project paper

Project Appendix A

Premier College

Litigation Hold Notice

POLICIES

Policy Statement

Policy Statement

The College has a legal obligation to preserve evidence and records, including electronic documents that are relevant to a pending or potential claim or action, such as a government audit, administrative proceeding, or lawsuit. Upon notice of pending litigation or anticipated, the College must implement a Litigation Hold Notice that requires the retention of certain paper and electronic records for an indefinite period of time due to pending state or federal litigation.

Each employee of the College is responsible for acting in compliance with the Litigation Hold Notice regarding the preservation and maintenance of evidence relevant to pending litigation.

The Office of Legal Counsel together with the Chief Information Officer at the College is responsible for implementing the Litigation Hold Procedures upon notice of the need for a litigation hold to preserve relevant electronically stored information and paper documents. Identifying instances in which a Litigation Hold Notice is required and its subsequent implementation requires collaboration of multiple individuals within the College, including the Records Coordinator.

Purpose

To define standards for preservation of evidence in compliance with federal law regarding litigation holds, as well as to define the procedure for implementing such holds when litigation commences or is anticipated.

Definitions

Electronically Stored Information (ESI)

Refers to all forms of electronic data and documents including, but not limited to, metadata, electronic mail, word processing documents, calendars, voice messages, videos, digital photographs, information in smartphones, jump drives, home computers, and in any location where data may be stored.

Evidence

Refers to hard copy and electronic/digital recordings, videotapes, writings, material objects, photographs, drawings, diagrams, testimony, or other things presented to the senses that are offered to prove the existence or nonexistence of a fact.

Litigation Hold Letter

The communication that is distributed to preserve information and prevent or suspend destruction of paper documents and electronic data that must be retained during litigation.

Litigation Hold Procedure

The process whereby the College sends a notice to all involved departments suspending the normal operation of document destruction polices for particular records relevant to any pending or potential claim or action. Notwithstanding the applicable records retention schedule, documents that are subject to a particular Litigation Hold Notice must be retained until the hold is removed.

Records Coordinator

The Records Coordinator, as designated by the Vice-President for Business and Finance, has the authority and responsibility to dispose of paper and electronic documents in accordance with approved records disposition authorizations policies, per the College Records Management Program.

Procedures

Notification of Litigation

1. All employees have an affirmative duty to inform the Office of Legal Counsel when they receive notification of any claim or action or threat of any claim or action against the College.

2. Employees are considered to be in receipt of notice of a claim or action when they receive a complaint, summons, and/or other official document(s) related to a lawsuit or claim.

3. The Office of Legal Counsel will determine whether the notification received warrants issuance of a Litigation Hold Notice.

Employee's Notification of Litigation to Legal Counsel

1. Employees who have notice of any pending or potential claim or action against the College must inform the Office of Legal Counsel, in writing, of the matter.

2. This notification must occur within two business days of their receipt of the notification.

Issuance of Litigation Hold Notice Letter

1. College counsel will issue an Official Litigation Hold Notice Letter regarding the matter to the appropriate individuals within five business days of receipt of notification of pending litigation.

2. The Litigation Hold Notice Letter shall provide the categories of electronic and paper documents, including ESI, that must be retained until further notice and that electronic information must be preserved in its original electronic form, so that all information contained within it, whether visible or not, is also available for inspection.

Employee's Compliance with Litigation Hold Notice Letter

1. All employees who receive notice of the hold must give confirmation of receipt of the hold notice along with a statement agreeing to abide by the litigation hold within one week of receipt of the hold notice.

2. All employees who receive a Litigation Hold Notice Letter must compile paper and electronic documents and data (including e-mails, voicemails, videos, etc.) as instructed in the notice letter.

3. Electronic records must be retained in the original format (e.g. burned to a disk/CD saved in a secure folder on the system server that is not subjected to unannounced deletion, etc.)

4. It is the responsibility of the individuals to whom the litigation hold notice is issued to retain all records that are responsive to the notice until they receive written notification that the litigation hold has been removed.

FAQs

What is anticipated litigation?

Litigation is anticipated where the College receives information that a claim or dispute has arisen which has a strong possibility of becoming litigation. This is a fact specific inquiry which shall be done in consultation with the Office of Legal Counsel. Some examples include EEOC complaints, Office of Civil Rights complaints, government or internal investigations, and claims filed with the Claims Commission.

What happens once I receive the Litigation Hold Notice?

The Litigation Hold Notice will provide the description of the materials that need to be protected as well as how the information should be stored. The Office of Legal Counsel will provide guidance throughout this process and the Information Technology Division will assist employees in storing relevant ESI.