Technical Overview

Enterprise Risk, Compliance, and Data Protection
Protect your unstructured and structured data—on-premises and in the cloud.
Supported Platforms
AvePoint Compliance Guardian protects the following
enterprise information and collaboration gateways:● SharePoint On-Premise● Exchange On-Premise
Office 365 – Exchange Online● Office 365 – Exchange Public Folder●

Office 365 – SharePoint Online
Office 365 – OneDrive for Business● Office 365 – Yammer● Office 365 – DLP Feeds

Enterprise Risk Management (ERM)●●●●Office 365 – Microsoft Teams
Skype for Business● Salesforce● Dropbox● Slack●●●File Shares
Databases● ServiceNow● Google Drive● Gmail● HTTP/HTTPS-based websites and web applications●●●●●●●

Carry out Repeatable Assessments via a Centralized Dashboard

Inventory Manager – Register a data inventory of yourorganization’s information assets to understand what kindof sensitive data you hold and how the systems you use
will collect and protect that data
Data Maps and Flows – Visualize many-to-many
associations between IT assets, data subjects, businessprocesses, data handling characteristics, third parties, andjurisdictions via easily digestible data map and data flows.
Incident Management – End-to-end incident management
process to capture information, document anincident, prioritize it, determine what’s been exposed, orwhich policies and regulatory requirements have been
impacted
Privacy & Risk Assessment and Analysis – Conduct
automated Privacy, Risk, Security, and Data Protection
Threshold and Impact Assessments, with configurable
calculators for risk-based decisions and controls
Technical Controls – Recommend and document
appropriate Corrective and Preventive Action (CAPA) once
any non-conformities or other undesirable situations areidentified from assessments to ensure security andcompliance
Resource Library – A module designed to centrally
manage policies and resource documents related toprivacy and security policies – such as GDPR, HIPPA andFISMA – to build an accountable, repeatable process forgovernance, risk and compliance
ServiceNow Connection – Organizations using ServiceNow
can sync existing ServiceNow records into ERM as
inventory records – or choose whether to sync all records
or specific ones matching configured rules
Actionable Report – Provide executive reports on Key
Performance Indicators (KPIs), Key Control Indicators

(KCIs), or Key Risk Indicators (KRIs) to highlight areas in theorganization that need to be addressed to reduce risk
●Risk Insights – Run discovery as often as every 15 minutes
to identify at-risk content based on common sensititve
data definitions – including PII or classified data. Reports
help quantify associated risk in heat maps and dashboards

Visualized Insights on Risk Level

Scan Records Dashboard Displayed by Action

Risk Discovery on a Regular Basis

Data Validation and Classification (DVC)●●Prerequisite Setup Wizard – Quickly set up prerequisite
configurations for applying licenses, the scan database,detection rules, data sources, connections and scanscopes.

Broad Enterprise Support – Scan and crawl yourenterprise information gateways, including file shares,
SharePoint, Exchange, websites, cloud platforms, instantmessaging tools, databases, and social networks, toensure branding compliance as well as protection against
privacy (PII/PHI), PCI, and security (SSI/ EU GDPR)
violations.

Comprehensive Scan for Multiple Information Gateways●●Scheduled or Real-Time Scanning – Scan content inreal time or on a schedule against out-of-the-box or
customized check files based on regulatory and statutorycompliance—or your own policies that include plain text
search terms, regular expressions, HTML elements, XMLelements, and report criteria.
Discovery + Module – Allow business users to searchthrough content in emails, documents, and Teamsconversations. Can be performed across multiple data
sources at the same time and users can input keywords
or define advanced conditions to search for content.

Discovery+

●OCR Functionality – Scan the content of pictures andembedded images with different contrasts, DPIs, font sizes,and word spacing to locate sensitive information.

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Quick-Connect Framework – Easily and speedily add new
data sources.

●Advanced Search Capability – Quickly locate the specificdatasets by integrating with our advanced search index while
scanning data sources to meet customers’ centralized
policy-driven compliance and governance needs.

●●

Any Type, Any Time – Check Office files, PDFs, images,
HTML/XML files, AutoCAD files, .zip files, Outlook PST files,
Microsoft Access DB files and hundreds of file types forprivacy and information security issues.

●●Machine Learning-Based Analysis - Apply complex machinelearning algorithms to generate an accurate risk check type
to be used scanning against new content, improving andscaling complex analysis tasks across an organizational
ecosystem without requiring the use of pre-defined rules.

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File Analysis Report – Interact with data at a lower level byfiltering to gain insight from different angles.

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Duplicate File Manager – Take action against items on thereport page to identify and remove duplicate files inSharePoint Online, SharePoint On-Premises and in File Systems.

●●●●SIEM Integration – Feed scan results and information
around sensitive events into Security Information andEvent Management (SIEM) solutions provided by HP
ArcSight, IBM QRadar and Splunk via syslog in Common
Event Format (CEF) to access detailed alerting and tracking.
Sensitive Information Type Integration – Leverage
Microsoft 365 sensitive information types to create test
suites that can be used to identify and classify sensitive
items in SharePoint Online.
Built in Power BI Report Template for File Analysis –Quickly analyze file architecture and properties in yourfile shares, SharePoint, and other data sources to gain
more powerful, dynamic insights into your data, based on
integrated Power BI reports—enabling you to identify
and eliminate redundant, obsolete, and trival (ROT) data.
Content Classification - Classify content with userassisted or automated tagging via a Metadata
Classification Engine.
Tag Your Way - Tag or classify content using built-inproperties, or assign custom tags that will help you sort,clean, or migrate data.
Metadata Consistency Checking - Identify inconsistencies
between document and system metadata, and synchronize
the two to ensure metadata consistency across platforms.

Machine Learning-Based Analysis

File Analysis Report

File Analysis Dashboard

Duplicate File Manager-Detailed page

Classify Content with Automated Tagging

Data Validation, Classification and Protection●●●Actions on Risk-Defined Files - Based on content
classification, or risk level and score, act to delete, quarantine, encrypt, redact, anonymize, export, change permissions or route the content to the appropriate location tocomply with information governance policies such as“Right of Access” declaration in EU GDPR
Cryptovirus/Ransomware Detection - Detect cryptoviruses and ransomware attacks in data sources, and review
insights via a dashboard that displays potential threats, toensure data security.
Records Management for Instant Message Conversations - Archive Skype for Business conversations, initiators,and participant information with retention policies to local
storage, including the ability to export specified conversations to Concordance, Electronic Discovery Reference
Model (EDRM), or HTML files for further legal review●●Trend Reports - Track historical risk analyses on yourcorporate data with trend reports to accurately measurecompliance improvements
Auditing Reports - Analyze audit results to calculate arefined risk list by integrating with Box, Dropbox API, oraggregating audit and security data directly from
AvePoint’s DocAve Software Platform to report on
SharePoint and Office 365 content age, number of times
accessed and by which users, and security settings●Secure Externally Shared Files – Prevent the sharing ofcontent to external users across multiple Cloud gateways
including Box, Dropbox, Slack, SharePoint Online, and
OneDrive for Business by performing scheduled orreal-time scans to check existing data and monitor newly
created or modified files, triggering aggregated risk scoreonce an exposed file is identified

Policy-driven Actions on Violations

Compliance Violation Trend ReportsŃŃŃŃŃŃŃCompliance Report Dashboard - Present scan and risk
assessments in graphical dashboard displays, or automatically input all compliance risk data and reports into
Power-BI report templates, HTML or Microsoft Excel files
for download and reference
Compliance Report Formats - Provide a variety of easily
consumable compliance reports – including incident
status, incident priority, scan results, top 10 assignees, top10 incident creators, violation, risk trend, scan history, top
active users-exposure, shared files trend by time range,classification code and violations by exposures – to satisfy
diverse business demands
Error Highlight Report - Highlight the areas that violate
the specified compliance standards or guidelines in files,
instant message conversations, or web pages to helporganizations quickly address non-compliant information
Risk Score and Risk Levels- Sophisticated logic presents
risk scores and risk levels within content and scan results
using out-of-the-box risk calculation formulas
Incident Prioritization – Assign priority to incidents
automatically or manually to ensure the most critical
violations are addressed as soon as possible
Bulk Incidents – Review the whole result as an incident toreduce work redundancy
Centralized Dashboard with Decentralized Workflow Security, Privacy, and Compliance Officers can maintainan organization-wide view into compliance risk, but
optionally use Compliance Guardian’s delegated andsecurity-trimmed workflow capabilities to assign appropri-ate business or content owners to address potential
violations. The system maintains a full audit trail for issue
resolutions or escalations, allowing the security operations
center to focus on high risk issues and business owners toresolve low risk issues
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Incorporate Human Review - Involve human review totake resolutions, including resolve, dismiss, escalate andreopen, enabling flexible remediation and reducing false
positives
Human Review Tracking - Track human auditing history,
including which filecheck status is changed and by whom,and export to Microsoft Excel files for distribution
System Overriding - Instruct the system to not test orreview the file again after its check status has changed byhuman review unless the test suite, rules, or file itself haschanged, allowing you to override the system
Incident Tracking and Management – Easily accessrelevant information on discovered incidents to ensure
they are reviewed, tracked, and acted on in accordancewith your organization’s information governance policies
Email Notification - Generate actionable email notifications upon identification of sensitive or non-compliant
content for end users or compliance teams to takedecisive actiones
AvePoint Perimeter Integration – Perimeter’s ‘Live
Preview’ integration lets business users directly andsecurely open files in an IMS report using the URL linkprovided

Human Review

Risk Score and Risk Level in Scan Record

PerimeterŃŃŃ

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AvePoint Perimeter Integration – Perimeter’s ‘Live Preview’ integration lets business users directly and securely open files
in an IMS report using the URL link provided
Secure Sharing – Securely share content with external parties directly from on-premises or cloud libraries

Very Insightful – Offers insights and monitoring on all externally shared content—for both internal users who share content
and external users who access it—via dashboard reports
MyDrive & Thrive – Upload files directly to Perimeter’s “MyDrive” to share with external parties for a secure, on-prem
alternative to cloud-based file sharing like an on-prem Dropbox

Incident Tracking and Management

Live Preview

For a comprehensive list of new features in this release, please review the release notes on your AvePoint Account Portal.

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