Defense Litigation Checklist

1. Defense Litigation Checklist

2. Preliminary Case Assessment • Assess the factual allegations • Identify key witnesses • Locate key documents • Conduct preliminary witness interviews • Assess the legal allegations • Procedural: jurisdiction, venue, statute of limitations • Substantive elements of claim

3. Preliminary Case Assessment • Assess the business risks • Publicity: may require consultation with public relations or investor relations personnel • Regulatory: disclosure to regulators; assessment of possible enforcement action by regulators or prosecutors • Financial: potential scope of damages • Costs and implications of remedial measures • Potential for additional claimants or other sources of collateral litigation

4. Preliminary Case Assessment • Consider third-party liability • Insurance: provide prompt notice to carrier • Indemnification: review agreement for notice provisions • Possible claims against joint tortfeasors • Alternatives to litigation • Remedial measures • Mediation • Arbitration pursuant to prior agreement or specially negotiated agreement

5. Document Preservation and Collection • Document hold notice • Identify key custodians • Draft and send notice • Monitor compliance • Gather documents for internal review and production • Coordination of counsel, IT personnel, in-house paralegals and outside vendors

6. Document Preservation and Collection • Related legal issues • Privacy of customer information • Protection of privilege • Protection of competitive information or trade secrets • Cost issues

7. Employment Issues • Investigation and possible termination of alleged wrongdoers • Severance • Cooperation • Whistleblower protection • Employees who are co-defendants • Possible need for separate counsel

8. Employment Issues • Employee witnesses who become former employees • Severance • Cooperation • Ethical issues when subpoenaed as witnesses

9. Ongoing Litigation Management • Coordination with outside counsel • Guidelines for reporting and communication • Budgets • Coordination with in-house client • Reports to senior management • Reports to Board of Directors • Management of expectations

10. Ongoing Litigation Management • Accounting • Litigation reserves • Litigation disclosures (for public companies) • Ongoing assessment of financial, business and reputational risks

11. Settlement • Timing • Authority

12. Mitigation of Litigation Risks • Review and revision of past business practices • Review of compliance function • Communication of “lessons learned”

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