Jon Cohen wrote "What is the RMO's role in this situation? There has to be a hold placed on the records, but how do you communicate?"

The records mangager (officer) plays a key role during the litigation hold process. In many organizations there is a well defined path that a litigation hold process would take. One of the steps would be that once the litigation hold is received and acknowledged, the legal counsel would notify the appropriate parties immediately and start to identify impacted records. This is where the records manager really starts to play a critical role. As part of supporting the request, the records managers (and all concerned parties) will work to ensure that impacted records (and non-records) are quickly determined and also be involved in the process creating data map, record search, processing and presentation.
 
Typically the internal counsel will send out a detailed litigation hold notice that states the record(s)/other information that need to be addressed. Record managers/Counsel will than ensure that appropriate holds are placed on those records and any disposition (if in process) be stopped. Record managers/Counsel should ascertain the proper understanding  of the hold notice and validate that controls are in place to prevent destruction of potential evidence.
 
Record managers may also have to get the IT involved if these records/non-records are stored in systems including tapes, applications etc and ensure that appropriate controls are put in place. 
 
In terms of communication, an e-mail notice documenting what/why the litigation hold is occuring, what records are impacted, what the affected staff need to do (i.e. do not despose of any information etc) would suffice with follow-up communications/memos on next steps and progress.
 
If not already done so, as a best practice, record managers should work with the legal team to craft a fairly detailed litigation hold/preservation notice procedure that details out all of the steps/processes that need to take place. This will go a long way in ensuring that roles, responsibilities, tasks and deliverables are clearly defined and outlined.
 
Thanks
Ganesh Vednere
Manager, Capgemini
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New York
 






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