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Premier College Litigation Hold Notice

POLICIES

Issued: March 2, 2010

Responsible

Official:President

Responsible Office:Legal Counsel/Chief Information

Officer

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.

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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

personal digital assistants (PDAs), 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

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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

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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.