APPLICATION

Effective Date:

12-17-2018

Policy #:

G-40

Supersedes:

Subject:

LITIGATION HOLDS

Page:

1 of 14

OBJECTIVE

Court rules and case law require a party to take affirmative steps to preserve relevant or

potentially relevant records when litigation has been filed or is reasonably anticipated or

foreseeable. The consequences of a failure to preserve records varies depending on

the circumstances but may include: regulatory fines and penalties; civil litigation

consequences such as increased litigation costs, sanctions, fines, adverse inference

instructions, default judgment and civil contempt; vicarious liability for responsible senior

management; and criminal liability for organizations and individuals.

I. GENERAL POLICY

This document sets forth the authority and process for initiating, implementing,

monitoring, and releasing litigation holds. This policy applies to all relevant or potentially

relevant records, regardless of form, in the possession or control of the Department of

Licensing and Regulatory Affairs ("Department") when litigation against the Department,

or an employee acting within the scope of employment has been filed or is reasonably

anticipated or foreseeable. This policy also applies when litigation has been filed, or is

reasonably anticipated or foreseeable to be filed, on behalf of the Department.

When a litigation hold notice is issued, this policy suspends any records retention policy

that would otherwise authorize destruction, deletion or disposal of the records covered

by the litigation hold.

II. DEFINITIONS

Affected Parties: All parties to which a Litigation Hold Notice is addressed, including,

but not limited to, employees (whether temporary, permanent, full time or part time) and

their supervisor, agents, contractors, vendors, IT liaisons or the Department of

Technology, Management and Budget (DTMB).

Correspondence: Includes but is not limited to: letters; telegrams; electronic mail;

facsimiles; voicemail messages; inter- or intraoffice memoranda or communications;

text messages; any other written or electronic communications regardless of form; notes

and memoranda of meetings or oral communications; sound recordings and transcripts.

Documents: Any paper or other writing and any item of graphic materials, however

recorded or reproduced, including all drafts, copies or other preliminary material which

Effective Date:

12-17-2018

Policy #:

G-40

Supersedes:

Subject:

LITIGATION HOLDS

Page:

2 of 14

are different from the executed or final document, regardless of whether designated

"confidential", "privileged", or otherwise restricted, wherever located, whether an original

or a copy, including but not limited to agreements, contracts, financial statements,

invoices, minutes, worksheets, work papers, summaries and any other written records

or recordings of any conferences, meetings, visits, interviews or telephone

conversations, financial and statistical data, analyses, surveys, transcripts of testimony,

statements, interviews, affidavits, press releases, memoranda, drafts, memo pads,

notes, indices, tabulations, graphs, reports, papers, records, inter-office

communications, electronic data processing charts, tapes, print-outs, papers or other

recordings, tables, compilations, catalogs, telegrams, letters, photographs, diaries,

calendars, drawings, data reports, printed matter, correspondence, communications

received and/or sent, books, brochures, advertisements, circulars, mailings and

publications; and any copy containing thereon or having attached thereto any

alterations, notes, comments, or other material shall be deemed a separate document

from the original or any other copy not containing such materials within the foregoing

definitions, regardless who it was created by.

Electronically Stored Information (ESI): Computer data or electronic recorded media

of any kind that is stored in a digital medium from which it can be retrieved and

examined. ESI may include, but is not limited to, information and/or documentation

stored via various software programs such as: e-mail, Outlook, Word, Excel, Access,

Publisher, PowerPoint, Adobe Acrobat, web pages, metadata, or any other software or

electronic communication programs (including telephonic voicemail, voice messaging,

text messaging, social media, etc.) or databases. ESI may be loaded on network

servers, BlackBerrys, PDAs, flash drives, CDs, DVDs, floppy disks, work computers,

cell phones, laptops, electronic notebooks, or any other electronic device used to do or

store Department work (including any personal devices used off-site, at home or

elsewhere, for work related purposes), regardless who it was created by.

Litigation to which the Department is a party: This policy applies when litigation is

filed or is reasonably anticipated or foreseeable, and the Department, or one or more

Department employees acting within the scope of employment, is a party. Hereafter,

references in this policy to "litigation to which Department is a party" shall include

litigation in which a Department employee, acting within the scope of employment, is a

party.

Effective Date:

12-17-2018

Policy #:

G-40

Supersedes:

Subject:

LITIGATION HOLDS

Page:

3 of 14

Litigation Hold Notice: Written notification, and any changes or amendments thereto,

that litigation has been filed or is reasonably anticipated or foreseeable, and that

requires the recipients to preserve Potential Evidence in their possession or control.

Potential Evidence: Any Record that may reasonably be expected to be requested in

discovery or used in or related to litigation to which the Department is or may be

reasonably anticipated or foreseen to become a party.

Records: Includes Documents, Correspondence and ESI. Records also includes work

related Documents and Correspondence kept off-site, at home or elsewhere (including

any personal devices) for work related purposes.

III. PROCEDURES

A. RELATION TO RECORDS RETENTION POLICY.

Upon receipt of a Litigation Hold Notice, or when litigation is otherwise reasonably

anticipated or foreseen, Affected Parties shall immediately suspend destruction,

deletion, or disposal of Records that are Potential Evidence. This policy supersedes any

provision of a records retention policy that would otherwise authorize destruction,

deletion or disposal of such Potential Evidence.

In accordance with this Policy, and when litigation has been filed, the Litigation

Coordinator, in consultation with the Department of Attorney General (AG), shall send

written notice to DTMB to suspend destruction, deletion or disposal of electronic records

in DTMB’s control that are Potential Evidence.

B. TRIGGER EVENTS AND DUTY TO PRESERVE.

Employees have a duty to preserve Potential Evidence when litigation to which the

Department is a party is initiated or is reasonably anticipated or foreseeable. Employees

must immediately conserve Potential Evidence in such circumstances and suspend

deletion, destruction, purging, overwriting or disposal even if a litigation hold has not

been issued.

Effective Date:

12-17-2018

Policy #:

G-40

Supersedes:

Subject:

LITIGATION HOLDS

Page:

4 of 14

1. Duty to Preserve Evidence whether or not a Litigation Hold Notice has

been issued.

Employees have a duty to preserve Potential Evidence when litigation to which

the Department is a party is initiated, or is reasonably anticipated or foreseeable,

even if a litigation hold is not issued.

2. When Litigation is initiated against the Department.

Litigation is initiated against the Department when a complaint or petition is filed

with the court and served on the Department.

3. When Litigation is reasonably anticipated or foreseeable against the

Department.

The following is a non-exhaustive list of events that may indicate that litigation is

reasonably anticipated or foreseeable against the Department:

a) Receiving a document preservation request or notice letter from an

adverse party or legal counsel;

b) Receipt of a communication threatening litigation;

c) Notice of an administrative claim or complaint;

d) A complaint was made to an external or internal investigatory agency or

unit;

e) Similar past experience or circumstances resulted in known and

significant litigation;

f) Violation of a statutory or regulatory obligation;

g) Receipt of a cease and desist letter;

h) A Department employee receives information of anticipated litigation;

i) Events occurred that resulted in known and significant injury;

j) Receipt or anticipation of receipt of a subpoena;

k) Government audit or investigation; or

I) Press or media reports suggest litigation is likely.

m) Receipt of a Freedom of Information Act (FOIA) request.

4. When litigation is initiated or reasonably anticipated or foreseeable by

the Department against another party.

Litigation is initiated by the Department when a complaint or petition is filed with a

court and served on the opposing party by the Department or the Department of

Attorney General on the Department’s behalf. In addition, the following is a non-

exhaustive list of events that may indicate that litigation is reasonably anticipated

Effective Date:

12-17-2018

Policy #:

G-40

Supersedes:

Subject:

LITIGATION HOLDS

Page:

5 of 14

or foreseeable by the Department against another party:

a) When the litigation is authorized by the Director or other authorized

party;

b) When a formal demand mentioning litigation is sent;

c) Sending a documentation preservation letter;

d) A time frame and strategy for litigation is discussed or established;

e) Similar past experience or circumstances resulted in known and

significant litigation;

f) Events occurred that resulted in known and significant injury;

g) There have been serious internal management discussions regarding

potential litigation; or,

h) When an examination of records is made to determine whether a claim

or litigation shall be initiated.

C. DUTY TO NOTIFY THE LITIGATION COORDINATOR.

Any employee who becomes aware of litigation to which the Department is a party, or is

reasonably anticipated or foreseeable, shall immediately notify his/her immediate

supervisor.

That supervisor shall immediately notify the Litigation Coordinator in writing.

D. DECISION TO INITIATE LITIGATION HOLD NOTICE AND IMPLEMENTATION.

The Litigation Coordinator, or the attorney handling the matter in consultation with the

Litigation Coordinator, shall make a good faith and reasonable written evaluation of the

relevant facts and circumstances, as they are known at the time, to determine whether

to initiate a Litigation Hold Notice.

This determination should also address the scope of

Determining if a Litigation Hold Notice is required and, if one is required, the scope of the Litigation Hold Notice,

requires consideration of many different factors. Depending on the nature of the litigation, factors that might be pertinent

to consider could include:

• The nature and specificity of the complaint or threat;

• The party making the claim;

• The position of the party making the claim;

• The business relationship between the accused and accusing parties;

• Whether the threat is direct, implied or inferred;

• Whether the party making the claim is known to be aggressive or litigious;

• Whether a party who could assert a claim is aware of the claim;

• The strength, scope or value of a potential claim;

• The likelihood that data relating to the claim will be lost or destroyed;

• The significance of the data to the known or reasonably anticipated issues;

Effective Date:

12-17-2018

Policy #:

G-40

Supersedes:

Subject:

LITIGATION HOLDS

Page:

6 of 14

the hold, including the identification of Affected Parties and the types of Records that

would be subject to the hold.

The Litigation Coordinator may consult with the relevant

bureau/division staff to develop a better understanding of the issues raised in the

litigation (or potential litigation) and to determine the appropriate scope for a Litigation

Hold Notice. Later facts or information may require the Litigation Coordinator to

reevaluate/amend such determinations.

The Litigation Coordinator, or the attorney handling the matter in consultation with the

Litigation Coordinator, may determine that a written preservation plan is needed, for

instance, when the litigation or reasonably anticipated or foreseeable litigation will

encompass: a large quantity of records; where control over potential evidence resides in

multiple locations throughout the Department; or which focuses on the Department's

management of records, such as public records litigation.

In some cases, a Litigation Hold Notice is an appropriate response to preserve records

for litigation. In other cases, a detailed preservation plan with DTMB support to suspend

auto-deletion policies may be the better course. This determination, concerning the

scope of the Department’s preservation efforts, should be made in consultation with the

AG and consider the needs of the case and the importance of the issues at stake to

ensure that the Department’s preservation efforts are an appropriate and proportionate

response.

A written preservation plan may include, but not be limited to, the following information:

list of the Affected Parties and their contact information; the types of Records and/or ESI

to be preserved; when the Litigation Hold Notice(s), any amendments, and any

• Whether the Department has learned of similar claims;

• The experience of the industry;

• Whether the records are being retained for some other reason; and

• Press and industry coverage of the issue either directly pertaining to the Department, or of

complaints brought against someone similarly situated in the industry.

The preceding list of factors is not exhaustive; they and other considerations must be weighed reasonably and in good faith

in the context of what steps are reasonable and practicable as well as the scope and burden of an anticipated litigation hold.

The Sedona Conference Commentary on Legal Holds, p. 9 (August 2007).

In determining the scope of information that should be preserved, the nature of the issues raised in the matter, experience

in similar circumstances and the accessibility of the information are factors that may be considered. . . Organizations

should be cautious in determining whether to preserve inaccessible data; the Federal Rules Committee has stated that, “[a]

party's identification of the sources of ESI as not reasonably accessible does not relieve the party of its common-law or

statutory duty to preserve evidence." (quoting Fed. R. Civ .P. 26(b)(2)(B)(2006 Committee Note). Id. at pp.13-14.

Effective Date:

12-17-2018

Policy #:

G-40

Supersedes:

Subject:

LITIGATION HOLDS

Page:

7 of 14

Preservation Questionnaire was/were sent; the time and response of the Affected

Parties; the date(s) DTMB was notified to suspend destruction of Records and the

scope of the records that DTMB was notified to suspend destruction; and the time and

nature of follow-up contacts with the Affected Parties, including notes from any

interviews conducted. Additional information as deemed appropriate by the Litigation

Coordinator may be included in the written preservation plan.

Examples of preservation methods may include, but not be limited to:

a) For ESI - suspension of auto-delete program(s); securing or imaging a hard-

drive; securing and preserving a backup tape or backup media; and/or

sequestering or archiving information/records.

b) For paper records - making photocopies, sequestering original paper records

to protect from loss, destruction or alteration; and/or storage at the contracted

Department's off-site facility approved by the Secretary of State for the storage of

Records.

c) Any instruction contained in the Litigation Hold Notice.

Whenever possible, Potential Evidence shall be maintained in its native format.

E. THE LITIGATION COORDINATOR’S DUTIES

The Litigation Coordinator shall:

a) Advise whether litigation to which the Department may be a party is

reasonably anticipated or foreseeable;

b) Determine a response consistent with this Policy when litigation is initiated or

is reasonably anticipated or foreseeable;

c) Understand where and how ESI is stored within Department;

d) Direct that retention schedules be suspended so as to preserve Records and

other Potential Evidence as provided in this Policy;

e) Coordinate consistent preservation and production practices for all litigations;

f) Identify Affected Parties reasonably expected to have Potential Evidence and

to whom to send a Litigation Hold Notice;

g) Issue, confirm receipt of, and take appropriate follow-up action concerning

Litigation Hold Notices;

h) Identify the need to engage internal IT personnel or DTMB to preserve existing

ESI and ESI created after the Litigation Hold Notice is issued;

i) Develop written preservation plans, if and when deemed appropriate;

Effective Date:

12-17-2018

Policy #:

G-40

Supersedes:

Subject:

LITIGATION HOLDS

Page:

8 of 14

j) Work with Department IT personnel to determine the accessibility of various

ESI forms, and the cost and feasibility of accessing and/or preserving such data

for litigation or potential litigation;

k) Help individuals comply with the Legal Hold Notice;

I) Ensure appropriate follow-up for all preservation inquiries; and

m) Such other actions deemed advisable by the Litigation Coordinator.

The Litigation Coordinator may delegate any duty under this Policy to his or her

designee(s), including but not limited to the formation of a Litigation Response Team to

coordinate efforts to preserve Potential Evidence.

F. ISSUANCE OF A LITIGATION HOLD NOTICE.

Upon determination a Litigation Hold Notice needs to be issued, the Litigation

Coordinator shall notify the Affected Parties in writing that a litigation hold has been

initiated. See Exhibit 1 for an example of a Litigation Hold Notice - THIS IS ONLY AN

EXAMPLE AND THE LITIGATION HOLD NOTICE MUST ALWAYS BE ADAPTED TO

THE SPECIFIC FACTS AND UPDATED WITH CURRENT CASE LAW.

Litigation Hold Notice shall inform the Affected Parties of their obligation to identify and

immediately preserve all Potential Evidence that may be relevant to the litigation. The

Litigation Hold Notice shall ask the recipient to confirm receipt and complete the

Preservation Questionnaire within ten (l0) calendar days (or sooner if the Litigation Hold

Notice directs a shorter time period).

The Litigation Coordinator shall meet with the Affected Parties (if it is not possible to

meet, alternative communication shall occur), and any other Affected Party identified in

a subsequent supplementation to the initial Litigation Hold Notice, to help the Affected

Party:

(1) understand the litigation hold and his/her/its obligations to preserve Potential

Evidence;

(2) locate, ascertain, and retain all reasonably identifiable Potential Evidence in

the Affected Party's possession or control;

(3) by notifying DTMB to suspend destruction of Records, if applicable;

(4) take appropriate steps to preserve Potential Evidence until advised it is no

longer necessary to do so; and

(5) understand the need to preserve additional Potential Evidence created or

discovered after the litigation hold is issued and how to handle such Potential

Effective Date:

12-17-2018

Policy #:

G-40

Supersedes:

Subject:

LITIGATION HOLDS

Page:

9 of 14

Evidence.

G. RESPONSIBILITY OF SUPERVISOR.

A Litigation Hold Notice addressed to a supervisor requires the supervisor to comply

with the Litigation Hold Notice, forward such notice to appropriate staff and instruct such

staff to comply with the Litigation Hold Notice. The supervisor shall be responsible for

the employees’ compliance with the Litigation Hold Notice and shall complete the

Preservation Questionnaire.

H. PERIODIC REVIEW AND MAINTENANCE OF LITIGATION HOLD NOTICES.

At least quarterly or more frequently if, the Litigation Coordinator deems warranted, the

Litigation Coordinator shall review existing Litigation Hold Notices to (1) determine the

need to maintain the litigation hold on each of the Affected Parties; (2) remind the

Affected Parties in writing of their continuing obligations under the litigation hold

(including any changes); and (3) require Affected Parties to complete compliance

certifications.

I. REMOVAL OF LITIGATION HOLD.

The Litigation Coordinator, or the attorney handling the matter in consultation with the

Litigation Coordinator, shall determine and communicate in writing to Affected Parties

when a Litigation Hold Notice is lifted and Potential Evidence no longer requires

preservation. A Litigation Hold Notice may only be lifted if the litigation is no longer

pending (including any appeals or potential appeals) or if litigation is no longer

reasonably anticipated or foreseen. Before communicating to the Affected Parties that

the litigation hold is lifted, the Litigation Coordinator shall make sure the Potential

Evidence is not subject to other litigation holds. The lifting of a Litigation Hold Notice

shall revive normal document retention policies.

If, at any time, an Affected Party under a litigation hold or the Affected Party’s

supervisor and/or bureau director receive notice that a Litigation Hold Notice may be

lifted from another person other than the Litigation Coordinator, the Affected Party or

his/her/its supervisor shall contact the Litigation Coordinator before any Potential

Evidence is destroyed.

J. DEPARTING EMPLOYEES.

All departing employees in receipt of a Litigation Hold Notice are under an obligation to

inform the Litigation Coordinator and the employee's supervisor about any impending

Effective Date:

12-17-2018

Policy #:

G-40

Supersedes:

Subject:

LITIGATION HOLDS

Page:

10 of 14

departure from the Department in order that the Department can arrange for

preservation of Potential Evidence. DO NOT send any computer or electronic

equipment to DTMB or any other location without prior authorization from the Litigation

Coordinator. The supervisor of a departing employee in receipt of a Litigation Hold

Notice shall also notify the Litigation Coordinator and IT Liaison when completing the

exit checklist. The supervisor shall take responsibility of any and all Potential Evidence

under the control of the separated employee until further notice by the Litigation

Coordinator.

K. VIOLATIONS.

Violations of this policy and procedures may be subject to disciplinary action up to and

including dismissal.

L. FURTHER INFORMATION

Litigation Coordinator:

M. ADDENDUMS

(A) Example Litigation Hold Notice

(B) Preservation Questionnaire

Effective Date:

12-17-2018

Policy #:

G-40

Supersedes:

Subject:

LITIGATION HOLDS

Page:

11 of 14

Exhibit 1

NOTE: THIS IS ONLY AN EXAMPLE AND THE LITIGATION HOLD NOTICE MUST

ALWAYS BE ADAPTED TO THE SPECIFIC FACTS AND UPDATED WITH

CURRENT CASE LAW.

To:

From:

Date:

Re: Litigation Hold

Please be advised that the Department of Licensing and Regulatory Affairs (LARA) has

received a notice in connection with a claim or potential lawsuit tentatively captioned as:

[ ] (the "Litigation").

The Litigation arises from allegations by [ ] against LARA and certain named and

unnamed State employees. LARA is required to take steps to retain and preserve

documents and other information relating to the Litigation. This Memorandum describes

the steps you should take to preserve potentially relevant evidence.

If you have any questions or concerns about the requirements set forth below, please

direct them to [ ] as soon as practicable.

FORM OF DOCUMENTS TO PRESERVE:

LARA and its employees have a duty to preserve Potential Evidence. This duty includes

preserving both paper records and electronic records. Employees with control of paper

or electronic evidence should be notified of the Litigation and instructed to take extra

care in preserving documents relevant to the issues involved in the Litigation.

Electronic information, such as emails and voicemails, are often deleted in the regular

course of the operation of information systems. A failure to preserve evidence (both

records and electronic information, including a failure to preserve metadata - data about

when files are created, edited, saved, etc.), may be punishable by sanctions imposed by

the [ ] Court. The consequences of a failure to preserve will vary depending on the

circumstances, but may include: regulatory fines and penalties; civil litigation

consequences such as increased litigation costs, fines, adverse inference instructions,

default judgment and civil contempt; vicarious liability for responsible senior

management; and criminal liability for organizations and individuals.

Effective Date:

12-17-2018

Policy #:

G-40

Supersedes:

Subject:

LITIGATION HOLDS

Page:

12 of 14

Because the Litigation relates to events that occurred recently and in the past, relevant

information may be inadvertently deleted unless precautions are immediately taken to

preserve and protect all relevant information.

In addition, if you or your employees store paper or electronic information with outside

vendors, those vendors should be identified and informed of their preservation

obligations as well.

This obligation to preserve records applies to documents of every kind, whether in hard

copy or electronic form, including e-mails, voicemail, instant messaging, letters,

memoranda, notes, drawings, designs, calendars, correspondence or communications

of any kind, and applies even where retention would otherwise not be required by

normal document retention policies and practices.

This litigation hold shall also apply to any records retained off-site that may be subject to

an automatic records retention/records destruction policy. Any such records

retention/records destruction policy shall be suspended as to the documents/subject

matter referenced herein until further notice.

TIME PERIOD OF DOCUMENTS TO PRESERVE:

The documents that should be preserved (described below) are those that were created

on or after [ ] to the date hereof, or that refer to events that occurred from that date to

the present [and/or or going forward] relative to:[ ]

SUBJECTS OF DOCUMENTS TO PRESERVE:

Whenever any lawsuit is filed or reasonably anticipated, the parties are generally

required to preserve documents related to the claims and defenses at issue in the

lawsuit. At this early stage of the case, it is difficult to foresee exactly which issues may

become relevant to the claims and defense of this case. Therefore, until further notice,

all documents in any way related to the litigation should be preserved regardless of how

inconsequential or minor the documents or information may seem.

If you are uncertain as to whether to retain a document or other information, please err

on the side of preservation at this time. You should direct specific questions to the [ ].

Effective Date:

12-17-2018

Policy #:

G-40

Supersedes:

Subject:

LITIGATION HOLDS

Page:

13 of 14

HOW TO PRESERVE RECORDS:

Paper Documents:

For all paper documents and files subject to this litigation hold that are

maintained in filing cabinets or the like, and that will continue to be used from

time to time in the ordinary course of business you should affix to the file cabinet

or container the following note: "Contents subject to { } litigation hold. Make and

use copies only. Do not remove this label. Do not remove originals except to

copy and return."

All other paper documents subject to this litigation hold that can be segregated

from routinely used business files should be segregated and stored in separate

boxes or files. The custodian of such records should affix a note with his/her

name, the date, and the following: "Contents subject to litigation hold. Do not

remove this label. Make and use copies only. Do not remove originals except to

copy and return."

Once you have identified and labeled all filing cabinets, boxes, files or other

storage areas that contain documents or information, please provide a list within

ten (10) calendar days to [ ] identifying (1) your name; (2) the date on which the

documents or information were identified and segregated; and (3) the location of

the documents or information; and (4) a general description of the documents or

information.

Electronic Documents:

Any electronic documents that may relate to this matter should be preserved.

Such documents may be maintained on shared network files (such as local office

file and print servers), computer hard-drives, DVDs, CD-ROMs, floppy disks,

laptop computers, handheld or pocket PCs or tablets (e.g., iPads, Palm Pilots),

and/or Blackberry devices. In addition, electronic documents located on an

assistant's computer and/or client-related networks should be maintained.

Upon receipt of this notice, you should restore all responsive e-mail that may be

in the "Trash" of your electronic mailbox and begin saving all "Sent" e-mail that is

responsive, if your practice is not to save "Sent" e-mail. Additionally, when

identifying e-mail subject to this notice, please make sure that you review all

messages in the "Inbox," "Drafts," "Sent," "Archive," "Trash," and other such

categorized messages.

Effective Date:

12-17-2018

Policy #:

G-40

Supersedes:

Subject:

LITIGATION HOLDS

Page:

14 of 14

If you have any questions about Electronic Documents and/or how to preserve

them, please contact IT at [ ].

Once you have identified all the Electronic Documents, please provide a list

within ten (10) calendar days to [ ] identifying (1) your name; (2) the date on

which the Electronic Documents were identified; (3) the location of the electronic

documents or information; and (4) a general description of the electronic

documents or information.

You must respond to this communication by completing the attached Preservation

Questionnaire.

In summary, please take all steps necessary, including instructing other employees

under your supervision, to save all documents in the State's possession, custody or

control that relate in any way to the Litigation. Please take the time to review where you

might have any such material (including your desk, personal computer, laptop

computer, cell phone, file cabinets, etc., including any such material kept off-site, at

home or elsewhere, including on personal electronic devices) so as to ensure that no

such material is accidentally deleted, discarded, altered or destroyed. Also, please

determine whom under your supervision you should coordinate with to ensure that all

appropriate persons have been notified of this directive. This information should be

included on the Preservation Questionnaire.

Departing Employees

All departing employees in receipt of this Litigation Hold Notice are under an obligation

to inform [ ], and the employee's supervisor, about any impending departure from the

Department in order that the Department can arrange for preservation of Potential

Evidence. DO NOT send any computer or electronic equipment to DTMB or any other

location without prior authorization from [ ]. The Supervisor of an employee in receipt of

a Litigation Hold Notice shall also notify their IT liaison when completing the exit

checklist. The Supervisor shall take responsibility of any and all Potential Evidence

under the control of the separated employee until further notice by the [ ].

Failure to Comply

Violations of this Litigation Hold notice may be subject to disciplinary action up to and

including dismissal.