LCC Legal Hold Notice Tips
LCC Hold Notices Content Revision History...3 Introduction...4 Request and Scoping...4 How to scope a new request...4 Adding People manually to scope...5 Adding Data Sources manually to scope...6 Hold Notice How-Tos...6 How to add a custodian to a new hold...6 How to add a custodian to an existing Hold Notice...7 How to verify if a custodian is part of a Hold Notice...7 How to create a 2 nd hold for an existing Request...8 How to verify a custodian has responded to a hold...8 How to copy custodians from one hold into another hold...8 How to Suspend/Resume E-mail Transmission...9 How to remove a custodian from an existing Hold...9 How to remove a custodian entirely from a Matter...9 Release Notices...10 How to add a custodian to a Release Notice...10 Reports...11 Notice Details Report...11 Master List and Master List Report...11 Notices As Sent Report...11 Additional Topics...12 The People in Scope vs. the Notice Recipients...12 Map...12 Interview Log...13 PSS Systems, Inc. Confidential & Proprietary Page 2 of 14
LCC Hold Notices Revision History Date Who Comments 10/23/2008 PSS Updated for 3.1 Release PSS Systems, Inc. Confidential & Proprietary Page 3 of 14
LCC Hold Notices Introduction The purpose of this document is to provide details and instructions on creating Legal Hold with LCC. Most of the steps outlined in this document have come from the FAQ s posted on the Customer Support Portal. You will find answers to many of your questions by visiting the site. The database is constantly updated with new useful tips about our products. Once you have an account created, please visit the portal at the following URL: http://support.pss-systems.com/. If you don t have an account, you can create one by going to: http://support.pss-systems.com/user/register Request and Scoping In order to create a Hold Notice, you need to first create a Request in. Each request has a scope - the who, the what, and the where for that request. You can track many requests within a matter. For more information on how to create a Request and scope a matter, please refer to User Guide: http://support.pss-systems.com/node/89 It is likely for a matter to have a number of requests and each request can have a number of Hold Notices mapped to it. The recipient lists for Hold Notices are dynamically generated based on your scoping decisions. Please note that prior to 3.1.1 release People in Scope and Data Sources in Scope were referred to as Affected People and Affected Data Sources. During the scoping you have an option to add People, Organizations and Data Sources to the scope. If you choose to add an organization to the request, all the sub-organizations as well as employees in that organization will be added to the request. You can also add data sources, such as file servers, to the scope. When adding an organization to scope, there is an Add related Data Sources option that will automatically include the organization s related data sources to the scope. How to scope a new request Create a new request through: Matter > Request > New From the Resource Chooser pick the Organization either from the Org Tree or Org List tab. PSS Systems, Inc. Confidential & Proprietary Page 4 of 14
LCC Hold Notices - Add by Org Tree: Choose an organization and click Select. This will automatically add the people in the organization and the sub-organizations to the scope. You can check the box for Add related Data Sources, if you want to include that organization s data sources. Click Select - Add by Org List: You can also search for an organization and add it from this tab. Click Select after you re done. You have the option to Add related Data Sources. Click Select once done. From the Scope tray, you have the option to add Data Sources manually. - Click the icon on the Data Source field o Click on Data Sources tab and use the search filters to locate the data source you want. o Click Search o Once you find the Data Source click on next to the Data Source name o Click Save & Close - Click the Save button on the top right side of the page. You can also add People and Data Sources manually after the request was created. Adding People manually to scope From the Request page click on People in Scope link. - Choose Edit to bring up the Resource Chooser. o For adding people from the Clipboard, refer to the following FAQ: http://support.pss-systems.com/node/444 o Employees tab allows you to search and manually add employees: Check the box next to the name and click Add o Others tab allows you to add a person who is a non-employee to the scope so that they can receive hold notices. o Type in the name and email address and click Add - Click Save & Close PSS Systems, Inc. Confidential & Proprietary Page 5 of 14
LCC Hold Notices You will now be able to view the list of People in Scope Adding Data Sources manually to scope From the Request page click on Data Sources in Scope link. - Choose Edit to bring up the Resource Chooser. o Click icon on the right hand corner. o Click on Data Source tab and choose from existing data sources. o Click on Other tab and manually add a data source. - Click Save & Close. Hold Notice How-To s After the Request has been created, a Hold Notice can be issued. How to add a custodian to a new hold To add a custodian to a new hold, the custodian should be added to the Notice Recipients list. While it is important to understand what the difference between People in Scope and Notice Recipients, as documented in The People in Scope versus the Notice Recipients., custodians should be added through the Recipients list. After the Notice has been created: Click on the Recipients link Click Edit on the upper-right hand side There will be 3 tabs for adding of custodians: o People in Scope These will be custodians who are already in the Request or on a Notice. For the 1 st hold in a request, this will be empty o Employees Any Person in the system and can be searched by First Name, Last Name, Email o Others A custodian not in the system (outside contractor, etc ). Add a custodian Name and Email After searching for the custodian, click on the checkbox next the custodian name Click Add PSS Systems, Inc. Confidential & Proprietary Page 6 of 14
LCC Hold Notices How to add a custodian to an existing Hold Notice To add custodians to an existing Hold Notice, custodians should again be added directly to the Hold Notice Recipients list. If a custodian is being added to a notice that is already Sent, the notice email will immediately be sent only to the new custodians and a new entry in the Notices Sent will be logged. To add custodians to the hold from the Hold Notice Recipients list: From the Hold Details Page, click on Recipients in the upper right hand corner Click on Edit in the upper right hand corner In the top pane of the page, you can search for custodians. There are many different search criteria that can be used: o Name, Organization, Title, Reason o Search by Request o Search by Hold - this allows you duplicate the recipient list from a previous list o Last Confirmation status - to target custodians who have not yet responded o Select the checkbox next to the custodians to be added o Click on Add in the upper right hand corner Note, you can also use the Add All button in the upper right hand corner which will add all the custodians in the search pane, regardless if they are checked or not. Adding custodians to the People in Scope does not automatically add the custodian to the Hold Notice Recipients. How to verify if a custodian is part of a Hold Notice There are multiple ways to verify if a custodian is part of a hold: 1. Recipients Link Click on Recipients in the upper right hand corner from the Hold Notice Detail page. Search for the custodian s name to verify if they are part of the hold 2. Send Me Email The Send Me email will include the list of all the Recipients to be sent the Hold Notice Email Before a hold notice is sent, this Recipient List should be cross checked with intended custodian list. PSS Systems, Inc. Confidential & Proprietary Page 7 of 14
LCC Hold Notices How to create a 2 nd hold for an existing Request In this situation, the People in Scope list and the Recipients list for 1 st Hold have already been created. Create the hold with the information for the 2 nd hold. Click on Recipients in the upper-right hand corner The entire list of People in Scope (that matches the custodians from the 1 st hold notice) will be copied to the Recipient list for this 2 nd hold If the second hold notice is to be sent to a subset of the People in Scope list, then edit the Recipients list based on the custodians to be sent this 2 nd Hold Notice. How to verify a custodian has responded to a hold To verify whether a custodian has responded to a hold, go to the Notices Sent section of the Hold Notice Detail. You will be able to view all notices that have been sent, including the Original Hold Notice, Confirmation Reminders, and Auto-Reminders. Each line in the table will give a summary of the number of recipients in the Notice, and the number of positive, negative and no-reply responses. Under the Recipients column, click on the link to see the details on each individual custodian s response Additionally, the Notice Details Report will give detailed information regarding the response status of custodians across all notices for the matter. How to copy custodians from one hold into another hold From the new Hold, click on Recipients in the upper right hand corner Note, the existing Recipient list may be Deleted, by selected Delete All. Click on Edit in the upper right hand corner In the top pane of the page, you can search for custodians from different holds. There are many different search criteria that can be used: o Name, Organization, Title, Reason o Search by Request o Search by Hold - this allows you duplicate the recipient list from a previous list o Last Confirmation status - to target custodians who have not yet responded o Select the checkbox next to the custodians to be added PSS Systems, Inc. Confidential & Proprietary Page 8 of 14
LCC Hold Notices o Click on Add in the upper right hand corner Note, you can also use the Add All button in the upper right hand corner which will add all the custodians in the search pane, regardless if they are checked or not. How to Suspend/Resume E-mail Transmission The Suspend E-mail Transmission link can be used to stop sending notices to custodians. If this button is clicked, all future emails (including Notices, Auto-Reminders, Confirmation Reminders, and Escalation Reminders) will be prevented from being sent to the custodians on that particular Hold Notice. You can also Resume E-mail Transmission to restart sending emails, if it is desired to resume email transmissions to the custodian list at a future point. The Suspend/Resume transmission history will be recorded in the Notices Sent area. How to remove a custodian from an existing Hold To remove a specific custodian from an existing hold, they should be removed from the Hold Notice Recipients list: From the Hold Notice Detail page, click on Recipients in the upper right hand corner. Search for the custodian to be deleted Select the Checkbox corresponding to the custodian Click on Delete in the upper right hand corner Note this procedure will only remove the custodian from the existing hold. The custodian will be included on any new holds created for the same request. Removing custodians from People in Scope does not automatically remove the custodian from the Hold Notice Recipients. How to remove a custodian entirely from a Matter If it is desired to remove a custodian from a Matter altogether, the custodian should be removed from both the People in Scope and the Recipients list of existing holds. To remove a custodian from the People in Scope: PSS Systems, Inc. Confidential & Proprietary Page 9 of 14
LCC Hold Notices From the Request Detail page, click on People in Scope Search for the custodian to be deleted Select the Checkbox corresponding to the custodian Click on Delete in the upper right hand corner The custodian can then be removed from a hold notice using the procedure in How to remove a custodian from a hold. Once a recipient has been removed from a hold notice, you may want to formally inform them that they are no longer under the obligation to preserve information. This could be achieved by sending them a Release Notice. Release Notices When the legal hold is no longer in effect, you should formally send a Release Notice to the recipients of the hold notice. Release notices can be sent out to a subset of people or everyone in scope. Release Notices are only informational emails that are sent out. They do not remove the recipient from the hold notice or the request. Therefore, people would continue receiving reminders until they are manually removed from the Hold. How to add a custodian to a Release Notice Create a Release Notice, by choosing a Matter > Holds > New > Release > Save Click on the Recipients > Edit By default, individuals are not automatically added to the recipient list of the release notice. For a release notice you will always have to edit the recipient list. Now when editing the recipients for a release notice there are two tabs. The first Release Candidate tab will only show people that are removed from the scope of the request. You can test this by deleting someone from the affected people list of a request. The second tab, People in Scope, will allow you to search for people in the various requests for the matter. After selecting the search criteria, you need to remember to click on the "Search" button. If you just change the dropdown value for the Request filter the screen will refresh which may make you think that the results will be displayed automatically, but nothing will be shown unless the "Search" button is pressed. Next you will need to select and add people from the search results to the actual recipients list of the release notice. Scroll to the bottom to verify the correct people were PSS Systems, Inc. Confidential & Proprietary Page 10 of 14
LCC Hold Notices added to the recipient list. If you want to add everyone who is part of People in Scope, you can just click on Add All. Press Save & Close when you are satisfied with the recipient list. After you send a release notice, hold notices do not automatically stop being sent. Read this FAQ for more on the subject: http://support.pss-systems.com/?q=node/106 Reports There are a number of reports available through the Matter Detail page. The user can filter by various fields to narrow their selection for the report. The reports can be viewed in HTML, CSV or PDF formats. Notice Details Report The Notice Details report for a matter can be used to verify recipient information. It will tell which custodians have been sent notices across all notices for the matter. This includes the Original Notice, Confirmation Reminders, and Auto-Reminders. It also gives the status of each recipient s reply status. Master List and Master List Report The Master List, accessible from the breadcrumb link from the Matter details page, highlights the custodians on hold across all Requests, Holds, Collections, and Interviews for the Matter. Custodians can be searched by name, organization, which Request they are associated with, as well as involvement. The Hold Notice column indicates which Request the custodian is involved with, not which Hold Notice within the Request. Collections and Interviews are indicated in the same manner. The Master List report is generated based on the information available through Master List. You have the option to filter based on the custodian s involvement in the matter. Notices As Sent Report The Notices As Sent report for a matter displays the actual notices that have been sent as well custodians responses. It will tell which custodians have been sent notices across all notices for the matter. This includes the Original Notice, Confirmation Reminders, and Auto-Reminders. It also gives the status of each recipient s reply status. PSS Systems, Inc. Confidential & Proprietary Page 11 of 14
LCC Hold Notices Additional Topics The People in Scope vs. the Notice Recipients The People in Scope list of a Request is a reference list of all people under the scope of this request. This list will be used as a source for creating the Notice Recipients list for any holds related to this Request. When the Hold Notice is created, the People in Scope list will be carried over. However, any additions to the People in Scope after the Hold Notice is created WILL NOT be added to an existing Hold Notice. If additional custodians need to be added to the Hold Notice after initial creation, they should be added to the Recipient List directly. All additions to the Recipient List will also be copied to the People in Scope list for the request, as now they are under the scope of this request. If a custodian has been mistakenly added to a Hold Notice (contractor received a notice requiring confirmation, no longer needed on the hold, etc ), they should be removed from the Recipient List. If you don t want this custodian to be part of any subsequent new hold related to this Request/Matter, then you also need to remove this custodian from the People in Scope list. See How to remove a custodian from an existing Hold and How to remove a custodian entirely from a Matter. Map The Map tab can be used to view the involvement of a person across matters and notices. To view this information: Click on the Map tab Search for the person in question Click on the person in the Results section Click on Current Activity o The page will display the current matters o The notices that have been sent o Clicking on the link under Current Notices will give details on the actual notice sent PSS Systems, Inc. Confidential & Proprietary Page 12 of 14
LCC Hold Notices Interview Log There is the capability within to record ad-hoc communications with custodians (referred as Ad-Hoc Interview Log ). For instance, to record a custodian s response to a Hold Notice, the Legal Analyst can create an Interview Log entry, by: Ensure the Interview Required radio button on the Matter is set to Yes. Click on Interviews Click on Logs Click Log Entry in upper right-hand corner The Log Entry should have the following: o Request: the request used o Recipient: the custodian selected from the resource chooser o Log entry: An Indication if the response was Yes or No. o Conducted By: <paralegal> o Date Conducted: Date the response was emailed o Attachment: The email response from the custodian and/or screenshot should be attached. PSS Systems, Inc. Confidential & Proprietary Page 13 of 14
LCC Hold Notices PSS CONFIDENTIAL AND PROPRIETARY PSS Systems, Inc. Copyright 2004-2008 All Rights Reserved. LCC is a registered trademark of PSS Systems. All rights reserved. 20081024 PSS Systems, Inc. 2525 Charleston Road, Suite 201 Mountain View, CA 94043 650.810.8700 main 888.977.7168 customer care PSS Systems, Inc. Confidential & Proprietary Page 14 of 14