Steps Management Should Take Upon Receiving a Litigation Hold

## Understanding a Litigation Hold A litigation hold, also known as a legal hold, is a directive issued by an organization to preserve all forms of relevant information when litigation is reasonably anticipated. This process is crucial to ensure that no data is destroyed or altered, which could lead to legal penalties or adverse inferences in court. > "The duty to preserve evidence begins when litigation is pending or reasonably anticipated" - *Zubulake v. UBS Warburg* ## Initial Steps for Management ### 1. Stop Auto-Deletion Processes First and foremost, suspend any automatic deletion or document destruction policies, including: - Email retention schedules - Document management system purges - Backup tape recycling - Mobile device wiping protocols - Routine document shredding ### 2. Assemble a Response Team Form a dedicated team to manage the litigation hold process, including: - Direct participants in the disputed matters - Supervisors and managers - IT personnel - Records management staff - Legal department representatives ### 3. Issue and Document the Legal Hold Notice Work with legal counsel to draft and distribute a comprehensive hold notice that includes: - Scope of the hold - Types of documents to preserve - Time period covered - Specific instructions for preservation - Contact information for questions Maintain records of: * Who received the hold notice * When they received it * Acknowledgment of receipt * Any questions or concerns raised ## Implementation Steps ### Map Data Sources Create an inventory of all potential evidence locations: 1. Email servers 2. Network drives 3. Cloud storage systems 4. Physical document storage 5. Mobile devices 6. Backup systems 7. Personal devices used for work ### Establish Preservation Protocols Work with IT to implement technical safeguards: ``` # Example preservation flag in document management system SET_LEGAL_HOLD = TRUE RETENTION_OVERRIDE = INDEFINITE ``` ## Ongoing Management and Review ### Regular Monitoring Conduct periodic assessments of: - Hold scope and relevance - Affected personnel changes - Technology updates that might impact preservation - Cost and burden of continued preservation - Compliance with hold instructions ### Documentation Maintenance Keep detailed records of: * All preservation efforts * Changes to hold scope or distribution * Compliance monitoring results * Any preservation failures or concerns ## Special Considerations ### Remote Workers Develop specific protocols for: - Home office documents - Personal devices - Cloud storage accounts - Communication platforms ### Third-Party Data Address preservation of information held by: - Vendors - Contractors - Cloud service providers - Business partners ## Consequences of Non-Compliance Failure to properly implement a litigation hold can result in severe consequences: - Monetary penalties - Adverse inference instructions - Default judgments - Professional disciplinary actions - Loss of credibility - Dismissal of the case For more detailed guidance, consider consulting: - [Sedona Conference](https://thesedonaconference.org/) - [Electronic Discovery Reference Model (EDRM)](https://edrm.net/edrm-model/current/) - [American Bar Association's guidance](https://www.americanbar.org/groups/committees/death_penalty_representation/resources/aba_guidelines/) - [Federal Rules of Civil Procedure](https://www.uscourts.gov/forms-rules/current-rules-practice-procedure/federal-rules-civil-procedure/) - [Exterro's Litigation Hold Software](https://www.exterro.com/e-discovery-software/legal-hold)

Steps Management Should Take Upon Receiving a Litigation Hold

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