Up until recently our company had a
keep-everything-forever-because-we-don't-know-what-else-to-do document
policy. As a result, anything the attorneys wanted could usually be
eventually found. Now that we have an official policy and retention
schedule, we have put in place a litigation hold policy. Keeping
Zubulake in mind, I have created a process that, honestly, I can only
hope will work. 
 
The hold process is basically this: Our records staff hierarchy is me (I
oversee the policy and programs), then each division has a divisional
records manager (DRM) and each department has a records coordinator
(RC). They work with the actual records in their divisions. The DRMs and
RCs do RIM in addition to their "regular" duties.
1) In-house council issues lit hold notice to appropriate DRM with a cc:
to me. The lit hold notice gives some basic info about the claim (we
have only 2 or 3 types that we regularly have to deal with) and includes
a list of types of documents our attorneys think will be needed. Two of
the types are so frequent and similar that the attorneys have just gone
through our retention schedule and created a standard list of which
record series they want.
2) The DRM determines whether the documents are active or in storage. 
2a) If in storage, he/she does a computer search and applies a code to
the appropriate records. 
2b) If the documents are active, he/she determines which departments
would have the requested documents, and works with the RCs to identify
what documents they have that are responsive. They apply a sticker or
other type of flag to the actual files to indicate that those records
are subject to hold. 
3) Every quarter the attorneys issue a litigation update summarizing all
current litigation. The DRM gets the section for his/her division and
reminds everyone that the holds are still in place. 
4) Eventually the case is settled, a release of hold notice is issued
and everyone is notified that the hold has been lifted and/or the code
is removed from the stored records
5) Any records past their normal destruction date are immediately
processed according to our destruction policy.
 
This is a pretty new process and I am of course finding glitches and
hiccups. What I'd like to know is: 1) Is my process reasonable and/or
legally sufficient? and 2) What is your process? How do you determine
what should be held and who determines it? How do you communicate that a
lit hold is in place?
 
Thanks to everyone. You all are always so helpful!
 
Nolene
 
Nolene Sherman | Director of Records Management | Standard Pacific Homes
| 949.789.1668 | [log in to unmask]
 

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