Litigation Hold Notice

Litigation Hold Notice

LEGAL CONTEXT: Under Zubulake v. UBS Warburg, the duty to preserve evidence is triggered when a party "reasonably anticipates litigation." Zubulake IV, 220 F.R.D. 212 (S.D.N.Y. 2003). Once triggered, counsel must "take affirmative steps to monitor compliance so that all sources of discoverable information are identified and searched." Zubulake V, 229 F.R.D. 422 (S.D.N.Y. 2004). Under the 2015 amendment to FRCP 37(e), courts may impose curative measures for loss of ESI that should have been preserved—including, upon finding intent to deprive, adverse inference instructions and case-dispositive sanctions. This Notice should be issued promptly upon triggering and reissued periodically throughout litigation.

NOTICE HEADER

PRIVILEGED AND CONFIDENTIAL — ATTORNEY-CLIENT COMMUNICATION
LITIGATION HOLD — MANDATORY PRESERVATION NOTICE
DO NOT DESTROY, DELETE, OVERWRITE, OR ALTER ANY POTENTIALLY RELEVANT INFORMATION

To: [________________________________] and All Personnel Listed in Section 8
From: [________________________________], [Title], Legal Department / Outside Counsel
Date Issued: [__/__/____]
Matter Name: [________________________________]
Hold Reference Number: [________________________________] (assign for tracking and re-issuance)
Priority: ☐ Urgent ☐ Standard

PURPOSE AND LEGAL IMPORTANCE

This Litigation Hold Notice ("Notice") is issued by [________________________________] ("Company" or "Organization") through its legal department / outside counsel in connection with pending, threatened, or reasonably anticipated litigation, regulatory investigation, or other legal proceeding described below.

You are legally required to preserve all potentially relevant information immediately. The failure to preserve relevant evidence can result in serious sanctions, including monetary penalties, adverse jury instructions (telling the jury to presume the missing evidence was unfavorable), and in the most egregious cases, dismissal of the case or default judgment.

This Notice supersedes and supplements any prior litigation holds relating to this matter. If you received a prior hold notice, this Notice does not release you from prior preservation obligations unless specifically stated.

SECTION 1: TRIGGERING EVENT AND EFFECTIVE DATE

1.1 Triggering Event

The preservation obligation arises from the following event(s):

☐ Filed Litigation: A complaint has been filed in [________________________________] (Case No. [________________________________]) against/by the Organization.

☐ Demand Letter Received: The Organization received a demand letter dated [__/__/____] from [________________________________] asserting [________________________________].

☐ Threatened Litigation: The Organization reasonably anticipates litigation based on: [________________________________]

☐ Government Investigation: The Organization has been notified of an investigation by [________________________________] (Agency) relating to [________________________________].

☐ Regulatory Proceeding: An administrative or regulatory proceeding has been initiated involving [________________________________].

☐ Internal Investigation: An internal investigation has been initiated relating to [________________________________].

☐ Other: [________________________________]

1.2 Effective Date

The preservation obligation is effective as of [__/__/____]. If you became aware of relevant information prior to this date, you are also required to preserve any materials you have retained from that earlier date.

1.3 Description of the Matter

Brief Description of Dispute or Proceeding:
[________________________________]
[________________________________]
[________________________________]

Key Parties Involved:

• Organization: [________________________________]
• Opposing Party/Claimant/Agency: [________________________________]
• Other Relevant Parties: [________________________________]

Relevant Time Period:
From [__/__/____] to present (and ongoing).

SECTION 2: SCOPE OF PRESERVATION OBLIGATION

2.1 What Must Be Preserved

You must preserve ALL documents and information — regardless of format, medium, or location — that may be relevant to the matter described above or that may reasonably be expected to lead to discoverable evidence. This includes, but is not limited to:

2.2 Electronically Stored Information (ESI)

☐ Email: All email messages sent, received, or saved in any email system (Microsoft Outlook, Gmail, company mail server, personal email accounts used for business purposes), including attachments, calendar invitations, and meeting requests.

☐ Instant Messages and Text Messages: All SMS/text messages, iMessage, WhatsApp, Signal, Microsoft Teams messages, Slack messages, Zoom chat, Google Chat, and communications on any other messaging platform.

☐ Documents and Files: Word processing documents, spreadsheets, presentations, PDFs, images, audio and video files, and any other electronic files stored on:

• Company laptops, desktops, and workstations
• Personal computers used for business purposes
• Tablets and mobile devices (company-issued and personal)
• USB drives and external hard drives
• Network shares and file servers
• Cloud storage (OneDrive, SharePoint, Google Drive, Dropbox, Box, iCloud, etc.)
• CRM, ERP, and other business systems

☐ Databases: Database records, entries, and reports in any proprietary or commercial system.

☐ Social Media: Posts, messages, and content on LinkedIn, Twitter/X, Facebook, Instagram, and any other platform, including both public posts and private messages related to the matter.

☐ Voicemails: Recorded voicemail messages on office and mobile phones.

☐ Metadata: File metadata (creation dates, modification dates, author information) must be preserved intact. Do NOT save documents in a different format that strips metadata.

☐ Backup Media: Backup tapes, snapshots, or archived data must be preserved and routine tape recycling programs suspended for responsive data.

☐ System Logs: Access logs, audit trails, login records, and transaction logs.

2.3 Hard Copy Documents

☐ Contracts, agreements, amendments, and exhibits
☐ Correspondence (letters, memos, faxes)
☐ Meeting minutes, agendas, and notes
☐ Reports, analyses, and presentations
☐ Invoices, purchase orders, receipts, and financial records
☐ Personnel files and HR records (where relevant)
☐ Regulatory filings and compliance records
☐ Engineering drawings, technical specifications, and design documents
☐ Laboratory notebooks and test data
☐ Handwritten notes on any medium

2.4 Physical Evidence

☐ Products, components, prototypes, and samples
☐ Equipment, machinery, or vehicles
☐ Photographs and video recordings
☐ Physical models or mock-ups
☐ Any other tangible item that may be relevant to the matter

SECTION 3: SUBJECT MATTER AND SEARCH TERMS

3.1 Relevant Topics

You must preserve information relating to the following topics, persons, and time periods:

Key Topics:

• [________________________________]
• [________________________________]
• [________________________________]
• [________________________________]

Key Persons (preserve all communications to/from/about these individuals):

• [________________________________]
• [________________________________]
• [________________________________]

Key Accounts, Transactions, or Projects:

• [________________________________]
• [________________________________]

Relevant Keywords (preserve any document containing these terms):

• [________________________________]
• [________________________________]
• [________________________________]

Relevant Date Range: From [__/__/____] to present.

SECTION 4: IMMEDIATE ACTIONS REQUIRED

4.1 Suspend Auto-Delete and Retention Policies

EFFECTIVE IMMEDIATELY, you must take the following steps:

☐ Suspend email auto-deletion: Do not allow your email account to automatically delete or archive messages. Contact IT or your system administrator if you cannot adjust this setting yourself.

☐ Disable recycle bin emptying: Do not empty your computer's recycle bin or trash folder while this Hold is in effect.

☐ Suspend scheduled file deletion: Do not delete any files from shared network drives, cloud storage, or local storage.

☐ Stop overwriting backup tapes: If you have authority over backup rotation schedules, suspend any tape recycling or overwriting for data that may contain responsive information.

☐ Preserve mobile device data: Do not factory-reset, trade in, or destroy any mobile device containing relevant information. Notify IT before upgrading to a new device.

4.2 Secure Existing Materials

☐ Do NOT alter, annotate, or modify any potentially responsive documents in a way that changes their original content.

☐ Do NOT destroy, shred, or discard any hard copy documents, even if they appear to be routine or duplicative.

☐ Do NOT delete, wipe, or reformat any electronic media (hard drives, USB drives, phones, tablets).

☐ Safeguard physical evidence by securing it in a controlled location with restricted access.

4.3 Collect and Identify

You are asked to:

(a) Identify all locations (physical and electronic) where potentially responsive materials are stored;
(b) Prepare a list of those locations and forward it to [________________________________] (Legal Contact) within [____] business days; and
(c) Do not move or consolidate materials without Legal's guidance, as improper consolidation may damage metadata.

SECTION 5: IT COORDINATION

5.1 IT Department Instructions

Legal has separately notified or will notify the IT Department to implement the following technical preservation measures. Your cooperation with IT is essential:

☐ Suspension of automated email purging rules for identified custodian accounts
☐ Preservation of backup tapes and archival media for the relevant period
☐ Creation of forensic images or snapshots of relevant systems (as directed by counsel)
☐ Preservation of server logs, network access logs, and system audit trails
☐ Suspension of cloud storage sync deletion policies for relevant accounts
☐ Implementation of legal hold settings in Microsoft Purview, Google Vault, Slack Enterprise Grid, or other applicable platforms

5.2 Questions About Technical Preservation

If you have questions about how to preserve specific types of electronic data, contact:

IT Legal Hold Coordinator: [________________________________]
Phone: [________________________________]
Email: [________________________________]

SECTION 6: SCOPE OF PERSONS SUBJECT TO THIS HOLD

6.1 This Notice Applies To

This Notice applies to all employees, officers, directors, contractors, agents, and third-party vendors who may possess, control, or have access to potentially relevant information, regardless of:

• Their department or title
• Whether they work at a company office, remotely, or at a third-party location
• Whether the information is stored on company systems or personal devices used for business

6.2 Third Parties

If you are aware that potentially relevant information is held by a third party (contractor, vendor, service provider, consultant, or outside counsel) who is not directly subject to this Notice, you must immediately notify the Legal contact listed below so that Legal can assess whether to issue a separate preservation demand to that third party.

SECTION 7: CONFIDENTIALITY OF THIS NOTICE

7.1 Confidentiality

This Notice and its contents are confidential. Do not forward, copy, or discuss this Notice except with:

(a) Personnel within your department with a direct need to know;
(b) Legal department or outside counsel; or
(c) Persons specifically authorized by the Legal Contact.

7.2 No External Disclosure

Do not discuss this litigation hold with opposing parties, former employees, or members of the public. All external communications relating to the Proceeding must be coordinated through Legal.

SECTION 8: IDENTIFIED CUSTODIANS

The following persons have been identified as likely custodians of potentially responsive information and are specifically subject to this Hold. If you are listed below, you are required to comply with all obligations set forth in this Notice.

(This list is not exhaustive. If you believe other persons hold relevant information, please notify the Legal Contact.)

SECTION 9: QUESTIONS AND LEGAL CONTACT

If you have questions about what is covered by this Hold, or if you are uncertain whether a specific category of materials must be preserved, do not act without guidance — contact Legal first.

Primary Legal Contact:
Name: [________________________________]
Title: [________________________________]
Direct Phone: [________________________________]
Email: [________________________________]

Secondary Legal Contact (if primary unavailable):
Name: [________________________________]
Title: [________________________________]
Phone: [________________________________]
Email: [________________________________]

SECTION 10: ACKNOWLEDGMENT — REQUIRED RETURN WITHIN [____] BUSINESS DAYS

YOU MUST RETURN THIS SIGNED ACKNOWLEDGMENT TO LEGAL WITHIN [____] BUSINESS DAYS.

By signing below, you acknowledge that:

1. You have read and understand this Litigation Hold Notice;
2. You agree to preserve all potentially responsive materials in your possession, custody, or control;
3. You have suspended all auto-deletion policies, routine destruction schedules, and device recycling programs applicable to potentially responsive materials;
4. You have identified the locations (physical and electronic) where you maintain potentially responsive materials;
5. You will promptly notify Legal if you discover additional responsive materials or if potentially responsive materials have already been deleted or destroyed; and
6. You understand that failure to comply with this Notice may expose you and the Organization to serious legal consequences.

Employee / Recipient Acknowledgment:

Printed Name: [________________________________]

Signature: [________________________________]

Title / Department: [________________________________]

Date Signed: [__/__/____]

Locations where I maintain potentially responsive materials:
☐ Company email account: [________________________________]
☐ Company laptop/desktop computer
☐ Personal computer (used for business)
☐ Company mobile device
☐ Personal mobile device (used for business)
☐ Shared network drive: [________________________________]
☐ Cloud storage: [________________________________]
☐ Physical files at: [________________________________]
☐ Other: [________________________________]

I am aware of additional custodians who may hold relevant materials:
☐ No
☐ Yes — Name(s): [________________________________]

I am aware that potentially relevant materials may have already been deleted or destroyed:
☐ No
☐ Yes — Description: [________________________________]

SECTION 11: HOLD MONITORING AND UPDATES

11.1 Periodic Reminders

Legal will issue periodic reminders (typically every [____] months) to ensure ongoing compliance. When you receive a reminder, you are required to re-certify compliance.

11.2 Re-Issuance

This Notice will be re-issued if the scope of the matter expands, if additional custodians are identified, or if there are material changes in the Proceeding.

11.3 Lifting of Hold

This Hold remains in effect until Legal provides written notice that it has been lifted. You must not resume routine deletion or destruction policies for relevant materials until you receive such written notice.

11.4 Departing Employees

If any employee subject to this Hold departs the Organization, Legal must be notified immediately so that appropriate steps can be taken to preserve that employee's data before departure.

ATTACHMENT A — FAQ: WHAT DOES THIS HOLD MEAN FOR ME?

Q: Do I have to preserve emails I consider personal?
A: If personal emails were sent using company systems or if they relate to the matter described in this Notice, they should be preserved. Contact Legal if uncertain.

Q: Can I upgrade to a new phone while this Hold is in effect?
A: Not without contacting IT and Legal first. All data from your current device must be preserved before any device change.

Q: I regularly delete emails after 30 days per company policy. Do I still have to do that?
A: NO. All automatic deletion policies are suspended for materials covered by this Notice.

Q: What if I already deleted something relevant before receiving this Notice?
A: Notify Legal immediately. The law recognizes that ordinary document destruction before the hold was triggered is generally not sanctionable, but destruction after you reasonably anticipated litigation can result in serious consequences. Legal will advise you on next steps.

SOURCES AND REFERENCES

• Zubulake v. UBS Warburg LLC, 220 F.R.D. 212 (S.D.N.Y. 2003) (Zubulake IV)
• Zubulake v. UBS Warburg LLC, 229 F.R.D. 422 (S.D.N.Y. 2004) (Zubulake V)
• Pension Committee of the Univ. of Montreal v. Banc of America Securities LLC, 685 F. Supp. 2d 456 (S.D.N.Y. 2010)
• Fed. R. Civ. P. 37(e) (2015 amendment)
• Everlaw, "Pivotal Court Decisions for Legal Holds"
• Amended Rule 37(e): What's New and What's Next in Spoliation, Judicature (Duke)