Policies and Procedures

PDF Version

InfoSec-Standard-009

Effective: June 15, 2026
Standard Review Date: 2030
Standard Executive: AVP Information Services and Security
Responsible Office/Unit: Information Security

Standard Statement: The Litigation Hold Standard is an important tool for compliance with legal obligations. When Central Washington University (University) becomes aware of the possibility that it may initiate or be the subject of Litigation (defined below), an Assistant Attorney General will issue a Litigation Hold Notice. Litigation Hold requires that individuals who may possess information relevant to the Litigation (Custodians) maintain Litigation Hold Materials (defined below) and refrain from deleting them while the Litigation Hold is in place. In most instances, the individuals affected by the Litigation Hold Standard will be faculty and staff employees of the University.

Reason for Standard: It is an unfortunate reality that from time to time, the University may be involved in lawsuits, government investigations, agency complaints, or other legal proceedings (collectively, “Litigation”). With Litigation comes an important responsibility to preserve information related to the Litigation, which can be paper, electronic records, photographs and recordings, and objects (collectively, “Litigation Hold Materials”). A court or government agency may penalize the University for not preserving Litigation Hold Materials and failure to preserve Litigation Hold Materials may jeopardize the University’s position in the Litigation. Accordingly, the University takes seriously this legal obligation to preserve and retain Litigation Hold Materials and expects employees to do so as well. The University has created this Litigation Hold Standard to address and explain this obligation. Employees who fail to follow this Standard may be subject to discipline, up to and including termination.

Contents:
Standard
Appendix A – Procedure

 (1)  Litigation Hold Authority

A. Only the Washington State Assistant Attorney General (AAG) has the authority to:

  1. Initiate a litigation hold
  2. Define its scope
  3. Modify the hold
  4. Release the hold

(2)  Compliance

A. Failure to comply with a litigation hold may result in disciplinary action under:

  1. University employment policies
  2. Faculty code
  3. Collective bargaining agreements
  4. Applicable laws and regulations

B. Noncompliance may also expose CWU and individuals to legal

(3)  Standard Definitions

  1. Assistant Attorney General (AAG): The Washington State Assistant Attorney General assigned to the University or assigned to the Litigation, who has sole authority to initiate and release litigation holds.
  2. Custodian: An individual who possesses, manages, or controls records or ESI subject to a litigation hold.
  3. Electronically Stored Information (ESI): Any digital information stored on computers, mobile devices, servers, cloud platforms, or any electronic system.
  4. Litigation: Lawsuits, government investigations, agency complaints, or other legal proceedings in which the University may be involved.
  5. Litigation Hold: the process to preserve all forms of potentially relevant information when litigation is pending or reasonably It is most issued when the University receives a request for information in pending litigation.
  6. Litigation Hold Coordinator: The University official designated to administer litigation holds, maintain the hold register, track acknowledgments, and coordinate with IS. The University’s Records Officer shall be the designated Litigation Hold Coordinator.
  7. Litigation Hold Materials: Information related to Litigation, which can be paper, electronic records, photographs and recordings, and objects.
  8. Litigation Hold Notice: Communication to the Litigation Hold Custodians to maintain Litigation Hold Materials and refrain from deleting them while the Litigation Hold is in place.
  9. Records Preservation Plan: A plan for extending the University’s normal records retention schedules and for capturing and preserving any existing or newly created records pending final resolution of the potential litigation. The plan may require actions, including “imaging” or sequestering computers, copying network folders, and/or suspending the deletion of ESI. The Litigation Hold Coordinator shall develop and implement the Records Preservation Plan.

Appendix A – Litigation Hold Procedure

(1)  Description

  1. This Procedure describes the process the University shall follow to preserve records when it is reasonably anticipated that the University could be involved in litigation.
(2)  Notice of Actual or Anticipated Litigation
  1. This process shall be followed in the event of potential litigation (the legal duty to preserve evidence does not require the actual commencement of a lawsuit):
Litigation hold process and responsibilities
Step Action Responsibility
1 Immediately notify the Assistant Attorney General assigned to the university. Employee through their Division Head
2 Consult with the Litigation Hold Coordinator to assess litigation risk as soon as practicable. Assistant Attorney General
3 Issue Litigation Hold Notice if appropriate. Assistant Attorney General
4 Develop a Records Preservation Plan and forward the Litigation Hold Notice to agency custodians, identifying their responsibility to identify and preserve all relevant records. Litigation Hold Coordinator

 

(1)  Litigation Hold Notice

  1. The Assistant Attorney General, in consultation with the Litigation Hold Coordinator, as appropriate, shall decide whether to issue a formal Litigation Hold Notice. The Notice shall be issued by an Assistant Attorney General and disseminated to other identified records custodians by the Litigation Hold Coordinator and shall:
    1. Identify individuals required to
    2. Direct recipients to review the Litigation Hold Notice and any attached
    3. Identify data and materials related to subject matter of the Litigation Hold
    4. Instruct on the preservation of documents, records, and
    5. Direct recipients to complete the Potential Evidence Checklist/Verification form included with the Litigation Hold Notice.
    6. Direct recipients to await instructions regarding the storage and/or collection of potential
    7. Instruct on the understanding and retaining of attorney-client privileged and confidential
  2. The Litigation Hold Notice shall remain in place until the Litigation Hold Coordinator consults with the Assistant Attorney General to determine that there is no longer a risk of potential

(2)  Records Preservation Plan

  1. The Records Preservation Plan shall seek to identify:
    1. Any potentially relevant
    2. Where, and in what form(s), those records may
    3. The specific departments(s) and individual(s) who may possess such
    4. The actions required to ensure preservation of the records, including whether relevant records should be collected together in one location or simply preserved in place pending actual public records or discovery request.
    5. Follow-up actions required to ensure compliance with the
  2. At a minimum, the plan shall provide for extending the University’s normal records retention schedule and for capturing and preserving any newly created records pending final resolution of the potential litigation. The plan may require more aggressive action, including “imaging” or sequestering computers, copying network folders, and/or suspending the rotation of disaster recovery tapes.
  3. The Litigation Hold Coordinator shall implement the Records Preservation

(3)  Litigation Hold Lift Notices

  1. When Litigation has concluded, such as through settlement, dismissal, trial, or other closure, the Assistant Attorney General will issue a Litigation Hold Lift Notice to the Litigation Hold
    1. The Litigation Hold Coordinator will circulate the Litigation Hold Notice Lift to Custodians, notifying them that their obligations to preserve Litigation Hold Materials have ended with respect to the given Litigation.
    2. The Litigation Hold Coordinator will notify Custodians that to the extent they are maintaining the Litigation Hold Materials for other purposes, such as for other Litigation Holds or subject to record retention laws or policies, the Litigation Hold Release does not negate these other

    (4)  Role of Information Systems and Security (IS)

    1. The Litigation Hold Coordinator will alert Custodians that if they need technological assistance with their Litigation Hold Obligations, custodians should contact IS for specific guidance, including saving electronic Litigation Hold Materials to backed-up locations.
    2. The Litigation Hold Coordinator will provide IS with updated lists of Custodians as cases or individual Custodians are added or IS will consult this list when replacing computers for employees or when an employee separates from the University and turns in equipment. IS may contact the Litigation Hold Coordinator for guidance on questions or concerns.
    3. If any employee subject to a Litigation Hold informs IS of a data loss through, for example, a computer virus or lost device, IS will contact and work with the Litigation Hold Coordinator to take appropriate steps to document the measures taken to recover the data.

    (5)  Other Information

    1. If Custodians are concerned about their ability to preserve Litigation Hold Materials for any reason, they should contact IS or the Litigation Hold Coordinator. Concerns may arise for reasons, including the following:
      1. Technical issues
      2. Information is centrally maintained in a department and accessible to a variety of people
      3. Materials are in-use documents subject to

    (6)  Litigation Hold Coordinator

    1. The University’s Records Officer shall be the designated Litigation Hold

    History:

    Reviewed/Endorsed by: IS Directors; Review/Effective Date: 06/15/26; Approved by: Virginia Tomlinson, AVP/CIO