What are the steps to apply and later release a legal hold on records?

A legal hold (also called a litigation hold or preservation hold) is a directive that suspends the normal disposition of records when litigation, an audit, an investigation, or a government request is reasonably anticipated or underway. Its purpose is to preserve relevant information and prevent spoliation. The lifecycle has two phases: applying the hold and, eventually, releasing it.

Steps to Apply a Legal Hold

1. Identify the trigger. Recognize when the duty to preserve arises. This duty typically attaches when litigation or an investigation is reasonably foreseeable, not only after a complaint is filed.
2. Define the scope. Determine which matters, time periods, and subject areas are relevant, then identify the records and data potentially affected.
3. Locate records and custodians. Map where relevant information lives, including email, shared drives, databases, and physical files, and identify the individuals who control it.
4. Issue a written notice. Send a clear preservation notice to all custodians explaining what to preserve, why, and that routine deletion must stop for the affected material.
5. Suspend disposition. Override applicable retention and destruction schedules so held records are not purged by automated or routine processes.
6. Document and track. Record who was notified, what is covered, and when. Maintain an auditable record of the hold.
7. Monitor and remind. Confirm acknowledgment from custodians, reissue reminders periodically, and update the hold as the matter or custodian list changes.

Steps to Release a Legal Hold

1. Confirm the matter is closed. Verify with legal counsel that the litigation, investigation, or obligation has fully resolved, including any appeal periods.
2. Check for overlapping holds. Ensure no other active hold covers the same records before lifting preservation.
3. Issue a written release notice. Formally inform custodians that the preservation obligation has ended.
4. Resume normal disposition. Return affected records to their standard retention schedule. Records that have reached the end of their retention period may then be destroyed under your normal program.
5. Document the release. Record the release date, authority, and scope so the full lifecycle is defensible.

Consistent, well-documented practices keep holds defensible. For more foundational guidance, see the fundamentals topic hub.