Product Brief

Aungate

Aungate Reviewer
Overview
As part of the Aungate Product Suite, Aungate Reviewer delivers a comprehensive solution for managing users, communications, policies, reviews and reports. Aungate Reviewer meets the compliance needs of organizations by providing the ability to create and manage users and virtual compliance groups, sample and review communications, define and manage required policies and business rules, and effectively manage reviews and generate reports with minimal effort. Aungate's solutions, which are founded on Autonomy's Intelligent Data Operating Layer (IDOL), allow organizations to implement policy control and immediately detect any policy infringement in real-time. No matter how large or complex the organization, Aungate's powerful architecture provides flexible user management and workflow to guarantee compliance.

Delivers a comprehensive solution for managing users, communications, policies, reviews and reports

Architecture
Aungate's product architecture has been designed since inception to be modular and multi-threaded. It supports a multiplexed communication model, enabling the provision of a demonstrably high performance, high capacity platform for content exploitation both today and in the future. Using replication and data distribution, Aungate's infrastructure facilitates linear scalability and global distribution, delivering high availability and unrivalled high performance.

Industries:
All Verticals

Features:
User Management Reviews Pending Inbox Policy Management Review Management Reports Capture Scalability Integrated Security Solution Front-end User Interface Administrator Interface Advanced Administration Tools

Aungate Reviewer User Interface

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Product Brief

Modules
User Management
Aungate Reviewer facilitates the administration of all users and virtual compliance groups in the system, a prerequisite for any organization that wants to implement effective compliance procedures such as workflow and escalation processes. This standard feature allows the organization to define user, role or group hierarchies at user, Reviewer and Compliance Officer level. Aungate's User Management features enable Reviewers to generate sample sets of data that can be assigned to any virtual review group for compliance detection. Furthermore, Aungate's intuitive User Management tool provides the flexibility to assign Compliance Officers to any defined review group or delineate any departmental exclusion via the virtual compliance group hierarchy.

Features include:
Full user management (add, remove and edit users) Extensive and flexible system privileges to define a users restrictions in terms
of functionality and workflow (incorporates pre-built roles such as Reviewer and Compliance Officer or allows you to define your own)

Multiple compliance hierarchies with the ability to create virtual review groups
and easily view relationships

Drag and drop for quick and easy establishment of compliance relationships Unlimited depth in directory hierarchy Integration with existing LDAP , SiteMinder or NT security systems.
Aungate User Management

Workflow Management
Whatever you compliance management workflow needs, Aungate facilitates the assignment of Compliance Officers to Reviewers, reviewees to Reviewers and reviews to Reviewers. Compliance workflow can quickly and easily be defined through Aungate's intuitive drag and drop user interface. Subsequently, any policy infringement identified can follow the defined escalation procedure allowing the issue to be dealt with immediately.

Workflow Management

Aungate

Reviews Pending
Aungate's Reviews Pending function can be used to perform all communication reviews. These can either be completely automated by the intelligent Aungate system (see Review Management), or alternatively used to both manage and assist manual communication reviews. Reviewers (chosen either from internal staff, management or dedicated external review bodies and regulatory organizations) are aided during the detailed analysis of communications including the identification of policy infringements and verification of compliance. In the instance that potentially non-compliant incidents and policy infringements are detected by the system, Aungate can instantly log and send this information to a Compliance Officer. This escalation process can also be performed as part of a manual review. Reviewers can also be alerted to policy updates and must read and confirm they have understood these before they are able to continue. Features include:

The ability to apply any policy to any manual review Automatic policy infringement detection on any manual review The provision of conceptual, natural language, by example, Boolean, exact
keyword training, or any combination of these to find particular communications

Sorting, grouping and filtering of communications automatically based on concepts Automatic elimination of Spam.

Inbox
Aungate Inbox provides Compliance Officers with the ability to effectively view and manage reviews and communications. Communications that required approval or escalation at the Reviews Pending level are routed to a Compliance Officer and will appear in the Inbox.

Aungate Reviews Pending

Features include:
Immediate identification of the Aungate Capture Module which was used to
create the communication (MS Outlook Capture, MSN Messenger Capture etc) as well as the user response to that particular compliance incident

The ability to add extra notes to the compliance incident, which will be kept
throughout its system life cycle

Full detailed tracking of all actions.

Aungate Inbox

Policy Management
Aungate's Policy Management function enables Compliance Officers or Reviewers to implement an automated policy enforcement process against communications of a particular type. Policies can be applied at individual user or group level, and the policy severity level can be defined using default levels, by defining your own, or based on the strength of conceptual matches. In the event of policy changes, the system can be easily retrained to incorporate these. Compliance Officers are also able to define specific triggers so that any policy infringement can be detected within the organization. These triggers can in turn be used automatically by any Aungate Capture Module to provide real-time blocking and warning of policy infringement, assisting a Reviewer or Compliance Officer during the process. Furthermore, triggers can be used during an advanced investigation using Aungate Investigator.

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Product Brief

Features include:
The ability to define policies through conceptual, natural language, by example,
Boolean, exact keyword training, or any combination of these

A wide variety of notification mechanisms for policy infringement (allows actions

to be defined for each policy infringement which can be directed through any Aungate Alert Module)

Adding arbitrary meta-data on top of default data for any policy Unlimited hierarchical policy structure Full policy taxonomy support with an existing taxonomy or an automatically
generated one

Full integration with Aungate's unique ability to understand content - find the
policy you want immediately

The ability to select individual Aungate Capture Modules for each policy or on all Extensive yet flexible policy detection; checks all or a subset of content,
attachments, signature, recipients (including those blind copied) etc - this can be a combination of both conceptual and Boolean

Aungate Policy Management

Importing/exporting via the Aungate Policy Import Module. Permissions preserved throughout The ability to undo last policy modifications Full detailed tracking of all actions.

Review Management
Aungate's Review Management function enables users to utilize intuitive wizards to help create review templates and define samples. The Review Template Wizard provides help creating review templates. These templates define: sources, amount of information, schedule, user allocation (it also creates exceptions in any of these constructs). Having defined a set of policies, assigned a Compliance Officer to a virtual review group and implemented the required workflow, Aungate provides the full flexibility to generate and submit a collection of communication samples to a particular Reviewer or Compliance Officer for analysis. The Sample Wizard provides help defining samples and assigning them to particular review templates.

Features include:
The ability to create review templates which enable reviews to be generated on
demand or scheduled to run at regular intervals

A simple user-friendly interface and intuitive wizards The ability to create review templates containing a variety of complex sample
items from various communication criteria: source (IM, email, past archive etc), user, group, role, specific communication link, by user metadata, by communication metadata

Aggregation of any combination of communication criteria (biased using

percentage and Boolean operators).

Aungate Review Management

Aungate

Reports
Aungate provides extensive monitoring, auditing, logging and reporting capabilities delivering instant compliance visibility and a system of accountability to ensure compliance procedures are upheld at all times. The Reports function dynamically generates reports on a specified set of data, providing the ability to check the status of all reviews and communications in the system. Reports on reviews can be generated showing the number of reviews: in progress, completed and outstanding as well as whether or not they require delegation or escalation. You are then able to sort results by various criteria: user name, sample name, creation date etc in order to view the report information in a way relevant to your needs. Similar reports can be generated for communications.

Features include:
Logging of all actions including: policy modifications, user and privilege changes,
sample creation/modification, full review details, user activity, escalation etc

Aungate Reports

Generating reports on demand or scheduled to run at regular intervals Generating reports using inbuilt report templates or by defining your own Full tracking of all modules in the system The Storage Integration Module that allows storage on WORM devices,

guaranteeing a secure audit trail. All incidents of any type, including modifications are recorded and logged

Technical Information Platform Support:

Microsoft Windows NT 4 Microsoft Windows 2000 Microsoft XP Microsoft Windows Server 2003 Microsoft Windows Enterprise Server 2003 SUN Solaris 5-9 LINUX kernel 2.2 & 2.4 Any other POSIX compliant of UNIX on request

The ability to access raw data on all system incidents in various formats allowing
integration with third-party reporting systems.

Capture
Aungate provides 100% capture of all communications including text, voice and video. Alternatively, granular optimization enables full system configuration so that only relevant communications are captured. Aungate is also able to automatically filter other unwanted communications such as Spam, read recipients etc.

Minimum Server Specifications:

NT Dual Intel Xeon 1.8 GHz 1 GB RAM 20 GB hard disk recommended UNIX Dual Intel Xeon 1.8 GHz 1 GB RAM 20 GB hard disk recommended For specific sizing requirements please consult the Aungate Sizing Service.

Aungate. One Market, Spear Tower, Suite 1900, San Francisco, CA 94105, US tel. +1 415 243 9955 fax. +1 415 243 9984 Cambridge Business Park, Cowley Rd, Cambridge CB4 0WZ, UK tel. +44 (0) 1223 448 000 fax. +44 (0) 1223 448 001 email. info@aungate.com web. www.aungate.com Aungate has additional offices in Boston, New York and Washington DC, as well as in Amsterdam, Beijing, Brussels, Hamburg, London, Madrid, Milan, Munich, Oslo, Paris, Rome, Singapore, Stockholm, Sydney and Taipei.
Copyright 2004 Aungate. All rights reserved. Other trademarks are registered trademarks and the properties of their respective owners. [AUN PB REV] 04.08.04 Product specifications and features are subject to change without notice. Use of Aungate software is under license.

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