Controls Center

 

The Controls Center is a place to manage all retention, information barriers (including ethical walls), information governance, retention, and legal hold policies. Controls Center also supports importing information barriers from third-party systems like iManage SPM or IntApp Wall Builder. The Controls Center manages or enforces these controls across multiple systems.

Controls are applied to all file versions. When control is applied to an entity (workspace, Folder, and Document), it applies to all existing versions of that entity as well as to future versions of that entity. Also, post incremental sync, the new entities meet the Entity Matching Criteria when the control is active.

Information and security barriers here require Data Sync setup and running.

  1. Legal Hold – It allows placing a hold on users and specific Workspace, Folder, or document.

  2. Retention - It allows you to retain a specific Workspace, Folder, or document in the DMS for a specified period of time. Retention applies to all file versions. E.g. When retention is applied to a workspace, it applies to all existing folders/sub-folders and documents as well as to future folders and documents added in the workspace.

    Retention policies are applied to the documents inside the Workspace/Folder. When a Retention Policy is applied, when applicable users access the workspace and/or folder, they will not have access to the documents.

  3. Security – It manages permissions and sharing for users and groups: identify, prevent, and revoke access to content.

  4. Actions – It audits users and their actions such as performing ‘Check Out’ or ‘Declare as Record’ and configures instantaneous actions when this event triggers.

Control Center Pre-requisites

  1. Information and security barriers here require Data Sync setup and running.

Data Sync is necessary for non-provisioning controls to sync with the source systems!

Configuring Controls

Controls

The controls tab helps you manage all the retention and action controls configured in the system. You can add, edit, activate, deactivate, delete, and view control logs and activity logs for each control.

  • Click on Create Control to create a new control or click on Copy Existing Control for pre-populating data.

To create and manage controls, you need the following permissions:

  1. Create security control for M365 teams

  2. Send for approval.

  3. Create security control with auto-approval

Page View for Controls

Option

Description

Control

Shows the control name.

Criteria

Shows the criteria of metadata to use.

Systems

Shows the systems the control set is applicable for.

Active

Displays if the control is active or not.

Auto Attach

Shows if the control set is auto attached to new data.

Status

Shows approval status.

Last Modified

Date last modified.

Actions

  •  Details - Displays configuration details.

  • Edit Control - Update control details

  • Activate (Apply Hold) - This option is enabled if control is deactivate.

  • Deactivate (Remove Hold) - This option is enabled if control is active.

  • Activation Status - This option allows you to monitor the status of Activated or Deactivated actions running in the background. You can cancel open requests using this action.

  • Manual Attach - This option is available for Control type Action, If Auto Attach is not selected then you can attach matching entities manually.

  • Audit Logs - It will log life cycle of the control.

  • Attached Entities - List the workspaces/folders/documents attached to this control

  • Delete Control - Delete the control configuration.

You can filter the currently available controls with the Filter button on the top right of your screen.

Create Control

You can create four types of control to manage Retention, Security, Legal hold, and Actions.

  1. To create a new control, select +Control on the top right of the Controls screen.

Icons

Description

Actions

Retention

Security

Legal hold

Approvals

It has two tabs, to approve controls and actions.

Controls: This Approval Request helps Control Administrators check for any new control approval requests. These requests are generated when a new control is created and sent for approval to activate.

Actions: This Approval Request displays the configured actions that require the Control Administrator's approval before performing actions on the eligible objects when the control is triggered.

You can review the control, matching criteria, trigger actions, and proceed to approve or reject the request.

Option

Description

Name

The control name.

Click control name, to review the summary and proceed to Approve or Reject the request.

  • Click Approve, it will pop-up a confirmation dialog and provide a download option to get a comprehensive list of all eligible objects in the CSV file. After successful approval, the request status will be instantly updated to Approved.

  • Click Reject, it will pop-up a confirmation dialog and field to comment rejection reason. After a successful rejection, the request status will be instantly updated to Rejected.

Status

The status of approval. E.g. Pending, Approved.

Pending requests are displayed at the top of the list.

Approval Date

Date of approval.

Reviewer

Name of the reviewer.

Created On

Date of control creation.

Comment

Rejected reason posted by reviewer, If any.

Reports

  • The Reports Section helps you request out-of-the-box reports and custom query-based reports

  • Users can visit the report history section to check the status and download the requested report when they are generated and ready for download

Configuring Filter to view specific report lists

  1. Allows you to view the specific report lists using the Filter option

  2. Enter the report name for the filter

  3. Select the report type from the list

  4. Click Filter to display the specific result and click Clear to rest the fields

 

  1. Click Filter to display the specific result and click Clear to rest the fields

  2. Click Hamburger Menu under the Action -

  • Download - Download the report in Excel format

  • Details - Display the details of the control, then open the following screen.

  1. Click Download to download the report in Excel

  2. Click Close to close the dialog

Configuring a Generate Report

  • Allows you to generate custom reports as per your requirement

    1. Choose Report Type - This allows you to select the report type from the list

    2. Define Report Name - Based on the report type, the report name reflects programmatically

    3. Controls - Allows you to select the control

    4. Click Generate to preview the report list and click Cancel to close the dialog

  1. Click the following icon, and the following screen opens

 

  1. To configure the column names in the report list which is displayed in an Excel by checking the check box

  • Name - Display the selected report name

    • Description - Displays the description of the report

    • Click Submit to enable the selected column name and click Cancel to close the dialog without saving

Control Settings

Control Settings helps you manage Users/Groups who can act as Control Administrators. Control Administrators have privileges to review control creation and control actions.

You can also manage email notification templates here for different types of events like New Control Creation, Approval Requests, Rejections, etc.

Set administrators for controls

  1. Click the Administrators Configuration.

  2. Click + Admin

  3. Select Item Type to provide access to a User or Group.

  4. Look up User/Group from dropdown.

  5. Select Get Notifications to Yes to receive notifications for each event.

  6. Select Review Control to Yes to add as an approver for the created control.

  7. Select Review Control Actions to Yes to add an approver for Control's actions.

  8. Click Submit.


Set notification templates for controls

  1. Click Notification Template Configuration.

  2. Click + Notification Template.

  3. Select Notification type.

  4. Set a Subject and Email Body.

  5. Click Submit.

  6. To edit the Notification Template: Click the Actions Edit Icon on the right.

 

Client API Configuration

Set the following for the client API to be used with Control Center

  1. Cloud Provider: AWS or Azure

  2. Storage: Autofills based on the selection of Cloud Provider

  3. Choose storage type: Sets the type of storage to use.

  4. Enter the Bucket name

  5. Enter the Base URL of the endpoint

  6. Enter the Secret Key.

  7. Click Validate, then save once it is validated.


Configure Reports Template

It lists out-of-the-box reports

  • Upcoming Action Report

  • Action Report

It allows to Edit columns configuration to display on UI and downloadable Excel reports.


Surveys

  • Expand to view and configure surveys for the users

  • The following screen opens:

Fields

Description

Fields

Description

Survey

Configure to add new survey

Name

Display the name who created survey

Description

Display the survey description

Created On

Display the survey created date and time

Last Modified

Display the survey modified date and time

Action

Click Hamburger menu to perform the following operations:

  • Edit - Click Edit to update and add the survey information, opens the following screen:

  • Delete - Click Delete to delete the survey, opens the following screen:

    • Click Delete to delete the survey and click Cancel to close the dialog

Configuring a new Survey

  • Click the Survey button to add a new survey, and the following screen opens:

  • Survey Name - Specify the survey name

  • Survey Description - Specify the survey description

  • Question - Click the question to add new survey questions, and the following screen opens:

  • Question Type - Select the question type from the list

  • Question - Enter the question

  • Mandatory - You can enable it to make it mandatory

  • Remove - You can remove the added question

  • Click Submit to save the survey and click Cancel to close the dialog


Configure Security Levels

Set up security policies based on Client ID, Matter ID, and a few other Metadata. You can configure up to five metadata and parent-child criteria.

  1. To set up Security Levels, click + Security Level.

  2. Enter Level Name, It displays as a possible option in the Security level dropdown when creating Security Control.

  3. Select Metadata from the lookup

  4. Select Parent Metadata, if any. For example, You can add the Client as a parent for the Matter.

  5. Click Submit.

  • The following screen opens -

A list of configured levels is displayed below the fields.

Field Name

Description

Field Name

Description

Level Name

Shows the security Level name.

Metadata1

.

.

Metadata5

Shows configured Metadata names along with Parent metadata, if it's defined.

Actions

  • Edit - Allows to edit the configured security level.

  • Delete - Allows to delete the security level.

Configure Client API

Configure and Validate the Client API Settings. These are discovery settings to access CAM APIs deployed on the client cloud which is used for Data Archival, Temporary Store while moving data from one source to another target, etc.

It utilizes the same API setting configured for Data sync. Refer to Content Sync Settings

Field Name

Description

Field Name

Description

Cloud Provider

It defaults to AWS. You can select between AWS and Azure.

Storage

It's set by default depending on the Cloud Provider. S3 for AWS and Blob Storage for Azure.

Choose Storage

Select the storage option, if you want to sync content to the Prosperoware Encrypted Storage or to your Private Cloud.

Bucket Name

Non-editable field. Based on the storage option selected above the bucket name is displayed.

API Endpoint Base URL

Enter the API URL for the site provided by Litera.

API Secret Key

Enter the API secret key. If using the Prosperoware Encrypted storage option, the API secret key will be provided by Litera. Click Validate, on successful validation the content sync configuration is saved.

Required Permissions

Permissions

Allows User To

Permissions

Allows User To

 

Available for the Comply Add-on

View Control Center

Main Tab in CAM

View CC Controls

Controls Tab in Control Center

 

Available for the Comply Add-on

View CC Control Approvals

Control Approvals and Approvals Tab

View CC Action Approvals

Action Approvals and Approvals Tab

View CC Manual Attach

Manual Attach button

View CC Reports

Reports Tab in Control Center

View CC Settings

Available for users with the Comply Add-on

Settings Tab in Control Center

Create Control

Display/Hide Create Control Button and all menu options (except Details) on main Controls tab

Create Action Type Control

Create/View Action Type Controls

Create Retention Type Control

Create/View Retention Type Controls

Create Security Type Control

Create/View Security Type Controls

Create Legal Hold Type Control

Create/View Legal Hold Type Controls

Available for Legal Hold

Retention Disposition Action

Create only Disposition Action in Retention Control

Available for Content Disposition

Scenarios:

Control Center will behave the following in the following scenarios:

Entity

Control Type

Action

Entity

Control Type

Action

Team or Public Channel

Inclusion

Create new group if not present.

Add users if not currently in the Teams' security.

Remove extra users if in the Teams' security.

Exclusion

Create new group if not present.

Remove excluded users if in the Teams' security.

Private Channel

Inclusion

Remove extra users if present in the channels' security. (No update to the team)

Create new group if not present.

Add users if not present in the team security, and also in the channel security.

Exclusion

Create group if not present.

Remove excluded users if in the channel security (no team security update)

Folders

Inclusion

Remove extra users if present in the folder security.

Create a new group if not present.

Add users to the team security.

Exclusion

Create new group if not present

Remove excluded users from the folder security.

Private Client or Matter

Inclusion

If a matter team is specified, enforce the policy against the team and add matter team to the Team security automatically.

If a policy for inclusion exists, and a group needs access, enforce the policy against the team, flatten the user group and add those specified non-existing matters to the team.

Exclusion

A user currently has access to the team. Enforce the policy and remove the user from the team/ACL.

Public Client or Matter

Inclusion

If an existing inclusion policy exists, enforce the policy to the team, make the team Private, and add any remaining missing users to the team.

[Actions] | [Retention] | [Security] | [Legal Hold]

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