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Author's profile photo Syed Roshan Nawaz

ILM Legal Holds Management – Part 2

In the previous blog post ILM Legal Hold Management Part 1, we learnt about the ILM legal holds, origin and the configurations needed for adding objects to a legal case.

In this blog post we will learn how to:

1. Create legal holds for data in database table and in archive files. Concept of multiple origin.

2. Propagate legal holds to ILM store.

3. Deletion of legal holds.

Creation of legal case.

In order to create a legal case, perform the steps mentioned as below :

a. Execute transaction ILM_LHM (available from SAP_BASIS 701 onwards).

b. Click on button ‘Create’ It would navigate to the screen as below:

c. Enter the details of the fields described below.

For a legal case the following are the mandatory fields and their details are as below :

1.Legal Case Name : User defined name for a legal case.

2.Priority : Select the relevant priority for the legal case from the input help.

3.Person Responsible : Must be a valid user in the system.

4. Legal Case Status : A legal case can have any one of the below status :

  • 20 New
  • 23 Data Collection
  • 26 Check
  • 29 Data Production
  • 32 Lawsuit
  • 50 Case Closed

The person responsible for the legal case can select any one of these statuses based on the business purpose for which the legal case is created. Enter details for the other relevant input fields.

d. Save the legal case.

 

1.1 Adding objects to a legal case:

Once a legal case is created, it is now required to determine the objects on which legal holds are to be applied. Identification of the objects relevant for a legal case is purely dependent on the business scenario.

Let us consider a legal use case where the user wants a legal hold on carrier ID SA with connection number 0017 having flight date as 03.07.2019.

We have mapped ILM object BC_SFLIGHT with BOR object SFLIGHT.

Here the record being used for demo purpose is a valid entry in SFLIGHT table having respective values as :

Carried ID : SA

Connection Number : 0017

Flight Date : 03.07.2019

The data from this table was first archived (archive write and archive delete).

We would now need to add this object to the legal case created in ILM_LHM transaction.

1.1.1 Adding object to legal case manually

Note :

Adding objects to a legal case manually

  • Retention Management Mode.
  • If the relevant BOR object has an entry maintained in table LHM_METHODS along with the corresponding origin determination function module.
  • This function module is a valid SE37 function module

Perform the steps below to add object to a legal case :

  1. Open the legal case created in above step(s) in change mode.
  2. Press Add objects ALV toolbar button under the BOR objects. In the popup press ‘Information System’. Enter the object type as ‘SFLIGHT’. Ensure the following checkboxes and radio buttons are selected as in the below image.

       3. In the next popup for BOR object key, enter the values as shown in the below image :

4. The object key would be added as shown below.

       5. Press Save. If the object key is part of any archive file, then it would show the number of  archive files in which it is found.

       6. Press on the hotspot under archive files. A pop up showing list of archive files would be displayed as below :

 

1.1.2 Adding object to legal case via E-Discovery report

Prerequisite:

It is required to create a variant for the E-Discovery report.

a) You can directly maintain a variant in ILM_LHM transaction during the E-Discovery report execution. Refer SAP Note 3064604. You can also execute transaction SE38. Enter the report name. Select variants radio button and press change.

b) Enter variant name ( e.g. ILM_MUL_ORI1 or any valid SE38 report variant) and press create button. Maintain relevant variants for this report (here we consider REDIS_BC_SFLIGHT as the E-Discovery report)  variant as below:

c) Enter variant description as below and save the variant details.

 

To schedule E-Discovery report from Legal case:

  • Open the legal case in change mode.
  • Press E-Discovery ALV toolbar button under the BOR objects. In the pop up press F4 for program name. Select the report name as maintained in table LHM_EDIS_REPORTS.

  • In the pop up press F4 for variant name. Enter the valid variant name created above.
  • Here we execute the E-Discovery report in Dialog mode
  • To execute the report in batch mode, then mark the checkbox Execution in background.
  • If executed in batch mode and if required enter the following:

Server Group – Dedicated for batch processing of reports

Max Processes – Maximum number of Jobs that this report can fork in batch mode.

  • When executed in foreground the object key would be added as below along with the name of the E-Discovery report that identified this object key.

  • Save the legal case.

1.1.3 Multiple origin scenario

A legal case is also enabled to support multiple origin scenario. The details of this scenario is explained below.

A BOR object instance key is a value that identifies a unique data object instance for a single origin(source). Using this principle, it was not possible to identify a single unique instance in certain applications. This is referred to as multiple origin scenario where one object key can span across multiple origins (DB/multiple archive files).

For example, HR long term documents has BOR object as PA_LDOC and the BOR object key as employee number – PERNR. A single employee number can occur in multiple archive files and in database records. The BOR object key definition cannot uniquely identify a single instance of this object leading to multiple origin scenario. Here legal holds should be enabled on all the records (database records and archive files) where this employee number exists.

This feature is now enabled in ILM legal holds (refer note 2901307 for details on the same).

In case of multiple origins, the output parameter must contain all the entries where object key is present as shown in example below for BC_SFLIGHT.

Here the carrier ID QF with connection ID 0006 and flight date 03.09.2019 was part of multiple archive files and was also in the database. Once added, saved and propagated all the three archive files are subjected to legal hold.

ORIGIN ARCHIVE_KEY ARCHIVE_OFFSET
DB
AR A00CCW-001BC_SFLIGHT 1129
AR A00CCW-001BC_SFLIGHT 2150
AR A00CCT-001BC_SFLIGHT 1400
AR A00CCT-002BC_SFLIGHT 1400

 

1.2 Propagation of legal holds

With this process, actual lock(set as a property) is created/deleted on the archive file at store.

Propagation of legal holds is a manual activity. It has to be done once the legal cases are created/deleted in ILM_LHM transaction.

Propagation of legal holds happens at legal case level which means that the user can find the legal case GUID being set on the file at the archive store.

1.2.1 Propagation for BOR objects

Use report ARC_LHM_PROPAGATE_LEGAL_HOLD to assign legal holds to archived BOR objects that have been added to a legal case (in an ILM-certified storage systems). You can schedule the report as a periodic background job.

If a BOR object that has not been archived yet is added to a legal case, and is then archived, the legal hold on this BOR object is set in the storage system at the same time as the deletion program for the archiving run, which means the report is not needed in this case.

     Once the process is complete, the success message will be shown as below.

For some files the message appears as “Resource with archive key <ARCHIVE_FILE_KEY> not stored yet’. Propagation of legal holds operates only on the files that have been successfully stored. Once the report is executed then legal holds are propagated on the files at store.

You can confirm the legal hold assignment to archive file. Execute transaction SARA. Enter the Archiving Object as BC_SFLIGHT. Press management button. Navigate to the corresponding file (here A00C7V-001BC_SFLIGHT) and double click. The file should be enabled for legal hold as below:

Select the URI in the pop up showing details of archive file. Execute transaction ILM_SB. Navigate   to the the URI selected above as in the below image.

A legal hold is now applied on the archive file using the BOR object key.

1.2.1 Propagation for Archive Links

You can use report ARLNK_LHM_PROPAGATE_LEGAL_HOLD to set a legal hold for ArchiveLink documents and print lists that are linked implicitly with BOR objects (through TOAx links) and are contained in a content repository. We will not discuss this as it is not in the scope of this blog.

1.3 Deletion of legal holds

User can delete the legal holds created in the past if they are no longer relevant for existing legal requirements. Upon deletion of legal case the legal holds need to be removed from the store. In such a case user needs to run the propagation of legal case to the data present in store.

 

1.3.1 Steps to delete legal holds from the legal case

Go to transaction ILM_LHM in change mode. Choose one of the following options to delete the legal holds:

1.3.1.1 Remove legal hold from the legal case :

  • If you want to remove the legal hold from a specific object, select the relevant entry from the list of locked data and choose the Delete Selected Rows
  • The object gets removed from the legal case. Press Save.

1.3.1.2 Close the legal case :

  • If the legal case is set to status Case Closed ( Legal Case Status 50 ), all the legal holds are deleted from this legal case. The legal case cannot be edited anymore and can only be deleted. If you want to delete the legal case, choose Legal Case>  Exercise caution when performing this step.

1.3.1.3 Propagate the deleted legal holds.

Once deleted this information about the deleted legal holds must be propagated again to the ILM store. You would need to again run the reports as below :

  • For BOR objects: ARC_LHM_PROPAGATE_LEGAL_HOLD
  • For references to ArchiveLink documents: ARLNK_LHM_PROPAGATE_LEGAL_HOLD

We have now created a legal case, added BOR objects to a legal case and propagated the legal holds to the ILM store.

 

Conclusion

In this blog post we have learnt :

  • Adding objects to a legal case.
  • Propagation of legal holds to ILM store.
  • Deletion of legal case
  • Legal case closure.

Once the object is added to the legal case it cannot be destroyed even after the expiration date is crossed. This is because the object key is now part of a legal case and hence cannot be destroyed.

Please feel free to provide feedback and your thoughts in the comment section. For any further queries follow the Q&A community here.

 

 

 

 

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