Best practices for litigation readiness


Lack of compliance with existing records retention policies and failure to update them are causing serious issues for companies and counsel. What are some best practices that may help you avoid these issues?

Evaluate your current email management practices.

  • Is there a policy in place?
  • Is it being enforced properly?
  • Do you have litigation hold procedures?
  • Are you aware of your regulatory requirements? Do you have an updated records inventory (including electronic records)?

Once you’ve answered these preliminary questions, you should conduct or update the company’s records inventory by using the 5 W’s (and 1 H): Who? What? Where? When? Why? How?

The team must evaluate how records come into the company, who receives them, how they are used, where they are stored and what purpose the record serves. The records inventory will provide the data that will be essential to making a reasonable decision on the management, protection, retention or destruction of those records. The inventory, or “data map,” should identify both paper and electronic records located at the company’s offices, on the network, at off-site locations, at third party providers and in its employees’ computers, including home or remote offices (if applicable).

Take time to compile your inventory thoroughly and you will have the basis of a good records management program. A carelessly put together data map will set the stage for ongoing information risks.

Read the whole article


What’s your situation? Do you have a document retention policy – and is it enforced? Join the discussion.

Please join our June 17th seminar:
Don’t Let Your Records Knock You Out: Document Management Policies.

Jorge Rey, CISA, CISM, is a Cybersecurity & Compliance Principal at Kaufman Rossin, one of the Top 100 CPA and advisory firms in the U.S.

  1. » Blog Archive » The best laid plans…implementing document retention policies says:

    […] Two, Best Practices for Litigation Readiness, described best practices to create your […]

  2. How I Make $300 a Day Online says:

    Hey, nice post, really well written. You should blog more about this.

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