R E C O R D S @ W O R K
What else should I know?
• Never destroy, alter, or erase a record or electronic data that
is subject to a legal hold.
• Never assume a legal hold has expired unless an authorized
party informs you that it has been.
• Turn records and information that is subject to a legal hold
over to the appropriate department as quickly as you can.
If there is too much volume for you to deal with, ask for
instructions on how to handle it.
• When in doubt, seek guidance.
WHAT
What Is a Legal Hold?
Questions about legal holds? Contact:
E
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11880 College Blvd., Suite 450
Overland Park, KS 66210
800.422.2762
www.arma.org
© 2011 ARMA International
ISBN: 978-1-931786-72-0
Cat. #A4790
HOW
How Do I Respond to It?
What is a legal hold?
• hold a meeting to announce and discuss the legal hold
Organizations dispose of outdated records on a regular basis
according to their records retention schedule. There are times,
however, when they are required to identify and preserve records
that may be needed for a lawsuit or other legal action. This
requirement is communicated through what is called a legal hold.
• use a combination of these notification methods
What do legal holds have to do with me?
When a legal hold is placed on a category of records, the hold
applies to all records within the category, regardless of who
has them or the media on which they reside. If the records are
in your file cabinet, on your shelf, in your computer, or on a
computer directory that you control or have access to, the legal
hold applies to you and your records.
A legal hold should not be taken lightly. You and the organization have an obligation to ensure that it is complied with until
the hold is released. Courts can and do punish people and
organizations that violate a legal hold.
How will I be expected to respond?
You may be required to search your office and computer for
information on certain topics. You will be provided instructions
about what to look for.
After you have searched for records or information, you
should comply with any instructions you have received about
preserving or transmitting the records to the appropriate
department. In the absence of instructions, you should do at
least the following:
• Segregate the material you have found and put it in a
safe location.
• Inform your supervisor of the existence and location of
this material.
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When a legal
hold is placed
on a category
of records, the
hold applies to
all records within
the category,
regardless of
who has them
or the media on
which they reside.
How will I know there is a legal hold?
Upper management is responsible for informing employees
of the implementation of a legal hold. This may be done in a
number of ways. For example, management may:
• Preserve the material until you have received clearance to
do otherwise.
If the records or information you have found are in paper
format, segregate the originals for the legal hold. If the originals
are needed for business purposes or if the information you
have found is on a computer, you may make copies of it for
safekeeping; however, you should not destroy, alter, or erase the
original without express permission from an authorized party.
Doing so could have serious consequences. Never destroy records
subject to a legal hold without express authorization.
How long will the legal hold continue?
When a legal hold had ended, you will be notified by an authorized party within the organization. Bear in mind, however, that
legal processes often move very slowly. It may be several weeks
after you are informed of the legal hold before you are asked to
deliver the results of your search.
The hold itself may be in place for several years. Regardless
of how much time passes, never assume that a legal hold has
expired or been lifted; assume that it continues in full effect until
you are explicitly notified by an authorized party that it has
been lifted. Then, make sure you understand for what specific
materials the legal hold has been lifted. Sometimes, the hold is
lifted for only part of the materials, while other materials will
remain subject to the hold.
• inform your supervisor, who will discuss the hold with you
When in doubt, ask!
• send out a memorandum announcing the hold and giving
you instructions
If you have any doubts about whether a legal hold applies to
you or to some record or information you hold, seek guidance
immediately. Do not destroy or purge anything until you are
satisfied that you understand the legal hold completely.