The URL can be used to link to this page

Home My WebLink AboutA-1 Litigation Hold Policy - 2024-12-1755575.15000\42852020.1 LITIGATION HOLD POLICY CITY OF PALM SPRINGS ADMINISTRATIVE POLICY SUBJECT: LITIGATION HOLD POLICY POLICY NO.: ADOPTED: -1- I. INTRODUCTION When the City of Palm Springs (“City”) reasonably anticipates that a matter may result in litigation, the City will preserve the information and documents in its care, custody, and control that may be relevant to that matter by issuing a “Litigation Hold.” Litigation Holds are used to request and ensure preservation of potentially discoverable documents and evidence. The scope of a Litigation Hold can encompass all types of documents and information, including paper files, email, electronic documents, and data kept in larger databases and systems. Once a Litigation Hold is issued, the Hold supersedes any contrary requirements in any document retention policy and schedule. This policy describes the Litigation Hold process the City shall implement when it reasonably anticipates a matter will result in litigation. II. BACKGROUND Federal and state law requires parties to a lawsuit pending in federal or state court to preserve electronic data and documents pertaining to the lawsuit, in conformance with the Federal Rules of Civil Procedure and the California Electronic Discovery Act of 2009. The City has a legal duty to preserve evidence (e.g.,records), including electronically stored information (“ESI”), when the organization has received notice that the evidence may be relevant to anticipated or actual litigation. III. DEFINITIONS A.The term “Litigation” refers to all events which suspend normal retention policy and practices, including the reasonable expectation of litigation, actual litigation, official claims and complaints, and/or investigations. This shall be deemed to include instances in which the City Council is briefed in closed session 1 with respect to an issue arising under California Government Code section 54956.9. 1 Gov. Code §54956.9 112/17/2024 A - 1 LITIGATION HOLD - 2024-12-17 55575.15000\42852020.1 LITIGATION HOLD POLICY - 2 - B. The term “Records” means all information, data and/or documents, whether in electronic or paper form, created, received, and/or maintained in the course of City business. C. The term “Electronic Records” means Records stored in electronic form including, but not limited to, those created and/or stored on cloud services, main frames, shared servers, local area networks, replicated servers or networks, desktop or laptop hard drives, disks, thumb drives, flash drives, portable drives, memory sticks, CD-ROMS, or DVDs. D. The term “Risk Manager” shall refer to that person designated by the City to oversee the implementation of this Litigation Hold Policy, including making determinations as to its initiation and end dates in compliance with this Policy and applicable law. E. The term “Affected Employee” shall refer to those individuals that are reasonably likely to have custody or control of relevant Records that are within the scope of the Litigation Hold IV. POLICY This document defines the authority and process for initiating, implementing, monitoring, and lifting Litigation Holds. This Policy applies to all potential documents/records in any form owned or under the control of the City when a Litigation Hold has been issued in response to litigation being filed, or anticipated to be filed, against the City or an employee acting within the scope of employment with the City. It is the City’s policy that Litigation Holds apply to all litigation, in addition to official claims, and lawsuits by members of the public, and/or investigations. Litigation Holds suspend normal retention periods and shall apply to Records and Electronic Records in all formats and media to include any evidence in any form whatsoever, and data maintained by any department, that may be relevant to litigation, claims, complaints, audits, and/or investigations. V. IDENTIFICATION OF POTENTIAL LITIGATION HOLD MATTERS A. Notice of Potential Matters to the City Clerk, Risk Manager, and City Attorney. Upon receipt of a new lawsuit, subpoena, investigation notice, demand letter, or other threat of litigation, the receiving party should forward the matter to the Risk Manager. If the matter is a confidential personnel matter, it should be forwarded to the Director of Human Resources 1. The receiving party shall use the “Potential Litigation Hold Matter Information Request Form.” An example of the Form is attached as Exhibit A and will be made available to City employees on “SharePoint” under “CITY CLERK/Litigation Hold.” The City employee receiving notice of a potential legal matter should complete the Potential Litigation Hold Matter Information Request Form and email the completed form to the Claims Manager. If the City employee has documents such as a complaint, subpoena, demand letter, etc., they may also attach copies of the document to the email addressed to the Claims Manger. If the matter is a 55575.15000\42852020.1 LITIGATION HOLD POLICY - 3 - confidential personnel matter, the Potential Litigation Hold Matter Form and all attachments should be sent to the Director of Human Resources. B. Risk Manager or City Attorney Review of Potential Legal Action. Upon receipt of the Potential Litigation Hold Matter Form, the Claims Manager and/or Director of Human Resources shall contact the City Attorney assigned to the matter to determine whether a Litigation Hold should be issued. 1. The Risk Manager and/or Director of Human Resources will also inform designated staff assigned to track Litigation Holds of the potential matter to include a new entry into the Litigation Hold Tracking Sheet. Should the decision be made not to issue a Hold, designated staff will record the basis for that decision in the Litigation Hold Tracking Sheet. VI. DOCUMENT PRESERVATION PLAN A. Prior to Issuing a Litigation Hold Notice Prior to issuing a Litigation Hold Notice the City Clerk in conjunction with the Risk Manager will meet with the City Attorney, Information Technology (“IT”), and key City personnel to identify potential witnesses and documents. To the extent the City Clerk and City Attorney can identify potential witnesses and documents for any documents such as a complaint, a Litigation Hold will be issued immediately. The City Clerk shall contact the identified Department Heads and provide the “Potential Litigation Hold Matter Information Request Form.” An example of the Form is attached as Exhibit A and will be made available to City employees on “SharePoint” under “CITY CLERK/Litigation Hold.” This Form shall assist the City Clerk in identifying relevant employees, documents, and systems. 1. The Department Heads shall complete this Form and bring it to a meeting with the City Clerk, Risk Manager, IT Director, and, if necessary, the City Attorney. B. Initial Instructions to Information Technology Initial Instructions to Information Technology may be sent through email with an “Initial Instructions to IT Form.” An example of the Form is attached as Exhibit B and will be made available to City employees on “SharePoint” under “CITY CLERK/Litigation Hold.” The sending of this Form should be recorded on the Tracking Sheet. 1. The IT Director shall return the Form within one week of receipt of the “Initial Instructions to IT Form,” acknowledging receipt and indicating whether the instructions were followed, whether there are any issues with instituting the Litigation Hold, and whether additional instructions are required. This information should also be forwarded to the City Attorney responsible for the matter. C. Determine Preservation Method and Scope 55575.15000\42852020.1 LITIGATION HOLD POLICY - 4 - The City Attorney assigned to the matter, with assistance from the IT Director, should determine whether there are any issues with preservation that need to be addressed early in the matter. For example, preliminary search terms to assist in locating possible relevant information may be discussed. Additionally, there are other preservation steps that may be taken dependent on the circumstances of the matter. An example of the form that contains this information is attached as Exhibit [B] and will be made available to City employees on “SharePoint” under “Risk Management.” This Form shall assist the City Clerk in identifying relevant employees, documents, and systems. Examples of such actions include but are not limited to the following: a) Suspension of Automatic Deletion of Email. b) Suspension of Automatic Deletion of Other Systems. c) Immediate or Simultaneous Collection of Documents and Data. d) Imaging Hard Drives and Other Methods. e) Back-up Tapes and Other Inaccessible Data. D. Determine Appropriate Date Range Each matter will be reviewed to determine if the Litigation Hold need only apply to documents that fall within a particular date range. In addition, a determination whether the case involves ongoing conduct that requires preservation of documents created after the Litigation Hold Notice is issued may be required. VII. LITIGATION HOLD NOTICE The City Clerk, in conjunction with the Risk Manager, and City Attorney shall draft and issue the Litigation Hold Notice. An example of the Form is attached as Exhibit C and will be made available to City employees on “SharePoint” under “CITY CLERK/Litigation Hold.” The Notice will provide notice of the duty to preserve to key employees that may have potential information and/or documents relevant to the matter. Upon receipt of a Litigation Hold Notice, all departments must immediately suspend routine or intentional destruction, purging, overwriting, re-using, deleting, or any other destruction of original Records regardless of the form or media of the record (electronic, paper, microfilm, audio recording, video recording, etc.). A. Responsibility The City Clerk, in conjunction with the Risk Manager, is responsible for issuing Litigation Hold Notices and removing Holds, and will act as the “clearing house” for Litigation Holds for the City. Each department is responsible for ensuring that records are provided, as appropriate, prior to executing any disposition of records in accordance with the City’s policies and procedures. The City Attorney shall notify the City Clerk and Risk Manager of any Litigation Hold Notice received from outside or opposing counsel; the City Attorney is also responsible for notifying the City Clerk and Claims Manager when the litigation has been settled. The City Clerk, in conjunction with the Risk Manager shall notify departments that may have records pertaining to the subject matter by sending them a Litigation Hold Notice via e-mail. 55575.15000\42852020.1 LITIGATION HOLD POLICY - 5 - The Notice shall be sent to all employees that may have records subject to the hold, with a copy to the appropriate Department Manager. The recipients of the Litigation Hold Notice shall include those individuals that are reasonably likely to have custody or control of relevant Records that are within the scope of the Litigation Hold (“Affected Employees”). VIII. RESPONSE TO A LITIGATION HOLD NOTICE A. Upon receipt of a Litigation Hold Notice, each Affected Employee shall do the following: Each individual who receives a Litigation Hold Notice should carefully review the Notice. After reviewing the Notice the recipient must acknowledge receipt, understanding, and compliance with the Litigation Hold Notice without undue delay within the time frame required and in the manner specified by the Notice. Immediately suspend the discarding, deletion, overwriting, or any other destruction of Records and Electronic Records which fall within the scope of the Litigation Hold and are within the Affected Employees’ care, custody, and control. Preserve any Records and Electronic Records currently within the Affected Employees’ care, custody, and control that are within the scope of the Litigation Hold. Likewise, the Affected Employee must also preserve any new Records generated after the receipt of the Litigation Hold Notice that may fall within the scope of the Litigation Hold. Affected Employees shall contact the City Clerk and/or Risk Manager with any questions on suggested methods for preserving Electronic Records. Electronic Records must be preserved in their original electronic form. It is not sufficient to make a hard copy of the record. Immediately identify Records and Electronic Records within the scope of the Litigation Hold that may be currently maintained on a City-wide system or server. Immediately identify any paper Records that fall within the scope of the Litigation Hold that may be currently held in storage or a third party records storage provider [e.g., Consultant/Contract Records Management Center]. Identify and inform the City Clerk and/or Risk Manager of all Records, including paper and Electronic Records, within the Affected Employees' care, custody, and control that fall within the scope of the Litigation Hold. Cooperate with the City Clerk, Risk Manager, and the City Attorney in the collection of any Records and Electronic Records in his/her care, custody, and control that are within the scope of the Litigation Hold. B. A Litigation Hold does not require the City to suspend disposal of an entire set of Records or Electronic Records not subject to the Litigation Hold. The City may properly dispose of records not subject to the Litigation Hold that have met or exceeded their retention periods in accordance with the City’s policies and procedures. 55575.15000\42852020.1 LITIGATION HOLD POLICY - 6 - IX. INTERVIEW OF KEY INDIVIDUALS After receiving an initial response to the Litigation Hold Notice, the City Clerk, or City Attorney, along with the IT Director, may conduct an optional interview of that recipient to gather additional information. The information gathered from this interview will help determine what relevant documents may be in the possession of the recipient and what computer systems may contain relevant information or data. Also, the interview may produce additional witnesses and/or computer systems previously not identified. In such case, additional Litigation Hold Notices may be issued. All of this information will also assist in determining the method of preserving any relevant documents. A sample “Litigation Hold Interview Form” is attached as Exhibit [E] and will be made available to City employees on “SharePoint” under “Risk Management.” X. COLLECTION OF DOCUMENTS The City Clerk and Risk Manager will determine the appropriate time and manner for collecting any documents. The IT Director should be consulted as to how to best collect electronic documents. XI. PERIODIC REVIEW AND REMINDERS OF LITIGATION HOLD NOTICES In some instances, additional individuals with relevant information and/or additional relevant documents may be uncovered during the course of the litigation. Conversely, the case may be narrowed, changing the definition of relevancy for the matter and allowing a partial lifting of the Litigation Hold. Accordingly, while the litigation is ongoing, the City Clerk, Claims Manager, or City Attorney will review the Litigation Hold status of the case for these types of changes every 90 days after the date the Hold was issued. During this process, they identify any individuals on Hold who may have switched their jobs or roles, left the City, or given notice of future retirement or termination. Also, computer systems that will be reconfigured, modified, or replaced for business reasons should be identified. This information will be used by the City Attorney to determine and advise of appropriate next steps. XII. TRACKING LITIGATION HOLD ACTIVITY All Litigation Hold activity will be tracked by designated staff. These tracking sheets shall be maintained as part of the Litigation Hold file and only available to review by key City personnel. XIII. RELEASING LITIGATION HOLDS At the conclusion or narrowing of the case, or when key business employees or IT custodians change jobs or roles, the City Clerk, Risk Manager, and the City Attorney should determine whether the Litigation Hold for certain or all individuals can be lifted. This may occur during the periodic review discussed in Section XI above or at any time during the matter. A. The City Clerk and/or Risk Manager will notify all departments and employees, including IT when the litigation hold is removed. All Affected Employees shall provide confirmation in response that they received the notification terminating the 55575.15000\42852020.1 LITIGATION HOLD POLICY - 7 - Litigation Hold, and will proceed in accordance with ordinary record retention and deletion schedules from that point. B. The City Clerk and/or Risk Manager will contact the City Attorney and the City’s insurance carrier at least once a year regarding the status of any existing litigation holds, to determine if such holds should remain in place or can be removed. C. Violations of the litigation hold policy by any City employee may result in disciplinary action, up to and including termination of employment. Approved: ______________________________ Scott Stiles, City Manager Adopted: ______________________ _____________________________ Jeffrey Ballinger, City Attorney 12/17/2024 55575.15000\42852020.1 LITIGATION HOLD POLICY EXHIBIT A - 8 - CONFIDENTIAL POTENTIAL LITIGATION HOLD MATTER INFORMATION REQUEST TO: DEPARTMENT: FROM: OFFICE OF THE CITY CLERK (VIA EMAIL) MATTER NAME: DATE OF NOTICE: CLICK OR TAP TO ENTER A DATE. RESPONSE DUE DATE: CLICK OR TAP TO ENTER A DATE. (REFERENCE ATTACHED NOTICE) NOTICE: As a result of the above referenced matter, it has become necessary to preserve documents that we believe may be in the care, custody and/or control of [Department] and to immediately issue a Litigation Hold. This request is to help the City Clerk, Risk Manager, and the City Attorney identify those individual employees and/or computer systems that may be in the possession of possible relevant information and documents. PLEASE READ THIS LITIGATION HOLD ORDER CAREFULLY AND PROVIDE THE INFORMATION REQUESTED BELOW. 1. DESCRIPTION OF (POTENTIAL) LAWSUIT: The City has been sued [or potentially may be sued] by [Opposing Party] in a lawsuit alleging [description of case in simple terms with relevant time frames if possible]. 2. DUTY TO PRESERVE: The City has a legal obligation to preserve any and all paper and electronic documents that may relate to the claims at issue in this matter. Failure to preserve documents may subject the City to sanctions, including payment of fines. THIS LITIGATION HOLD ORDER SUPERSEDES ANY REQUIREMENTS IN THE CITY’S DOCUMENT RETENTION POLICY AND ANY OTHER GUIDELINES CONCERNING THE RETENTION OF RECORDS, DOCUMENTS AND OTHER ITEMS. FAILURE TO FOLLOW THIS LITIGATION HOLD ORDER STRICTLY CAN RESULT IN SERIOUS LEGAL AND OTHER CONSEQUENCES. 3. REQUESTS FOR INFORMATION: **PLEASE PROVIDE RESPONSES TO THE FOLLOWING ** A. Identification of City Employees: Please list any City employees you believe may have knowledge, information and/or documents that may be relevant to the above referenced matter. 55575.15000\42852020.1 LITIGATION HOLD POLICY - 9 - B. Identification of Relevant Documents: Please list any documents and/or data that you believe may be relevant to the above referenced matter. Please also state whether such documents and/or data exist in paper or electronic format. C. Identification of Computer Systems and Applications: Please list any computer system(s) (including personal computer hard drives of any City employee that you believe contain information and/or documents that may be relevant to the above referenced matter. Please be sure to list the computer systems that contain the electronic documents and/or data identified by you in response to Section 3(B) above. PLEASE DO NOT COLLECT AND/OR SEND DOCUMENTS TO THE CITY CLERK OR THE CITY ATTORNEY AT THIS TIME unless you are specifically requested to do so. A process will be established to facilitate collection of any documents. Please be sure to preserve all original documents and avoid copying or moving documents including electronic documents unless it is necessary for ongoing business operations. 4. CONTACT THE CITY CLERK: Please notify Office of the City Clerk if you have any questions. 5. ACKNOWLEDGEMENT AND RESPONSE: As soon as you have reviewed this Litigation Hold and provided responses to Section 3 above, please sign and date the acknowledgment below. Please be sure to keep a copy of the completed Notice for your files. I have received and reviewed the foregoing Notice, and have provided responses to Section 3 above. _______________________________________ Name _________________________________ Date 55575.15000\42852020.1 LITIGATION HOLD POLICY EXHIBIT B - 10 - CONFIDENTIAL INITIAL INFORMATION TECHNOLOGY INSTRUCTIONS FOR LITIGATION HOLD TO: Information Technology Department FROM: MATTER NAME: DATE OF NOTICE: RESPONSE DUE DATE: NOTICE: As a result of the above referenced matter, it has become necessary to preserve documents that we believe may be in the care, custody and/or control of the City and to immediately issue a Litigation Hold. This request is to help the City Clerk and the City Attorney identify computer systems that may be in the possession of possible relevant information, and to institute initial IT activity to preserve such information. PLEASE REVIEW THE PROPOSED PRESERVATION PLAN AND CONFIRM THAT INFORMATION SYSTEMS CAN COMPLETE THE TASKS BELOW. 1. DESCRIPTION OF (POTENTIAL) LAWSUIT: The City has been sued [or potentially may be sued] by [Opposing Party] in a lawsuit alleging [description of case in simple terms with relevant time frames if possible]. 2. INITIAL IT DEPARTMENT INSTRUCTIONS: This Form shall assist the City Clerk in identifying relevant employees, documents, and systems. Examples of such actions include but are not limited to the following: ܆ Suspension of Automatic Deletion of Email. ܆ Suspension of Automatic Deletion of Other Systems. ܆ Immediate or Simultaneous Collection of Documents and Data. ܆ Imaging Hard Drives and Other Methods. ܆ Back-up Tapes and Other Inaccessible Data. 3. INDICATE WHETHER INSTRUCTIONS WERE COMPLETED: IT was able to complete all instructions provided above. IT took the following action: 4. CONTACT THE CITY CLERK: If you have any questions about these instructions, please notify [City Clerk]. 55575.15000\42852020.1 LITIGATION HOLD POLICY - 11 - The Information Technology Department was not able to complete all instructions provided above. Please explain: ______________________________________________________________________________ The information requested does not exist. Explain: 5. INDICATE WHETHER ADDITIONAL COMPUTER SYSTEMS OR APPLICATIONS ARE IDENTIFIED AS RELEVANT: ܆ IT is unaware of any additional system or application relevant to this matter other than those identified above. ܆ There are additional systems or applications that may be relevant to this matter other than those identified in Part 3. Please explain: 6. ACKNOWLEDGMENT AND RESPONSE: As soon as you have reviewed this Initial Is Instructions for Litigation Hold, please indicate your acknowledgement below by signing where indicated and sending the COMPLETED form via e-mail to the City Clerk and Risk Manager. Please be sure to keep a copy of this signed form for your records. I have received and reviewed the foregoing Notice. Name Date 55575.15000\42852020.1 LITIGATION HOLD POLICY EXHIBIT C - 12 - CONFIDENTIAL LITIGATION HOLD NOTICE TO: DEPARTMENT: FROM: CC: General Manager, Department Head, City Attorney, IT, HR (if applicable) MATTER NAME: DATE OF NOTICE: RESPONSE DUE DATE: NOTICE: As a result of the above referenced matter, it has become necessary to preserve documents that we believe may be in your, your department’s and/or your division’s possession, custody, or control. 1. BRIEF DESCRIPTION OF MATTER: The City has been sued [or There is a reasonable probability that the City will be sued] by [Opposing Party] in a lawsuit alleging [brief description of the case in lay terms.] 2. DUTY TO PRESERVE: The City, and you, have a legal obligation to preserve any and all paper and electronic documents that may relate to the claims at issue in this lawsuit [or potential lawsuit]. Failure to preserve documents may subject the City, and you, to sanctions, including payment of fines. THIS LITIGATION HOLD SUPERSEDES ANY CONTRARY REQUIREMENTS IN THE CITY’S DOCUMENT RETENTION POLICY AND ANY OTHER GUIDELINES YOU MAY HAVE RECEIVED CONCERNING THE RETENTION OF RECORDS, DOCUMENTS AND OTHER ITEMS. FAILURE TO FOLLOW THIS LITIGATION HOLD STRICTLY CAN RESULT IN SERIOUS LEGAL AND OTHER CONSEQUENCES FOR YOU AS WELL AS THE CITY. 3. DOCUMENTS/DATA TO PRESERVE: Until further notice from the City Clerk and City Attorney, you are to preserve, and are not to delete, discard, or otherwise destroy the originals and all copies of all paper or electronic documents, including correspondence, email, memoranda, faxes, spreadsheets, charts, presentations, graphs, telephone slips and notes, photographs, and any and all other documents or tangible materials (hereinafter referred to as “DOCUMENTS”) set forth below. This specifically includes electronic files, documents and/or materials stored on a computer. You must preserve all documents with respect to the following categories: [Identify by Category the subject matter of documents covered.] 55575.15000\42852020.1 LITIGATION HOLD POLICY - 13 - Category A. [Description of a category of documents that is relevant to the matter. If possible, a date range should be included. ] Category B. [Description of a category of documents that is relevant to the matter. If possible, a date range should be included. ] Category C. [Description of a category of documents that is relevant to the matter. If possible, a date range should be included. ] Category D. [Description of a category of documents that is relevant to the matter. If possible, a date range should be included. ] 4. INFORMATION REQUESTED: Please provide a response to the questions below by placing a check mark by either “Yes” or “No.” a. Do you have any documents covered by the categories above? Yes___ No ___ b. Do you have any email covered by the categories above? Yes ___ No ___ NOTE: If you checked “Yes” to this question, you must take immediate action to prevent deletion or the automatic deletion of any email responsive to this notice. c. Are you aware of any other City employee(s) that may have knowledge of this matter and/or in possession of possibly relevant documents? Yes ___ No ___ 5. COLLECTION OF RELEVANT DOCUMENTS: PLEASE DO NOT COLLECT AND/OR SEND DOCUMENTS TO THE CITY CLERK OR THE CITY ATTORNEY AT THIS TIME [or Insert instructions] unless you are specifically requested to do so. A process will be established to facilitate the collection of any documents. Please be sure to preserve all original documents and avoid copying or moving documents including electronic documents unless it is necessary for ongoing business operations. 6. CONTACT THE CITY CLERK: If you have any questions about whether to save an item, you must save it unless and until told otherwise by the City Clerk or the City Attorney. Please notify the City Clerk if you have any questions. If any of the following situations apply, you must contact the City Clerk immediately: x You are notified by IT that you will be receiving a new computer; or x You are changing or rotating position within the City; or x You are planning to retire. 55575.15000\42852020.1 LITIGATION HOLD POLICY - 14 - We will instruct you regarding the proper steps to ensure that all information from your old computer is retained. 7. ACKNOWLEDGEMENT AND RESPONSE: As soon as you have reviewed this Litigation Hold and provided responses to Section 4 above, please sign and date the acknowledgment below. PLEASE SEND THIS NOTICE WITH YOUR SECTION 4 RESPONSES AND ORIGINAL SIGNATURE TO THE CITY CLERK THROUGH INTEROFFICE MAIL NO LATER THAN [insert Response Due Date]. Please be sure to keep a copy of the completed Notice for your files. I have received and reviewed the foregoing Notice, and have provided responses to Section 4 above. __________________________ Name __________________________ Date 55575.15000\42852020.1 LITIGATION HOLD POLICY EXHIBIT D - 15 - LITIGATION HOLD CHECKLIST MATTER NAME: CUSTODIAN (INTERVIEWEE) NAME: DIVISION/DEPARTMENT: INTERVIEW DATE: INTERVIEWER: I. INTRODUCTION Please explain: Attorney/Client privilege and confidentiality of the interview Brief description of the matter, and The duty to preserve possibly relevant documents to the matter. II. PAPER DOCUMENTS A. Paper Documents in Personal Possession Please describe below by category the paper documents related to the above-referenced matter in possession or control of custodian: (Reminder: Check if custodian has handwritten notes, diaries, or handwritten calendar entries.) Please list the location of each category of paper documents in the personal possession or control of the custodian. Are any of paper documents potentially relevant to this matter maintained in off-site storage? If yes, please provide the off-site storage facility’s name and any information available to identify those files at the off-site storage facility (e.g. box number). (Note: You may also want instruct interviewee to contact off-site storage facility to ensure any scheduled destruction will be suspended.) B. Paper Documents in Department’s Possession Please describe below the types of departmental paper files that may contain relevant materials to this matter. Please list the location of these departmental paper files and the custodian of these files. Are any of paper documents potentially relevant to this matter maintained in off-site storage? If yes, please provide the off-site storage facility’s name and any information available to identify those files at the off-site storage facility (e.g. box number). (Note: You may also want instruct interviewee to contact off-site storage facility to ensure any scheduled destruction will be suspended.) 55575.15000\42852020.1 LITIGATION HOLD POLICY - 16 - II. Electronic Documents Does custodian have potentially relevant documents in: ܆ Email. If yes, please describe types of documents including attachments and provide a date range of possible emails. ___________________________________________________________________ ܆ Electronic Calendars, journals, notes etc. If yes, please describe the types of items that may be relevant and include possible date ranges. ܆ City file servers (“H” or “S” Drive, SharePoint and OneDrive). If yes, 1. Please describe what types of documents are located on the City file servers. _________________________________________________________________ 2. Please describe the location of these documents. (E.g. What is the name of the folder on the “H” drive?) _________________________________________________________________ 3. Please state who has access to these folders. _________________________________________________________________ ܆ City issued personal computer’s hard drive. If yes, 1. Please describe what types of documents are located on the personal computer. (Check to see if more than one City issued computer [laptop plus desktop].) _________________________________________________________________ 2. Please describe the location of these documents on the hard drive. (E.g. In what folder - My Documents? Or obtain a description of the file structure containing the documents) _________________________________________________________________ 3. Has the custodian made copies of potentially relevant documents from his PC to external storage media such as CDs, DVDs, or external drives and/or has custodian made a “backup copy” of the hard-drive of his PC? _________________________________________________________________ 55575.15000\42852020.1 LITIGATION HOLD POLICY - 17 - ܆ Other Personal Data Devices, e.g., cell phone, laptop, cloud based services etc.: General description of documents on these devices – ___________________________________________________________________ ___________________________________________________________________ III. DATABASES A. What databases does custodian use? B. What is type of information is contained in them? C. What is their proper path name or other identification information? D. Has custodian created his own databases (e.g. Microsoft Access) which contain may potentially relevant information? Obtain identifying information. ☐ Confirm that there is no automatic deletion of records from these databases (by users or IT) IV. EMAIL A. Does custodian archive e-mail? If so, where has custodian stored archived e-mail? B. Identify any group-email lists to which custodian belongs that may have communications potentially relevant to the matter. C. Does custodian’s administrative assistant or secretary send e-mail for custodian? ܆ Custodian is aware of possible deletion by cell phone and has adjusted practice to prevent such deletion. V. OTHER A. Has custodian used password protection or encryption functions for electronic documents or email that he created? 55575.15000\42852020.1 LITIGATION HOLD POLICY - 18 - B. Does custodian’s administrative assistant or secretary create documents for custodian that would be on assistant’s personal computer’s hard drive or in assistant’s server accounts? C. Did custodian identify any present or former employees likely to have/had materials related to the matter? Who? D. Does custodian have any saved voicemail that contains information potentially relevant to matter? E. Are there any other types of documents or document repositories not mentioned above that the custodian uses? ☐ Reiterated obligations under document hold Notice 55575.15000\42852020.1 LITIGATION HOLD POLICY - 19 - CONFIDENTIAL REMINDER NOTICE LITIGATION HOLD TO: DEPARTMENT: CC: FROM: City Attorney MATTER NAME: ORIGINAL DATE OF NOTICE: This is a reminder that you have been issued a Litigation Hold for the above-referenced matter and under a duty to preserve certain information. PLEASE CONTACT THE CITY CLERK IF YOU HAVE ADDITIONAL INFORMATION OR DOCUMENTS REGARDING THIS MATTER NOT PREVIOUSLY DISCLOSED, ANTICIPATE A CHANGE IN YOUR EMPLOYEE STATUS (e.g. retiring, transfer to another division, etc.), OR YOU WILL BE RECEIVING A NEW COMPUTER. Otherwise, no response is required at this time. If you would like a duplicate copy of the Litigation Hold notice, please contact the Office of the City Clerk at ext. 8204. EXHIBIT E 55575.15000\42852020.1 LITIGATION HOLD POLICY - 20 - LITIGATION HOLD TRACKING SHEET Maintained by the Office of the City Clerk EXHIBIT F 55575.15000\42852020.1 LITIGATION HOLD POLICY - 21 - CONFIDENTIAL RELEASE OF LITIGATION HOLD TO: DEPARTMENT: FROM: MATTER NAME: DATE OF NOTICE: RESPONSE DUE DATE: NOTICE: The above referenced matter has been concluded, and the documents described below can be returned to their normal retention schedule. [Or, The above referenced matter has been partially resolved and only the documents described below can be returned to their normal retention schedule. Any documents not described below that were placed on a Litigation Hold may NOT be released.] 1. DOCUMENTS/DATA TO RELEASE: Category A. Category B. Category C. Category D. [If you have a list of documents provided by an individual participant, you may want to provide that list here] 2. DUTY TO PRESERVE FOR OTHER MATTERS: Notwithstanding the release from preservation requirements imposed by the above-referenced matter, you still have a legal obligation to preserve any and all paper and electronic documents that may relate to the claims from other lawsuits or actions for which you are subject to a litigation hold, as well as follow all regular retention guidelines for the documents. 3. CONTACT THE CITY CLERK: If you have any questions about whether to release an item, you must save it until you clarify the disposition with the City Clerk or City Attorney. WHEN RELEASING DOCUMENTS TO THEIR NORMAL RETENTION CYCLE, PLEASE REFER TO INSTRUCTIONS IN THE DOCUMENT RETENTION POLICY AND ANY OTHER GUIDELINES YOU MAY HAVE RECEIVED CONCERNING THE RETENTION OF RECORDS, DOCUMENTS AND OTHER ITEMS. FAILURE TO FOLLOW IT STRICTLY CAN RESULT IN SERIOUS LEGAL AND OTHER CONSEQUENCES. EXHIBIT G 55575.15000\42852020.1 LITIGATION HOLD POLICY - 22 - 4. ACKNOWLEDGMENT: As soon as you have reviewed this Notice to Release Documents from Litigation Hold Order, please indicate your acknowledgment below by signing where indicated and sending the signed form in interoffice mail. Please be sure to keep a copy of this signed form for your records. I have received and reviewed the foregoing Notice. ___________________________ Name ___________________________ Date