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Establish, implement, and maintain legal hold procedures for data and records.


CONTROL ID
06810
CONTROL TYPE
Records Management
CLASSIFICATION
Preventive

SUPPORTING AND SUPPORTED CONTROLS



This Control directly supports the implied Control(s):
  • Establish, implement, and maintain an e-discovery program., CC ID: 00976

There are no implementation support Controls.


SELECTED AUTHORITY DOCUMENTS COMPLIED WITH



  • Information that is contained in an intercepted communication and kept pursuant to an order under section 66(3) shall be admissible in proceedings for an offense under this act. (§ 66(4)(a), The Electronic Communications and Transactions Act, 2002)
  • Information contained in an intercepted communication and kept in a foreign state and certified by a judge of the foreign state to have been intercepted and retained shall be admissible in proceedings for an offense under this act. (§ 66(4)(b), The Electronic Communications and Transactions Act, 2002)
  • The guidelines for managing Electronically Stored Information should include the procedures to keep documents and Electronically Stored Information for legal holds related to ongoing or reasonably anticipated litigation, audits, or governmental investigations. (Comment 1.b ¶ 1, The Sedona Principles Addressing Electronic Document Production)
  • A legal hold policy should be included with the Records and Information Management program, regardless of the scope and provisions. (Comment 1.b ¶ 3, The Sedona Principles Addressing Electronic Document Production)
  • The legal hold notice should describe, with enough detail, the types of information that must be preserved and that Electronically Stored Information and paper information are subject to preservation. (Comment 5.d ¶ 3, The Sedona Principles Addressing Electronic Document Production)
  • The legal hold notice should include a statement that any relevant paper documents and Electronically Stored Information must be preserved. (Comment 5.d ¶ 3(ii), The Sedona Principles Addressing Electronic Document Production)
  • The legal hold notice should identify where the relevant information is likely located. (Comment 5.d ¶ 3(iii), The Sedona Principles Addressing Electronic Document Production)
  • The legal hold notice should provide the steps to take to preserve the information. (Comment 5.d ¶ 3(iv), The Sedona Principles Addressing Electronic Document Production)
  • The legal hold notice should convey to the recipients the significance of the preservation obligation. (Comment 5.d ¶ 3(v), The Sedona Principles Addressing Electronic Document Production)
  • A party seeking a preservation order must show that there is a real danger of evidence destruction; the lack of another remedy; and it is an appropriate exercise of the court's discretion. (Comment 5.f ¶ 1, The Sedona Principles Addressing Electronic Document Production)
  • For cloud computing services, is there a self-service portal or Application Program Interface call available to clients which provides the ability to place a "legal hold" on client data which may be subject to a legal action, absent impacting other clients data retention or data destruction schedule… (§ V.1.38, Shared Assessments Standardized Information Gathering Questionnaire - V. Cloud, 7.0)