Enterprise Vault™ Compliance Accelerator Administrator's Guide
- Introducing Compliance Accelerator
- Product documentation
- Introducing the Compliance Accelerator client
- Setting up employees and employee groups
- Assigning roles to employees
- Working with departments
- Implementing Chinese Walls security
- Managing exception employees
- Grouping departments into partitions
- Using attributes to classify departments
- Searching for items
- About searching with Compliance Accelerator
- Building Compliance Accelerator search schedules
- Defining hotwords to search for
- Manually reviewing items
- About reviewing with Compliance Accelerator
- Escalating items
- Working with research folders
- Exporting items
- Creating and viewing reports
- Available Compliance Accelerator reports
- About viewing Compliance Accelerator datasets using the OData web service
- Appendix A. Customizing Compliance Accelerator
- Setting Compliance Accelerator system configuration options
- Appendix B. Importing configuration data from an XML file
- Appendix C. Troubleshooting
- Issues with Compliance Accelerator reports
Within Compliance Accelerator, you can organize monitored employees into departments that reflect the structure of your company. You can add either a new top-level department or a nested department (a child department of an existing department).
The minimum information that is needed to create a department is its name and owner. The owner can be any employee that you have added to the system, but is typically the main system administrator for Compliance Accelerator.
You must have the Create Departments permission to add a new department. By default, users with the application role of App User Admin have this permission.
To create a department
- Click the Departments tab in the Compliance Accelerator client.
- In the Departments pane at the left, do one of the following:
To create a top-level department, click All Departments and then click New Department at the top of the window.
To create a department that is the child of an existing department, click that department and then click the Properties tab. Then click New Department Here at the top of the window.
If Compliance Accelerator lists a lot of departments, you can filter the list with the fields at the top of the pane. As well as filtering the departments by name, you can choose whether to list any exception employees, folders, and reviewers that are associated with them.
The Department pane appears.
- In the Name box, type a unique name for the department.
The name can contain spaces and non-ASCII characters.
- In the Status box, choose whether to make the department open or closed.
If you choose Closed, no monitoring of employees in the department occurs, and the department name does not appear in the start page of the application. However, employees who are also monitored in other departments continue to be monitored in those departments.
- In the Owner box, select the display name and Windows user account of the principal administrator for the department.
Each department has an owner, who must have a Windows logon but does not need any special Windows or Compliance Accelerator privileges. By default, Compliance Accelerator grants the permissions that are associated with the User Admin role to department owners. These permissions are as follows:
Grant Users Access
Add Monitored Employees
Configure Department Properties
- If you want to create a nested department that is a child of an existing one, ensure that the Parent Department box shows the correct department.
- If you have set up one or more department attributes, enter the required attribute values in the Identity Attributes section.
- Select or clear the following options in the Options section:
Can contain departments
Specifies whether you can create nested departments under this department.
Can contain monitored employees
Specifies whether you can add monitored employees to this department. You may want to clear this option in cases where you need to set up a department hierarchy, where the top-level departments do not contain any monitored employees, but the nested departments do.
- In the Export details section, specify the default options to use when you export items for offline review. The options are as follows:
Item ID padding
Specifies the number of digits to use in the export number for each item. The default is 6.
Item ID prefix
Specifies the text to use as a prefix for the export number for each item. You may want to use letters to identify the export in accordance with legal or company naming convention.
Displays a preview of the complete ID.
Specifies the folder on the Compliance Accelerator server in which to store the exported items.
To export items to another computer, specify the UNC path to a share, as in
\\my_computer\exports. However, if you want to export the items as a Personal Folder (
.pst) file, we recommend that you specify the NTFS path; for example,
Z:\exports. Windows does not support exporting to a
.pstfile through a UNC path.
The folder path can contain up to 100 characters.
- In the Search details section, specify the policy that Compliance Accelerator must follow when it adds the results of a search to the department review set. The options are as follows:
Default percentage sample for new searches
Specifies the minimum percentage of the items that a search returns to add to the review set. When you create a search, you can qualify this option further by specifying the minimum number of items that are required per employee.
Stops the department administrators from changing the sample rate for new searches.
Searchable Vault Stores
Lets you select the vault stores whose archives are to be available for searching in the department. Department administrators with the appropriate permissions can customize the list of archives for searches in their departments.
- In the Intelligent review section, choose options for the learning engine in Compliance Accelerator. This engine allows Compliance Accelerator to sample and search for items intelligently, based on the actions that reviewers have taken on earlier items. For example, after a reviewer has marked a spam message or out-of-office reply as irrelevant then, when Compliance Accelerator detects other items that have similar characteristics, it can handle them in the same way.
To determine the relevance of an item, Compliance Accelerator looks at the item's metadata and its route from sender to recipients. However, Compliance Accelerator does not evaluate the content of the item.
Learning behavior for sampling
The options that are available depend on whether you use guaranteed sampling, which is the default sampling mode, or statistical sampling.
None. Compliance Accelerator samples items in the normal way, without implementing Intelligent Review.
Sample exact percentage and prioritize (guaranteed sampling) or Sample statistical percentage and prioritize (statistical sampling). Compliance Accelerator samples both relevant items and irrelevant items without favoring one over the other. So, if your monitoring policy requires that you capture and review 10% of items, Compliance Accelerator captures 10% - but a substantial number of the items may be irrelevant. With this option, however, Compliance Accelerator does give the items a status of either Unreviewed (Irrelevant) or Unreviewed (Relevant) as it adds them to the review set. When you later review the items in the Review pane, you can filter them by their Unreviewed status to distinguish between the relevant and irrelevant items.
Sample exact percentage of relevant content in addition to current sample (guaranteed sampling only). Compliance Accelerator adds both relevant items and irrelevant items to the review set until it has captured the required percentage of relevant items. With this option, therefore, Compliance Accelerator may capture more items for review than your monitoring policy demands. For example, suppose that your policy requires you to review 10% of items. To achieve the required number of items, you may need to capture 20% of items, only half of which are relevant.
Sample exact percentage of available relevant content (guaranteed sampling) or Sample statistical percentage of ONLY relevant content (statistical sampling). Compliance Accelerator discards all content that it considers irrelevant and samples relevant content only, until it has captured the required percentage. So, if your monitoring policy requires that you capture and review 10% of items, Compliance Accelerator captures precisely 10%.
In the case of guaranteed sampling only, if there are too few relevant items to fulfil the monitoring policy then Compliance Accelerator supplements them with irrelevant items. For example, suppose that 100 items are available for sampling, and your monitoring policy requires you to capture 10% of them. If only seven items are relevant, Compliance Accelerator adds three irrelevant items to achieve the required number of 10 items. In statistical sampling mode, Compliance Accelerator does not supplement the relevant items with irrelevant ones.
Specifies the level of confidence that Compliance Accelerator must have in the accuracy of its prediction before it awards items the status of Unreviewed (Irrelevant). The further right you move the slider, the more confidence Compliance Accelerator must have in the accuracy of its prediction.
The following graph shows the relationship between the position of the slider and the irrelevance threshold that items must achieve:
For example, suppose that Compliance Accelerator identifies an item as potentially irrelevant. With the slider fully to the left, Compliance Accelerator does not need to have any confidence in the accuracy of its prediction to assign the Irrelevant status to the item. On the other hand, with the slider fully to the right, Compliance Accelerator must have at least 60% confidence in the accuracy of its prediction to assign this status.
The default slider value is a little below medium (the red line), which means that Compliance Accelerator must have 20% or more confidence in the accuracy of its prediction to assign the Irrelevant status. Items that fail to achieve this score are assigned the status of Unreviewed (Relevant).
Discards all the accumulated learning behavior for this department.
- On the Monitoring tab, set the general policy for randomly sampling the items of each employee and adding them to the review set every day.
The options are as follows:
Disable monitoring of all employees in this department
Specifies whether to stop monitoring all employees in the department. Reviewers and department administrators can still access the department. Employees who are also monitored in other departments continue to be monitored in those departments.
If you select this option, you disable all the other options on the Monitoring tab.
Review requirement for all policies
When selected, sets the same monitoring policy for all types of items. For example, you would set this option to 75 to require that 75% of all types of items are captured and reviewed.
If you previously set different monitoring policies for different types of items, selecting this option applies the highest percentage to them all.
Review requirement per policy
When selected, lets you set different monitoring policies for different types of items.
Cap the total number of messages in this department
Lets you set a limit on the number of randomly-sampled items that Compliance Accelerator captures and adds to the department review set. You can set an overall total or a limit for each type of item.
Capping applies only to randomly-sampled items that you capture in statistical sampling mode. It does not apply to the following:
Randomly-sampled items that you capture in guaranteed sampling mode.
Items that you find when you conduct searches.
Items that policy management software has tagged for inclusion in the review set.
Note that if you are legally required to monitor a certain percentage of each employee's items, capping the total number of messages in this department may prevent you from meeting this requirement.
Message Type/Review Requirement/Capping
For each type of item, specifies as a percentage value the number of each employee's items to capture and add to the review set. Enter 0 for the item types that you do not use.
The types of Microsoft Exchange, SMTP, Domino, and fax items are as follows:
Internal. Selects the items where the author and all recipients are internal to your organization.
External Inbound. Selects the items where the author is external to your organization and at least one recipient is internal.
External Outbound. Selects the items where the author is internal to your organization and at least one recipient is external.
You can set monitoring policy at the employee level and group level as well as at the department level. Therefore, the values that are shown here may not apply to some employees. In that case, Compliance Accelerator honors the highest percentage for each item type. To set the values at the employee level or group level, use the Monitored Employees facility.
- Click Save.