Section navigation
AAExample Conforming DeploymentABExample Conformance StatementACExample Record Surface MapADExample Configuration MatrixAEExample Multi-Vendor WorkflowAFExample Discovery AssessmentAGExample Feedback Routing TableAHExample Legal Hold ProcedureAIInternational Legal Sector GuidanceAJEmergent Autonomous Execution in a Web Research DeploymentAKMCP Integration with Regulated Financial InfrastructureALAcquisition Modality Landscape for Retained Interaction RecordsAMMobile Agent WorkflowANHealthcare Revenue Cycle Agent WorkflowAOEnterprise Governance Interceptor Workflow

Annex AH: Example Legal Hold Procedure

ARCS v1.0

STANDARD ANNEX AH

March 2026 | Informative Annex

Classification: Tier 1 / Standard Annex / Informative

Standard Annex AH: Example Legal Hold / Preservation Procedure

Illustrative Preservation Workflow for ARCS-PV Preservation Controls (Informative)

This annex provides an example procedure for preservation of interaction records when legal hold is triggered. The procedure follows ARCS-PV preservation controls and Standard Annex D (Legal Hold Override Minimum Controls). Legal counsel should review actual preservation procedures.

AH.1 Trigger Conditions

Preservation may be required when: litigation anticipated, subpoena received, regulatory inquiry opened, internal investigation initiated, complaint filed, dispute notice received, employment action contemplated, family law proceeding initiated, audit request received, or incident response activated. Preservation may be required before any filing.

AH.2 Preservation Workflow

Step 1 (Identify Systems): Identify all AI systems, providers, vendors, cloud infrastructure, and document systems involved. Create system inventory referencing record surface map.

Step 2 (Identify Record Classes): Using the record class inventory per Section 6, identify all classes potentially relevant. Include prompts, outputs, logs, feedback, derived records, backups, agent traces, and vendor logs. Unknown records treated as present.

Step 3 (Generate Discovery Surface): Using the discovery surface assessment format per Annex F/AF, list all surfaces with custodian, location, and subpoena risk.

Step 4 (Activate Hold): Set hold flag in system configuration. No code changes required under ARCS-PV hold activation controls. Deletion suspended. Rotation suspended. Purge suspended. Backups preserved.

Step 5 (Notify Provider): If provider holds records, request preservation and retention override. Provider may require legal request or contractual mechanism.

Step 6 (Notify Vendors): If plugins or third-party tools were used, notify vendors and request preservation. Vendor response may vary. Where notification is not feasible, document the limitation in the preservation record.

Step 7 (Preserve Backups/Archives): Ensure snapshots, archives, cold storage, and disaster recovery copies are preserved. Deletion schedules suspended for duration of hold.

Step 8 (Preserve Derived Records): Include documents, emails, exports, database entries, and any records created from AI interaction output.

Step 9 (Document Actions): Record date, system, records affected, actions taken, custodian contacted, and basis for hold. Maintain preservation log under ARCS-PV.

Step 10 (Maintain Hold): Hold continues until released by counsel or matter resolved. No automated deletion, expiration, or suppression shall operate on held records while the hold remains active. Release requires documented authorization in the preservation log.

AH.3 Preservation Across Vendors

Custodian Notification Expected Fallback Method Response

Model provider Contractual Retention Document limitation mechanism / legal override applied
request

Cloud provider Administrative Backup rotation Document limitation hold / support suspended
ticket

Plugin vendor Email / May vary Document limitation in contractual preservation record notice

Tool vendor Email / May vary Document limitation in contractual preservation record notice

Monitoring Administrative Log retention Document limitation service hold extended

AH.4 Configuration Interaction

ZDR mode: fewer provider records to preserve, but developer-side records still require hold. Feedback enabled: additional copies in review/evaluation systems require preservation. Agent workflow: intermediate traces require preservation. Multi-vendor: each vendor requires separate notification. Configuration does not eliminate hold obligation.

AH.5 Conformance Requirements

Conformance expectations for preservation should be evaluated against the ARCS-PV controls and the deployment's declared conformance profile. This annex is illustrative and does not create independent thresholds.

ARCS v1.0 | Annex AH: Example Legal Hold / Preservation Procedure | March 2026 | Informative