Legal notice

Legal Notice Policy

1. Purpose

The purpose of this Legal Notice Policy is to establish a consistent process for receiving, reviewing, responding to, and retaining legal notices and other formal legal communications received by or sent on behalf of [Organization Name].

2. Scope

This policy applies to:

  • All employees, contractors, officers, and directors.
  • All departments and business units.
  • All legal notices received through mail, courier, email, personal service, or electronic communication.

3. Definitions

Legal Notice: Any formal communication with legal significance, including but not limited to:

  • Demand letters
  • Court summons and complaints
  • Subpoenas
  • Government agency notices
  • Regulatory inquiries
  • Cease-and-desist letters
  • Arbitration or mediation notices
  • Legal claims or threats of litigation

4. Policy Statement

All legal notices must be handled promptly, confidentially, and in accordance with applicable laws and company procedures. Employees must not ignore, alter, destroy, or independently respond to any legal notice unless authorized.

5. Responsibilities

Employees

Employees who receive a legal notice must:

  • Notify their manager immediately.
  • Forward the notice to the Legal Department or designated representative within one business day.
  • Preserve the original document.
  • Avoid communicating with the sender regarding the legal matter unless instructed.

Managers

Managers are responsible for:

  • Ensuring prompt escalation.
  • Maintaining confidentiality.
  • Cooperating with legal counsel during any investigation.

Legal Department

The Legal Department shall:

  • Review all legal notices.
  • Determine appropriate response deadlines.
  • Coordinate responses with internal stakeholders.
  • Maintain legal files and records.
  • Engage outside counsel when appropriate.

6. Procedures

Step 1 – Receipt

Record:

  • Date received
  • Method of delivery
  • Sender
  • Recipient
  • Subject matter
  • Applicable response deadline

Step 2 – Review

The Legal Department will:

  • Determine the nature of the notice.
  • Assess legal risks.
  • Identify affected departments.
  • Establish response requirements.

Step 3 – Preservation

Relevant records, emails, electronic files, and documents must be preserved. No records related to the matter may be deleted or altered.

Step 4 – Response

Only authorized personnel may:

  • Respond to legal notices.
  • Sign legal correspondence.
  • Communicate with opposing counsel or government agencies.

Step 5 – Documentation

Maintain documentation including:

  • Original notice
  • Internal correspondence
  • Response letters
  • Supporting documents
  • Final resolution

7. Confidentiality

Legal notices and related communications are confidential and should only be shared with individuals who have a legitimate business need to know.

8. Record Retention

Legal notices and related records shall be retained in accordance with the organization's Record Retention Policy or applicable legal requirements, whichever is longer.

9. Non-Compliance

Failure to comply with this policy may result in disciplinary action, up to and including termination of employment, subject to applicable laws and company policies.

10. Exceptions

Any exception to this policy must be approved by the General Counsel or an authorized legal representative.

11. Related Policies

  • Record Retention Policy
  • Information Security Policy
  • Privacy Policy
  • Document Management Policy
  • Litigation Hold Policy