| Policy Title | Litigation Policy |
|---|---|
| Policy Category | Ethics, Integrity, and Legal Compliance Policies |
| Original Policy Approval Date | February 14, 2018 |
| Policies Superseded | None |
| Responsible Office | Office of General Counsel |
| Related Policies | Whistleblower Policy; Records Management Policy |
| Frequency of Review | 5 Years |
| Date of Next Review | August 2030 |
I. Scope
This Litigation Policy (“Policy”) applies to all Personnel of the University, including faculty, staff, administrators, and volunteers. It also extends to students when they act in roles that may subject them to institutional liability (e.g., teaching assistants, clinical trainees). See Section IV below for the definitions of capitalized terms in this Policy.
II. Policy Statement
The purpose of this Policy is to establish the process to be followed in the event that the University becomes aware of threatened or pending litigation involving the University or University Personnel, whether the University is named directly or indirectly. This policy seeks to ensure timely reporting, protect institutional integrity, preserve legal rights and privileges, and minimize reputation and financial risk. It applies whether litigation occurs or is threatened in domestic or international jurisdictions, or under regulatory frameworks relevant to the University’s operations.
III. Policy
The General Counsel represents the University as a corporate entity in legal matters and reports to the President on a regular basis regarding the legal affairs of the University. As the University’s Chief Legal and Compliance Officer, the General Counsel also reports to the Board of Trustees as necessary in order to protect the University’s interests. It is essential the University to have a structured process through which the University responds to any legal action or possible legal action involving the University.
Notification of Lawsuit
- All University Personnel must report to the General Counsel within 24 hours of becoming aware that an employee or member of the public indicates that he or she may or will take legal action against the University. The General Counsel will consult with the President on those matters the General Counsel considers have a good chance of resulting in a lawsuit. The President shall consider the severity of the allegations, the potential financial impact on the University, and the potential harm to the reputation of the University, among other factors, in making a determination as to whether to advise the Board of Trustees of the potential or threatened lawsuit.
- The General Counsel is authorized to receive and accept service on behalf of the University of a complaint or other legal document.
- Upon receipt of service, the General Counsel will notify the President and any employees named as parties in the lawsuit that the suit has been filed.
- Upon receipt of notification of a lawsuit, the General Counsel will notify the University’s insurance carriers that the suit has been filed. In many cases, existing or potential claims must be reported to the insurance carrier during the insurance policy term. Coverage for the University may be jeopardized if a claim is not submitted during the insurance policy period in which the claim was made. Accordingly, prompt internal communication is essential to maintain coverage.
- Upon receipt of notification of a lawsuit, the General Counsel, in consultation with the President and the University’s insurance carrier, shall determine whether it is in the University’s best interest to settle the matter or allow the litigation to move forward to trial.
- Upon receipt of notification of a lawsuit, the General Counsel will determine whether there is a need to retain Outside Counsel, and if so, shall, in conjunction with the insurance carrier, choose Outside Counsel with appropriate expertise, subject to budgetary considerations.
- If a litigation matter names one of the attorney personnel in the Office of General Counsel as a defendant, then it is preferable to have the matter handled by other attorney personnel in the Office of General Counsel. If there are no other attorney personnel, then the President or his or her designee should assign the matter to outside counsel to represent the University. Such outside Counsel would report to the President, who, in turn, would report such litigation (based on materiality or the possibility of harm to the University’s reputation) to the full Board of Trustees or the Executive Committee of the Board between meetings. If both the General Counsel and the President are named as a defendant, the Chair of the Board of Trustees will coordinate a defense of the matter.
- Upon receipt of notification of a lawsuit, the General Counsel will also notify the Office of University Relations. University Relations shall decline to respond to press inquiries regarding any lawsuit filed unless the President, in consultation with the General Counsel, determines that public comment is appropriate. University Relations shall consult with the President in preparing any public statement relating to the filing of the lawsuit.
- The President shall inform the Board of Trustees of all lawsuits (based on materiality or the possibility of harm to the University) filed against the University within a reasonable time of receipt of notification of the lawsuit.
Course of Litigation
- The General Counsel shall be the point of contact for the University’s insurance carrier during the course of litigation and shall ensure timely updates, full cooperation, and compliance with policy reporting requirements.
- University Personnel must be mindful that internal documents and discussions of pending litigation may be discoverable during litigation. All relevant records, including digital communications (e.g., email, messaging platforms, share) must be preserved. The General Counsel shall coordinate the University’s internal response to litigation, including ensuring that the University fulfills its responsibilities with respect to discovery, which shall be conducted under the direction of the General Counsel or any Outside Counsel retained to represent the University.
- Upon the reasonable anticipation of litigation, the General Counsel shall issue a Litigation Hold Notice to relevant University Personnel. This notice will require the preservation of any records, emails, or other documents related to the matter. The General Counsel shall monitor compliance and provide follow-up instructions as necessary. No documents covered by the Litigation Hold may be altered or destroyed without written approval from the General Counsel.
- Once an action has been filed, unless otherwise expressly authorized by the President, no employee or department shall independently engage in legal discussions, produce documents, or respond to inquiries regarding the case. All meetings, discussions concerning the case, fact-finding, preparation of reports and other information gathering or dissemination, shall be coordinated under the direction of the Outside Counsel or the General Counsel.
- Outside Counsel or General Counsel shall meet with any employees named in the case, or who may be closely involved in the case as a potential witness, and others, as they deem appropriate, to explain the matter in dispute and the processes and procedures to be used to protect attorney-client privilege, attorney work product, and confidentiality obligations. Training may be provided, as appropriate, to employees named in or involved with the litigation.
- No University Personnel shall destroy any record, memoranda, or notes relating to any matter that is subject to threatened or pending litigation without the express written consent of Outside Counsel or General Counsel, who may only authorize the destruction of these records consistent with the applicable rules of procedure, standards of practice, code of ethics for the conduct of litigation, and the University’s Records Management Policy.
- The General Counsel shall provide the Institutional Integrity Committee of the Board of Trustees with updated reports at designated Institutional Integrity Committee meetings regarding pending and/or settled litigation that may have a material impact on the University’s financial statements or compliance policies. The rationale is to provide information regarding those situations that call for Board oversight and potential revision of University risk, compliance, or operational policies and procedures.
Managing Communications Relating to Lawsuits
No University Personnel shall comment on any matter in litigation or any matter known to be the subject of potential or threatened litigation without the express permission of the President. The Office of University Relations shall manage any official University response and shall automatically decline to comment on legal inquiries from media, government agencies, or the public, unless directed otherwise. The President shall coordinate all communications with the Board of Trustees and with Outside Counsel or General Counsel. Faculty and staff contacted by the media regarding litigation should immediately refer the inquiry to University Relations without comment.
Settlements and Court Orders
Except for orders expressly involving the General Counsel, the General Counsel shall be the principal point of contact and coordination for carrying out court-ordered activities and ensuring compliance with Court Orders and Settlement Agreements. All Settlement Agreements shall be reviewed by the General Counsel, and where required, by the President or Board of Trustees before execution. The General Council shall ensure that all obligations arising from Settlement Agreements are documented, monitored, and fulfilled in a timely manner.
Record Keeping for Legal Files
All correspondence with Outside Counsel or General Counsel and other records relating to matters involving the conduct of litigation shall be clearly labeled as such and shall be maintained in the exclusive custody of the Office of the General Counsel. Physical files shall be retained in locked, restricted-access records storage. All records shall be retained in accordance with the University’s Records Management Policy.
Other
The General Counsel also serves as the University’s Chief Legal and Compliance Officer. Therefore, all University operations which may be deemed to implicate legal matters, as determined by the President or Chair of the Board of Trustees, shall require involvement of General Counsel. Examples of such matters include—but are not limited to—contracts, investigations, regulatory inquiries, partnerships, and personnel actions that may present legal exposure.
IV. Definitions
- Court Orders are official proclamations by a judge that define the legal relationships between the parties to a hearing, a trial, an appeal or other court proceedings. Such rulings require or authorize the carrying out of certain steps by one or more parties to a case.
- General Counsel means the employee of the University who supervises the legal department of the University, acts as the primary legal advisor to the president, Board of Trustees, and University community, and represents the University in a wide range of legal matters on a daily basis.
- Litigation Hold: A directive issued by the General Counsel requiring the preservation of records and information that may be relevant to pending or anticipated litigation or legal investigation.
- Outside Counsel refers to any attorney retained directly by the University in consultation with the University insurance carriers to represent the University in a particular matter or case. This includes any outside counsel retained to handle matters outside of the United States on behalf of the College of Global Studies.
- Party means any person named in a lawsuit involving the University.
- Settlement Agreements are an acknowledgment by parties to a lawsuit that it is in their best interests to agree to settle their dispute without the need for further litigation.
- University means Arcadia University, its colleges, schools, affiliates, divisions and subsidiaries.
- University Personnel means all University full and part-time employees (including student workers), staff, faculty, administrators, and volunteers.
V. Effective Date
This Policy shall be effective on the date it is signed by the President and shall remain in effect until amended or rescinded in accordance with University procedures.
VI. Date of Approval
February 14, 2018; amended August 2025 to incorporate de minimis changes and inadvertent omissions.
Exhibit A
Template Litigation Hold Notice
To: Recipients of Email Distribution
From: Office of General Counsel (“OGC”)
Subject: Legal Hold Memorandum Information and Acknowledgement
Date:
Re: [List specific allegations]
- I. Purpose of this Notice
You are receiving this Litigation Hold Memorandum because you have been identified as an employee of Arcadia University who had or may have had communications about _______________ or be the custodian of documents or information relevant to a lawsuit or legal claim filed against the University concerning _______________________ (collectively, the “Allegations”).
Effective immediately, you have a legal obligation to preserve all potentially relevant documents and to suspend any routine document destruction policies that relate to the Allegations. This notice outlines your specific responsibilities. Your full and immediate compliance is required to ensure the University meets its legal duties. Failure to comply can lead to serious legal consequences for both you and the University.
- II. Identifying Additional Custodians
This memorandum has been directed to individuals who are currently believed to possess potentially relevant documents and data. However, this list is not intended to be exhaustive. It is critical that we identify all individuals who may possess relevant information. Please consider:
- Colleagues who worked on matters related to the Allegations
- Supervisors or subordinates involved in relevant decisions
- Administrative staff who may have handled relevant documents
- Former employees who were involved prior to their departure
- Third parties who may have received or sent relevant communications
Please provide names, positions, and contact information (if available) of any such individuals to OGC at ______________ as soon as possible but no later than ____________ or list them in the attached acknowledgement. This obligation is ongoing, if you later recall or become aware of additional potential custodians, notify OGC immediately.
- III. Scope of Preservation: Definition of “Documents”
The term “documents” should be construed as broadly as possible and includes both physical records and all forms of electronically stored information (ESI). This includes, but is not limited to, writings, drawings, graphs, charts, photographs, audio or video recordings, voicemails, social media posts, emails, text and instant messages (e.g., Slack, Apple, Google), spreadsheets, databases, data compilations, calendars, logs, internet usage files, and presentations. Such materials may be stored in University systems or on personal devices or accounts used for University business, including desktops, laptops, phones, tablets, PDAs, network drives, cloud services, and removable media (e.g., USB drives, flash drives). All versions and drafts of documents or records are covered by this notice, not just the most recent or final version.
If any portion of a document appears potentially relevant, the entire document must be retained. Hardcopy documents which are stapled together should not be separated, removed from file folders, or rearranged in file folders. Similarly, electronic documents should not be modified, copied or moved unless specifically instructed by counsel. This obligation applies to materials stored in both official University systems and any personal devices or accounts used for University-related work.
- IV. Categories of Relevant Documents
The categories of documents that are potentially relevant to the Allegations include, but are not limited to, the following:
- all records relating to ______________ employment at the University;
- all communications (email, text, or summaries of telephone conversations) between University staff and _____________ or any associate of ______________ (a family member, attorney, etc.);
- all communications (email, text, or summaries of telephone conversations) between University staff and the other party to the incident, or any associate of that other party (a family member, attorney, etc.);
- all communications among University staff about _____________;
- all communications between University staff and outside counsel concerning ________________;
- all documents concerning ________________;
- any notes or memoranda to file.
If you are unsure whether a particular document or record is subject to these instructions, err on the side of caution and retain it.
All document destruction policies or schedules maintained by Arcadia University with respect to these categories of documents and records should be suspended until further notice. Your affirmative action to ensure non-destruction and preservation is required; if you are unsure as to how to sufficiently put safeguards in place to meet this requirement, please contact OGC.
- V. Specific Preservation Requirements
Please SUSPEND ALL deletion, overwriting, or destruction of any documents or files that may be relevant to the Allegations, including auto-delete functions on email, shared drives, or messaging applications as follows:
- Email: Disable auto-delete/archiving functions in your email account. Preserve all emails in relevant folders.
- Mobile Devices: Disable auto-delete functions for text messages and voicemails. Do not factory reset or replace your device without first consulting OGC.
- Cloud Storage: Ensure version history is enabled on platforms like OneDrive, Google Drive, or Dropbox where University-related materials are stored.
- Collaboration Tools: Preserve all relevant content in Google drive, Teams, or other messaging platforms, including direct messages and channel communications.
- Physical Documents: Gather and secure all relevant physical documents in a safe location. Do not discard, shred, or alter these materials.
If you need technical assistance implementing these measures, please contact IT Support at [contact information] and reference this litigation hold.
- VI. Confidentiality and Communication Protocols
This litigation hold notice and its contents are confidential and protected by attorney-client privilege. Do not forward, share, or discuss this notice with anyone not listed as a recipient without prior approval from OGC. The existence of this litigation hold should not be discussed with individuals outside the University.
All communications regarding this matter must include University counsel. Emails about this matter should not be sent unless either Arcadia University counsel or outside counsel are included in the communication and should include the notation “PRIVILEGED AND CONFIDENTIAL: ATTORNEY-CLIENT COMMUNICATION” in the subject line.
- VII. Ongoing Duty to Preserve New Documents
Your preservation obligation extends to relevant materials created after receipt of this notice. As you create or receive new documents, communications, or data related to the Allegations, you must preserve these materials according to the same standards outlined in this notice.
- VIII. Duration of this Hold
This is an ongoing obligation that continues until you are notified in writing by the OGC that the hold has been formally released. Do not assume the matter has concluded based on a lack of activity. Again, if you need help identifying relevant documents, suspending deletion protocols, or have questions about this notice, please contact the Office of General Counsel for guidance.
- IX. Obligations for Departing Employees
If you are planning to leave the University while this litigation hold is in effect, you must notify OGC at least two weeks before your departure date. Special procedures must be implemented to ensure preservation of relevant materials in your possession. Failure to do so could result in continued legal obligations after your departure from the University.
- X. Acknowledge and Compliance Deadline
Please review and sign the attached Acknowledgement of Receipt and Obligation to Comply with Litigation Hold. Please return it to OGC by email at ________________ no later than ten business days from receipt of this notice. Prompt compliance is essential to fulfill our legal obligations. If you anticipate any difficulty meeting this deadline, please contact OGC immediately. You will receive periodic reminders about this litigation hold to ensure ongoing compliance. These reminders do not indicate any change in status of the matter but serve as important compliance documentation. Each reminder requires your acknowledgment of continued compliance.
Acknowledgement of receipt and obligation to comply with litigation hold
I, __________________, acknowledge that I have received and carefully read the Litigation Hold memorandum dated _______ pertaining to a possible complaint in the matter of __________. As part of my obligations under the Litigation Hold memorandum, I will search for and retain all potentially relevant materials and documents (including documents in electronic formats such as email, databases, internet data, and voicemail) as described in the Litigation Hold memorandum. I further agree that I will not modify or destroy any documents (including documents in electronic formats such as email, databases, internet data, and voicemail) described in the Litigation Hold memorandum.
I have identified the following additional potential custodians (if any):
Names:
I agree to maintain these preservation measures until formally notified in writing that this hold has been lifted. I understand that this is an ongoing obligation that includes newly created materials. I understand that failure to comply with the obligations of this Litigation Hold could subject both myself and Arcadia University to significant legal penalties.
Signature: ___________________________
Date: ______________________________
Position: ____________________________
Department: _________________________
