Compliance Officer and Administrator Manual

Jatheon Compliance Officer and Administrator Manual – v.3.2.7

PnC Models: PnC 100, PnC 200, PnC 500, 1000, PnC 2000, 4000, 6000

Thank you for Purchasing Plug n Comply

Using The Plug n Comply Appliance

 Logging in as User
 Logging in as Compliance Officer
Logging in as Administrator
Changing the Login Password
Logging out of Plug n Comply

Configuring Users in Plug n Comply

Create New Users
Edit User Information
Deleting a User
Create New Departments
Delete a Department

Setting Up Policies for Compliance

Create New Categories
Edit Categories
Delete Categories
 Create New Keyword Lists
Edit Keyword Lists
Delete Keyword Lists

Create New Rules

Edit Rules
 Delete Rules

Managing Messages through Archiving

View Messages Hit by a Rule
View Messages by Date
View All Messages
Process Messages through Actions
 Assign Green Flag
 Assign Red Flag

Execute General Actions

Download the Message
 Forward the Message
 Forward As Link
Send Warning
Add a Comment
 Export to IMAP
Setting up IMAP account in Microsoft Outlook
 View Threaded Message
 Check Message Integrity
 View Printable Version
Process Multiple Messages

Searching in Plug n Comply

Fast Search

Advanced Search

Select Message Type
Add Search Parameters
Select Search Dates
Assign Saved Searches to Users
Save your Search

View Saved Searches

 View and Run Saved Search Details
 Delete a Saved Search

Viewing Non-Compliance Reports in Plug n Comply

View Non-Compliance Reports
 View Reports of Messages Processed

Viewing Audits for User Activity

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Business Purpose

Workplaces are increasingly going global and distributed. Effective communication and collaboration constitute key ingredients for sustained success and growth of global businesses. Email and Instant Messages (IM) have become important tools to sustain the ebb and flow of communication for organization. In this scenario, how do you ensure that you can monitor and manage the enormous volume of data exchanged through emails and instant messages?
For example, consider the following scenarios:
* Employees of your organization are transferring files through emails and instant messages. Is any confidential content being compromised?
* Are the files that are being transferred over email or IM being scanned for viruses?
* Are the file transfers legal or do they infringe upon any copyrights?
* Is someone using offensive or profane language? This could mean that your organization may potentially face litigation sooner than later.
* Your organization is fighting a long-standing litigation. How can you prove that the employee acted in an individual capacity and did not represent the organization while committing the offense?
* Your network bandwidth is compromised by large volumes of instant messages. Is this
SPAM?
* You are the CEO of an organization that has stocks worth millions. How do you ensure that your employees are not sharing “insider” trading information with competitors?
* Currently your organization has more than one million megabytes of email and IM data to manage. Conservative estimate puts that figure at one billion terabytes in five years time. Do you have an email and IM archiving solution that is geared for scalability?

Is your organization compliant ready?

All the scenarios mentioned here require your organization to be prepared with an integrated hardware and software solution that support your compliance efforts. In the recent years,
industrial and governmental regulatory policies and rules such as Sarbanes-Oxley, HIPPA, the Patriot Act, SEC, NASD, and IDA have imposed stringent requirements how emails and instant messages must be managed, monitored, archived, and retained. Organizations that do not comply with these regulations face potentially hefty monetary fines or costly litigation.

Key Features

Jatheon’s Plug n Comply solution allows organizations to meet and exceed the highest standards of regulatory compliance and corporate governance. The network appliance reduces the risks associated with outsourced solutions, significantly reduces email storage and discovery costs, and enforces electronic records management policies. Plug n Comply is the world’s first non-intrusive network appliance simplifying archiving, indexing, retrieval, and dynamic monitoring of corporate email and messaging data.
The key features of Plug n Comply include:
* Rules Management and Dynamic Monitoring
* Processing Non-Compliant Messages
* Audit of Compliance Officer Activity
* Backup for Future Reference
* Advanced Search Functionality
* Reporting Non-Compliance

Rules Management and Dynamic Monitoring

Consider this scenario:
David Robert Jones is a new addition to your organization. As a new employee of your organization, David is not familiar with the rules and protocol of your organization with respect to email and instant messages. He uses offensive, profane language in his communication with his peers and friends outside work. It is only a matter of time before he extends this behavior to a client or a valuable customer. The scenario described here could soon develop into a situation where your organization may potentially face litigation.
Let’s look at how Plug n Comply tackles this scenario:

Using the Policy feature, the compliance officer in your organization can create a category called Profanity.
A keyword list is now created by the compliance officer. This keyword list contains words or phrases that are most likely to identify profane language or communication.
The category Profanity is then used to group all messages that contain words or phrases that can be considered Profane.
Using the Profanity category and keywords, a rule is now created to send a warning to the sender of such messages.

Let’s look at how Plug n Comply tackles this scenario (cont.):

Whenever David sends a message containing a word or phrase that is profane, Plug n Comply identifies this message in real-time, archives it, and sends an email notification to the compliance officer.
The compliance officer views the message, adds required comments, and sends a warning to David.
Using a combination of categories and keywords, rules can be created in Plug n

Comply to deal with scenarios such as the one described here.

Processing Non-Compliant Messages

The Archive tab in Plug n Comply is a single repository of all non-compliant messages in the database. This feature allows compliance officers to quickly view all the messages that have been captured under a specific rule. Using this single repository of messages, compliance officers can perform the following actions:

Process messages hit by a specific rule. For example, messages hit by the Profanity rule.
Download the messages to a local machine for review.
Flag the messages using the given green flag or red flag.
Forward the message as a link or as an attachment.
Add comments to the message and send a warning to the user.
Check the integrity of the message to see whether it has been tampered with.
View messages related to a specific message.

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Audit of Compliance Officer Activity

Consider this scenario:
James Anderson is one of the compliance officers of your organization. With the authority of viewing all the electronic communications, James may be tempted to dig into information that he’s not supposed to. As a result, he may have access to some high level executive decisions and decided to leak out that information for his own interest. How can you show that James did look
at the related emails and learned the information that he’s not supposed to? Or on the other hand, if the information is leaked out through another employee, how can James prove himself to be innocent?
Let’s see how Plug n Comply tackles this scenario:
* Using the Audit feature, the other compliance officers in your organization can see all the actions performed by the user James with a specific timestamp for each action.
* It shows all the search queries that James has executed, as well as the individual messages that he viewed.

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Backup for Future Reference

Consider this scenario:
Sarah Jane is a compliance officer in the organization Wired, Inc. Sarah is responsible for ensuring that all emails and instant messages are compliant with the rules and regulations imposed by the government. As a result, she is expected to keep a backup of all the emails and instant messages on a daily basis.
Let’s see how Plug n Comply tackles this scenario:
* The Backup feature in Plug n Comply allows Sarah to take backup of emails and messages on a daily basis.
* Sarah can now use this feature to create records for future reference.
* The Backup feature allows Sarah to effectively monitor, manage, and retain messages on a daily basis.

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Advanced Search Functionality

Plug n Comply has a powerful search functionality that allows you to performed customized searches. Using a combination of search parameters and logical operators, Plug n Comply gives you a variety of options to search the database to the most granular level. In addition to the normal search functions, Plug n Comply also allows:
* Saved searches
* The assignment of users to various searches
* Search both emails and instant messages
* Quick search
* Searching between a specific date range
* Search within search

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Reporting Non-Compliance

Plug n Comply allows you to view non-compliance reports of all the messages that are received into the database. This feature is extremely helpful for compliance officers who need to monitor the database and create reports of the messages that have been hit by a specific rule (or rules) over a period of time. For example, this feature helps the compliance officer in your organization to find out the number of messages that have been hit by the rule Profanity for the first quarter of a year. Plug n Comply also allows compliance officers to view reports of all messages received into the database.

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Using The Plug n Comply Appliance

One of the first tasks a user performs in Plug n Comply is to login to the application. You can login to Plug n Comply as one of the following:
* Logging in as User
* Logging in as Compliance Officer
* Logging in as Administrator

Logging in as User

To login to Plug n Comply as a user:
1. Click the first icon from the left of your login screen.

2. Enter your Username and Password in the respective fields.
3. Click Login >> or press <ENTER>.

Field	Description
Username	Enter the user name provided to you by the compliance officer in your organization. For example, user@jatheon.com. This is a mandatory field.
Password	Enter the password provided to you by the compliance officer in your organization. This is a mandatory field.
Remember username	Select this checkbox to enable the system to remember your username the next time you login to Plug n Comply.
Login	Click this link to login to Plug n Comply.
Send me my password	Click this link to have your password sent by email. The compliance officer in your organization typically sends this email to you.

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The welcome page of the Plug n Comply application is now visible to the user.

Note: Users occupy the lowest position in the hierarchy of users. As a result, a normal user is limited to basic search capability to the messages sent/received by this user.


Role	Description
User	This user occupies the lowest level of hierarchy in the system.
Compliance Officer	This user occupies the highest level of hierarchy in the system. A user configured as a compliance officer has the ability to use all the features and functionality in Plug n Comply.
Administrator	This user occupies the intermediate level of hierarchy between a compliance officer and a user. However, an administrator’s ability to use the features and functionality in Plug n Comply is lesser than that of a compliance officer.

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Logging in as Compliance Officer

To login to Plug n Comply as a compliance officer:
1. Click the second icon from the left of your login screen.
2. Enter your Username and Password in the respective fields.
3. Click Login >> or press <ENTER>.

Field	Description
Username	Enter the user name provided to you by the compliance officer in your organization. For example, user@jatheon.com. This is a mandatory field.
Password	Enter the password provided to you by the compliance officer in your organization. This is a mandatory field.
Remember username	Select this checkbox to enable the system to remember your username the next time you login to Plug n Comply.
Login	Click this button to login to Plug n Comply.
Send me my password	Click this link to have your password sent by email. The compliance officer in your organization typically sends this email to you.

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The welcome screen of the Plug n Comply application is displayed to the compliance officer user.

Note: Compliance Officers occupy the highest position in the hierarchy of users. As a result, a compliance officer has the ability to use all the features and functionality in Plug n Comply.

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Logging in as Administrator

To login to Plug n Comply as an administrator:
1. Click the third icon from the left of your login screen.

2. Enter your Username and Password in the respective fields.

3. Click Login >> or press <ENTER>.

Field	Description
Username	Enter the user name provided to you by the compliance officer in your organization. For example, user@jatheon.com. This is a mandatory field.
Password	Enter the password provided to you by the compliance officer in your organization. This is a mandatory field.
Remember username	Select this checkbox to enable the system to remember your username the next time you login to Plug n Comply.
Login	Click this button to login to Plug n Comply.
Send me my password	Click this link to have your password sent by email. The compliance officer in your organization typically sends this email to you.

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The welcome page of the Plug n Comply application for the administrator user is displayed.

Note: Administrators occupy a totally different role than Users and Compliance Officers, where they have no access to any messages at all. Their major responsibility is to configure the system property such that messages can be captured as expected. More information is available in the System Administrator’s guide.

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Changing the Login Password

To change or reset the password of a user:
1. Login to Plug n Comply as a compliance officer
2. Click the Users tab in the in the left-hand navigation pane of the Plug n Comply application.

3. Click the First Name of the user you want to modify information for. For example, click A Test.

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4. To edK or modify information for any user, click Edit. The User Information screen is displayed.

5. Click on the Select a user to modify drop-down menu to select the user for whom the information is to be modified.For example, select A Test from the drop-down menu.

6. To edit or modify the password, delete the existing password and enter the new password in the Password field.
7. After entering the new password, click Update.

The password of the user has been modified or changed.

Note: Only Compliance Officers have the ability to change or reset the password of a user in the system.

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Logging out of Plug n Comply

To log out of the Plug n Comply application:
1. Click the Logout tab in the left-navigation pane of the Plug n Comply application.

Note: The Logout tab is available to all users from all screens in the Plug n Comply application.

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Configuring Users in Plug n Comply

Plug n Comply enables you to create and configure the profile of different users in your organization. After completing this chapter, you will be able to use Plug n Comply to do the following:
* Create New Users
* Edit User Information
* Deleting a User
* Create New Departments
* Error! Reference source not found.
* Delete a Department

Create New Users

To create a new user in Plug n Comply:
1. Login to Plug n Comply as a compliance officer.
2. Click the Users tab in the left-hand navigation pane of the Plug n Comply application.

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You will now see the users and their respective departments that already exist in the application.
3. To create a new user, click New under the Users tab.

The User Information screen is displayed.

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Field	Description
Identification
Email Address	Enter the email address of the user that you want to create. For example user@jatheon.com. This serves as the username to login to Plug n Comply as well. This is a mandatory field.
Password	Enter a password that is easy to remember. This is a mandatory field.
Manager	The name of the user’s manager. This is a mandatory field.
Department	Select the respective department to which the user belongs from the department drop-down menu. This is a mandatory field.

Note: The User checkbox in the Privileges section is selected by default in the application.

Field	Description
Privileges: Roles
User	A user only has simply search capability to his/her own messages. The checkbox adjacent to User is selected always by default.
Compliance Officer	If the user you want to create is a compliance officer, select the checkbox adjacent to Compliance Officer. This user occupies the highest level of hierarchy in the system. A user configured as a compliance officer has the ability to use all the features and functionality in Plug n Comply.
Administrator	If the user you want to create is an administrator, select the checkbox adjacent to Administrator.

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Note: The Active checkbox in the Status section of this screen is also selected by default in the Plug n Comply application.

Field	Description
Personal
First Name	The user’s first name.
Last Name	The user’s last name.
Phone Number	Enter the phone number of the user with the area code. For example, 123-456-7890.

Field	Description
Status
Active	This checkbox is always selected by default for all users. If you remove the selection for this checkbox, the user will not be able to log in to Plug n Comply.
Do not fire rules against this user	Select this checkbox if you want to avoid applying compliance rules to this user.

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4. After entering the user information in the appropriate fields, click the Save icon. The user has been created in the application.

Note: Only compliance officers and administrators have the ability to create users in Plug n

Comply.

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Edit User Information

To make modification/edits to user information:
1. Click the First Name of the user you want to modify information for. For example, click A Test.

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The User Details screen is displayed.

Field	Description
User Details
	Resends login information. If you click this icon, the user id and password of the user is sent by email. The ability to perform this action is restricted to the administrator user and compliance officer.
	If you click this icon, you can send email to the selected user. The ability to perform this action is restricted to the administrator user and compliance officer.

2. To edit or modify information for any user, click Edit.

The User Information screen is displayed.
3. Click on the Select a user to modify drop-down menu to select the user for whom the information is to be modified. For example, select Greg Ponesse from the drop-down menu.

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4. To edit or modify user information, enter the new information in the appropriate fields. For example, to modify the phone number, enter the new number in the Phone Number field.
5. After entering the phone number, click Update.
The user information has been edited and updated.

Note: Only compliance officers and administrators have the ability to edit or modify user information in Plug n Comply.

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Deleting a User

To delete a user from the system:
1. Click the Users tab from the left navigation pane of the application.
2. Select the checkbox adjacent to the user you want to delete. For example, select the checkbox adjacent to Greg Ponesse.

The following table describes the icons that you might see while creating, editing, or deleting a user.

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To delete the user, click Delete>>.
The user A Test has been deleted from the application.

Note: Only compliance officers and administrators have the ability to delete users in

Plug n Comply.

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Create New Departments

Every user that is created in Plug n Comply is required to belong to a department. Examples of departments in Plug n Comply include Sales, Research and Development (R&D), Treasury, and so forth.
To create a new department in Plug n Comply:
1. Click the Users tab in the left-navigation pane of the application.
2. Click the Departments tab in the screen that displays the list of users that exist in the application.

The Departments screen is displayed.
3. To create a new department, click the New icon.
4. Enter the name and description of the department that you want to create. For example, enter Finance in the Name field.
5. Enter a suitable description in the Description field.
6. Select a colour to represent the department.
7. Click the Save icon.

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Field	Description
Identification
Name	Enter the name of the department in this field. For example, enter Finance in this field. This is a mandatory field.
Description	Enter a suitable description of the department in this field. This is a mandatory field.
Colour	To select a colour that will represent the department, click the Colour drop-down menu. For example, for the Finance department select Purple.

The Finance department has been created.

Note: Only compliance officers and administrators have the ability to create departments.

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Delete a Department

To delete a department:

1. Select the checkbox adjacent to the department you want to delete. For example, select the checkbox adjacent to the Channel Id’s department.
2. To delete the department, click Delete>>.
3. The department you have selected has been deleted. In this case, the department has been deleted.

Note: Only compliance officers and administrators have the ability to delete and modify departments.

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Setting Up Policies for Compliance

Plug n Comply enables you to create and configure Policies for emails/IM that flow through your network. Defining Policies are an important activity in Plug n Comply which allows you to highlight and mark specific emails / IM conversations. After completing this chapter, you will be able to use Plug n Comply to do the following:
* Create New Categories
* Create New Keyword Lists
* Create New Rules

Create New Categories

Rules are triggered when emails with flagged Keywords are encountered by Plug n Comply. Each keyword(s) belongs to a Category for easy classification. Therefore, a Category enables a compliance officer to group emails or instant messages under a similar theme or header. This allows compliance officers to easily identify messages based on their Category.
Typically, compliance officers in any organization have more than thousands of emails to process or view every day. For example, compliance officers may need to send warning messages to all employees who have used profane language in their communication to peers or friends. By creating a category called Profanity, compliance officers can easily identify messages through a combination of keyword lists, categories, and rules.

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To create a new Category in Plug n Comply:
1. Login to Plug n Comply as a compliance officer.
2. Click the Policy tab on the left-hand navigation pane of Plug n Comply.

The Policy screen is displayed.
1. Click on the Categories tab.

The Categories screen is displayed.
2. To create a new category, click the New icon. The Categories Creation page is displayed.

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3. Enter the name and description of the category you want to create in the Name field and

Description field respectively.

For example, enter the name Financial and a suitable description in the Description field.
4. Enter a number in the Severity field that would represent the relative importance of the category. For example, enter 100% in the Severity field. There is no guideline on how to set this number. This is a number solely on how severe this category is to your company.
5. Select a colour from the drop-down menu that you want to associate with this category.

Table 0-1

Field	Description
Identification
Name	Please specify a unique name for the Category
Description	Please specify a brief Description of what the Category aims to track
Severity	Severity is an indicator of how important a category is. 100% is the maximum value that can be assigned to a category.
Colour	Whenever a message is hit by a specific rule under this category, it will be highlighted by the colour you choose here.

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6. After entering the details of the category, click Save. The category Financial has been created.

Note: Only compliance officers can create, edit, or delete categories in Plug n Comply.

Edit Categories

To edit a new Category in Plug n Comply:
1. Login to Plug n Comply as a compliance officer.
2. Click the Policy tab on the left-hand navigation pane of Plug n Comply.
3. Click on the Categories tab.
4. To edit or modify information for any category, click the category you want to modify. For example, click on the category Financial.

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5. After selecting the category, click Edit.

The Category Information screen is displayed.

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6. Modify the information for this category in the respective field. For example, if you want to change the Severity of the Financial category, enter the new value in the Severity field.
7. After making the edits or modifications to the category, click Update.
The category Financial has been modified.

Note: Only compliance officers have the ability to edit or modify category information in

Plug n Comply.

Delete Categories

To delete a category from Plug n Comply:
3. Login to Plug n Comply as the compliance officer
4. Click the Policy tab from the left navigation pane of the application.
5. Click on the Category tab.

6. Select the checkbox adjacent to the category you want to delete. For example, select the checkbox adjacent to Trading.
5. To delete the Category, click Delete>>.
The category Trading has been deleted.

Note: Only compliance officers have the ability to delete categories in Plug n Comply.

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Create New Keyword Lists

Keywords are used in Plug n Comply to identify phrases or words that are associated with categories. For example, for a category such as Financial, the keywords that can be used to identify this category could be salary, money, cash, dollar, currency, economy, and so on. Keywords give a context for a specific category to exist. Categories become more meaningful when a list of keywords can be used to identify and mark that specific category.
To create a new Keyword List in Plug and ComplyTM:
1. Login to Plug n Comply as a compliance officer.
2. Click the Policy tab on the left-hand navigation pane of Plug n Comply.
3. The Policy screen is displayed.
4. Click on the Keyword List tab.

5. To create a new keywords list, click New.

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Table 0-2

Field	Description
Identification
Name	Please specify a unique name for the Keyword List.
Description	Please specify a brief description of the keywords in the List.
Word List
Comma separated word list	You can enter the keywords that belong to this list, separated by a comma [“,”].

To create a new keywords list:
6. Enter a name and description for the keyword list you want to create. For example, enter
Financial in the Name field and a suitable description in the Description field.
7. Enter keywords that you would like to associate with the keyword lists. For example, for the keyword list Financial, money, cash, dollar, salary, currency are good choices.
8. After entering the information in the required fields, click Save.

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Note: A specific Keyword can be present in more than one Keyword List, but this is not a recommended practice.

Note: Only compliance officers have the ability to create keyword lists in Plug n Comply.

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Edit Keyword Lists

To edit or modify a keyword list defined in Plug n Comply:
1. Login to Plug n Comply as a compliance officer.
2. Click the Policy tab on the left-hand navigation pane of Plug n Comply.
3. Click on the Keyword Lists tab.
4. Select the checkbox adjacent to the Name of the Keyword List you wish to modify information for. For example, select the checkbox adjacent to Financial.

5. To add or modify information to the selected keyword list, click Edit.
6. Click on the Select a keyword list to modify drop-down menu.
7. Select the Keyword List to be modified should you want to switch between lists.

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8. Modify the information in the respective fields. For example, if you want to add a new keyword to the keyword list Fiancial, enter the new keyword in the Comma separated word list field.
In this screenshot example, the keyword Yen has been added to the keyword list for Trading.

Note: Only compliance officers have the ability to edit or modify Keyword List information in Plug n Comply.

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After making modifications to the keyword list, click Update. The keyword list Trading has been modified.

Delete Keyword Lists

To delete a keyword list defined in Plug n Comply:
1. Login to Plug n Comply as a compliance officer.
2. Click the Policy tab on the left-hand navigation pane of Plug n Comply.
3. Click on the Keyword Lists tab.
4. Select the checkbox adjacent to the keyword list you want to delete. For example, select the checkbox adjacent to Test.

5. Click Delete >> to delete the chosen Keyword List.
The keyword list has been deleted.

Note: Only compliance officers have the ability to delete Keyword Lists in Plug n Comply.

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Create New Rules

Plug n Comply enables you to create and configure Rules for managing and auditing emails / IMs that flow through your network for different users in your organization.
Consider this scenario:
David Robert Jones is a new addition to your organization. As a new employee of your organization, David is not familiar with the rules and protocol of your organization with respect to email and instant messages. He uses offensive, profane language in his communication with his peers and friends outside work. It is only a matter of time before he extends this behavior to a client or a valuable customer. The scenario described here could soon develop into a situation where your organization may potentially face litigation.
Let’s look at how Plug n Comply tackles this scenario:
* Using the Policy feature, the compliance officer in your organization can create a category called Profanity.
* A keyword list is then created. This keyword list contains words or phrases that are most likely to identify profane language or communication.
* The category Profanity is then used to group all messages that contain words or
phrases that can be considered Profane.
* Using the Profanity category and keywords, a rule is now created to send a warning to the sender of such messages.

Let’s look at how Plug n Comply tackles this scenario:
* Whenever David sends a message containing a word or phrase that is profane, Plug n Comply identifies this message in real-time and archives it for the compliance officer.
* The compliance officer views the message, adds required comments, and sends a warning to David.
* Using a combination of categories and keywords, rules can be created in Plug n
Comply to deal with scenarios such as the one described here.

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Note: It is recommended that you have categories and keyword lists created and ready to go before you begin creating new rules.

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To create a new rule in Plug n Comply:
1. Login to Plug n Comply as a compliance officer.
2. Click the Policy tab on the left-hand navigation pane of Plug n Comply.

3. To create a new rule, click the New icon.
The Rule Creation screen is displayed.

4. Enter the name and description of the rule you want to create in the Name and Description field respectively. For example, enter Financial and a suitable description in the Description field.
5. Select a category from the The rule’s home category drop-down menu. A category is
useful for the compliance officer to categorize and organize rules under similar themes and headers.All rules are time bound. To enforce the rule for a specific time period, enter dates in the From and Until fields.
In this screenshot example, the first quarter of the year 2000 has been used for the From and

Until fields. The date chosen in these fields are in the YYYY-MM-DD HH:MM format.

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Table 0-1

Field	Description
Enforcement: Date Search
From	Click on the calendar adjacent to the field to select a date-time from which this rule ought to be enforced. This is a mandatory field.
Until	Click on the calendar adjacent to this field to select a date-time until which this rule ought to be enforced. See also “Forever”.
Forever	Check this field to enforce the Rule forever. This checkbox is checked by default, but if the “Until” field is selected, this is unchecked.
Clear	This clears the selection made to the From and Until fields.

6. Click Range Search.
The Range Search feature enables you to enforce a rule for a particular duration in the day for a time period. Range Search will override the specification in the Date Search field, as it is generally a subset of the Date Search.

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Note: The Range Search screen is hidden from view and becomes visible only after clicking the Range Search tab.

7. Enter values for the duration in the day for which you want to enforce the rule.

Note: The Range Search feature enables you to enforce a rule for a particular duration in the day for a time period. Range search will only return messages that fall into the specified

time of day. In this screenshot example, the Financial rule is being enforced between 9:00 AM
to 20:00 PM.

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Table 0-2

Field	Description
Enforcement: Range Search
From	Click on the calendar adjacent to the field to select a date-time from which this rule ought to be enforced.
Until	Click on the calendar adjacent to this field to select a date until which this rule ought to be enforced. This selects a deployment date, as opposed to a date-time. See also “Forever”.
In the range/To	Make a selection from the drop-down menu to specify a deployment time until which this rule ought to be enforced.
Forever	Check this field to enforce the Rule forever. This field is checked by default, but should the “Until” field be selected, this is unchecked.
Clear	This clears the selection made to the From and Until fields.

8. Enter a value in the Sample Rate field.
Sample Rate determines how frequent a rule is applied to messages. In this screenshot example, the Sample Rate is 100%. Assume there are 1000 messages hit by the Financial rule. A Sample Rate of 100% ensures that the Financial rule is applied to all 1000 messages. You can however have 50% as the Sample rate should you want only the Financial rule to be applied to half of those messages.

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Note: The checkbox adjacent to Active is selected by default. This means that all rules are active in Plug n ComplyTM by default. You may choose to turn on or turn off a rule as the need be.
9. After entering all the values on Page One, click Page Two>>.

Page Two is displayed. On Page Two you can define the trigger conditions and actions for the rule.

Before specifying the conditions for rule enforcement, let’s consider the following scenario first:
Scenario: Bids, Inc. is a contact centre that handles customer queries on credit card transactions. Bids, Inc. provides customer service to major credit card companies in the U.S and Canada. It is important the contact centre employees of Bids, Inc. do not divulge credit card numbers or other details through email or instant messages. In the following steps, we shall specify the conditions under which the Financial rule is going to be enforced. We shall use the example of Bids, Inc. to specify the conditions for the Financial rule.

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Table 0-3: This table describes all the fields that can be used in a Rule

Note: In an email, the To, Cc, and Bcc fields do not necessarily represent the real recipients of the email. This is usually seen in emails that are sent to a distribution group, where the email addresses of the real recipients are not shown. Plug n Comply keeps track of the real recipients’ information, and makes them searchable via the Hidden field.

Table 0-4: Summary of all the fields and the conditions that can be applied to them

Fields	Conditions
From To Cc Bcc Hidden Recipients	Contains All Contains Any Contains Phrase Has Less Than Has More Than In Department Not Contains Any Not Contains Phrase Not In Department
Subject Body Message Attachment	Contains All Contains Any Contains Phrase Contains Special Has Keyword Not Contains Any Not Contains Phrase Not Contains Special Not Has Keyword
Attachment	Has Extensions
Size	Equals Greater Than Less Than

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Table 0-5: This table explains all the conditions that can be used in a Rule

Conditions	Description
Contains All	The message must contain all the words specified in the textbox.
Contains Any	The message must contain any word specified in the textbox.
Contains Phrase	The message must contain the exact phrase specified in the textbox.
Contains Special	Some special patterns that Plug n Comply is capable of looking for including Credit Card #, Phone #, and SIN (Social Insurance Number).
Has Keyword	Keywords Lists (can be customized in the Keyword List page).
In Department	The message must be sent to or from a user in the specified Department.
Has Extensions	Applies to the Attachment field exclusively. This will search for any message that has the attachment file extensions. You can specify more than one file type by separating them with a space. For example, if you want to find all the messages that has a MS Word document or a MS Excel spreadsheet, you can enter “.doc .xls” in the textbox.
Has More Than	The size of the recipient list must be greater than the number specified in the textbox.
Has Less Than	The size of the recipient list must be less than the number specified in the textbox.
Equals	Applies to the Size field only. Find messages with size equals the number specified in the textbox.
Greater Than	Applies to the Size field only. Find messages with size greater than the number specified in the textbox.
Less Than	Applies to the Size field only. Find messages with size less than the number specified in the textbox.

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11. Select the part of the email or IM that needs to be scanned to trigger the rule. For example, select message has keyword Financial using the Rule>> drop-down menu.

Note: The information entered in Page Two cannot be edited or modified later.

Add more parts of an email or instant message to the condition with the help of the And and

Or logical operators.

In this screenshot example, the Rule>> drop-down menu has been used to add the following conditions:
* If the message has keyword Financial and
* If the message contains special Credit Card# and
* If the recipients are not in the Treasury department

Table 0-6

Field	Description
Add	Click on this link to add more components to the Rule.
Remove	Click on this link to remove the component defined last in the Rule.
And	Use this logical operator to define the relationship between Rule components. This creates a logical AND relationship.
Or	Use this logical operator to define the relationship between Rule components. This creates a logical OR relationship.

12. After selecting the parts of a message for rule enforcement, select the mail direction. In
Plug n Comply, you can enforce compliance rules for incoming, outgoing, and internal mail.
In this screenshot example, the Financial rule has been applied to Incoming and Outgoing

mail.

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Table 0-7

Field	Description
Apply To: Email Direction
Incoming	Check this option to apply the Rule to incoming emails.
Outgoing	Check this option to apply the Rule to outgoing emails.
Internal	Check this option to apply the Rule to emails internal to your organization.

13. After selecting the email direction, select the type of messages you want to enforce the rule on. In Plug n Comply, compliance rules can be enforced on both emails and instant messages.
In this screenshot example, the Financial rule has been enforced for both email and instant messages.

Table 0-8

Field	Description
Apply to: Message Type
Email	Check this option to apply the Rule to emails.
Instant messages	Check this option to apply the Rule to instant messages.

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Note: Observe how changes made to the conditions of the rule such as Email Direction and Message Type and others are updated in the Summary section.

After setting up conditions to enforce the rule, you need to specify the action to be taken when a message is hit by the rule.
14. Select the checkbox adjacent to Notify to send a notification to a specific email address.
15. Select the checkbox adjacent to Notify Manager to send a notification of the manager of the user whose message has been hit by the rule.
In this screenshot example, notifications are sent to the user compliance_officer@jatheon.com and the designated manager.

Table 0-9

Field	Description
Action
Notify	Check this option to send a notification to a specific user.
Notify Manager	Check this option to notify the designated manager by email.
Summary	The Summary provides a snapshot of the Rule, its conditions under which it is enforced, and actions. The Summary of the Financial rule is as follows if, in any messages of type Email, IM, the message has keyword Financialand the message contains special Credit Card #and the recipients not in department Treasurythen Notify Manager, send a notification to complianceofficer@jatheon.com and archive in the mail store.

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17. After specifying the conditions and actions, click Save.

Note: At any time of creating the rule, the <<Page One link can be used to return to the first page of rule creation.

The Financial rule has been created.

Note:

1. Adjacent to the Financial rule signifies that this rule is enforced on all email directions (internal, incoming, and outgoing).
2. Adjacent to any rule signifies that this rule is enforced only on incoming and outgoing mails.
3. Adjacent to any rule signifies that this rule is enforced only on internal mails.
4. Adjacent to any rule signifies that this rule is enforced only on outgoing mails.
5. Adjacent to any rule signifies that this rule is enforced only on incoming mails.
6. Adjacent to any rule signifies that this rule is enforced only on both internal and incoming mails.
7. Adjacent to any rule signifies that this rule is enforced only on both internal and outgoing mails.
8. Adjacent to any rule signifies that this rule is active.
9. Adjacent to any rule signifies that this rule is inactive.

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Edit Rules

To edit a rule in Plug n Comply:
1. Login to Plug n Comply as a compliance officer.
2. Click the Policy tab on the left-hand navigation pane of Plug n Comply.
3. The Rules screen is displayed.
4. Click on the Name of the Rule you wish to modify. For example click on Insider Trading.

5. To edit or modify information for the rule, click Edit.

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To edit or modify the Rule, enter the new information in the appropriate fields.
For example, to modify the description for the rule, enter the modification in the Description
field.

Note: You cannot change the home category for a rule once it is set. The attributes of a rule that can be edited or modified are:

* Name
* Description
* Date Range
* Sample Rate
* Deployment Status [Active / Inactive]
* Action
The Summary field updates itself accordingly, when an edit or modification is made.

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Note: The rule’s definition cannot be changed because it would create a lot of confusion if it is changed after the rule is deployed. Messages that are already captured may no longer hit the rule, resulting in the compliance officer seeing messages in the rules folder that are not supposed to be there, or vice versa.

6. After entering the edits or modifications, click Update.

The Rule has been edited and updated in Plug n Comply.

Note: Only compliance officers have the ability to edit or modify Rules in Plug n Comply.

Delete Rules

To delete a rule defined in Plug n Comply:
1. Login to Plug n Comply as a compliance officer.
2. Click the Policy tab on the left-hand navigation pane of Plug n Comply.
3. Select the checkbox adjacent to the rule you want to delete. For example, select the checkbox adjacent to Insider Trading.

4. To delete the selected Rule, click Delete>>.

Note: Only compliance officers have the ability to delete rules in Plug n Comply.

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Managing Messages through Archiving

Plug n Comply enables you to manage messages hit by a rule through the Archive tab. After completing this chapter, you will be able to perform the following:
* View Messages Hit by a Rule
* Process Messages through Actions

View Messages Hit by a Rule

The Archive tab contains all messages hit by a rule in Plug n Comply for the current day. Compliance officers can use this feature to review messages hit by rules on a daily basis. Messages in Plug n Comply not reviewed by compliance officers are known as “Not Processed”. You can view messages in Plug n Comply in the following manner:
* View Messages by Date
* View All Messages

View Messages by Date

To view messages by their date of origin in Plug n Comply:
1. Login to Plug n Comply as a Compliance Officer. The Archive tab is displayed.

Note: You will notice that the View by Date option is selected by default.

2. To view messages by date, click the Calendar icon adjacent to the View by Date drop- down menu.
3. Click the Choose a Date icon to choose a date for which you want to view messages for.
The messages are displayed. Note that the messages that have been green-flagged are displayed in this screenshot.

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Field	Description
	Choose a date icon. You can click on this date to choose a date in the YYYY-MM-DD format. For example, 2000-01-18.

View All Messages

To view all messages in the database for Plug n Comply:
1. Login to Plug n Comply as a compliance officer.
2. In the Archive tab, select the View All drop-down menu option.

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All the “Not Processed” Messages in Plug n Comply are displayed.

Note: Messages that have been hit by a rule and have not been reviewed or processed by a compliance officer can be viewed in the left navigation pane.

By clicking each folder icon adjacent to each rule, you can see the number of messages that have not been processed. For example, the number of “Not Processed” messages hit by the rule Liability is 204.

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Note: The following table describes some of the icons that you might come across in a message in Plug n Comply.

Icon	Description
	Indicates the message has attachment(s)
	Indicates the message has comment(s) associated to it. Note that the more yellow this icon is, the more comments that message has.
	Indicates the message is an email.
	Indicates the message is Yahoo IM.
	Indicates the message is AIM.
	Indicates the message is ICQ.
	Indicates the message is MSN.
	Indicates the message is green-flagged.
	Indicates the message is red-flagged.
	Indicates the message is threaded.
	Indicates the message contains virus. Virus scanning can be enabled at the Administrator’s page.

You can use the drop-down menu on the left to view messages under the following categories:
* View “No Filter” Messages
* View “Not Processed” Messages
* View “Green-Flagged” Messages
* View “Red-Flagged” Messages

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Drop-down Menu Option	Description
No Filter	If you choose this option, you can view all messages in the database. This means you can view all messages whether they are not processed, green- flagged, or red flagged.
Not Processed	If you choose this option, you can view all the messages that have not been reviewed by a compliance officer. Messages that have not been reviewed by a compliance officer are termed as “Not Processed”.
Green Flag	If you choose this option, you can view messages that have been green-flagged. These are messages that have been satisfactorily reviewed by a compliance officer.
Red Flag	If you choose this option, you can view messages that have been red-flagged. These are messages that have been unsatisfactorily reviewed by a compliance officer.

Process Messages through Actions

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You can review and process messages with actions that are available in Plug n Comply. As a compliance officer, you need to take affirmative action, and Plug n Comply provides a whole range of actions that can be executed. After completing this topic, you will be able to perform the following with messages:
* Assign Green Flag
* Assign Red Flag
* Execute General Actions
* Check Message Integrity

Assign Green Flag

Typically, all compliance officers review messages in Plug n Comply and decide on a course of action. When a compliance officer has finished reviewing a specific message to complete satisfaction, a green flag is assigned to the message. This means that the message has been “verified and accepted” by a compliance officer.
To assign a green flag to a non-processed message in Plug n Comply:
1. Login to Plug n Comply as a compliance officer.
2. In the Archive tab, select the View All drop-down menu option.

All the “Not Processed” Messages in Plug n Comply are displayed.

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3. Click on each folder representing the non-processed messages hit by a rule. You can now see the number of messages that have been hit by various rules that are classified as non-processed.

To assign a green flag to a message, click the chosen message.
In this screenshot example, the second message in the screenshot has been chosen.

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Note:

1. Messages displayed in the Archive tab are all the non-processed messages in the database.
2. Notice how keywords are highlighted in the message. For example, the keyword law is
highlighted in the screenshot shown above. These keywords are a good indicator of the nature of the rule applied to a message.

Note:

Icon

Description

Indicates the direction of the message. It can be internal,

outgoing, or incoming (as shown). It can also be a combination, for example, means the message is both internal and outgoing.

The message is displayed.
Note how this message is hit by the rule Executive.

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Icon

Description

Indicates that the rule is active. This is determined by the enforcement

date range specified when the rule is created. If the current date is within that range, this icon will be displayed.

Indicates that the rule is inactive. This is determined by the enforcement

date range specified when the rule is created. If the current date is outside that range, this icon will be displayed.

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After revie\J\Iing the message, you can assign a green flag to the message to signify that the message has been reviewed to your satisfaction. This action means that you are “okaying” the message after reviewing it completely.

5. Click the Green Flag icon (highlighted in the screenshot below) in the actions toolbar at the top of your screen.

To: CC: BCC:

Hidden:

Subje(:t: RE:Enfolio Contract with CPS

EmaH Sent Date: Nov 01 2000. 12:20 PM

Captured: Nov 01 2000, 12:20 PM D Liabilty

·Liability

;·Lia>ility {196) eJ 0 Privacy eJ •Profanity

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Notice how the number of non-processed messages under the rule Liability in the left navigation pane has decreased by one from 196 to 195.

You can view all messages that have assigned the green flag by selecting Green Flag from the drop-down menu.

Note: Messages that have been assigned the green flag have the icon next to it.

You can also assign a Green Flag to multiple messages by clicking the checkboxes beside those messages. After they are being selected, you can click on the Green Flag button and all those messages will be green-flagged.

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Assign Red Flag

Compliance officers can also assign a red flag to a message after reviewing. This scenario arises when compliance officers are unsatisfied with the message and “red flag” the message for another round of review in the future.
To assign a red flag to a message:
1. Login to Plug n Comply as a compliance officer.
2. In the Archive tab, select the View All drop-down menu option.

All the non-processed messages are displayed.
3. To assign a red flag to a message, click the chosen message.
In this screenshot example, the first message in the screenshot has been chosen.

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Note: The number 486116486 has been highlighted in the message. Keywords are usually a good indicator of the nature of rule applied to the message.
The message is displayed. Note how the rule SIN has been applied to the message. The rule belongs to the home category Privacy.

Note: You can read the rule associated with the message by keeping your mouse cursor over the rule. In this screenshot, the cursor was kept over the SIN rule.

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4. To assign a red flag to the message, click the Red Flag icon (highlighted in the screenshot below) in the action toolbar on top of your screen.

Note how the number of non-processed messages in the SIN rule folder in the left navigation pane decreases from 307 to 306.

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You can view all the messages that have been assigned a red flag by selecting the Red Flag
option in the drop-down menu.

Note: Messages that have been assigned a red flag have the icon next to it.

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Execute General Actions

After reviewing the messages, the compliance officer can perform various actions with the message. These actions are as follows:
* Download the Message
* Forward the Message
* Send Warning
* Add a Comment
* Export to IMAP
* View Threaded Message
* Check Message Integrity
* View Printable Version

Download the Message

To download a message to your computer in Plug n Comply:
1. Login to Plug n Comply as a compliance officer.
2. In the Archive tab, select the View All drop-down menu option.

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All the Not Processed messages are displayed.
3. To download a specific message, click on the chosen message. In this screenshot example, the first messaged has been chosen.

The message is displayed.

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4. To download the message, click the Download Email icon (highlighted in the screen below) in the action toolbar at the top of your screen.

The File Download dialog box is displayed.
5. Click the Save button to continue downloading the message.

Note: The name of the downloaded file is a DNA ID number that is generated by Plug n

Comply. The DNA ID of the message downloaded in this screenshot is

73e336712b0ba00971eb99214bbfc60f20000210. You can read more about this ID in the Check

Integrity topic.

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The Save As dialog box is displayed.
6. Click the Save button to download the message to your desktop.

Forward the Message

You can forward a message in Plug n Comply in two ways:
* Forward the Message
* Forward As Link
To forward a message to your computer in Plug n Comply:
1. Login to Plug n Comply as a compliance officer.
2. In the Archive tab, select the View All drop-down menu option.

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All the Not Processed messages are displayed.
3. To forward a message, click the chosen message.
In this screenshot example, the first message in the screenshot is chosen.

The message is displayed.
4. To forward the message, click the Forward icon (highlighted in the screenshot below) in the action toolbar on the top of your screen.

The following fields become available for the chosen message.

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1-r r ! ” ,. !

i=‘—- -1 & liabilty.lia biity 1. 25 / 195

.._. r

To: I•Filled by Plug n Comply > CC:

BCC: Subject:

Message: B I i=: :=:

Insert warning message» .

f:l •Executiv...

:·Executives {1582)

f:) 0 liabilty

:·uabili!t.{195)

f:) 0 Privacy

:-siN(3061

!!:! •Profanity

Email Sent Date: Oct 31 2000, 05:45 AM Captured: Oct 31 2000, 05:45 AM

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5. Enter the fields shown in the screenshot with the appropriate information.

Field	Description
To	Enter the email address of user you want to forward this message. For example, complianceofficer@jatheon.com. This is a mandatory field.
CC	Enter the email address of user you want to copy the forward to. For example plugncomply@jatheon.com.
BCC	Enter the email address of the user you want to send a blind carbon copy of the forwarded mail.
Subject	Enter the subject of the forward. For example, For Your Information (FYI).
Insert warning message>>	Click this link to enter a warning message “This message violates the following compliance policies: Category: Category of the message Rule: Name of rule applied to the message. For example: This message violates the following ‘Enron’ compliance policies: Category: ExecutiveTeam Rule: Executives

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6. After entering the information in the fields, click Send>>.

Forward As Link

7. To forward the message as a link, click the Forward As Link icon (highlighted in the screenshot below) in the action toolbar on the top of your screen.

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8. Enter the fields shown in the screenshot with the appropriate information.

Field	Description
To	Enter the email address of user you want to forward this message. For example, complianceofficer@jatheon.com. This is a mandatory field.
CC	Enter the email address of user you want to copy the forward to. For example plugncomply@jatheon.com.
BCC	Enter the email address of the user you want to send a blind carbon copy of the forwarded mail.
Subject	Enter the subject of the forward. For example, For Your Information (FYI).
Insert warning message>>	Click this link to enter a warning message “This message violates the following compliance policies: Category: Category of the message Rule: Name of rule applied to the message. For example: This message violates the following ‘Enron’ compliance policies: Category: ExecutiveTeam Rule: Executives

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9. After entering the information in the fields, click Send».

JATHEON 0<?

plug nc.ompy @ y

l & liabitty.liability 1 • 25 / 135

1 r

:J Archive

:“”Policy l

To:

f Search l

lcompliaceoflicer@iatheon.coml I

h CC: oo @i atheon.com I

Users l BCC: oo 2@iatheon.c om I

:0 Schedule I

Subject: IFYI I

-s- •-

ILReports I Message: li B I .1- -

:”Audrt I

Q Data

E:l •Executiv...

Insert warning message»

:·Executives {1582)

(:j 0 liabilty I

;·Liability {195) Dl -1

(:j 0 Privacy

:·SIN{306) From: &issuealert@scientec .co EmaU Sent Date: Oct 31 2000, 05:45 AM R

; Logout … -C:

— -

eJ •Profanity o: Captured: Oct 31 2000, 05:45 AM ab

abi

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Send Warning

Compliance officers can review messages in Plug n Comply and decide to send a warning message to a user. The Send Warning message is an effective tool for compliance officers to warn users who have repeatedly violated compliance policies of an organization.
To send a warning to a user in Plug n Comply:
1. Login to Plug n Comply as a compliance officer.
2. In the Archive tab, select the View All drop-down menu option.

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All the Not Processed messages are displayed.
3. To send a warning to a user, click the chosen message.
In this screenshot example, the first message in the screenshot is chosen.

The message is displayed.
4. To send a warning to a user, click the Send Warning icon (highlighted in the screenshot below) in the action toolbar on the top of your screen.

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The following screen is displayed. Notice how the To field is filled by Plug n Comply, and is automatically set to the original sender of the message. In this particular example, this warning mail would be sent to richarch.amabile@enron.com.

Enter the fields shown in the screenshot with the appropriate information.

Field	Description
To	This field is automatically filled by Plug n Comply.
CC	Enter the email address of the user you want to send the copy of the warning. For example complianceofficer@jatheon.com.
BCC	Enter the email address of the user you want to send a blind carbon copy

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of the warning.

Subject

Enter the subject of the warning. For example, Warning from Compliance

Officer.

Insert warning

message>>

Click this link to enter a standard warning message “This message violates

the following compliance policies:

Category: Category of the message

Rule: Name of rule applied to the message.

For example:

This message violates the following ‘Enron’ compliance policies:

Category: ExecutiveTeam

Rule: Executives

5. After entering the information in the fields, click Send>>.

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Add a Comment

Compliance officers typically add comments to messages that they have reviewed. This enables compliance officers to find a point of reference when they revisit the messages in the future. Plug n Comply allows you to add comments to messages.
To add a comment to a message:
1. Login to Plug n Comply as a compliance officer.
2. In the Archive tab, select the View All drop-down menu option.

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All the Not Processed messages are displayed.
3. To add a comment to a message, click the chosen message.
In this screenshot example, the first message in the screenshot is chosen.

The message is displayed.
4. To add a comment to a message, click the Add a Comment icon (highlighted in the screenshot below) in the action toolbar on the top of your screen.

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The Comment field is displayed in the message screen.

5. You can add a comment to this message to help reference it in the future. In this screenshot
example, “Warning sent to sender of this message” comment is added.

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6. After entering the comment, click Submit>>.

The comment has been added to the message and will appear in the message. The comment also carries a timestamp of creation and also the user who added the comment.

Add extra comments to the same message

You can add more comments to a single message by repeating the above steps. This allows you to follow up on a comment that you have made a while ago, or reply to the comments that other compliance officers have made for that particular message. As you add more comments to a message, you will also notice that the comment icon () would become more yellow ().

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To delete a comment

You can delete a comment simply by clicking the Elicon beside the comment.

JATHEON

plugnc.orr.p y@ I I y A · OK)

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Q Data Subje(:t: Enron Offers to Buy Out Azurix

J Warning sent to sender of this message

Apr 16 2007. 13:04 P·ll plugncomply@jatheon.cot!’P

i::/ •Executiv…

:·Executives {1582)

0 Liobilty

;·Liability (195)

eJ 0 Privacy

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eJ •Profanity

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Utilities Take on Challenges, OppJrtunities of Being Wirecoms,” at:

ch·•tt-p-:/t·wltw··w-.c-o-n·su··l-tr-c·i.-co-m··-/W-e·b·/r··ci-w·-··e-b.-n·s·f/W·-eb-+·P·a··g-e-s/·S·B··E-n-·tr*a-*n*ce.html

Logout

… ===============================================================

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Export to IMAP

Plug n Comply allows you to export a message to an IMAP folder of your choice. A compliance officer can setup an IMAP account on his/her favorite email client (MS Outlook, Thunderbird) and connect to the database. When setting up the IMAP folder, you can use the hostname or IP address of the Plug n Comply system as the server name, while the username and password are the same as the ones in the web interface.
To export a message to IMAP:
1. Login to Plug n Comply as a compliance officer.
2. In the Archive tab, select the View All drop-down menu option.

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All the Not Processed messages are displayed.
3. To export messages to an IMAP folder, select the checkboxes adjacent to the messages you want to export.
In this screenshot example, the second and third messages are selected.

The message is displayed.
4. To export the selected messages, click the Export to IMAP icon (highlighted in the screenshot below) in the action toolbar on the top of your screen.

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The IMAP User and IMAP Folder fields become available in this screen.
5. Specify a name for the IMAP folder and click Export Selected>>.
In this screenshot example, Mail_Folder has been used as the name of an IMAP folder.

Note: It is recommended that the name of the IMAP folder should not contain non- alphanumeric characters such as space or semicolons.

Field

Description

Export All>>

If you click this link, all the non-processed messages will be exported to

the IMAP folder specified in this screen.

Export Selected>>

If you click this link, all the non-processed messages selected in step 2 of

this process will be exported to the IMAP folder specified in this screen.

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The selected messages have been exported to the Mail_Folder IMAP folder. Plug n Comply
displays a confirmation message of “Exported 2 mails to folder Mail_Folder”.

Setting up IMAP account in Microsoft Outlook

If you want to view the exported mails using your email client application, you have to setup an IMAP account and use Plug n Comply as the IMAP server. The following are the steps to do this if you are using Microsoft Outlook.
1. Select Tools -> Email Accounts

2. Select Add a new email account, and then click the Next button.

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3. Select IMAP, and then click the Next button.

4. Enter the account information. The Incoming mail server (IMAP) field should be the hostname or IP address of Plug n Comply. The User Name and Password fields are the same as the ones you used when you exported the mails via Plug n Comply. After the information is entered, click the Next button, and the Finish button in the next window.

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5. The folder for the IMAP account that you just created is displayed as a mail folder.

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View Threaded Message

Plug n Comply allows you to find all the messages that are in the same thread by clicking the button. This button is only enabled if the selected message is threaded (i.e. it has other related messages in the database). If a message is threaded, a thread icon () will be displayed beside the message.

Check Message Integrity

Compliance officers need to ensure that the integrity of a message is not tampered or altered. To ensure that the messages in the database are not altered without the knowledge of the compliance officer, Plug n Comply assigns a unique DNA footprint to each message known as the message checksum. Whenever the contents of a message are altered, the message checksum changes accordingly.
To check the integrity of a message:
1. Login to Plug n Comply as a compliance officer.
2. In the Archive tab, select the View All drop-down menu option.

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All the Not Processed messages are displayed.
3. To check the integrity of a message, click the chosen message. In this screenshot example, the first message in the screenshot is chosen.

The message is displayed.
4. To check the integrity of a message, click the Verify Integrity icon (highlighted in the screenshot below) in the action toolbar on the top of your screen.

Note: The message checksum of every message is displayed under the View All drop- down menu. In this screenshot, the message checksum is

73e336712b0ba00971eb99214bbfc60f20000210

(highlighted in the screenshot above).

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Plug n Comply does a verification to check whether the contents of the selected message have been altered and shows the results.

lfthe integrity ofthe message is verified, Plug n Comply displays the result through an

OK message (see highlight below).

JAT./”" /”" ! ,. ” ! A ‘i

.J Af(hive ] .&, Liabilty.lia biity 1 • 25 / 195

‘¢> Policy ] Message DNA: 25c3b219c8b86d1ea5973bf58a31880820001031

f Sear( h “‘ • n•• 8b86d1ea5973bf58a31880820001031

h Users Integrity Verified r OK I

:0 Scheduel

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Subject Enron Offers to Buy Out AZurix

,JWarning sent to sender of this 11essage Apr 16 2007, 13:04 p“JA plugncompl y@jatheon.com - http:/twww.consult r ci.com

Read SCIENTECH‘s SourceBooKWeeKiy article:“MaKing the Wires Sing: Some

l i ogout

_ Utilities TaKe on Challenges, Opportunities of Being Wirecoms,” at:

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View Printable Version

You can view a printable version of any message in the Archive tab by clicking on the Print icon.

JATHEON

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Process Multiple Messages

Plug n Comply allows you to apply the same action to multiple messages at once. To do so, select the messages by clicking the checkboxes beside them, and then click on the action button that you want to apply. You can take a look at the Export to IMAP example to review the process. This feature is enabled for the following actions:
* Assign Green Flag
* Assign Red Flag
* Forward the Message
* Forward As Link
* Send Warning
* Add a Comment
* Export to IMAP

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Searching in Plug n Comply

Plug n Comply enables you to search for information in a quick and efficient manner. After completing this chapter, you will be able to use Plug n Comply to perform the following:
* Fast Search
* are associated with
* Save your Search
* View Saved Searches

Fast Search

The Fast Search feature in Plug n Comply enables you to search for specific information quickly and efficiently. This feature is best used when you want to search for specific information related to messages under no particular category.
To perform a Fast Search in Plug n Comply:
5. Login to Plug n Comply as a Compliance Officer.
6. Click the Search tab in the left navigation pane of the Plug n Comply.

The main Search page in Plug n Comply is displayed.
7. To search for specific information, type your query in the search field and click Search. For example, you may want to view messages that have the word Trading mentioned, or
have information related to Trading. To perform a Fast Search in this case, type Trading in
the search field and click Search.

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Note: Quick Search is equivalent to “Message Contains Any <keyword>” in the Advanced

Search.

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The Search Results are displayed.
The search results displayed in this screenshot are for the search query Trading. The messages shown in this screenshot contain the word Trading either in the body, subject, or attachment.

Note: Search results for queries in Plug n Comply are displayed under the Results tab.

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Advanced Search

Plug n Comply allows you to construct a more detailed search query through its Advanced Search feature. The Advanced Search feature is a robust and powerful feature that allows users to retrieve information for a detailed and comprehensive search query. In order to search for information, you need to perform the following steps.
1. Select Message Type
2. Add Search Parameters
3. Select Search Dates
4. Assign Saved Searches to Users
5. Save your Search

1. Select Message Type

Plug n Comply allows you to search for information in both emails and instant messages. Using the Advanced Search feature, you can search for information either in emails or instant messages or both.
To select the message type:
1. Login to Plug n Comply as the Compliance Officer.
2. Click the Search tab in the left navigation pane.

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3. Click the Advanced Search tab.

JATHEON J Fast I! Advanced IJ fdSearches II Resu I

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:·Exttcutives {1582)

f:) 0 liabilty

:·Liability {195)

f:) 0 Privacy

:·siN(306)

t::l •Profanity

Logout -

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Note: The checkbox adjacent to Email under Message Type is selected by default.

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4. To search for information in emails and instant messages, ensure that the checkboxes adjacent to Email and Instant Messages are selected.

Field	Description
Email	Select this checkbox if you want to search for information within emails within the database.
Instant Messages	Select this checkbox if you want to search for instant messages (IMs) within the database.
Description	Enter a description about the search query you want to run.

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2. Add Search Parameters

This functionality in the Advanced Search feature of Plug n Comply allows users to specify the search criteria to the most granular level. For example, you can construct your search query to search for specific phrases or keywords in the body of an email.
1. To search for a specific phrase or keyword in the body of emails and instant messages, select the appropriate values from the Search Parameters drop-down menu.
2. For example, if you want to search for a specific phrase or keyword such as Trading, select message and Contains Phrase from the Search Parameters drop-down menu and type Trading in the respective field.

Note: Like all other fields in Plug n Comply that are highlighted in yellow, the Search Parameters field is mandatory. If you skip these fields, you will encounter errors while running an Advanced Search.

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3. To add an additional search parameter, click Add>>.

Note: The And radio button is selected by default.

Field

Description

And

Assume there are three search parameters. If this

radio button is selected, the Advanced Search feature will yield a search result that satisfies all the three search parameters.

Assume there are three search parameters. If this

radio button is selected, the Advanced Search feature will yield a search result that satisfies either one of the three search parameters.

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You can add more than one search parameter and combine it with the And or Or functionality to yield a unique search result (maximum is 10).
4. For example, in addition to searching messages that contain the phrase Trading, you can also add another search parameter to include the phrase Insider.

5. To remove a search parameter, click <<Remove.

6. The second search parameter added in step 4 of this section has been removed.

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3. Select Search Dates

After selecting your search parameters, you can specify the dates between which the search has to be performed. This means that the emails and instant messages belonging to this time span will be considered for searching.
To select the dates between which the search has to be performed:
1. Type the required dates in the From and Until fields. For example from 2000-07-01 to 2000-

07-06.

2. Alternatively, you can also click the Choose a Date icon to select the search dates.

Field

Description

From

Enter the date from when the messages in the

database should be considered for searching

Until

Enter the date until which the messages in the database should be considered for searching

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Choose a date icon. You can click on this date to choose a date in the YYYY-MM-DD Time format.

For example, 2000-07-01 21:20.

You can choose to configure the Advanced Search feature to search for messages with specific date criteria.
3. To configure the Advanced Search between 2000-07-01 21:20 to forever, select the checkbox adjacent to Forever.

Note: When the Forever checkbox is selected, the value in the Until field will be cleared.

4. Assign Saved Searches to Users

As a compliance officer, you might want to allow certain users in your organization to have access to the same search queries that you perform.

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1. To allow other users to access the search, select the username from the usernames displayed.
For example, there is a group in your organization that is responsible for tracking all messages on Insider Trading. It makes sense for the compliance officer to allow members of this group to access the search for messages that are related to Insider Trading. In this screenshot, the user name compliance@jatheon.com has been selected.

Note: You can find select more than one user by holding the Ctrl key in your keyboard and click the required user names.

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5. Save your Search

Plug n Comply allows you to save your search query so that you can perform the same search all over again without wasting time.
To save your search:
1. Enter a name for your search in the Name field. For example, enter Insider Trading in the
Name field.

Note: A value for the Name field is mandatory to save your search queries.

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2. After entering a suitable name for your search, click Save Search.

The search name Insider Trading has been saved.

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View Saved Searches

Plug n Comply enables you to view all your saved searches in a single screen. In this section, you will learn how to perform the following:
* View and Run Saved Search Details
* Delete a Saved Search

View and Run Saved Search Details

To view all saved searches:
1. Click the Saved Searches tab.

All the saved searches are displayed. Note how the example used in this manual „Insider Trading‘
is also displayed.

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2. To view the details of a saved search, click on a specific saved search. For example, to view the details of Insider Trading, click on Insider Trading from the Saved Searches tab.

The Search Details are displayed below. To execute the Saved Search, click Run Search.

Field	Description
Run Search	Click this icon to yield results for your saved search.
Description	Description of your saved search.
Sample Rate	Sample rate is a method to give levels of importance to the search. 100% is the highest level of importance.

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From	Date and time from which the database was queried for the saved search.
To	Date and time until when the database is queried for the saved search.
Created	Date and time on which the saved search was created.
Updated	Date and time on which the saved search was edited.
Is Range Search	Values for this field depict whether the search performed was within a specific time period. True or False are the values for this field.
Last Run	Date and time on which this search was last run.
Assigned Users	Users to whom this search is accessible.

Delete a Saved Search

To delete a saved search:
1. Select the checkbox adjacent to the saved search name in the Saved Searches tab. For example, to delete the saved search Insider Trading, select the checkbox adjacent to Insider Trading.

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2. After selecting the checkbox, click Delete>>.

The saved search Insider Trading has been deleted.

Viewing Non-Compliance Reports in Plug n Comply

Plug n Comply enables you to view reports of non-compliance for a specific date range. Using Plug n Comply you can also track the number of messages processed for a specific date range. After completing this chapter, you will be able to use Plug n Comply to perform the following:
* View Non-Compliance Reports
* View Reports of Messages Processed

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View Non-Compliance Reports

Plug n Comply enables you to view reports of non-compliance for a specific date range. Plug n Comply enables you to view reports of the messages that have been captured under a specific category. For example, you can view reports of the messages captured under the category Profanity, Executive, and so forth for a specific date range.
To view reports of non-compliance in Plug n Comply:
8. Log into Plug n Comply as a Compliance Officer.
9. Click the Reports tab in the left navigation pane of the Plug n Comply.

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The Non-Compliant Reports page in Plug n Comply is displayed. The default is to display data for the most recent week.
10. To view non-compliant reports for a specific date range, select the respective From and

To date values using the Choose a Date menu.

For example, you may want to view reports of non-compliance for the first quarter of the year
2000. To perform this action, set the From value to 2000-01-01 and To value to 2000-03-31 using the Choose a Date menu.

Field	Description
From	Enter the date from when the messages in the database should be considered for searching
Until	Enter the date until which the messages in the database should be considered for searching
	Choose a date icon. You can click on this menu to choose a date in the YYYY-MM-DD format. For example, 2000-01-01.

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11. After selecting the respective date range values, click Update to view reports for non- compliance.
The reports displayed in this screenshot are for the messages captured under the category

Profanity for the date range 2000-01-01 to 2000-03-31 (the first quarter of the year 2000).

Field	Description
X-Axis	The X-Axis of the report depicts dates.
All Messages Hit	The bars in colour blue depict all the messages captured under the category Profanity for the first quarter of the 2000.
Red Flag	The bars in colour red depict all the messages under the category Profanity that have been viewed by a compliance officer and have been removed from the same category.
Green Flag	The bars in colour green depict all the messages under the category Profanity that have been viewed by a compliance officer and have been approved for the same category.

Note: Scroll down to see similar non-compliant reports for categories such as Executive

Team, Privacy, and Liability.

View Reports of Messages Processed

To view reports of non-compliance in Plug n Comply:
1. Login to Plug n Comply as a Compliance Officer.
2. Click the Reports tab in the left navigation pane of the Plug n Comply.
3. To view reports of all the messages processed in Plug n Comply, click the All Messages
tab.

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12. To view reports for a specific date range, select the respective From and To date values using the Choose a Date menu.
For example, you may want to view reports of all messages for the first quarter of the year
2000. To perform this action, set the From value to 2000-01-01 and To value to 2000-03-31 using the Choose a Date menu.

Field	Description
From	Enter the date from when the messages in the database should be considered for searching
Until	Enter the date until which the messages in the database should be considered for searching
	Choose a date icon. You can click on this menu to choose a date in the YYYY-MM-DD format. For example, 2000-01-01.

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13. After selecting the respective date range values, click Update to view reports for all messages in the first quarter of the year 2000.

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The All Messages Processed reports are displayed.
The reports displayed in this screenshot are for the messages processed between the date range
2000-01-01 to 2000-03-31 (the first quarter of the year 2000).

Field	Description
X-Axis	The X-Axis of the report depicts dates.
All Messages	The bars in colour red depict all the messages processed for the first quarter of the year 2000.

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Viewing Audits for User Activity

Plug n Comply enables compliance offers to view audits for the activities of all users. Using the Audit feature in Plug n Comply, compliance officers can view the history of activities of a specific user between a specific date range. After completing this chapter, you will be able to use Plug n Comply to perform the following:
* View Audits for User Activity

View Audits for User Activity

The Audit feature in Plug n Comply enables you to view audits for the activities of all users. Using the Audit feature in Plug n Comply, compliance officers can view the history of activities of a specific user between a specific date range.
To view audits for a specific user in Plug n Comply:
14. Login to Plug n Comply as a Compliance Officer.
15. Click the Audit tab in the left navigation pane of the Plug n Comply.

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The Audit page in Plug n Comply is displayed.
3. To view the audits for a specific user, select that user from the User drop-down menu. For example, select the user plugncomply@jatheon.com from the User drop-down menu.

4. After selecting the user from the drop-down menu, select the date range between which you want to see the audits for.
For example, you may want to view audits of the user compliance@jatheon.com for the first week of July, 2006. To perform this action, set the From value to 2006-07-02 and To value to
2000-07-09 using the Choose a Date menu.

Field Description

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From

Enter the date from when the messages in the database should be considered for viewing audits.

Until

Enter the date until which the messages in the

database should be considered for viewing audits.

Choose a date icon. You can click on this menu to

choose a date in the YYYY-MM-DD format. For example, 2006-07-02.

5. After selecting the values for the date range, click Update to view audits for the user plugncomply@jatheon.com.

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The Audits of the user plugncomply@jatheon.com for the first week of July 2006 is displayed.
The audits show in this screenshot is a history of activities performed by the user plugncomply@jatheon.com on the 3rd of July 2006. You can scroll down to find the timestamp of all the activities for the first week of July, 2006.

Note: You can print this page by clicking on the Print icon. Before clicking this icon, you need to make sure that you have configured a printer for your machine/computer.

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