Defense Litigation Checklist
September 26, 2013
© 2013 Dechert LLP
I. Preliminary Case Assessment
A. Assess the factual allegations
• Identify key witnesses
• Locate key documents
• Conduct preliminary witness interviews
B. Assess the legal allegations
• Procedural: jurisdiction, venue, statute of limitations
• Substantive elements of claim
I. Preliminary Case Assessment
C. 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
I. Preliminary Case Assessment
D. Consider third-party liability
• Insurance: provide prompt notice to carrier
• Indemnification: review agreement for notice provisions
• Possible claims against joint tortfeasors
E. Alternatives to litigation
• Remedial measures
• Mediation
• Arbitration pursuant to prior agreement or specially
negotiated agreement
II. Document Preservation and
Collection
A. Document hold notice
• Identify key custodians
• Draft and send notice
• Monitor compliance
B. Gather documents for internal review and
production
• Coordination of counsel, IT personnel, in-house
paralegals and outside vendors
II. Document Preservation and
Collection
C. Related legal issues
• Privacy of customer information
• Protection of privilege
• Protection of competitive information or trade secrets
D. Cost issues
III. Employment Issues
A. Investigation and possible termination of alleged
wrongdoers
• Severance
• Cooperation
• Whistleblower protection
B. Employees who are co-defendants
• Possible need for separate counsel
III. Employment Issues
C. Employee witnesses who become former
employees
• Severance
• Cooperation
• Ethical issues when subpoenaed as witnesses
IV. Ongoing Litigation Management
A. Coordination with outside counsel
• Guidelines for reporting and communication
• Budgets
B. Coordination with in-house client
• Reports to senior management
• Reports to Board of Directors
• Management of expectations
IV. Ongoing Litigation Management
C. Accounting
• Litigation reserves
D. Litigation disclosures (for public companies)
E. Ongoing assessment of financial, business and
reputational risks
V. Settlement
A. Timing
B. Authority
VI. Mitigation of Litigation Risks
A. Review and revision of past business practices
B. Review of compliance function
C. Communication of “lessons learned”
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