ISO/IEC 27050-3:2020
(Main)Information technology — Electronic discovery — Part 3: Code of practice for electronic discovery
Information technology — Electronic discovery — Part 3: Code of practice for electronic discovery
This document provides requirements and recommendations on activities in electronic discovery, including, but not limited to, identification, preservation, collection, processing, review, analysis and production of electronically stored information (ESI). In addition, this document specifies relevant measures that span the lifecycle of the ESI from its initial creation through to final disposition. This document is relevant to both non-technical and technical personnel involved in some or all of the electronic discovery activities. It is important to note that the user is expected to be aware of any applicable jurisdictional requirements.
Technologies de l'information — Découverte électronique — Partie 3: Code de pratique pour la découverte électronique
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INTERNATIONAL ISO/IEC
STANDARD 27050-3
Second edition
2020-01
Information technology — Electronic
discovery —
Part 3:
Code of practice for electronic
discovery
Technologies de l'information — Découverte électronique —
Partie 3: Code de pratique pour la découverte électronique
Reference number
©
ISO/IEC 2020
© ISO/IEC 2020
All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may
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ii © ISO/IEC 2020 – All rights reserved
Contents Page
Foreword .v
Introduction .vi
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Abbreviated terms . 1
5 Electronic discovery background . 1
6 Electronic discovery requirements and guidance . 3
6.1 Overview . 3
6.1.1 Structure of materials describing the process elements . 3
6.1.2 Cross-cutting aspects . 3
6.2 ESI identification . 4
6.2.1 Overview of ESI identification . 4
6.2.2 Objectives for ESI identification . 4
6.2.3 Considerations to avoid failures . 4
6.2.4 Requirements for ESI identification . 5
6.2.5 Guidance for ESI identification . 6
6.3 ESI preservation . 7
6.3.1 Overview of ESI preservation . 7
6.3.2 Objectives for ESI preservation . 7
6.3.3 Considerations to avoid failures . 7
6.3.4 Requirements for ESI preservation . 9
6.3.5 Guidance for ESI preservation .10
6.4 ESI collection .10
6.4.1 Overview of ESI collection .10
6.4.2 Objectives for ESI collection .10
6.4.3 Considerations to avoid failures .11
6.4.4 Requirements for ESI collection .13
6.4.5 Guidance for ESI collection .13
6.5 ESI processing .14
6.5.1 Overview of ESI processing .14
6.5.2 Objectives for ESI processing .14
6.5.3 Considerations to avoid failures .15
6.5.4 Requirements for ESI processing .16
6.5.5 Guidance for ESI processing .17
6.6 ESI review .17
6.6.1 Overview of ESI review .17
6.6.2 Objectives for ESI review .17
6.6.3 Considerations to avoid failures .18
6.6.4 Requirements for ESI review .19
6.6.5 Guidance for ESI review.20
6.7 ESI analysis .21
6.7.1 Overview of ESI analysis .21
6.7.2 Objectives for ESI analysis .21
6.7.3 Considerations to avoid failures .21
6.7.4 Requirements for ESI analysis .22
6.7.5 Guidance for ESI analysis.23
6.8 ESI production .23
6.8.1 Overview of ESI production .23
6.8.2 Objectives for ESI production .23
6.8.3 Considerations to avoid failures .23
6.8.4 Confirm forms of production .25
© ISO/IEC 2020 – All rights reserved iii
6.8.5 Requirements for ESI production .25
6.8.6 Guidance for ESI production .26
Bibliography .27
iv © ISO/IEC 2020 – All rights reserved
Foreword
ISO (the International Organization for Standardization) and IEC (the International Electrotechnical
Commission) form the specialized system for worldwide standardization. National bodies that
are members of ISO or IEC participate in the development of International Standards through
technical committees established by the respective organization to deal with particular fields of
technical activity. ISO and IEC technical committees collaborate in fields of mutual interest. Other
international organizations, governmental and non-governmental, in liaison with ISO and IEC, also
take part in the work.
The procedures used to develop this document and those intended for its further maintenance are
described in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for
the different types of document should be noted. This document was drafted in accordance with the
editorial rules of the ISO/IEC Directives, Part 2 (see www .iso .org/ directives).
Attention is drawn to the possibility that some of the elements of this document may be the subject
of patent rights. ISO and IEC shall not be held responsible for identifying any or all such patent
rights. Details of any patent rights identified during the development of the document will be in the
Introduction and/or on the ISO list of patent declarations received (see www .iso .org/ patents) or the IEC
list of patent declarations received (see http:// patents .iec .ch).
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and
expressions related to conformity assessment, as well as information about ISO's adherence to the
World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see www .iso .org/
iso/ foreword .html.
This document was prepared by Technical Committee ISO/IEC JTC 1, Information technology,
Subcommittee SC 27, Information security, cybersecurity and privacy protection.
This second edition cancels and replaces the second edition (ISO/IEC 27050-3:2017), which has been
technically revised.
The main changes compared to the previous edition are as follows:
— the title has been updated;
— the publication date of ISO/IEC 27050-1 has been updated.
A list of all parts in the ISO/IEC 27050 series can be found on the ISO website.
Any feedback or questions on this document should be directed to the user’s national standards body. A
complete listing of these bodies can be found at www .iso .org/ members .html.
© ISO/IEC 2020 – All rights reserved v
Introduction
This document provides requirements and recommendations associated with the electronic discovery
process elements described in ISO/IEC 27050-1. The requirements and recommendations are expected
to be useful for both technical and non-technical personnel involved in some or all of the electronic
discovery activities. Additional materials are provided to help organizations better understand the
objectives associated with each electronic discovery process element and considerations to avoid
failures, which can mitigate risk and expense if electronic discovery becomes an issue.
Electronic discovery often serves as a driver for investigations, as well as evidence acquisition and
handling activities (covered in ISO/IEC 27037). In addition, the sensitivity and criticality of the data
sometimes necessitate protections like storage security to guard against data breaches (covered in
ISO/IEC 27040).
vi © ISO/IEC 2020 – All rights reserved
INTERNATIONAL STANDARD ISO/IEC 27050-3:2020(E)
Information technology — Electronic discovery —
Part 3:
Code of practice for electronic discovery
1 Scope
This document provides requirements and recommendations on activities in electronic discovery,
including, but not limited to, identification, preservation, collection, processing, review, analysis and
production of electronically stored information (ESI). In addition, this document specifies relevant
measures that span the lifecycle of the ESI from its initial creation through to final disposition.
This document is relevant to both non-technical and technical personnel involved in some or all of
the electronic discovery activities. It is important to note that the user is expected to be aware of any
applicable jurisdictional requirements.
2 Normative references
The following documents are referred to in the text in such a way that some or all of their content
constitutes requirements of this document. For dated references, only the edition cited applies. For
undated references, the latest edition of the referenced document (including any amendments) applies.
ISO/IEC 27000, Information technology — Security techniques — Information security management
systems — Overview and vocabulary
ISO/IEC 27050-1:2019, Information technology — Electronic discovery — Part 1: Overview and concepts
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO/IEC 27000 and
ISO/IEC 27050-1 apply.
ISO and IEC maintain terminological databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at http:// www .electropedia .org/
4 Abbreviated terms
ESI Electronically stored information
ICT Information and communications technology
OCR Optical character recognition
5 Electronic discovery background
Electronic discovery is an element of traditional discovery and it is a process that typically involves
identifying, preserving, collecting, processing, reviewing, analysing, and producing electronically
stored information (ESI) that may be potentially relevant to a particular matter. The requirements and
© ISO/IEC 2020 – All rights reserved 1
recommendations provided in this document are in accordance with the electronic discovery concepts
described in the following clauses and subclauses of ISO/IEC 27050-1:
— ISO/IEC 27050-1:2019, Clause 3: key electronic discovery terminology;
— ISO/IEC 27050-1:2019, 6.2: electronic discovery issues and primary cost drivers;
— ISO/IEC 27050-1:2019, 6.3: general electronic discovery objectives;
— ISO/IEC 27050-1:2019, Clause 7: common ESI types, common sources and representations;
— ISO/IEC 27050-1:2019, Clause 8: description of the electronic discovery process and the process
elements.
ISO/IEC 27050-1 differentiates between generic actions such as "identifying" from the specific electronic
discovery process elements by preceding the names with "ESI" (e.g. ESI identification). Likewise, this
document follows this approach. ISO/IEC 27050-1:2019, Figure 1, shows all of the electronic discovery
process elements and the interrelationships between them (see ISO/IEC 27050-1:2019, 8.1, for a full
description).
Although the goal of electronic discovery is the same as with hardcopy document discovery — to
find and to produce information that is potentially relevant in a matter — the nature of electronic
information adds differing layers of complexity and opportunity, since ESI carries with it such elements
as metadata and requisite data processing and management functions that do not exist with paper. In
addition, the collection and processing of ESI for discovery presents challenges (e.g. data corruption,
password protection, encryption, indexing issues, inadequate keyword search, poor OCR) that can have
importance either to the viability or accuracy of the ESI produced to the opposing side or to the ability
to maintain provenance or chain of custody. Further, the escalating volumes of ESI typically created,
maintained and collected present challenges for consistency and accuracy in review.
This document addresses these challenges by:
— promoting common understanding of various concepts and terminology for electronic discovery;
— articulating objectives and risks inherent in the steps in the electronic discovery process;
— encouraging practical and cost-effective discovery by those tasked with managing ESI through the
process;
— providing guidance and best practices for those responsible for delivering electronic discovery
projects (e.g. legal practitioners, services providers, independent experts, courts, and any other
parties engaged in the process);
— identifying competency areas for those involved in electronic discovery;
— promoting the proactive use of technology to reduce costs and risks, while increasing efficiencies
throughout the discovery process;
— suggesting ways to avoid inadvertent disclosures of potentially privileged, confidential, or
sensitive ESI.
The overriding goal is to help organizations meet their electronic discovery goals (e.g. legal obligations,
business objectives, regulatory requirements).
While this document has been written with larger electronic discovery projects in mind, and therefore
covers aspects encountered in the majority of matters, it is not necessarily the case that all steps will
be required or proportionate to every matter. For example, in small matters, it can well be that a single
person manages and completes every aspect of the project, whereas larger matters can warrant the use
of separate individuals or even teams for each element of the electronic discovery project.
2 © ISO/IEC 2020 – All rights reserved
6 Electronic discovery requirements and guidance
6.1 Overview
6.1.1 Structure of materials describing the process elements
Each electronic discovery process element is addressed in a separate clause and each contains the
following:
a) an overview of the process element;
b) objectives for the process element;
c) considerations to avoid failures;
d) the requirements and guidance specific for the process element.
The order of the clauses in this document does not imply their importance or a particular sequence that
needs to be followed.
6.1.2 Cross-cutting aspects
Cross-cutting aspects are behaviours or activities that span multiple electronic discovery process
elements and need to be coordinated across the process elements.
— Planning. To be effective, most or all of the process elements need to be well planned from the
outset, with the specific objectives and conditions taken into consideration and with the resources
to be deployed readily available.
— Transparency. Implementation of the process elements often necessitates refinement and iteration
that have to be readily explained to interested parties. An effective process will be dependent on
transparency, as well as allowing for changes and for explanation later on.
— Documentation. The process elements need to be well documented, both for the purpose of
defending the scope and activities of the process elements down the line if they are challenged, and
for the purpose of improving the effectiveness and consistency of future implementations of the
process elements.
— Expertise. Certain kinds of specialized expertise and qualifications are necessary for each process
element to do the work and to meet any operative standards. This expertise can be associated with
the matter at hand, language, technology, the chosen tools or methods, or the quality assurance of
the results of applying those tools and methods.
— Informed. An effective electronic discovery process is dependent on the pertinent legal and subject
matter experts being well informed as to the purposes to be served by the relevant process elements,
the relevant requirements (e.g. operative, matter-specific, process-specific, etc.), and the landscape
of the ESI, as well as having an understanding of the subject matter, scope and timeframe that apply
to the situation in question.
— Adaptive. Almost all electronic discovery projects begin in a state of imperfect knowledge when
requirements and definitions are not yet fully specified and the ESI landscape is not yet fully
mapped. Adaptability is therefore an essential feature of an effective electronic discovery process
in general.
— Use of technology. The effectiveness of an electronic discovery project can be dependent on how
it avails itself of the tools and methods appropriate to the general approach taken in the various
process elements; the specific tools and methods can vary from one approach to the other, but most
approaches can benefit from the appropriate application of technology.
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6.2 ESI identification
6.2.1 Overview of ESI identification
In this subclause, the objectives of ESI identification, the issues inherent in that process element, and
considerations to avoid failures are discussed.
ESI can need to be identified and preserved in an organization for a number of reasons, including
reasonable anticipation of a lawsuit, receipt of a pre-litigation preservation request, a request to inspect,
a demand letter, a cease and desist letter, a cure notice, or even a discussion with an opposing party or
its counsel. In some jurisdictions, courts, legislatures, or government regulators have developed rules
concerning how organizations identify ESI, particularly for purposes of civil and criminal proceedings,
investigations and audits. As a result, it is advisable for organizations to understand when a duty (or
need) to preserve is triggered and any steps that can have been mandated or accepted as best practices
to identify and preserve relevant ESI in jurisdictions in which they do business.
ESI identification is the element in the electronic discovery process in which information that can be
potentially relevant to a matter is specifically located for potential preservation or collection.
6.2.2 Objectives for ESI identification
As defined in ISO/IEC 27050-1, ESI identification is the “element of an electronic discovery process
focused on locating potential sources and the criteria for selecting potentially relevant electronically
stored information.” A primary objective of ESI identification often is to identify key departments,
individuals, custodians, and locations of ESI or ESI sources that can reasonably lead to the discovery of
potentially relevant information related to the subject matter in question. In order to undertake such
ESI identification, an organization needs to be able to:
— understand the nature of the subject matter in question;
— identify individuals who may have or know relevant information;
— know the potential ESI sources likely to contain such information;
— identify potentially relevant information with a level of accuracy appropriate to the circumstances;
— identify potentially relevant information within a timeframe that is consistent with the overall
electronic discovery objectives; and
— accomplish the above tasks with a level of resource utilization that is proportionate to what is at
stake in the matter that has necessitated the effort.
6.2.3 Considerations to avoid failures
The primary issues associated with ESI identification are the following:
— Destruction of ESI by untimely delay. A delay in locating potentially relevant ESI can result in
the inadvertent destruction of the ESI. Such inadvertent destruction can occur if custodians have
not been properly advised to refrain from deleting ESI related to relevant subject matter, or when
there is, by company policy, a routine deletion policy in place for certain data stores (e.g. a 90-day
retention cycle for e-mail).
— Incomplete or erroneous identification of ESI. An incomplete or erroneous identification
of custodians and sources can result in delays or cost-overruns and, in the context of legal
proceedings, legal consequences if a late production unreasonably hinders a case. Defensibility of
ESI identification can be questioned and, depending on the jurisdiction, documentation and quality
control procedures can be scrutinized.
The issues identified above can be managed via the implementation of a process that makes well-
coordinated use of appropriate individuals, tools, methods, and expertise in order to meet the defined
4 © ISO/IEC 2020 – All rights reserved
ESI identification objectives. More specifically, the issues can be managed by the implementation of an
ESI identification process that adheres to the following principles:
— Organized. Certain kinds of specialized expertise can be called for in ESI identification, whether
subject matter experts or the ICT personnel who manage implicated ESI or those with knowledge
to query systems to assess system relevance. A plan that identifies from the outset the kinds of
expertise required and contains interview templates and other tools to document the information
learned can be very helpful. An organization would be wise to identify a team of key people that
need to be involved in discovery project management, including ESI identification. These individuals
typically include corporate legal counsel, outside counsel, ICT personnel, records management
personnel, data custodians, human resources personnel, business leaders, and service providers/
electronic discovery consultants.
— Planned. To be effective, an ESI identification process needs to be well planned from the outset,
with the specific objectives and conditions taken into consideration and with the resources to be
deployed readily available. Being proactive and gathering timely information about custodians and
existing systems can enable an organization to meet the expectations of the courts and regulators.
An effective ESI identification process is typically well informed by individuals with the appropriate
expertise who are aware of the requirements of identifying and collecting potentially responsive
ESI. A well-planned ESI identification makes provision for quality-control assessments that monitor
progress and completeness of the plan as it is being executed. An effective plan also provides
timelines and cost targets that can realistically be met and are appropriate to the matter.
— Transparent. Implementation of ESI identification often necessitates refinement and iteration
that may have to be explained to interested parties. An effective process will be dependent on
transparency, as well as allowing for changes and for explanation later on. A transparent process
is one in which identified steps are clearly communicated and evidence of their execution as
described is documented. Since ESI identification can be iterative in that additional individuals and
new sources of potentially responsive information can be added as more is known, it is important
to document such changes as they occur. To that end, in order for the process to be transparent,
tools that document processes and capture information during ESI identification (e.g. custodian
interview templates) are useful if explanation is required later.
— Documented. As ESI identification proceeds, organizations need to be prepared to adequately
document the process to be able to show that reasonable steps were taken to identify potentially
responsive information. Such documentation is especially important considering that some
litigation can go on for years and still require a look-back at steps that were initially taken to identify
potentially responsive information.
6.2.4 Requirements for ESI identification
ESI identification carries significant importance. Since it occurs early and essentially defines the
universe of potentially relevant hardcopy documents or ESI, missteps can result in significant problems
later on. At best, additional collections can ensue, with additional collection, processing and review costs
and delays. In the context of legal proceedings, if key individuals or ESI sources have been overlooked
or ESI has been deleted, claims with potential legal consequences can result in some jurisdictions.
The best way to avoid these problems is with a plan that includes the individuals, ESI sources, tools and
procedures that can be deployed if information in the enterprise needs to be identified.
The following are requirements for ESI identification.
a) The ESI identification coordinator shall be informed as to the purposes to be served by the
identification effort and develop an understanding of the subject matter, scope and time frame that
apply to the situation in question.
b) The individuals responsible for identification of potentially relevant ESI shall, in advance of
executing ESI identification, develop a plan to guide the identification effort.
© ISO/IEC 2020 – All rights reserved 5
c) The individuals executing the identification process shall be informed with regard to operative
requirements that govern ESI identification including:
1) legal requirements;
2) matter-specific requirements;
3) process-specific requirements; and
4) the landscape of ESI that can be within the scope of the matter.
d) ESI identification shall be sufficiently transparent during its implementation to enable the
individuals responsible for identification to assess its progress and make adjustments as warranted.
e) ESI identification shall be supported by appropriate methods and metrics.
f) ESI identification shall be adapted, as needed, to changes in the requirements that govern
the identification effort and by any additional information obtained during the identification
process, such as addition of knowledgeable custodians, relevant ESI sources, or aspects of the ESI
environment that can be pertinent (e.g. auto-delete functions).
g) The identification procedures implemented shall be documented to accurately reflect:
1) all procedures followed in the course of identification;
2) all significant decisions made during the identification process; and
3) any evaluations of the effectiveness of the identification process.
6.2.5 Guidance for ESI identification
The following recommendations can be relevant for ESI identification.
a) An identification plan, including clear assignments and expectations, should be developed so
the process is repeatable and defensible. Even in the simplest cases, a plan can ensure that all
eventualities have been considered and accounted for in the plan.
b) Standard templates for interview questions and survey forms that can be used in multiple cases
should be developed and used.
c) If possible, and prior to an actual electronic discovery event, create a list or inventory of systems,
or possibly a data map to provide a centralized listing of what types of ESI the organization has
and where it is stored (local computers, servers, cloud, back-up, external media, portable devices,
home computers, intranets, extranets, etc.). Gain insight into the company’s application portfolio,
systems, data flow and capabilities, understand how they map to business units and keep this
knowledge current to identify potentially relevant ESI sources.
d) Litigation hold materials and processes should be reviewed and revised (if needed) after identifying
potentially relevant ESI sources.
e) Documentation should be created to confirm processes, tools and methodologies used in the
identification process to demonstrate that the process was reasonable and defensible.
f) Status and progress reports regarding the identification process should be provided on a
regular basis.
g) Quality control and validation plans should be created throughout the identification process to
ensure it is thorough and defensible.
6 © ISO/IEC 2020 – All rights reserved
6.3 ESI preservation
6.3.1 Overview of ESI preservation
ESI preservation is the step in the electronic discovery process in which, after a triggering event, efforts
are made to keep secure from modification or destruction any information that can relate to the scope
of a preservation obligation or objective in a matter. This includes not only potentially relevant ESI in a
party’s possession, but can also include information of a non-party.
In the context of legal proceedings, standards for establishing if and when a preservation obligation is
triggered vary depending on the jurisdiction. There is no single standard that describes how to measure
the appropriateness of ESI preservation activities, or a party’s exposure or potential liability for failure
to fulfil their preservation duties.
6.3.2 Objectives for ESI preservation
The objective of ESI preservation is to make a reasonably complete and accurate assessment of the
electronic information that can be potentially relevant to the matter after a triggering event and take
the necessary steps to ensure such information is not modified, destroyed, or made inaccessible by
advertent or inadvertent activities of custodians or other parties, or by routine enterprise technology
processes. More specifically, the objectives of ESI preservation are the following:
— to keep from modification or destruction electronic information that can potentially relate to the
scope of the matter implicated by a triggering event as it has been defined by counsel;
— to keep from modification or destruction electronic information such that, to an extent commensurate
with a reasonable good-faith effort, it includes all ESI that is in need of preservation and excludes
ESI not in need of preservation;
— to preserve the information in a cost- and time-effective manner.
6.3.3 Considerations to avoid failures
The issues inherent in ESI preservation include the possible failure to meet ESI preservation objectives
which can result in the loss or alteration of ESI that is potentially responsive. More specifically, the
issues are the following.
— Failure to recognize and respond to a triggering event. To ignore or be otherwise neglectful
regarding information that would indicate that a litigation or investigation is possible or likely and
thus take no steps to preserve potentially relevant information.
— Over-preservation. To define the universe of hardcopy documents or ESI requiring preservation
too broadly, resulting in an unnecessary accumulation of ESI that would otherwise be disposed of
or the suspension of routine deletion procedures that can otherwise remain in effect.
— Under-preservation. To define the universe of hardcopy documents or ESI requiring preservation
too narrowly, either by under-inclusive subject matter scope, overlooking certain ESI types or
locations, or overlooking third-party ESI sources, resulting in deletion or modification of potentially
relevant ESI by custodians, third parties or routine enterprise technology procedures.
— Untimely or insufficient notification of custodians or third parties. To know of such a triggering
event but fail to adequately communicate and reiterate the ESI preservation imperative through a
formally issued legal hold or other communication to implicated parties.
The possibility of modifying or deleting ESI is much greater than it is for hardcopy documents for the
following reasons.
— ESI can be easily deleted, either intentionally or as part of an automated process, and either with
or without the data custodian’s knowledge. Once deleted it requires additional cost and technical
effort to retrieve it, which (in many cases) can be impossible.
© ISO/IEC 2020 – All rights reserved 7
— ESI can be easily altered, again either intentionally or automatically. If it is likely that an
understanding of the precise content of an item of ESI at a particular moment in time is required,
then it is important to take steps to preserve it as soon as possible to ensure that it is not altered.
— Metadata associated with each item of ESI can also be easily changed. Intact metadata can provide
significant efficiencies when filtering for relevancy. It is also an essential piece of information when
the provenance or chain of custody of an item of ESI needs to be determined.
Once a decision has been made that a duty to preserve has been triggered, the scope of that duty needs to
be evaluated; decisions as to scope can address time frames, custodians, subject matter and responsive
information by source or system, category, or type. Considerations need to include: the facts on which
the triggering event is based and the subject matter of the triggering event; whether the ESI is relevant
to that event; the expense and burden incurred in preserving the ESI; and what the consequences of the
loss of the ESI can be. The development of an ESI preservation strategy is not a static event. It needs to
be reviewed to reflect changes, both internal and external, to the organization.
The importance of communication to appropriate parties to retain potentially responsive ESI is
paramount. This is most often affected by the issuance of a legal hold by counsel to known custodians,
records managers and ICT administrators, describing potentially relevant ESI and known ESI locations
where such information can reside. From a technical point of view, implementing legal holds can be
easy or difficult (and everything in between) depending on the nature of the sources and systems that
it is necessary to address.
The issues identified above can be managed via the implementation of an ESI preservation strategy
that makes well-coordinated use of communication methods, tools and expertise in order to meet ESI
preservation objectives. More specifically, the issues can be managed by the implementation of an ESI
preservation process that adheres to the following principles.
— Planned. An effective ESI preservation process is well planned from the outset, with the specific
objectives and conditions taken into consideration and with the resources to be deployed for the
effort well-coordinated.
— Informed. An effective ESI preservation process is well informed, both by the pertinent legal and
subject-matter experts and by the appropriate ICT personnel with knowledge of the technology
environment.
— Supported by technology. An effective ESI preservation process avails itself of the tools and
methods appropriate to the general approach taken to affect the effort; the specific tools and
methods can vary from one ESI preservation effort to another, but all approaches can benefit from
the appropriate application of technology.
— Transparent. ESI preservation imperatives require scope identification and communication efforts
that can change as more information about a potential matter becomes available. The process
for ensuring that potentially relevant information is preserved needs to be readily explained to
interested parties. An effective ESI preservation process is dependent on transparency, as well as
allowing for modifications during the process and explanation at the completion of the process.
— Adaptive. An ESI preservation process can be based on the fact that the information available at
the outset of the matter will be imperfect and incomplete. An effective ESI preservation process
therefore expects the unexpected and is able to adapt to changes in direction, whether those changes
come from outside factors (e.g. changes in the scope of a discovery request) or from information
that becomes available regarding other ESI sources (e.g. content that was not identified at the outset
of the ESI preservation effort).
— Documented. An effective ESI preservation effort is also well documented for the purpose of
defending the activities taken to ensure safekeeping of ESI if they are challenged.
8 © ISO/IEC 2020 – All rights reserved
6.3.4 Requirements for ESI preservation
ESI preservation is central to the electronic discovery process. Ensuring that ESI preservation meets
its objectives of safekeeping without altering potentially responsive ESI with a reasonable level of
completeness and accuracy at a reasonable expenditure of time and resources is essential to the
successful conduct of electronic discovery. There are, of course, issues inherent in the execution of
an ESI preservation strategy, chief of which are under-preservation, over-preservation, and overruns
of time and cost. These issues can be managed, however, if an ESI preservation strategy adheres to
the principles noted in this document: planning, information gathering, technology, expertise,
transparency, adaptability, and documentation.
The following are requirements for ESI preservation.
a) The individuals responsible for the ESI preservation effort shall, in advance of executing the ESI
preservation effort, develop a plan to guide preservation of potentially relevant ESI.
b) The individuals responsible for ESI preservation shall be informed with regard to operative
requirements that govern ESI preservation including:
1) legal requirements;
2) matter-specific requirements;
3) process-specific requirements; and
4) the landscape of ESI that needs to be preserved.
c) The individuals responsible for ESI preservation shall ensure that notice is given to pertinent
individuals or all
...
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