Creating a Case in Case Manager

Compliance officers can use Case Manager to create cases and collect electronically stored information (ESI) for specific custodians and assets.

Creating a Legal Copy for Case Data

The Create a Legal Copy option determines whether case data is protected from the client source or by using a system-created reference copy client:

Not selected: Case data is collected directly from the backup source and is retained indefinitely. If the case is closed, retention of the data reverts to the settings of the storage policy associated with the backup source and data aging occurs accordingly.
Selected: You must run a job to copy data from the backup source to an automatically created reference copy subclient. This reference copy is associated with a storage policy that you select when creating the case. No matter which storage policy you choose, the data in the reference copy client has infinite retention while the case is open or closed. If an asset is removed from the case or the case is deleted, the case data is pruned according to the retention settings of the storage policy associated with the case.

Caution

If you select Create a Legal Copy, you must run a backup job of the case data either using the scheduling option when creating the case or by manually backing up case data from Case Manager. If you do not run a job when the Create a Legal Copy option is selected, loss of data might occur.

Email Notifications for Custodians Added to a Case

When a user is added as a custodian to a case, the custodian receives an email notification. The notification states that the user has been added to a case and includes the case name. If you want to disable this behavior so that custodians do not receive a notification when they are added to a case, then your administration must make an additional configuration. For more information, see Disabling Notifications for Custodians Added to a Case in Case Manager.

Before You Begin

The Case Manager user must be assigned a role with the following permissions associated to the assets that they want to include in the case:
- Compliance Search
- Out of Place Recover
For more information, see Configuring User Groups for Case Manger.
When adding clients to a case using the File Server option, the Case Manager user must have permissions on the client in order to view and backup the clients as part of the case. For client groups, only the clients in the client groups for which the user has permissions will be backed up in Case Manager.
If you plan to create a copy of the data from the clients added to the case using the Create a legal copy option, you must know the storage policy that you want to use to configure the copied data. For information, contact your administrator.
Cases may only contain data that was written using a single writing system. If you are collecting email data written in a non-English writing system (Chinese, Japanese, or Korean), then create a separate case for each type of writing system.
CommCell user accounts and active or disabled Active Directory user accounts can be added as custodians to a case. If you want to collect data from users whose Active Directory user accounts have been deleted, see Collecting Data from Deleted or External User Accounts.

Procedure

From the Compliance Search page, in the upper-right corner click Case Manager.

For more information about opening Compliance Search, see Compliance Officers - Getting Started.
On the Case Manager tab, click Create.
In the Create New Case tab, under Basic Details, enter the following information:

Field Name	Description	Steps
Name	The name of the case as you want it to appear in Case Manager.	Type the name of the case.
Number	An optional number that you can manually assign to a case to help with tracking.	Optional: Type a number associated to the case.
Notes	An optional field to add details about the case to help with tracking.	Optional: Type a description or any additional information about the case.
Create a Legal Copy	Use this option to configure the method to retain the case data indefinitely.	Do one of the following: To retain case data using a reference copy client, select the Create a Legal Copy check box. Data is copied from the source to the reference copy client and is retained until the case is deleted. Caution If you select Create a Legal Copy, you must run a backup job of the case data either using the scheduling option when creating the case or by manually backing up case data from Case Manager. If you do not run a job and select the Create a Legal Copy option, loss of data might occur. To use and retain the source data for the case, clear Create a Legal Copy. Data aging on the source data is suspended until the case is closed.
Storage Policy	If Create a Legal Copy is selected, use this option to select a storage policy to associate to the reference copy client created for the case. Notes Only storage policies with content indexing enabled appear in the list. No matter which storage policy you choose, the data in the reference copy client has infinite retention while the case is open or closed. If an asset is removed from the case or the case is deleted, the case data is pruned according to the retention settings of the storage policy.	When the Create a Legal Copy check box is selected, click the Storage Policy list and click the storage policy to associate to the reference copy subclient.

Click Next.
Under Custodian Data Source, enter the following information:

Field Name	Description	Steps
Custodians	Use this field to add custodians to the case. Custodians are the individuals whose data you want to add to the case. Notes: If you want to collect email data using the Mailbox or Journal Hold options, then you must add custodians. If you want to select from a list of clients owned by the custodians using the Desktops/Laptops option, then you must add custodians. If you want to manually select the clients and client groups to add to the case, then you are not required to add custodians. You cannot add groups as a custodian.	Add custodians to the case by performing the following steps: To the right of the Custodians list, click the add button . In the Custodians dialog box, type the display name or primary SMTP email address. Tips: If the display name contains spaces or other special characters, enclose the name in double quotes. To add multiple custodians, separate each custodian with a comma. For example: "John Smith", "Jane Doe", mdavis@example.com Click OK.If a user name is valid, it will appear in the Custodians list. If any user names are invalid, the Invalid User List dialog box appears with the names of the invalid users.
Data Source	The type of data that you want to collect for the custodians added to the case. You can select one or more of the following options: Desktops/Laptops, use to select from a list of file system clients that are owned by the custodians. Mailbox, use to collect from the mailboxes associated to the custodians' email addresses. Journal Hold, if you have journaling configured, use to collect any email messages in the journal mailbox that contain the custodians' email addresses in the from, to, cc, or bcc fields. File Server, use to collect from any client or client group in your CommCell environment. Use this option to add entities to the case that are not owned by the custodians. Note If you select a client as a data source that was upgraded from a previous software version, ensure that the client index is upgraded to Indexing Version 2. For more information, see Upgrading Client Indexing with the Upgrade to Indexing V2 Workflow.	Configure the data that you want to collect in the case by selecting and configuring one or more of the following options: To collect file system data from a list of clients that are owned by any of the custodians in the case, select the Desktops/Laptops check box, click Select Assets, and then select the check boxes for the clients that you want to add to the case. To collect email data from the mailboxes owned by the custodians, select the Mailbox check box. To collect email data that contains any custodian's email address in the to, from, cc, bcc fields from a journal mailbox, select the Journal Hold check box. To collect file system data from any client or client group in the CommCell environment, perform the following steps: Select the File Server check box. Click Select Client(s) / Client Group(s). Click the Select Type list and click one of the following options: Client, to select from a list of the client computers in the CommCell environment. Client Group, to select from a list the client groups in the CommCell environment. Optional: To filter the list, in Enter Client / Client Group Name, type the name of the CommCell entity that you want to find and then press Enter or click the search button . Under Client(s) / Client Group(s) Found, select the check boxes for the CommCell entities that you want to collect as part of the case. Tip: The list only shows ten entities at a time. To view additional entities, use the pagination controls. When you have selected the entities that you want to add to the case, click Add Selected. The client and client group names appear in the Selected Client(s) / Client Group(s) list. Tip: To remove an entity from the Selected Client(s) / Client Group(s) list, click the entity name and then click Remove Selected.

Field Name

Description

Steps

Custodians

Use this field to add custodians to the case. Custodians are the individuals whose data you want to add to the case.

Notes:

If you want to collect email data using the Mailbox or Journal Hold options, then you must add custodians.
If you want to select from a list of clients owned by the custodians using the Desktops/Laptops option, then you must add custodians.
If you want to manually select the clients and client groups to add to the case, then you are not required to add custodians.
You cannot add groups as a custodian.

Add custodians to the case by performing the following steps:

To the right of the Custodians list, click the add button .
In the Custodians dialog box, type the display name or primary SMTP email address.

Tips:
- If the display name contains spaces or other special characters, enclose the name in double quotes.
- To add multiple custodians, separate each custodian with a comma. For example: "John Smith", "Jane Doe", mdavis@example.com
Click OK.If a user name is valid, it will appear in the Custodians list. If any user names are invalid, the Invalid User List dialog box appears with the names of the invalid users.

Data Source

The type of data that you want to collect for the custodians added to the case. You can select one or more of the following options:

Desktops/Laptops, use to select from a list of file system clients that are owned by the custodians.
Mailbox, use to collect from the mailboxes associated to the custodians' email addresses.
Journal Hold, if you have journaling configured, use to collect any email messages in the journal mailbox that contain the custodians' email addresses in the from, to, cc, or bcc fields.
File Server, use to collect from any client or client group in your CommCell environment. Use this option to add entities to the case that are not owned by the custodians.

Note

If you select a client as a data source that was upgraded from a previous software version, ensure that the client index is upgraded to Indexing Version 2. For more information, see Upgrading Client Indexing with the Upgrade to Indexing V2 Workflow.

Configure the data that you want to collect in the case by selecting and configuring one or more of the following options:

To collect file system data from a list of clients that are owned by any of the custodians in the case, select the Desktops/Laptops check box, click Select Assets, and then select the check boxes for the clients that you want to add to the case.
To collect email data from the mailboxes owned by the custodians, select the Mailbox check box.
To collect email data that contains any custodian's email address in the to, from, cc, bcc fields from a journal mailbox, select the Journal Hold check box.
To collect file system data from any client or client group in the CommCell environment, perform the following steps:
1. Select the File Server check box.
2. Click Select Client(s) / Client Group(s).
3. Click the Select Type list and click one of the following options:
4. Client, to select from a list of the client computers in the CommCell environment.
5. Client Group, to select from a list the client groups in the CommCell environment.
6. Optional: To filter the list, in Enter Client / Client Group Name, type the name of the CommCell entity that you want to find and then press Enter or click the search button .
7. Under Client(s) / Client Group(s) Found, select the check boxes for the CommCell entities that you want to collect as part of the case.
  
  Tip: The list only shows ten entities at a time. To view additional entities, use the pagination controls.
8. When you have selected the entities that you want to add to the case, click Add Selected.
  
  The client and client group names appear in the Selected Client(s) / Client Group(s) list.
  
  Tip: To remove an entity from the Selected Client(s) / Client Group(s) list, click the entity name and then click Remove Selected.

Click Next.
Optional: To add data from a Compliance Search Review set to the case, under Non Custodian Data Source, click the Review set list, and then select a review set.

Only data in the selected review set that matches the configurations under Custodian Data Source are added to the case.

Tip

To create a new review set, click Create New and enter the information for the new review set. For more detailed information, see Creating a Review Set in Compliance Search.
Click Next.

Optional: Under Filter Criteria, enter the following information:

Field Name	Description	Steps
Add Filters	Use to configure additional filter criteria to the data included in the case. Only data that meets the filter criteria that you define will be included in the case. Notes: If your case contains non-English language data, then you must add a Language filter to the case. Filters do not apply to review set data.	Click Add Filter(s). In the Filters dialog box, select the check boxes for the types of filters you want to add to the case. When finished, click OK. Configuration options for the selected filters appear. Configure the filters that you added to meet your requirements. For more details about Case Manager filters, see Filter Criteria.
Keyword	Use this field to filter data in the case by keywords. For email data, only emails that contain the specified keywords in the subject, body, or any attachments will be included in the case.	Type the filter criteria to meet your requirements.

Field Name

Description

Steps

Add Filters

Use to configure additional filter criteria to the data included in the case. Only data that meets the filter criteria that you define will be included in the case.

Notes:

If your case contains non-English language data, then you must add a Language filter to the case.
Filters do not apply to review set data.

Click Add Filter(s).
In the Filters dialog box, select the check boxes for the types of filters you want to add to the case.
When finished, click OK.

Configuration options for the selected filters appear.
Configure the filters that you added to meet your requirements.
For more details about Case Manager filters, see Filter Criteria.

Keyword

Use this field to filter data in the case by keywords. For email data, only emails that contain the specified keywords in the subject, body, or any attachments will be included in the case.

Type the filter criteria to meet your requirements.

Click Next.
Optional: To add other case managers (reviewers) to the case, under Add Reviewers do the following:

Reviewers can also view and edit the case from Case Manager.
1. In the Group/User Names box, type the user or user group name.
2. In the list, click the user or group name.
  
  The user or group name appears in the list.
Click Next.

Under Schedule, enter the following information:

Caution

If you select Create Legal Copy, then you must run a backup job of the case data either using the scheduling option or by manually backing up case data from Case Manager. If you do not run a job and select the Create Legal Copy option, loss of data might occur.

Field Name	Description	Steps
Enable Schedule	Use to schedule backup jobs to run on the data in the case. You can schedule daily or weekly backups. Note: You can only enable a schedule if you selected to create a legal copy for the case.	Select the Enable Schedule check box. Select one of the following options: Daily, to schedule backups on a daily basis. Weekly, to schedule backups to occur on one day week. Click the Start Time list and select a time of day to start the backup job. For weekly backups, click the Days list and select the *day* to perform the backup job.

Field Name

Description

Steps

Enable Schedule

Use to schedule backup jobs to run on the data in the case. You can schedule daily or weekly backups.

Note: You can only enable a schedule if you selected to create a legal copy for the case.

Select the Enable Schedule check box.
Select one of the following options:
- Daily, to schedule backups on a daily basis.
- Weekly, to schedule backups to occur on one day week.
Click the Start Time list and select a time of day to start the backup job.
For weekly backups, click the Days list and select the day to perform the backup job.

Click Next.
Under Preview and Save, review the case configurations.

Tip

To go back to a previous section, you can click the section name to expand its contents. You can also use the Back and Next buttons.
Click Save.

The case name appears in the list under the Case Manager tab.

What to Do Next

If you selected Create Legal Copy, then you should run a backup job of the case data by manually backing up case data from Case Manager. If you do not run a job and select the Create Legal Copy option, loss of data might occur.