autonomy legal hold - hewlett packard enterpriseh30359. hold/autonomy legal...autonomy legal hold...

Autonomy Legal HoldVersion: 3.8

User GuideDocument Revision: 0

Document Release Date: August 2014

Software Release Date: May 2014

NoticeThis documentation is a proprietary product of Autonomy and is protected by copyright laws and international treaty. Information in this documentation is subject to change without notice and does not represent a commitment on the part of Autonomy. While reasonable efforts have been made to ensure the accuracy of the information contained herein, Autonomy assumes no liability for errors or omissions. No liability is assumed for direct, incidental, or consequential damages resulting from the use of the information contained in this documentation.

The copyrighted software that accompanies this documentation is licensed to the End User for use only in strict accordance with the End User License Agreement, which the Licensee should read carefully before commencing use of the software. No part of this publication may be reproduced, transmitted, stored in a retrieval system, nor translated into any human or computer language, in any form or by any means, electronic, mechanical, magnetic, optical, chemical, manual or otherwise, without the prior written permission of the copyright owner.

This documentation may use fictitious names for purposes of demonstration; references to actual persons, companies, or organizations are strictly coincidental.

Trademarks and CopyrightsCopyright © 2014 Hewlett-Packard Development Company, LP. Audit Center, Autonomy Consolidated Archive, Autonomy Express Search, Autonomy iManage ConflictsManager, Autonomy iManage RecordsManager, Autonomy Interaction Control Element (ICE), Autonomy Message Manager, Autonomy Notification Server, Autonomy Records Manager, Autonomy Windows Extension, DeskSite, Connected, Digital Safe, Digital Supervisor, EAS On-Demand, EAS, Enterprise Archive Solution, FileShare, FileSite, iManage WorkSite MP, iManage WorkSite, iManage, Interwoven, Introspect, LiveVault, Meridio, OffSite, Scrittura, WorkDocs, WorkPortal, WorkRoute, WorkSite MP, WorkSite, WorkTeam, Zantaz, and all related titles and logos are trademarks of Hewlett-Packard Development Company, LP., which may be registered in certain jurisdictions.

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All other trademarks are the property of their respective owners.

AcknowledgementsRSA Data Security, Inc. MD5 Message-Digest Algorithm; zlib general purpose compression library, Jean-loup Gailly and Mark Adler; Info-ZIP, more information at ftp://ftp.info-zip.org/pub/infozip/license.html; HTML-to-RTF Pro DLL 1.8 © 2002-2007 SautinSoft.

Notice to Government End UsersIf this product is acquired under the terms of a DoD contract: Use, duplication, or disclosure by the Government is subject to restrictions as set forth in subparagraph (c)(1)(ii) of 252.227-7013. Civilian agency contract: Use, reproduction or disclosure is subject to 52.227-19 (a) through (d) and restrictions set forth in the accompanying end user agreement. Unpublished-rights reserved under the copyright laws of the United States. Autonomy, Inc., One Market Plaza, Spear Tower, Suite 1900, San Francisco, CA. 94105, US.

User Guide

Autonomy Autonomy Legal Hold (3.8) of 138

Contents

Contents 3

About This Document 9

Documentation Updates 9

Related Documentation 11

Conventions 11

Notational Conventions 11

Command-Line Syntax Conventions 12

Notices 13

Autonomy Product References 13

Autonomy Customer Support 13

Contact Autonomy 14

Document Revision History 14

Part I: Introduction to Autonomy Legal Hold 15

Chapter 1: Introduction 16

Autonomy Legal Hold Product Suite 16

Autonomy’s IDOL Platform 18

Autonomy Legal Hold Overview 19

ALH Data Collection Options 19

ALH Users 19

ALH Roles 20

ALH Data Organization 20

ALH Terminology 21

ALH Icons Used in Legal Hold Processing 25

Chapter 2: Access Autonomy Legal Hold 26

System Requirements 26

ALH Interfaces 26

Autonomy Legal Hold Administration Console Interface 26

Autonomy Legal Hold Application Interface 27

Custodian View 27


Reviewer–Supervisor View 28

Log On and Log Off ALH 29

Chapter 3: Navigate the ALH User Interface 31

Basic Navigation Features 31

Page You See at Logon 31

Use Links and Tabs to Access the UI Pages 33

Links 33

Tabs 34

Click Hyperlinks to Navigate the UI 36

Trace Your Steps with Breadcrumb Links 37

Get Information from Tooltips 37

Perform Commands Using the Task Manager 37

Perform Simple and Wizard Searches 38

Overview of ALH Dashboards 39

Web Desktop Dashboard 40

Home Dashboard 41

Activity and Collections Dashboards 42

Cases, Holds, and Matters Dashboards 43

Cases Dashboard 44

Holds Dashboard 45

Matters Dashboard 45

Reports Dashboard 46

Part II: Custodian Tasks 49

Chapter 4: Use the Web Desktop 51

Log On and Off the Web Desktop 51

Use the Web Desktop Interface 51

Use the Web Desktop Summary Tables 52

Sort Web Desktop Summary Tables by Type or Name 53

Sort Summary Table by Type 53

Sort Summary Table by Name 54

Example: Sort Order by Name 55

User GuideContents


Remove a Column from the Web Desktop Summary Tables 56

Web Desktop Dashboard Icons 56

View Notices in the Web Desktop 57

Example: Link to a Notice Through a Summary Table 57

Example: Link Directly to e-mail 58

Part III: Managing Cases and Hold Activity 61

Chapter 5: Use the Home Page 63

Home Dashboard Layout 63

Home Dashboard Components 64

Home Page Summary Tables 65

Optional Information Settings on the Dashboard 68

Home Dashboard Quick Commands 69

Chapter 6: View, Create, and Manage Cases in ALH 71

Overview of Cases 71

Manage Cases 72

View Existing Cases 73

Sort Case Information 74

Filter by Case Divisions and Resolutions 75

View a Specific Case 75

Use the Case Dashboard Sub-Tabs 77

Create a New Case 78

Elements of the New Case Page 79

Edit an Existing Case 82

Search for Cases 83

Close a Case 83

Reopen a Closed Case 84

Delete a Case 84

View Holds 85

View the Legal Holds Dashboard 85

Manage Matters in the ALH Application UI 87

View Matters 87

User GuideContents


Add a Case to a Matter 87

Remove a Case from a Matter 88

Add a Matter to a Case 88

Remove a Matter from a Case 89

Chapter 7: Create and Manage Legal Holds for a Case 91

Overview of Legal Holds 91

Manage Legal Holds in ALH 91

Create a New Legal Hold 91

View Legal Holds 93

Edit a Legal Hold 94

Search for Legal Holds 95

Remove a Legal Hold 95

Hold Notice Template Variable Substitution 96

Available Variables for Hold Notice Templates 96

View Hold Notice Template Imported Variables 98

About Superseding Holds 99

Supersede a Hold 99

Configure a Pending Notice Process 100

Chapter 8: Add and Manage Custodians in a Case 101

Overview of Custodians 101

Manage Custodians in ALH 101

Perform Custodian-Related Tasks 104

Add Custodians to a Case 104

Search for Custodians 106

Remove Custodians from a Case 106

Add a Custodian to a Matter 107

Remove a Custodian from a Mattter 107

Chapter 9: Create and Manage Workflows 109

Overview of Workflows 109

Trainstop Navigation Aid for Workflows 110

Access Workflows 111

User GuideContents


Workflow Creation Procedures 112

Start New Workflow 113

Specify Workflow Details 114

Customize the Workflow 116

Preview the Workflow Information 117

Choose Matters for a Workflow 118

Choose Custodians for a Workflow 118

About Adding Custodians to Workflows 121

Add More Custodians to an Existing Workflow 122

Search for Workflows 123

Add a Note to a Workflow 123

Remove a Workflow 123

Workflow Activity Log 124

Produce a Form from a Workflow Template 124

Chapter 10: Run Reports 127

Reports Overview 127

List of Reports 128

Run a Report from the Reports Link 130

Run a Report from a Case 131

Get Custom Reports 131

Chapter 11: Set Up Account Information 133

View Your Account Profile 133

Set Account Alerts 133

Select Display Preferences 134

Default Screen 135

Home Screen Display Settings 135

Settings for Number of Items Displayed in Lists 136

Configure Display Preferences 136

Select General Preferences 137

Configure General Preferences 138

User GuideContents


of 138Autonomy Autonomy Legal Hold (3.8)

User GuideContents

About This DocumentThis document is for custodians, reviewers, supervisors, and legal administrators who use the Autonomy Legal Hold user interface and have the responsibility to create and manage cases, legal holds, hold notifications, and preservation of all relevant data for pending litigation.

l Documentation Updates

l Related Documentation

l Conventions

l Autonomy Product References

l Support

l Contact Autonomy

l Document Revision History

Documentation UpdatesThe information in this document is current as of Autonomy Legal Hold version 3.8. The content was last modified August 2014.

You can retrieve the most current product documentation from the HP Autonomy Knowledge Base on the Customer Support Site.

A document in the Knowledge Base displays a version number in its name, such as IDOL Server 7.5 Administration Guide. The version number applies to the product that the document describes. The document may also have a revision number in its name, such as IDOL Server 7.5 Administration Guide Revision 6. The revision number applies to the document and indicates that there were revisions to the document since its original release.

Autonomy recommends that you periodically check the Knowledge Base for revisions to documents for the products your enterprise is using.

To access Autonomy documentation

1. Go to the Autonomy Customer Support site:

https://customers.autonomy.com

2. Click Login.

3. Type the login credentials that you were given, and then click Login.

The Customer Support Site opens.


https://customers.autonomy.com/

4. Click Knowledge Base.

The Knowledge Base Search page opens.

5. Search or browse the Knowledge Base.

To search the knowledge base:

n In the Search box, type a search term or phrase and click Search.

Documents that match the query display in a results list.

To browse the knowledge base:

n Select one or more of the categories in the Browse list. You can browse by:

o Repository. Filters the list by Documentation produced by technical publications, or Solutions to Technical Support cases.

o Product Family. Filters the list by product suite or division. For example, you could retrieve documents related to the iManage, IDOL, Virage or KeyView product suites.

o Product. Filters the list by product. For example, you could retrieve documents related to IDOL Server, Virage Videologger, or KeyView Filter.

o Version. Filters the list by product or component version number.

o Type. Filters the list by document type. For example, you could retrieve Guides, Help, Packages (ZIP files), or Release Notes.

o Format. Filters the list by document format. For example, you could retrieve documents in PDF or HTML format. Guides are typically provided in both PDF and HTML format.

6. To open a document, click its title in the results list.

To download a PDF version of a guide, open the PDF version, click the Download icon in the PDF reader, and save the PDF to another location.

To download a documentation ZIP package, click Get Documentation Package under the document title in the results list. Alternatively, browse to the desired ZIP package by selecting either the Packages document Type or the ZIP document Format from the Browse list.

User GuideAbout This Document


Autonomy welcomes your comments.

To send feedback on Autonomy documentation

l send email to [email protected]

l provide:

n full document title with version and revision number

n location: heading, a snippet of text or screen capture

n your comments

n your contact information in the event we need clarification

Related DocumentationThe following documents provide more details on Autonomy Legal Hold.

l Autonomy Legal Hold Installation and Implementation Guide

l Autonomy Legal Hold Release Notes

l Desktop Legal Hold Administration Guide

ConventionsThe following conventions are used in this document.

Notational ConventionsThis document uses the following conventions.

Convention Usage

Bold User-interface elements such as a menu item or button. For example:

Click Cancel to halt the operation.

Italics Document titles and new terms. For example:

l For more information, see the IDOL Server Administration Guide.

l An action command is a request, such as a query or indexing instruction, sent to IDOL Server.



mailto:[email protected]

Convention Usage

monospace font

File names, paths, and code. For example:

The FileSystemConnector.cfg file is installed in C:\Program Files\FileSystemConnector\.

monospace bold

Data typed by the user. For example:

l Type run at the command prompt.

l In the User Name field, type Admin.

monospace italics

Replaceable strings in file paths and code. For example:

user UserName

Command-Line Syntax ConventionsThis document uses the following command-line syntax conventions.

Convention Usage

[ optional ] Brackets describe optional syntax. For example:

[ -create ]

| Bars indicate “either | or” choices. For example:

[ option1 ] | [ option2 ]

In this example, you must choose between option1 and option2.

{ required } Braces describe required syntax in which you have a choice and that at least one choice is required. For example:

{ [ option1 ] [ option2 ] }

In this example, you must choose option1, option2, or both options.

required Absence of braces or brackets indicates required syntax in which there is no choice; you must type the required syntax element.

variable

<variable>

Italics specify items to be replaced by actual values. For example:

-merge filename1

(In some documents, angle brackets are used to denote these items.)

. . . Ellipses indicate repetition of the same pattern. For example:

-merge filename1, filename2 [, filename3 ... ]

where the ellipses specify, filename4, and so on.



NoticesThe use of punctuation—such as single and double quotes, commas, periods—indicates actual syntax; it is not part of the syntax definition.

This document uses the following notices:

Caution: A caution indicates an action can result in the loss of data.

Note: A note provides information that emphasizes or supplements important points of the main text. A note supplies information that may apply only in special cases—for example, memory limitations, equipment configurations, or details that apply to specific versions of the software

Tip: A tip provides additional information that makes a task easier or more productive.

Autonomy Product ReferencesThis document references the following Autonomy Legal Hold products.

l Autonomy Consolidated Archive (ACA)

l Autonomy Process Automation (APA)

l Autonomy eDiscovery

l Autonomy Introspect

l Autonomy Intelligent Data Operating Layer (IDOL)

l Autonomy Investigator ECA

l Autonomy Legal Hold (ALH)

l Autonomy Records Manager (ARM)

l Desktop Legal Hold (DLH)

Autonomy Customer SupportAutonomy Customer Support provides prompt and accurate support to help you quickly and effectively resolve any issue you may encounter while using Autonomy products. Support services include access to the Customer Support Site (CSS) for online answers, expertise-based service by Autonomy support engineers, and software maintenance to ensure you have the most up-to-date technology.



To access the Customer Support Site

l go to https://customers.autonomy.com

The Customer Support Site includes:

l Knowledge Base. The CSS contains an extensive library of end user documentation, FAQs, and technical articles that is easy to navigate and search.

l Case Center. The Case Center is a central location to create, monitor, and manage all your cases that are open with technical support.

l Download Center. Products and product updates can be downloaded and requested from the Download Center.

l Resource Center. Other helpful resources appropriate for your product.

To contact Autonomy Customer Support by e-mail or phone

l go to http://www.autonomy.com/work/services/customer-support

Contact AutonomyFor general information about Autonomy, contact one of the following locations:

Europe and Worldwide North and South America

E-mail: [email protected]

Telephone: +44 (0) 1223 448 000Fax: +44 (0) 1223 448 001

Autonomy Corporation plcCambridge Business Park Cowley Rd. Cambridge CB4 0WZ United Kingdom

E-mail: [email protected]

Telephone: +1.415.243.9955Fax: +1.415.243.9984

Autonomy, Inc. One Market Plaza Spear Tower, Suite 1900 San Francisco CA 94105USA

Document Revision HistoryDocument Revision

Release Date Notes

0 August 2014 First publication of 3.8 User Guide



https://customers.autonomy.com/

http://www.autonomy.com/work/services/customer-support




Part I: Introduction to Autonomy Legal HoldThis part of the guide is for all users of Autonomy Legal Hold. It includes the following introductory sections to help you understand and get started using ALH:

l "Introduction" on page 16 provides an overview of the Autonomy Legal Hold product suite and Autonomy Legal Hold.

l "Access Autonomy Legal Hold" on page 26 describes the ALH user interface views and explains how to log on and log off ALH.

l "Navigate the ALH User Interface" on page 31 explains the structural components that comprise the ALH user interface and explains how to use them.

Chapter 1: Introduction

The following topics provide general information about Autonomy Legal Hold. ALH operates according to the way you configure it to manage cases, legal holds, custodians, notifications, collections, and data preservation.

Autonomy Legal Hold Product Suite 16

Autonomy’s IDOL Platform 18

Autonomy Legal Hold Overview 19

Autonomy Legal Hold Product SuiteThe following products can be installed as stand-alone products or as a suite of electronic discovery (eDiscovery) products to manage the legal hold process. These products enable an enterprise to identify, hold, collect, and preserve electronically stored information (ESI) in response to legal and regulatory matters. They also provide the capability for the enterprise to analyze, process, review, and produce a package of relevant information to hand off to opposing counsel, regulators, and government agencies—in a fraction of the time it would take to compile the information manually.

Autonomy Legal Hold (ALH)

Autonomy Legal Hold automates the legal hold process at an enterprise. It enables an enterprise to secure all relevant information for a potential litigation, in compliance with agency requirements and case law. ALH automates all phases of the legal hold process - including identification, notification, preservation, and collection of relevant information regardless of where it resides in the enterprise. ALH uses Advanced IDOL analytics to apply intelligent legal hold policies against an enterprise's full corpus of data, manage and notify custodians, and build and update data maps. In addition, ALH tracks data through the entire litigation life cycle to provide a complete audit trail, and provides visibility into the review process and cost management.

Autonomy Process Automation (APA)

The Autonomy Process Automation Engine is a Web-based, eForm automation solution that resides on the Autonomy Process Automation Server. It is used for creating, deploying, and automatically managing the routing, tracking, and approval processes for electronic forms in ALH. These are forms that are generated when a legal hold notice is sent to custodians or data stewards—notifying them to preserve case data for a potential litigation case. The forms typically require automated verification of receipt of hold notification.The APA Engine is the fastest way for the enterprise to put forms online and automate the mission critical processes they drive in ALH

Desktop Legal Hold (DLH)

Desktop Legal Hold is a desktop application that can be configured to automatically collect data from local desktop and laptop machines and send the files to the designated Preservation Area (PA) in ALH to meet legal hold processing requirements. It uses IDOL engine to allow files to be collected based on their textual content. Policies are set through the Administration interface in


ALH to configure DLH collections. Policy Server is the backend component of the ALH application that is responsible for servicing collection requests to DLH. As collection workflows are initiated in the ALH Reviewer Console the information is passed along to the Policy Server and queued for the next, scheduled communication with the targeted DLH instance to service the collection request.

DLH can run as a dedicated LDAP service account or as a user account. In both modes it is recommended that DLH be provided local admin privileges to the workstation it is running on.

Investigator ECA

Investigator ECA is an early case assessment and advanced search product. It uses the IDOL engine to collect indexed data from connectors, stores the data in IDOL’s proprietary format, and supports advanced technologies and analytics for fast data discovery. Based on the volume of information it has to search, IDOL develops concepts about the data to target the most relevant information for the case. When a user creates or updates a case in ALH, a case by the same name can be automatically created or updated in Investigator ECA.

Introspect

Introspect is a sophisticated processing, review, and production/packaging application. It uses IDOL and Meaning Based Computing advanced technologies to remove duplicates and cull and filter documents that have been preserved for production. It enables an enterprise to compile a complete package of relevant case information - pulled from all the sources across the enterprise - in TIFF format to present to opposing counsel in complex litigation and regulatory investigations.

Autonomy eDiscovery

Autonomy eDiscovery unifies identification, collection, early case assessment, document review, and production/packaging in a single application that brings together the best capabilities of Autonomy Investigator ECA for identification and culling, and Autonomy Introspect for production. It provides a single solution for managing the end-to-end eDiscovery process at your Enterprise.

Powered by Autonomy IDOL, Autonomy eDiscovery automatically recognizes concepts and ideas in 100 percent of an organization's data, including unstructured human information such as e-mail, mobile data, audio, video, and social media - as well as structured data. Corporations and law firms can deploy Autonomy eDiscovery in the cloud, on premise, or in a hybrid environment. Autonomy eDiscovery operates seamlessly with Autonomy Legal Hold, Desktop Legal Hold and other components from Autonomy's Information Governance suite, such as Autonomy Consolidated Archive.

Autonomy Consolidated Archive (ACA)

Autonomy Consolidated Archive is Autonomy's local, on premises archive solution used to effectively manage knowledge mining, compliance regulations, and risk management. It enables ALH to interface with ACA's archive content. Interactions include the capability to discover and secure content for collections, apply preservation flags for hold data, release holds on archived content in ACA from ALH, and query, export, and dispose of archive content.

Autonomy Records Manager (ARM)

Autonomy Records Manager is not directly involved in legal hold processing, but it can manage the messages that ALH stores for data preservation in ACA. ARM manages enterprise assets through a single, virtual repository by automating rules for e-mail declaration and record management. The

User GuideChapter 1: Introduction


integration points between ARM and ACA are through the ACA Mailbox Management components: Microsoft Outlook, Lotus Notes, and Novell GroupWise.

Diagram: Lifecycle of a Legal Hold

The following diagram shows the life of a legal hold from creation to disposition when an enterprise is using multiple eDiscovery products from the Autonomy Product Suite. If you are using Autonomy eDiscovery, it performs the functions of Investigator ECA and Introspect.

Autonomy’s IDOL PlatformAt the core of Autonomy’s eDiscovery product suite is Autonomy’s Intelligent Data Operating Layer (IDOL).

IDOL gathers and processes unstructured, semi-structured, and structured information in any format from multiple repositories using IDOL connectors and a global relational index. It can automatically form a contextual understanding of the information in real time, linking disparate data sources together based on the concepts contained within them. For example, IDOL can automatically link concepts contained in an e-mail message to a recorded phone conversation, which can be associated with a stock trade. This information is then imported into a format that is easily searchable, adding advanced retrieval, collaboration, and personalization to an application, such as ALH, that integrates the technology.

For more information on IDOL, refer to the IDOL Getting Started Guide.



Autonomy Legal Hold OverviewWhen an enterprise faces pending litigation it is legally obligated to preserve relevant data until the matter is resolved. Therefore, as soon as the enterprise has an expectation of legal action (even before receiving official notification of the action), a hold notification is issued to appropriate users. All deletion of potentially relevant information must immediately cease and the information must be secured. With ALH, legal counsel or other specified employees can quickly initiate the hold process across the entire enterprise and then track compliance through simple web-based forms.

In addition, it is not enough just to say a legal hold was placed on the case-relevant data. A reasonable and defensible legal hold process is required and if one is not in place, the enterprise may face evidentiary sanctions, adverse rulings, and fines when the case goes to court.

A legal hold has to preserve traditional paper-based information as well as electronically stored information (ESI)—regardless of source or file type—from all data sources across the enterprise.

ALH helps organizations comply with collection, preservation, and tracking requirements by notifying employees about the legal hold, preserving relevant data, and collecting that data across all enterprise data sources, repositories, desktops, and laptops.

ALH Data Collection OptionsAn enterprise may have various procedures in place for collecting information. Any or all of the following options may be used to collect information in ALH:

l Trust and verify collections—Ask the custodians (interested parties) to collect the information in their possession and then place it in a designated hold location.

l Automated collections—Automatically copy data from its original location to a designated hold location, such as a Preservation Area.

l Repository collections—Leave the information where it is currently stored to preserve and manage it in place, using the built-in hold capabilities of the archive repository.

All data formats are preserved and collected including voice messages, e-mail, instant messages, applications, and databases. This includes data stored on network content servers managed by the Information Technology (IT) group and data stored on computers directly under end-user control.

ALH UsersIn general, the word “user” in ALH documentation applies to an employee in the firm whose role assignment permits use of the ALH Application UI on a daily basis to perform legal hold processing tasks on cases. In that context, “user” includes: custodians, data stewards, reviewers, supervisors, and any custom roles that may have been created to allow use of ALH.

An employee with an Administrator role is also a user of the ALH Application UI, but with a focus on setting up and administering the ALH application, rather than actually performing legal hold tasks on cases.



ALH RolesRoles determine each user’s level of access to ALH within the enterprise. Each role has some specific rights built into it. The standard, built-in roles in ALH are:

Custodian. Applies to any named custodian who participates in the hold process actively or passively. Custodians can log in to view and respond to notices and interviews.

Reviewer. Any member of the legal staff who needs access to case status information and reports, or who needs the ability to approve workflows.

Supervisor. Any member of the legal staff who requires the ability to manage cases, notifications, collections, and other supervisory functions not available to reviewers.

Administrator. Reserved for a very privileged few legal staff that have access to all functions of the product across all of the cases.

There is also a custom configurable role in ALH.

ALH Data OrganizationThe diagram in this section presents a high-level overview of how data is organized within Autonomy Legal Hold. Note that Casebook and Workbook are Investigator ECA structures

Based on the Data Organization diagram:

Case, Casebook. The legal hold process begins with the assignment of a case manager and creation of a case in ALH, often when it is only suspected that there will be a litigation case. If Investigator ECA is also being used, a casebook by the same name as the case name can automatically be created in Investigator ECA.

Custodians/Data Stewards. The custodians and data stewards are assigned to the case.

Hold. Workflow notifications are sent out to the custodians and data stewards to preserve all case-related data on all their repositories.

Preservation Area. Preservation Area locations are established for storing the legal hold data collected for the case—according to the collection policies that have been put in place by the enterprise.

Workbooks. Workbooks can be created by reviewers in Investigator ECA to hold relevant case data as it is discovered through data searches.

Data is collected and preserved for the case until it is resolved.



Diagram: Data Organization

ALH TerminologyFollowing are terms that apply within the context of ALH and are important to the understanding and setup of ALH.

Term Description

Asset A datastore type owned by an ALH user that is associated with a specific target. There is a predefined list of datastore types you can associate with each target in ALH. For example, a user’s account on an Exchange server is an Exchange asset type.



Term Description

Case A legal data repository created for a specific litigation or investigation where relevant data, holds, notifications, and custodians are managed.

Connectors Autonomy proprietary software that facilitates access to various types of unstructured data sources across the enterprise, enabling the information contained in the data sources to be indexed and collected by Autonomy’s proprietary technologies and applications for eDiscovery and information processing.

Custodian Typically an employee of the enterprise who may be in possession of pertinent data and/or information that could be relevant to litigation cases. Custodians have access only to the Web Desktop portion of the ALH user interface (UI).

Dashboard A specialized screen (such as the Cases, <CaseName> page in the ALH Application UI) that is organized to display summarized at-a-glance information about ALH components and their activities, appropriate to the dashboard page you are on. The information typically displays in easy-to-read table or chart formats.

Data sources

All the resources in the enterprise from which you can collect data that may be relevant to a case such as electronically stored information (ESI), desktop and laptop computer, physical records, statements, interviews, depositions, and audit trails.

Data Steward

Typically an Information Technology (IT) employee of the enterprise who has been assigned a role as Data Steward to manage and maintain electronic assets that could be used in cases in ALH, and who may have other tasks as assigned by the enterprise relevant to legal hold processing.

Distributed Connector

A communication proxy between ALH and connectors targeting enterprise data repositories.

Form A web-based document that requires authentication, typically presents Hold information to a Custodian to preserve all data for a case, and requires acknowledgement.

Best practice is that a Notice represents the call-to-action for Custodians or Data Stewards (such as a short e-mail message that directs them to click a link and view and accept the Hold language), and the Form contains the actual legal hold language.

Intelligent Data Operating Layer (IDOL)

Autonomy’s proprietary, transparent, common-platform engine that provides intelligent data handling capabilities to Autonomy products. It is able to connect to, analyze, manage, preserve, and store data from more than 400 enterprise repositories— including laptops, desktops, archives, SharePoint, content management systems, structured data sources, and more than 1000 file types including voice and video. It uses Autonomy’s patented Meaning Based Computing technologies to develop conceptual and contextual understanding of the information it ingests.



Term Description

Keyword lists

Lists of words used in ALH policies to identify matches against criteria, in order to collect or preserve specific information. You can choose, per policy, to get data that includes (white list) or excludes (black list) the strings from your keyword list.

Legal hold The act of complying with the preservation obligation. It is an action that the enterprise takes to capture all information across the enterprise believed to be relevant to an anticipated litigation, and to preserve that information in a secure location.

Legal hold process

A process that an organization uses to preserve all forms of relevant information when litigation is reasonably anticipated. In ALH, this process entails the issuance of a set of notification workflows targeting custodian data relevant to the anticipated litigation. Following are the standard workflow notifications (shown in the order in which they typically occur) that are associated with the legal hold process.

Notice. A legal hold notification that informs the person who is an identified custodian or data steward of the legal hold and requests confirmation of it.

Interview. An expanded type of legal hold notice that requests detailed information to be supplied in an online form about content, data, and facts that are pertinent to the case.

Collection. An action to collect data that initiates one of the following:

l an automated collection of electronic content from data sources throughout the organization.

l a manual or semi-automated collection of content by custodians or data stewards who deliver copies of content to be placed in the preservation area.

Preservation. An action that formally and securely locks identified ESI in its original location, preventing edits or deletion until such time as it is released.

Release. An action that removes custodians and data from the scope of the case, sometimes by issuing a release notice, or by releasing the electronic hold on an ESI data source.

Dispose. An automated or manual request to dispose of copies of content that are held in relation to the current hold.

Meaning Based Computing (MBC)

Autonomy’s set of advanced technologies and analytics that enable a conceptual and contextual understanding of information. MBC has the capability to form an understanding of all information across the enterprise—whether structured, semi-structured, or unstructured. It can recognize the relationships that exist within the information and bring meaning to it, regardless of what or where it is.



Term Description

Notifications E-mail notices that are associated with specific types of workflows put in place for a case. They are email-based communications sent by the APA Engine to the mail client of Custodians, Data Stewards, and Managers assigned to the case, typically providing notice of a browser-based form that is pending review and acknowledgement.

Packaging An export of collections or preservations from ALH, packaged in a Native, PST, or XML format that the enterprise sends to Autonomy Introspect or other product for review of content.

Policy A set of search conditions used in collection and preservation of data.

Preservation Area (PA)

A network share that stores all information related to each case, including notice records, collected content, and metadata. Also referred to as Dropzone.

Redaction A process that removes confidential information from a document prior to publication.

Roles Specific job assignments within an enterprise that enable employees with the role assignments to perform specific tasks in ALH.

Each role has some specific rights built into it and determines a user’s level of access to ALH within the enterprise. There are standard, built-in roles in ALH, in addition to a custom configurable role. The standard roles include: Custodian, Reviewer, Supervisor, and Administrator. See "ALH Roles" on page 20 for a description of each role.

Spoliation The act of concealing or materially altering evidence, inadvertently or intentionally, that could reasonably be considered relevant to ongoing or future legal proceedings.

Target A specific data repository type that is associated with a data source. There is a predefined list of data repository types you can associate with each data source in ALH. For example, the computer on which Desktop Legal Hold is installed is an Agent target type.

Web Desktop

A view of the ALH Application UI that allows Custodians to monitor the legal holds and cases assigned to them, and to respond to notification forms that are sent to them through e-mail regarding the collection and preservation of data for a case.

Workbook A saved selection of indexed data pertinent to a case, within Investigator ECA.

Workflow A defined action (such as a notice) that occurs within a larger process (such as legal), that may be triggered by an ALH user or another workflow. This term is synonymous with Legal hold process within the context of ALH.



ALH Icons Used in Legal Hold ProcessingAutonomy Legal Hold uses several icons to help you identify items and complete tasks more quickly. The following table shows an example of the icons in Autonomy Legal Hold and gives an explanation of their use.

Icon

Use in ALH

Task Manager Menu. Gives you options related to that particular record, and options relating to the page. Hover over this icon to access a record-level menu that changes depending on the page.

Dashboard. Indicates that this page shows an overview of a case.

Hold. Represents a group of workflows related to a legal hold.

Custodian. Represents a person whose data is under legal hold.

Custodian Acknowledgement. Indicates that the custodian whose name it appears beside has acknowledged receipt of a hold notice. Click it to open the notice in PDF format.

Workflow. Represents a workflow associated with a hold, sent to custodians.

Data Sources. Represents data that has been supplied by custodians or otherwise collected.

Collection. Represents collection workflows and collected data.

Case Owner. Denotes that you are the case data owner.

Open Case. Denotes a case that is opened.

Report. Denotes a report for the current screen.



Chapter 2: Access Autonomy Legal Hold

The following topics provide general information about the ALH interfaces and explain how to log on and log off ALH.

System Requirements 26

ALH Interfaces 26

Log On and Log Off ALH 29

System RequirementsNote the following requirements that enable ALH to function properly.

Browsers

This version of ALH operates with the following Web browser software. Ensure that you have at least one of these browsers, plus JavaScript, installed on your system:

l Microsoft® Windows® Internet Explorer® 6 SP2 or later, running on Windows XP or later

l Mozilla® Firefox® 1.5.x or higher

l Apple Safari® 4 or higher

l JavaScript enabled on the Web browser

Screen Resolution Setting

To ensure optimum performance of ALH, check that your screen resolution is set to 1024 x 768. Some graphics features, such as pie charts, may require Adobe Flash as well.

ALH InterfacesThere are two types of user interfaces (UIs) available for ALH.

"Autonomy Legal Hold Application Interface" on the next page

"Autonomy Legal Hold Administration Console Interface" below

You must have administrator credentials to perform administrative tasks in either interface.

Autonomy Legal Hold Administration Console InterfaceThis interface, also referred to as the Config Console is a system configuration interface that requires administrator credentials and a login directly to the Autonomy Legal Hold Administration Console. It is designed for a system or IT administrator who performs system-


level configurations that enable operation of Autonomy Legal Hold within the enterprise environment.

System configuration tasks are not covered in this guide. Refer to the Autonomy Legal Hold Installation and Implementation Guide for instructions on how to perform administrative, system-level configurations.

Autonomy Legal Hold Application InterfaceThe Autonomy Legal Hold Application UI is for users who perform daily tasks related to case management, data collection, and legal hold processing for the enterprise. This guide is specifically designed for the users who need to use ALH to perform these tasks, according to their role assignments.

Roles

Roles determine each user’s level of access to ALH within the enterprise. Each standard role has some specific rights built into it. There is also a custom configurable role.

See "ALH Roles" on page 20 for descriptions of the ALH roles.

Views

Upon logon to ALH, the interface view you see and the tasks you can perform are dependent on your role assignments in ALH. Therefore, the interface views vary in appearance.

l "Custodian View" below

l "Reviewer–Supervisor View" on the next page

Note: There is also an Administrator view of the ALH interface that is dependent upon the Administrator role and lets administrators access all tabs, including the Admin tab, to set up and administer components of the ALH application. These settings determine how ALH can be used in the enterprise for case management and legal hold processing.

Administrative tasks are not covered in this guide. Refer to the Autonomy Legal Hold Installation and Implementation Guide for instructions on how to set up and administer the ALH application.

Custodian ViewAlso called the Web Desktop, the Custodian view of the UI lets all targeted custodians (and Data Stewards) view notices and digitally authorize forms initiated by an ALH workflow—for the cases they are assigned to. Web Desktop is a portal to e-mail messages on the APA Server that enables the sending and receiving of notification forms related to legal holds.

Custodians can access only the Web Desktop link in the ALH interface to respond to notifications and perform data gathering and preservation tasks for their assigned cases.

User GuideChapter 2: Access Autonomy Legal Hold


See "Custodian Tasks" on page 49 for information on how to use this interface view.

Reviewer–Supervisor ViewAlso referred to as the Reviewer Console, this view of the UI gives access to reviewers and supervisors affiliated with the General Counsel's Office who are responsible for electronically reviewing, monitoring, and managing cases and legal hold processing for cases in ALH. They can access all the UI tabs, except for Admin. Their user profiles determine which tasks they can perform. Case creation, custodian targeting, workflow processing, packaging of collections and preservations for review, and ALH reporting can all be managed from this UI.



See "Managing Cases and Hold Activity" on page 61 for information on how to use this interface view.

Log On and Log Off ALHThe logon and logoff procedures are basically the same for all roles in ALH. However, to perform administrative tasks, you must log on as Administrator, or as a user whose rights include administrative privileges, to access the Admin tab and administrative options in ALH.

To log on for performing administrative tasks

1. From the Start menu, select Programs > Autonomy > Legal Hold Application Server > Start Legal Hold Application Server. This command starts the Autonomy Legal Hold service.

2. In a Web browser, enter the URL, such as:

http://<alh host>:<alh port>/legalhold/logon

The URL is determined during installation.

The Autonomy Legal Hold logon page opens. You should bookmark this page for future use.

3. Enter your Username and Password, and Domain if used. The password is case-sensitive (for example, PASSWORD is not the same as password).



ALH supports user membership in multiple LDAP domains. The Domain field in the logon is only present if ALH has been configured for multiple LDAP domains.

4. Click OK. If you have a Custodian role: By default ALH opens at the Web Desktop dashboard.

If you have an Administrator, Supervisor, Reviewer, or customized role: By default ALH opens at the Home dashboard. However, you can change the default so that is opens at a different page, based on the screen you specify in the Display Preferences section of the My Account tab.

5. After you are logged in, select the link for the tasks you want to perform. See "Navigate the ALH User Interface" on page 31 for overview information about the structural elements of the UI and how to use them when working in ALH.

6. Perform the tasks.

7. Click Save when appropriate to save your entries.

Note: If you are inactive for more than the configured time-out period, the Web session is disconnected. By default it is set to 30 minutes, but this time-out period can be adjusted by an administrator who has access to the ALH Administration Console.

To log off

Click logoff near the top right of the page.

You are logged off and returned to the Autonomy Legal Hold logon page.

Caution: If you suspect at any time that your password has been compromised, inform your system administrator immediately.



Chapter 3: Navigate the ALH User Interface

The following topics explain how authorized users in the enterprise can navigate through the ALH UI to perform tasks in support of legal hold processing.

Basic Navigation Features 31

Overview of ALH Dashboards 39

Basic Navigation FeaturesReview this section for quick tips on how to use the basic navigation features in the ALH application. Although the individual pages in the UI offer elements and features that are specific to their use, the basic navigation features typically apply throughout the UI.

l "Page You See at Logon"

l "Use Links and Tabs to Access the UI Pages" on page 33

l "Click Hyperlinks to Navigate the UI"

l "Trace Your Steps with Breadcrumb Links"

l "Get Information from Tooltips" on page 37

l "Perform Commands Using the Task Manager" on page 37

l "Perform Simple and Wizard Searches"

Page You See at LogonIf you are a custodian, the page you see at logon is the Web Desktop.


Sample Web Desktop page

Other users see a custom configured Dashboard at logon to the ALH UI. Reviewers, Supervisors, and Administrators have the option through the My Account tab > Display Preferences > Default Screen to configure the Home, My Cases, or Activity (Collection) page as the default Dashboard page that opens at logon.

This custom setting does not have to be permanent—you can change it at any time and then log out and log on to ALH to apply the change.

Sample custom configured Dashboard

User GuideChapter 3: Navigate the ALH User Interface


What you configure will likely reflect your work situation and what you prefer to see when you begin work in ALH each day.

See "Home Dashboard" on page 41 for more information on this page.

See "Set Up Account Information" on page 133 for information on how to set your display preferences.

Use Links and Tabs to Access the UI PagesFollowing a successful logon, the ALH application opens. You can use links and tabs in the UI to navigate from your home page to various pages in the application.

l "Links" below

l "Tabs" on the next page

Links

The selected, active link is always highlighted in gray, as shown in the following example where Home is selected. Other unselected links remain visible and available at the top of each page as you navigate in the UI.

Your role in ALH determines which user interface links display, so you may or may not have access to view and use all of them shown.

For example:



l Only the Web Desktop link displays if your role is Custodian. However, other users such as Data Steward may also have access to that link.

l Generally, all links shown in the screen above display if your role is Reviewer or Supervisor, but there may still be restrictions on the tasks you can perform. The settings in your user profile determine which tasks you are allowed to perform.

Tabs

Your role in ALH also determines which tabs display, so you may or may not have access to view and use all of them shown. Only an administrator has access to the Admin tab. All users have access to <username> and Logoff tabs.

System Alert tabThe System Alert tab is the first tab on the left on the Home page. It displays system monitoring information about ALH components. Through this tab, application managers and other ALH administrators can view system status continuously within the application. An overall system status shows System OK on the tab if all required components are currently running as expected. If a fault is detected, System Alert is displayed on the tab.Clicking the System Alert tab opens the System Monitoring page, which provides more information about which component is experiencing a fault, and which workflows are likely to have difficulties until the fault is remediated, as shown in the following System Monitoring example:



You can click the View Details link in the Details column for a component to see a popup explanation of the component error. For example, if you selected View Details for Distributed Connector, you might see a View Details message such as “Distributed Connector is down.”

<Username> tabThe Username tab is the second tab from the left. It displays the Username of the person who is logged onto the machine.When you click that tab you get a summary overview of the user’s credentials, such as the following example:

My Account tabThe My Account tab provides links to where your personal account information, and configuration and display preferences for the ALH user interface are set. Custodians do not have access to this tab. If you have a role other than Custodian, the page that first opens depends on the My Account



tab > Display Preferences > Default Screen setting that is selected. In the following example, the Desktop Collections page would display based on the Activity: Desktop Collections selection.

Admin tabThe Admin tab opens the Administration page where the ALH application is configured. If your user rights do not include administrative privileges, this tab and page do not display when you logon to Autonomy Legal Hold.

The Administrator role has access to all links and tabs and can perform all tasks in the ALH interface. Refer to the Autonomy Legal Hold Installation and Implementation Guide for information on using this interface.

The Logoff tab logs you out of ALH and returns you to a logon screen.

Click Hyperlinks to Navigate the UIMany words, numbers, and symbols in the ALH application are hyperlinks or jumps, meaning you can click that word or number to open a new page or access additional information. For example:

l Each case entry on the Cases tab is a hyperlink that lets you drill down to detailed information about that case.

l The Wizard link opens the Search Expressions Wizard popup where you can set search criteria.



Most hypertext links that are based on words or numbers, rather than symbols, appear to be underlined when you place your cursor over them. Some hyperlinks, such as those in breadcrumbs or the quick command links, are always underlined.

Trace Your Steps with Breadcrumb LinksThe path that appears at the top of each page just under the logo shows how you got to where you are and how to get back to previous steps. Each component of the path is a breadcrumb link that takes you somewhere in the path.

Breadcrumbs. Breadcrumbs are a navigation tool commonly used on Web sites. They show the steps you took along a path from a start location to get to your current location on the computer system, and let you see how to get back to the start location by reversing your steps.

In the following example, the breadcrumb hyperlink Case1 takes you back to that individual Case Dashboard, or you could click the breadcrumb Cases to go back to the main Cases page where all the cases you are are assigned to display.

Get Information from TooltipsMany symbols or icons are tied to tooltip-style popups. When you hover the cursor over these symbols, a short description of the symbol appears. For example, if you hover the mouse over the Custodians icon on the Cases page, the popup name Custodians displays.

Perform Commands Using the Task ManagerOn some pages in ALH that show a summary list of components in table format, the Task Manager button displays in the Status column at the end of each table row. In the following example the Task



Manager displays for workflows on the Workflows page. (The Task Manager also displays on the Custodians page and Holds page).

When you hover the cursor over the Task Manager, a list of commands opens. The commands that display vary, depending on the component type. The following example shows the commands available for the CDSI Workflow listed in that row.

When you click a command, another page typically opens where you can perform the selected task on the component. If a command is dimmed you are not allowed to perform that command. Depending on the status of the component and state of processing, a command may be available at one time and not another.

Perform Simple and Wizard SearchesMany pages in ALH include a simple text Search feature plus a Wizard search feature.

When you perform a simple Search, the results are contextual, meaning that the search produces results directly related to the page that is currently active. For example, running a search on the Legal Holds page returns only holds as results.

The Wizard lets you create more complex searches using a combination of different variables, but it is still context-sensitive according to the page you are on.

Note: The search features in ALH are used to find specific components of ALH, such as custodians, holds, or workflows. They were not designed to perform eDiscovery types of searches on enterprise or collected data.

The following procedures describe how to perform searches for cases in ALH, but the basic procedures generally apply wherever the search options are available.



To run a simple search for one or more cases using Search

1. Log in to the ALH user interface. The page that opens depends on the display preferences you set.

2. Click the Cases link to display the Cases page.

3. Enter the specific name of a case you want to search for in the text box above the cases table or enter a partial name followed by * to search for multiple cases that start with those letters.

4. Click Search.If cases are found, they display in table format in the Cases page.

5. Click a case name to view case details. The Dashboard for the case displays the details.

Click Show All to clear the filters and redisplay the cases.

You can also perform searches for other components of ALH, such as holds, custodians, and workflows from the Cases page.

To run a search for one or more cases using the Wizard

1. Log in to the ALH user interface.The page that opens depends on the display preferences you set.


3. Click the Wizard link that displays beside the text box above the cases table.The Search Expression Wizard page opens. It displays a list of more than 30 search criteria, including the capability to create an expression to search by.

(If the page does not open, make sure your browser allows pop-ups for the ALH site.)

4. Enter the appropriate text that is relevant to one or more of the search criteria. For example, to search for cases by with Preservation Area of criteria you must enter the name of the preservation area beside that criteria.

5. Enter as many search criteria as you want and click Search at the bottom of the Search Expression Wizard page. The results of your search display in the Cases pageClick Show All to clear the filters and redisplay the cases.

Overview of ALH DashboardsThe tab links at the top of the ALH user interface take you to pages, some of which are structured as dashboards, where you can perform legal hold processing on cases.

There are several dashboards available in the ALH UI.



Dashboard

A dashboard is a specialized screen in ALH that is organized to display summarized at-a-glance information about ALH components and their activities, relative to the dashboard page you are on. The information typically displays in easy-to-read table or chart formats.

Links that take you to screens structured as dashboards include Web Desktop, Home, Activity, and Cases.

The following topics present a brief look at the dashboards in the ALH UI:

"Web Desktop Dashboard" below

"Home Dashboard" on the next page

"Activity and Collections Dashboards" on page 42

"Cases, Holds, and Matters Dashboards" on page 43

"Reports Dashboard" on page 46

Web Desktop DashboardThe Web Desktop link opens the Web Desktop that is structured as a dashboard and is used primarily by custodians in ALH to monitor their notices and legal holds for the cases they are assigned to. This dashboard displays tabs to your custodian’s e-mail Inbox, Sent items, and Saved items where you can view and act on notifications pertinent to your cases. Custodians cannot see any other link pages or dashboards in ALH.



See "Use the Web Desktop" on page 51 for more information about the Web Desktop.

Home DashboardBy default, the Home link opens the Home Dashboard that provides fast access to common tasks and shows at-a-glance status of your cases and workflows or holds. Reviewers, Supervisors, and Administrators in ALH have access to this dashboard.

This dashboard may show information on holds instead of workflows, depending on the preferences configured to display in My Account.

See "Use the Home Page" on page 63 for more information about configuring and using the Home Dashboard.

See "Select Display Preferences" on page 134 for how to configure your display preferences for the Home Dashboard.



Activity and Collections DashboardsThe Activity link is a dual-tab dashboard that opens by default to the All Workflow Activity Dashboard when you click the Activity link. However, if you have set the logon Default Screen in My Account to be Collections, then the Desktop Collection Activity Dashboard displays at logon and whenever you click the Activity link.

This page provides:

l Quick access to the most recent workflows across all cases.

l A way to quickly access workflow status.

All Workflow Activity Dashboard

You can click the All Workflow Activity tab to see summary information for all or selected workflow processes for all cases or a selected case, for All, Active or Completed workflows, and for All or a selected Hold for a selected Case.



Desktop Collection Activity Dashboard

You can click the Desktop Collection Activity Dashboard tab to see information about collections—sorted by Custodian.

This dashboard also depicts a Collection Status Break Down Chart that shows the collection status: Ingesting, Failed, Pending, or Done. In the example below, the Chart shows the status for all workflows, but it could be restricted to Active or Completed/Cancelled.

The Status column shows the job status. The Status determines whether information appears in the Files Collected, Total Size, and Last Action columns.

Cases, Holds, and Matters DashboardsThe Browse link opens by default to the Cases Dashboard.

There are Cases, Holds, and Matters tabs in the upper left corner of the UI that let you access those dashboards. To switch between them, click the appropriate tab.

l "Cases Dashboard" on the next page

l "Holds Dashboard" on page 45

l "Matters Dashboard" on page 45



Cases Dashboard

The Cases Dashboard, as shown in the following example, lists all the cases in all Case Divisions that the currently logged-in user is responsible for.

To view a specific case, click its name on the Cases page and the <Casename> Dashboard opens, showing more detailed information about the case. Through the tabs at the top of the Dashboard, you can access information on the components relative to the case, such as Workflows and Collections, and more.



See "View a Specific Case" on page 75 for information about the features of the <Casename> Dashboard.

See "View, Create, and Manage Cases in ALH" on page 71 for general information about cases.

Holds Dashboard

From the Cases link page, click the Holds tab to switch to the Holds Dashboard. The following Holds Dashboard example lists all the holds for cases that the currently logged-in user is responsible for.

To open a specific hold for viewing or modification, click its name in the Hold Name column and the Legal Holds Dashboard opens, displaying the Hold information.

Matters Dashboard

To view the Matters Dashboard, click the Matters tab from the Cases Dashboard.

The Matters Dashboard lists all matters by Matter ID and Matter Name. This dashboard also displays other information about the matter, such as the lead attorney, the matter type, the date the matter was created, the date the matter was last updated, and the current status of the matter.

Note: In order to maintain confidentiality, security permissions control the ability of a user to view specific matters. Refer to the Autonomy Legal Hold Installation and Implementation Guide for information about security permissions.



To view a list of related cases for a matter, click Manage Cases in the Task Manager menu in the row of the matter. From the Related Cases list you can associate cases with the matter or remove them from the matter.

To view a list of custodians assigned to a matter, click Manage Custodians in the Task Manager menu in the row of the matter. From the list of Custodians in this Matter you can add custodians to the matter and remove them.

Reports DashboardThe Reports link opens the Reports page that lists the reports available on your Autonomy Legal Hold system. These reports are divided into the following categories:

l User

l Custodian

l Policy

l Archive

l Case

l Collect

l Dispose

l System

l Custom

The reports are all preconfigured except for those listed in the Custom Reports category that an ALH Administrator or Autonomy Support may have configured for the enterprise.

When you select a report and click Run Report, a screen may display where you can enter filters and search criteria and then click Create Report to generate the report. For some reports the filter screen is not applicable, in which case it does not display and the report prints immediately when you click Run Report.



Example: Roles and Permissions Report Dashboard

See "Run Reports" on page 127 for more instructions on using reports.




Part II: Custodian TasksThis part of the guide includes information for custodians who use the Web Desktop and Dashboard to manage workflows relevant to the cases they are assigned to:

l "Use the Web Desktop" on page 51

Information about the following activities are included:

l Notices that are past due and require action.

l Active Legal Holds that require collection and preservation of data.

l Outstanding Items that are not overdue but have yet to be resolved.

l Notice History of actions already taken.


User GuidePart II: Custodian Tasks

Chapter 4: Use the Web Desktop

Log On and Off the Web Desktop 51

Use the Web Desktop Interface 51

View Notices in the Web Desktop 57

As a user with the Custodian role in Autonomy Legal Hold, you can use the Web Desktop to monitor the legal holds and cases assigned to you, and to respond to notification forms that are sent to you through e-mail regarding the collection and preservation of data.

Log On and Off the Web DesktopThe ALH system administrator either provides you with a username and password or instructs you to use your Windows user name and password to access the Web Desktop. If you have a trusted login, a password may not be required at all.

Use the Web Desktop InterfaceWhen you log on to ALH, the Web Desktop link opens the Web Desktop Dashboard. If you have only a Custodian role in ALH, this is the only link you can view, but Data Steward and other roles in ALH can also view it if so authorized.

Elements of the Web Desktop

By default, the Web Desktop page displays as a Dashboard—providing summary information at a glance about notices and holds to help you manage the cases you are assigned to.

The Dashboard consists of:

l Summary Tables. There are four tables containing summary information about notices and holds.

l Icons. The icons that appear at the top of appropriate summary tables represent the total number of each Type of information that may appear in the table.

l Links to E-mail. The links just below the Autonomy logo provide access to the e-mail notifications stored on the Autonomy Process Automation (APA) Server, also known as the Notification Server.

l Frequently Asked Questions. In the Holds and Interviews boxes you can click one of the commonly asked questions and receive an answer in a popup box.


Use the Web Desktop Summary TablesThe four Web Desktop Dashboard summary tables let you quickly review any notices or holds assigned to you personally that you must act on, are overdue, or that you have previously acted on. You can retrieve and acknowledge a notice by clicking on it in the appropriate table on the Dashboard.

My Notices

Overdue table. Lists notices that are past the due date and require immediate action from you. A red exclamation mark emphasizes the past due state. You typically receive reminders from the General Counsel’s Office if you have overdue notices. The goal should be to have 0 overdue notices.

Outstanding table. Lists notices that you should act on as soon as possible, but which are not yet overdue.

Action button. This button appears at the bottom of the Outstanding and Overdue panes of the Web Desktop if you have the appropriate entitlement, such as being logged on as Administrator. This button allows you to check items in the pane, then delete them from your Inbox by selecting the Delete option under Actions.

For example, the button only appears if the user has the entitlement Delete objects from web desktop. The built-in Custodian role does not have this entitlement. Users with the role of Administrator and Supervisior have delete permission and can view this option. But to make this ability available with any other role, the user has to be created with the permission set accordingly.

Holds I’m Under

Active Holds table. Lists Legal Holds that currently apply to you.

Notice History table. Lists notices that you already acted on.

Default Sort Order of Summary Tables

For the Notice workflows associated with cases in the Web Desktop, the default sort order is by numerical ascending order of due date. This sort order lists the workflows with the oldest due date first in the table, and those with newest due date last in the table.

Each item in the table represents one of the following workflow types: collection, disposition, hold, interview, preservation, or release. If there are multiple workflows with the same due date, they are listed randomly by the due date.

You can refresh the information in the tables individually by clicking the Refresh (blue double arrows) icon under each table.

User GuideChapter 4: Use theWebDesktop


Sort Web Desktop Summary Tables by Type or NameYou can sort the items in the summary tables on the Web Desktop by Type or Name, but you cannot perform multi-column sorting. After you click Type the sort is by type of workflow. After you click Name, only alphabetical sorts are performed on the case names.

Tip: To go back to the default sorting order, reload the entire Web Desktop page by holding down the Shift key and clicking View > Refresh in your Internet browser.

l "Sort Summary Table by Type" below

l "Sort Summary Table by Name" on the next page

Sort Summary Table by Type

The first time you click the arrows in the Type column heading, the workflows are sorted by Type in the following ascending order:

1. Holds

2. Interviews

3. Collections

4. Releases

5. Dispositions

6. Preservations

This is the order in which the workflow types appear in the table and is the same order in which the workflow icons appear across the top of the summary tables.

If you then sort in descending order, the workflows are sorted by Type in descending order, starting with Preservations, and ending with Holds.

To sort the summary table by Type

1. Hover the cursor over Type.Arrows appear beside Type.



2. Click an arrow to display the Sort Ascending/Sort Descending commands.

3. Do one of the following: n Select Sort Ascending to display the workflows in the table by Type, in ascending order.

n Select Sort Descending to display the workflows in the table by Type, in descending order.

Sort Summary Table by Name

You can sort the cases alphabetically by name in the Name column in ascending or descending order. However, the first time you click the arrows in the Name column heading, the sort is done on the case name in ascending alphabetical order. The icon that displays in the Type column beside each case name lets you know the workflow type associated with the case. The Name sort does not do any sorting by date.

Note the following about case names and how they display:

l Case names that begin with numbers display first in the table, and then the names display alphabetically.

l Cases that begin with a lower case letter appear in the table before the cases that begin with an upper case letter.

l If there are multiples of the case name, such as multiples of Casemno, the names appear one after the other in the table.

"Example: Sort Order by Name" on the next page

To sort the summary table by Name

1. Hover the cursor over Name.Arrows appear beside Name.

2. Click the arrows to display the Sort Ascending/Sort Descending commands.



3. Select the sort order.The case names in the table display in alphabetical order, regardless of date, in ascending or descending alphabetical order. The exception is that case names beginning with a number display before case names that begin with a letter and are in alphabetical order.

Example: Sort Order by Name

The following Notice History shows an example sort order by Name, Ascending:

Type Name Acknowledged Date

555-pmoqcase

(Release Notice)

9/10/2011

Case123

(Hold Notice)

9/30/2011

caseabc444

(Preservation Notice)

11/3/2011

caseabc

(Disposition Notice)

11/2/2011

CaseABC

(Interview Notice)

9/25/2011

CaseABC

(Hold Notice)

9/30/2011

Case-g-789

(Hold Notice)

10/20/2011

Casemno

(Collection Notice)

10/5/2011

CasemNo

(Collection Notice)

11/5/2011

caseRPQ

(Preservation Notice)

10/2/2011

Caserpq

(Disposition Notice)

11/2/2011



Type Name Acknowledged Date

LH-Case456

(Interview Notice)

10/31/2011

XMV-54-bb

(Release Notice)

9/30/2011

XMV-bb

(Collection Notice)

10/17/2011

Remove a Column from the Web Desktop Summary Tables

All the Web Desktop summary tables have Type and Name column headings. Only the Notice History table has Status and Date Acknowledged columns.

To remove a column that displays in a summary table

1. Go to the summary table where you want to remove a column heading.

2. Hover the cursor over the column name.Arrows appear in the column.

3. Click the arrows to display the commands available in a drop-down list.

4. Click the arrow beside Columns.The column names display.

5. Click the name of the column you want to remove.That column no longer displays in the table.

To add a column back to a summary table

1. Repeat Steps 1 through 4 as described in the procedure To remove a column that displays in a summary table.

2. Put a checkmark in the box beside the column you want to add back to the table.That column displays again in the table.

Web Desktop Dashboard IconsThe icons shown on the Web Desktop Dashboard—above the Overdue, Outstanding, and Notice History tables—represent the number of the following types of information that appear in that table:

Icon Type of Information



Number of Holds

Number of Interviews

Number of Collections

Number of Releases

Number of Dispositions

Number of Preservations

The icons do not display above the Active Holds table because there is nothing in that table but active Holds.

All (nn) that displays first in the line of icons shows the total number of items the icons represent.

Refresh of the items icon displays below the table.

View Notices in the Web DesktopThere are different ways you can link to notices to view them through the Web Desktop.

Example: Link to a Notice Through a Summary Table

"Example: Link Directly to e-mail" on the next page

Example: Link to a Notice Through a Summary TableYou can view and take action as appropriate on the items in the summary tables on your Dashboard by clicking on an item, such as in the Outstanding table. Items in the Outstanding table require an action on your part, but are not yet overdue.

To view an Interview form in the Outstanding summary box

1. Mark the checkbox beside the item and mouse over the item to highlight it.

2. Click the item.A “Loading form” message and a questionnaire form display as shown in the following example.

The example is only a small section of the entire form, which may consist of several pages of questions that you must answer—related to how you operate your computer and store data. The form typically requires your signature and submission.

3. Do one of the following after viewing the form: n Sign the Interview form in the Signature box.

n Click the Ask a Question link to go to MS Outlook where you can send an e-mail to the sender of the interview form if you have a question about it.

n Click the My Portal link at the bottom of the page to go back to the Web Desktop Dashboard.



Example: loading form message

Example: Link Directly to e-mailThe links under the Autonomy logo in the Dashboard let you access e-mail messages in your Inbox, Sent Items, and Saved Items. These messages consist of the notices and hold messages that were typically sent to you by a supervisor, reviewer, or administrator concerning a litigation case. They are the same notices that display in the summary tables in Web Desktop.



Each of these links acts as a portal to the corresponding page in the APA Server. For example, the link Inbox opens a page similar to the following in the APA Server portal:

If you select an item in the list of e-mails that displays a red icon (Withdraw) in the row, the notice is withdrawn and a message similar to the following displays in a popup window:

If you click the blue icon (Progress Map), process details display about the notice in a popup window, similar to the following:




Part III: Managing Cases and Hold ActivityThis part of the guide is for legal staff, reviewers, and supervisors who create, manage, and monitor litigation cases for the enterprise. They typically perform tasks related to:

l Cases. Tasks related to cases are managed by supervisors who assign them to custodians, data stewards, and reviewers. Other tasks may include adding custodians, data stewards, and reviewers; creating and applying legal holds; sending workflow notices and alerts; running reports; elevating case status when necessary; and determining when the case is resolved and can be closed. See "View, Create, and Manage Cases in ALH" on page 71.

l Legal Holds. Tasks may include creating any number of legal holds to associate to a case, editing holds, removing holds, adding custodians to a hold, and creating workflows to associate with the holds. See "Create and Manage Legal Holds for a Case" on page 91.

l Custodians. Tasks may include adding custodians to a case, searching for custodians, removing custodians from a case, and monitoring custodian activity with regard to hold notifications. See "Add and Manage Custodians in a Case" on page 101.

l Workflows. Tasks may include creating and editing workflows; assigning custodians to workflows; generating form notifications to appropriate users to collect, and preserve data; and packaging collections and preservations for export to reviewers. See "Create and Manage Workflows" on page 109.

l Reports. Tasks may include running a variety of reports through ALH to manage and monitor ALH components, status, legal processing activities, and more. See "Run Reports" on page 127.


User GuidePart III: Managing Cases and Hold Activity

Chapter 5: Use the Home Page

The following topics explain how authorized users in the enterprise can use the Home page to navigate through the ALH interface to perform tasks for legal hold processing.

Home Dashboard Layout 63

Home Dashboard Components 64

Home Dashboard LayoutThe Home link opens the Home Dashboard for the person who is logged on to the machine. The Home Dashboard provides fast access to common tasks and shows the status of cases and either Holds or Workflows. If you have the Navigation links set at the bottom of the page, you can create a new case, hold, or workflow from this dashboard.

The Home Dashboard can be used by those who have Reviewer, Supervisor, or Administrator roles in ALH.

Typical layout of the Home DashboardThe following illustration shows a typical layout of the Home Dashboard.

The Home Dashboard viewing layout can be modified through the My Account tab > Display Preferences settings. In general, you would configure the layout according to how you work in ALH and what you want to see when you open the Home Dashboard.

There are various layout combinations to choose from in Display Preferences:


Typically you set each block to display different information, as shown in the illustration above.

You can set the two tables that display in Block 1 to show summary information about Cases or Holds or Workflows.

l Block 2 has the same configuration options as Block 1.

l Block 3 can be set to show one of the following: n [Blank]

n a Search box

n Navigation links

n Charts

n Getting Started buttons

l Block 4 has the same configuration options as Block 3.

When you change to a different option in the Layout box and click Save, the change is immediately applied to the Home Dashboard.

See "Select Display Preferences" on page 134 for a detailed explanation of how to configure Dashboard preferences.

Home Dashboard ComponentsThis section describes the components that comprise the Home Dashboard that are different from the basic navigation elements described in "Overview of ALH Dashboards" on page 39.

l "Home Page Summary Tables" on the next page

l "Optional Information Settings on the Dashboard" on page 68

l "Home Dashboard Quick Commands" on page 69

User GuideChapter 5: Use the HomePage


Home Page Summary TablesThe four summary tables that display on the Home Dashboard show information about cases, workflows, or holds.

Cases

You typically configure Block 1 on the Home Dashboard to show summary information about the cases you can access in ALH.

Cases I am Watching table

In the Cases I am Watching table, cases are categorized by Case Division, with the total number of cases and status information shown in the columns to the right.

My Cases table

In the My Cases table you can view a list of all the cases for which you are Case Owner.



Icons in the My Cases table

The following icons appear in the My Cases table:

Column Label on Screen Information

Case Name

Number of custodians

Number of holds

Number of workflows

Date the case was opened

When you click the number in the Custodians, Holds, or Workflows columns, that page opens in the application so you can see more details or perform work on those aspects of the case.

Workflows or Holds

You typically configure Block 2 on the Home Dashboard to show summary information for either workflows or holds.

Workflows

If you configure workflows to display in Block 2, the My Workflows and My Most Recent Workflows tables display.

My Workflows table

The My Workflows table is organized by Case Division, with status information shown in the columns to the right.

My Recent Workflows table

In the My Most Recent Workflows table, the workflows are listed in the table by date with the newest first.



Holds

If you configure Holds to display in Block 2, summary information displays for My Holds by Case Division, along with some statistical information.

My Holds table

My Most Recent Holds table

The My Most Recent Holds table list the most recent holds by their start date.



Optional Information Settings on the DashboardThere are two optional blocks of space available at the bottom of the Home Dashboard page. If you configure them, the information that displays in each block is based on the option you select in Display Preferences.

The following options are available for blocks 3 and 4.

Blank

If you select [Blank], nothing displays in that block on the Home Dashboard.

Search

If you select Search, the search box displays in that block, as shown below. You can select a radio button to search for cases or holds. For example, if you select Cases and enter the name of a specific case, the Cases Dashboard displays showing information only for that case. If you do not enter a specific name and have the Cases radio button selected, summary information displays for all cases. It works in the same manner for Holds.

Navigation

If you select Navigation, the command symbol links shown at the bottom of the page display. They provide quick access to common tasks:

New Case

New Hold

New Workflow

Reporting



Reporting opens the Reports page that shows a list of all predefined and custom reports available.

Charts

If you select Charts, the following display appears. The charts reflect a percentage of the whole that is met:

Getting Started

If you select Getting Started, button links display that take you to related programs and menus:

Home Dashboard Quick CommandsThe Home dashboard includes quick commands below the tabs in the upper right corner of the UI that let you create a new case or new case division ((administrative function):

There is also an Alerts link that displays above the Cases I Am Watching summary table. If you click the link, a summary of alerts for the case pops open, as in the following example:

If there are no alerts, the link does not display.



Chapter 6: View, Create, and Manage Cases in ALH

Overview of Cases 71

Manage Cases 72

View Holds 85

Manage Matters in the ALH Application UI 87

A person with the Supervisor role in ALH is typically a case manager who creates cases for the enterprise when litigation is expected and then performs various case-related tasks in support of legal hold processing.

Tasks may include adding and monitoring custodians, data stewards, and reviewers for the case; creating and applying legal holds; sending workflow notices and alerts; running reports; elevating case status when necessary; and determining when the case is resolved and can be closed.

The Supervisor role usually has access to all tabs in the ALH interface except for the Admin tab, but may still have restrictions to some entitlements that restrict the performance of some tasks. If the Supervisor also has the Administrator role then all tabs are available.

This section presents an overview of the procedures you use as case manager to create and manage cases in ALH.

Overview of CasesYou can build cases and create legal holds on data relative to investigations and pending litigation in ALH.You may also be using Investigator ECA for eDiscovery purposes to search and find data that relates to a case and should be preserved. Each of these products can be used without the other and each allows creation of a case. However, if your enterprise is using both ALH and Investigator ECA then you must create all cases through ALH—not through Investigator ECA.

When you create a new case in ALH and set Casebook to [New casebook] on the New Case page, a corresponding casebook by the same name as the ALH case is automatically created in Investigator ECA. If you select [No casebook], a casebook is not created. Once a case is created you cannot select or deselect the casebook creation in Investigator ECA.

After the case and casebook are created, workbooks can be created in Investigator ECA and a list of the documents they contain can be sent to an archive repository where the messages put on legal hold are preserved. This establishes a secure chain of custody for the data. It also facilitates the legal hold process of preserving information for a litigation case in a secure archive.

When connectivity is enabled between ALH and Investigator ECA, the following behaviors are exhibited in ALH:

l The ALH interface provides the capability to mark a reviewer as having either Full (administrative) or ReadOnly rights when the reviewer is added to a case.


A reviewer with Full rights in ALH can perform tasks in the ALH case. A reviewer with ReadOnly rights can only view the case information in ALH.

On the Investigator ECA side, a reviewer who has Full rights to the ALH case can also do workbooking in the Investigator ECA casebook. A reviewer with ReadOnly rights to the ALH case cannot do workbooking.

l Investigator ECA is responsible for all role associations and synchronization of LDAP user groups within the Investigator ECA application.Lightweight Directory Access Protocol (LDAP). LDAP is a method for synchronizing information in an LDAP directory, such as Active Directory, to a directory in Investigator ECA. An LDAP directory is a repository that stores data, usually about people, and is similar to a large electronic address book. LDAP user and group synchronization is a process that allows user data to be uploaded into a specified location on a scheduled basis.

l A reviewer deleted from a case in ALH is also removed from the casebook in Investigator ECA.

l Any change made to a case name in ALH is propagated to the corresponding casebook name in Investigator ECA.

l Workbook permissions for a user in an Investigator ECA casebook can be modified from ALH as well as from Investigator ECA.

Note: The main reason you should create each case in ALH and let ALH automatically create a corresponding casebook in Investigator ECA is so that many aspects of case and casebook management can be handled automatically. Connectivity and automated processes that occur between the two products are driven by ALH and not by Investigator ECA. Without that connectivity you lose many automated capabilities and may have to perform many of the same tasks manually in each application.

For example, if you go into Investigator ECA and create a casebook, it does not automatically create a case by the same name in ALH. If you later create a corresponding case in ALH:

l ALH will not be aware of the casebook in Investigator ECA.

l ALH will not be aware of any reviewers assigned through Investigator ECA to the casebook.

l Users, roles, and workbook permissions will not be synchronized between ALH and Investigator ECA.

l Changes to a casebook name in Investigator ECA will not be propagated to ALH.

Manage CasesThe Cases page displays the Cases tab and Holds tab in the upper left corner of the UI. You can perform tasks on either cases or holds, based on the tab you select. This section describes cases.

User GuideChapter 6: View, Create, andManage Cases in ALH


See "View Holds" on page 85 for information on accessing the Holds tab and performing hold tasks through the Cases link.

You can perform the following tasks to create and manage your cases in ALH.

l "Filter by Case Divisions and Resolutions"

l "View a Specific Case"

l "Use the Case Dashboard Sub-Tabs "

l "Create a New Case"

l "Edit an Existing Case"

l "Search for Cases"

l "Close a Case"

l "Reopen a Closed Case"

l "Delete a Case"

View Existing CasesWhen you view existing cases in ALH, each case displays as a row in a table on the Cases page. Use the following procedure to view existing cases.

To view a list of existing cases


2. Click the Browse link to display the Cases page.

Information for each case displays in the table as one case per row.



Columns on the Cases page

The columns associated with each row display the following summary information:

Column Description

Case Name Name that was assigned to the case at time of creation.

Case Number

Number assigned to the case.

Status Standing of the selected case. Typical options are Closed and Open.

Custodians(icon)

Number of custodians currently assigned to the case.

Holds (icon)

Number of holds currently assigned to the case.

Workflows (icon)

Number of workflows currently assigned to the case.

Progress on the Case (%)

Percentage between 1 and 100 of progress made toward resolution of the case

Case Division

Category the case was assigned to.

Case Resolution

Stage the selected case is in—such as Open, Resolved, or Unresolved

Opened Date the case was opened.

Closed Disposition status of the selected case with regard to closure. If Close displays, it means that the case has closed and you can send a Data Deletion notice if you want to delete the collected data for the case. After a case is closed, the date it was closed displays.

If Can’t Close displays, it means that there are outstanding holds against the case that prevent it from being closed.

Sort Case InformationThe information on the Cases page can be sorted by clicking the name in any of the following column labels:

l Case Name

l Case Number

l Status



l Case Division

l Resolutions

l Opened

l Closed

Click the name to toggle between ascending or descending order, as indicated by the arrow that shows the direction of the sort (ascending or descending) and also indicates that the table is currently being sorted by that column name.

Note that Status includes settings to show the number of custodians assigned to the case, number of holds, number of workflows, and a progress bar that shows the percentage of progress on the case.

Filter by Case Divisions and ResolutionsYou can filter the information shown on the Cases page by selecting:

l All Case Divisions or another filter category that has been set up. This drop-down lets you filter the page to show all case divisions or only those cases that are appropriate to display based on another filter, such as General Litigation.

l All Resolutions, Resolved, or Unresolved. This drop-down lets you filter the page to show all resolutions for cases or to show only resolved or unresolved cases.

Click the Show all link in the upper right corner to clear all filtering and search results.

View a Specific CaseWhen you select a specific case to view, the dashboard for that case is displayed.

To view the detail for a single case

1. From the Cases page, click a case name in the summary table.The individual <case name>Dashboard displays, similar to the following example.



Example case dashboard

2. Scroll through the page to view information about the case.Case Details

The general details for the selected case display under Case Details on the left side of the page. Most of these fields are self-explanatory.

n Date Last Reviewed. The date when an attorney last reviewed the open case.

n Case Security Clasifications. Specifies the access classifications that have been applied to the selected case and determines which reviewers can view the case data. This is an optional feature.

If there are attachments to the case, they are listed in the Attachments section below the Case Details.

Legal Holds and Workflows

Details on the Legal Holds and Workflows related to the case display in the center of the page:

n Hold and Interview Workflows

n Collections and Preservations

n Release and Dispose Workflows



The workflow details show how many workflows of each type are set up and whether any of them are overdue.

Pie Charts

Pie charts that display on the right side of the page provide a pictorial view of the various states of Hold Notices and Interviews, Collections, and Release and Dispose Notices, such as Complete, Not Started, Released and so forth. If there is no information to display in a chart for the case, the Autonomy logo displays instead. If you click the Reports icon on one of the pie charts, you get the Custodians and Workflows in a Case Report, filtered by the type of pie chart. For example, if you click Reports on the Release and Dispose Notices pie chart, you get the report filtered by Workflow Type | Release, Dispose.

3. Click any Dashboard option that displays across the top of the page to drill down to summary tables that show information about the individual case components: Matters, Holds, Custodians, Workflows, Collections, Data Sources, and History. See "Use the Case Dashboard Sub-Tabs " below for more information about the Dashboard sub-tabs.

4. Click the appropriate tab near the top of the page to add a Custodian, Hold, or Workflow to the case directly from this dashboard.

5. Click the Case Summary Report icon that appears at the top right corner of the page to generate a summary report of the case information that you see on the page.

6. Click the Edit button that displays below Case Details to open the Edit Case page if you want to edit information about the case. See "Edit an Existing Case" on page 82 for more information on editing a case.

7. Click the breadcrumb link Cases at the top left corner to return to the Cases page.

Use the Case Dashboard Sub-Tabs Use the Case Dashboard sub-tabs to do the following:

l See how many of each component type exists for the case.

l Navigate from the case dashboard to various component pages related to the case, where you can view summary table information. For example, when you click Custodians, the Custodians in this Case table displays.You can also perform tasks on the pages that display for Holds, Custodians, and Workflows.

Click the Dashboard tab to return to the summary <case name> Dashboard.

See the appropriate sections in this guide for an explanation of the component tasks.

"Manage Matters in the ALH Application UI" on page 87



"Create and Manage Legal Holds for a Case" on page 91

"Add and Manage Custodians in a Case" on page 101

"Create and Manage Workflows" on page 109

Create a New CaseWhen creating a new case, some of the fields you need to set up require text entry and others offer a list of choices—such as Workflow Admin, which lets you choose a workflow admin from a list of authorized reviewers of the case.

The options available to you in these lists were previously set up by the ALH administrator, under the direction of the legal team at the enterprise. It is possible that other options may be added to a list later if the need arises for a case.

To create a new case


2. Click the Browse link to display the Cases page.What you can do on the Cases page

n View existing cases.

n Search for cases or holds.

n Create a new case, hold, or workflow.

n Create a new case division.

n Delete a case.

n Access Reports.

3. Click New Case to open the New Case page. When you create a case here, a casebook by the same name can also be created in Investigator ECA if you select [New Casebook] in the Casebook drop-down list in the Information section.

4. Enter or select the information to set up the new case.See "Elements of the New Case Page" on the next page for an explanation of the fields on the New Case page.

5. Do one of the following: n Click Save to save the entries.

The case is created and displays in the cases table

n Click Save + New Hold to save the case and enter a new hold for the case. The New Legal Hold page appears. Enter the Hold information and click Save.



The new case and hold are created. The case displays in the Cases page and the hold displays in the Holds page within a case.

Elements of the New Case PageThe New Case page is divided into several sections. Fields that are self-explanatory are not defined here. Enter or select the information as appropriate for the new case. You need to scroll down the page to see all the fields and sections on the page.

The following sections appear on the New Case Page.

InformationIn the Information section enter general setup information about the case.

Case Name. The name chosen for the case should be a concise yet descriptive name so that users can easily identify it.

Description. The comment text box is optional, but it is a good idea to add some comments about the case to differentiate it from other cases, such as the primary purpose for the case, and so forth.

Case Resolution. The resolution options are typically Open, Resolved, and Unresolved. They are determined by the application manager. You can track or report on the case based on the resolution option.

Case Preservation Area Directory. This is the network-accessible path location where workflows put the files that are collected to a legal hold for the case.

Case Number. For reference. Number that you can assign to a case.

Case Division. Category most suited for the case, such as Litigation, Corporate, and so forth. The divisions are simply high-level organizational categories.



Case Status. The status option that defines the current state assigned to the case, typically used to mark milestones in the management of a case, such as Opened or Re-opened.

Casebook Case checkbox. Must be marked to allow Investigator ECA Enterprise collections.

Allow confidential holds check box. Must be marked to allow that type of hold to be applied.

Note: This option is available only when creating a case. You cannot change this setting for an existing case.

Lead Attorney through Outside Counsel fields. Name assignments of the various types of legal team members assigned to the case.

Matter Source. For reference. Could be location of the information referenced by the matter number.

Due Date. For reference use as needed.

Case Priority. Level of urgency assigned to the case: High, Medium, Low.

Casebook. Casebook creation options. You must select [New casebook] in the Casebook field to create a corresponding casebook in Investigator ECA, with the same name in both products. You can create a casebook from ALH only at the time you create the case and only one casebook is allowed to be created for each case. If you Edit this page after you create the case and casebook, the Casebook field is dimmed.If you do not want a casebook to be created in Investigator ECA then select [No casebook] in the Casebook field.

Last Reviewed Date. Date when the case was last opened and reviewed by an attorney.

Case Type. Designation for type of case: External, Internal, Local.

ReviewersSettings in the Reviewers section ensure against inadvertent case data disclosure.You can have organization control over case data and allow control access across cases. It is possible to specify, by policy, which users and groups have access to a case. The classifications and reviewers that display in this area are set up by an ALH administrator through options in the Admin tab. You can select from existing, but cannot add new data.

Case Security Classifications. In this section, you have the option to apply predefined security classifications that restrict or allow Reviewers to access the case, such as “No Contractors” or “Corporate HQ Only.”

Reviewers

This section lets you specify, by policy, which Reviewers or Reviewer Groups have access to a case and whether their access level is Full or Read-only. Reviewer Groups are designated by an



asterisk at the end of the name.

Note: Even though you grant reviewers access here, they may NOT have access if they have been denied access through a Case Security Classification.

Reviewer Options. This section lets you assign an access level to individual Reviewers, Supervisors, and Administrators. You can also mark Yes or No as to whether they can receive case alerts.

ParticipantsIn the Participants section enter names of the case owner and others approvers assigned to the case. The case owner can have multiple participant assignments.

l The case owner is selected from a list of authorized case owners who were set up by the ALH administrator.

l The workflow admin for the case may be the same person as the case owner. A workflow admin is usually the person who is responsible for answering questions from custodians.

AttachmentsIn the Attachments section view current attachments, if any, and enter new attachment information. Note that the maximum file size is 2 MB.



AlertsIn the Alerts section mark the check boxes for the alerts that are to be sent to the reviewers able to access the case. The alerts are triggered when specific conditions are met:

Edit an Existing CaseYou can edit the information in a case file through the dashboard for that case. Typical edits are made to:

l The status of the case.

l The stage of the case.

l Details on the case, such as due date, personnel, and so on.

To edit a case


2. Click the Browse link to open the Cases page.

3. Click a case name that displays in the table.The individual <case name> Dashboard opens.

4. On the Dashboard under Case Details on the left side of the page, click Edit.The <case name>: Edit Case page opens.

The Edit Case page is very similar to the page you see when creating a new case. See "Elements of the New Case Page" on page 79 for an explanation of the information that appears on the Edit Case page.

Differences between Edit Case page and New Case page

The only differences between Edit Case and New Case pages are that Edit Case page has the following additional sections:



n An Add Note section where you can make note comments relative to the case.

n A History & Notes section that shows past actions taken on the case and any notes that were previously added. You can edit or delete the notes, but not the history. The History is read-only. You have the options to Show Notes Only or Show All, and to show details for individual history items.

These two sections are not applicable for the New Case page because it does not yet have history or notes to display. The sections do not display on the Edit Case page either unless there are existing notes or history.

5. Do one of the following: n Click Save to save your case edits.

The case is updated.

n Click Save + New Hold to save the case edits and enter a new hold for the case. The New Legal Hold page appears. Do one of the following:

o Enter the Hold information and click Save.The new hold is saved.

o Click Save + Custodians to add a custodian to the case. The Custodians in this Case table display. Add a custodian and click Save.

The new hold and custodian are saved.

Note: The Case Owner is a case-based role assigned to a reviewer that ensures that the listed user has Full Access to the case. In versions 3.7 and earlier, the Case Owner was granted additional entitlements and special permissions on the case, including the ability to edit certain fields such as Lead Attorney, close and reopen the case, and delete the case. As of version 3.8, the Case Owner is no longer automatically granted these entitlements. Instead, these entitlements need to be granted in their role.

Search for CasesYou can perform a simple text Search or a filtered search on components in Autonomy Legal Hold using the Wizard. See "Perform Simple and Wizard Searches" on page 38 for instructions on how to perform the searches.

Close a CaseThe Cases link in the ALH user interface lets you close a case quickly. You can also choose to review a case before closing it, provided that all holds are closed. A case cannot be closed unless all the holds for the case have been closed.



To close a case without review

Follow this procedure to close a case without reviewing it.



3. Go to the row of the case you want to close.

4. Click the Close link in the Closed column for that case row.If you have permission to close the case and if there are no open holds, the case is closed and the Close link displays. Otherwise, the text Can't close displays.

After a case is closed, the date it was closed displays in the column.

Reopen a Closed CaseFollow this procedure to reopen a closed case.

To reopen a closed case



3. In the Case Name column, select the case you want to reopen.The dashboard for the case opens.

4. Click Reopen Case.The case is reopened.

Delete a CaseIf a case cannot be deleted then either you do not have the permission to do so or there are outstanding conditions that have not been met that prevent the deletion, such as all holds on the case not yet being released.

Look at the case details, determine what the problem is, and correct it. In particular, look at the Status setting for the case. It must be marked as Closed before the case can be deleted.

Caution: You should confirm that the policy the enterprise has in place for the disposition of resolved cases permits their deletion. Then be very sure you want to delete the case before you take that action. Once you delete a case it is removed from the system and you cannot get it back. Case deletion also removes the directory structure within the preservation area that corresponds to the case.



To delete a case


2. Click the Cases link to display the Cases page.A case can be deleted if the checkbox beside the case name is active.

The case cannot be deleted if the checkbox is inactive, meaning that conditions have not been met to allow the deletion.

3. Check the box beside the case name to delete.

4. Click Delete.A prompt displays, asking you to confirm the deletion.

5. Click OK to continue.The case is deleted from the system.

View HoldsThe Holds tab opens the Holds page. This page enables you to view all holds relative to the cases and holds assigned to you. You can filter the holds display in the summary table by All Case Divisions or a selected division and by All Cases or an individual case.

View the Legal Holds DashboardThe Legal Holds Dashboard displays when you select an individual hold to view.

To view a hold in the dashboard





3. Click the Holds tab to display the Holds page.

4. In the Holds page select a specific Hold to view.

Note: A hold that you select in the Hold Name column is associated with the case listed in the Case Name column.

The Legal Holds Dashboard opens, showing summary information about the holds associated with the case.

You can view related holds by selecting Related Legal Holdsfrom the drop-down box under the Dashboard links instead of Legal Holds in this Case.

The Dashboard sub-tabs near the top of the UI show the number of Holds, Custodians, Workflows, Collections, and Data Sources associated with the case.

Example of dashboard sub-tabs

5. Do any of the following: n Click any of the Dashboard links to go to that component page.

n Enter a hold name in the Search box or click the Wizard to perform a search.

n Create a new hold.

n Remove a hold, provided it is closed.

n Create a new workflow.

n Click the Task Manager icon at the end of a row to see commands you can perform for that hold.

n Click a column in the table to sort by that column name, in ascending or descending order. See "Filter by Case Divisions and Resolutions" on page 75 for more information on sorting.

n Click the Report link to generate the Case Hold Report - a table that displays the same table information as what you see on the Legal Holds Dashboard.

n Follow the breadcrumb links to return to previous pages in the UI.



See "Create and Manage Legal Holds for a Case" on page 91 for detailed nformation on creating and managing holds.

Manage Matters in the ALH Application UIUsers can view the master list of matters in the ALH Application UI. From this list, users can sort the matters, associate a selected matter with a case, or associate a selected matter with a custodian. The following illustration shows a sample of the Matters master list page.

View MattersUse the following procedure to view the master list of matters in the ALH Application UI.

To view matters in the ALH Application UI

1. Log on to the ALH Application UI.

2. Click the Browse link at the top of the page.The Browse page appears.

3. Click the Matters tab.The master Matters list appears.

4. Click any column heading to sort the list by the values in that column.

Note: If the Matters tab does not appear, it is because your system administrator has not yet loaded any matters into the system. Matters cannot be added from within ALH; they must be loaded from an external matter management system.

Add a Case to a MatterUse the following procedure to associate a case to a matter.



To add a case to a matter

1. On the Matters tab, in the row of the matter you want to manage, hover over the Task Manager menu button at the right of the page and click Manage Cases.The Related Cases page appears with a list of Cases in this Matter (if any).

2. Click the Add Case button at the bottom of the list.The list of Available Cases appears.

3. Check the box to the left of the case you want to add. You can check more than one case to add.

4. Click the Add Case button at the bottom of the list. You may need to scroll down in the window to see the button.The selected case appears in the list of Cases in this Matter in the lower portion of the page.

5. Click the Done button.The Related Cases page appears with the selected case in the list of Cases in this Matter.

Remove a Case from a MatterUse the following procedure to remove a case from a matter.

Note: You can only remove a case from a matter if there are no active workflows linked to the matter.

To remove a case from a matter

1. On the Matters tab, in the row of the matter you want to manage, hover over the Task Manager menu button at the right of the page and click Manage Cases.The Related Cases page appears with a list of Cases in this Matter.

2. Check the box to the left of the case you want to remove. You can select more than one case.

3. Click the Remove Case button at the bottom of the list. You may need to scroll down in the window to see the button.A confirmation dialog appears asking if you want to delete the case.

4. Click OK.The Related Cases page appears and the selected case no longer appears in the list of Cases in this Matter.

Add a Matter to a CaseA matter is added to a case when it is determined that the matter is related to the legal hold notices or preserved data held within any of the Holds of that case.

Use the following procedure to add a matter to a case.



To add a matter to a case

1. Click the Browse link and select a case from the list of cases on the Cases tab.The case Dashboard appears.

2. Click the Matters tab.The Related Matters list appears.

3. Click the Add Matters button.The list of Available Matters appears.

4. Check the box next to the matter you want to add to the case and click the Add Matters button.The selected matter appears in the list of Related Matters at the bottom of the page.

5. Click the Done button.The list of Related Matters appears with the selected matter in the list.

Remove a Matter from a CaseUse the following procedure to remove a matter from a case.

Note: You can only remove a matter from a case if there are no active workflows linked to the matter.

To remove a matter from a case

1. Click the Browse link and select a case from the list of cases on the Cases tab.The case Dashboard appears.

2. Click the Matters tab.

3. Check the box next to the matter you want to remove and click the Remove Matters button.A confirmation dialog appears.

4. Click OK.The matter is removed from the list of Related Matters.



Chapter 7: Create and Manage Legal Holds for a Case

Overview of Legal Holds 91

Manage Legal Holds in ALH 91

This section presents an overview of legal holds in ALH and describes the procedures you use most often when managing legal holds.

Note: The following terms are used interchangeably in this guide and in the ALH user interface:

l hold and legal hold

l hold process and legal hold process

l preservation area and dropzone

Overview of Legal HoldsAn enterprise is legally obligated to preserve relevant data until a potential or actual litigation matter is resolved. Therefore, as soon as the enterprise has an expectation of legal action, a legal hold notification must be issued to appropriate users.

A hold represents a logical subdivision of a case. For example, a case may have several different issues or the case owner may want to split up confidential and non-confidential content. In the case of a pharmaceutical firm, they may want to have a case for each drug, and then a hold for each litigation. There are any number of ways to split it up. A hold is just a subfolder of sorts within the case.

See "Autonomy Legal Hold Overview" on page 19 for more information about holds within the context of legal hold processing.

Manage Legal Holds in ALHYou can create any number of legal holds to associate to a case. Once legal holds have been created, you can add custodians and create workflows to associate with the holds.

See "Add and Manage Custodians in a Case" on page 101 for information on how to add custodians to a case and legal hold.

See "Create and Manage Workflows" on page 109 for information on how to create and send workflows.

Create a New Legal HoldUse the following procedure to create a new legal hold.


To create a new legal hold



3. In the Case Name column, click a case.The case’s Dashboard opens.

4. Click the Holds sub-tab in the Dashboard.The Holds associated with the case display.

5. Click New Hold to open the New Legal Hold page. Example of New Legal Hold page

User GuideChapter 7: Create andManage Legal Holds for a Case


6. In the New Legal Hold section: n Type a name, hold number, and description for the hold.

Choose a concise, descriptive name so that users can easily identify the hold. The description of the hold should explain its purpose.

n (Optional). Add internal or external comments in the Comment text boxes.

n Select a start and end date for the Hold to be in effect.

7. In the Attachments section, view the existing attachments or highlight an attachment to delete and click Remove.

8. In the New Attachment section, click Browse to find the attachment you want to add to the hold and then click Add to add it.Do one of the following:

n Click Save to save the hold information.The hold appears in the Holds sub-tab for the case to which it applies.

n Click Save + Custodians.The Custodians page opens.

Add the custodians or the Custodian List you want and click Add. You can select all custodians or custodian lists if you highlight them and click Add All.

The legal hold appears in the Holds sub-tab for the case to which it applies and the custodians have been added to the hold.

View Legal HoldsFollow these procedures to view existing legal holds.

To view legal holds



3. Select the Holds tab near the upper left corner of the UI to open the Holds page.The Hold Name table lists the holds associated with the case names that display in the Case Name column.

The holds that display are filtered according to the selections you made in the Case Division and Case drop-down lists.

The Case Division filter can be set to display cases for all case divisions or for an individual case division that was set up by an ALH administrator.

The Case filter can be set to display all cases or an individual case.



To view a specific hold

1. On the Holds page, select a specific hold to view.

2. The Legal Holds Dashboard displays, showing information about the selected hold. The Dashboard displays tabs with links to other case components.

Edit a Legal HoldFollow this procedure to edit an existing legal hold.

To edit a legal hold



3. Select the Holds tab near the upper left corner of the UI to open the Holds page.The Hold Name table lists the holds associated with the case names that display in the Case Name column.

The holds that display in the table for edit are filtered by the selection you make in the Case Division and Case lists that display near the upper left corner of the UI.

If you do not see the hold you want to edit

do one of the following to find it:

n Enter the name of the hold in the Search box and click Search.

n Click the Wizard link, enter search parameters, and click Create Expression and then click Search.

See "Perform Simple and Wizard Searches" on page 38 for more information about search capabilities in ALH.

4. Click the name of the hold to edit.The Legal Holds Dashboard opens, displaying the case name and holds associated with it.

5. Hover your cursor over the Task Manager menu button in the row of the legal hold you want to edit.Select Edit Hold from the list of commands that display.

The Edit Legal Hold page opens.

Differences between Edit Legal Hold page and New Legal Hold page

The only differences between the Edit Legal Hold and New Legal Hold pages are that Edit Legal Hold page has the following additional sections:



n An Add Note section where you can make note comments relative to the hold.

n A History & Notes section that shows past actions taken on the hold and any notes that were previously added. You can edit or delete the notes, but not the history. This section does not display if no notes or history exist.

These two sections are not applicable for the New Legal Hold page because it does not yet have history or notes to display.

6. Perform any of the following tasks: n Change the name, description, status, or date range of the hold.

n Remove or add attachments to the case.

n Add a note to the case.

n Review history and notes, if any exist, for the case.

7. Click Save to save changes or click Save + Custodians to begin adding custodians to the case.The edited legal hold information appears in the Hold Name table for the case to which it applies.

Search for Legal HoldsYou can perform a simple text Search or a filtered search on components in ALH using the Wizard. See "Perform Simple and Wizard Searches" on page 38 for instructions on how to perform the searches.

Remove a Legal HoldUse the following procedure to remove a legal hold from a case.

To remove a legal hold



3. Select the Holds tab in the UI to open the Holds page.The Hold Name table lists the holds associated with the case names that display in the Case Name column. If there are many holds, perform a search to find the one you want.

4. Click the name of the hold you want to remove.The Legal Holds Dashboard opens, displaying the <case name> and holds associated with it.



5. Go to the row of the hold you want to remove and look at the Close column.

Note: If [Can’t Close] displays, you cannot remove this hold because it has open workflows associated with it.

6. If [Close] displays, click [Close] in the Close column.(The hold remains dimmed and cannot be removed until closed.) The date you clicked on [Close] displays in the column and the hold checkbox becomes active.

The Close Hold? dialog appears.

7. Select a hold resolution and click OK.

8. Select the checkbox next to the legal hold you want to remove and click Remove.The legal hold is removed from the case.

Hold Notice Template Variable SubstitutionHold Notice templates support templated variables, including all of the variables available for inserting into mail templates for workflows. These include variables associated with the case, workflow, and recipient for the notice. Also included are custom values imported from LDAP or a database at the recipient level. Only simple text and date/time variables are included. Multi-valued fields and multi-line fields, such as descriptions, are not included.

Available Variables for Hold Notice Templates

The following list shows the available variables for Hold Notice templates.

Variables for case attributes

[CASE_CASEBOOK]

[CASE_DESCRIPTION]

[CASE_DIVISION]

[CASE_INHOUSE_COUNSEL]

[CASE_IT_COORDINATOR]

[CASE_LAST_REVIEWED_DATE]

[CASE_LEAD_ATTORNEY]

[CASE_LEAD_PARALEGAL]

[CASE_MATTERNUMBER]

[CASE_MATTERSOURCE]

[CASE_NAME]

[CASE_NUMBER]

[CASE_OPENED_DATE]



[CASE_OUTSIDE_COUNSEL]

[CASE_OWNER_NAME]

[CASE_SECOND_LEAD_ATTORNEY]

[CASE_STATUS]

[CASE_TYPE]

Variables for hold attributes

[HOLD_END_DATE]

[HOLD_ISSUE_DATE]

[HOLD_NAME]

[HOLD_NUMBER]

[HOLD_ORIGINATING_ATTORNEY]

[HOLD_RECORD_SOURCE]

[HOLD_START_DATE]

[HOLD_SUPERSEDED_HOLD_NUMBER]

[HOLD_TYPE]

Variables for workflow attributes

[CUSTODIAN_FIRST_NAME]

[CUSTODIAN_LAST_NAME]

[CUSTODIAN_NAME]

[DISPLAY_NAME]

[HELP_LINK]

[MANAGER_FIRST_NAME]

[MANAGER_LAST_NAME]

[MANAGER_NAME]

[OPENED_BY]

[PORTAL_LINK]

[PROCESS_NAME]

[TODAY]

[WORKFLOW_ACTION_LINK]

[WORKFLOW_ADMIN]

[WORKFLOW_ALL_CC]

[WORKFLOW_APPROVER]



[WORKFLOW_CREATION_DATE]

[WORKFLOW_CREATION_SHORT_DATE]

[WORKFLOW_NAME]

[WORKFLOW_ORIGINAL_SUBJECT]

[WORKFLOW_SUBMITTER]

[WORKFLOW_TYPE_NAME]

Variables for user attributes

[RECIPIENT_ATTRIBUTE(AUTOMATICIMPORT)]

[RECIPIENT_ATTRIBUTE(DEPARTMENT)]

[RECIPIENT_ATTRIBUTE(DISPLAYNAME)]

[RECIPIENT_ATTRIBUTE(DN)]

[RECIPIENT_ATTRIBUTE(EMAIL)]

[RECIPIENT_ATTRIBUTE(EMPLOYEEMANAGER)]

[RECIPIENT_ATTRIBUTE(EXCHANGEMAILBOXDN)]

[RECIPIENT_ATTRIBUTE(GROUPAUTOENROLLMENT)]

[RECIPIENT_ATTRIBUTE(IMPORTSTATUS)]

[RECIPIENT_ATTRIBUTE(LDAPIMPORTUSERID)]

[RECIPIENT_ATTRIBUTE(LDAPUSERID)]

[RECIPIENT_ATTRIBUTE(MANAGERID)]

[RECIPIENT_ATTRIBUTE(USERNAME)]

[RECIPIENT_ATTRIBUTE(USERSTATUS)]

[RECIPIENT_ATTRIBUTE(WHENCHANGED)]

View Hold Notice Template Imported VariablesFor templated variables used with Hold Notice templates, each environment has different custom values imported from LDAP. To get a complete list of the available imported variables, do the following:

1. Navigate to the following location:Admin, Workflow Administration, Workflow Processes Administration

2. Select one of the processes you plan to use.

3. Click the Show imported variables link at the bottom of the process page.All the available imported variables are displayed.



About Superseding HoldsSome organizations may want to supersede a hold. When superseding a hold, the hold status is updated, and a new hold is created with similar metadata, but with a new name. The Supersede command allows a current hold to be marked as superseded, and a new hold is created.

The system creates a new hold with the new name, and all other metadata copied. Users can go to the Edit Hold screen to make further changes if necessary.

Other effects of the Supersede command are as follows:

l The hold status of the selected hold is set to the configured Superseded hold status. This can be changed in the Configuration Console under Hold Status Management.

l The hold status of the new hold is set to the configured Superseding hold status, configured in the same location.

l The Last Status Update is changed on both holds.

l If the Superseded hold status is marked as closed, no further workflow activity can commence unless the workflow is opened again.

Supersede a HoldUse the following procedure to supersede a hold in the ALH Application UI.

To supersede a hold

1. In the ALH Application UI, do one of the following: n Click a hold in the Hold Name column of the list of holds on the Hold tab.

n Click a hold in the Holds column of the list of cases on the Cases tab.

The hold details appear.

2. In the row of the hold you want to manage, hover over the Task Manager menu button at the right of the page and click Supersede Hold.The Supersede Hold dialog appears, prompting for an updated name, and confidential hold identification (if the user has correct entitlements).

3. Specify the name for the hold that will supersede the hold that you selected.



4. Do one of the following: n Click the Supersede button to supersede the hold.

The new hold is created using the specified new name, and all the information in the existing hold is copied to the new hold.

n Click Supersede and Edit Hold to supersede the hold and edit the Hold properties. The Edit Hold page appears so that you can change any of the information associated with the new hold. Specify an identifying value for the hold in the Superseded By field. Click Save to save the changes

Note: The Superseded and Superseded By values can be displayed in custom reports.

Configure a Pending Notice ProcessSome organizations may wish to set up a process whereby the supersede command is not complete until a Superseding Notice is sent out. This is enabled through a set of hold status and workflow configurations. In this scenario, the Supersede command on a Hold sets the hold to a Superseded, Pending Notice status. The final Superseded status is not set on that hold until a notice is submitted under the superseding hold, which then sets the final Superseded status on the previous hold. In this way, the reporting of holds can be dependent on when the notices have been submitted.



Chapter 8: Add and Manage Custodians in a Case

Overview of Custodians 101

Manage Custodians in ALH 101

Perform Custodian-Related Tasks 104

This section describes the procedures you use most often when managing custodians.

Overview of CustodiansCustodians are typically employees of an organization who have been assigned the role of Custodian in ALH.

Custodian. A custodian is an employee of the enterprise who may be in possession of pertinent data and information that could be relevant to litigation cases. Custodians have access only to the Web Desktop portion of the ALH UI.

Manage Custodians in ALHOnce a case has been created in ALH, the custodians who have information relevant to the case can be associated to the case. They can receive workflow notifications to preserve information they hold for a case.

Custodians can be managed or added through the Add Custodians page. It is divided into five sections.

Dashboard

Displays the related Autonomy Legal Hold component options you can access for the case.

Filters

Displays the filter options that you let you limit the custodian search. You can also use Search or the Wizard tools to filter the display. Filters include Case, Workflows, and Custodian Lists.

Available Custodians

Displays in table format, one screen at a time, the names of custodians who are available to add to the case. The names display in alphabetical order. The number of custodians you see at one time on the screen is determined by a display setting in your My Account profile.

If you did not select any filters in the Filters section, then this table includes the names of all the custodians in ALH. However, If you selected one or more filters, the table displays the result set of custodians that was generated, based on the filters.

The buttons below this section do the following:

Deselect All - clears the selection of custodians that display on the screen.

Select All - adds to the case all the custodians that display on the screen you are viewing.


Add All - adds to the case all the custodians you generated from the current search—not just the users you can see on the screen.

Add - adds to the case only the custodians you selected on the page you are viewing.

If you select custodians and then click a navigation link, such as Next, to go to a different page before you save the selections, the following alert message displays:

Done - indicates that you are through adding custodians.

Available Custodian Lists

Displays a list of the available custodian lists. You have the option to add to the case a selected custodian list and all the custodians it contains, one list at a time.

Custodian list processing is performed as a background task by ALH. Its progress is displayed in the UI. You can refresh the screen to see the updated progress.

After the list processing is complete, an audit note is added to the case. To view it, go to the Case Details page, select Edit, and look in History & Notes.

Custodians in this Case

Displays a list in table format of the names of the custodians currently assigned to the case. As you add new custodians to this case their names should appear in this table.

The buttons below this section do the following:

New Custodian - clears any entries on the current screen and lets you add a new custodian.

Remove - deletes the selected custodians from the case and the Custodians in this Case table.

Remove All - deletes all the selected custodians from the case and the Custodians in this Case table

Note: The numbers refer to the parts of the page, as shown in the following illustration.

User GuideChapter 8: Add andManage Custodians in a Case


1. Dashboard

2. Filters

3. AvailableCustodians

4. Available Custodian Lists

5. Custodians in this Case



Perform Custodian-Related TasksPerform the procedures described in this section to manage custodians.

l "Add Custodians to a Case" below

l "Search for Custodians" on page 106

l "Remove Custodians from a Case" on page 106

l "Add a Custodian to a Matter" on page 107

l "Remove a Custodian from a Mattter" on page 107

Add Custodians to a CaseFollow this procedure to add custodians to a case.

To add custodians to a case



3. In the Case Name column, click the case you want to add the custodians to.The case’s Dashboard opens. It presents summary information about the selected case and shows the number of existing holds and workflows in text and pie chart formats.

See "Filter by Case Divisions and Resolutions" on page 75 for more information about filtering on the Dashboard.

4. Click the Custodians sub-tab in the Dashboard to open the Custodians in this Case page. Custodians that have already been added to the case display on this page.

5. Click Add Custodian at the bottom of the page.The Add page opens.

The Add page is comprised of three sections that show the following:

n Individual custodian names in the Available Custodians table.

n Names of lists of custodians in the Available Custodian Lists drop-down. You can select a list from the drop-down or click Add All.

n Custodians already in the case in the Custodians in this Case table.

6. Set the filters or use the Search or Wizard tool if you want to limit your search for custodians.Filters and Search



If you do a search, the result set of user names display in the Available Custodians table. See "Perform Simple and Wizard Searches" on page 38 for instructions on how to perform the searches.

7. Sort the data by multiple columns if desired.Sort commands

n Click the column head to toggle the sort order between ascending and descending order.

n Ctrl+Click a column head to add a column to an existing sort or to remove a column from an existing sort.

n Shift+Click the column head to display the parametric filter for a column.

Note: Not all columns have a parametric filter available. This is configured by the ALH administrator.

8. Do any of the following to add custodians to the case on the Add page.In the Available Custodians section

n Select one or more custodians in the Available Custodians table by marking the check boxes to the left of their names, and clicking Add.

n Click Select All > Add to add all custodians that currently display in the Available Custodians table to the case.

n Click Add All to add all the custodians names in the entire table to the case.

n Click Done to exit the page when you are finished.

In the Available Custodians Lists section

n Select a custodian list in the Available Custodian Lists list and click Add.

n Click Add All to add all custodian lists to the case.

The names you added appear in the Custodians in this Case table.

In the Custodians in this Case section

The names you added in the Available Custodians section and the Available Custodian Lists section appear in the Custodians in this Case table.

Click Add Custodian to add a new custodian to the case.

To remove custodians from the case

Mark the checkboxes beside the names to remove from the table and click Remove.



Click Remove All to remove all custodian names from the case.

9. Follow the breadcrumb links to return to previous pages in the UI.

Search for CustodiansYou can search for users in the enterprise who have been assigned the role of custodians in ALH and can add them to a case individually, by multiple selection, or through a custodian list. You can also remove custodians from a case.

You can perform a simple text Search or a filtered search for components in ALH using the Wizard. See "Perform Simple and Wizard Searches" on page 38 for instructions on how to perform the searches.

Remove Custodians from a CaseCustodians can only be removed from a case if they are not referenced in any workflow. That means they can be removed immediately after being added to the case if no notices, collections, or preservations have been sent, or after completely deleting any workflow for which they have been referenced. If this is not possible, the custodian simply needs to be 'released' from notices and preservations instead, in which case they are still listed as historical custodians, but without any active workflows associated.

Follow this procedure to remove custodians from a case.

To remove custodians from a case



3. In the Case Name column, click the case you want to access.The case’s Dashboard opens.

It presents a summary of the selected case.

4. Click the Custodians sub-tab to open the Custodians page.

5. Select the check box next to one or more of the custodian names to remove.

6. Click Remove.The selected custodians are deleted from the case.



Add a Custodian to a MatterWhen using the workflow features, you can add custodians to a matter. Use the following procedure to add a custodian to a matter.

To add a custodian to a matter

1. On the Matters tab, in the row of the matter you want to manage, hover over the Task Manager menu button at the right of the page and click Manage Custodians.The Related Custodians page appears with a list of Custodians in this Matter (if any).

2. Click the Add Custodian button at the bottom of the list.The list of Available Custodians appears.

3. Check the box to the left of the custodian you want to add. You can check more than one custodian to add.

Note: To select all the custodians in the list, check the box next to the Name heading at the top of the column. You can also select all the custodians by clicking the Select All button at the bottom of the Available Custodians list. Then click the Add All button.

4. Click the Add button.The selected custodian appears in the list of Custodians in this Matter in the lower portion of the page.

5. Click the Done button.The Related Custodians page appears with the selected custodian in the list of Custodians in this Matter.

Remove a Custodian from a MattterUse the following procedure to remove a custodian from a matter.

Note: You cannot delete a custodian who is associated with a workflow.

To remove a custodian from a matter

1. On the Matters tab, in the row of the matter you want to manage, hover over the Task Manager menu button at the right of the page and click Manage Custodians.The Related Custodians page appears with a list of Custodians in this Matter.

2. Check the box to the left of the custodian you want to remove. You can check more than one custodian.

3. Click the Remove button.A confirmation dialog appears asking if you want to delete the custodian.



4. Click OK.The Related Custodians page appears and the selected custodian no longer appears in the list of Custodians in this Matter.



Chapter 9: Create and Manage Workflows

Overview of Workflows 109

Trainstop Navigation Aid for Workflows 110

Access Workflows 111

Workflow Creation Procedures 112

Produce a Form from a Workflow Template 124

This section presents an overview of workflows and describes the procedures you use most often when managing workflows.

Overview of WorkflowsA workflow is a defined action (such as a notice) that is managed by ALH during the course of a legal hold. It may be triggered by an ALH user or another workflow. This term is synonymous with Legal hold process within the context of ALH.

Legal Hold Process. The legal hold process is a set of actions the enterprise takes to capture all information across the enterprise believed to be relevant to the anticipated litigation, and to preserve that information in a secure location. In ALH, this process entails the issuance of a set of notification workflows targeting case-relevant custodian data and its collection to a designated preservation area.

Following are the available types of workflows in ALH.

Notice A legal hold notification that informs the person who is an identified custodian or data steward of the legal hold and requests confirmation of it.

Interview An expanded type of legal hold notice that requests detailed information to be supplied in an online form about content, data, and facts that are pertinent to the case.

Collection An action to collect data that initiates one of the following:

l an automated collection of electronic content from data sources throughout the organization.

l a manual or semi-automated collection of content by custodians or data stewards who deliver copies of content to be placed in the preservation area. You can even request that custodians drop relevant documents into a self-collection web applet.

Preservation An action that formally and securely locks identified ESI in its original location, preventing edits or deletion until such time as it is released.


Package An export of collections or preservations from ALH, packaged in a Native, PST, or XML format that the enterprise send to Autonomy Introspect or other product for review of content.

Release An action that removes custodians and data from the scope of the case, sometimes by issuing a release notice, or by releasing the electronic hold on an ESI data source.

Disposition An automated or manual request to dispose of copies of content that are held in relation to the current hold.

Workflow notifications are acknowledged by custodians using a browser-based form.

Notice

A notice is an email-based communication sent to Custodians, Data Stewards, and Managers, typically providing notification of a form that is pending review and acknowledgement.

Form

A form is a web-based document that requires authentication, typically presents Hold information, and requires acknowledgement.

The Notice represents the call-to-action for Custodians (such as a short e-mail message that directs them to click a link and view and accept the Hold language), and the Form contains the actual legal hold language.

Trainstop Navigation Aid for WorkflowsThere is a “trainstop” navigation aid that displays when you create workflows in the user interface in ALH. The purpose of this aid is to guide you through the workflow creation procedure, which takes a number of steps to complete.

The trainstops show you the major “stops” you must navigate to create a workflow. You can click a stop (in the form of a circle) for any previous stop to go back to that page.

You can also click a stop to go to the next page, but you must first have entered the required information for the page you are currently on before you can go forward using this navigation aid.

Once you have entered information for a page you can click Next or click the next trainstop to move to the next workflow configuration page.

User GuideChapter 9: Create andManageWorkflows


Some workflows, such as a Collection, require configuration of one additional trainstop: Choose Assets.

The trainstop screens shown in this guide are provided as examples to explain the configuration process. You should be aware, however, that the screens you see in ALH at the various trainstops are not always the same as the examples—because they depend on the workflow Type selected at the Start trainstop. For example, the Specify Details trainstop screen for the Hold workflow type is different from the Specify Details trainstop screen for a Collection workflow type.

Caution: When creating a new workflow, you should not switch to a different workflow Type and Process (trainstop Start) in the middle of an unsaved workflow configuration, or the results may be unpredictable. If you decide you want to change workflow Type or Process part way through the configuration, you should do a Refresh of the screen to clear current entries and begin over again.

Access WorkflowsWorkflow notifications are part of the legal hold process. They ensure that custodians and data stewards are notified of the hold actions to take to protect the data relevant to a litigation case.

To start the Workflow creation process



3. In the Case Name column, click the case you want to add the workflow to.The case’s Dashboard opens. It presents a summary of the selected case and shows the number of existing holds and workflows, in both text and pie chart formats.

See "View Existing Cases" on page 73 for more information about the Dashboard.

4. Click the Workflows sub-tab to display the Workflows page.This step begins the workflow creation process by associating a workflow to a case and a hold.



If All is selected for Hold, the Workflows page lists the existing workflows, and the holds they are associated with, for all cases in ALH.

Instead of selecting All, you could select an individual case to view only the workflows/holds for that case.

You could also click Filter by Type... to filter the workflow display by type, as shown in the following example:

From the Workflows page you can create a new hold or a new workflow if you need one for the case.

See "Remove a Workflow" on page 123 for instructions on how to remove a workflow.

Workflow Creation ProceduresUse the procedures in this section to create workflows in ALH. These procedures correspond to the stops on the trainstop navigation aid that displays on the Add Workflow page:



l "Start New Workflow" below

l "Specify Workflow Details" on the next page

l "Customize the Workflow" on page 116

l "Preview the Workflow Information" on page 117

l "Choose Matters for a Workflow" on page 118

l "Choose Custodians for a Workflow" on page 118

Start New WorkflowTo start a new workflow

From a Case’s Dashboard, select the Workflows tab to open the Workflows page.

1. Click New Workflow.The WorkflowType page opens.

The Workflow Type page corresponds to the Start trainstop.

Note: The number of steps needed to configure a workflow depend on both the Type and the specific workflow selected. For example, a Collection workflow includes a Choose Assets step, while others do not.

To select a workflow type on the Workflow Type page

1. Select a workflow in the Type list.The processes associated with the workflow type display in the Process list box.

2. Select the Process.In the following example, a Hold Notice type was selected. It included two Process options:



Process Definition

Custodian Hold Notice

A notification typically sent to an employee of an organization who must put a hold on data relevant to a case.

Data Steward Hold Notice

A notification typically sent to someone who is responsible for gathering assets, such as an IT administrator.

The Custodian Hold Notice was selected.

3. Click Next step to go the Specify Details page, and continue with the next workflow setup procedure.

Specify Workflow DetailsThe Workflow Details page corresponds to the Specify Details trainstop.



To enter details for a workflow on the Specify Details page

1. Enter or select the appropriate information in the Workflow Details and Select Options sections. The fields are described as follows.

Name Name you are calling the workflow.

Disable Acknowledgement of Notification by recipient?

Yes or No indicator that lets you enable/disable the acknowledgement requirement.

When Yes is selected, this results in the custodian receiving an e-mail and being able to view the notice online without the ability to digitally sign the form. In this case, the user can simply view the form; no record is kept of when the form was viewed. A PDF record of the form is produced as soon as the workflow is submitted.

Note: When this feature is enabled, current customers must upgrade the process and forms related to a Custodian Hold Notice. Existing customizations to the Custodian Hold Notice form are lost during the upgrade and have to be re-applied through the Forms Designer.

This option does not display unless the system administrator has marked the Administration Console configuration checkbox: Allow disabling notice acknowledgement?

Due Date Date on which the workflow is due.

Requires Approval before sending?

Yes or No indicator that specifies whether the notification requires approval before being sent. This affects workflows that show up on the custodian's My Notices, Overdue section on the Web Desktop.

Automatically send Case Reminder every n days?

Yes or No indicator that specifies whether ALH sends a case reminder at the specified interval of days.

Acknowledgement Options

Reminder e-mails.

Reminder loop. A reminder e-mail sent to the recipient every N days if the notification is not formally acknowledged.

Escalation. A reminder e-mail sent to the recipient’s manager every N days if the notification is not formally acknowledged.

Description Description of the workflow or special instructions.

The available options may be different based on the workflow type selected.

2. Click Next step to go to the Customize Workflow page, and continue with the next workflow setup procedure.



Customize the WorkflowThe Customize This Workflow page corresponds to the Customize Workflow trainstop.

Note: Interview and Dispose workflow types cannot be customized.

To customize the workflow

1. Do one of the following on the Customize Workflow trainstop: n Use the default notice. In the Customize This Workflow block, select No beside

Customize to use the workflow notice currently displayed. The customization sections are cleared from the page. Go to Step 2.

n Customize a notice—In the Customize This Workflow block, select Yes beside Customize to customize your own workflow notice and enter the customization information. There are three ways you can customize the workflow: o Click the Select a Template link to access a list of templates. Choose the one you want

and use the default text that is automatically inserted into the form body.

o Select a workflow template from the list and then customize or directly override the content as needed.

o Modify the workflow that currently displays in the Customize Email Body text box:Customize Subject

Enter the subject line text for the messages generated by the workflow.

Attachments Leave or remove existing attachments, if any. Click Remove to remove an attachment.

New Attachments

Add new attachments as necessary. Click Browse to navigate to the files in your file system.

Customize the Form Body

Modify the body text that displays for the form. To view or edit the notification in full screen mode, click the Toggle Full Screen Mode icon .

2. Click Next step to go to the Preview trainstop, and continue with the next workflow setup procedure.



Preview the Workflow InformationThe Preview page corresponds to the Preview trainstop. This page lets you review some of the basic workflow configurations you have set up so far.

To preview the workflow information

1. Review the information that displays on the page.

2. (Optional) Click the Preview icon to see a preview of the message.The APA Server Web Desktop automatically opens. You must have a user login to view the message.

3. Do one of the following: n If you are not satisfied with the message, use the trainstop aid and go back to the page

where you need to make changes.

n If you are satisfied with the message, click Next to go to the Choose Custodians page, and continue with the next workflow setup procedure.



Choose Matters for a WorkflowThe Matters page corresponds to the Choose Matters trainstop.

Choose Custodians for a WorkflowThe Choose Custodians page corresponds to the Choose Custodians trainstop. You typically add custodian recipients to workflows by selecting the custodians by name. You have the option to add custodians by custodian name or by custodian lists for two specific workflow types:

l Type: Hold Notice / Process: Custodian Hold Notice.

l Type: Hold Notice / Process: Custodian Data Source Interview.



To add custodians to a workflow

1. Do one of the following: a. Add custodians by name selection in following ways:

o Page through the list of custodians in the Custodians section and select the ones you want.

o Search for a custodian by name.

o Use the Wizard and a set of filters to search for custodians.

The custodians you select are added to the To Custodians section.

Add a person by listing them in the CC field. Note that you must add all users using the Open Address Book button.

Go to step 2.

b. Add custodians from a list: (Applies only to the two workflows that allow it). o Select Choose by Custodian List. The page changes as follows to display custodian

lists:

All the custodian lists relevant to this case display in the Available Custodian Lists list box. This means that if at least one user from a list is available in the case, you see that custodian list.

If you select the special list—All Custodians in this Case—all the custodians who are available in this case are added.

Add a person by listing them in the CC field. Note that you must add all users using the Open Address Book button.

Select the customized list you want.



Note: You can still add custodians individually for these workflows by selecting the Choose by Custodian option and adding custodians in the manner described in Step a.

2. Do one of the following: a. If the workflow does not include a Choose Assets trainstop, go to Step 3.

b. If the workflow does include a Choose Assetstrainstop, click Next to go to the Custodian Assets page.Select one or more assets to be associated with the custodians.

You have completed the workflow configuration, except for submitting it to ALH.

3. Determine if the workflow is ready to be submitted. n If No, click Save.

The workflow is saved and added to the case, but is not activated. It is listed as Not Started in the Status column on the Workflows page of the case’s Dashboard. It is not activated until you click (Submit) in the Status column.

n If Yes, click Save + Submit.The workflow is automatically started. It is listed as In Progress on the Workflow of the case’s Dashboard.

Note: You can edit a workflow if you just Save it. However, once you Save + Submit the workflow the Edit option in the workflow’s task button is dimmed and the workflow can no longer be edited.



About Adding Custodians to WorkflowsNote the following with regard to workflows and custodian selection options at the Choose Custodians trainstop:

l For most workflows, you add custodian recipients on the Choose Custodians trainstop by selecting them individually from a list of available custodians for the case. You can also add a custodian by listing them in the CC field. (You must add all users to the CC field using the Open Address Book button.)

l Radio button options Choose by Custodian and Choose by Custodian List appear on the Choose Custodians trainstop only when you select the following workflow types: n Type: Hold Notice / Process: Custodian Hold Notice.

n Type: Hold Notice / Process: Custodian Data Source Interview.

These workflow types generally involve adding a large number of custodians. Therefore, Choose by Custodian List is provided as a time-saving feature so that you can add custodians to the case from an existing list for these workflows, rather than having to individually select custodians to add.

l All the custodian lists relevant to the selected case display in the Available Custodian Lists list box. This means that if at least one user from a list is available in the case, you see that custodian list.

l If you select it, the special list—All Custodians in this Case—adds all the custodians who are available in this case.

l You cannot switch between Choose by Custodian mode and Choose by Custodian List mode after you have made custodian selections in one mode or you lose those selections when you switch to the other mode.For example, if you select Choose by Custodian mode, select one or more custodians from the list that displays, and then try to navigate to Choose by Custodian List mode, you get an alert message that states, “If you change custodian mode, previous selections will be lost.” The same scenario applies if you select Choose by Custodian List and then try to navigate to Choose by Custodian.

l If you added custodians to the workflow through a list, a confirmation shows how many users are in the list and how many are available to the case. (Note that there is little difference in the confirmation message for a new workflow and for when you are adding to a submitted workflow.)

l When adding custodians by list to a workflow, a message tells you that it might take some time to complete the background task. Once the list processing is complete, an audit note is added to the workflow, which you can see on the Workflow Details page in the History and Notes section.

l When adding custodians to a workflow from a list, the Edit, Add Custodians, and Submit buttons are not available until list processing is completed.



l If you submit a workflow and return later to the Choose Custodians trainstop to add more custodians, you are tied to the original mode you selected - either Choose by Custodian or Choose by Custodian List, for workflows where those options are applicable.

l If you had originally selected Choose by Custodian List when you submitted a workflow and later want to add more custodians, you can either choose the custodian list previously added and add the remaining users from the list, or choose a different list. If you had originally selected Choose by Custodian, it works the same as it did previously - by adding selected custodians.

Add More Custodians to an Existing WorkflowYou may need to add custodians to an existing workflow if more custodians are assigned to the case, either to handle to the workload or to replace custodians who have been removed. When you add more custodians they will receive existing notifications according to the way the workflow has been configured.

To add custodians to an existing workflow


2. Click the cases tab to display the Cases page.

3. In the Case Name column, click the case you want to access.The case Dashboard opens.

4. Click the Workflows sub-tab to display the Workflows page.

5. Hover over the Task Manager menu button that displays at the right end of the workflow row you want to add custodians to. Click the Add Custodian command.The Choose Custodians page opens. This page shows custodians who have already been assigned to the case. You can choose only from these custodians to add to the workflow. You cannot add more custodians to the case itself from this page.

6. Select the custodians to add.Use the CC field to add recipients who should receive copies of the messages but who are not required to act on them.

7. Do one of the following: a. If the workflow does not include a Choose Assets trainstop, go to Step 8.

b. If the workflow does include a Choose Assets trainstop, click Next to go to the Custodian Assets page.Select one or more assets to be associated with the custodians.

You have completed adding custodians to the workflow, except for submitting it to ALH.



8. Determine if the workflow is ready to be submitted. n If you decide it is NOT ready to submit, click Save.

The workflow is saved and added to the case, but is not activated. It is listed as Not Started in the Status column on the Workflows page of the case Dashboard. It is not activated until you click (Submit) in the Status column.

n If you decide it is ready to submit, click Save + Submit.The workflow is automatically started. It is listed as In Progress on the Workflow tab of the case Dashboard.

Search for WorkflowsYou can perform a simple text Search or a filtered search on components in Autonomy Legal Hold using the Wizard. See "Perform Simple and Wizard Searches" on page 38 for instructions on how to perform the searches.

Add a Note to a WorkflowTo add a note to a workflow


2. Click the cases tab to open the Cases page.

3. In the Case Name column, click the case you want to access.The case’s Dashboard opens.

4. Click the Workflows sub-tab to display the Workflows page. a. Find the workflow to add the note to.

b. Go to the task button at the end of the row for that workflow and click it to display a list of commands.

c. Select View Details command to open the Workflow Details page.

d. Go to the Add Note section and enter your comments.

5. Click Add to add the note.

6. Click Back to return to the Workflows page.

Remove a WorkflowRemove is a deletion process. Use the following procedure to delete a workflow.

Caution: If you delete a workflow that process also deletes any collected data associated with any collections.



To delete a workflow


2. Click Browse > Cases to display the Cases page.

3. In the Case Name column, click the case you want to delete the workflow from.The case’s Dashboard opens.

4. Click the Workflows sub-tab to display the Workflows page.

5. Select the workflow to delete.

6. Click Remove at the bottom of the page.A prompt asks you to confirm the delete.

Click OK and the workflow is deleted.

Workflow Activity LogThe Workflow activity log includes comments and Accept or Reject actions for workflows with approval steps.

Produce a Form from a Workflow TemplateThe information that you set up in the Customize Workflow trainstop to customize a workflow generates the form text that is sent in an ALH notice, typically to a custodian. The following procedures and example screens show how the process works.

To customize the workflow

1. In the ALH interface, click the cases tab to open the Cases page.

2. Select a case to open the Case’s Dashboard.

3. Click Workflows to open the Workflows page.

4. Click New Workflow.The Add Workflow page opens, showing the navigation trainstop aid.

5. Select a workflow Type and Process.In this example, Hold Notice Type and Custodian Hold Notice Process were selected.

6. Click the Specify Details trainstop to open the Workflow Details page.Enter a workflow name and any other information needed.



7. Click the Customize Workflow trainstop to open the Customize This Workflow page.

If you select No to Customize This Workflow, the default workflow notice is used.

In this example, in the Customize Workflow Text section, the Select a Template link was chosen.

The Select a Template page opens.



8. Select a template, case, and workflow from the drop-down lists.A preview of the text taken from the selected workflow template displays in the Preview text box.

Click Save.

The Preview text is inserted into the Customize Email Body text box on the Customize Workflow trainstop as shown:

When the Custodian Hold Notice for the case is generated, it is sent to appropriate custodians. The content that was selected or entered on the Customize Workflow trainstop is automatically merged into the Form that ALH delivers through an e-mail message, which the custodians can then view on their Web Desktop in ALH.



Chapter 10: Run Reports

Reports Overview 127

List of Reports 128

Run a Report from the Reports Link 130

Run a Report from a Case 131

Get Custom Reports 131

This section describes how to run reports in ALH.

Reports OverviewALH provides a number of predefined reports to help you manage and monitor the activities in ALH. There is a also Custom option that lets an administrator create a custom report for the enterprise.

Note the following about reports:

l With regard to report headers, the Report Date in the header section of the report reflects the execution time of the report in the time zone of the user, and is followed by the three-letter code that identifies the time zone used, such as EST. All date and time metadata in the report detail reflects the time zone.

l You cannot change report headers. They are configured through the ALH Administration Console by an administrator. When configured, the result is globally present in all reports.

l The times in the reports are represented in New Zealand Standard Time, in the NZST timezone (GMT+12:00).

l A report may or may not have filter requirements. For those that do, the most common filter requirement is for a date range.

l When a Basic Filter date range is required for a report, you can select from a preset number of days (7,14, 30,60, 90, 120) or you can select the actual From and To dates from a popup calendar. For example:

If you select the number of days such as 60 days, the From date field is automatically populated with a date that is 60 days back from the To date field, which is automatically populated with the current date.

If you select the From and To dates from the popup calendars then those dates are used and the word Custom automatically appears in the number of days list box.


List of ReportsFollowing is a listing of available predefined reports.This list may change over time as new reports are added.

When you click a report name, such as Collection Report, and click the Run Report button, a screen like the one below displays, where you can enter filters and search criteria for the report.

User GuideChapter 10: Run Reports


Tip: This filter page does not appear for a report unless filters are appropriate.

After you enter the filters and click the Create Report button, the report displays in dashboard summary format as shown in the example below:

If filters were not appropriate for the selected report, as in the Roles and Permissions Report, the report immediately displays when you click the Run Report button:



Run a Report from the Reports LinkReports are structured to display in dashboard format. For names of individual reports to run, see "List of Reports" on page 128.

To run a report

1. Log in to the ALH user interface.The page that is set as your Home page opens.

2. Click the Reports link to open the Reports page.The reports you can access vary according to your user role.

3. From the Reports tree, select the report you want to run.

4. Click Run Report.The report appears unless the report first requires a filter. If a filter page appears enter the required information. For example, you may be asked to enter a case name, or the number of days to go back, or the date range for the report.

5. Click Create Report.The report displays.



Run a Report from a CaseIn addition to running reports through the Reports link, some reports can be run while in a Case, from the process you are working in. For example:

To see the Case Workflow Details Report from a case

1. Click the Browse tab in ALH to open the Cases page.

2. Select a Case. The Case Dashboard opens.

(You could click Case Summary in the upper right corner of the Dashboard to get a summary report for the case.)

3. Select Workflows at the top of the page.

4. Select a workflow.

5. Mouse over the Task Manager menu icon at the end of the row and a list of commands drops down.

6. Click View Report.The Case Workflow Details Report opens in a new browser window. When done viewing the report, close the window to return to the Case Dashboard.

In a similar manner, you can view other reports from within a selected Case, within a specific process.

Tip: When you run a report from within a Case, the report data applies only to that case. When you run a report through the Reports tab, it can be for multiple cases.

Get Custom ReportsIf you have custom reports that have been designed for the enterprise, they display under the Custom node in the Reports tree.

Note: Custom reports can be created for you by Autonomy Professional Services. Contact your Autonomy representative.



Chapter 11: Set Up Account Information

View Your Account Profile 133

Set Account Alerts 133

Select Display Preferences 134

Select General Preferences 137

This section describes how you can view your account information and customize display preferences in the Home page that opens in the Autonomy Legal Hold user interface.

View Your Account ProfileYou can view account profile information through the My Account tab in the user interface. The account information that displays is for the user who is currently logged in to the computer that is accessing ALH. It is read-only information configured by an ALH administrator.

Note: Only system administrators can make changes to Account profiles. Refer to the Autonomy Legal Hold Installation and Implementation Guide, which provides instructions to administrators on account configurations.

To view account profile information


2. Click the My Account tab to open the My Account page.

3. Click Account Profile to open the Account Profile page.This page is read-only. It displays your User names, Contact Information, and Screen Names and Proxy Addresses.

4. Verify the current profile information and determine if changes are needed.For example, if you recently transferred to a new location, your contact information, job title, or even your primary e-mail address may need to be updated.

5. Record the necessary changes and submit a change request to the ALH administrator, who has to make the changes.

6. Click Cancel to return to the My Account tab.

Set Account AlertsThe My Account tab, Alerts link lets you configure whether or not to receive e-mail alerts when there are changes in the cases you are assigned to. You can also configure alerts for user changes.


To configure your account to receive e-mail alerts



3. Click Alerts to open the Alerts page.

4. Mark the radio button for Yes to receive e-mail alerts about case changes.

5. Mark the radio button for Yes to receive e-mail alerts for user changes.

6. Click Cancel to return to the My Account tab without saving, or click Save to apply the selection.Alerts for case and user changes are sent to you at the e-mail address configured by the ALH administrator.

Select Display PreferencesThe My Account tab > Display Preferences link lets you select a default screen to display at logon. The options are: Home, Cases, or Activity: All Workflows, and Activity: Desktop Collections. It is necessary to log off and log on after making a selection for it to be applied.

You can also configure what the Home page looks like when you access ALH. These settings are limited to the user who is currently logged in. Each user can have their own display preferences. These changes are applied when you click Save.

The Display Preferences page has several configuration sections.

User GuideChapter 11: Set Up Account Information


l See "Default Screen" below

l See "Home Screen Display Settings" below

l See "Settings for Number of Items Displayed in Lists" on the next page for information about setting the number of users, assets, legal holds, and notifications to display per page in the ALH UI.

Default ScreenThis section lets you choose any of the following options to be the default page that first appears when you log on to the ALH user interface.The option you choose is typically determined by the way you work in ALH and which page is most convenient for you to start working from.

l Home Screen (accessed through the Home link)

l Cases (accessed through the Cases link)

l Activity: All Workflows (accessed through the Activity link)

l Activity: Desktop Collections (accessed through the Activity link)

Home Screen Display SettingsThe settings in this section determine the layout and positioning of information that displays on the Home page. The Home page provides fast access to common tasks and shows the status of your cases, workflows, or holds—depending on which of those you choose to display. It can be thought of as a summary of the activity in the system.

You have the following layout and display options for the Home page:

Layout: 2 Columns Then 2 rows (as shown) or Four Rows.

The default and typical Layout is 2 Columns Then 2 Rows:

Box 1 For this box you can select Cases, Holds, or Workflows to display.

Box 2 For this box you have the same options as in box 1.

Box 3 For this row you can select to display nothing (blank), or one of the following:



Search

Navigation

Charts

Getting Started

Box 4 For this row you have the same options as in Box 3.

Settings for Number of Items Displayed in ListsThe following options let you set the number of items displayed in lists in the ALH UI. For each of these options, the following choices are available: 10, 15, 25, 50, 100, 200, All.

User List Settings. This section lets you set the number of users to display per page in the ALH UI.

Asset List Settings. This section lets you set the number of assets to display per page in the ALH UI.

Notification List Settings. This section lets you set the number of notifications to display per page in the ALH UI.

Legal Hold List Settings. This section lets you set the number of legal holds to display per page in the ALH UI.

History List Settings. This section lets you set the number of history items to display per page in the ALH UI.

Configure Display PreferencesUse the following procedure to set up the display preferences for the Home page in ALH.



To configure your Home page display preferences


2. Click the My Account tab to open the Account Settings page.

3. Click Display Preferences to open the Display Preferences page. a. Select the Default screen.

b. Select the Layout option.

c. Select the Cases, Holds, or Workflows information to display in box 1.

d. Select the Cases, Holds, or Workflows information to display in box 2.

e. Select Search, Navigation, Charts, Getting Started, or blank to display in box 3.

f. Select Search, Navigation, Charts, Getting Started, or blank to display in box 4.

g. Select the number of users to display per page in the UI.

h. Select the number of assets to display per page in the UI.

i. Select the number of notifications to display per page in the UI.

j. Select the number of legal holds to display per page in the UI.

k. Select the number of history items to display per page in the UI.

4. Click Save to apply the selections.The Display Preferences for the Home page are set and you are returned to the My Account page.

Select General PreferencesIn the My Account tab, General Preferences you can set the following:

l Time Zone. The drop-down box displays a list of available time zones that you can choose from.This should match the time zone of your desktop system.

l Dashboard Alerts. This box lets you specify the time framewhen Autonomy Legal Hold generates alerts if a user’s status has changed. The options are for 1, 7, 14, or 30 days. This setting is not applicable unless you set Yes for “Receive alerts for user changes” in My Account > Alerts.



Configure General PreferencesUse the following procedure to configure the general preferences for your account in ALH.

To configure general preferences for your account



3. Click General Preferences to display the General Preferences page. a. Set the time zone for your computer. If no time zone is set, ALH uses your browser time as

the time zone.

b. Set the number of days when an alert is sent for users with change status.

4. Click Save to apply the selections.The General Preferences are set and you are returned to the My Account page.

