element Compliance Platform Source: Forrester Research, Inc. Unauthorized reproduction, citation, or distribution prohibited.

19 Market Overview: Information Archiving, Q Figure 7 Vendor Support For Archiving And Supervision (Cont.) IBM Notes (formerly Lotus Notes)/Domino Other ssystems Supervision supported Exchange Online MS Exchange Vendor name Groupwise Product Gmail Global Relay Communications HP Global Relay Archive 10.3 HP Digital Safe, HP Consolidated Archive 8.0.1, HP Structured Data 7.2 (HP SDM) IBM IBM Content Collector 4.0 Third party Metalogix Metalogix Archive Manager Exchange Edition, Metalogix StoragePoint Microsoft Exchange 2013, Exchange Online, Office 365 Third party Third party Partial Mimecast Mimecast Enterprise Information Archive, Journal Archive for Office 365, Mimecast Archive Partial OpenText OpenText Archive, Management 10.5 Source: Forrester Research, Inc. Unauthorized reproduction, citation, or distribution prohibited.

20 Market Overview: Information Archiving, Q Figure 7 Vendor Support For Archiving And Supervision (Cont.) IBM Notes (formerly Lotus Notes)/Domino Other systems Supervision supported Exchange Online MS Exchange Vendor name Groupwise Product Gmail Proofpoint Proofpoint Enterprise Archive , Proofpoint Enterprise Governance 19.8, Proofopint Content Control Smarsh The Archiving Platform Sonian Sonian 3.50 Symantec Enterprise Vault v11, Enterprise Vault.cloud Viewpointe ZL Technologies OnPointe ZL Unified Archive 8.0 Source: Forrester Research, Inc. Unauthorized reproduction, citation, or distribution prohibited. Content Specialists Target SharePoint And ECM Sources ECM systems, including Microsoft SharePoint, and related platforms for case and customer communication management are high targets of ediscovery and investigation efforts. 19 Enterprise architects who manage ECM and related applications can use archiving as a logical step in the content life cycle, enforcing policies and reducing the storage burden of mature deployments (see Figure 8). Forrester has assessed four vendors that address the content archiving use case. Vendors with strengths in content sources include: ASG. The ASG-ViewDirect Suite archives from mainframe and distributed systems, ECM systems (including SharePoint), and its own technologies, such as ASG-Cypress. ASG supports the content management interoperability services (CMIS) standard. 20 Records management is provided via ASG-RMHub for retention and disposition policies. The ViewDirect Reports

21 Market Overview: Information Archiving, Q module provides reports to help optimize storage and capacity planning. Users can search for content or access via Folder Services to present a corporate navigation scheme. Virtual folders can be dynamic, using metadata and allowing multiple views without duplicating information. The Luminist ipad app supports touchscreen operation, browse, and search. Users can favorite routinely run queries or frequently used items to enhance productivity. AvePoint. AvePoint provides governance tools for SharePoint, file shares, Box, Dropbox, and other on-premises and cloud-based document stores. Compliance Guardian provides supervision for archived content, quarantining items that violate policies, and provides administrators with incident management tools. Documents can be marked as records in-place for SharePoint 2010 and 2013 with the DocAve Archiver module. Archiving, retention, and disposition processes can be automated with rules and policies defined by authorized roles. Users can initiate archiving of obsolete content to keep production SharePoint sites optimized. Legal holds are supported with the DocAve ediscovery module, along with full-text search of archived and SharePoint content. Metalogix. The Metalogix Archive Manager products support single-instance archiving from the Microsoft stack, such as MS SharePoint, Office 365, and Exchange, among other ECM and messaging systems. Policies to monitor sensitive communications can be established, providing alerts and reports to compliance teams. Retention policies allow purge jobs to be established, removing content that meets its expiration date. Authorized users can extend retention periods as needed. Legal holds are supported, based on custodian name or mailboxes. Granular recovery of archived items is available for site collections, sites, lists, documents, and folders in SharePoint. Metalogix s infrastructure-as-a-service (IaaS) and SaaS offerings can be accessed via data centers in five continents. Microsoft. Microsoft leads the pack for mindshare among archiving decision-makers. 21 Archiving needs specific to the on-premises or cloud Microsoft stack (for Exchange, SharePoint, and Skype for Business) can leverage native Microsoft capabilities. Partners, such as Globanet, provide connectors to archive content from other providers. Basic supervision is supported via transport rules to block or notify administrators of usage violations. DLP capabilities allow the identification of sensitive documents. Policies can block items that meet the DLP criteria. SharePoint archiving is supported via the in-place hold or records management feature. ediscovery and legal hold actions can be performed via the ediscovery center for Exchange, SharePoint, and Skype for Business content. Legal holds can be released via time-based policies or manually.

22 Market Overview: Information Archiving, Q Figure 8 Vendor Support For Content Management And Other Enterprise Applications Vendor name Product File shares Actiance ASG AvePoint BAE Systems Applied Intelligence (formerly SilverySky) Barracuda Networks Bloomberg Actiance Alcatraz Platform ASG-ViewDirect Suite DocAve Archiver, AvePoint Compliance Guardian SilverSky Archive Barracuda Message Archiver, Barracuda ArchiveOne Bloomberg Vault, Bloomberg Vault File Analytics, Bloomberg Gateway MS SharePoint SAP Messaging platforms CommVault Simpana 10 Via third party Daegis Daegis AXS-One Via third party Archive EMC EMC SourceOne, EMC InfoArchive ECM systems Erado Message Control Solutions Global Relay HP Element Compliance Platform 8.50 Global Relay Archive 10.3 HP Digital Safe, HP Consolidated Archive 8.0.1, HP Structured Data 7.2 (HP SDM) Source: Forrester Research, Inc. Unauthorized reproduction, citation, or distribution prohibited.

23 Market Overview: Information Archiving, Q Figure 8 Vendor Support For Content Management And Other Enterprise Applications (Cont.) Vendor name Product File shares MS SharePoint SAP Messaging platforms ECM systems IBM IBM Content Collector 4.0 Via third party Metalogix Metalogix Archive Manager Exchange, Metalogix StoragePoint Microsoft Exchange 2013, Exchange Online, Office 365 Mimecast Mimecast Enterprise Information Archive, Journal Archive for Office 365, Mimecast Archive OpenText OpenText Archive, Management 10.5 Via third party Proofpoint Proofpoint Enterprise Archive , Proofpoint Enterprise Governance 19.8, Proofpoint Content Control Smarsh The Archiving Platform Sonian Sonian 3.50 Symantec Enterprise Vault v11, Enterprise Vault.cloud Viewpointe OnPointe ZL Technologies ZL Unified Archiving Source: Forrester Research, Inc. Unauthorized reproduction, citation, or distribution prohibited.

24 Market Overview: Information Archiving, Q Comprehensive Archive Platforms Must Serve Use Cases Beyond Compliance EA pros that need to archive a broad swath of enterprise content, while meeting life-cycle, security, and discovery requirements, can look at a set of vendors with a comprehensive connector strategy. These vendors, including the 10 surveyed by Forrester, support not only and messaging systems but a diverse set of content, social, and data sources. These comprehensive archiving platforms are often established on-premises offerings, but several also offer the managed services that regulated industries may require. Vendors include: Actiance. The Actiance Alcatraz archiving platform is a new offering from a veteran in social media/messaging compliance. Actiance licenses its social monitoring and messaging tools to many other archive vendors. Alcatraz includes supervision capabilities, data loss prevention (DLP) blocking, reporting, and starter templates, and will monitor and flag inappropriate communications. Guided navigation helps supervisors see how conversations evolve over periods of time, even across channels. Role-based administration allows technology managers to configure capabilities for: cases (for legal holds, tagging, and investigations), system administration (user/group management and logging), and archive management (sources, WORM storage, retention and disposition policies, logging, and reporting). Data centers are currently in the USA, with future plans for Canada and the UK/Ireland. CommVault. CommVault Simpana can be deployed on-premises or via managed service providers. The ContentStore logical repository serves archiving, backup, and restoration use cases. The content-based retention capability allows life-cycle management policies to be driven by metadata and content types. Legal holds are managed in a compliance console using criteria, such as custodian, keywords, or properties, to freeze items. Search allows users to query metadata or full-text. Faceted navigation helps users move through result sets based on item properties. Users can query via a web interface or Outlook. A mobile app lets users access content in the repository using tablets or smartphones. Daegis. Daegis AXS-One supports archiving of and messaging, social media, file shares, SharePoint, and document collaboration sites. SAP archiving is supported via integration with SAP Archive Link. Supervision includes parameters for message type, scope (inbound or outbound), or keywords. Random sampling is supported, and review and escalation processes can be defined. Legal holds, including a custodian notification process, is part of a case management module, can be applied through search criteria or global parameters. A workflow-driven retention manager supports life-cycle management of all archived data, and disposition rules are supported, with destruction that can happen automatically or after a review process. Search is based on Apache Lucene, supporting metadata and full-text query options. Application decommissioning use cases allow legacy data to be archived in a data format, such as XML. Deployments can be on-premises or via cloud. Hosting is available in US data centers, with additional jurisdictions per customer need.

25 Market Overview: Information Archiving, Q EMC (InfoArchive). Launched in 2014, InfoArchive is EMC s offering for data, content, and application archiving. Legacy applications decommissioning is a key use case, allowing the archived historic information to be accessed via new applications. The XML-based architecture allows archiving of structured data and diverse content types, including rich media. Archived items are read-only to support immutability requirements. Optimized for EMC storage, InfoArchive also supports a range of disk storage devices. Search capabilities (based on XQuery) allow queries across diverse data types content as well as structured data. Content and its metadata can be viewed as it was ingested, preserving context and assisting with the reconstruction of transactions (such as financial trading). InfoArchive meets the long-term preservation requirements of the Open Archival Information Standard (OAIS). Global Relay Communications. The Global Relay Archive supports numerous and messaging sources, and offers clients options for dealing with the challenge of searching encrypted items. Companies operating in jurisdiction with data privacy laws can enable tagging of personal items to reduce risk of violations. Granular retention policies can accommodate for content subject to different life-cycle rules across different jurisdictions. Certificates of destruction are available to assure that disposal is performed. ediscovery and supervision capabilities are provided. Legal holds can be applied to items dynamically, based on custodian (including user aliases), domains, cases, or other criteria, and items can be held in real-time. Search supports queries based on metadata, properties, communication types, and full-text. Mobile apps allow users to access content via iphone, ipad, Android, or BlackBerry devices. Archived content is encrypted in transit and at rest. HP. HP s Digital Safe is a cloud-based archiving solution. HP also offers products for structured data (HP Structured Data Manager) and on-premises archiving (HP Consolidated Archive). An optional supervision and surveillance engine scans and detects potential compliance issues across , messaging, voice, and social media item types. WORM storage is supported for immutability and SEC 17a-4 compliance. Retention, disposition, and legal holds can be assigned to users, groups, or folders. Holds can be dynamic as new content-meeting-specific criteria are archived. Advanced ediscovery capabilities, including culling or first pass review, are supported with additional HP modules. Search and analytics allow users to identify patterns and categorize content. Navigation via a data visualization interface is supported. An HTML5 mobile-friendly user interface (UI) is available to users. Data centers are in five countries to support data sovereignty needs. IBM. IBM s Information Life cycle Governance is a portfolio of products. Automated categorization via item properties or with text analytics is supported by IBM Content Classification. The underlying archive repository is typically IBM ECM. Supervision is provided via a third-party solution from CA Technologies. Life-cycle management is supported by IBM Enterprise Records. Atlas ediscovery offers legal hold and custodian management, including notifications and response tracking. Analytics assist in discovery and investigations, such as an early case assessment, in which legal teams estimate the scope, cost, and merits of a case. Content Navigator allows business users to access archived content, with iphone and ipad apps available.

26 Market Overview: Information Archiving, Q OpenText. OpenText supports , file shares, OpenText s ECM and web content management (WCM) offerings, SharePoint, and CMIS-enabled systems. Archiving from ERP systems, particularly SAP and Oracle, allows ingestion of structured and unstructured data. Business users can access archived information via their native end user applications. Life-cycle management includes retention schedules using time and/or event-based rules via native records management capabilities. Legal holds can be applied to custodians or via parameters, such as metadata, search queries, or date ranges. OpenText provides content analytics, enabling automated categorization after training with sample content. Organizations with data sovereignty needs can use directory services to restrict access to users in specific countries. OpenText offers archiving products for on-premises, cloud, or hybrid deployments. Proofpoint. Proofpoint Enterprise Archive is cloud-based, with specific strength in the Microsoft stack. Capture and archiving of , files, social media, and collaborative content is supported. Metadata on items can trigger retention policies. Final or official records can be marked, allowing transitory work to be slated for earlier disposal. Legal holds can be assigned to individual custodians or groups, or can be based on metadata or keywords. Items are indexed by default, allowing text or metadata searches. End users have full access to their historical content. Mobile access is available via iphone, Android, and BlackBerry platforms. Proofpoint offers a SLA for search performance times. Content is encrypted end-to-end using Proofpoint s DoubleBlind Key Architecture, protecting content in transit and when stored. Data centers are in the US, EMEA, and Canada to serve data sovereignty needs. Smarsh. The cloud-based Smarsh Archiving Platform supports archiving, supervision, and ediscovery for , social media, messaging, mobile, and web page content. Workflow drives review activities based on policies and rules. Social media capture is an area of focus. Data is archived to unalterable file systems or WORM media to meet immutability requirements, such as SEC 17a-4. Retention policies, including legal holds, can be applied automatically with a policy engine or manually by reviewers. ediscovery capabilities include content identification, preservation, and review. Search is based on Lucene/SOLR, providing a range of full-text and metadata queries. Archived content is encrypted in transit and at rest. Data centers are in the US, certified for SSAE-16 and Safe Harbor. Symantec. Symantec Enterprise Vault is an on-premises archiving platform, with Enterprise Vault.cloud as the SaaS alternative. Supervision is provided via AdvisorMail and Compliance Accelerator modules, offering review, escalation, remediation, and sampling capabilities. Retention policies can be applied to a site, archive, folder, or item. Enterprise Vault.cloud retention policies are applied to targets that could be users, groups, or managed tags. Legal holds are supported in both platforms. The ediscovery Platform (powered by Clearwell) offers legal hold notifications, as well as collection and review of archived items. Extended discovery capabilities include concept search and predictive coding. Enterprise Vault.cloud supports rolebased access controls. Content is encrypted in-transit and at rest. Enterprise Vault.cloud has private, multitenant data centers worldwide managed by Symantec.