creating a test suite for compliance reporting

AvePoint Compliance Guardian 3

Technical Quick Start User Guide

Service Pack 3

Revision A Issued January 2015

Table of Contents

Overview ....................................................................................................................................................... 3

Connecting to Your Information Gateways .................................................................................................. 4

Connecting to SharePoint ......................................................................................................................... 4

Connecting to the SharePoint Online Site ................................................................................................ 4

Connecting to File Systems ....................................................................................................................... 5

Connecting to Yammer ............................................................................................................................. 5

Connecting to Lync .................................................................................................................................... 7

Archiving Lync Content ......................................................................................................................... 8

Connecting to Databases .......................................................................................................................... 9

Compliance Scanner.................................................................................................................................... 11

Creating a Check ..................................................................................................................................... 11

Creating a Test Suite for Compliance Reporting ..................................................................................... 13

Creating a Scan Policy ............................................................................................................................. 15

Classification Scanner ................................................................................................................................. 16

Creating a Check ..................................................................................................................................... 16

Creating a Test Suite for Classification and Tagging ............................................................................... 16

Creating a Scan Policy ............................................................................................................................. 18

Creating an Action Policy ........................................................................................................................ 18

Notices and Copyright Information ............................................................................................................ 20

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Compliance Guardian Technical Quick Start User Guide

Overview In this document, we will overview some system requirements that need to be configured prior to

running scan jobs with Compliance Guardian.

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Connecting to Your Information Gateways Refer to the following sections for details of the gateways.

Connecting to SharePoint SharePoint farms will be connected to Compliance Guardian automatically as soon as the Compliance Guardian Agents are installed and configured on your SharePoint environment.

Connecting to the SharePoint Online Site Refer to the following steps to configure settings to connect to SharePoint Online:

1. In the Control Panel interface, select SharePoint Sites under the SharePoint Sites heading.

2. Select the SharePoint Sites Group, and then select Manage Site Collection on the ribbon.

3. To add a site collection, select Add on the ribbon of the Manage Site Collection interface and then configure required settings including Site Collection URL and Site Collection User.

4. Click OK to save these configurations and return to the Manage Site Collection interface.

Figure 1: The Add site collection interface.

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Connecting to File Systems Refer to the following steps to configure the connection to file systems:

1. Navigate to Compliance Scanner/Classification Scanner > Create > File System, and click Configure Connection on the ribbon to enter the Configure Connection interface.

2. To create a new connection, select Create in the Manage group on the Configure Connection page and then configure required settings such as UNC path and the credential to access the specified location.

3. Click OK to save this connection.

Figure 2: The Create File System Connection interface.

Connecting to Yammer Refer to the following steps to configure the connection to Yammer:

1. Navigate to Scheduled/Real-time Classification Scanner > Create > Social Network, and select Configure Connection on the ribbon to enter the Configure Connection interface.

2. To create a new connection, select Create in the Manage group on the Configure Connection page.

3. Configure the following settings to connect to Yammer.

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• Yammer Client ID – Enter the Client ID and Client Secret. Register an application in Yammer to get the Client ID and Client Secret.

• Select Connect to Yammer. The Yammer Log In interface appears. Enter the admin account username and password to log into Yammer to get permissions to scan all Yammer messages and execute specific actions.

• Select a report database in the Report Database field to store the job data.

• Select the report groups in the Report Group field. Users in the selected groups will be able to view and download the reports in Classification Report > Social Report.

• Select an export location and a storage database in the Storage Location field. The posted content will be backed up and stored in the export location before taking the classification actions. The storage database is used to store the data records, and then combined with the content backed up in the export location to display the corresponding social report.

• Select the agent group that will perform the Scheduled Classification Scanner job.

• Select if you want to enable event receiver. Then, select an agent. If you enable event receiver here, you can register event receiver to Yammer server to achieve the Real-Time Classification Scan.

4. Select OK to save the connection.

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Figure 3: The Create Social Network Connection interface.

Connecting to Lync Lync servers will be connected to Compliance Guardian automatically as soon as the Compliance Guardian Agents are installed and configured in your Lync environment.

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Archiving Lync Content Compliance Guardian enables you to archive Lync conversations, user profiles, and all the associated metadata from your Lync Server. You can then perform search, export, or scan jobs to the archived Lync data. To archive your Lync data, refer to the following steps:

1. In the Compliance Guardian Scanner Lync mode or in the Compliance Guardian Scanner home page, select Configure Archiving on the ribbon, the Configure Archiving interface appears.

2. Select Create > Lync in the Manage group on the Configure Archiving interface.

3. Select the Lync server in the left pane. Then expand the Lync server to the pool node. Select a pool you want to archive.

4. Configure the necessary settings such as archive data storage, full text index, encryption and compression, and archive schedule.

5. Select Save to save the plan or select Save and Run Now to save the plan and run immediately.

Figure 4: The Configure Archiving Plan interface.

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Connecting to Databases Refer to the following steps to configure the connection to databases:

1. Navigate to Compliance Scanner > Create > Database, and select Configure Database Connection on the ribbon to enter the Configure Database Connection interface.

2. To create a new connection, select Create in the Manage group on the Configure Database Connection page. Compliance Guardian supports two database types, Microsoft SQL Server Database and Oracle Database.

3. Configure the following settings to connect to database:

• Enter a name for this connection. You can also enter an optional description to distinguish this connection from the others.

• Select the database type for the connection.

• Enter the IP or host name of the database server, or IP\Instance name in the Database Server field. Then, enter the database name in which the data will be scanned in the Database Name field.

• Specify the authentication mode, database credentials and an optional failover database server for connecting the database.

• Select a production Agent group from the drop-down list to execute the jobs.

4. Select OK to save this connection.

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Figure 5: The Create Database Connection interface.

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Compliance Scanner Refer to the following sections to configure settings for Compliance Scanner.

Creating a Check Refer to the following steps to create a check:

1. Navigate to Control Panel > Test Suite Manager, select Create on the ribbon and select Check in the drop-down list to create check files in which you can define content discover rules.

2. In the Check Template screen, select the desired check template in the check template list. For instance, you can define keywords that you want to scan against in FindText check.

Figure 6: The Check Template screen.

3. Select Next and fill in the check name, policy URL, and check result and message on the Report Text screen.

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Figure 7: The Report Text screen.

4. Select Next, configure the scan conditions. Select Save to save this check.

Figure 8: The check attributes screen.

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Creating a Test Suite for Compliance Reporting Refer to the following steps to create a test suite for compliance reporting:

1. Go to the Test Suite Manager, select Create on the ribbon, and select Test Suite in the drop-down list to create a test suite.

2. In the Test Suite Type screen, select Test Suite for Compliance Reporting. This type of test suite is used to identify and report any instances of non-compliance to defined rules and then identify the associated risks.

Figure 9: The Test Suite Type screen.

3. Select Next and configure basic settings such as name, whether check file accessibility, and scan depth for the test suite.

4. Select Next to configure the attributes in the test suite. Select Save to save the test suite configurations.

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Figure 10: The File Body Configuration screen.

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Creating a Scan Policy Refer to the following steps to create a scan policy:

1. Navigate to the Compliance Scanner, select Create on the ribbon and select an information gateway that you want to create scan policies from the drop-down list. Select SharePoint for example.

2. Select Scan Policy on the ribbon and navigate to the Scan Policy for Compliance Scanner. Select Create on the ribbon to create a new scan policy.

3. On the create screen, enter a name for the scan policy and select the test suites you want to include. You can select several test suites according to your specific needs. Select OK to save this scan policy.

Figure 11: The Create Scan Policy interface.

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Classification Scanner Refer to the following sections to configure settings for Classification Scanner.

Creating a Check For more information, refer to Create a Check in the Compliance Scan section.

Creating a Test Suite for Classification and Tagging Refer to the following steps to create a test suite for classification and tagging:

1. Go to the Test Suite Manager, select Create on the ribbon, and select Test Suite in the drop-down list to create a test suite.

2. In the Test Suite Type screen, select Test Suite for Classification and Tagging or Test Suite for Redaction. The Test Suite for Classification and Tagging type of test suite is used for content classification with a variety of related actions such as tag, secure, quarantine, delete, move, and encrypt; the Test Suite for Redaction type of test suite is used for redacting the content in a file.

Figure 12: The Test Suite Type screen.

3. Select Next and configure basic settings such as test suite name and scan depth.

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4. Select Next to configure the attributes in this test suite. Select Save to save the test suite configurations.

Figure 13: The File Body Configuration screen.

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Creating a Scan Policy Refer to the following steps to create a scan policy:

1. Navigate to the Scheduled/Real-Time Classification Scanner, select Create on the ribbon and select an information gateway that you want to create scan policies from the dropdown list. Select SharePoint for example.

2. Select Scan Policy on the ribbon and navigate to the scan policy manager for Classification Scanner. Select Create on the ribbon to create a new scan policy.

3. On the create screen, enter a name for the scan policy and select the classification and/or redaction test suites you want to include in the test suite. You can select several test suites according to your specific needs. Select OK to save the scan policy.

Figure 14: The Create Scan Policy interface.

Creating an Action Policy Refer to the following steps to create an action policy:

1. Navigate to the Scheduled/Real-Time Classification Scanner, select Create on the ribbon and select an information gateway that you want to create action policies from the dropdown list. Select SharePoint for example.

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2. Select Action Policy on the ribbon and navigate to the action policy manager for Classification Scanner. Select Create on the ribbon to create a new action policy.

3. On the Create interface, configure the following settings:

• Enter a name for the action policy.

• Configure action conditions based on the metadata of documents, items, classification results, or redaction results.

• Select actions you want to take when the conditions configured above are met from the Action dropdown list.

• Configure the e-mail alert to notify stakeholders when the action is failed or successful.

• Select OK to save the action policy.

Figure 15: The Create Action Policy interface.

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