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 within Control Center require Data Sync setup and running.

Legal Hold – It allows placing a hold on users and specific Workspace, Folder, or document.
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.
Security – It manages permissions and sharing for users and groups: identify, prevent, and revoke access to content.
Actions – It audits users and their actions such as performing ‘Check Out’ or ‘Declare as Record’ and configures instantaneous actions when this event triggers.

1 Control Center Pre-requisites
2 Configuring Controls
- 2.1 Controls
- 2.2 Create Control
- 2.3 Approvals
- 2.4 Reports
- 2.5 Control Settings
- 2.6 Set administrators for controls
- 2.7 Set notification templates for controls
- 2.8 Client API Configuration
- 2.9 Configure Reports Template
- 2.10 Surveys
- 2.11 Configuring a new Survey
- 2.12 Configure Security Levels
- 2.13 Configure Client API
3 Required Permissions
4 Scenarios:
5 Related Topics

Control Center Pre-requisites

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:

Create security control for M365 teams
Send for approval.
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 deactivated. 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 the 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.

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 the 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 a 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

Allows you to view the specific report lists using the Filter option
Enter the report name for the filter
Select the report type from the list
Click Filter to display the specific result and click Clear to rest the fields

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

Click Download to download the report in Excel
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

Click the following icon, and the following screen opens

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

Click the Administrators Configuration.
Click + Admin
Select Item Type to provide access to a User or Group.
Look up User/Group from dropdown.
Select Get Notifications to Yes to receive notifications for each event.
Select Review Control to Yes to add as an approver for the created control.
Select Review Control Actions to Yes to add an approver for Control's actions.
Click Submit.

Set notification templates for controls

Click Notification Template Configuration.
Click + Notification Template.
Select Notification type.
Set a Subject and Email Body.
Click Submit.
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

Cloud Provider: AWS or Azure
Storage: Autofills based on the selection of Cloud Provider
Choose storage type: Sets the type of storage to use.
Enter the Bucket name
Enter the Base URL of the endpoint
Enter the Secret Key.
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 editing column configurations 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 a new survey
Name	Display the name which created the 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 the Hamburger menu to perform the following operations: Edit - Click Edit to update and add the survey information, and it opens the following screen: Delete - Click Delete to delete the survey, which 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.

To set up Security Levels, click + Security Level.
Enter Level Name, It displays as a possible option in the Security level dropdown when creating Security Control.
Select Metadata from the lookup
Select Parent Metadata, if any. For example, You can add the Client as a parent for the Matter.
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 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 the 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 a new group if not present. Add users if not currently in the Teams' security.
	Inclusion	Remove extra users if in the Teams' security.
	Exclusion	Create a 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)
	Inclusion	Create a new group if not present. Add users if not present in the team security, and also in the channel security.
	Exclusion	Create a 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.
	Inclusion	Create a new group if not present. Add users to the team security.
	Exclusion	Create a 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 the matter team to the Team security automatically.
	Inclusion	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.