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Archive Viewer Reports


Topic Last Modified: 2011-04-07

The compliance manager, technical administrator, and supervisor roles can choose from a wide selection of reports. You can select and run reports on an as-needed basis. You can also schedule reports to be run at regular intervals, and then delivered to you.

You can view a report as a web page, a PDF file (with Adobe Acrobat 5.0, or a later version with inline PDF viewing), or an Excel worksheet.

Some reports can take a long time to process in large organizations or where there are large numbers of emails to review. The time required to process reports might exceed the session timeout settings for Archive Viewer. For large reports that might take a long time to process, subscribe to the report so that the resulting report is sent to you by email. Note that subscribed reports use the default report settings and cannot be configured.

The following table summarizes the reports that are available in Archive Viewer.


Report Description

Activity Summary report

Provides an overview of how many internal and external messages were sent and received for email messages, instant messages, and other files and documents. This report also provides the overall and average size for each category of message. This report counts real messages and removes embedded messages.

Archive Summary report

Displays archive statistics for the organization. Statistics are included for email messages, instant messages, and other files and documents that include Bloomberg reports, faxes, and uploaded documents. Statistical breakdowns include count, basic size, size of attachments, and average size. Totals are given for all data categories.

Attachment Summary report

Presents data in a table and a three-dimensional column chart, showing the most common attachment types that are found in the archived message traffic. This report includes data on file extension, document type, quantity, total size, and average size.

Audit Events report

Provides details of all specific user-related actions that are performed. These activities include viewing email messages, exporting and restoring message activities, and logging in and out. This report can provide overall information and individual information for each category.

Daily Statistics report

Displays the daily statistics for all message types (email messages, instant messages, and other files and documents) that are archived for a particular day. Total count and size are given for all data columns.

Destruction report

Validates and lists messages that have been destroyed because of the retention period expiration date. Details about each individual message include the date destroyed, date sent and received, the age when destroyed, who the message was from, who it was to, and the message's subject. Messages past retention period are destroyed in all data centers (production and disaster recovery) once a day, starting at 18:00 Pacific Time. If you have implemented a hold, messages are not destroyed. All email messages, instant messages, Bloomberg transcripts, or uploaded documents are destroyed when their retention period expires. The header information of a message is kept, but message bodies and attachments are destroyed.

Email Summary report

Summarizes statistics for all users or for individuals. These statistics include summaries of internal and external messages that are sent and received, average message size, and totals.

Employee Roster report

Displays a complete list of users with archive accounts, in addition to what roles those users have been assigned, who is their supervisor, and what date they last logged on. This report also displays individuals' retention period settings, last sent messages, and last received messages. Totals are included for all data columns, in addition to a breakdown of totals by assigned role.

Privileged Roles report

Displays a category for each role with privileges: compliance manager, compliance operator, external compliance auditor, human resources manager, monitor, monitor operator, role manager, supervisor, technical administrator, and technical operator. In each category, the users with that role are listed, including the date that the role was assigned to them. Total counts are given for each role.

SEC 17a-4 report

Provides evidence of complete, serialized, and archived email for your organization. It identifies the first message archived and the most recent message archived, in addition to information such as date, time, to, from, subject, and the message ID number for serialization.

This report also includes the number of messages captured, the number destroyed, the number on hold, and voided message IDs. In the event that an ID number is not issued sequentially, it is not used at all (these are voided IDs).

Supervisory Review Evidentiary report

The Supervisory Review Evidentiary report is useful for audits. This report not only provides compliance managers with the numbers and percentages of communications that are being reviewed for FINRA 3010 compliance, but also provides the same metrics for those subordinates whose email is reviewed for general purposes.

A compliance manager can determine who to include in this report. One or both of the following options can be selected: Include individuals requiring FINRA 3010 review and Include individuals requiring review. If only the first option is selected, the report title appears as FINRA 3010 Evidentiary Report. In any other situation, the report title is Supervisory Review Evidentiary report.

When you select both Include individuals requiring FINRA 3010 review and Include individuals requiring review options, names that are being reviewed for FINRA 3010 compliance are displayed in bold red type. Compliance managers can use this report to monitor supervisors' review activities.

The Supervisory Review Evidentiary report is broken down by supervisor and shows how many messages have been captured and reviewed for each subordinate. In the Supervisory Review Evidentiary report, the Last Sampling field shows the last time that the supervisor performed regular message sampling.

System Statistics report

The System Statistics report provides a view of the complete system for the specified date range. Statistics cover the number of mailboxes, recipients, senders, volume, and archive statistics. Data breakdown includes quantity, average size, and totals for all data categories.

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