© 2013 Dechert LLP Defense Litigation Checklist September 26, 2013

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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