Build a hold notice and a response pack for a regulator notice
Key facts
- Human involvement
- RedLawyer-led
- How AI is used
- Break the regulator's notice into its numbered demands and, against each one, extract the date range, the entity, the document category, and the compliance date and place for compliance the notice itself fixes. Organise the demands into a table of custodians — the people and business units who hold or control the material — and of the systems each category sits in. Against the search terms, dates and custodians the lawyer sets, list the candidate documents with a source location for each, and list every demand with no candidate document or custodian found against it. Flag privilege candidates by author, recipient and subject for the lawyer's decision. Once the lawyer has written the hold notice, compare it against the table and list every category, custodian or system it does not cover and every system where deletion or overwriting has not been stopped, and index the settled pack against the numbered demands. The tool writes no part of the hold notice, the covering letter or the schedule.
- What the lawyer must review
- The lawyer reads the tool's breakdown back against the notice itself — every numbered demand, date range, entity and the compliance date — since nothing else in this task catches a mis-read demand before the response goes short. The lawyer writes and issues the hold notice, and checks that its scope covers every category, custodian and system in the table and says what must not be deleted or overwritten, working through the tool's gap list and deciding for each gap whether it calls for a further search or is a matter to raise with the regulator before the compliance date. The lawyer decides each privilege claim, the lawyer writes the covering letter and any statement of the grounds of privilege, and the lawyer settles the schedule that goes to the regulator; a candidate list is not a production.
- Written for / version
- Cth
Open a jurisdiction version of this task to see which instruments apply.
Who does what
| Role | What they do |
|---|---|
| Assistance | Supporting preparation only. Potential support includes extracting and organising information and identifying points for review. Confirm the tool’s capability and permitted scope. Substantive advice, judgement and any restricted content remain with the responsible human. |
| Lawyer | Perform the substantive analysis and decisions. Independently check any permitted supporting work and approve the exact output for its intended use. |
Checklist
- Confirm that the actual tool, feature and processing terms permit use of this information, including access, retention, training and disclosure conditions.
- Verify the applicable jurisdiction and the version of each relevant law, rule or instrument in force at the material time.
- Confirm the output against the client’s instructions and the complete relevant source material, including omissions or contradictions.
- Resolve exceptions and record the responsible lawyer’s approval of the exact output and intended use.