Run: Document Hold Litigation Policy

This policy establishes the process for identifying litigation hold triggers, issuing preservation notices, preserving potentially relevant records, and releasing a hold when appropriate. The policy is intended to support compliance with the duty to preserve evidence when litigation is reasonably anticipated and to help the organization meet recordkeeping obligations that may arise in employment matters, including EEOC charges and FLSA-related disputes.

This policy applies to all employees, managers, supervisors, contractors, temporary workers, and third parties who create, receive, store, or control company records. It applies to paper records, email, chat messages, text messages, collaboration tools, cloud storage, HR files, payroll records, timekeeping records, audio/video files, device data, and any other information that may be relevant to a claim or investigation.

When litigation is reasonably anticipated, the organization will promptly preserve potentially relevant records and suspend ordinary destruction practices for the affected information. Relevant legal considerations may include the duty to preserve evidence under federal common law, EEOC charge handling, Title VII-related claims, ADA and FMLA disputes, and FLSA recordkeeping obligations under 29 U.S.C. § 211(c) and 29 C.F.R. Part 516. The organization will also take reasonable steps to prevent alteration, deletion, or loss of relevant information.

Key terms used in this policy are defined in the Definitions section of the template data. In addition, "good-faith" means an honest, timely, and documented effort to preserve information once a hold is triggered; "documented warning" means a written reminder that failure to comply may result in discipline; and "PIP" means a performance improvement plan, which is separate from a litigation hold but may be relevant if employee performance issues intersect with a dispute.

1. **Identify triggers.** A litigation hold must be considered when the organization receives or becomes aware of a demand letter, EEOC charge, agency inquiry, subpoena, complaint, threatened lawsuit, internal complaint likely to escalate, preservation request, or other facts showing litigation is reasonably anticipated. 2. **Escalate promptly.** Managers and HR must notify Legal or the designated compliance lead immediately upon learning of a trigger. Do not wait for a formal lawsuit to be filed. 3. **Issue preservation notice.** Legal or Compliance will send a written preservation notice to relevant custodians, IT, and records personnel identifying the matter, the categories of records to preserve, the date preservation begins, and any special instructions. 4. **Preserve relevant records.** Recipients must stop deleting, overwriting, shredding, recycling, or otherwise disposing of potentially relevant records. IT must suspend auto-delete or retention policies for affected systems where feasible. 5. **Collect and secure records.** The organization may direct custodians to preserve files in place, copy data to a secure repository, or image devices as needed. Access should be limited to authorized personnel. 6. **Monitor compliance.** HR, Legal, IT, and Records Management will periodically confirm that the hold remains in effect and that preservation steps are working. 7. **Release the hold.** Legal will issue a written release when the matter is resolved and preservation is no longer required. Normal retention and deletion schedules may resume only after release.

**Employees and custodians:** Preserve records, follow preservation notices, and ask questions immediately if unsure whether information is covered. **Managers and supervisors:** Escalate potential claims or disputes promptly and do not direct employees to delete or conceal records. **HR:** Identify employment-related triggers, coordinate with Legal, and maintain documentation of notices and acknowledgements. **Legal / Compliance:** Determine when a hold is required, define the scope, issue and update notices, and release the hold when appropriate. **IT / Records Management:** Implement technical preservation steps, suspend auto-deletion where feasible, and support secure collection and retention. **Policy holder:** The policy holder is the HR Director or designated Compliance Officer, who is responsible for maintaining the policy and coordinating periodic review.

Failure to comply with a litigation hold may result in corrective action up to and including termination of employment, subject to applicable law and any collective bargaining agreement. Noncompliance may also expose the organization and individuals to sanctions, adverse inferences, or other legal consequences. Any suspected loss, deletion, or alteration of preserved records must be reported immediately to Legal, HR, and IT so that a good-faith investigation can begin.

**California employees:** Preserve records in a manner consistent with California privacy and data-handling requirements, including the California Consumer Privacy Act / California Privacy Rights Act (CCPA/CPRA) where applicable, while still meeting legal preservation obligations. **New York employees:** If a matter involves whistleblower allegations, coordinate preservation with any obligations under New York Labor Law § 740. **State-specific recordkeeping rules:** Where state law requires longer retention or special handling of payroll, time, leave, or personnel records, the longer requirement controls. **Privacy and access limits:** Preservation does not mean open access. Access to preserved records must be limited to personnel with a business need to know.

This policy will be reviewed at least annually and whenever there is a material change in law, litigation risk, recordkeeping systems, or organizational structure. Updates must be approved by Legal, HR, and the policy holder. A written release notice should be retained with the matter file after each hold is closed.