Symantec™ Data Loss

Prevention Administration
Guide

Version 12.0
Symantec Data Loss Prevention Administration Guide
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 Contents

Technical Support ............................................................................................... 4

Section 1 Getting started .............................................................. 43

Chapter 1 Introducing Symantec Data Loss Prevention ................ 45
About Symantec Data Loss Prevention ............................................. 45
About the Enforce platform ........................................................... 48
About Network Monitor and Prevent ............................................... 49
About Network Discover ................................................................ 49
About Network Protect .................................................................. 50
About Mobile Prevent ................................................................... 51
About Mobile Email Monitor .......................................................... 51
About Endpoint Discover ............................................................... 52
About Endpoint Prevent ................................................................ 52

Chapter 2 Getting started administering Symantec Data Loss

Prevention ....................................................................... 55
About Symantec Data Loss Prevention administration ........................ 55
About the Enforce Server administration console ............................... 56
Logging on and off the Enforce Server administration console .............. 57
About the administrator account .................................................... 58
Performing initial setup tasks ........................................................ 58
Changing the administrator password .............................................. 59
Adding an administrator email account ............................................ 59
Editing a user profile .................................................................... 60
Changing your password ............................................................... 63

Chapter 3 Working with languages and locales ............................... 65

About support for character sets, languages, and locales ..................... 65
Supported languages for detection .................................................. 66
Working with international characters ............................................ 68
About Symantec Data Loss Prevention language packs ........................ 69
About locales ............................................................................... 70
8 Contents

Using a non-English language on the Enforce Server administration

console ................................................................................. 71
Using the Language Pack Utility ..................................................... 72

Section 2 Managing the Enforce Server

platform ....................................................................... 77
Chapter 4 Managing Enforce Server services and settings ........... 79
About Enforce Server services ........................................................ 79
About starting and stopping services on Windows .............................. 80
Starting an Enforce Server on Windows ..................................... 80
Stopping an Enforce Server on Windows .................................... 80
Starting a Detection Server on Windows .................................... 81
Stopping a Detection Server on Windows ................................... 81
Starting services on single-tier Windows installations .................. 82
Stopping services on single-tier Windows installations ................. 82
Starting and stopping services on Linux ........................................... 83
Starting an Enforce Server on Linux .......................................... 83
Stopping an Enforce Server on Linux ......................................... 84
Starting a detection server on Linux .......................................... 84
Stopping a detection server on Linux ......................................... 84
Starting services on single-tier Linux installations ....................... 85
Stopping services on single-tier Linux installations ...................... 85

Chapter 5 Managing roles and users ................................................. 87

About role-based access control ...................................................... 87
About authenticating users ............................................................ 88
About configuring roles and users ................................................... 92
About recommended roles for your organization ............................... 92
Roles included with solution packs .................................................. 94
Configuring roles ......................................................................... 95
Configuring user accounts ........................................................... 103
Configuring password enforcement settings .................................... 106
Resetting the Administrator password ........................................... 107
Manage and add roles .................................................................. 108
Manage and add users ................................................................. 108
Integrating Active Directory for user authentication ......................... 109
Creating the configuration file for Active Directory
integration .................................................................... 110
Verifying the Active Directory connection ................................ 112
 Contents 9

Configuring the Enforce Server for Active Directory

authentication ............................................................... 113
About configuring certificate authentication ................................... 114
Configuring certificate authentication for the Enforce Server
administration console .................................................... 117
Adding certificate authority (CA) certificates to the Tomcat trust
store ............................................................................ 119
Mapping Common Name (CN) values to Symantec Data Loss
Prevention user accounts ................................................. 122
About certificate revocation checks ......................................... 123
Troubleshooting certificate authentication ............................... 129
Disabling password authentication and forms-based log on .......... 130

Chapter 6 Connecting to group directories ..................................... 131

About connecting to directory servers ............................................ 131
Configuring directory server connections ....................................... 132
Scheduling directory server indexing ............................................. 134

Chapter 7 Managing stored credentials .......................................... 137

About the credential store ............................................................ 137
Adding new credentials to the credential store ................................. 138
Configuring endpoint credentials .................................................. 138
Managing credentials in the credential store ................................... 139

Chapter 8 Managing system events and messages ....................... 141

About system events ................................................................... 141
System events reports ................................................................. 142
Working with saved system reports ............................................... 145
Server event detail ...................................................................... 146
Configuring event thresholds and triggers ...................................... 147
About system event responses ...................................................... 149
Enabling a syslog server .............................................................. 151
About system alerts .................................................................... 153
Configuring the Enforce Server to send email alerts .......................... 153
Configuring system alerts ............................................................ 155
About log review ........................................................................ 157
System event codes and messages ................................................. 157

Chapter 9 Adding a new product module ........................................ 173

Installing a new license file .......................................................... 173
About system upgrades ............................................................... 174
10 Contents

Chapter 10 Integrating Enforce with Symantec Protection

Center (SPC) ................................................................. 175
About Symantec Protection Center (SPC) ........................................ 175
About Enforce Server integration with SPC ..................................... 176
Considerations and requirements for integrating the Enforce Server
with SPC ............................................................................. 177
Integrating the Enforce Server with SPC ......................................... 178

Section 3 Managing detection servers ................................ 187

Chapter 11 Installing and managing detection servers .................. 189
About managing Symantec Data Loss Prevention servers ................... 190
Enabling Advanced Process Control ............................................... 190
Server controls .......................................................................... 192
Server configuration—basic .......................................................... 193
Network Monitor Server—basic configuration ............................ 195
Network Prevent for Email Server—basic configuration ............... 197
Network Prevent for Web Server—basic configuration ................. 200
Network Discover Server and Network Protect—basic
configuration ................................................................. 203
Endpoint Server—basic configuration ....................................... 204
Classification Server—basic configuration ................................. 205
Server configuration—advanced .................................................... 206
Adding a detection server ............................................................ 207
Removing a server ...................................................................... 208
Importing SSL certificates to Enforce or Discover servers .................. 209
About the System Overview screen ................................................ 210
Server status overview ................................................................ 211
Recent error and warning events list .............................................. 213
Server Detail screen .................................................................... 213
Advanced server settings ............................................................. 215
Advanced agent settings .............................................................. 247

Chapter 12 Managing log files ............................................................. 267

About log files ............................................................................ 267
Operational log files .............................................................. 268
Debug log files ..................................................................... 271
Log collection and configuration screen .......................................... 276
Configuring server logging behavior .............................................. 276
Collecting server logs and configuration files ................................... 281
About log event codes .................................................................. 285
 Contents 11

Network and Mobile Prevent for Web operational log files and
event codes ................................................................... 286
Network and Mobile Prevent for Web access log files and
fields ............................................................................ 288
Network and Mobile Prevent for Web protocol debug log
files ............................................................................. 290
Network Prevent for Email log levels ........................................ 291
Network Prevent for Email operational log codes ....................... 291
Network Prevent for Email originated responses and codes .......... 295

Chapter 13 Using Symantec Data Loss Prevention utilities .......... 299

About the Symantec Data Loss Prevention utilities ........................... 299
About Endpoint utilities ............................................................... 301
About the Environment Check Utility ............................................. 302
Running the Environment Check Utility on Windows .................. 303
Running the Environment Check Utility on Linux ....................... 303
About Environment Check Utility output .................................. 304
About DBPasswordChanger .......................................................... 304
DBPasswordChanger syntax ................................................... 305
Example of using DBPasswordChanger ..................................... 305
About the sslkeytool utility and server certificates ........................... 306
About sslkeytool command line options .................................... 307
Using sslkeytool to generate new Enforce and detection server
certificates .................................................................... 308
Using sslkeytool to add new detection server certificates ............. 310
Verifying server certificate usage ............................................ 311
About using the SQL Preindexer .................................................... 311
SQL Preindexer command function and options ......................... 312
Troubleshooting preindexing errors ........................................ 313
About using the Remote EDM Indexer ............................................ 314
System requirements for the Remote EDM Indexer ..................... 314
Using the Remote EDM Indexer ............................................... 315
Installing the Remote EDM Indexer ......................................... 316
Installing from the command line (for Linux) ............................. 317
Creating an EDM profile for remote indexing ............................. 317
Remote EDM Indexer command options ................................... 320
Copying and using generated index files ................................... 321
Troubleshooting index jobs .................................................... 322
Uninstalling Remote Indexer on a Windows platform .................. 323
Uninstalling Remote Indexer on a Linux platform ...................... 323
12 Contents

Section 4 Authoring policies ..................................................... 325

Chapter 14 Introduction to policies .................................................... 327
About Data Loss Prevention policies .............................................. 327
Policy components ...................................................................... 329
Policy templates ......................................................................... 330
Solution packs ........................................................................... 331
Policy groups ............................................................................. 331
Policy deployment ...................................................................... 332
Policy severity ........................................................................... 333
Policy authoring privileges ........................................................... 334
Data Profiles .............................................................................. 335
User Groups .............................................................................. 336
Policy import and export ............................................................. 336
Workflow for implementing policies .............................................. 337

Chapter 15 Overview of policy detection ........................................... 339

Detecting data loss ..................................................................... 339
Content that can be detected .................................................. 340
Files that can be detected ....................................................... 340
Protocols that can be monitored .............................................. 340
Endpoint events that can be detected ....................................... 341
Identities that can be detected ................................................ 341
Languages that can be detected ............................................... 341
Data Loss Prevention policy detection technologies .......................... 341
Policy matching conditions .......................................................... 343
Content matching conditions .................................................. 344
File property matching conditions ........................................... 345
Protocol matching condition for network and mobile .................. 346
Endpoint matching conditions ................................................ 347
Groups (identity) matching conditions ..................................... 348
Detection messages and message components ................................. 349
Exception conditions ................................................................... 350
Compound conditions ................................................................. 351
Policy detection execution ............................................................ 352
Two-tier detection for DLP Agents ................................................. 353

Chapter 16 Creating policies from templates ................................... 355

Creating a policy from a template .................................................. 355
US Regulatory Enforcement policy templates .................................. 357
UK and International Regulatory Enforcement policy templates ......... 360
 Contents 13

Customer and Employee Data Protection policy templates ................. 360

Confidential or Classified Data Protection policy templates ................ 362
Network Security Enforcement policy templates .............................. 363
Acceptable Use Enforcement policy templates ................................. 363
Choosing an Exact Data Profile ..................................................... 365
Choosing an Indexed Document Profile .......................................... 366

Chapter 17 Configuring policies .......................................................... 369

Adding a new policy or policy template ........................................... 369
Configuring policies .................................................................... 370
Adding a rule to a policy .............................................................. 372
Configuring policy rules .............................................................. 374
Defining rule severity .................................................................. 377
Configuring match counting ......................................................... 378
Selecting components to match on ................................................ 380
Adding an exception to a policy ..................................................... 381
Configuring policy exceptions ....................................................... 384
Configuring compound match conditions ........................................ 386
Input character limits for policy configuration ................................. 388

Chapter 18 Administering policies ...................................................... 389

Manage and add policies .............................................................. 389
Manage and add policy groups ...................................................... 391
Creating and modifying policy groups ............................................ 392
Importing policy templates .......................................................... 393
Exporting policy detection as a template ......................................... 394
Adding an automated response rule to a policy ................................ 394
Removing policies and policy groups .............................................. 395
Troubleshooting policies .............................................................. 396

Chapter 19 General policy authoring considerations ..................... 399

About policy authoring considerations ........................................... 399
Develop a policy strategy that supports your data security
objectives ............................................................................ 400
Use a limited number of policies to get started ................................. 400
Use policy templates but modify them to meet your
requirements ....................................................................... 401
Use the appropriate match condition for your data loss prevention
objectives ............................................................................ 401
Test and tune policies to improve match accuracy ............................ 402
Start with high match thresholds to reduce false positives ................. 404
14 Contents

Use a limited number of exceptions to narrow detection scope ............ 404

Use compound conditions to improve match accuracy ....................... 404
Author policies to limit the potential effect of two-tier detection ......... 405
Use policy groups to manage policy lifecycle ................................... 406
Follow detection-specific considerations ......................................... 406

Chapter 20 Detecting content using Exact Data Matching

(EDM) ............................................................................. 409

About Exact Data Matching (EDM) ................................................. 409

How EDM works ................................................................... 410
About the Exact Data Profile ................................................... 411
About creating and cleansing the exact data source file ............... 411
About profile validation ......................................................... 412
About index scheduling ......................................................... 413
About remote indexing .......................................................... 413
About the Content Matches Exact Data From condition ............... 413
About Data Owner Exception .................................................. 413
About profiled Directory Group Matching (DGM) ........................ 414
About two-tier detection for EDM on the endpoint ...................... 415
Implementing Exact Data Matching (EDM) ...................................... 415
Manage and add Exact Data Profiles ......................................... 416
Creating the exact data source file ........................................... 418
Preparing the exact data source file for indexing ........................ 419
Uploading exact data source files to the Enforce Server ............... 420
Creating and modifying Exact Data Profiles ............................... 422
Mapping Exact Data Profile fields ............................................ 426
Scheduling Exact Data Profile indexing .................................... 428
Configuring the Content Matches Exact Data condition ............... 429
Implementing Data Owner Exception ....................................... 432
Advanced server settings for EDM policies ................................ 433
Configuring exact data match counting .................................... 434
EDM policy considerations ........................................................... 434
Ensure data source has at least one column of unique data ........... 435
Cleanse the data source file of blank columns and duplicate
rows ............................................................................. 435
Remove ambiguous character types from the data source
file ............................................................................... 436
Avoid indexing multi-token cells to detect unstructured
data ............................................................................. 436
Use the pipe delimiter to ensure accurate column
separation ..................................................................... 437
 Contents 15

Map data source column to system fields to leverage

validation ..................................................................... 437
Include column headers as the first row of the data source
file ............................................................................... 438
Check the system alerts to tune profile accuracy ........................ 438
Use stopwords to exclude common words from causing false
positives ....................................................................... 438
Use scheduled indexing to automate profile updates ................... 439
Match on 3 columns in an EDM condition to increase detection
accuracy ....................................................................... 439
Leverage exception tuples to avoid false positives ...................... 440
Use a where clause to detect records that meet specific
criteria ......................................................................... 441
Use the minimum matches field to fine tune EDM rules ............... 441
Combine Data Identifiers with EDM rules to limit the impact of
two-tier detection ........................................................... 441

Chapter 21 Detecting content using Indexed Document

Matching (IDM) ............................................................ 443
About Indexed Document Matching (IDM) ....................................... 443
How IDM works .................................................................... 444
About the Indexed Document Profile ........................................ 444
About the document data source ............................................. 445
About indexing documents remotely on SharePoint servers ......... 445
About the server index .......................................................... 446
About configuring the Content Matches Document Signature
condition ...................................................................... 447
Using IDM to protect file contents ........................................... 447
Using IDM to protect files ...................................................... 449
About using IDM for policy exceptions ..................................... 450
About whitelisting content ..................................................... 451
About two-tier detection for IDM on the endpoint ...................... 451
Implementing IDM policies .......................................................... 451
Preparing the document source for indexing ............................. 452
Whitelisting file contents to exclude from matching ................... 453
Manage and add Indexed Document Profiles .............................. 455
Creating and modifying Indexed Document Profiles .................... 456
Uploading a document archive to the Enforce Server .................. 458
Referencing a document archive on the Enforce Server ............... 459
Using local path on Enforce Server .......................................... 461
Using the Remote SMB Share option to index the data
source .......................................................................... 462
16 Contents

Using remote SMB share to index SharePoint documents ............. 462

Filtering documents by file name ............................................ 465
Filtering documents by file size ............................................... 467
Scheduling document profile indexing ..................................... 468
Configuring the Content Matches Document Signature
condition ...................................................................... 468
Changing the default indexer properties ................................... 470
IDM policy considerations ............................................................ 471
Do not compress files in the document source ............................ 471
Avoid using IDM solely for binary files ..................................... 471
Do not index empty documents ............................................... 472
Use whitelisting to exclude non-sensitive content from
matching ...................................................................... 472
Filter documents from indexing to reduce false positives ............. 473
Distinguish IDM exceptions from whitelisting and filtering .......... 473
Create separate profiles to index large document sources ............ 474
Use WebDAV to index remote document sources ........................ 474
Use scheduled indexing to keep profiles up to date ..................... 475
Use parallel IDM rules to tune match thresholds ........................ 475

Chapter 22 Detecting content using Vector Machine Learning

(VML) .............................................................................. 477
About Vector Machine Learning (VML) ........................................... 477
About the Vector Machine Learning Profile ............................... 478
About the content you train .................................................... 478
About the base accuracy from training percentage rates .............. 479
About the Similarity Threshold and Similarity Score ................... 480
About using unaccepted VML profiles in policies ........................ 481
Implementing Vector Machine Learning (VML) ................................ 481
Creating new VML profiles ..................................................... 483
Working with the Current Profile and Temporary Workspace
tabs ............................................................................. 483
Uploading example documents for training ............................... 484
Training VML profiles ........................................................... 486
Adjusting memory allocation .................................................. 488
Managing training set documents ............................................ 489
Managing VML profiles ......................................................... 490
Changing names and descriptions for VML profiles .................... 492
Configuring the Detect using Vector Machine Learning Profile
condition ...................................................................... 493
Configuring VML policy exceptions .......................................... 494
Adjusting the Similarity Threshold .......................................... 495
 Contents 17

Testing and tuning VML profiles ............................................. 496

Properties for configuring training .......................................... 497
Log files for troubleshooting VML training and policy
detection ...................................................................... 499
VML policy considerations ........................................................... 500
When to use VML ................................................................. 500
When not to use VML ............................................................ 501
Recommendations for training set definition ............................. 502
Guidelines for training set sizing ............................................. 503
Recommendations for uploading documents for training ............. 504
Guidelines for profile sizing ................................................... 505
Recommendations for accepting or rejecting a profile ................. 505
Guidelines for accepting or rejecting training results .................. 506
Recommendations for deploying profiles .................................. 507

Chapter 23 Detecting content using Data Identifiers ..................... 509

About Data Identifiers ................................................................. 509
Available system Data Identifiers ............................................ 510
About Data Identifier breadths ................................................ 513
About optional validators ....................................................... 514
Acceptable characters for optional validators ............................ 515
About cross-component matching for Data Identifiers ................ 517
About modifying Data Identifiers ............................................ 517
About Data Identifier patterns ................................................ 518
About pattern language limitations for Data Identifiers ............... 519
About data validators ............................................................ 519
About custom Data Identifiers ................................................ 522
About data normalizers ......................................................... 522
About Data Identifier configuration ......................................... 523
About unique match counting for Data Identifiers ...................... 525
About the change to randomized US SSNs ................................. 526
Implementing system-defined Data Identifiers ................................ 527
Manage and add Data Identifiers ............................................. 527
Configuring the Content Matches Data Identifier condition .......... 528
Selecting system Data Identifier breadth .................................. 530
Configuring optional validators ............................................... 533
Implementing unique match counting for Data Identifiers ........... 534
Modifying and creating Data Identifiers ................................... 535
Manually cloning a system Data Identifier before modifying
it ................................................................................. 536
Editing required validator input .............................................. 536
Implementing custom Data Identifiers ........................................... 537
18 Contents

Writing patterns to match data ............................................... 538

Character limits for Data Identifier patterns .............................. 539
Selecting required data validators ........................................... 539
Creating custom script validators ............................................ 540
Creating the US SSN - Randomized custom DI ........................... 541
Data Identifier policy considerations .............................................. 543
Use Data Identifiers instead of regular expressions to improve
accuracy ....................................................................... 543
Clone system-defined Data Identifiers before modifying to
preserve original state ..................................................... 544
Modify Data Identifier definitions when you want tuning to apply
globally ........................................................................ 544
Consider using multiple breadths in parallel to detect different
severities of confidential data ........................................... 545
Avoid matching on the Envelope over HTTP to reduce false
positives ....................................................................... 545
Implement the US SSN Randomized custom Data Identifier to
detect newly issued SSNs ................................................. 546
Recommendations for using the US SSN - Randomized custom
DI ................................................................................ 546
Use unique match counting to improve accuracy and ease
remediation ................................................................... 546

Chapter 24 Detecting content using keyword matching ................ 549

About keyword matching ............................................................. 549
About keyword proximity matching ......................................... 549
Keyword matching syntax ...................................................... 550
Keyword matching examples ................................................. 550
Implementing keyword matching ............................................ 552
Configuring the Content Matches Keyword condition ........................ 552
Keyword matching policy considerations ........................................ 555
Use partial word matching to detect keywords in Chinese,
Japanese, and Korean ...................................................... 555
Use a keyword rule to tune keywords lists for validators to
improve accuracy ........................................................... 556
Use indexing to generate and maintain keyword
dictionaries ................................................................... 556

Chapter 25 Detecting content using regular expressions .............. 557

About regular expression matching ............................................... 557
About writing regular expressions ................................................. 557
Configuring the Content Matches Regular Expression condition ......... 559
 Contents 19

Regular expression matching considerations ................................... 560

When to use regular expression matching ................................. 560
Use look ahead and look behind characters to improve regex
accuracy ....................................................................... 561
Use regular expressions sparingly to support efficient
performance .................................................................. 561
Test regular expressions before deployment to improve
accuracy ....................................................................... 561

Chapter 26 Detecting file properties .................................................. 563

About file property matching ........................................................ 563
About file type matching ........................................................ 563
About file size matching ........................................................ 564
About file name matching ...................................................... 565
Implementing file property matching ............................................. 566
Configuring the Message Attachment or File Type Match
condition ...................................................................... 567
Configuring the Message Attachment or File Size Match
condition ...................................................................... 568
Configuring the Message Attachment or File Name Match
condition ...................................................................... 569
Enabling custom file type detection ......................................... 569
Configuring the Custom File Type Signature condition ................ 570
Consider using compound file property rules to protect design and
multimedia files ................................................................... 571

Chapter 27 Detecting network and mobile incidents ...................... 573

About protocol monitoring for network .......................................... 573
About protocol monitoring for mobile ............................................ 574
Configuring the Protocol Monitoring condition for network
detection ............................................................................ 575
Configuring the Protocol Monitoring condition for mobile
detection ............................................................................ 576
Consider separate policies for specific protocols ............................... 577

Chapter 28 Detecting endpoint events ............................................... 579

About endpoint event detection .................................................... 579
About endpoint protocol monitoring ........................................ 579
About endpoint destination monitoring .................................... 580
About endpoint application monitoring .................................... 581
About endpoint device detection ............................................. 581
20 Contents

About endpoint location detection ........................................... 581

Implementing endpoint event matching ......................................... 582
Configuring the Endpoint Monitoring condition ......................... 582
Configuring the Endpoint Location condition ............................ 584
Configuring the Endpoint Device Class or ID condition ................ 585
Manage and add endpoint devices ........................................... 586
Creating and modifying endpoint device configurations .............. 587
Gathering endpoint device IDs ................................................ 588
Endpoint event policy considerations ............................................. 589

Chapter 29 Detecting described identities ........................................ 591

About described identity matching ................................................ 591
Implementing described identity matching ..................................... 591
Described identity matching examples ........................................... 592
Configuring the Sender/User Matches Pattern condition ................... 593
Configuring the Recipient Matches Pattern condition ....................... 595
Described identity matching policy considerations ........................... 596
Define precise identity patterns to match users .......................... 596
Specify email addresses exactly to improve accuracy .................. 597
Match domains instead of IP addresses to improve
accuracy ....................................................................... 597

Chapter 30 Detecting synchronized identities ................................. 599

About synchronized Directory Group Matching (DGM) ...................... 599
About two-tier detection for synchronized DGM ........................ 600
Implementing synchronized DGM ................................................. 600
Creating or modifying a User Group ......................................... 601
Configuring the Sender/User based on a Directory Server Group
condition ...................................................................... 603
Configuring the Recipient based on a Directory Server Group
condition ...................................................................... 604
Synchronized DGM policy considerations ....................................... 605
Refresh the directory on initial save of the User Group ................ 605
Distinguish synchronized DGM from other types endpoint
detection ...................................................................... 606

Chapter 31 Detecting profiled identities ........................................... 607

About profiled Directory Group Matching (DGM) .............................. 607
About profiled DGM conditions ............................................... 607
About two-tier detection for profiled DGM ................................ 608
Implementing profiled DGM ......................................................... 608
 Contents 21

Creating the exact data source file for profiled DGM ................... 609
Configuring the Sender/User based on a Profiled Directory
condition ...................................................................... 610
Configuring the Recipient based on a Profiled Directory
condition ...................................................................... 611
Profiled DGM policy considerations ............................................... 612
Follow EDM best practices when implementing profiled
DGM ............................................................................ 612
Include an email address field in the Exact Data Profile ............... 612
Use profiled DGM for Network Prevent for Web identity
detection ...................................................................... 612

Chapter 32 Detecting international content ..................................... 613

About implementing non-English language detection ........................ 613
International policy templates ...................................................... 614
Using find keywords for international system data identifiers ............ 615
Use partial keyword matching for Chinese, Japanese, and
Korean ............................................................................... 617

Chapter 33 Detecting document metadata ....................................... 619

About file format metadata detection ............................................. 619
Supported file formats for metadata detection ................................. 620
Enabling server metadata detection ............................................... 620
Enabling endpoint metadata detection ........................................... 621
Considerations for implementing metadata detection ....................... 621
Use filter to verify file format metadata support ........................ 622
Distinguish metadata from file content and application
data ............................................................................. 625
Use and tune keyword lists to avoid false positives on
metadata ...................................................................... 626
Understand performance implications of enabling endpoint
metadata detection ......................................................... 626
Create a separate endpoint configuration for metadata
detection ...................................................................... 626
Use response rules to tag incidents with metadata ...................... 626

Chapter 34 Detecting email for data classification services ......... 627

About implementing detection for Enterprise Vault
Classification ....................................................................... 627
About matching on the message Subject for Data Classification
Services .............................................................................. 628
22 Contents

Enabling classification test mode .................................................. 628

Configuring the Message/Email Properties and Attributes
condition ............................................................................ 630

Chapter 35 File formats ......................................................................... 633

File formats whose content can be extracted .................................... 633
Supported word processing file formats .................................... 634
Supported presentation formats .............................................. 635
Supported spreadsheet formats .............................................. 636
Supported encapsulation formats ............................................ 637
Supported text and markupt file formats .................................. 638
Supported email file formats .................................................. 639
Supported computer-aided design formats ................................ 639
Supported graphics formats ................................................... 640
Supported database formats ................................................... 640
Other supported formats ....................................................... 640
File types that can be recognized ................................................... 641
Custom file formats .................................................................... 656

Chapter 36 Data identifiers .................................................................. 657

ABA Routing Number data identifier .............................................. 658
ABA Routing Number wide breadth .......................................... 659
ABA Routing Number medium breadth ..................................... 659
ABA Routing Number narrow breadth ...................................... 660
Australian Medicare Number data identifier .................................... 661
Australian Tax File Number data identifier ..................................... 662
Burgerservicenummer data identifier ............................................. 662
Canadian Social Insurance Number data identifier ............................ 663
Canadian Social Insurance Number wide breadth ....................... 663
Canadian Social Insurance Number medium breadth .................. 664
Canadian Social Insurance Number narrow breadth .................... 664
Codice Fiscale data identifier ........................................................ 665
Credit Card Magnetic Stripe Data data identifier .............................. 666
Credit Card Number data identifier ................................................ 668
Credit Card Number wide breadth ............................................ 668
Credit Card Number medium breadth ....................................... 669
Credit Card Number narrow breadth ........................................ 671
CUSIP Number data identifier ....................................................... 674
CUSIP Number wide breadth .................................................. 674
CUSIP Number medium breadth .............................................. 675
CUSIP Number narrow breadth ............................................... 675
Drivers License Number – CA State data identifier ............................ 676
 Contents 23

Drivers License Number – CA State wide breadth ....................... 676

Drivers License Number – CA State medium breadth ................... 677
Drivers License Number - FL, MI, MN States data identifier ................ 677
Drivers License Number- FL, MI, MN States wide breadth ............ 678
Drivers License Number- FL, MI, MN States medium
breadth ........................................................................ 678
Drivers License Number - IL State data identifier ............................. 679
Drivers License Number- IL State wide breadth .......................... 680
Drivers License Number- IL State medium breadth ..................... 680
Drivers License Number - NJ State data identifier ............................. 681
Drivers License Number- NJ State wide breadth ......................... 681
Drivers License Number- NJ State medium breadth ..................... 682
Drivers License Number - NY State data identifier ............................ 682
Drivers License Number- NY State wide breadth ........................ 683
Drivers License Number - NY State medium breadth ................... 683
French INSEE Code data identifier ................................................. 684
Hong Kong ID data identifier ........................................................ 684
IBAN Central data identifier ......................................................... 685
IBAN East data identifier ............................................................. 687
IBAN West data identifier ............................................................ 690
IP Address data identifier ............................................................. 692
IP Address wide breadth ........................................................ 692
IP Address medium breadth ................................................... 693
IP Address narrow breadth ..................................................... 694
National Drug Code (NDC) data identifier ........................................ 694
National Drug Code (NDC) wide breadth .................................... 695
National Drug Code (NDC) medium breadth ............................... 695
National Drug Code (NDC) narrow breadth ................................ 696
People's Republic of China ID data identifier ................................... 697
Singapore NRIC data identifier ...................................................... 697
South Korea Resident Registration Number data identifier ................. 698
South Korea Resident Registration Number wide breadth ............ 698
South Korea Resident Registration Number medium
breadth ........................................................................ 699
Spanish DNI ID data identifier ...................................................... 699
SWIFT Code data identifier .......................................................... 700
SWIFT Code wide breadth ...................................................... 700
SWIFT Code narrow breadth ................................................... 701
Swiss AHV Number data identifier ................................................. 702
Taiwan ID data identifier ............................................................. 702
UK Drivers License Number data identifier ..................................... 703
UK Drivers License Number wide breadth ................................. 703
UK Drivers License Number medium breadth ............................ 704
24 Contents

UK Drivers License Number narrow breadth .............................. 704

UK Electoral Roll Number data identifier ........................................ 705
UK National Health Service (NHS) Number data identifier ................. 706
UK National Health Service (NHS) Number medium
breadth ........................................................................ 707
UK National Health Service (NHS) Number narrow breadth .......... 707
UK National Insurance Number data identifier ................................ 708
UK National Insurance Number wide breadth ............................ 709
UK National Insurance Number medium breadth ....................... 709
UK National Insurance Number narrow breadth ......................... 710
UK Passport Number data identifier ............................................... 711
UK Passport Number wide breadth .......................................... 711
UK Passport Number medium breadth ..................................... 711
UK Passport Number narrow breadth ....................................... 712
UK Tax ID Number data identifier ................................................. 713
UK Tax ID Number wide breadth ............................................. 713
UK Tax ID Number medium breadth ........................................ 714
UK Tax ID Number narrow breadth .......................................... 714
US Individual Tax Identification Number (ITIN) data identifier ........... 715
US Individual Tax Identification Number (ITIN) wide
breadth ........................................................................ 716
US Individual Tax Identification Number (ITIN) medium
breadth ........................................................................ 716
US Individual Tax Identification Number (ITIN) narrow
breadth ........................................................................ 717
US Social Security Number (SSN) data identifier .............................. 718
US Social Security Number (SSN) wide breadth .......................... 718
US Social Security Number (SSN) medium breadth ..................... 720
US Social Security Number (SSN) narrow breadth ...................... 721
US SSN – Randomized custom Data Identifier .................................. 722

Chapter 37 Policy templates ................................................................ 723

Caldicott Report policy template ................................................... 725

Canadian Social Insurance Numbers policy template ......................... 727
CAN-SPAM Act policy template ..................................................... 727
Common Spyware Upload Sites policy template ............................... 729
Competitor Communications policy template .................................. 729
Confidential Documents policy template ......................................... 730
Credit Card Numbers policy template ............................................. 731
Customer Data Protection policy template ...................................... 731
Data Protection Act 1998 (UK) policy template ................................. 733
Data Protection Directives (EU) policy template ............................... 734
 Contents 25

Defense Message System (DMS) GENSER Classification policy

template ............................................................................. 735
Design Documents policy template ................................................ 737
Employee Data Protection policy template ...................................... 738
Encrypted Data policy template .................................................... 739
Export Administration Regulations (EAR) policy template ................. 740
FACTA 2003 (Red Flag Rules) policy template .................................. 741
Financial Information policy template ............................................ 745
Forbidden Websites policy template ............................................... 746
Gambling policy template ............................................................ 746
Gramm-Leach-Bliley policy template ............................................. 747
HIPAA and HITECH (including PHI) policy template ......................... 749
Human Rights Act 1998 policy template ......................................... 753
Illegal Drugs policy template ........................................................ 754
Individual Taxpayer Identification Numbers (ITIN) policy
template ............................................................................. 755
International Traffic in Arms Regulations (ITAR) policy
template ............................................................................. 755
Media Files policy template .......................................................... 756
Merger and Acquisition Agreements policy template ........................ 757
NASD Rule 2711 and NYSE Rules 351 and 472 policy template ............ 759
NASD Rule 3010 and NYSE Rule 342 policy template ........................ 760
NERC Security Guidelines for Electric Utilities policy template ........... 762
Network Diagrams policy template ................................................ 764
Network Security policy template .................................................. 765
Offensive Language policy template ............................................... 765
Office of Foreign Assets Control (OFAC) policy template .................... 766
OMB Memo 06-16 and FIPS 199 Regulations policy template .............. 768
Password Files policy template ..................................................... 769
Payment Card Industry (PCI) Data Security Standard policy
template ............................................................................. 770
PIPEDA policy template ............................................................... 771
Price Information policy template ................................................. 773
Project Data policy template ......................................................... 774
Proprietary Media Files policy template .......................................... 774
Publishing Documents policy template ........................................... 775
Racist Language policy template ................................................... 776
Restricted Files policy template .................................................... 776
Restricted Recipients policy template ............................................. 776
Resumes policy template ............................................................. 777
Sarbanes-Oxley policy template .................................................... 778
SEC Fair Disclosure Regulation policy template ................................ 780
Sexually Explicit Language policy template ..................................... 782
26 Contents

Source Code policy template ......................................................... 783

State Data Privacy policy template ................................................ 784
SWIFT Codes policy template ....................................................... 788
Symantec DLP Awareness and Avoidance policy template .................. 788
UK Drivers License Numbers policy template .................................. 789
UK Electoral Roll Numbers policy template ..................................... 789
UK National Health Service (NHS) Number policy template ................ 790
UK National Insurance Numbers policy template ............................. 790
UK Passport Numbers policy template ............................................ 791
UK Tax ID Numbers policy template .............................................. 791
US Intelligence Control Markings (CAPCO) and DCID 1/7 policy
template ............................................................................. 791
US Social Security Numbers policy template .................................... 793
Violence and Weapons policy template ........................................... 793
Webmail policy template ............................................................. 793
Yahoo Message Board Activity policy template ................................ 794
Yahoo and MSN Messengers on Port 80 policy template ..................... 796

Section 5 Responding to policy violations ........................ 799

Chapter 38 Responding to policy violations ...................................... 801
About response rules ................................................................... 802
About response rule actions ......................................................... 802
Response rules for all detection servers .......................................... 803
Response rules for Endpoint detection ........................................... 804
Response rules for Network and Mobile Prevent for Web
detection ............................................................................ 805
Response rules for Network Protect detection .................................. 806
Response rule for the Classification Server ...................................... 807
About response rule execution types .............................................. 807
About Automated Response rules .................................................. 808
About Smart Response rules ......................................................... 808
About response rule conditions ..................................................... 809
About response rule action execution priority .................................. 810
About response rule authoring privileges ........................................ 812
Implementing response rules ........................................................ 813
Response rule best practices ......................................................... 814

Chapter 39 Configuring and managing response rules .................. 817

Manage response rules ................................................................ 817
Adding a new response rule .......................................................... 818
 Contents 27

Configuring response rules .......................................................... 819

About configuring Smart Response rules ........................................ 820
Configuring response rule conditions ............................................. 820
Configuring response rule actions ................................................. 821
Modifying response rule ordering .................................................. 823
About removing response rules ..................................................... 824

Chapter 40 Response rule conditions ................................................. 825

Configuring the Endpoint Location response condition ...................... 825
Configuring the Endpoint Device response condition ........................ 826
Configuring the Incident Type response condition ............................ 827
Configuring the Incident Match Count response condition ................. 828
Configuring the Protocol or Endpoint Monitoring response
condition ............................................................................ 829
Configuring the Severity response condition ................................... 831

Chapter 41 Response rule actions ....................................................... 833

Configuring the Add Note action ................................................... 834
Configuring the Limit Incident Data Retention action ....................... 834
Retaining data for endpoint incidents ...................................... 835
Discarding data for network incidents ...................................... 836
Configuring the Log to a Syslog Server action .................................. 837
Configuring the Send Email Notification action ................................ 838
Configuring the Server FlexResponse action .................................... 840
Configuring the Set Attribute action .............................................. 841
Configuring the Set Status action .................................................. 842
Configuring the Endpoint: FlexResponse action ............................... 843
Configuring the Endpoint Discover: Quarantine File action ................ 844
Configuring the Endpoint Prevent: Block action ............................... 845
Configuring the Endpoint Prevent: Notify action .............................. 848
Configuring the Endpoint Prevent: User Cancel action ...................... 851
Configuring the Network and Mobile Prevent for Web: Block FTP
Request action ..................................................................... 854
Configuring the Network and Mobile Prevent for Web: Block HTTP/S
action ................................................................................. 854
Configuring the Network Prevent: Block SMTP Message action ........... 856
Configuring the Network Prevent: Modify SMTP Message action ......... 857
Configuring the Network and Mobile Prevent for Web: Remove
HTTP/S Content action .......................................................... 858
Configuring the Network Protect: Copy File action ............................ 860
Configuring the Network Protect: Quarantine File action ................... 860
28 Contents

Section 6 Remediating and managing incidents .......... 863

Chapter 42 Remediating incidents ...................................................... 865
About incident remediation .......................................................... 865
Remediating incidents ................................................................. 868
Executing Smart response rules .................................................... 869
Incident remediation action commands .......................................... 870
Response action variables ............................................................ 871
Monitor and Prevent incident variables .......................................... 871
Mobile incident variables ............................................................. 872
Discover incident variables .......................................................... 873

Chapter 43 Remediating Network incidents ..................................... 875

Network incident list ................................................................... 875
Network incident list—Actions ...................................................... 878
Network incident list—Columns .................................................... 879
Network incident snapshot ........................................................... 880
Network incident snapshot—Heading and navigation ........................ 881
Network incident snapshot—General information ............................. 881
Network incident snapshot—Matches ............................................. 884
Network incident snapshot—Attributes .......................................... 885
Network summary report ............................................................. 885

Chapter 44 Remediating Endpoint incidents .................................... 889

Endpoint incident lists ................................................................ 889
Endpoint incident snapshot .......................................................... 892
Reporting on Endpoint Prevent response rules ................................. 897
Endpoint incident destination or protocol-specific information .......... 899
Endpoint incident summary reports ............................................... 900
Configuring Endpoint Server file filters .......................................... 901

Chapter 45 Remediating Mobile incidents ........................................ 905

Mobile incident reports ............................................................... 905
Mobile incident snapshot ............................................................. 906
Mobile incident list ..................................................................... 906
Mobile Prevent incident list—Actions ............................................. 908
Mobile incident list—Columns ....................................................... 909
Mobile incident snapshot—Heading and navigation .......................... 910
Mobile incident snapshot—General information ............................... 911
Mobile incident snapshot—Matches ............................................... 913
 Contents 29

Mobile incident snapshot—Attributes ............................................. 914

Mobile summary report ............................................................... 914

Chapter 46 Remediating Discover incidents ..................................... 917

About reports for Network Discover ............................................. 1159
About incident reports for Network Discover ................................. 1160
Discover incident reports ............................................................. 919
Discover incident snapshots ......................................................... 920
Working around the issues with go to links in the Firefox
browser .............................................................................. 923
Discover incident lists ................................................................. 924
Network Discover incident actions ................................................. 924
Network Discover incident entries ................................................. 925
Discover summary reports ........................................................... 928

Chapter 47 Working with Classification incidents ........................... 929

Classification incident list ............................................................ 929
Classification incident snapshot .................................................... 930

Chapter 48 Managing and reporting incidents ................................. 933

About Symantec Data Loss Prevention reports ................................. 935
About strategies for using reports ................................................. 936
Setting report preferences ........................................................... 937
About incident reports ................................................................ 938
About dashboard reports and executive summaries .......................... 940
Viewing dashboards .................................................................... 941
Creating dashboard reports .......................................................... 941
Configuring dashboard reports ..................................................... 943
Choosing reports to include in a dashboard ..................................... 944
About summary reports ............................................................... 945
Viewing summary reports ............................................................ 945
Creating summary reports ........................................................... 946
Viewing incidents ....................................................................... 947
About custom reports and dashboards ............................................ 948
Using IT Analytics to manage incidents .......................................... 950
Filtering reports ......................................................................... 950
Saving custom incident reports ..................................................... 951
Scheduling custom incident reports ............................................... 952
Delivery schedule options for incident and system reports ................. 954
Delivery schedule options for dashboard reports .............................. 956
Using the date widget to schedule reports ....................................... 958
30 Contents

Editing custom dashboards and reports .......................................... 958

Exporting incident reports ........................................................... 958
Exported fields for Network Monitor .............................................. 959
Exported fields for Network Discover ............................................. 960
Exported fields for Mobile Prevent for Web ..................................... 961
Exported fields for Endpoint Discover ............................................ 962
Deleting incidents ...................................................................... 963
Deleting custom dashboards and reports ........................................ 964
Common incident report features .................................................. 965
Page navigation in incident reports ................................................ 966
Incident report filter and summary options ..................................... 966
Sending incident reports by email ................................................. 967
Printing incident reports ............................................................. 968
Incident snapshot history tab ....................................................... 969
Incident snapshot attributes section .............................................. 969
Incident snapshot correlations tab ................................................. 969
Incident snapshot policy section ................................................... 970
Incident snapshot matches section ................................................ 970
Incident snapshot access information section .................................. 971
Customizing incident snapshot pages ............................................. 972
About filters and summary options for reports ................................ 972
General filters for reports ............................................................ 974
Summary options for incident reports ............................................ 977
Advanced filter options for reports ................................................ 983

Chapter 49 Archiving incidents ............................................................ 993

About incident archiving ............................................................. 993
Archiving incidents .................................................................... 994
Restoring archived incidents ....................................................... 994
Preventing incidents from being archived ....................................... 995
Deleting archived incidents .......................................................... 996

Chapter 50 Working with incident data ............................................. 997

About incident status attributes .................................................... 997
Configuring status attributes and values ......................................... 999
Configuring status groups .......................................................... 1000
Export web archive ................................................................... 1001
Export web archive—Create Archive ............................................. 1002
Export web archive—All Recent Events ......................................... 1004
About custom attributes ............................................................. 1004
About using custom attributes .................................................... 1006
How custom attributes are populated ........................................... 1006
 Contents 31

Configuring custom attributes .................................................... 1007

Setting the values of custom attributes manually ............................ 1008

Chapter 51 Working with the User Risk Summary ......................... 1009

About user risk ......................................................................... 1009
About user data sources ............................................................. 1011
Defining custom attributes for user data ................................. 1012
Bringing in user data ........................................................... 1013
Viewing the user list .................................................................. 1017
Viewing user details .................................................................. 1017
Working with the user risk summary ............................................ 1018

Chapter 52 Implementing lookup plug-ins ...................................... 1019

About lookup plug-ins ............................................................... 1019
Types of lookup plug-ins ...................................................... 1020
About lookup parameters ..................................................... 1023
About plug-in deployment .................................................... 1024
About plug-in chaining ........................................................ 1024
About upgrading lookup plug-ins ........................................... 1025
Implementing and testing lookup plug-ins ..................................... 1026
Managing and configuring lookup plug-ins .............................. 1027
Creating new lookup plug-ins ................................................ 1029
Selecting lookup parameters ................................................. 1030
Enabling lookup plug-ins ...................................................... 1034
Chaining lookup plug-ins ..................................................... 1035
Reloading lookup plug-ins .................................................... 1035
Troubleshooting lookup plug-ins ........................................... 1036
Configuring detailed logging for lookup plug-ins ...................... 1037
Configuring advanced plug-in properties ................................ 1038
Configuring the CSV Lookup Plug-In ............................................ 1040
Requirements for creating the CSV file ................................... 1041
Specifying the CSV file path .................................................. 1042
Choosing the CSV file delimiter ............................................. 1043
Selecting the CSV file character set ........................................ 1043
Mapping attributes and parameter keys to CSV fields ................ 1043
CSV attribute mapping example ............................................ 1044
Testing and troubleshooting the CSV Lookup Plug-In ............... 1046
CSV Lookup Plug-In tutorial ................................................. 1047
Configuring LDAP Lookup Plug-Ins .............................................. 1049
Requirements for LDAP server connections ............................. 1050
Mapping attributes to LDAP data ........................................... 1051
Attribute mapping examples for LDAP .................................... 1052
32 Contents

Testing and troubleshooting LDAP Lookup Plug-ins .................. 1052

LDAP Lookup Plug-In tutorial ............................................... 1053
Configuring Script Lookup Plug-Ins ............................................. 1054
Writing scripts for Script Lookup Plug-Ins .............................. 1055
Specifying the Script Command ............................................. 1056
Specifying the Arguments .................................................... 1057
Enabling the stdin and stdout options ..................................... 1057
Enabling incident protocol filtering for scripts ......................... 1058
Enabling and encrypting script credentials .............................. 1059
Chaining multiple Script Lookup Plug-Ins ............................... 1061
Script Lookup Plug-In tutorial ............................................... 1061
Example script ................................................................... 1063
Configuring migrated Custom (Legacy) Lookup Plug-Ins .................. 1065

Section 7 Monitoring and preventing data loss in

the network ............................................................ 1067
Chapter 53 Implementing Network Monitor .................................... 1069
Implementing Network Monitor .................................................. 1069
Choosing a network packet capture method ................................... 1071
About packet capture software installation and configuration ........... 1072
Installing WinPcap on a Windows platform ............................. 1073
Updating the Endace card driver ........................................... 1073
Installing and updating the Napatech network adapter and driver
software ...................................................................... 1073
Configuring the Network Monitor Server ...................................... 1075
Enabling GET processing with Network Monitor ............................. 1076
Creating a policy for Network Monitor .......................................... 1077
Testing Network Monitor ........................................................... 1078

Chapter 54 Implementing Network Prevent for Email .................. 1079

Implementing Network Prevent for Email ..................................... 1079
About Mail Transfer Agent (MTA) integration ................................ 1081
Configuring Network Prevent for Email Server for reflecting or
forwarding mode ................................................................ 1082
Configuring Linux IP tables to reroute traffic from a restricted
port ............................................................................ 1086
Specifying one or more upstream mail transfer agents (MTAs) .......... 1087
Creating a policy for Network Prevent for Email ............................. 1088
About policy violation data headers .............................................. 1090
Enabling policy violation data headers .......................................... 1090
 Contents 33

Testing Network Prevent for Email .............................................. 1091

Chapter 55 Implementing Network Prevent for Web ..................... 1093

Implementing Network Prevent for Web ....................................... 1093
Licensing Network Prevent ................................................... 1095
Configuring Network Prevent for Web Server ................................ 1095
About proxy server configuration ................................................ 1098
Proxy server compatibility with Network Prevent for Web .......... 1099
Configuring request and response mode services ...................... 1100
Specifying one or more proxy servers ........................................... 1101
Enabling GET processing for Network Prevent for Web .................... 1102
Creating policies for Network Prevent for Web ............................... 1103
Testing Network Prevent for Web ................................................ 1104
Troubleshooting information for Network Prevent for Web
Server ............................................................................... 1105

Section 8 Discovering where confidential data is

stored ........................................................................ 1107
Chapter 56 About Network Discover ................................................ 1109

About Network Discover ............................................................ 1109

How Network Discover works ...................................................... 1111

Chapter 57 Setting up and configuring Network Discover ........... 1113

Setting up and configuring Network Discover ................................ 1113
Modifying the Network Discover Server configuration ..................... 1114
About Linux Network Discover Servers ......................................... 1116
Adding a new Network Discover target ......................................... 1117
Editing an existing Network Discover target .................................. 1118

Chapter 58 Network Discover scan target configuration

options ......................................................................... 1121

Network Discover scan target configuration options ....................... 1121

Configuring the required fields for Network Discover targets ............ 1123
Scheduling Network Discover scans ............................................. 1124
Providing the password authentication for Network Discover scanned
content ............................................................................. 1126
Encrypting passwords in configuration files .................................. 1127
34 Contents

Setting up Discover filters to include or exclude items from the

scan ................................................................................. 1128
Filtering Discover targets by item size .......................................... 1130
Filtering Discover targets by date last accessed or modified .............. 1131
Optimizing resources with Network Discover scan throttling ............ 1134
Creating an inventory of the locations of unprotected sensitive
data .................................................................................. 1135

Chapter 59 Managing Network Discover target scans .................. 1139

Managing Network Discover target scans ...................................... 1139
Managing Network Discover Targets ............................................ 1140
About the Network Discover scan target list ............................ 1140
Working with Network Discover scan targets ........................... 1141
Removing Network Discover scan targets ................................ 1142
Managing Network Discover scan histories ................................... 1142
About Network Discover scan histories ................................... 1143
Working with Network Discover scan histories ......................... 1144
Deleting Network Discover scans ........................................... 1145
About Network Discover scan details ...................................... 1145
Working with Network Discover scan details ........................... 1148
Managing Network Discover Servers ............................................ 1149
Viewing Network Discover server status ................................. 1149
About Network Discover scan optimization ................................... 1150
About the difference between incremental scans and differential
scans ................................................................................ 1152
About incremental scans ............................................................ 1153
Scanning new or modified items with incremental scans .................. 1154
About managing incremental scans .............................................. 1155
Scanning new or modified items with differential scans ................... 1155
Configuring parallel scanning of Network Discover targets ............... 1156

Chapter 60 Managing Network Discover incident reports ........... 1159

About reports for Network Discover ............................................. 1159
About incident reports for Network Discover ................................. 1160

Chapter 61 Using Server FlexResponse plug-ins to remediate

incidents ...................................................................... 1163

About the Server FlexResponse platform ....................................... 1163

Using Server FlexResponse custom plug-ins to remediate
incidents ........................................................................... 1165
Deploying a Server FlexResponse plug-in ...................................... 1166
 Contents 35

Adding a Server FlexResponse plug-in to the plug-ins properties

file ............................................................................. 1167
Creating a properties file to configure a Server FlexResponse
plug-in ........................................................................ 1168
Locating incidents for manual remediation .................................... 1171
Using the action of a Server FlexResponse plug-in to remediate an
incident manually ............................................................... 1172
Verifying the results of an incident response action ........................ 1173
Troubleshooting a Server FlexResponse plug-in ............................. 1174

Chapter 62 Setting up scans of file shares ...................................... 1177

Setting up server scans of file systems .......................................... 1177
Supported file system targets ...................................................... 1178
Automatically discovering servers and shares before configuring a
file system target ................................................................ 1179
Working with Content Root Enumeration scans ........................ 1179
Troubleshooting Content Root Enumeration scans .................... 1183
Automatically discovering open file shares .................................... 1183
About automatically tracking incident remediation status ................ 1184
Troubleshooting automated incident remediation tracking ......... 1185
Configuration options for Automated Incident Remediation
Tracking ..................................................................... 1186
Excluding internal DFS folders .................................................... 1189
Configuring scans of Microsoft Outlook Personal Folders (.pst
files) ................................................................................. 1190
Configuring and running scans of file systems ............................... 1191
Optimizing file system target scanning ......................................... 1194
Configuring Network Protect for file shares ................................... 1195

Chapter 63 Setting up scans of Lotus Notes databases ............... 1199

Setting up server scans of Lotus Notes databases ............................ 1199
Supported Lotus Notes targets .................................................... 1200
Configuring and running Lotus Notes scans ................................... 1200
Configuring Lotus Notes DIIOP mode configuration scan
options ............................................................................. 1203

Chapter 64 Setting up scans of SQL databases .............................. 1205

Setting up server scans of SQL databases ...................................... 1205
Supported SQL database targets .................................................. 1206
Configuring and running SQL database scans ................................. 1206
Installing the JDBC driver for SQL database targets ......................... 1209
36 Contents

SQL database scan configuration properties .................................. 1210

Chapter 65 Setting up scans of SharePoint servers ...................... 1213

Setting up server scans of SharePoint servers ................................ 1213
About scans of SharePoint servers ............................................... 1214
Supported SharePoint server targets ............................................ 1216
Access privileges for SharePoint 2007 and 2010 scans ..................... 1216
About Alternate Access Mapping Collections ................................. 1217
Configuring and running SharePoint server scans .......................... 1217
Installing the SharePoint solution on the Web Front Ends in a
farm ................................................................................. 1220
Setting up SharePoint scans to use Kerberos authentication ............. 1222
Troubleshooting SharePoint scans ............................................... 1223

Chapter 66 Setting up scans of Exchange servers ......................... 1225

Setting up server scans of Exchange 2003 and 2007 repositories using
the Exchange Web Store connector ........................................ 1226
About scans of Exchange 2003 and 2007 servers ............................. 1226
Supported Exchange Server Web Store connector targets ................. 1227
Providing access rights to scan all mailboxes and public folders ........ 1228
Configuring Exchange 2003 and 2007 server scans ......................... 1229
Example configurations and use cases for Exchange 2003 and 2007
scans ................................................................................ 1233
Troubleshooting Exchange 2003 and 2007 scans ............................ 1235
Setting up server scans of Exchange 2007 SP2 and 2010 repositories
using Exchange Web Services ............................................... 1235
About scans of Exchange 2007 SP2 and 2010 servers ....................... 1236
Supported Exchange Server Web Services connector targets ............. 1237
Configuring Exchange 2007 SP2 and 2010 Server scans ................... 1238
Example configurations and use cases for Exchange 2007 SP2 and
2010 scans ......................................................................... 1242
Troubleshooting Exchange 2007 SP2 and 2010 scans ....................... 1243

Chapter 67 About Network Discover scanners ............................... 1245

Setting up scanning of Microsoft Exchange Servers ........................ 1245
How Network Discover scanners work .......................................... 1246
Troubleshooting scanners .......................................................... 1247
Scanner processes ..................................................................... 1249
Scanner installation directory structure ........................................ 1249
Scanner configuration files ......................................................... 1251
Scanner controller configuration options ...................................... 1252
 Contents 37

Chapter 68 Setting up scanning of file systems ............................. 1255

Setting up remote scanning of file systems .................................... 1256
Supported file system scanner targets .......................................... 1257
Installing file system scanners .................................................... 1257
Starting file system scans ........................................................... 1260
Installing file system scanners silently from the command line ......... 1261
Configuration options for file system scanners ............................... 1262
Example configuration for scanning the C drive on a Windows
computer .......................................................................... 1263
Example configuration for scanning the /usr directory on UNIX ....... 1264
Example configuration for scanning with include filters .................. 1264
Example configuration for scanning with exclude filters .................. 1265
Example configuration for scanning with include and exclude filters
....................................................................................... 1265
Example configuration for scanning with date filtering ................... 1266
Example configuration for scanning with file size filtering ............... 1266
Example configuration for scanning that skips symbolic links on
UNIX systems .................................................................... 1267

Chapter 69 Setting up scanning of Web servers ............................ 1269

Setting up remote scanning of Web servers ................................... 1269
Supported Web server (scanner) targets ........................................ 1270
Installing Web server scanners .................................................... 1271
Starting Web server scans .......................................................... 1273
Configuration options for Web server scanners .............................. 1274
Example configuration for a Web site scan with no
authentication ................................................................... 1277
Example configuration for a Web site scan with basic
authentication ................................................................... 1278
Example configuration for a Web site scan with form-based
authentication ................................................................... 1278
Example configuration for a Web site scan with NTLM .................... 1279
Example of URL filtering for a Web site scan .................................. 1279
Example of date filtering for a Web site scan .................................. 1280

Chapter 70 Setting up scanning of Documentum

repositories ................................................................. 1281

Setting up remote scanning of Documentum repositories ................. 1281

Supported Documentum (scanner) targets ..................................... 1282
Installing Documentum scanners ................................................ 1282
Starting Documentum scans ....................................................... 1285
38 Contents

Configuration options for Documentum scanners ........................... 1286

Example configuration for scanning all documents in a Documentum
repository ......................................................................... 1288

Chapter 71 Setting up scanning of Livelink repositories .............. 1291

Setting up remote scanning of Livelink repositories ........................ 1291
Supported Livelink scanner targets .............................................. 1292
Creating an ODBC data source for SQL Server ................................ 1292
Installing Livelink scanners ........................................................ 1293
Starting Livelink scans .............................................................. 1295
Configuration options for Livelink scanners .................................. 1297
Example configuration for scanning a Livelink database .................. 1298

Chapter 72 Setting up Web Services for custom scan

targets .......................................................................... 1299
Setting up Web Services for custom scan targets ............................ 1299
About setting up the Web Services Definition Language (WSDL) ........ 1300
Example of a Web Services Java client .......................................... 1300
Sample Java code for the Web Services example ............................. 1302

Section 9 Discovering and preventing data loss on

endpoint computers ......................................... 1305
Chapter 73 Using Endpoint Discover and Endpoint Prevent ....... 1307
About Endpoint Discover and Endpoint Prevent ............................. 1307
How Endpoint Discover works ............................................... 1308
How Endpoint Prevent works ................................................ 1309
About virtual desktop support with Endpoint Prevent ............... 1309
About the Endpoint Server ................................................... 1310
About the Symantec DLP Agent ............................................. 1311
About Endpoint Prevent monitoring ............................................. 1311
About removable storage monitoring ..................................... 1312
About CD/DVD monitoring ................................................... 1313
About print/fax monitoring .................................................. 1314
About clipboard monitoring .................................................. 1315
About application monitoring ............................................... 1315
About network share monitoring ........................................... 1316
About Endpoint network monitoring ...................................... 1316
About Endpoint Discover monitoring ........................................... 1317
About targeted Endpoint Discover scans ................................. 1319
 Contents 39

About policies for endpoints ....................................................... 1319

About policy creation for Endpoint Prevent ................................... 1321
About monitoring policies with response rules for Endpoint
Servers ....................................................................... 1321
About rules results caching (RRC) ................................................ 1324
About Endpoint reports ............................................................. 1325

Chapter 74 Implementing Endpoint Discover ................................. 1327

How to implement Endpoint Discover ........................................... 1327
Creating a policy group for Endpoint Discover ......................... 1328
Creating a policy for Endpoint Discover .................................. 1328
Adding a rule for Endpoint Discover ....................................... 1329
Setting up scanning of an Endpoint Discover target .................. 1330
Configuration options for Endpoint Discover targets ................. 1332
Configuring Endpoint Discover scan timeout settings ................ 1333

Chapter 75 Implementing Endpoint Prevent ................................... 1335

How to implement Endpoint Prevent ............................................ 1335
Setting the endpoint location ................................................ 1336
About Endpoint Prevent response rules in different locales ........ 1337

Chapter 76 Working with agent configurations .............................. 1341

About agent configurations ........................................................ 1341
About cloning agent configurations ....................................... 1342
Adding agent configurations ....................................................... 1342
Applying agent configurations to an Endpoint Server ...................... 1347

Chapter 77 Working with Endpoint FlexResponse ......................... 1349

About Endpoint FlexResponse ..................................................... 1349
Deploying Endpoint FlexResponse ............................................... 1351
About deploying Endpoint FlexResponse plug-ins on endpoint
computers ......................................................................... 1352
Deploying Endpoint FlexResponse plug-ins using a silent installation
process ............................................................................ 1353
About the Endpoint FlexResponse utility ....................................... 1354
Deploying an Endpoint FlexResponse plug-in using the Endpoint
FlexResponse utility ............................................................ 1356
Enabling Endpoint FlexResponse on the Enforce Server ................... 1357
Uninstalling an Endpoint FlexResponse plug-in using the Endpoint
FlexResponse utility ............................................................ 1358
40 Contents

Retrieving an Endpoint FlexResponse plug-in from a specific endpoint

computer .......................................................................... 1358
Retrieving a list of Endpoint FlexResponse plug-ins from an endpoint
computer .......................................................................... 1359

Chapter 78 Implementing Symantec DLP Agents .......................... 1361

About the Symantec Management Console .................................... 1361
Cloning advertisements and programs .................................... 1362
Using computer discovery .................................................... 1363
Installing the Symantec Management Agent ............................ 1363
About Symantec Management Console reporting ...................... 1364
About Symantec Management Console agent tasks ................... 1365
Creating user tasks ............................................................. 1366
About Symantec DLP Agent Installation ....................................... 1367
What gets installed for Symantec DLP Agents .......................... 1367
About preinstallation steps for Symantec DLP Agents ............... 1369
About Symantec DLP Agent security ...................................... 1370
About the watchdog service .................................................. 1372
About Endpoint Server redundancy ........................................ 1373
About the AgentInstall.msi package ....................................... 1374
About uninstallation passwords ............................................ 1375
Installing Symantec DLP Agents with the Symantec Management
Console ....................................................................... 1378
Installing Symantec DLP Agents silently ................................. 1379
Installing Symantec DLP Agents manually .............................. 1381

Chapter 79 Managing Symantec DLP Agents .................................. 1385

About Symantec DLP Agent administration ................................... 1385
Using the agents summary screen .......................................... 1385
Agent management events screen .......................................... 1392
About Symantec DLP Agent removal ...................................... 1394
About Endpoint Agent logs ......................................................... 1398
Setting the log levels for an Endpoint Agent ............................ 1399

Chapter 80 About application monitoring ....................................... 1401

About application monitoring ..................................................... 1401
Adding an application ................................................................ 1402

Chapter 81 Using Endpoint Server tools .......................................... 1405

About Endpoint tools ................................................................. 1405
Using Endpoint tools with Windows 7 or Vista ......................... 1406
 Contents 41

About endpointkeytool utility ............................................... 1406

Shutting down the agent and the watchdog services .................. 1409
Inspecting the database files accessed by the agent ................... 1409
Viewing extended log files .................................................... 1410
About the Device ID utility ................................................... 1411
Creating passwords with the password generation tool .............. 1413

Section 10 Monitoring and preventing data loss on

mobile devices ..................................................... 1415
Chapter 82 Introducing Symantec Data Loss Prevention Mobile
Prevent ......................................................................... 1417
How Mobile Prevent works ......................................................... 1417
Deployment options for Mobile Prevent ........................................ 1419
About deploying Mobile Prevent as a standalone solution ................. 1420
About deploying Mobile Prevent and Network Prevent for Web
together ...................................................................... 1422
About digital certificates for Mobile Prevent .................................. 1424
About the VPN server and VPN On Demand ................................... 1425
About Microsoft Exchange ActiveSync and Mobile Prevent ............... 1426
Ignoring Microsoft Exchange ActiveSync monitoring ................ 1427
About mobile device management ................................................ 1428

Chapter 83 Implementing Mobile Prevent for Web ........................ 1429

Implementing Mobile Prevent ..................................................... 1429
Configuring the Mobile Prevent for Web Server ........................ 1430
Configuring the VPN profile ................................................. 1435
About proxy server configuration for Mobile Prevent ............... 1436
Specifying one or more proxy servers ..................................... 1438
Enabling GET processing for Mobile Prevent ............................ 1439
Creating policies for Mobile Prevent ....................................... 1439
Configuring Mobile Prevent for secure banking ........................ 1441
Testing Mobile Prevent ........................................................ 1442
42 Contents

Section 11 Monitoring data loss from corporate

emails downloaded to mobile devices
....................................................................................... 1443

Chapter 84 Introducing Symantec Data Loss Prevention Mobile

Email Monitor ............................................................. 1445
About Mobile Email Monitor ....................................................... 1445
How Mobile Email Monitor works ................................................ 1446
Using Mobile Email Monitor with Mobile Prevent for Web ................ 1447

Chapter 85 Implementing Symantec Data Loss Prevention

Mobile Email Monitor ................................................ 1449
Symantec Data Loss Prevention Mobile Email Monitor set up
overview ........................................................................... 1449
Adding and configuring the Mobile Email Monitor Server ................ 1450
About proxy server configuration ................................................ 1452
Specifying one or more proxy servers ........................................... 1452
Configuring the response mode service ......................................... 1453
About digital certificates for Mobile Email Monitor ......................... 1454
Setting up native email clients for monitoring ................................ 1454
Creating policies for Mobile Email Monitor ................................... 1454
Testing Symantec Data Loss Prevention Mobile Email Monitor ......... 1455
Troubleshooting Mobile Email Monitor Server ............................... 1456

Index ................................................................................................................. 1457

 Section 1
Getting started

■ Chapter 1. Introducing Symantec Data Loss Prevention

■ Chapter 2. Getting started administering Symantec Data Loss Prevention

■ Chapter 3. Working with languages and locales

44
 Chapter 1
Introducing Symantec Data
Loss Prevention
This chapter includes the following topics:

■ About Symantec Data Loss Prevention

■ About the Enforce platform

■ About Network Monitor and Prevent

■ About Network Discover

■ About Network Protect

■ About Mobile Prevent

■ About Mobile Email Monitor

■ About Endpoint Discover

■ About Endpoint Prevent

About Symantec Data Loss Prevention

Symantec Data Loss Prevention enables you to:
■ Discover and locate confidential information on file and Web servers, in
databases, on mobile devices, and on endpoints (desk and laptop systems)
■ Protect confidential information through quarantine
■ Monitor network traffic for transmission of confidential data
■ Monitor and prevent the transmission of confidential data on mobile devices
connected to a VPN
46 Introducing Symantec Data Loss Prevention
About Symantec Data Loss Prevention

■ Monitor the transmission of confidential data contained in corporate emails

that are sent using Microsoft Exchange ActiveSync and downloaded to mobile
devices
■ Monitor the use of sensitive data on endpoint computers
■ Prevent transmission of confidential data to outside locations
■ Automatically enforce data security and encryption policies
Symantec Data Loss Prevention includes the following components:
■ Enforce Server
See “About the Enforce platform” on page 48.
See “About Symantec Data Loss Prevention administration” on page 55.
See “About the Enforce Server administration console” on page 56.
■ Network Discover
See “About Network Discover” on page 49.
■ Network Protect
See “About Network Protect” on page 50.
■ Network Monitor

■ Network Prevent

■ Mobile Email Monitor

See “About Mobile Email Monitor” on page 51.
■ Mobile Prevent
See “About Mobile Prevent” on page 51.
■ Endpoint Discover
See “About Endpoint Discover” on page 52.
See “About Endpoint Discover and Endpoint Prevent” on page 1307.
■ Endpoint Prevent
See “About Endpoint Prevent” on page 52.
The Discover, Protect, Monitor, Mobile Prevent, Mobile Email Monitor, and Prevent
modules can be deployed as stand-alone products or in combination. Regardless
of which stand-alone products you deploy, the Enforce Server is always provided
for central management. Note that the Network Protect module requires the
Network Discover module.
Associated with each product module are corresponding detection servers:
■ Network Discover Server locates the exposed confidential data on a broad
range of enterprise data repositories including:
 Introducing Symantec Data Loss Prevention 47
About Symantec Data Loss Prevention

■ File servers
■ Databases
■ Microsoft SharePoint
■ Lotus Notes
■ EMC Documentum
■ Livelink
■ Microsoft Exchange
■ Web servers
■ Other data repositories
If you are licensed for Network Protect, this server also copies and quarantines
sensitive data on file servers, as specified in your policies.
See “About Network Discover” on page 49.
■ Network Monitor Server monitors the traffic on your network.
See “About Network Monitor and Prevent” on page 49.
■ Network Prevent for Email Server blocks emails that contain sensitive data.
See “Implementing Network Prevent for Email” on page 1079.
■ Network Prevent for Web Server blocks HTTP postings and FTP transfers that
contain sensitive data.
See “Implementing Network Prevent for Web” on page 1093.
■ Mobile Prevent for Web Server monitors and blocks HTTP/S and FTP transfers
that contain sensitive data over mobile devices that are connected to a VPN.
See “Implementing Mobile Prevent” on page 1429.
■ Mobil Email Monitor Server monitors corporate emails that are sent through
Microsoft Exchange ActiveSync and downloaded to mobile devices.
See “About Mobile Email Monitor” on page 1445.
■ Endpoint Server monitors and prevents the misuse of confidential data on
endpoint computers.
See “About Endpoint Discover and Endpoint Prevent” on page 1307.
The distributed architecture of Symantec Data Loss Prevention allows
organizations to:
■ Perform centralized management and reporting.
■ Centrally manage data security policies once and deploy immediately across
the entire Symantec Data Loss Prevention suite.
■ Scale data loss prevention according to the size of your organization.
48 Introducing Symantec Data Loss Prevention
About the Enforce platform

About the Enforce platform

The Symantec Data Loss Prevention Enforce Server is the central management
platform that enables you to define, deploy, and enforce data loss prevention and
security policies. The Enforce Server administration console provides a centralized,
Web-based interface for deploying detection servers, authoring policies,
remediating incidents, and managing the system.
See “About Symantec Data Loss Prevention” on page 45.
The Enforce platform provides you with the following capabilities:
■ Build and deploy accurate data loss prevention policies. You can choose among
various detection technologies, define rules, and specify actions to include in
your data loss prevention policies. Using provided regulatory and best-practice
policy templates, you can meet your regulatory compliance, data protection
and acceptable-use requirements, and address specific security threats.
See “About Data Loss Prevention policies” on page 327.
See “Detecting data loss” on page 339.
■ Automatically deploy and enforce data loss prevention policies. You can
automate policy enforcement options for notification, remediation workflow,
blocking, and encryption.
■ Measure risk reduction and demonstrate compliance. The reporting features
of the Enforce Server enables you to create actionable reports identifying risk
reduction trends over time. You can also create compliance reports to address
conformance with regulatory requirements.
See “About Symantec Data Loss Prevention reports” on page 935.
See “About incident reports” on page 938.
■ Empower rapid remediation. Based on incident severity, you can automate the
entire remediation process using detailed incident reporting and workflow
automation. Role-based access controls empower individual business units
and departments to review and remediate those incidents that are relevant to
their business or employees.
See “About incident remediation” on page 865.
See “Remediating incidents” on page 868.
■ Safeguard employee privacy. You can use the Enforce Server to review incidents
without revealing the sender identity or message content. In this way,
multi-national companies can meet legal requirements on monitoring European
Union employees and transferring personal data across national boundaries.
See “About role-based access control” on page 87.
 Introducing Symantec Data Loss Prevention 49
About Network Monitor and Prevent

About Network Monitor and Prevent

The Symantec Data Loss Prevention network data monitoring and prevention
products include:
■ Network Monitor
Network Monitor captures and analyzes traffic on your network. It detects
confidential data and significant traffic metadata over the protocols that you
specify. For example, SMTP, FTP, HTTP, and various IM protocols. You can
configure a Network Monitor Server to monitor custom protocols and to use
a variety of filters (per protocol) to filter out low-risk traffic.
See “Implementing Network Monitor” on page 1069.

■ Network Prevent for Email

Network Prevent for Email integrates with standard MTAs and hosted email
services to provide in-line active SMTP email management. Policies that are
deployed on in-line Network Prevent for Email Server direct the next-hop mail
server to block, reroute, or tag email messages. These blocks are based on
specific content and other message attributes. Communication between MTAs
and Network Prevent for Email Server can be secured as necessary using TLS.
Implement Network Monitor, review the incidents it captures, and refine your
policies accordingly before you implement Network Prevent for Email.
See “Implementing Network Prevent for Email” on page 1079.
See the Symantec Data Loss Prevention MTA Integration Guide for Network
Prevent for Email.
■ Network Prevent for Web
For in-line active Web request management, Network Prevent for Web
integrates with an HTTP, HTTPS, or FTP proxy server. This integration uses
the Internet Content Adaptation Protocol (ICAP) . The Network Prevent for
Web Server detects confidential data in HTTP, HTTPS, or FTP content. When
it does, it causes the proxy to reject requests or remove HTML content as
specified by the governing policies.
See “Implementing Network Prevent for Web” on page 1093.

About Network Discover

Network Discover scans networked file shares, Web content servers, databases,
document repositories, and endpoint systems at high speeds to detect exposed
data and documents. Network Discover enables companies to understand exactly
where confidential data is exposed and helps significantly reduce the risk of data
loss.
Network Discover gives organizations the following capabilities:
50 Introducing Symantec Data Loss Prevention
About Network Protect

■ Pinpoint unprotected confidential data. Network Discover helps organizations

accurately locate at risk data that is stored on their networks. You can then
inform shared file server owners to protect the data.
■ Reduce proliferation of confidential data. Network Discover helps organizations
to detect the spread of sensitive information throughout the company and
reduce the risk of data loss.
■ Automate investigations and audits. Network Discover streamlines data security
investigations and compliance audits. It accomplishes this task by enabling
users to scan for confidential data automatically, as well as review access
control and encryption policies.
■ During incident remediation, Symantec Data Insight helps organizations solve
the problem of identifying data owners and responsible parties for information
due to incomplete or inaccurate metadata or tracking information.
See the Symantec Data Loss Prevention Data Insight Implementation Guide.
■ To provide additional flexibility in remediating Network Discover incidents,
use the FlexResponse application programming interface (API), or the
FlexResponse plug-ins that are available.
See the Symantec Data Loss Prevention FlexResponse Platform Developers
Guide, or contact Symantec Professional Services for a list of plug-ins.
See “About Symantec Data Loss Prevention” on page 45.
See “About Network Discover” on page 1109.

About Network Protect

Network Protect reduces your risk by removing exposed confidential data,
intellectual property, and classified information from open file shares on network
servers or desktop computers. Note that there is no separate Network Protect
server; the Network Protect product module adds protection functionality to the
Network Discover Server.
Network Protect gives organizations the following capabilities:
■ Quarantine exposed files. Network Protect can automatically move those files
that violate policies to a quarantine area that re-creates the source file structure
for easy location. Optionally, Symantec Data Loss Prevention can place a
marker text file in the original location of the offending file. The marker file
can explain why and where the original file was quarantined.
■ Copy exposed or suspicious files. Network Protect can automatically copy those
files that violate policies to a quarantine area. The quarantine area can re-create
the source file structure for easy location, and leave the original file in place.
 Introducing Symantec Data Loss Prevention 51
About Mobile Prevent

■ Quarantine file restoration. Network Protect can easily restore quarantined

files to their original or a new location.
■ Enforce access control and encryption policies. Network Protect proactively
ensures workforce compliance with existing access control and encryption
policies.
See “About Symantec Data Loss Prevention” on page 45.
See “Configuring Network Protect for file shares” on page 1195.

About Mobile Prevent

Mobile Prevent monitors email, Web, and application communications from mobile
devices to prevent sensitive information from leaving your organization. After
the connection to the corporate network is established, all network traffic is sent
to the Mobile Prevent for Web Server for analysis. In this way, you can protect
your organization's sensitive information while allowing mobile device users to
access sites and apps such as Facebook, Dropbox, and Twitter.
With Mobile Prevent, you can perform the following activities:
■ Monitor confidential information leaving a mobile device through HTTP,
HTTPS, or FTP traffic.
■ Prevent confidential information from leaving a mobile device through HTTP,
HTTPS, or FTP traffic.
■ Remediate incidents originating from a mobile device.
Mobile Email Monitor and Mobile Prevent are both included in the Symantec Data
Loss Prevention for Mobile license.
See “About mobile device management” on page 1428.
See “Implementing Mobile Prevent” on page 1429.
See “About Symantec Data Loss Prevention” on page 45.

About Mobile Email Monitor

Mobile Email Monitor monitors corporate email that are sent through Microsoft
Exchange ActiveSync and downloaded to the native email client on supported
mobile devices.
With Mobile Email Monitor, you can perform the following activities:
■ Monitor confidential information sent in corporate emails that are downloaded
to mobile devices.
52 Introducing Symantec Data Loss Prevention
About Endpoint Discover

■ Track what sensitive information was downloaded to monitored mobile devices

that are subsequently lost or stolen.
Mobile Email Monitor and Mobile Prevent are both included in the Symantec Data
Loss Prevention for Mobile license.
See Table 85-1 on page 1450.
See “About Symantec Data Loss Prevention” on page 45.

About Endpoint Discover

Endpoint Discover detects sensitive data on your desktop or your laptop endpoint
computers. It consists of at least one Endpoint Server and at least one Symantec
DLP Agent that runs on an endpoint computer. You can have many Symantec DLP
Agents connected to a single Endpoint Server. Symantec DLP Agents:
■ Detect sensitive data in the endpoint file system.
■ Collect data on that activity.
■ Send incidents to the Endpoint Server.
■ Send the data to the associated Endpoint Server for analysis, if necessary.
See “About Endpoint Discover and Endpoint Prevent” on page 1307.
See “About Symantec Data Loss Prevention” on page 45.

About Endpoint Prevent

Endpoint Prevent detects and prevents sensitive data from leaving from your
desktop or your laptop endpoint computers. It consists of at least one Endpoint
Server and all the Symantec DLP Agents running on the endpoint systems that
are connected to it. You can have many Symantec DLP Agents connected to a
single Endpoint Server. Endpoint Prevent detects on the following data transfers:
■ Application monitoring
■ CD/DVD
■ Clipboard
■ Email/SMTP
■ eSATA removable drives
■ FTP
■ HTTP/HTTPS
 Introducing Symantec Data Loss Prevention 53
About Endpoint Prevent

■ IM
■ Network shares
■ Print/Fax
■ USB removable media devices
See “About Endpoint Discover and Endpoint Prevent” on page 1307.
See “About Symantec Data Loss Prevention” on page 45.
54 Introducing Symantec Data Loss Prevention
About Endpoint Prevent
 Chapter 2
Getting started
administering Symantec
Data Loss Prevention
This chapter includes the following topics:

■ About Symantec Data Loss Prevention administration

■ About the Enforce Server administration console

■ Logging on and off the Enforce Server administration console

■ About the administrator account

■ Performing initial setup tasks

■ Changing the administrator password

■ Adding an administrator email account

■ Editing a user profile

■ Changing your password

About Symantec Data Loss Prevention administration

The Symantec Data Loss Prevention system consists of one Enforce Server and
one or more detection servers.
The Enforce Server stores all system configuration, policies, saved reports, and
other Symantec Data Loss Prevention information and manages all activities.
56 Getting started administering Symantec Data Loss Prevention
About the Enforce Server administration console

System administration is performed from the Enforce Server administration

console, which is accessed by a Firefox or Internet Explorer Web browser. The
Enforce console is displayed after you log on.
See “About the Enforce Server administration console” on page 56.
After completing the installation steps in the Symantec Data Loss Prevention
Installation Guide, you must perform initial configuration tasks to get Symantec
Data Loss Prevention up and running for the first time. These are essential tasks
that you must perform before the system can begin monitoring data on your
network.
See “Performing initial setup tasks” on page 58.

About the Enforce Server administration console

You administer the Symantec Data Loss Prevention system through the Enforce
Server administration console.
The Administrator user can see and access all parts of the administration console.
Other users can see only the parts to which their roles grant them access. The
user account under which you are currently logged on appears at the top right of
the screen.
When you first log on to the administration console, the Home screen is displayed.
To navigate through the system, select items from one of the four menu clusters
(Home, Incidents, Policies, and System). To access the online Help, click Help
at the top right of the screen.
Located in the upper-right portion of the administration console are the following
navigation and operation icons:

Table 2-1 Administration console navigation and operation icons

Icon Description

Back to previous screen. Symantec recommends using this Back button

rather than your browser Back button. Use of your browser Back button
may lead to unpredictable behavior and is not recommended.

Screen refresh. Symantec recommends using this Refresh button rather

than your browser Reload or Refresh button. Use of your browser buttons
may lead to unpredictable behavior and is not recommended.

Send the current report to the printer. If the current screen contents cannot
be sent to the printer, this icon is unavailable.
 Getting started administering Symantec Data Loss Prevention 57
Logging on and off the Enforce Server administration console

Table 2-1 Administration console navigation and operation icons (continued)

Icon Description

Email the current report to one or more recipients. If the current screen
contents cannot be sent as an email, this icon is unavailable.

See “Logging on and off the Enforce Server administration console” on page 57.

Logging on and off the Enforce Server administration

console
If you are assigned more than one role, you can only log on under one role at a
time. You must specify the role name and user name at logon.
To log on to the Enforce Server
1 On the Enforce Server host, open a browser and point it to the URL for your
server (as provided by the Symantec Data Loss Prevention administrator).
2 On the Symantec Data Loss Prevention logon screen, enter your user name
in the Username field. For the administrator role, this user name is always
Administrator. Users with multiple roles should specify the role name and
the user name in the format role\user (for example, ReportViewer\bsmith).
If they do not, Symantec Data Loss Prevention assigns the user a role upon
logon.
See “Configuring roles” on page 95.
3 In the Password field, type the password. For the administrator at first logon,
this password is the password you created during the installation.
For installation details, see the appropriate Symantec Data Loss Prevention
Installation Guide.
4 Click login.
The Enforce Server administration console appears. The administrator can
access all parts of the administration console, but another user can see only
those parts that are authorized for that particular role.
To log out of the Enforce Server
1 Click logout at the top right of the screen.
2 Click OK to confirm.
Symantec Data Loss Prevention displays a message confirming the logout
was successful.
58 Getting started administering Symantec Data Loss Prevention
About the administrator account

See “Editing a user profile” on page 60.

About the administrator account

The Symantec Data Loss Prevention system is preconfigured with a permanent
administrator account. Note that the name is case sensitive and cannot be changed.
You configured a password for the administrator account during installation.
Refer to the Symantec Data Loss Prevention Installation Guide for more
information.
Only the administrator can see or modify the administrator account. Role options
do not appear on the administrator configure screen, because the administrator
always has access to every part of the system.
See “Changing the administrator password” on page 59.
See “Adding an administrator email account” on page 59.

Performing initial setup tasks

After completing the installation steps in the Symantec Data Loss Prevention
Installation Guide, you must perform initial configuration tasks to get Symantec
Data Loss Prevention up and running for the first time. These are essential tasks
that you must perform before the system can begin monitoring data on your
network.
■ Change the Administrator's password to a unique password only you know,
and add an email address for the Administrator user account so you can be
notified of various system events.
See “About the administrator account” on page 58.
■ Add and configure your detection servers.
See “Adding a detection server” on page 207.
See “Server configuration—basic” on page 193.
■ Add any user accounts you need in addition to those supplied by your Symantec
Data Loss Prevention solution pack.
■ Review the policy templates provided with your Symantec Data Loss Prevention
solution pack to familiarize yourself with their content and data requirements.
Revise the polices or create new ones as needed.
■ Add the data profiles that you plan to associate with policies.
Data profiles are not always required. This step is necessary only if you are
licensed for data profiles and if you intend to use them in policies.
 Getting started administering Symantec Data Loss Prevention 59
Changing the administrator password

Changing the administrator password

During installation, you created a generic administrator password. When you log
on for the first time, you should change this password to a unique, secret password.
See the Symantec Data Loss Prevention Installation Guide for more information.
Passwords are case-sensitive and they must contain at least eight characters.
Note that you can configure Symantec Data Loss Prevention to require strong
passwords. Strong passwords are passwords specifically designed to be difficult
to break. Password policy is configured from the System > Settings > General >
Configure screen.
When your password expires, Symantec Data Loss Prevention displays the
Password Renewal window at the next logon. When the Password Renewal window
appears, type your old password, and then type your new password and confirm
it.
See “Configuring user accounts” on page 103.
To change the administrator password
1 Log on as administrator.
2 Click Profile in the upper-right corner of the administration console.
3 On the Edit Profile screen:
■ Enter your new password in the New Password field.
■ Re-enter your new password in the Re-enter New Password field. The
two new passwords must be identical.
Note that passwords are case-sensitive.
4 Click Save.
See “About the administrator account” on page 58.
See “About the Enforce Server administration console” on page 56.
See “About the System Overview screen” on page 210.

Adding an administrator email account

You can specify an email address to receive administrator account related
messages.
60 Getting started administering Symantec Data Loss Prevention
Editing a user profile

To add or change an administrator email account

1 Click Profile in the upper-right corner of the administration console.
2 Type the new (or changed) administrator email address in the email Address
field.
The email addresses must include a fully qualified domain name. For example:
my_name@acme.com.

3 Click Save.
See “About the administrator account” on page 58.
See “About the Enforce Server administration console” on page 56.
See “About the System Overview screen” on page 210.

Editing a user profile

System users can use the Profile screen to configure their profile passwords,
email addresses, and languages.
Users can also specify their report preferences at the Profile screen.
To display the Profile screen, click Profile at the top-right of the Enforce Server
administration console.
The Profile screen is divided into the following sections:
■ General. Use this section to change your password, specify your email address,
and choose a language preference.
■ Report Preferences. Use this section to specify your preferred text encoding,
CSV delimiter, and XML export preferences.
■ Roles. This section displays your role. Note that this section is not displayed
for the administrator because the administrator is authorized to perform all
roles.
The General section:
To change your password
1 Enter your current valid password in the Old Password field.
2 Enter your new password in the New Password field.
3 Re-enter your new password in the Re-enter New Password field.
4 Click Save.
The next time you log on, you must use your new password.
See “Changing your password” on page 63.
 Getting started administering Symantec Data Loss Prevention 61
Editing a user profile

To specify a new personal email address

1 Enter your current valid password in the Old Password field.
2 In the Email Address field enter your personal email address.
3 Click Save.
Individual Symantec Data Loss Prevention users can choose which of the available
languages and locales they want to use.
To choose a language for individual use
1 On the Enforce Server administration console, click Profile at the top-right
of the screen.
Your profile appears.
2 In the General section of the screen, enter your password in the Old Password
field.
3 Click the option next to your language choice.
4 Click Save.
The Enforce Server administration console is re-displayed in the new language.
Choosing a language profile has no effect on the detection of policy violations.
Detection is performed on all content that is written in any supported language
regardless of the language you choose for your profile.
See “About support for character sets, languages, and locales” on page 65.
The languages available to you are determined when the product is installed and
the later addition of language packs for Symantec Data Loss Prevention. The effect
of choosing a different language varies as follows:
■ Locale only. If the language you choose has the notice Translations not
available, dates and numbers are displayed in formats appropriate for the
language. Reports and lists are sorted in accordance with that language. But
the administration console menus, labels, screens, and Help system are not
translated and remain in English.
See “About locales” on page 70.
■ Translated. The language you choose may not display the notice Translations
not available. In this case, in addition to the number and date format, and sort
order, the administration console menus, labels, screens, and in some cases
the Help system, are translated into the chosen language.
See “About Symantec Data Loss Prevention language packs” on page 69.
The Report Preferences section:
62 Getting started administering Symantec Data Loss Prevention
Editing a user profile

To select your text encoding

1 Enter your current valid password in the Old Password field.
2 Select a text encoding option:
■ Use browser default encoding. Check this box to specify that text files
use the same encoding as your browser.
■ Pull down menu. Click on an encoding option in the pull down menu to
select it.

3 Click Save.
The new text encoding is applied to CSV exported files. This encoding lets
you select a text encoding that matches the encoding that is expected by CSV
applications.
To select a CSV delimiter
1 Enter your current valid password in the Old Password field.
2 Choose one of the delimiters from the pull-down menu.
3 Click Save.
The new delimiter is applied to the next comma-separated values (CSV) list
that you export.
See “About incident reports” on page 938.
See “Exporting incident reports” on page 958.
To select XML export details
1 Enter your current valid password in the Old Password field.
2 Include Incident Violations in XML Export. If this box is checked, reports
exported to XML include the highlighted matches on each incident snapshot.
3 Include Incident History in XML Export. If this box is checked, reports
exported to XML include the incident history data that is contained in the
History tab of each incident snapshot.
4 Click Save.
Your selections are applied to the next report you export to XML.
If neither box is checked, the exported XML report contains only the basic incident
information.
See “About incident reports” on page 938.
See “Exporting incident reports” on page 958.
 Getting started administering Symantec Data Loss Prevention 63
Changing your password

Changing your password

When your password expires, the system requires you to specify a new one the
next time you attempt to log on. If you are required to change your password, the
Password Renewal window appears.
To change your password from the Password Renewal window
1 Enter your old password in the Old password field of the Password Renewal
window.
2 Enter your new password in the New Password field of the Password Renewal
window.
3 Re-enter your new password in the Re-enter New Password field of the
Password Renewal window.
The next time you log on, you must use your new password.
You can also change your password at any time from the Profile screen.
See “Editing a user profile” on page 60.
See “About the administrator account” on page 58.
See “Logging on and off the Enforce Server administration console” on page 57.
64 Getting started administering Symantec Data Loss Prevention
Changing your password
 Chapter 3
Working with languages
and locales
This chapter includes the following topics:

■ About support for character sets, languages, and locales

■ Supported languages for detection

■ Working with international characters

■ About Symantec Data Loss Prevention language packs

■ About locales

■ Using a non-English language on the Enforce Server administration console

■ Using the Language Pack Utility

About support for character sets, languages, and

locales
Symantec Data Loss Prevention fully supports international deployments by
offering a large number of languages and localization options:
■ Policy creation and violation detection across many languages.
The supported languages can be used in keywords, data identifiers, regular
expressions, exact data profiles (EDM) and document profiles (IDM).
See “Supported languages for detection” on page 66.
■ Operation on localized and Multilingual User Interface (MUI) versions of
Windows operating systems.
66 Working with languages and locales
Supported languages for detection

■ International character sets. To view and work with international character

sets, the system on which you are viewing the Enforce Server administration
console must have the appropriate capabilities.
See “Working with international characters” on page 68.
■ Locale-based date and number formats, as well as sort orders for lists and
reports.
See “About locales” on page 70.
■ Localized user interface (UI) and Help system. Language packs for Symantec
Data Loss Prevention provide language-specific versions of the Enforce Server
administration console. They may also provide language-specific versions of
the online Help system.

Note: These language packs are added separately following initial product
installation.

■ Localized product documentation.

Supported languages for detection

Symantec Data Loss Prevention supports a large number of languages for detection.
Policies can be defined that accurately detect and report on the violations found
in content in these languages.

Table 3-1 Languages supported by Symantec Data Loss Prevention

Language Version 10.x Versions 11.0, Version 12.x

11.1.x, 11.5, 11.6

Arabic Yes Yes Yes

Brazilian Portuguese Yes Yes Yes

Chinese (traditional) Yes Yes Yes

Chinese (simplified) Yes Yes Yes

Czech Yes Yes Yes

Danish Yes Yes Yes

Dutch Yes Yes Yes

English Yes Yes Yes

 Working with languages and locales 67
Supported languages for detection

Table 3-1 Languages supported by Symantec Data

Loss Prevention (continued)

Language Version 10.x Versions 11.0, Version 12.x

11.1.x, 11.5, 11.6

Finnish Yes Yes Yes

French Yes Yes Yes

German Yes Yes Yes

Greek Yes Yes Yes

Hebrew Yes Yes Yes

Hungarian Yes Yes Yes

Italian Yes Yes Yes

Japanese Yes Yes Yes

Korean Yes Yes Yes

Norwegian Yes Yes Yes

Polish Yes Yes Yes

Portuguese Yes Yes Yes

Romanian Yes Yes Yes

Russian Yes Yes Yes

Spanish Yes Yes Yes

Swedish Yes Yes Yes

Turkish Yes* Yes* Yes*

*Symantec Data Loss Prevention cannot be installed on a Windows operating

system that is localized for the Turkish language, and you cannot choose Turkish
as an alternate locale.
For additional information about specific languages, see the Symantec Data Loss
Prevention Release Notes.
A number of capabilities are not implied by this support:
■ Technical support provided in a non-English language. Because Symantec
Data Loss Prevention supports a particular language does not imply that
technical support is delivered in that language.
68 Working with languages and locales
Working with international characters

■ Localized administrative user interface (UI) and documentation. Support for

a language does not imply that the UI or product documentation has been
localized into that language. However, even without a localized UI, user-defined
portions of the UI such as pop-up notification messages on the endpoint can
still be localized into any language by entering the appropriate text in the UI.
■ Localized content. Keywords are used in a number of areas of the product,
including policy templates and data identifiers. Support for a language does
not imply that these keywords have been translated into that language. Users
may, however, add keywords in the new language through the Enforce Server
administration console.
■ New file types, protocols, applications, or encodings. Support for a language
does not imply support for any new file types, protocols, applications, or
encodings that may be prevalent in that language or region other than what
is already supported in the product.
■ Language-specific normalization. An example of normalization is to treat
accented and unaccented versions of a character as the same. The product
already performs a number of normalizations, including standard Unicode
normalization that should cover the vast majority of cases. However, it does
not mean that all potential normalizations are included.
■ Region-specific normalization and validation. An example of this is the
awareness the product has of the format of North American phone numbers,
which allows it to treat different versions of a number as the same, and to
identify invalid numbers in EDM source files. Support for a language does not
imply this kind of functionality for that language or region.
Items in these excluded categories are tracked as individual product enhancements
on a language- or region-specific basis. Please contact Symantec Support for
additional information on language-related enhancements or plans for the
languages not listed.
See “About support for character sets, languages, and locales” on page 65.

Working with international characters

You can use a variety of languages in Symantec Data Loss Prevention, based on:
■ The operating system-based character set installed on the computer from
which you view the Enforce Server administration console
■ The capabilities of your browser
For example, an incident report on a scan of Russian-language data would contain
Cyrillic characters. To view that report, the computer and browser you use to
 Working with languages and locales 69
About Symantec Data Loss Prevention language packs

access the Enforce Server administration console must be capable of displaying

these characters. Here are some general guidelines:
■ If the computer you use to access the Enforce Server administration console
has an operating system localized for a particular language, you should be
able to view and use a character set that supports that language.
■ If the operating system of the computer you use to access the administration
console is not localized for a particular language, you may need to add
supplemental language support. This supplemental language support is added
to the computer you use to access the administration console, not on the
Enforce Server.
■ On a Windows system, you add supplemental language support using the
Control Panel > Regional and Language Options > Languages (tab) -
Supplemental Language Support to add fonts for some character sets.

■ It may also be necessary to set your browser to accommodate the characters

you want to view and enter.

Note: The Enforce Server administration console supports UTF-8 encoded

data.

■ On a Windows system, it may also be necessary to use the Languages –

Supplemental Language Support tab under Control Panel > Regional and
Language Options to add fonts for some character sets.
See the Symantec Data Loss Prevention Release Notes for known issues regarding
specific languages.
See “About support for character sets, languages, and locales” on page 65.

About Symantec Data Loss Prevention language packs

Language packs for Symantec Data Loss Prevention localize the product for a
particular language on Windows-based systems. After a language pack has been
added to Symantec Data Loss Prevention, administrators can specify it as the
system-wide default. If multiple language packs have been made available by the
administrator for use, individual users can choose the language they want to work
in.
See “Using a non-English language on the Enforce Server administration console”
on page 71.
Language pack selection results in the following:
70 Working with languages and locales
About locales

■ Its locale becomes available to administrators and end users in Enforce Server
Configuration screen.
■ Enforce Server screens, menu items, commands, and messages appear in the
language.
■ The Symantec Data Loss Prevention Help system may be displayed in the
language.
Language packs for Symantec Data Loss Prevention are available from Symantec
File Connect.

Caution: When you install a new version of Symantec Data Loss Prevention, any
language packs you have installed are deleted. For a new, localized version of
Symantec Data Loss Prevention, you must upgrade to a new version of the language
pack.

See “About locales” on page 70.

See “About support for character sets, languages, and locales” on page 65.

About locales
A locale provides the following:
■ Displays dates and numbers in formats appropriate for that locale.
■ Sorts lists and reports based on text columns, such as "policy name" or "file
owner," alphabetically according to the rules of the locale.
Locales are installed as part of a language pack.
An administrator can also configure an additional locale for use by individual
users. This additional locale need only be supported by the required version of
Java.
For a list of these locales, see
http://www.oracle.com/technetwork/java/javase/javase7locales-334809.html.

The locale can be specified at product installation time, as described in the

Symantec Data Loss Prevention Installation Guide. It can also be configured at a
later time using the Language Pack Utility.
See “Using a non-English language on the Enforce Server administration console”
on page 71.
See “About support for character sets, languages, and locales” on page 65.
 Working with languages and locales 71
Using a non-English language on the Enforce Server administration console

Using a non-English language on the Enforce Server

administration console
The use of locales and languages is specified through the Enforce Server
administration console by the following roles:
■ Symantec Data Loss Prevention administrator. Specifies that one of the
available languages be the default system-wide language and sets the locale.
■ Individual Symantec Data Loss Prevention user. Chooses which of the available
locales to use.

Note: The addition of multiple language packs could slightly affect Enforce Server
performance, depending on the number of languages and customizations present.
This results because an additional set of indexes has to be built and maintained
for each language.

Warning: Do not modify the Oracle database NLS_LANGUAGE and

NLS_TERRITORY settings.

See “About Symantec Data Loss Prevention language packs” on page 69.
See “About locales” on page 70.
A Symantec Data Loss Prevention administrator specifies which of the available
languages is the default system-wide language.
To choose the default language for all users
1 On the Enforce Server, go to System > Settings > General and click Configure.
The Edit General Settings screen is displayed.
2 Scroll to the Language section of the Edit General Settings screen, and click
the button next to the language you want to use as the system-wide default.
3 Click Save.

Individual Symantec Data Loss Prevention users can choose which of the available
languages and locales they want to use by updating their profiles.
See “Editing a user profile” on page 60.
Administrators can use the Language Pack Utility to update the available
languages.
See “Using the Language Pack Utility” on page 72.
See “About support for character sets, languages, and locales” on page 65.
72 Working with languages and locales
Using the Language Pack Utility

Note: If the Enforce Server runs on a Linux host, you must install language fonts
on the host machine using the Linux Package Manager application. Language font
packages begin with fonts-<language_name>. For example,
fonts-japanese-0.20061016-4.el5.noarch

Using the Language Pack Utility

To make a specific locale available for Symantec Data Loss Prevention, you add
language packs through the Language Pack Utility.
You run the Language Pack Utility from the command line. Its executable,
LanguagePackUtility.exe, resides in the \SymantecDLP\Protect\bin directory.

To use the Language Pack Utility, you must have Read, Write, and Execute
permissions on all of the \SymantecDLP folders and subfolders.
To display help for the utility, such as the list of valid options and their flags,
enter LanguagePackUtility without any flags.

Note: Running the Language Pack Utility causes the VontuManager and
VontuIncidentPersister services to stop for as long as 20 seconds. Any users who
are logged on to the Enforce Server administration console will be logged out
automatically. When finished making its updates, the utility restarts the services
automatically, and users can log back on to the administration console.

Language packs for Symantec Data Loss Prevention can be obtained from Symantec
File Connect.
 Working with languages and locales 73
Using the Language Pack Utility

To add a language pack (Windows)

1 Advise other users that anyone currently using the Enforce Server
administration console must save their work and log off.
2 Run the Language Pack Utility with the -a flag followed by the name of the
ZIP file for that language pack. Enter:

LanguagePackUtility -a filename

where filename is the fully qualified path and name of the language pack ZIP
file.
For example, if the Japanese language pack ZIP file is stored in c:\temp, add
it by entering:

LanguagePackUtility -a c:\temp\Symantec_DLP_12.0_Lang_Pack-JP.zip

To add multiple language packs during the same session, specify multiple
file names, separated by spaces, for example:

LanguagePackUtility -a
c:\temp\Symantec_DLP_12.0_Lang_Pack-TW.zip
Symantec_DLP_12.0_Lang_Pack-CS.zip

3 Log on to the Enforce Server administration console and confirm that the
new language option is available on the Edit General Settings screen. To do
this, go to System > Settings > General > Configure > Edit General Settings.
To add a language pack (Linux)
1 Advise other users that anyone currently using the Enforce Server
administration console must save their work and log off.
2 Open a terminal session to the Enforce Server host and switch to the
DLP_system_account by running the following command:

su - DLP_system_account

3 Run the following command:

DLP_home/Protect/bin/LanguagePackUtility -a <path to language
pack zip file>

4 Log on to the Enforce Server administration console and confirm that the
new language option is available on the Edit General Settings screen. To do
this, go to System > Settings > General > Configure > Edit General Settings.
74 Working with languages and locales
Using the Language Pack Utility

To remove a language pack

1 Advise users that anyone currently using the Enforce Server administration
console must save their work and log off.
2 Run the Language Pack Utility with the -r flag followed by the Java locale
code of the language pack you want to remove. Enter:

LanguagePackUtility -r locale

where locale is a valid Java locale code corresponding to a Symantec Data

Loss Prevention language pack.
For example, to remove the French language pack enter:

LanguagePackUtility -r fr_FR

To remove multiple language packs during the same session, specify multiple
file names, separated by spaces.
3 Log on to the Enforce Server administration console and confirm that the
language pack is no longer available on the Edit General Settings screen. To
do this, go to System > Settings > General > Configure > Edit General Settings.
Removing a language pack has the following effects:
■ Users can no longer select the locale of the removed language pack for
individual use.

Note: If the locale of the language pack is supported by the version of Java
required for running Symantec Data Loss Prevention, the administrator can
later specify it as an alternate locale for any users who need it.

■ The locale reverts to the system-wide default configured by the administrator.

■ If the removed language was the system-wide default locale, the system locale
reverts to English.
 Working with languages and locales 75
Using the Language Pack Utility

To change or add a locale

1 Advise users that anyone currently using the Enforce Server administration
console must save their work and log off.
2 Run the Language Pack Utility using the -c flag followed by the Java locale
code for the locale that you want to change or add. Enter:

LanguagePackUtility -c locale

where locale is a valid locale code recognized by Java, such as pt_PT for
Portuguese.
For example, to change the locale to Brazilian Portuguese enter:

LanguagePackUtility -c pt_BR

3 Log on to the Enforce Server administration console and confirm that the
new alternate locale is now available on the Edit General Settings screen. To
do this, go to System > Settings > General > Configure > Edit General Settings.
If you specify a locale for which there is no language pack, "Translations
not available" appears next to the locale name. This means that formatting
and sort order are appropriate for the locale, but the Enforce Server
administration console screens and online Help are not translated.

Note: Administrators can only make one additional locale available for users that
is not based on a previously installed Symantec Data Loss Prevention language
pack.

See “About support for character sets, languages, and locales” on page 65.
76 Working with languages and locales
Using the Language Pack Utility
 Section 2
Managing the Enforce Server
platform

■ Chapter 4. Managing Enforce Server services and settings

■ Chapter 5. Managing roles and users

■ Chapter 6. Connecting to group directories

■ Chapter 7. Managing stored credentials

■ Chapter 8. Managing system events and messages

■ Chapter 9. Adding a new product module

■ Chapter 10. Integrating Enforce with Symantec Protection Center (SPC)

78
 Chapter 4
Managing Enforce Server
services and settings
This chapter includes the following topics:

■ About Enforce Server services

■ About starting and stopping services on Windows

■ Starting and stopping services on Linux

About Enforce Server services

The Symantec Data Loss Prevention services may need to be stopped and started
periodically. This section provides a brief description of each service and how to
start and stop the services on supported platforms.
The Symantec Data Loss Prevention services for the Enforce Server are described
in the following table:

Table 4-1 Services on the Enforce Server

Service Name Description

Vontu Manager Provides the centralized reporting and management services

for Symantec Data Loss Prevention.

Vontu Monitor Controller Controls the detection servers (monitors).

Vontu Notifier Provides the database notifications.

Vontu Incident Persister Writes the incidents to the database.

Vontu Update Installs the Symantec Data Loss Prevention system updates.
80 Managing Enforce Server services and settings
About starting and stopping services on Windows

See “About starting and stopping services on Windows” on page 80.

About starting and stopping services on Windows

The procedures for starting and stopping services vary according to installation
configurations and between Enforce and detection servers.
■ See “Starting an Enforce Server on Windows” on page 80.
■ See “Stopping an Enforce Server on Windows” on page 80.
■ See “Starting a Detection Server on Windows” on page 81.
■ See “Stopping a Detection Server on Windows” on page 81.
■ See “Starting services on single-tier Windows installations” on page 82.
■ See “Stopping services on single-tier Windows installations” on page 82.

Starting an Enforce Server on Windows

Use the following procedure to start the Symantec Data Loss Prevention services
on a Windows Enforce Server.
To start the Symantec Data Loss Prevention services on a Windows Enforce Server
1 On the computer that hosts the Enforce Server, navigate to Start > All
Programs > Administrative Tools > Services to open the Windows Services
menu.
2 Before starting other Symantec Data Loss Prevention services, start the Vontu
Notifier service.
3 Start the remaining Symantec Data Loss Prevention services, including the
following services:
■ Vontu Manager
■ Vontu Incident Persister
■ Vontu Update
■ Vontu Monitor Controller

See “Stopping an Enforce Server on Windows” on page 80.

Stopping an Enforce Server on Windows

Use the following procedure to stop the Symantec Data Loss Prevention services
on a Windows Enforce Server.
 Managing Enforce Server services and settings 81
About starting and stopping services on Windows

To stop the Symantec Data Loss Prevention Services on a Windows Enforce Server
1 On the computer that hosts the Enforce Server, navigate to Start > All
Programs > Administrative Tools > Services to open the Windows Services
menu.
2 From the Services menu, stop all running Symantec Data Loss Prevention
services, which might include the following services:
■ Vontu Update
■ Vontu Incident Persister
■ Vontu Manager
■ Vontu Monitor Controller
■ Vontu Notifier

See “Starting an Enforce Server on Windows” on page 80.

Starting a Detection Server on Windows

To start the Symantec Data Loss Prevention services on a Windows detection server
1 On the computer that hosts the detection server, navigate to Start > All
Programs > Administrative Tools > Services to open the Windows Services
menu.
2 Start the Symantec Data Loss Prevention services, which might include the
following services:
■ Vontu Monitor
■ Vontu Update

See “Stopping a Detection Server on Windows” on page 81.

Stopping a Detection Server on Windows

Use the following procedure to stop the Symantec Data Loss Prevention services
on a Windows detection server.
To stop the Symantec Data Loss Prevention Services on a Windows detection server
1 On the computer that hosts the detection server, navigate to Start > All
Programs > Administrative Tools > Services to open the Windows Services
menu.
2 From the Services menu, stop all running Symantec Data Loss Prevention
services, which might include the following services:
82 Managing Enforce Server services and settings
About starting and stopping services on Windows

■ Vontu Update
■ Vontu Monitor

See “Starting a Detection Server on Windows” on page 81.

Starting services on single-tier Windows installations

Use the following procedure to start the Symantec Data Loss Prevention services
on a single-tier installation on Windows.
To start the Symantec Data Loss Prevention services on a single-tier Windows
installation
1 On the computer that hosts the Symantec Data Loss Prevention server
applications, navigate to Start > All Programs > Administrative Tools >
Services to open the Windows Services menu.
2 Before starting other Symantec Data Loss Prevention services, start the Vontu
Notifier service.
3 Start the remaining Symantec Data Loss Prevention services, which might
include the following services:
■ Vontu Manager
■ Vontu Monitor
■ Vontu Incident Persister
■ Vontu Update
■ Vontu Monitor Controller

See “Stopping services on single-tier Windows installations” on page 82.

Stopping services on single-tier Windows installations

Use the following procedure to stop the Symantec Data Loss Prevention services
on a single-tier installation on Windows.
To stop the Symantec Data Loss Prevention services on a single-tier Windows
installation
1 On the computer that hosts the Symantec Data Loss Prevention server
applications, navigate to Start > All Programs > Administrative Tools >
Services to open the Windows Services menu.
2 From the Services menu, stop all running Symantec Data Loss Prevention
services, which might include the following services:
■ Vontu Update
 Managing Enforce Server services and settings 83
Starting and stopping services on Linux

■ Vontu Incident Persister

■ Vontu Manager
■ Vontu Monitor Controller
■ Vontu Notifier
■ Vontu Monitor

See “Starting services on single-tier Windows installations” on page 82.

Starting and stopping services on Linux

The procedures for starting and stopping services vary according to installation
configurations and between Enforce and detection servers.
■ See “Starting an Enforce Server on Linux” on page 83.
■ See “Stopping an Enforce Server on Linux” on page 84.
■ See “Starting a detection server on Linux” on page 84.
■ See “Stopping a detection server on Linux” on page 84.
■ See “Starting services on single-tier Linux installations” on page 85.
■ See “Stopping services on single-tier Linux installations” on page 85.

Starting an Enforce Server on Linux

Use the following procedure to start the Symantec Data Loss Prevention services
on a Linux Enforce Server.
To start the Symantec Data Loss Prevention services on a Linux Enforce Server
1 On the computer that hosts the Enforce Server, log on as root.
2 Change directory to /opt/SymantecDLP/Protect/bin.
3 Before starting other Symantec Data Loss Prevention services, to start the
Vontu Notifier service, enter:

./VontuNotifier.sh start

4 To start the remaining Symantec Data Loss Prevention services, enter:

./VontuManager.sh start
./VontuIncidentPersister.sh start
./VontuUpdate.sh start
./VontuMonitorController.sh start
84 Managing Enforce Server services and settings
Starting and stopping services on Linux

See “Stopping an Enforce Server on Linux” on page 84.

Stopping an Enforce Server on Linux

Use the following procedure to stop the Symantec Data Loss Prevention services
on a Linux Enforce Server.
To stop the Symantec Data Loss Prevention services on a Linux Enforce Server
1 On the computer that hosts the database, log on as root.
2 Change directory to /opt/SymantecDLP/Protect/bin.
3 To stop all running Symantec Data Loss Prevention services, enter:

./VontuUpdate.sh stop
./VontuIncidentPersister.sh stop
./VontuManager.sh stop
./VontuMonitorController.sh stop
./VontuNotifier.sh stop

See “Starting an Enforce Server on Linux” on page 83.

Starting a detection server on Linux

Use the following procedure to start the Symantec Data Loss Prevention services
on a Linux detection server.
To start the Symantec Data Loss Prevention services on a Linux detection server
1 On the computer that hosts the Enforce Server, log on as root.
2 Change directory to /opt/SymantecDLP/Protect/bin.
3 To start the Symantec Data Loss Prevention services, enter:

./VontuMonitor.sh start
./VontuUpdate.sh start

See “Stopping a detection server on Linux” on page 84.

Stopping a detection server on Linux

Use the following procedure to stop the Symantec Data Loss Prevention services
on a Linux detection server.
 Managing Enforce Server services and settings 85
Starting and stopping services on Linux

To stop the Symantec Data Loss Prevention services on a Linux detection server
1 On the computer that hosts the database, log on as root.
2 Change directory to /opt/SymantecDLP/Protect/bin.
3 To stop all running Symantec Data Loss Prevention services, enter:

./VontuUpdate.sh stop
./VontuMonitor.sh stop

See “Starting a detection server on Linux” on page 84.

Starting services on single-tier Linux installations

Use the following procedure to start the Symantec Data Loss Prevention services
on a single-tier installation on Linux.
To start the Symantec Data Loss Prevention services on a single-tier Linux
installation
1 On the computer that hosts the Symantec Data Loss Prevention server
applications, log on as root.
2 Change directory to /opt/SymantecDLP/Protect/bin.
3 Before starting other Symantec Data Loss Prevention services, to start the
Vontu Notifier service, enter:

./VontuNotifier.sh start

4 To start the remaining Symantec Data Loss Prevention services, enter:

./VontuManager.sh start
./VontuMonitor.sh start
./VontuIncidentPersister.sh start
./VontuUpdate.sh start
./VontuMonitorController.sh start

See “Stopping services on single-tier Linux installations” on page 85.

Stopping services on single-tier Linux installations

Use the following procedure to stop the Symantec Data Loss Prevention services
on a single-tier installation on Linux.
86 Managing Enforce Server services and settings
Starting and stopping services on Linux

To stop the Symantec Data Loss Prevention services on a single-tier Linux

installation
1 On the computer that hosts the Symantec Data Loss Prevention servers, log
on as root.
2 Change directory to /opt/SymantecDLP/Protect/bin.
3 To stop all running Symantec Data Loss Prevention services, enter:

./VontuUpdate.sh stop
./VontuIncidentPersister.sh stop
./VontuManager.sh stop
./VontuMonitor.sh stop
./VontuMonitorController.sh stop
./VontuNotifier.sh stop

See “Starting services on single-tier Linux installations” on page 85.

 Chapter 5
Managing roles and users
This chapter includes the following topics:

■ About role-based access control

■ About authenticating users

■ About configuring roles and users

■ About recommended roles for your organization

■ Roles included with solution packs

■ Configuring roles

■ Configuring user accounts

■ Configuring password enforcement settings

■ Resetting the Administrator password

■ Manage and add roles

■ Manage and add users

■ Integrating Active Directory for user authentication

■ About configuring certificate authentication

About role-based access control

Symantec Data Loss Prevention provides role-based access control to govern how
users access product features and functionality. For example, a role might let
users view reports, but prevent users from creating policies or deleting incidents.
Or, a role might let users author policy response rules but not detection rules.
88 Managing roles and users
About authenticating users

Roles determine what a user can see and do in the Enforce Server administration
console. For example, the Report role is a specific role that is included in most
Symantec Data Loss Prevention solution packs. Users in the Report role can view
incidents and create policies, and configure Discover targets (if you are running
a Discover Server). However, users in the Report role cannot create Exact Data or
Document Profiles. Also, users in the Report role cannot perform system
administration tasks. When a user logs on to the system in the Report role, the
Manage > Data Profiles and the System > Login Management modules in the
Enforce Server administration console are not visible to this user.
You can assign a user to more than one role. Membership in multiple roles allows
a user to perform different kinds of work in the system. For example, you grant
the information security manager user (InfoSec Manager) membership in two
roles: ISR (information security first responder) and ISM (information security
manager). The InfoSec Manager can log on to the system as either a first responder
(ISR) or a manager (ISM), depending on the task(s) to perform. The InfoSec Manager
only sees the Enforce Server components appropriate for those tasks.
You can also combine roles and policy groups to limit the policies and detection
servers that a user can configure. For example, you associate a role with the
European Office policy group. This role grants access to the policies that are
designed only for the European office.
See “Policy deployment” on page 332.
Users who are assigned to multiple roles must specify the desired role at log on.
Consider an example where you assign the user named "User01" to two roles,
"Report" and "System Admin." If "User01" wanted to log on to the system to
administer the system, the user would log on with the following syntax: Login:
System Admin\User01

See “Logging on and off the Enforce Server administration console” on page 57.
The Administrator user (created during installation) has access to every part of
the system and therefore is not a member of any access-control role.
See “About the administrator account” on page 58.

About authenticating users

Symantec Data Loss Prevention provides the following options for authenticating
users to the Enforce Server administration console:
 Managing roles and users 89
About authenticating users

Table 5-1 Enforce Server authentication mechanisms

Authentication Sign-on mechanism Description

mechanism

Password Forms-based sign-on With password authentication, the Enforce Server administration
authentication console authenticates each user by determining if the supplied user
name and password combination matches an active user account in
the Enforce Server configuration. An active user account is
authenticated if it has been assigned a valid role.

When using this authentication mechanism, users enter their

credentials into the Enforce Server administration console's logon
page and submit them over an HTTPS connection to the Tomcat
container that hosts the administration console.

With password authentication, you must configure the user name and
password of each user account directly in the Enforce Server
administration console. You must also ensure that each user account
has at least one assigned role.

See “Manage and add users” on page 108.

Active Directory Forms-based sign-on With Microsoft Active Directory authentication, the Enforce Server
authentication administration console first evaluates a supplied user name to
determine if the name exists in a configured Active Directory server.
If the user name exists in Active Directory, the supplied password for
the user is evaluated against the Active Directory password. Any
password configured in the Enforce Server configuration is ignored.

With Active Directory authentication, you must configure a user

account for each Active Directory user in the Enforce Server
administration console. You do not have to enter a password for an
Active Directory user account. You can switch to Active Directory
authentication after you have already created user accounts in the
system. However, only those existing user names that match Active
Directory user names remain valid after the switch.
Note: The Administrator user can log in to the Enforce Server
administration console using the Enforce Server system account
password that you created during installation.

See “Verifying the Active Directory connection” on page 112.

90 Managing roles and users
About authenticating users

Table 5-1 Enforce Server authentication mechanisms (continued)

Authentication Sign-on mechanism Description

mechanism

SPC Single sign-on from SPC You can optionally integrate the Enforce Server with a single Symantec
authentication console Protection Center (SPC) instance. With SPC integration, a user first
logs into the SPC console, and may then access the Enforce Server
administration console from within the SPC interface. When the user
requests the administration console option, the SPC console delivers
the user name or user name and role of an Enforce Server
administration console user over a trusted connection. The SPC
administrator can map all SPC users to a single Enforce Server user
account, can map different SPC users to different Enforce Server user
accounts.

The Administration Console authenticates that the request originates

from the registered SPC instance. It also verifies that the requested
Enforce Server user account is active and has a valid role in the Enforce
Server configuration. If SPC is configured to log on using a specific
user name and role combination, the Enforce Server validates that
the requested role is assigned to the active user account.

To use SPC-integrated single sign-on, you must first enable SPC

authentication on the Enforce Server and register an SPC instance
with the Enforce Server administration console. You then map each
SPC user to a user account in the Enforce Server configuration. It is
possible to map multiple SPC users to a single Enforce Server user
account. You can also specify Enforce Server user account and role
combinations, or accept the default role assigned to the account in
the Enforce Server configuration.

See “About Enforce Server integration with SPC” on page 176.

See “Manage and add users” on page 108.

 Managing roles and users 91
About authenticating users

Table 5-1 Enforce Server authentication mechanisms (continued)

Authentication Sign-on mechanism Description

mechanism

Certificate Single sign-on from Certificate authentication enables a user to automatically log on to
authentication Public Key the Enforce Server administration console using an X.509 client
Infrastructure (PKI) certificate that is generated by your public key infrastructure (PKI).
To use certificate-based single sign-on, you must first enable certificate
authentication in the Enforce Server.

See “Configuring certificate authentication for the Enforce Server

administration console” on page 117.

The client certificate must be delivered to the Enforce Server when a

client's browser performs the SSL handshake with the Enforce Server
administration console. For example, you might use a smart card
reader and middleware with your browser to automatically present a
certificate to the Enforce Server. Or, you might obtain an X.509
certificate from a certificate authority and upload the certificate to a
browser that is configured to send the certificate to the Enforce Server.

When a user accesses the Enforce Server administration console, the

PKI automatically delivers the user's certificate to the Tomcat
container that hosts the administration console. The Tomcat container
validates the client certificate using the certificate authorities that
you have configured in the Tomcat trust store.

See “Adding certificate authority (CA) certificates to the Tomcat trust

store” on page 119.

The Enforce Server administration console uses the validated

certificate to determine whether the certificate has been revoked.

See “About certificate revocation checks” on page 123.

If the certificate is valid and has not been revoked, then the Enforce
Server uses the common name (CN) in the certificate to determine if
that CN is mapped to an active user account with a role in the Enforce
Server configuration. For each user that will access the Enforce Server
administration console using certificate-based single sign-on, you
must create a user account in the Enforce Server that defines the
corresponding user's CN value. You must also assign one or more valid
roles to the user account.

See “Manage and add users” on page 108.

When you install the Enforce Server, the installer prompts you to select the
authentication mechanism to use. Password authentication is the default
mechanism used with Symantec Data Loss Prevention, and you can use password
authentication even if you also use SPC authentication or certificate authentication.
92 Managing roles and users
About configuring roles and users

If you use certificate authentication, you can optionally disable password

authentication to rely on your PKI for all access to the Enforce Server
administration console.
If you upgrade from an earlier version of Symantec Data Loss Prevention, you
can enable SPC authentication or certificate authentication using manual
procedures.

About configuring roles and users

When you install the Enforce Server, you create a default Administrator user that
has access to all roles. If you import a solution pack to the Enforce Server, the
solution pack includes several roles and users to get you started.
See “About the administrator account” on page 58.
You may want to add roles and users to the Enforce Server. When adding roles
and users, consider the following guidelines:
■ Understand the roles necessary for your business users and for the information
security requirements and procedures of your organization.
See “About recommended roles for your organization” on page 92.
■ Review the roles that created when you installed a solution pack. You can likely
use several of them (or modified versions of them) for users in your
organization.
See “Roles included with solution packs” on page 94.
■ If necessary, modify the solution-pack roles and create any required new roles.
See “Configuring roles” on page 95.
■ Create users and assign each of them to one or more roles.
See “Configuring user accounts” on page 103.
■ Manage roles and users and remove those not being used.
See “Manage and add roles” on page 108.
See “Manage and add users” on page 108.

About recommended roles for your organization

To determine the most useful roles for your organization, review your business
processes and security requirements.
Most businesses and organizations find the following roles fundamental when
they implement the Symantec Data Loss Prevention system:
■ System Administrator
 Managing roles and users 93
About recommended roles for your organization

This role provides access to the System module and associated menu options
in the Enforce Server administration console. Users in this role can monitor
and manage the Enforce Server and detection servers(s). Users in this role can
also deploy detection servers and run Network Discover scans. However, users
in this role cannot view detailed incident information or author policies. All
solution packs create a "Sys Admin" role that has system administrator
privileges.
■ User Administrator
This role grants users the right to manage users and roles. Typically this role
grants no other access or privileges. Because of the potential for misuse, it is
recommended that no more than two people in the organization be assigned
this role (primary and backup).
■ Policy Admininistrator
This role grants users the right to manage policies and response rules. Typically
this role grants no other access or privileges. Because of the potential for
misuse, it is recommended that no more than two people in the organization
be assigned this role (primary and backup).
■ Policy Author
This role provides access to the Policies module and associated menu options
in the Enforce Server administration console. This role is suited for information
security managers who track incidents and respond to risk trends. An
information security manager can author new policies or modifying existing
policies to prevent data loss. All solution packs create an "InfoSec Manager"
(ISM) role that has policy authoring privileges.
■ Incident Responder
This role provides access to the Incidents module and associated menu options
in the Enforce Server administration console. Users in this role can track and
remediates incidents. Businesses often have at least two incident responder
roles that provide two levels of privileges for viewing and responding to
incidents.
A first-level responder may view generic incident information, but cannot
access incident details (such as sender or recipient identity). In addition, a
first-level responder may also perform some incident remediation, such as
escalating an incident or informing the violator of corporate security policies.
A second-level responder might be escalation responder who has the ability
to view incident details and edit custom attributes. A third-level responder
might be an investigation responder who can create response rules, author
policies, and create policy groups.
All solution packs create an "InfoSec Responder" (ISR) role. This role serves
as a first-level responder. You can use the ISM (InfoSec Manager) role to provide
second-level responder access.
94 Managing roles and users
Roles included with solution packs

Your business probably requires variations on these roles, as well as other roles.
For more ideas about these and other possible roles, see the descriptions of the
roles that are imported with solution packs.
See “Roles included with solution packs” on page 94.

Roles included with solution packs

The various solution packs offered with Symantec Data Loss Prevention create
roles and users when installed. For all solution packs there is a standard set of
roles and users. You may see some variation in those roles and users, depending
on the solution pack you import.
The following table summarizes the Financial Services Solution Pack roles. These
roles are largely the same as the roles that are found in other Symantec Data Loss
Prevention solution packs.
See Table 5-2 on page 94.

Table 5-2 Financial Services Solution Pack roles

Role Name Description

Compliance Compliance Officer:

■ Users in this role can view, remediate, and delete incidents; look
up attributes; and edit all custom attributes.
■ This comprehensive role provides users with privileges to ensure
that compliance regulations are met. It also allows users to
develop strategies for risk reduction at a business unit (BU) level,
and view incident trends and risk scorecards.

Exec Executive:

■ Users in this role can view, remediate, and delete incidents; look
up attributes; and view all custom attributes.
■ This role provides users with access privileges to prevent data
loss risk at the macro level. Users in this role can review the risk
trends and performance metrics, as well as incident dashboards.

HRM HR Manager:

■ Users in this role can view, remediate, and delete incidents; look
up attributes; and edit all custom attributes.
■ This role provides users with access privileges to respond to the
security incidents that are related to employee breaches.
 Managing roles and users 95
Configuring roles

Table 5-2 Financial Services Solution Pack roles (continued)

Role Name Description

Investigator Incident Investigator:

■ Users in this role can view, remediate, and delete incidents; look
up attributes; and edit all custom attributes.
■ This role provides users with access privileges to research details
of incidents, including forwarding incidents to forensics. Users
in this role may also investigate specific employees.

ISM InfoSec Manager:

■ Users in this role can view, remediate, and delete incidents. They
can look up attributes, edit all custom attributes, author all
policies and policy groups, and author response rules.
■ This role provides users with second-level incident response
privileges. Users can manage escalated incidents within
information security team.

ISR InfoSec Responder:

■ Users in this role can view, remediate, and delete incidents; look
up attributes; and view or edit some custom attributes. They
have no access to sender or recipient identity details.
■ This role provides users with first-level incident response
privileges. Users can view policy incidents, find broken business
processes, and enlist the support of the extended remediation
team to remediate incidents.

Report Reporting and Policy Authoring:

■ Users in this role can view and remediate incidents, and author
all policies and policy groups. They have no access to incident
details.
■ This role provides a single role for policy authoring and data
loss risk management.

Sys Admin System administrator:

■ Users in this role can administer the system and the system
users, and can view incidents. They have no access to incident
details.

Configuring roles
Each Symantec Data Loss Prevention user is assigned to one or more roles that
define the privileges and rights that user has within the system. A user’s role
96 Managing roles and users
Configuring roles

determines system administration privileges, policy authoring rights, incident

access, and more. If a user is a member of multiple roles, the user must specify
the role when logging on, for example: Login: Sys Admin/sysadmin01.
See “About role-based access control” on page 87.
See “About configuring roles and users” on page 92.
To configure a role
1 Navigate to the System > Login Management > Roles screen.
2 Click Add Role.
The Configure Role screen appears, displaying the following tabs: General,
Incident Access, Policy Management, and Users.
3 In the General tab:
■ Enter a unique Name for the role. The name field is case-sensitive and is
limited to 30 characters. The name you enter should be short and
self-describing. Use the Description field to annotate the role name and
explain its purpose in more details. The role name and description appear
in the Role List screen.
■ In the User Privileges section, you grant user privileges for the role.
System privileges(s):

User Select the User Administration option to enable users to

Administration create additional roles and users in the Enforce Server.
(Superuser)

Server Select the Server Administration option to enable users to

Administration perform the following functions:
■ Configure detection servers.
■ Create and manage Data Profiles for Exact Data Matching
(EDM), Indexed Document Matching (IDM), and Vector
Machine Learning (VML).
■ Configure and assign incident attributes.
■ Configure system settings.
■ Configure response rules.
■ Create policy groups.
■ Configure recognition protocols.
■ View system event and traffic reports.

Symantec Select the Symantec Protection Center Registration option

Protection to allow users to integrate Symantec Data Loss Prevention
Center with Symantec Protection Center (SPC).
Registration
See “About Symantec Protection Center (SPC)” on page 175.
 Managing roles and users 97
Configuring roles

People privilege:

User Select the User Reporting option to enable users to view the user
Reporting risk summary.
(Risk Note: The Incident > View privilege is automatically enabled for all
Summary, incident types for users with the User Reporting privilege.
User
Snapshot) See “About user risk” on page 1009.

■ In the Incidents section, you grant users in this role the following incident
privilege(s). These settings apply to all incident reports in the system,
including the Executive Summary, Incident Summary, Incident List, and
Incident Snapshots.

View Select the View option to enable users in this role to view
policy violation incidents.
You can customize incident viewing access by selecting various
Actions and Display Attribute options as follows:
■ By default the View option is enabled (selected) for all types
of incidents: Network Incidents, Discover Incidents,
Endpoint Incidents, Mobile Incidents, and Classification
Events.
■ To restrict viewing access to only certain incident types,
select (highlight) the type of incident you want to authorize
this role to view. (Hold down the Ctrl key to make multiple
selections.) If a role does not allow a user to view part of
an incident report, the option is replaced with "Not
Authorized" or is blank.
Note: If you revoke an incident-viewing privilege for a role,
the system deletes any saved reports for that role that rely on
the revoked privilege. For example, if you revoke (deselect)
the privilege to view network incidents, the system deletes
any saved network incident reports associated with the role.
98 Managing roles and users
Configuring roles

Actions Select among the following Actions to customize the actions

a user can perform when an incident occurs:
■ Remediate Incidents
This privilege lets users change the status or severity of
an incident, set a data owner, add a comment to the
incident history, set the Do Not Archive and Allow Archive
options, and execute response rule actions. In addition, if
you are using the Incident Reporting and Update API, select
this privilege to remediate the location and status
attributes.
■ Smart Response Rules to execute
You specify which Smart Response Rules that can be
executed on a per role basis. Configured Smart Response
Rules are listed in the "Available" column on the left. To
expose a Smart Response Rule for execution by a user of
this role, select it and click the arrow to add it to the
right-side column. Use the CTRL key to select multiple
rules.
■ Perform attribute lookup
Lets users look up incident attributes from external sources
and populate their values for incident remediation.
■ Delete incidents
Lets users delete an incident.
■ Archive incidents
Lets users archive an incident.
■ Restore archived incidents
Lets users restore previously archived incidents.
■ Export Web archive
Lets users export a report that the system compiles from
a Web archive of incidents.
■ Export XML
Lets users export a report of incidents in XML format.
■ Email incident report as CSV attachment
Lets users email as an attachment a report containing a
comma-separated listing of incident details.
 Managing roles and users 99
Configuring roles

Incident Select among the following user privileges to enable access

Reporting and for Web Services clients that use the Incident Reporting and
Update API Update API or the deprecated Reporting API:
■ Incident Reporting
Enables Web Services clients to retrieve incident details.
■ Incident Update
Enables Web Services clients to update incident details.
(Does not apply to clients that use the deprecated Reporting
API.)

See the Symantec Data Loss Prevention Incident Reporting and

Update API Developers Guide for more information.
100 Managing roles and users
Configuring roles

Display Select among the following Display Attributes to customize

Attributes what attributes appear in the Incidents view for the policy
violations that users of the role can view.

Shared attributes are common to all types of incidents:

■ Matches
The highlighted text of the message that violated the policy
appears on the Matches tab of the Incident Snapshot
screen.
■ History
The incident history.
■ Body
The body of the message.
■ Attachments
The names of any attachments or files.
■ Sender
The message sender.
■ Recipients
The message recipients.
■ Subject
The subject of the message.
■ Original Message
Controls whether or not the original message that caused
the policy violation incident can be viewed.
Note: To view an attachment properly, both the "Attachment"
and the "Original Message" options must be checked.

Endpoint attributes are specific to Endpoint incidents:

■ Username
The name of the Endpoint user.
■ Machine name
The name of the computer where the Endpoint Agent is
installed.
Discover attributes are specific to Discover incidents:
■ File Owner
The name of the owner of the file being scanned.
■ Location
The location of the file being scanned.
 Managing roles and users 101
Configuring roles

Custom The Custom Attributes list includes all of the custom

Attributes attributes configured by your system administrator, if any.
■ Select View All if you want users to be able to view all
custom attribute values.
■ Select Edit All if you want users to edit all custom attribute
values.
■ To restrict the users to certain custom attributes, clear the
View All and Edit All check boxes and individually select
the View and/or Edit check box for each custom attribute
you want viewable or editable.
Note: If you select Edit for any custom attribute, the View
check box is automatically selected (indicated by being grayed
out). If you want the users in this role to be able to view all
custom attribute values, select View All.

■ In the Discover section, you grant users in this role the following
privileges:

Folder Risk This privilege lets users view Folder Risk Reports. Refer to the
Reporting Symantec Data Loss Prevention Data Insight Implementation
Guide.
Note: This privilege is only available for Symantec Data Loss
Prevention Data Insight licenses.

Content Root This prvilege lets users configure and run Content Root
Enumeration Enumeration scans. For more information about Content Root
Enumeration scans, See “Working with Content Root
Enumeration scans” on page 1179.

4 In the Incident Access tab, configure any conditions (filters) on the types of
incidents that users in this role can view.

Note: You must select the View option on the General tab for settings on the
Incident Access tab to have any effect.

To add an Incident Access condition:

■ Click Add Condition.
■ Select the type of condition and its parameters from left to right, as if
writing a sentence. (Note that the first drop-down list in a condition
contains the alphabetized system-provided conditions that are associated
with any custom attributes.)
102 Managing roles and users
Configuring roles

For example, select Policy Group from the first drop-down list, select Is
Any Of from the second list, and then select Default Policy Group from
the final listbox. These settings would limit users to viewing only those
incidents that the default policy group detected.

5 In the Policy Management tab, select one of the following policy privileges
for the role:
■ Author Policies
This role privilege lets users add, edit, and delete policies within the policy
groups that are selected.
It also lets users modify system data identifiers, and create custom data
identifiers.
It also lets users create and modify User Groups.
This privilege does not let users create or manage Data Profiles. This
activity requires Enforce Server administrator privileges.
■ Discover Scan Control
Lets the users in this role create Discover targets, run scans, and view
Discover Servers.
■ Credential Management
Lets users create and modify the credentials that the system requires to
access target systems and perform Discover scans.
■ Policy Groups
Select All Policy Groups only if users in this role need access to all existing
policy groups and any that will be created in the future.
Otherwise you can select individual policy groups or the Default Policy
Group.

Note: These options do not grant the right to create, modify, or delete
policy groups. Only the users whose role includes the Server
Administration privilege can work with policy groups.

■ Author Response Rules

Enables users in this role to create, edit, and delete response rules.

Note: Users cannot edit or author response rules for policy remediation
unless you select the Author Response Rules option.
 Managing roles and users 103
Configuring user accounts

Note: Preventing users from authoring response rules does not prevent them
from executing response rules. For example, a user with no response-rule
authoring privileges can still execute smart response rules from an incident
list or incident snapshot.

6 In the Users tab, select any users to which to assign this role. If you have not
yet configured any users, you can assign users to roles after you create the
users.
7 Click Save to save your newly created role to the Enforce Server database.

Configuring user accounts

User accounts are the means by which users log onto the system and perform
tasks. The role that the user account belongs to limits what the user can do in the
system.
To configure a user account:
1 In the Enforce Server Administration Console, select System > Login
Management > DLP Users to create a new user account or to reconfigure an
existing user account. Or, click Profile to reconfigure the user account to
which you are currently logged on.
2 Click Add User to add a new user, or click the name of an existing user to
modify that user's configuration.
3 Enter a name for a new user account in the Name field.
■ The user account name must be between 8 and 30 characters long, is
case-sensitive , and cannot contain backslashes (\).
■ If you use certificate authentication, the Name field value does not have
to match the user's Common Name (CN). However, you may choose to use
the same value for both the Name and Common Name (CN) so that you
can easily locate the configuration for a specific CN. The Enforce Server
administration console shows only the Name field value in the list of
configured users.
■ If you are using Active Directory authentication, the user account name
must match the name of the Active Directory user account. Note that all
Symantec Data Loss Prevention user names are case-sensitive, even though
Active Directory user names are not. Active Directory users will need to
enter the case-sensitive account name when logging onto the Enforce
Server administration console.
See “Integrating Active Directory for user authentication” on page 109.
104 Managing roles and users
Configuring user accounts

4 Configure the Authentication section of the Configure User page as follows:

Option Instructions

Use Password Select this option to use password authentication and allow the user to sign on using the Enforce
authentication Server administration console log on page. This option is required if the user account will be
used for a Reporting API Web Service client.

If you select this option, also enter the user password in the Password and the Re-enter
Password fields. The password must be at least eight characters long and is case-sensitive. For
security purposes, the password is obfuscated and each character appears as an asterisk.

If you configure advanced password settings, the user must specify a strong password. In
addition, the password may expire at a certain date and the user has to define a new one
periodically.

See “Configuring password enforcement settings” on page 106.

You can choose password authentication even if you also use SPC authentication or certificate
authentication. If you use certificate authentication, you can optionally disable sign on from
the Enforce Server administration console log on page.

See “Disabling password authentication and forms-based log on” on page 130.

Symantec Data Loss Prevention authenticates all Reporting API clients using password
authentication. If you configure Symantec Data Loss Prevention to use certificate authentication,
any user account that is used to access the Reporting API Web Service must have a valid
password. See the Symantec Data Loss Prevention Reporting API Developers Guide.
Note: If you configure Active Directory integration with the Enforce Server, users authenticate
using their Active Directory passwords. In this case the password field does not appear on the
Users screen.
See “Integrating Active Directory for user authentication” on page 109.
 Managing roles and users 105
Configuring user accounts

Option Instructions

Use Certificate Select this option to use certificate authentication and allow the user to automatically single
authentication sign-on with a certificate that is generated by a separate Private Key Infrastructure (PKI). This
option is available only if you have configured certificate authentication during the Symantec
Data Loss Prevention installation, or you have manually configured support for certificate
authentication.

See “About authenticating users” on page 88.

See “About configuring certificate authentication” on page 114.

If you select this option, you must specify the common name (CN) value for the user in the
Common Name (CN) field. The CN value appears in the Subject field of the user's certificate,
which is generated by the PKI. Common names generally use the format, first_name
last_name identification_number.

The Enforce Server uses the CN value to map the certificate to this user account. If an
authenticated certificate contains the specified CN value, all other attributes of this user account,
such as the default role and reporting preferences, are applied when the user logs on.
Note: You cannot specify the same Common Name (CN) value in multiple Enforce Server user
accounts.

Account Disabled Select this option to lock the user out of the Enforce Server administration console. This option
disables access for the user account regardless of which authentication mechanism you use.

For security, after a certain number of consecutive failed logon attempts, the system
automatically disables the account and locks out the user. In this case the Account Disabled
option is checked. To reinstate the user account and allow the user to log on to the system, clear
this option by unchecking it.

5 Optionally enter an Email Address and select a Language for the user in the
General section of the page. The Language selection depends on the language
pack(s) you have installed.
6 In the Report Preferences section of the Users screen you specify the
preferences for how this user is to receive incident reports, including Text
File Encoding and CSV Delimiter.
If the role grants the privilege for XML Export, you can select to include
incident violations and incident history in the XML export.
7 In the Roles section, select the roles that are available to this user to assign
data and incident access privileges.
You must assign the user at least one role to access the Enforce Server
administration console.
See “Configuring roles” on page 95.
106 Managing roles and users
Configuring password enforcement settings

8 Select the Default Role to assign to this user at log on.

The default role is applied if no specific role is requested when the user logs
on.
For example, the Enforce Server administration console uses the default role
if the user uses single sign-on with certificate authentication or uses the
logon page. With SPC authentication, you can specify the exact role to request
at log on time, in which case the default role is ignored.

Note: Individual users can change their default role by clicking Profile and
selecting a different option from the Default Role menu. The new default
role is applied at the next logon.

See “About authenticating users” on page 88.

9 Click Save to save the user configuration.

Note: Once you have saved a new user, you cannot edit the user name.

10 Manage users and roles as necessary.

See “Manage and add roles” on page 108.
See “Manage and add users” on page 108.

Configuring password enforcement settings

At the Systems > Settings > General screen you can require users to use strong
passwords. Strong passwords must contain at least eight characters, at least one
number, and at least one uppercase letter. Strong passwords cannot have more
than two repeated characters in a row. If you enable strong passwords, the effect
is system-wide. Existing users without a strong password must update their profiles
at next logon.
You can also require users to change their passwords at regular intervals. In this
case at the end of the interval you specify, the system forces users to create a new
password.
If you use Active Directory authentication, these password settings only apply to
the Administrator password. All other user account passwords are derived from
Active Directory.
See “Integrating Active Directory for user authentication” on page 109.
 Managing roles and users 107
Resetting the Administrator password

To configure advanced authentication settings

1 Go to System > Settings > General and click Configure.
2 To require strong passwords, locate the Password Enforcement section and
select Require Strong Passwords.
Symantec Data Loss Prevention prompts existing users who do not have
strong passwords to create one at next logon.
3 To set the period for which passwords remain valid, type a number
(representing the number of days) in the Password Rotation Period field.
To let passwords remain valid forever, type 0 (the character for zero).

Resetting the Administrator password

Symantec Data Loss Prevention provides the AdminPasswordReset utility to reset
the Administrator's password. There is no method to recover a lost password, but
you can use this utility to assign a new password. You can also use this utility if
certificate authentication mechanisms are disabled and you have not yet defined
a password for the Administrator account.
To use the AdminPasswordReset utility, you must specify the password to the
Enforce Server database. Use the following procedure to reset the password.
To reset the Administrator password for forms-based log on
1 Log onto the Enforce Server computer using the account that you created
during Symantec Data Loss Prevention installation.

Note: If you log on with a different account (such as the root or Administrator
account) ensure that you do not change the permissions or ownership on any
Symantec Data Loss Prevention configuration file in the steps that follow.

2 Change directory to the /opt/SymantecDLP/Protect/bin (Linux) or

c:\SymantecDLP\Protect\bin (Windows) directory. If you installed Symantec
Data Loss Prevention into a different directory, substitute the correct path.
3 Execute the AdminPasswordReset utility using the following syntax:

AdminPasswordReset -dbpass oracle_password -newpass new_administrator_password

Replace oracle_password with the password to the Enforce Server database,

and replace new_administrator_password with the password you want to set.
108 Managing roles and users
Manage and add roles

Manage and add roles

The System > Login Management > Roles screen displays an alphabetical list of
the roles that are defined for your organization.
Roles listed on this screen display the following information:
■ Name – The name of the role
■ Description – A brief description of the role
Assuming that you have the appropriate privileges, you can view, add, modify, or
delete roles as follows:
■ Add a new role, or modify an existing one.
Click Add Role to begin adding a new role to the system.
Click anywhere in a row or the pencil icon (far right) to modify that role
See “Configuring roles” on page 95.
■ Click the red X icon (far right) to delete the role; a dialog box confirms the
deletion.
Before editing or deleting roles, note the following guidelines:
■ If you change the privileges for a role, users in that role who are currently
logged on to the system are not affected. For example, if you remove the Edit
privilege for a role, users currently logged on retain permission to edit custom
attributes for that session. However, the next time users log on, the changes
to that role take effect, and those users can no longer edit custom attributes.
■ If you revoke an incident-viewing privilege for a role, the Enforce Server
automatically deletes any saved reports that rely on the revoked privilege. For
example, if you revoke the privilege to view network incidents, the system
deletes any saved network incident reports associated with the newly restricted
role.
■ Before you can delete a role, you must make sure there are no users associated
with the role.
■ When you delete a role, you delete all shared saved reports that a user in that
role saved.
See “Manage and add users” on page 108.

Manage and add users

The System > Login Management > DLP Users screen lists all the active user
accounts in the system.
For each user account listed, the following information is listed:
 Managing roles and users 109
Integrating Active Directory for user authentication

■ User Name – The name the user enters to log on to the Enforce Server
■ Email – The email address of the user
■ Access – The role(s) in which the user is a member
Assuming that you have the appropriate privileges, you can add, edit, or delete
user accounts as follows:
■ Add a new user account, or modify an existing one.
Click Add to begin adding a new user to the system.
Click anywhere in a row or the pencil icon (far right) to view and edit that user
account.
See “Configuring user accounts” on page 103.
■ Click the red X icon (far right) to delete the user account; a dialog box confirms
the deletion.

Note: The Administrator account is created on install and cannot be removed

from the system.

Note: When you delete a user account, you also delete all private saved reports
that are associated with that user.

See “Manage and add roles” on page 108.

Integrating Active Directory for user authentication

You can configure the Enforce Server to use Microsoft Active Directory for user
authentication.
After you switch to Active Directory authentication, you must still define users
in the Enforce Server administration console. If the user names you enter in the
Administration Console match Active Directory users, the system associates any
new user accounts with Active Directory passwords. You can switch to Active
Directory authentication after you have already created user accounts in the
system. Only those existing user names that match Active Directory user names
remain valid after the switch.
Users must use their Active Directory passwords when they log on. Note that all
Symantec Data Loss Prevention user names remain case sensitive, even though
Active Directory user names are not. You can switch to Active Directory
authentication after already having created user names in Symantec Data Loss
110 Managing roles and users
Integrating Active Directory for user authentication

Prevention. However, users still have to use the case-sensitive Symantec Data
Loss Prevention user name when they log on.
To use Active Directory authentication
1 Verify that the Enforce Server host is time-synchronized with the Active
Directory server.

Note: Ensure that the clock on the Active Directory host is synched to within
five minutes of the clock on the Enforce Server host.

2 (Linux only) Make sure that the following Red Hat RPMs are installed on the
Enforce Server host:
■ krb5-workstation

■ krb5-libs

■ pam_krb5

3 Create the krb5.ini (or krb5.conf for Linux) configuration file that gives
the Enforce Server information about your Active Directory domain structure
and Active Directory server addresses.
See “Creating the configuration file for Active Directory integration”
on page 110.
4 Confirm that the Enforce Server can communicate with the Active Directory
server.
See “Verifying the Active Directory connection” on page 112.
5 Configure Symantec Data Loss Prevention to use Active Directory
authentication.
See “Configuring the Enforce Server for Active Directory authentication”
on page 113.

Creating the configuration file for Active Directory integration

You must create a krb5.ini configuration file (or krb5.conf on Linux) to give
Symantec Data Loss Prevention information about your Active Directory domain
structure and server locations. This step is required if you have more than one
Active Directory domain. However, even if your Active Directory structure includes
only one domain, it is still recommended to create this file. The kinit utility uses
this file to confirm that Symantec Data Loss Prevention can communicate with
the Active Directory server.
 Managing roles and users 111
Integrating Active Directory for user authentication

Note: If you are running Symantec Data Loss Prevention on Linux, verify the
Active Directory connection using the kinit utility. You must rename the krb5.ini
file as krb5.conf. The kinit utility requires the file to be named krb5.conf on
Linux. Symantec Data Loss Prevention assumes that you use kinit to verify the
Active Directory connection, and directs you to rename the file as krb5.conf.

Symantec Data Loss Prevention provides a sample krb5.ini file that you can
modify for use with your own system. The sample file is stored in
SymantecDLP\Protect\config (for example, \SymantecDLP\Protect\config on
Windows or /opt/Vontu/Protect/config on Linux). If you are running Symantec
Data Loss Prevention on Linux, Symantec recommends renaming the file to
krb5.conf. The sample file, which is divided into two sections, looks like this:

[libdefaults]
default_realm = TEST.LAB
[realms]
ENG.COMPANY.COM = {
kdc = engAD.eng.company.com
}
MARK.COMPANY.COM = {
kdc = markAD.eng.company.com
}
QA.COMPANY.COM = {
kdc = qaAD.eng.company.com
}

The [libdefaults] section identifies the default domain. (Note that Kerberos
realms correspond to Active Directory domains.) The [realms] section defines
an Active Directory server for each domain. In the previous example, the Active
Directory server for ENG.COMPANY.COM is engAD.eng.company.com.
To create the krb5.ini or krb5.conf file
1 Go to SymantecDLP\Protect\config and locate the sample krb5.ini file.
For example, locate the file in \SymantecDLP\Protect\config (on Windows)
or /opt/Vontu/Protect/config (on Linux).
2 Copy the sample krb5.ini file to the c:\windows directory (on Windows) or
the /etc directory (on Linux). If you are running Symantec Data Loss
Prevention on Linux, plan to verify the Active Directory connection using
the kinit command-line tool. Rename the file as krb5.conf.
See “Verifying the Active Directory connection” on page 112.
3 Open the krb5.ini or krb5.conf file in a text editor.
112 Managing roles and users
Integrating Active Directory for user authentication

4 Replace the sample default_realm value with the fully qualified name of
your default domain. (The value for default_realm must be all capital letters.)
For example, modify the value to look like the following:

default_realm = MYDOMAIN.LAB

5 Replace the other sample domain names with the names of your actual
domains. (Domain names must be all capital letters.) For example, replace
ENG.COMPANY.COM with ADOMAIN.COMPANY.COM.

6 Replace the sample kdc values with the host names or IP addresses of your
Active Directory servers. (Be sure to follow the specified format, in which
opening brackets are followed immediately by line breaks.) For example,
replace engAD.eng.company.com with ADserver.eng.company.com, and so
on.
7 Remove any unused kdc entries from the configuration file. For example, if
you have only two domains besides the default domain, delete the unused
kdc entry.

8 Save the file.

Verifying the Active Directory connection

kinit is a command-line tool you can use to confirm that the Active Directory
server responds to requests. It also verifies that the Enforce Server has access to
the Active Directory server. For Microsoft Windows installations, the utility is
installed by the Symantec Data Loss Prevention installer in the
SymantecDLP\jre\bin directory. For Linux installations, the utility is part of the
Red Hat Enterprise Linux distribution, and is in the following location:
/usr/kerberos/bin/kinit. You can also download Java SE 6 and locate the kinit
tool in \java_home\jdk1.6.0\bin.
If you run the Enforce Server on Linux, use the kinit utility to test access from
the Enforce Server to the Active Directory server. Rename the krb5.ini file as
krb5.conf. The kinit utility requires the file to be named krb5.conf on Linux.

See “Configuring the Enforce Server for Active Directory authentication”

on page 113.
 Managing roles and users 113
Integrating Active Directory for user authentication

To test the connection to the Active Directory server

1 On the Enforce Server host, go to the command line and navigate to the
directory where kinit is located.
2 Issue a kinit command using a known user name and password as parameters.
(Note that the password is visible in clear text when you type it on the
command line.) For example, issue the following:

kinit kchatterjee mypwd10#

The first time you contact Active Directory you may receive an error that it
cannot find the krb5.ini or krb5.conf file in the expected location. On
Windows, the error looks similar to the following:

krb_error 0 Could not load configuration file c:\winnt\krb5.ini

(The system cannot find the file specified) No error.

In this case, copy the krb5.ini or krb5.conf file to the expected location
and then rerun the kinit command that is previously shown.
3 Depending on how the Active Directory server responds to the command,
take one of the following actions:
■ If the Active Directory server indicates it has successfully created a
Kerberos ticket, continue configuring Symantec Data Loss Prevention.
■ If you receive an error message, consult with your Active Directory
administrator.

Configuring the Enforce Server for Active Directory authentication

Perform the procedure in this section when you first set up Active Directory
authentication, and any time you want to modify existing Active Directory settings.
Make sure that you have completed the prerequisite steps before you enable Active
Directory authentication.
See “Integrating Active Directory for user authentication” on page 109.
To configure the Enforce Server to user Active Directory for authentication:
1 Make sure all users other than the Administrator are logged out of the system.
2 In the Enforce Server administration console, go to System > Settings >
General and click Configure (at top left).
114 Managing roles and users
About configuring certificate authentication

3 At the Edit General Settings screen that appears, locate the Active Directory
Authentication section near the bottom and select (check) Perform Active
Directory Authentication.
The system then displays several fields to fill out.
4 In the Default Active Directory Domain field, enter the name of the default
domain on your Active Directory system. This field is required. All Windows
domain names must be uppercase (for example, TEST.LAB). If your setup
includes a krb5.ini or krb5.conf file, the default Active Directory domain
is the same as the value for default_realm in the krb5.ini or krb5.conf
file.
5 In the Default Active Directory KDC field, type the IP address (or the
hostname) of the Active Directory server. The KDC (Key Distribution Center)
is an Active Directory service that runs on port 88 by default. If the KDC is
running on a different port, specify the port using the following format:
ipaddress_or_hostname:port_number.

For example, if AD is running on the host Adserver.company.com and the

KDC listens on port 53, type Adserver.company.com:53.
6 If you created a krb5.ini or krb5.conf file, enter the absolute path to the
file in the krb5.ini File Path field. This file is required if your environment
includes more than one domain, and recommended even if it does not. For
example, type C:\winnit\krb5.ini (on Windows) or
/opt/Vontu/Protect/config/krb5.conf (on Linux).

See “Creating the configuration file for Active Directory integration”

on page 110.
7 If your environment has more than one Active Directory domain, enter the
domain names (separated by commas) in the Active Directory Domain List
field. The system displays them in a drop-down list on the user logon page.
Users then select the appropriate domain at logon. Do not list the default
domain, as it already appears in the drop-down list by default.
8 Click Save.
9 Go to the operating system services tool and restart the Symantec Data Loss
Prevention Manager service.

About configuring certificate authentication

Certificate authentication enables a user to automatically log on to the Enforce
Server administration console using a client certificate that is generated by your
public key infrastructure (PKI). When a user accesses the Enforce Server
 Managing roles and users 115
About configuring certificate authentication

administration console, the PKI automatically delivers the user's certificate to

the Tomcat container that hosts the administration console. The Tomcat container
validates the client certificate using the certificate authorities that you have
configured in the Tomcat trust store.
The client certificate is delivered to the Enforce Server computer when a client's
browser performs the SSL handshake with the Enforce Server. For example, some
browsers might be configured to operate with a smart card reader to present the
certificate. As an alternative, you may choose to upload the X.509 certificate to a
browser and configure the browser to send the certificate to the Enforce Server.
If the certificate is valid, the Enforce Server administration console may also
determine if the certificate was revoked.
See “About certificate revocation checks” on page 123.
If the certificate is valid and has not been revoked, then the Enforce Server uses
the common name (CN) in the certificate to determine if that CN is mapped to an
active user account with a role in the Enforce Server configuration.

Note: Some browsers cache a user's client certificate, and will automatically log
the user onto the Administration Console after the user has chosen to sign out.
In this case, users must close the browser window to complete the log out process.

The following table describes the steps necessary to use certificate authentication
with Symantec Data Loss Prevention.

Table 5-3 Configuring certificate authentication

Phase Action Description

Phase 1 Enable certificate authentication on You can enable certificate

the Enforce Server computer. authentication when you install the
Enforce Server, or you can
reconfigure an existing Enforce
Server to enable authentication.

See “Configuring certificate

authentication for the Enforce Server
administration console” on page 117.
116 Managing roles and users
About configuring certificate authentication

Table 5-3 Configuring certificate authentication (continued)

Phase Action Description

Phase 2 Add certificate authority (CA) You can add CA certificates to the
certificates to establish the trust Tomcat trust store when you install
chain. the Enforce Server. Or, you can use
the Java keytool utility to manually
add certificates to an existing Enforce
Server.

See “Adding certificate authority (CA)

certificates to the Tomcat trust store”
on page 119.

Phase 3 (Optional) Change the Tomcat trust The Symantec Data Loss Prevention
store password. installer configures each new Enforce
Server installation with a default
Tomcat trust store password. Follow
these instructions to configure a
secure password.

See “Changing the Tomcat trust store

password” on page 120.

Phase 4 Map certificate common name (CN) See “Mapping Common Name (CN)
values to Enforce Server user values to Symantec Data Loss
accounts. Prevention user accounts” on page 122.

Phase 5 Configure the Enforce Server to check See “About certificate revocation
for certificate revocation. checks” on page 123.

Phase 6 Verify Enforce Server access using See “Troubleshooting certificate

certificate-based single sign-on. authentication” on page 129.

Phase 7 (Optional) Disable forms-based log If you want to use certificate-based

on. single sign-on for all access to the
Enforce Server, disable forms-based
log on.

See “Disabling password

authentication and forms-based log
on” on page 130.
 Managing roles and users 117
About configuring certificate authentication

Configuring certificate authentication for the Enforce Server

administration console
If you selected certificate authentication as the single sign-on option when you
installed Symantec Data Loss Prevention, then the Enforce Server administration
console is already configured to support certificate authentication.
Follow this procedure to manually enable certificate authentication on an upgraded
Symantec Data Loss Prevention installation, or to disable or verify certificate
authentication on the Enforce Server. Or, follow this procedure if you want to
disable password authentication (and forms-based log on) for the Enforce Server.
To configure certificate authentication for the Enforce Server administration console
1 Log onto the Enforce Server computer using the account that you created
during Symantec Data Loss Prevention installation.

Note: If you log on with a different account (such as the root or Administrator
account) ensure that you do not change the permissions or ownership on any
Symantec Data Loss Prevention configuration file in the steps that follow.

2 Change directory to the /opt/SymantecDLP/Protect/config (Linux) or

c:\SymantecDLP\Protect\config (Windows) directory. If you installed
Symantec Data Loss Prevention into a different directory, substitute the
correct path.
3 Open the Manager.properties file with a text editor.
118 Managing roles and users
About configuring certificate authentication

4 To enable or verify certificate authentication, add or edit the following line

in the file:

com.vontu.manager.certificate_authentication = true

To disable certificate authentication, change the value to “false.” However,

if you disable certificate authentication, also ensure that you have enabled
password authentication to ensure that you can log into the Enforce Server
administration console. To enable password authentication, add or edit the
line:

com.vontu.manager.form_authentication = true

Set this option to false (disable forms-based log on) only if you want to require
a valid certificate for all Enforce Server administration console accounts,
including Administrator accounts. Ensure that you have installed all necessary
certificates and you have verified that users can log on using certificate
authentication.
See “Adding certificate authority (CA) certificates to the Tomcat trust store”
on page 119.
5 Save your changes and exit the text editor.
6 Change directory to the /opt/SymantecDLP/Protect/tomcat/conf (Linux)
or c:\SymantecDLP\Protect\tomcat\conf (Windows) directory. If you
installed Symantec Data Loss Prevention into a different directory, substitute
the correct path.
7 Open the server.xml file with a text editor.
8 To enable or verify certificate authentication, add or edit the option
clientAuth="want" as shown in the following line in the file:

<Connector URIEncoding="UTF-8" acceptCount="100" clientAuth="want"

debug="0" disableUploadTimeout="true" enableLookups="false"
keystoreFile="conf/.keystore" keystorePass="protect"
maxSpareThreads="75" maxThreads="150" minSpareThreads="25"
port="443" scheme="https" secure="true" sslProtocol="TLS"
truststoreFile="conf/truststore.jks" truststorePass="protect"/>

9 Save your changes and exit the text editor.

10 Stop and then restart the Vontu Manager service to apply your changes.
11 Configure and enable certificate revocation.
See “About certificate revocation checks” on page 123.
 Managing roles and users 119
About configuring certificate authentication

Adding certificate authority (CA) certificates to the Tomcat trust store

This procedure is required only if you did not import CA certificates during the
Symantec Data Loss Prevention installation, or if you upgraded an earlier Symantec
Data Loss Prevention installation and you are configuring certificate
authentication. This procedure is also required to add OCSP responder certificates
to the truststore for some OCSP configurations.
To use certificate authentication with Symantec Data Loss Prevention, you must
add to the Tomcat trust store all CA certificates that are required to authenticate
users in your system. Each X.509 certificate must be provided in Distinguished
Encoding Rules (DER) format in a .cer file. If multiple CAs are required to establish
the certificate chain, then you must add multiple .cer files.
To add certificate CA certificates to the Tomcat trust store
1 Log onto the Enforce Server computer using the account that you created
during Symantec Data Loss Prevention installation.

Note: If you log on with a different account (such as the root or Administrator
account) ensure that you do not change the permissions or ownership on any
Tomcat configuration files in the steps that follow.

2 Change directory to the /opt/SymantecDLP/Protect/tomcat/conf (Linux)

or c:\SymantecDLP\Protect\tomcat\conf (Windows) directory. If you
installed Symantec Data Loss Prevention to a different directory, substitute
the correct path.
3 Copy all certificate files (.cer files) that you want to import to the conf
directory on the Enforce Server computer.
120 Managing roles and users
About configuring certificate authentication

4 Use the keytool utility installed with Symantec Data Loss Prevention to add
a certificate to the Tomcat truststore. For Windows systems, enter:

c:\SymantecDLP\jre\bin\keytool -import -trustcacerts

-alias CA_CERT_1
-file certificate_1.cer
-keystore .\truststore.jks

For Linux systems, enter:

/opt/SymantecDLP/jre/bin/keytool -import -trustcacerts

-alias CA_CERT_1
-file certificate_1.cer
-keystore ./truststore.jks

In the above commands, replace CA_CERT_1 with a unique alias for the
certificate that you are importing. Replace certificate_1.cer with the name of
the certificate file you copied to the Enforce Server computer.
5 Enter the password to the keystore when the keytool utility prompts you to
do so. If you did not change the default keystore password, then the password
is “protect.”
6 Repeat these steps to install all the certificate files that are necessary to
complete the certificate chain.
7 Stop and then restart the Vontu Manager service to apply your changes.
8 If you have not yet changed the default Tomcat keystore password, do so
now.
See “Changing the Tomcat trust store password” on page 120.

Changing the Tomcat trust store password

When you install Symantec Data Loss Prevention, the Tomcat trust store uses the
default password, “protect.” Follow this procedure to assign a secure password
to the Tomcat trust store when using certificate authentication.
 Managing roles and users 121
About configuring certificate authentication

To change the Tomcat trust store password

1 Log onto the Enforce Server computer using the account that you created
during Symantec Data Loss Prevention installation.

Note: If you log on with a different account (such as the root or Administrator
account) ensure that you do not change the permissions or ownership on any
Tomcat configuration files in the steps that follow.

2 Change directory to the /opt/SymantecDLP/Protect/tomcat/conf (Linux)

or c:\SymantecDLP\Protect\tomcat\conf (Windows) directory. If you
installed Symantec Data Loss Prevention to a different directory, substitute
the correct path.
3 Use the keytool utility installed with Symantec Data Loss Prevention to
change the Tomcat truststore password. For Windows systems, enter:

c:\SymantecDLP\jre\bin\keytool -storepasswd -new new_password -keystore ./truststore.jks

For Linux systems, enter:

/opt/SymantecDLP/jre/bin/keytool -storepasswd -new new_password -keystore ./truststore.jks

In the above commands, replace new_password with a secure password.

4 Enter the current password to the keystore when the keytool utility prompts
you to do so. If you did not change the default keystore password, then the
password is “protect.”
5 Change directory to the /opt/SymantecDLP/Protect/tomcat/conf (Linux)
or c:\SymantecDLP\Protect\tomcat\conf (Windows) directory. If you
installed Symantec Data Loss Prevention into a different directory, substitute
the correct path.
6 Open the server.xml file with a text editor.
122 Managing roles and users
About configuring certificate authentication

7 In the following line in the file, edit the truststorePass="protect" entry to

specify your new password:

<Connector URIEncoding="UTF-8" acceptCount="100" clientAuth="want"

debug="0" disableUploadTimeout="true" enableLookups="false"
keystoreFile="conf/.keystore" keystorePass="protect"
maxSpareThreads="75" maxThreads="150" minSpareThreads="25"
port="443" scheme="https" secure="true" sslProtocol="TLS"
truststoreFile="conf/truststore.jks" truststorePass="protect"/>

Replace protect with the new password that you defined in the keytool
command.
8 Save your changes and exit the text editor.
9 Change directory to the /opt/SymantecDLP/Protect/config (Linux) or
c:\SymantecDLP\Protect\config (Windows) directory. If you installed
Symantec Data Loss Prevention into a different directory, substitute the
correct path.
10 Open the Manager.properties file with a text editor.
11 Add the following line in the file to specify the new password:
com.vontu.manager.tomcat.truststore.password = password

Replace password with the new password. Do not enclose the password with
quotation marks.
12 Save your changes and exit the text editor.
13 Stop and then restart the Vontu Manager service to apply your changes.

Mapping Common Name (CN) values to Symantec Data Loss Prevention

user accounts
Each user that will access the Enforce Server administration console using
certificate-based single sign-on must have an active user account in the Enforce
Server configuration. The user account associates the common name (CN) value
from the user's client certificate to one or more roles in the Enforce Server
administration console. You can map a CN value to only one Enforce Server user
account.
The user account that you create does not require a separate Enforce Server
administration console password. However, you can optionally configure a
password if you want to allow the user to also log on from the Enforce Server
administration console log on page. If you enable password authentication and
the user does not provide a certificate when the browser asks for one, then the
 Managing roles and users 123
About configuring certificate authentication

Enforce Server displays the log on page. (If password authentication is disabled,
a log on failure is displayed if the user does not provide a certificate.)
In order for a user to log on using single sign-on with certificate authentication,
an active user account must identify the user's CN value, and it must be assigned
a valid role in the Enforce Server configuration. If you want to prevent a user from
accessing the Enforce Server administration console without revoking the user's
client certificate, disable or delete the associated Enforce Server user account.
See “Configuring user accounts” on page 103.

About certificate revocation checks

While managing your public key infrastructure, you will periodically need to
revoke a client's certificate with the CA. For example, you might revoke a certificate
if an employee leaves the company, or if an employee's credentials are lost or
stolen. When you revoke a certificate, the CA uses one or more Certificate
Revocation Lists (CRLs) to publish those certificates that are no longer valid.
Symantec Data Loss Prevention also supports the use of an Online Certificate
Status Protocol (OCSP) responder, which clients can use to determine if a particular
certificate has been revoked. The OCSP responder can be implemented as a service
on your CA server, or as a separate OCSP server.
OCSP is the first mechanism that Symantec Data Loss Prevention uses to perform
certificate revocation checks. After the Tomcat container has determined that a
client certificate is valid, the Enforce Server sends an OCSP request to a designated
OCSP responder to determine if the certificate was revoked. The information used
to contact the OCSP responder can be provided in one of two ways:
■ The Authority Information Access (AIA) field in a client certificate. The client
certificate itself can include the URL of the OCSP responder in an AIA field.
The following shows an example AIA field that defines an OCSP responder:

[1]Authority Info Access Access Method=On-line

Certificate Status Protocol (1.3.6.1.5.5.7.48.1)
Alternative Name: URL=http://my_ocsp_responder

This method is commonly used when you configure an internal CA to provide

the OCSP responder service. If the OCSP responder specified in the AIA field
is directly accessible from the Enforce Server computer, then no additional
configuration is required to perform revocation checks. However, if the OCSP
responder is accessible only by a proxy server, then you must configure the
proxy server settings in the Symantec Data Loss Prevention configuration.
■ The OCSP configuration file. As an alternative, you can manually configure
OCSP responder properties using the manager-certauth.security
configuration file. If you choose to use this file, the configuration in the file
124 Managing roles and users
About configuring certificate authentication

overrides any information that is present in a client certificate's AIA field.

This method is commonly used if you want to use a local OCSP responder
instead of the one specified in the AIA field, or if your client certificates do
not include an AIA field.
See “Manually configuring OCSP responder properties” on page 128.

Note: If the OCSP responder that you configure in this file does not use the CA
certificate to sign its responses, then you must add the OCSP responder's
certificate to the Tomcat trust store.
See “Adding certificate authority (CA) certificates to the Tomcat trust store”
on page 119.

If a certificate's revocation status cannot be determined using OCSP, then

Symantec Data Loss Prevention retrieves revocation lists from a Certificate
Revocation List Distribution Point (CRLDP). To check revocation using a CRLDP,
the client certificate must include a CRL distribution point field. The following
shows an example CRLDP field definition:

[1]CRL Distribution Point

Distribution Point Name:
Full Name: URL=http://my_crldp

Note: Symantec Data Loss Prevention does not support specifying the CRLDP
using an LDAP URL.

If the CRL distribution point is defined in each certificate and the Enforce Server
can directly access the server, then no additional configuration is required to
perform revocation checks. However, if the CRL distribution point is accessible
only by a proxy server, then you must configure the proxy server settings in the
Symantec Data Loss Prevention configuration.
See “Accessing the OCSP responder or CRLDP with a proxy” on page 126.
Regardless of which revocation checking method you use, you must enable
certificate revocation checks on the Enforce Server computer. Certificate
revocation checks are enabled by default if you select certificate installation during
the Enforce Server installation. If you upgraded an existing Symantec Data Loss
Prevention installation, certificate revocation is not enabled by default.
See “Configuring certificate revocation checks” on page 125.
 Managing roles and users 125
About configuring certificate authentication

If the Enforce Server computer must use a proxy to access either the OCSP
responder service or CRLDP, then you must configure the proxy settings on the
Enforce Server computer.
See “Accessing the OCSP responder or CRLDP with a proxy” on page 126.
If you are using OCSP for revocation checks but certificate client certificate AIA
fields do not specify a valid OCSP responder, then you must manually configure
OCSP responder properties in the manager-certauth.security configuration
file.
See “Manually configuring OCSP responder properties” on page 128.

Configuring certificate revocation checks

When you enable certificate revocation checks, Symantec Data Loss Prevention
uses OCSP to determine if each client certificate was revoked by a certificate
authority. If the certificate status cannot be determined using OCSP, Symantec
Data Loss Prevention uses a CRLDP to determine the revocation status.
Follow this procedure to enable certificate revocation checks.
To configure certificate revocation checks
1 Ensure that the OCSP responder is configured, either in the AIA field of each
certificate or in the manager-certauth.security file.
See “About certificate revocation checks” on page 123.
See “Manually configuring OCSP responder properties” on page 128.
2 Ensure that the CRLDP is defined in the CRL distribution point field of each
client certificate.
3 Log onto the Enforce Server computer using the account that you created
during Symantec Data Loss Prevention installation.

Note: If you log on with a different account (such as the root or Administrator
account) ensure that you do not change the permissions or ownership on any
Symantec Data Loss Prevention configuration file in the steps that follow.

4 Change directory to the /opt/SymantecDLP/Protect/config (Linux) or

c:\SymantecDLP\Protect\config (Windows) directory. If you installed
Symantec Data Loss Prevention into a different directory, substitute the
correct path.
5 Open the VontuManager.conf file with a text editor.
126 Managing roles and users
About configuring certificate authentication

6 To enable certificate revocation checks, add or edit the following line in the
file:

wrapper.java.additional.18=-Dcom.sun.net.ssl.checkRevocation=true

To disable the checks, change the value to “false.”

7 If you want to configure the OCSP responder server manually, rather than
using the AIA field in client certificates, edit the following line in the file:

wrapper.java.additional.19=-Djava.security.properties=../config/manager-certauth.security

Also enable this line in the file if you want to disable OCSP revocation
checking. (You can then configure a property in manager-certauth.security
to disable OCSP checks.)
Ensure that the configuration parameter points to the indicated OCSP
configuration file. Always edit the existing manager-certauth.security file,
rather than creating a new file.
See “Manually configuring OCSP responder properties” on page 128.
8 To enable revocation checking using a CRLDP, add or uncomment the
following line in the file:

wrapper.java.additional.21=-Dcom.sun.security.enableCRLDP=true

This option is enabled by default for new Symantec Data Loss Prevention
installations.
9 If you are using CRLDP revocation checks, optionally configure the cache
lifetime using the property:

wrapper.java.additional.20=-Dsun.security.certpath.ldap.cache.lifetime=30

This parameter specifies the length of time, in seconds, to cache the revocation
lists that are obtained from a CRL distribution point. After this time is reached,
a lookup is performed to refresh the cache the next time there is an
authentication request. 30 seconds is the default cache lifetime. Specify 0 to
disable the cache, or -1 to store cache results indefinitely.
10 Stop and then restart the Vontu Manager service to apply your changes.

Accessing the OCSP responder or CRLDP with a proxy

Symantec recommends that you allow direct access from the Enforce Server
computer to all OCSP responder servers and CRLDP servers that are required to
perform certificate revocation checks. However, if the OCSP responder or the
 Managing roles and users 127
About configuring certificate authentication

CRLDP server are accessible only through a proxy, then you must configure the
proxy settings on the Enforce Server computer.
When you configure a proxy, the Enforce Server uses your proxy configuration
for all HTTP connections, such as those connections that are created when
connecting to a Data Insight server to fetch certificates. Check with your proxy
administrator before you configure these proxy settings, and consider allowing
direct access to OCSP and CRDLP servers if at all possible.
To configure proxy settings for an OCSP responder or CRLDP server
1 Ensure that the OCSP responder is configured in the AIA field of each
certificate.
See “About certificate revocation checks” on page 123.
2 Ensure that the CRLDP is defined in the CRL distribution point field of each
client certificate.
3 Log onto the Enforce Server computer using the account that you created
during Symantec Data Loss Prevention installation.

Note: If you log on with a different account (such as the root or Administrator
account) ensure that you do not change the permissions or ownership on any
Symantec Data Loss Prevention configuration file in the steps that follow.

4 Change directory to the /opt/SymantecDLP/Protect/config (Linux) or

c:\SymantecDLP\Protect\config (Windows) directory. If you installed
Symantec Data Loss Prevention into a different directory, substitute the
correct path.
5 Open the VontuManager.conf file with a text editor.
6 Add or edit the following configuration properties to identify the proxy:

wrapper.java.additional.22=-Dhttp.proxyHost=myproxy.mydomain.com
wrapper.java.additional.23=-Dhttp.proxyPort=8080
wrapper.java.additional.24=-Dhttp.nonProxyHosts=hosts

Replace myproxy.mydomain.com and 8080 with the host name and port of
your proxy server. Replace hosts with one or more accessible OCSP responder
to use if the proxy is unavailable. You can include server host names, fully
qualified domain names, or IP addresses separated with a pipe character. For
example:

wrapper.java.additional.24=-Dhttp.nonProxyHosts=ocsp-server|
127.0.0.1|DataInsight_Server_Host
128 Managing roles and users
About configuring certificate authentication

7 Save your changes to the configuration file.

8 Stop and then restart the Vontu Manager service to apply your changes.

Manually configuring OCSP responder properties

You can optionally edit the manager-certauth.security file to configure OCSP
connection parameters for your system. By default, this file enables OCSP checks,
but all other options are commented and inactive. If you uncomment any
parameters in the file, those parameters override the OCSP configuration that is
present in the AIA fields of a client certificate.
See “About certificate revocation checks” on page 123.

Note: If the OCSP responder that you configure in this file does not use the CA
certificate to sign its responses, then you must add the OCSP responder's certificate
to the Tomcat trust store.
See “Adding certificate authority (CA) certificates to the Tomcat trust store”
on page 119.

manager-certauth.security is located in the /opt/SymantecDLP/Protect/config

(Linux) or c:\SymantecDLP\Protect\config (Windows) directory. Always edit
the existing manager-certauth.security file, rather than create a new file. You
may want to backup the file before making your changes to preserve the original
contents. The manager-certauth.security contains additional information about
these parameters
The file contains the following parameters.

Table 5-4 OCSP configuration parameters

Configuration parameter with example Description

ocsp.enable=true This parameter enables OCSP for revocation checks if

certificate revocation is also enabled in the
VontuManager.properties file. This parameter is
enabled by default for all Symantec Data Loss Prevention
installations. Disable the property if you want to use only
CRLDP checks instead of OCSP.

ocsp.responderURL=http://ocsp.example.net:80 Defines the URL of OCSP responder. If you do not define

this parameter, the URL is taken from the AIA field in
the client certificate, if available.
 Managing roles and users 129
About configuring certificate authentication

Table 5-4 OCSP configuration parameters (continued)

Configuration parameter with example Description

ocsp.responderCertSubjectName=CN=OCSP Defines the subject name of the certificate that

Responder, O=XYZ Corp corresponds to the OCSP responder. By default Symantec
Data Loss Prevention assumes that the certificate of the
issuer of the client certificate corresponds to the OCSP
responder's certificate. If you do not use this default
configuration, you must identify the OCSP responder's
certificate in some other way. You must also add the OCSP
responder certificate to the Tomcat trust store.

See “Adding certificate authority (CA) certificates to the

Tomcat trust store” on page 119.

If you cannot accurately identify the certificate of the

OCSP responder using only the subject name, then use
both the ocsp.responderCertIssuerName and
ocsp.responderCertSerialNumber parameters
instead of ocsp.responderCertSubjectName. (If you
define ocsp.responderCertSubjectName, then the
remaining two parameters in this table are ignored.)

ocsp.responderCertIssuerName=CN=Enterprise Use this parameter in combination with

CA, O=XYZ Corp ocsp.responderCertSerialNumber to identify the
OCSP responder certificate. This parameter defines the
certificate issuer of the OCSP responder's certificate.

If you use this parameter, do not also use the

ocsp.responderCertSubjectName parameter.

ocsp.responderCertSerialNumber=2A:FF:00 Use this parameter in combination with

ocsp.responderCertIssuerName to identify the OCSP
responder certificate. This parameter defines the serial
number of the OCSP responder's certificate.

If you use this parameter, do not also use the

ocsp.responderCertSubjectName parameter.

Troubleshooting certificate authentication

By default Symantec Data Loss Prevention logs each successful log on request to
the Enforce Server administration console. Symantec Data Loss Prevention also
logs an error message if a logon request is made without supplying a certificate,
or if a valid certificate presents a CN that does not map to a valid user account in
the Enforce Server configuration.
130 Managing roles and users
About configuring certificate authentication

Note: If certificate authentication fails while the browser is establishing an HTTPS

connection to the Enforce Server administration console, then Symantec Data
Loss Prevention cannot log an error message.

You can optionally log additional information about certificate revocation checks
by adding or uncommenting the following system property in the
VontuManager.conf file:

wrapper.java.additional.90=-Djava.security.debug=certpath

VontuManager.conf is located in the c:\SymantecDLP\Protect\config (Windows)

or /opt/SymantecDLP/Protect/config (Linux) directory. All debug messages are
logged to c:\SymantecDLP\Protect\logs\debug\VontuManager.log (Windows)
or /var/log/SymantecDLP/debug/VontuManager.log (Linux).

Disabling password authentication and forms-based log on

Forms-based log on with password authentication can be used as a fallback access
mechanism while you configure and test certificate authentication. After you
configure certificate authentication, you may choose to disable forms-based log
on and password authentication to rely on your public key infrastructure for all
log on requests. To disable forms-based log on entirely, add or edit the following
value in the Manager.properties configuration file:

com.vontu.manager.form_authentication = false

See “Configuring certificate authentication for the Enforce Server administration

console” on page 117.
You must stop and then restart the Vontu Manager service to apply your changes.

Note: Disabling forms-based log on disables the feature for all users, including
those with Administrator privileges. As an alternative, you can disable forms-based
log on or certificate authentication for an individual user by configuring that
user's account.
See “Configuring user accounts” on page 103.

If you later turn on forms-based log on but the Administrator user account does
not have a password configured, you can reset the Administrator password using
the AdminPasswordReset utility.
See “Resetting the Administrator password” on page 107.
 Chapter 6
Connecting to group
directories
This chapter includes the following topics:

■ About connecting to directory servers

■ Configuring directory server connections

■ Scheduling directory server indexing

About connecting to directory servers

Symantec Data Loss Prevention supports directory server connections to
LDAP-compliant directory servers such as Microsoft Active Directory (AD). A
group directory connection specifies how the Enforce Server or Discover Server
connects to the directory server.
The connection to the directory server must be established before you create any
user groups in the Enforce Server. The Enforce Server or Discover Server uses
the connection to obtain details about the groups. If this connection is not created,
you are not able to define any User Groups. The connection is not permanent, but
you can configure the connection to synchronize at a specified interval. The
directory server contains all of the information that you need to create User
Groups.
See “User Groups” on page 336.
If you use a directory server that contains a self-signed authentication certificate,
you must add the certificate to the Enforce Server or the Discover Server. If your
directory server uses a pre-authorized certificate, it is automatically added to the
Enforce Server or Discover Server.
See “Importing SSL certificates to Enforce or Discover servers” on page 209.
132 Connecting to group directories
Configuring directory server connections

Configuring directory server connections

The Directory Connections page is the home page for configuring directory server
connections. Once you define the directory connection, you can create one or
more User Groups.
See “Creating or modifying a User Group” on page 601.

Table 6-1 Configuring directory server connections

Step Action Description

1 Navigate to the Directory Connections This page is available at System > Settings > Directory
page (if not already there). Connections.

2 Click Create New Connection. This action takes you to the Configure Directory
Connection page.

3 Enter a Name for the directory server The Connection Name is the user-defined name for the
connection. connection. It appears at the Directory Connections home
page once the connection is configured.

4 Specify the Network Parameters for the Table 6-2 provides details on these parameters.
directory server connection. Enter or specify the following parameters:

■ The Hostname of the computer where the directory

server is installed.
■ The Port on the directory server that supports
connections.
■ The Base DN (distinguished name) of the directory
server.
■ The Encryption Method for the connection, either None
or Secure.

5 Specify the Authentication mode for Table 6-3 provides details on configuring the authentication
connecting to the directory server. parameters.

6 Click Test Connection to verify the If there is anything wrong with the connection, the system
connection. displays an error message describing the problem.

7 Click Save to save the direction connection The system to automatically indexes the directory server
configuration. once after you successfully create, test, and save the
directory connection.
 Connecting to group directories 133
Configuring directory server connections

Table 6-1 Configuring directory server connections (continued)

Step Action Description

8 Select the Index and Replication Status Verify that the directory server was indexed. After some
tab. time (depending on the size of the directory server query),
you should see that the Replication Status is "Completed
<date> <time>". If you do not see that the status is
completed, verify that you have configured and tested the
directory connection properly. Contact your directory
server administrator for assistance.

9 Select the Index Settings tab. You can adjust the directory server indexing schedule as
necessary at the Index Settings tab.

See “Scheduling directory server indexing” on page 134.

Table 6-2 Directory connection network parameters

Network parameters Description

Hostname Enter the Hostname of the directory server.

For example: enforce.dlp.symantec.com

You must enter the Fully Qualified Name (FQN) of the directory server. Do not use
the IP address.

Port Enter the connection Port for the directory server.

For example: 389

Typically the port is 389 or 636 for secure connections.

Base DN Enter the Base DN for the directory server.

For example: dc=enforce,dc=dlp,dc=symantec,dc=com

The Base DN string cannot contain any space characters.

The Base DN is the base distinguished name of the directory server. Typically, this
name is the domain name of the directory server. The Base DN parameter defines
the initial depth of the directory server search.

Encryption Method Select the Secure option if you want the communication between the directory
server and the Enforce Server to be encrypted using SSL.
Note: If you choose to use a secure connection, you may need to import the SSL
certificate for the directory server to the Enforce Server keystore. See “Importing
SSL certificates to Enforce or Discover servers” on page 209.
134 Connecting to group directories
Scheduling directory server indexing

Table 6-3 Directory connection authentication parameters

Authentication Description

Anonymous Select the Anonymous option to connect to the directory server anonymously (that
is, without authentication).
Note: Most directory servers do not allow anonymous connections.

Authenticated Select the Authenticated option to connect to the directory server using
authentication mode.

Username Enter the user name to authenticate to the directory server.

To authenticate with Active Directory, use one of the following methods:

■ Domain and user name, for example: Domain\username

■ User name and domain, for example: username@domain.com
■ Fully distinguished user name and domain (without spaces), for example:
cn=username,cn=Users,dc=domain,dc=com
To authenticate with another type of directory server:

■ A different syntax may be required, for example:

uid=username,ou=people,o=company

Password Enter the password for the user name that was specified in the preceding field.

The password is obfuscated when you enter it.

Scheduling directory server indexing

Each directory connection is set to automatically index the configured LDAP
server once at 12:00 AM the day after you create the initial connection. You can
modify the indexing schedule to specify when and how often the index is
synchronized.
Each directory server connection is set to automatically index the configured User
Groups hosted in the directory server once at 12:00 AM the day after you create
the initial connection.
After you create, test, and save the directory server connection, the system
automatically indexes all of the User Groups that are hosted in the directory whose
connection you have established. You can modify this setting, and schedule
indexing daily, weekly, or monthly.
 Connecting to group directories 135
Scheduling directory server indexing

To schedule group directory indexing

1 Select an existing group directory server connection from the System >
Settings > Directory Connections screen. Or, create a new connection.
See “Configuring directory server connections” on page 132.
2 Adjust the Index Settings to the desired schedule.
See Table 6-4 on page 135.

Table 6-4 Schedule group directory server indexing and view status

Index Settings Description

Index the directory The Once setting is selected by default and automatically indexes
server once. the director server at 12:00 AM the day after you create the initial
connection.

You can modify the default Once indexing schedule by specifying

when and how often the index is supposed to be rebuilt.

Index the directory Select the Daily option to schedule the index daily.
server daily.
Specify the time of day and, optionally, the Until duration for this
schedule.

Index the directory Select the Weekly option to schedule the index to occur once a
server weekly. week.

Specify the day of the week to index.

Specify the time to index.

Optionally, specify the Until duration for this schedule.

Index the directory Specify the day of the month to index the directory and the time.
server monthly.
Optionally, specify the Until duration for this schedule.

View the indexing Select the Index and Replication Status tab to view the status of the
and replication indexing process.
status.
■ Indexing Status
Displays the next scheduled index, date and time.
■ Detection Server Name
Displays the detection server where the User Group profile is
deployed.
■ Replication Status
■ Displays the data and time of the most recent synchronization
with the directory group server.
136 Connecting to group directories
Scheduling directory server indexing
 Chapter 7
Managing stored
credentials
This chapter includes the following topics:

■ About the credential store

■ Adding new credentials to the credential store

■ Configuring endpoint credentials

■ Managing credentials in the credential store

About the credential store

An authentication credential can be stored as a named credential in a central
credential store. It can be defined once, and then referenced by any number of
Discover targets. Passwords are encrypted before they are stored.
The credential store simplifies management of user name and password changes.
You can add, delete, or edit stored credentials.
See “Adding new credentials to the credential store” on page 138.
See “Managing credentials in the credential store” on page 139.
The Credential Management screen is accessible to users with the "Credential
Management" privilege.
Stored credentials can be used when you edit or create a Discover target.
See “Network Discover scan target configuration options” on page 1121.
138 Managing stored credentials
Adding new credentials to the credential store

Adding new credentials to the credential store

You can add new credentials to the credential store. These credentials can later
be referenced with the credential name.
To add a stored credential
1 Click System > Settings > Credentials, and click Add Credential.
2 Enter the following information:

Credential Name Enter your name for this stored credential.

The credential name must be unique

within the credential store. The name is
used only to identify the credential.

Access Username Enter the user name for authentication.

Access Password Enter the password for authentication.

Re-enter Access Password Re-enter the password.

3 Click Save.
4 You can later edit or delete credentials from the credential store.
See “Managing credentials in the credential store” on page 139.
See “Configuring endpoint credentials” on page 138.

Configuring endpoint credentials

You must add credentials to the Credential Store before you can access credentials
for Endpoint FlexResponse or the Endpoint Discover Quarantine response rule.
The credentials are stored in an encrypted folder on all endpoint computers that
are connected to an Endpoint Server. Because all endpoint computers store the
credentials, you must be careful about the type of credentials you store. Use
credentials that cannot access other areas of your system. Before your endpoint
credentials can be used, you must enable the Enforce Server to recognize them.
To create endpoint credentials
1 Go to: System > Settings > General.
2 Click Configure.
3 Under the Credential Management section, ensure that the Allow Saved
Credentials on Endpoint Agent checkbox is selected.
 Managing stored credentials 139
Managing credentials in the credential store

4 Click Save.
5 Go to: System > Settings > Credentials.
6 Click Add Credential.
7 Under the General section, enter the details of the credential you want to
add.
8 Under Usage Permission, select Servers and Endpoint agents.
9 Click Save.
See “About the credential store” on page 137.
See “Configuring the Endpoint Discover: Quarantine File action” on page 844.

Managing credentials in the credential store

You can delete or edit a stored credential.
To delete a stored credential
1 Click System > Settings > Credentials. Locate the name of the stored
credential that you want to remove.
2 Click the delete icon to the right of the name. A credential can be deleted only
if it is not currently referenced in a Discover target or indexed document
profile.
To edit a stored credential
1 Click System > Settings > Credentials. Locate the name of the stored
credential that you want to edit.
2 Click the edit icon (pencil) to the right of the name.
3 Update the user name or password.
4 Click Save.
5 If you change the password for a given credential, the new password is used
for all subsequent Discover scans that use that credential.
140 Managing stored credentials
Managing credentials in the credential store
 Chapter 8
Managing system events
and messages
This chapter includes the following topics:

■ About system events

■ System events reports

■ Working with saved system reports

■ Server event detail

■ Configuring event thresholds and triggers

■ About system event responses

■ Enabling a syslog server

■ About system alerts

■ Configuring the Enforce Server to send email alerts

■ Configuring system alerts

■ About log review

■ System event codes and messages

About system events

System events related to your Symantec Data Loss Prevention installation are
monitored, reported, and logged.
System event reports are viewed from the Enforce Server administration console:
142 Managing system events and messages
System events reports

■ The five most recent system events of severity Warning or Severe are listed
on the Servers Overview screen (System > Servers > Overview).
See “About the System Overview screen” on page 210.
■ Reports on all system events of any severity can be viewed by going to System
> Servers > Events.
See “System events reports” on page 142.
■ Recent system events for a particular detection server are listed on the Server
Detail screen for that server.
See “Server Detail screen” on page 213.
■ Click on any event in an event list to go to the Event Details screen for that
event. The Event Details screen provides additional information about the
event.
See “Server event detail” on page 146.
There are three ways that system events can be brought to your attention:
■ System event reports displayed on the administration console
■ System alert email messages
See “About system alerts” on page 153.
■ Syslog functionality
See “Enabling a syslog server” on page 151.
Some system events require a response.
See “About system event responses” on page 149.
To narrow the focus of system event management you can:
■ Use the filters in the various system event notification methods.
See “System events reports” on page 142.
■ Configure the system event thresholds for individual servers.
See “Configuring event thresholds and triggers” on page 147.

System events reports

To view all system events, go to the system events report screen (System > Servers
> Events). This screen lists events, one event per line. The list contains those
events that match the selected data range, and any other filter options that are
listed in the Applied Filters bar. For each event, the following information is
displayed:
 Managing system events and messages 143
System events reports

Table 8-1 System events list

Type The type (severity) of the event. Type may be any one of those listed in
Table 8-2.

Time The date and time of the event.

Server The name of the server on which the event occurred.

Host The IP address or host name of the server on which the event occurred.

Code A number that identifies the kind of event.

See “System event codes and messages” on page 157.

Summary A brief description of the event. Click on the summary for more detail about
the event.

Table 8-2 System event types

System information

Warning

Severe

You can select from several report handling options.

See “Common incident report features” on page 965.
Click any event in the list to go to the Event Details screen for that event. The
Event Details screen provides additional information about the event.
See “Server event detail” on page 146.
Since the list of events can be long, filters are available to help you select only the
events that you are interested in. By default, only the Date filter is enabled and it
is initially set to All Dates. The Date filter selects events by the dates the events
occurred.
To filter the list of system events by date of occurrence
1 Go to the Filter section of the events report screen and select one of the date
range options.
2 Click Apply.
3 Select Custom from the date list to specify beginning and end dates.
In addition to filtering by date range, you can also apply advanced filters. Advanced
filters are cumulative with the current date filter. This means that events are only
listed if they match the advanced filter and also fall within the current date range.
144 Managing system events and messages
System events reports

Multiple advanced filters can be applied. If multiple filters are applied, events are
only listed if they match all the filters and the date range.
To apply additional advanced filters
1 Click on Advanced Filters and Summarization.
2 Click on Add Filter.
3 Choose the filter you want to use from the left-most drop-down list. Available
filters are listed in Table 8-3.
4 Choose the filter-operator from the middle drop-down list.
For each advanced filter you can specify a filter-operator Is Any Of or Is None
Of.
5 Enter the filter value, or values, in the right-hand text box, or click a value
in the list to select it.
■ To select multiple values from a list, hold down the Control key and click
each one.
■ To select a range of values from a list, click the first one, then hold down
the Shift key and click the last value in the range you want.

6 (Optional) Specify additional advanced filters if needed.

7 When you have finished specifying a filter or set of filters, click Apply.
Click the red X to delete an advanced filter.
The Applied Filters bar lists the filters that are used to produce the list of events
that is displayed. Note that multiple filters are cumulative. For an event to appear
on the list it must pass all the applied filters.
The following advanced filters are available:

Table 8-3 System events advanced filter options

Event Code Filter events by the code numbers that identify each kind of event.
You can filter by a single code number or multiple code numbers
separated by commas (2121, 1202, 1204). Filtering by code number
ranges, or greater than, or less than operators is not supported.

Event type Filter events by event severity type (Info, Warning, or Severe).

Server Filter events by the server on which the event occurred.

 Managing system events and messages 145
Working with saved system reports

Note: A small subset of the parameters that trigger system events have thresholds
that can be configured. These parameters should only be adjusted with advice
from Symantec Support or Professional Services. Before changing these settings,
you should have a thorough understanding of the implications that are involved.
The default values are appropriate for most installations.
See “Configuring event thresholds and triggers” on page 147.

See “About system events” on page 141.

See “Server event detail” on page 146.
See “ Working with saved system reports” on page 145.
See “Configuring event thresholds and triggers” on page 147.
See “About system alerts” on page 153.

Working with saved system reports

The System Reports screen lists system and agent-related reports that have
previously been saved. To display the System Reports screen, click System >
System Reports. Use this screen to work with saved system reports.
To create a saved system report
1 Go to one of the following screens:
■ System Events (System > Events)
■ Agents Overview (System > Agents > Overview)
■ Agents Events (System > Agents > Events)
See “About the Enforce Server administration console” on page 56.
2 Select the filters and summaries for your custom report.
See “About custom reports and dashboards” on page 948.
3 Select Report > Save As.
4 Enter the saved report information.
See “Saving custom incident reports” on page 951.
5 Click Save.
The System Reports screen is divided into two sections:
■ System Event - Saved Reports lists saved system reports.
■ Agent Management - Saved Reports lists saved agent reports.
146 Managing system events and messages
Server event detail

For each saved report you can perform the following operations:
■ Share the report. Click share to allow other Symantec Data Loss Prevention
uses who have the same role as you to share the report. Sharing a report cannot
be undone; after a report is shared it cannot be made private. After a report is
shared, all users with whom it is shared can view, edit, or delete the report.
See “Saving custom incident reports” on page 951.
■ Change the report name or description. Click the pencil icon to the right of
the report name to edit it.
■ Change the report scheduling. Click the calendar icon to the right of the report
name to edit the delivery schedule of the report and to whom it is sent.
See “Saving custom incident reports” on page 951.
See “Delivery schedule options for incident and system reports” on page 954.
■ Delete the report. Click the red X to the right of the report name to delete the
report.

Server event detail

The Server Event Detail screen is reached by System > Servers > Events and then
clicking on one of the listed events.
See “System events reports” on page 142.
The Server Event Detail screen displays all of the information available for the
selected event. None of the information on this screen is editable.
The Server Event Detail screen is divided into two sections—General and Message.

Table 8-4 Event detail — General

Type The event is one of the following types:

■ Info: Information about the system.

■ Warning: A problem that is not severe enough to generate an error.
■ Severe: An error that requires immediate attention.

Time The date and time of the event.

Server The name of the server.

Host The host name or IP address of the server.

 Managing system events and messages 147
Configuring event thresholds and triggers

Table 8-5 Event detail — Message

Code A number that identifies the kind of event.

See “System event codes and messages” on page 157.

Summary A brief description of the event.

Detail Detailed information about the event.

See “About system events” on page 141.

See “Server event detail” on page 146.
See “System events reports” on page 142.
See “About system alerts” on page 153.

Configuring event thresholds and triggers

A small subset of the parameters that trigger system events have thresholds that
can be configured. These parameters are configured for each detection server
separately. These parameters should only be adjusted with advice from Symantec
Support or Professional Services. Before changing these settings, you should have
a thorough understanding of the implications. The default values are appropriate
for most installations.
See “About system events” on page 141.
To view and change the configurable parameters that trigger system events
1 Go to the Server Overview screen (System > Servers > Overview).
2 Click on the name of a detection server to display that server's Server Detail
screen.
3 Click the Server Settings tab.
The Advanced Server Settings screen for that server is displayed.
4 Change the configurable parameters, as needed.
148 Managing system events and messages
Configuring event thresholds and triggers

Table 8-6 Configurable parameters that trigger events

Parameter Description Event

BoxMonitor.DiskUsageError Indicates the amount of filled disk Low disk space

space (as a percentage) that triggers a
severe system event. For example, a
Severe event occurs if a detection
server is installed on the C drive and
the disk space error value is 90. The
detection server creates a Severe
system event when the C drive usage is
90% or greater. The default is 90.

BoxMonitor.DiskUsageWarning Indicates the amount of filled disk Low disk space

space (as a percentage) that triggers a
Warning system event. For example, a
Warning event occurs if the detection
server is installed on the C drive and
the disk space warning value is 80.
Then the detection server generates a
Warning system event when the C drive
usage is 80% or greater. The default is
80.

BoxMonitor.MaxRestartCount Indicates the number of times that a process name restarts excessively
system process can be restarted in one
hour before a Severe system event is
generated. The default is 3.

IncidentDetection.MessageWaitSevere Indicates the number of minutes Long message wait time

messages need to wait to be processed
before a Severe system event is sent
about message wait times. The default
is 240.

IncidentDetection.MessageWaitWarning Indicates the number of minutes Long message wait time

messages need to wait to be processed
before sending a Severe system event
about message wait times. The default
is 60.
 Managing system events and messages 149
About system event responses

Table 8-6 Configurable parameters that trigger events (continued)

Parameter Description Event

IncidentWriter.BacklogInfo Indicates the number of incidents that N incidents in queue

can be queued before an Info system
event is generated. This type of backlog
usually indicates that incidents are not
processed or are not processed
correctly because the system may have
slowed down or stopped. The default is
1000.

IncidentWriter.BacklogWarning Indicates the number of incidents that N incidents in queue

can be queued before generating a
Warning system event. This type of
backlog usually indicates that incidents
are not processed or are not processed
correctly because the system may have
slowed down or stopped. The default is
3000.

IncidentWriter.BacklogSevere Indicates the number of incidents that N incidents in queue

can be queued before a Severe system
event is generated. This type of backlog
usually indicates that incidents are not
processed or are not processed
correctly because the system may have
slowed down or stopped. The default is
10000.

About system event responses

There are three ways that system events can be brought to your attention:
■ System event reports displayed on the administration console
■ System alert email messages
See “About system alerts” on page 153.
■ Syslog functionality
See “Enabling a syslog server” on page 151.
In most cases, the system event summary and detail information should provide
enough information to direct investigation and remediation steps. The following
table provides some general guidelines for responding to system events.
150 Managing system events and messages
About system event responses

Table 8-7 System event responses

System Event or Category Appropriate Response

Low disk space If this event is reported on a detection server,

recycle the Symantec Data Loss Prevention services
on the detection server. The detection server may
have lost its connection to the Enforce Server. The
detection server then queues its incidents locally,
and fills up the disk.

If this event is reported on an Enforce Server, check

the status of the Oracle and the Vontu Incident
Persister services. Low disk space may result if
incidents do not transfer properly from the file
system to the database. This event may also indicate
a need to add additional disk space.

Tablespace is almost full Add additional data files to the database. When the
hard disk is at 80% of capacity, obtain a bigger disk
instead of adding additional data files.

Refer to the Symantec Data Loss Prevention

Installation Guide.

Licensing and versioning Contact Symantec Support.

Monitor not responding Restart the Symantec Monitor service. If the event
persists, check the network connections. Make sure
the computer that hosts the detections server is
turned on by connecting to it. You can connect with
terminal services or another remote desktop
connection method. If necessary, contact Symantec
Support.

See “About Enforce Server services” on page 79.

Alert or scheduled report sending Go to System > Settings > General and ensure that
failed the settings in the Reports and Alerts and SMTP
sections are configured correctly. Check network
connectivity between the Enforce Server and the
SMTP server. Contact Symantec Support.

Auto key ignition failed Contact Symantec Support.

Cryptographic keys are inconsistent Contact Symantec Support.

 Managing system events and messages 151
Enabling a syslog server

Table 8-7 System event responses (continued)

System Event or Category Appropriate Response

Long message wait time Increase detection server capacity by adding more
CPUs or replacing the computer with a more
powerful one.

Decrease the load on the detection server. You can

decrease the load by applying the traffic filters that
have been configured to detect fewer incidents. You
can also re-route portions of the traffic to other
detection servers.

Increase the threshold wait times if all of the

following items are true:

■ This message is issued during peak hours.

■ The message wait time drops down to zero
before the next peak.
■ The business is willing to have such delays in
message processing.

process_name restarts excessively Check the process by going to System > Servers >
Overview. To see individual processes on this
screen, Process Control must be enabled by going
to System > Settings > General > Configure.

N incidents in queue Investigate the reason for the incidents filling up

the queue.
The most likely reasons are as follows:

■ Connection problems. Response: Make sure the

communication link between the Endpoint
Server and the detection server is stable.
■ Insufficient connection bandwidth for the
number of generated incidents (typical for WAN
connections). Response: Consider changing
policies (by configuring the filters) so that they
generate fewer incidents.

Enabling a syslog server

Syslog functionality sends Severe system events to a syslog server. Syslog servers
allow system administrators to filter and route the system event notifications on
a more granular level. System administrators who use syslog regularly for
152 Managing system events and messages
Enabling a syslog server

monitoring their systems may prefer to use syslog instead of alerts. Syslog may
be preferred if the volume of alerts seems unwieldy for email.
Syslog functionality is an on or off option. If syslog is turned on, all Severe events
are sent to the syslog server.
To enable syslog functionality
1 Go to the \SymantecDLP\Protect\config directory on Windows or the
/opt/SymantecDLP/Protect/config directory on Linux.

2 Open the Manager.properties file.

3 Uncomment the #systemevent.syslog.host= line by removing the # symbol
from the beginning of the line, and enter the hostname or IP address of the
syslog server.
4 Uncomment the #systemevent.syslog.port= line by removing the # symbol
from the beginning of the line. Enter the port number that should accept
connections from the Enforce Server server. The default is 514.
5 Uncomment the #systemevent.syslog.format= [{0}] {1} - {2} line by
removing the # symbol from the beginning of the line. Then define the system
event message format to be sent to the syslog server:
If the line is uncommented without any changes, the notification messages
are sent in the format: [server name] summary - details. The format variables
are:
■ {0} - the name of the server on which the event occurred
■ {1} - the event summary
■ {2} - the event detail
For example, the following configuration specifies that Severe system event
notifications are sent to a syslog host named server1 which uses port 600.

systemevent.syslog.host=server1
systemevent.syslog.port=600
systemevent.syslog.format= [{0}] {1} - {2}

Using this example, a low disk space event notification from an Enforce Server
on a host named dlp-1 would look like:

dlp-1 Low disk space - Hard disk space for

incident data storage server is low. Disk usage is over 82%.
 Managing system events and messages 153
About system alerts

Note: Be sure to comment out the #systemevent.syslog.format= [{0}] {1} -

{2} line. Do not comment out the #systemevent.jmx.format= [{0}] {1} - {2}
line. The jmx option is not compatible with syslog servers.

See “About system events” on page 141.

About system alerts

System alerts are email messages that are sent to designated addresses when a
particular system event occurs. You define what alerts (if any) that you want to
use for your installation. Alerts are specified and edited on the Configure Alert
screen, which is reached by System > Servers > Alerts > Add Alert.
Alerts can be specified based on event severity, server name, or event code, or a
combination of those factors. Alerts can be sent for any system event.
The email that is generated by the alert has a subject line that begins with Symantec
Data Loss Prevention System Alert followed by a short event summary. The
body of the email contains the same information that is displayed by the Event
Detail screen to provide complete information about the event.
See “Configuring the Enforce Server to send email alerts” on page 153.
See “Configuring system alerts” on page 155.
See “Server event detail” on page 146.

Configuring the Enforce Server to send email alerts

To send out email alerts regarding specified system events, the Enforce Server
has to be configured to support sending of alerts and reports. This section describes
how to specify the report format and how to configure Symantec Data Loss
Prevention to communicate with an SMTP server.
After completing the configuration described here, you can schedule the sending
of specific reports and create specific system alerts.
To configure Symantec Data Loss Prevention to send alerts and reports
1 Go to System > Settings > General and click Configure.
The Edit General Settings screen is displayed.
2 In the Reports and Alerts section, select one of the following distribution
methods:
154 Managing system events and messages
Configuring the Enforce Server to send email alerts

■ Send reports as links, logon is required to view. Symantec Data Loss

Prevention sends email messages with links to reports. You must log on
to the Enforce Server to view the reports.

Note: Reports with incident data cannot be distributed if this option is

set.

■ Send report data with emails. Symantec Data Loss Prevention sends email
messages and attaches the report data.

3 Enter the Enforce Server domain name or IP address in the Fully Qualified
Manager Name field.
If you send reports as links, Symantec Data Loss Prevention uses the domain
name as the basis of the URL in the report email.
Do not specify a port number unless you have modified the Enforce Server
to run on a port other than the default of 443.
4 If you want alert recipients to see any correlated incidents, check the
Correlations Enabled box.
When correlations are enabled, users see them on the Incident Snapshot
screen.
5 In the SMTP section, identify the SMTP server to use for sending out alerts
and reports.
Enter the relevant information in the following fields:
■ Server: The fully qualified hostname or IP address of the SMTP server
that Symantec Data Loss Prevention uses to deliver system events and
scheduled reports.
■ System email: The email address for the alert sender. Symantec Data Loss
Prevention specifies this email address as the sender of all outgoing email
messages. Your IT department may require the system email to be a valid
email address on your SMTP server.
■ User ID: If your SMTP server requires it, type a valid user name for
accessing the server. For example, enter DOMAIN\bsmith.
■ Password: If your SMTP server requires it, enter the password for the User
ID.

6 Click Save.
See “About system alerts” on page 153.
See “Configuring system alerts” on page 155.
 Managing system events and messages 155
Configuring system alerts

See “About system events” on page 141.

Configuring system alerts

You can configure Symantec Data Loss Prevention to send an email alert whenever
it detects a specified system event. Alerts can be specified based on event severity,
server name, or event code, or a combination of those factors. Alerts can be sent
for any system event.
See “About system alerts” on page 153.
Note that the Enforce Server must first be configured to send alerts and reports.
See “Configuring the Enforce Server to send email alerts” on page 153.
Alerts are specified and edited on the Configure Alert screen, which is reached
by System > Servers > Alerts and then choosing Add Alert to create a new alert,
or clicking on the name of an existing alert to modify it.
To create or modify an alert
1 Go the Alerts screen (System > Servers > Alerts).
2 Click the Add Alert tab to create a new alert, or click on the name of an alert
to modify it.
The Configure Alert screen is displayed.
3 Fill in (or modify) the name of the alert. The alert name is displayed in the
subject line of the email alert message.
4 Fill in (or modify) a description of the alert.
5 Click Add Condition to specify a condition that will trigger the alert.
Each time you click Add Condition you can add another condition. If you
specify multiple conditions, every one of the conditions must be met to trigger
the alert.
Click on the red X next to a condition to remove it from an existing alert.
6 Enter the email address that the alert is to be sent to. Separate multiple
addresses by commas.
156 Managing system events and messages
Configuring system alerts

7 Limit the maximum number of times this alert can be sent in one hour by
entering a number in the Max Per Hour box.
If no number is entered in this box, there is no limit on the number of times
this alert can be sent out. The recommended practice is to limit alerts to one
or two per hour, and to substitute a larger number later if necessary. If you
specify a large number, or no number at all, recipient mailboxes may be
overloaded with continual alerts.
8 Click Save to finish.
The Alerts list is displayed.
There are three kinds of conditions that you can specify to trigger an alert:
■ Event type - the severity of the event.
■ Server - the server associated with the event.
■ Event code - a code number that identifies a particular kind of event.
For each kind of condition, you can choose one of two operators:
■ Is any of.
■ Is none of.
For each kind of condition, you can specify appropriate parameters:
■ Event type. You can select one, or a combination of, Information, Warning,
Severe. Click on an event type to specify it. To specify multiple types, hold
down the Control key while clicking on event types. You can specify one, two,
or all three types.
■ Server. You can select one or more servers from the list of available servers.
Click on the name of server to specify it. To specify multiple servers, hold down
the Control key while clicking on server names. You can specify as many
different servers as necessary.
■ Event code. Enter the code number. To enter multiple code numbers, separate
them with commas or use the Return key to enter each code on a separate line.
See “System event codes and messages” on page 157.
By combining multiple conditions, you can define alerts that cover a wide variety
of system conditions.

Note: If you define more than one condition, the conditions are treated as if they
were connected by the Boolean "AND" operator. This means that the Enforce
Server only sends the alert if all conditions are met. For example, if you define an
event type condition and a server condition, the Enforce Server only sends the
alert if the specified event occurs on the designated server.
 Managing system events and messages 157
About log review

See “About system alerts” on page 153.

See “Configuring the Enforce Server to send email alerts” on page 153.
See “System events reports” on page 142.

About log review

Your Symantec Data Loss Prevention installation includes a number of log files.
These files provide information on server communication, Enforce Server and
detection server operation, incident detection, and so on.
By default, logs for the Enforce Server and detection server are stored in the
following directories:
■ Windows:SymantecDLP\Protect\logs
■ Linux: /var/log/SymantecDLP
See “About log files” on page 267.
See also the Symantec Data Loss Prevention System Maintenance Guide for
additional information about working with logs.

System event codes and messages

Symantec Data Loss Prevention system events are monitored, reported, and logged.
Each different event is identified by code number listed in the following table.
See “About system events” on page 141.
System event lists and reports can be filtered by event codes.
See “System events reports” on page 142.
Note that numbers enclosed in braces, such as {0}, indicate where appropriate
text strings are inserted in the actual message.

Code Name Description

1000 Monitor started All monitor processes have been

started.

1001 Local monitor started All monitor processes have been

started.

1002 Monitor started Some monitor processes are

disabled and haven't been started.
158 Managing system events and messages
System event codes and messages

Code Name Description

1003 Local monitor started Some monitor processes are

disabled and haven't been started.

1004 Monitor stopped All monitor processes have been

stopped.

1005 Local monitor stopped All monitor processes have been

stopped.

1006 {0} failed to start Process {0} can't be started. See

log files for more detail.

1007 {0} restarts excessively Process {0} has restarted {1} times
during last {2} minutes.

1008 {0} is down {0} process went down before it

had fully started.

1010 Restarted {0} {0} process was restarted because

it went down unexpectedly.

1011 Restarted {0} {0} was restarted because it was

not responding.

1012 Unable to start {0} Cannot bind to the shutdown

datagram socket. Will retry.

1013 {0} resumed starting Successfully bound to the

shutdown socket.

1014 Low disk space Hard disk space is low. Symantec

Data Loss Prevention server disk
usage is over {0}%.

1100 Aggregator started

1101 Aggregator failed to start Error starting Aggregator. {0} No

incidents will be detected.

1200 Loaded policy "{0}" Policy "{0}" v{1} ({2}) has been
successfully loaded.

1201 Loaded policies {0}

1202 No policies loaded No relevant policies are found. No

incidents will be detected. 1203
Unloaded policy "{0}" Policy "{0}"
has been unloaded.
 Managing system events and messages 159
System event codes and messages

Code Name Description

1204 Updated policy "{0}" Policy "{0}" has been successfully

updated. The current policy
version is {1}. Active channels: {2}.

1205 Incident limit reached for Policy "{0}" The policy "{0}" has found
incidents in more than {1}
messages within the last {2} hours.
The policy will not be enforced
until the policy is changed, or the
reset period of {2} hours is
reached.

1206 Long message wait time Message wait time was

{0}:{1}:{2}:{3}.

1301 File Reader started

1302 File Reader failed to start Error starting File Reader. {0} No
incidents will be detected.

1303 Unable to delete folder File Reader was unable to delete

folder "{0}" in the file system.
Please investigate, as this will
cause system malfunction.

1304 Channel enabled Monitor channel "{0}" has been

enabled.

1305 Channel disabled Monitor channel "{0}" has been

disabled. 1306 License received.
{0}.

1400 ICAP channel configured The channel is in {0} mode

1401 Invalid license The ICAP channel is not licensed

or the license has expired. No
incidents will be detected or
prevented by the ICAP channel.

1402 Content Removal Incorrect Configuration rule in line {0} is

outdated or not written in proper
grammar format. Either remove
it from the config file or update
the rule.
160 Managing system events and messages
System event codes and messages

Code Name Description

1403 Out of memory Error (Web Prevent) While processing request on

while processing message connection ID{0}, out of memory
error occurred. Please tune your
setup for traffic load.

1404 Host restriction Any host (ICAP client) can connect

to Web Prevent.

1405 Host restriction error Unable to get the IP address of

host {0}

1406 Host restriction error Unable to get the IP address of any

host in Icap.AllowHosts

1407 Protocol Trace Enabled Traces available at {0}

1408 Invalid Load Balance Factor
Icap.LoadBalanceFactor
configured to 0. Treating it as 1.

1500 Invalid license The SMTP Prevent channel is not

licensed or the license has expired.
No incidents will be detected or
prevented by the SMTP Prevent
channel.

1501 Bind address error Unable to bind {0}. Please check

the configured address or the
RequestProcessor log for more
information. 1502 MTA restriction
error Unable to resolve host {0}.

1503 All MTAs restricted Client MTAs are restricted, but no

hosts were resolved. Please check
the RequestProcessor log for more
information and correct the
RequestProcessor.AllowHosts
setting for this Prevent server.

1600 Override folder invalid Monitor channel {0} has invalid

source folder: {1} Using folder: {2}.

1601 Source folder invalid Monitor channel {0} has invalid

source folder: {1} The channel is
disabled.
 Managing system events and messages 161
System event codes and messages

Code Name Description

1700 Scan start failed Discover target with ID {0} does

not exist. 1701 Scan terminated
{0}

1702 Scan completed Discover target "{0}" completed a

scan successfully.

1703 Scan start failed {0}

1704 Share list had errors {0}

1705 Scheduled scan failed Failed to start a scheduled scan of

Discover target {0}. {1}

1706 Scan suspend failed {0}

1707 Scan resume failed {0}

1708 Scheduled scan suspension failed Scheduled suspension failed for

scan of Discover target {0}. {1}

1709 Scheduled scan resume failed Scheduled suspension failed for

scan of Discover target {0}. {1}

1800 Incident Persister is unable to process Persister ran out of memory

incident Incident processing incident {0}.

1801 Incident Persister failed to process

incident {0}

1802 Corrupted incident received A corrupted incident was received,

and renamed to {0}.

1803 Policy misconfigured Policy "{0}" has no associated

severity.

1804 Incident Persister is unable to start Incident Persister cannot start

because it failed to access the
incident folder {0}. Check folder
permissions.

1805 Incident Persister is unable to access Incidents folder The Incident

Persister is unable to access the
incident folder {0}. Check folder
permissions.

1806 Response rule processing failed to start Response rule processing failed to
start: {0}.
162 Managing system events and messages
System event codes and messages

Code Name Description

1807 Response rule processing execution Response rule command runtime

failed execution failed from error: {0}.

1808 Unable to write incident Failed to delete old temporary file

{0}.

1809 Unable to write incident Failed to rename temporary

incident file {0}.

1810 Unable to list incidents Failed to list incident files in

folder {0}. Check folder
permissions.

1811 Error sending incident Unexpected error occurred while

sending an incident. {0} Look in
the incident writer log for more
information.

1812 Incident writer stopped Failed to delete incident file {0}

after it was sent. Delete the file
manually, correct the problem and
restart the incident writer.

1813 Failed to list incidents Failed to list incident files in

folder {0}. Check folder
permissions.

1814 Incident queue backlogged There are {0} incidents in this

server's queue.

1815 Low disk space on incident server Hard disk space for the incident
data storage server is low. Disk
usage is over {0}%.

1900 Failed to load update package Database connection error

occurred while loading the
software update package {0}.

1901 Software update failed Failed to apply software update

from package {0}. Check the
update service log.

2000 Key ignition error Failed to ignite keys with the new
ignition password. Detection
against Exact Data Profiles will be
disabled.
 Managing system events and messages 163
System event codes and messages

Code Name Description

2001 Unable to update key ignition password. The key ignition password won't
be updated, because the
cryptographic keys aren't ignited.
Exact Data Matching will be
disabled.

2100 Administrator saved The administrator settings were

successfully saved.

2101 Data source removed The data source with ID {0} was
removed by {1}.

2102 Data source saved The {0} data source was saved by
{1}.

2103 Document source removed The document source with ID {0}

was removed by {1}.

2104 Document source saved The {0} document source was

saved by {1}.

2105 New protocol created The new protocol {0} was created
by {1}.

2106 Protocol order changed The protocol {0} was moved {1} by
{2}.

2107 Protocol removed The protocol {0} was removed by

{1}.

2108 Protocol saved The protocol {0} was edited by {1}.

2109 User removed The user with ID {0} was removed

by {1}.

2110 User saved The user {0} was saved by {1}.

2111 Runaway lookup detected One of the attribute lookup

plug-ins did not complete
gracefully and left a running
thread in the system. Manager
restart may be required for
cleanup.

2112 Loaded Custom Attribute Lookup Plug-ins The

following Custom Attribute
Lookup Plug-ins were loaded: {0}.
164 Managing system events and messages
System event codes and messages

Code Name Description

2113 No Custom Attribute Lookup Plug-in No Custom Attribute Lookup

was loaded Plug-in was found.

2114 Custom attribute lookup failed Lookup plug-in {0} timed out. It
was unloaded.

2115 Custom attribute lookup failed Failed to instantiate lookup

plug-in {0}. It was unloaded. Error
message: {1}

2116 Policy changed The {0} policy was changed by {1}.

2117 Policy removed The {0} policy was removed by {1}.

2118 Alert or scheduled report sending configured by {1} contains the

failed. {0} following unreachable email
addresses: {2}. Either the
addresses are bad or your email
server does not allow relay to
those addresses.

2119 System settings changed The system settings were changed

by {0}.

2120 Endpoint Location settings changed The endpoint location settings

were changed by {0}.

2121 The account ''{1}'' has been locked out The maximum consecutive failed
logon number of {0} attempts has
been exceeded for account ''{1}'',
consequently it has been locked
out.

2122 Loaded FlexResponse Actions The following FlexResponse

Actions were loaded: {0}.

2123 No FlexResponse Action was loaded. No FlexResponse Action was

found.

2124 A runaway FlexResponse action was One of the FlexResponse plug-ins

detected. did not complete gracefully and
left a running thread in the
system. Manager restart may be
required for cleanup.
 Managing system events and messages 165
System event codes and messages

Code Name Description

2200 End User License Agreement accepted The Symantec Data Loss
Prevention End User License
Agreement was accepted by {0},
{1}, {2}.

2201 License is invalid

2202 License has expired One or more of your product

licenses has expired. Some system
feature may be disabled. Check the
status of your licenses on the
system settings page.

2203 License about to expire One or more of your product

licenses will expire soon. Check
the status of your licenses on the
system settings page.

2204 No license The license does not exist, is

expired or invalid. No incidents
will be detected.

2205 Keys ignited The cryptographic keys were

ignited by administrator logon.

2206 Key ignition failed Failed to ignite the cryptographic

keys manually. Please look in the
Enforce Server logs for more
information. It will be impossible
to create new exact data profiles.

2207 Auto key ignition The cryptographic keys were

automatically ignited.

2208 Manual key ignition required The automatic ignition of the

cryptographic keys is not
configured. Administrator logon
is required to ignite the
cryptographic keys. No new exact
data profiles can be created until
the administrator logs on.

2300 Low disk space Hard disk space is low. Symantec

Data Loss Prevention Enforce
Server disk usage is over {0}%.
166 Managing system events and messages
System event codes and messages

Code Name Description

2301 Tablespace is almost full Oracle tablespace {0} is over {1}%

full.

2302 {0} not responding Detection Server {0} did not

update its heartbeat for at least 20
minutes.

2303 Monitor configuration changed The {0} monitor configuration was

changed by {1}.

2304 System update uploaded A system update was uploaded

that affected the following
components: {0}.

2305 SMTP server is not reachable. SMTP server is not reachable.

Cannot send out alerts or schedule
reports.

2306 Enforce Server started The Enforce Server was started.

2307 Enforce Server stopped The Enforce Server was stopped.

2308 Monitor status updater exception The monitor status updater

encountered a general exception.
Please look at the Enforce Server
logs for more information.

2309 System statistics update failed Unable to update the Enforce

Server disk usage and database
usage statistics. Please look at the
Enforce Server logs for more
information.

2310 Statistics aggregation failure The statistics summarization task

encountered a general exception.
Refer to the Enforce Server logs
for more information.

2311 Version mismatch Enforce version is {0}, but this

monitor's version is {1}.

2312 Incident deletion failed Incident Deletion failed .

2313 Incident deletion completed Incident deletion ran for {0} and
deleted {1} incident(s).

2314 Endpoint data deletion failed Endpoint data deletion failed.

 Managing system events and messages 167
System event codes and messages

Code Name Description

2400 Export web archive finished Archive "{0}" for user {1} was
created successfully.

2401 Export web archive canceled Archive "{0}" for user {1} was
canceled.

2402 Export web archive failed Failed to create archive "{0}" for
user {1}. The report specified had
over {2} incidents.

2403 Export web archive failed Failed to create archive "{0}" for
user {1}. Failure occurred at
incident {2}.

2404 Unable to run scheduled report The scheduled report job {0} was
invalid and has been removed.

2405 Unable to run scheduled report The scheduled report {0} owned
by {1} encountered an error: {2}.

2406 Report scheduling is disabled The scheduled report {0} owned

by {1} cannot be run because
report scheduling is disabled.

2407 Report scheduling is disabled The scheduled report cannot be

run because report scheduling is
disabled.

2408 Unable to run scheduled report Unable to connect to mail server

when delivery scheduled report
{0}{1}.

2409 Unable to run scheduled report User {0} is no longer in role {1}
which scheduled report {2} belongs
to. The schedule has been deleted.

2410 Unable to run scheduled report Unable to run scheduled report {0}
for user {1} because the account is
currently locked.

2411 Scheduled report sent The schedule report {0} owned by

{1} was successfully sent.

2412 Export XML report failed XML Export of report by user [{0}]
failed XML Export of report by
user [{0}] failed.
168 Managing system events and messages
System event codes and messages

Code Name Description

2420 Unable to run scheduled data owner Unable to distribute report {0}
report distribution (id={1}) by data owner because
sending of report data has been
disabled.

2421 Report distribution by data owner failed Report distribution by data owner
for report {0} (id={1}) failed.

2422 Report distribution by data owner Report distribution by data owner

finished for report {0} (id={1}) finished with
{2} incidents for {3} data owners.
{4} incidents for {5} data owners
failed to be exported.

2423 Report distribution to data owner The report distribution {1} (id={2})
truncated for the data owner "{0}" exceeded
the maximum allowed size. Only
the first {3} incidents were sent to
"{0}".

2500 Unexpected Error Processing Message {0} encountered an unexpected

error processing a message. See
the log file for details.

2501 Memory Throttler disabled {0} x {1} bytes need to be available

for memory throttling. Only {2}
bytes were available. Memory
Throttler has been disabled.

2600 Communication error Unexpected error occurred while

sending {1} updates to {0}. {2}
Please look at the monitor
controller logs for more
information.

2700 Monitor Controller started Monitor Controller service was

started.

2701 Monitor Controller stopped Monitor Controller service was

stopped.

2702 Update transferred to {0} Successfully transferred update

package {1} to detection server {0}.

2703 Update transfer complete Successfully transferred update

package {0} to all detection
servers.
 Managing system events and messages 169
System event codes and messages

Code Name Description

2704 Update of {0} failed Failed to transfer update package

to detection server {0}.

2800 Bad spool directory configured for Packet Capture has been
Packet Capture configured with a spool directory:
{0}. This directory does not have
write privileges. Please check the
directory permissions and monitor
configuration file. Then restart
the monitor.

2801 Failed to send list of NICs. {0}

2900 EDM profile search failed {0}

2901 Keys are not ignited Exact Data Matching will be

disabled until the cryptographic
keys are ignited.

2902 Index folder inaccessible Failed to list files in the index

folder {0}. Check the configuration
and the folder permissions.

2903 Created index folder The local index folder {0} specified
in the configuration had not
existed. It was created.

2904 Invalid index folder The index folder {0} specified in

the configuration does not exist.

2905 {0} {1} Exact data profile was not

created.

2906 Indexing canceled Creation of database profile {0}

was canceled.

2907 Replication canceled Canceled replication of database

profile {0} to server {1}.

2908 Replication failed Connection to database was lost

while replicating database profile
{0} to server {1}.

2909 Replication failed Database error occurred while

replicating database profile {0} to
server {1}.
170 Managing system events and messages
System event codes and messages

Code Name Description

2910 Failed to remove index file Failed to delete index file {1} of
database profile {0}.

2911 Failed to remove index files Failed to delete index files {1} of
database profile {0}.

2912 Failed to remove orphaned file Failed to remove orphaned

database profile index file {0}.

2913 Replication failed Replication of database profile {0}

to server {2} failed.{1} Check the
monitor controller log for more
details.

2914 Replication completed Completed replication of database

profile {0} to server {2}. File {1} was
transferred successfully.

2915 Replication completed Completed replication of database

profile {0} to the server {2}. Files
{1} were transferred successfully.
2916 Database profile removed
Database profile {0} was removed.
File {1} was deleted successfully.

2917 Database profile removed Database profile {0} was removed.

Files {1} were deleted successfully.

2918 Loaded database profile Loaded database profile {0} from

{1}.

2919 Unloaded database profile Unloaded database profile {0}.

2920 Failed to load database profile {1} No incidents will be detected

against database profile {0}.

2921 Failed to unload database profile {1} It may not be possible to reload
the database profile {0} in the
future without monitor restart.

2922 could not find registered content Registered content with ID {0} was
not found in database during
indexing.

2923 Database error Database error occurred during

indexing. {0}
 Managing system events and messages 171
System event codes and messages

Code Name Description

2924 Process shutdown during indexing The process has been shut down
during indexing. Some registered
content may have failed to create.

2925 Policy is inaccurate Policy "{0}" has one or more rules

with unsatisfactory detection
accuracy against {1}.{2}

2926 Created exact data profile Created {0} from file "{1}". Rows
processed: {2} Invalid rows: {3} The
exact data profile will now be
replicated to all Symantec Data
Loss Prevention Servers.

3000 {0} {1} Document profile was not created.

3001 Indexing canceled Creation of document profile {0}

was canceled.

3002 Replication canceled Canceled replication of document

profile {0} to server {1}.

3003 Replication failed Connection to database was lost

while replicating document profile
{0} to server {1}.

3004 Replication failed Database error occurred while

replicating document profile {0}
to server {1}.

3005 Failed to remove index file Failed to delete index file {1} of
document profile {0}.

3006 Failed to remove index files Failed to delete index files {1} of
document profile {0}.

3007 Failed to remove orphaned file {0}

3008 Replication failed Replication of document profile

{0} to server {2} failed. {1} Check
the monitor controller log for
more details.

3009 Replication completed Completed replication of

document profile {0} to server {2}.
File {1} was transferred
successfully.
172 Managing system events and messages
System event codes and messages

Code Name Description

3010 Replication completed

 Chapter 9
Adding a new product
module
This chapter includes the following topics:

■ Installing a new license file

■ About system upgrades

Installing a new license file

When you first purchase Symantec Data Loss Prevention, upgrade to a later
version, or purchase additional product modules, you must install one or more
Symantec Data Loss Prevention license files. License files have names in the
format name.slf.
You can also enter a license file for one module to start and, later on, enter license
files for additional modules.
For detailed information about installing the license file for your initial purchase
of Symantec Data Loss Prevention, see the Symantec Data Loss Prevention
Installation Guide for your operating system.
To install a license:
1 Download the new license file.
For information on downloading and extracting a license file, see the
document Acquiring Symantec Data Loss Prevention Software, available at
the Symantec FileConnect site.
2 Go to System > Settings > General and click Configure.
3 At the Edit General Settings screen, scroll down to the License section.
174 Adding a new product module
About system upgrades

4 In the Install License field, browse for the new Symantec Data Loss Prevention
license file you downloaded, then click Save to agree to the terms and
conditions of the end user license agreement (EULA) for the software and to
install the license.

Note: If you do not agree to the terms and conditions of the EULA, you cannot
install the software.

5 To enable full functionality of new product license-related features, restart

the Vontu Manager Service.
See “About Enforce Server services” on page 79.
The Current License list displays the following information for each product
license:
■ Product – The individual Symantec Data Loss Prevention product name
■ Count – The number of users licensed to use the product
■ Status – The current state of the product
■ Expiration – The expiration date of license for the product
A month before Expiration of the license, warning messages appear on the System
> Servers > Overview screen. When you see a message about the expiration of
your license, contact Symantec to purchase a new license key before the current
license expires.

About system upgrades

The Upgrade button on the System Overview screen initiates the loading and
upgrading of your system to a newer version of Symantec Data Loss Prevention.
For information about upgrading the Symantec Data Loss Prevention software,
see the Symantec Data Loss Prevention Upgrade Guide.
See “About Symantec Data Loss Prevention administration” on page 55.
 Chapter 10
Integrating Enforce with
Symantec Protection Center
(SPC)
This chapter includes the following topics:

■ About Symantec Protection Center (SPC)

■ About Enforce Server integration with SPC

■ Considerations and requirements for integrating the Enforce Server with SPC

■ Integrating the Enforce Server with SPC

About Symantec Protection Center (SPC)

Symantec Protection Center (SPC) is a common user interface which lets you
centralize data and management of Symantec and third-party security products
on one web console. This consolidation provides increased visibility into the status
of the security of your enterprise systems by letting you see many aspects of
security at one time.
Using SPC you can:
■ View reports.
■ View notifications.
■ Perform remediation tasks.
■ Configure SPC settings.
■ Manage integrated products.
176 Integrating Enforce with Symantec Protection Center (SPC)
About Enforce Server integration with SPC

SPC leverages the power of the Symantec Global Intelligence Network (GIN) to
provide customers with real-time feedback on the security of their enterprise
systems, offering information on detected vulnerabilities, known threats within
customer networks, and malicious traffic exiting customer networks. SPC also
offers intelligent prioritization of security risks to let customers prioritize risk
resolution through integration with patching systems and ticketing systems or
change configuration settings in the security products.
See “About Enforce Server integration with SPC” on page 176.
See “Considerations and requirements for integrating the Enforce Server with
SPC” on page 177.
See “Integrating the Enforce Server with SPC” on page 178.

About Enforce Server integration with SPC

By integrating Symantec Data Loss Prevention with Symantec Protection Center
(SPC), you can administer Data Loss Prevention servers, manage policies, and
remediate incidents from within the SPC interface. This single console is especially
useful if you have other Symantec products that integrate with SPC. For example,
if you also use Symantec Messaging Gateway, you can integrate both it and Data
Loss Prevention with SPC. Doing so would enable you to sign on once for both
products (single sign-on) and monitor and manage both product configurations
from the same SPC interface.
In addition, you can also integration non-Symantec security-related products
with SPC. Refer to the SPC documentation for this type of use.

Note: Integrating your Enforce Server with SPC does not affect the operation of
Symantec Data Loss Prevention. You can still access and use Data Loss Prevention
from the standalone instance of the Enforce Server administration console if you
so choose.

See “Considerations and requirements for integrating the Enforce Server with
SPC” on page 177.
See “Integrating the Enforce Server with SPC” on page 178.
 Integrating Enforce with Symantec Protection Center (SPC) 177
Considerations and requirements for integrating the Enforce Server with SPC

Considerations and requirements for integrating the

Enforce Server with SPC
Before integrating the Enforce Server with SPC, keep in mind the following
considerations:
■ Symantec Data Loss Prevention version 11.1 integration with SPC is only at
the interface level. There is no reporting integration for Symantec Data Loss
Prevention through SPC.
■ Integration with SPC is not compatible with the certificate authentication
installation mode of Symantec Data Loss Prevention.
If you have already installed or enabled Symantec Data Loss Prevention for
certificate authentication mode, and you want to integrate the Enforce Server
with SPC:
■ Disable certificate authentication mode for the Enforce Server.
■ Integrate the Enforce Server with SPC.
See “Integrating the Enforce Server with SPC” on page 178.
■ Renew certificate authentication mode for the Enforce Server.

■ The ability to integrate the Enforce Server with SPC is enabled by default.
You can disable this feature by changing the SPC authentication setting in the
file \Protect\configManager.properties.
Before integrating the Enforce Server with SPC, adhere to the following
requirements:
■ Synchronize the system clocks to within the same minute for both the SPC
appliance host and any Enforce Server host you want to integrate with SPC.
■ Make sure you can ping the SPC host from the host where the Enforce Server
is installed, and vice versa.
■ Create a dedicated Data Loss Prevention role and user that is granted the
“Symantec Protection Center Registration” privilege.
This privilege allows a user to instruct the Enforce Server to trust a certificate.
This is a significant privilege and is only necessary for registering and
unregistering the Enforce Server with SPC. It is recommended that you revoke
this privilege after you complete the registration of the Enforce Server with
SPC. At the least, you should limit the number of users who are added to this
dedicated role and granted this privilege. Note that the “Symantec Protection
Center Registration” privilege by itself does not allow a user to log on to the
Enforce Server.
178 Integrating Enforce with Symantec Protection Center (SPC)
Integrating the Enforce Server with SPC

■ To give Data Loss Prevention users access to the Enforce Server through SPC,
you must map the Data Loss Prevention users to SPC.
To simplify user access, it is recommended that you create a user in SPC with
the same name and password as the corresponding user account in the Enforce
Server.
See “Integrating the Enforce Server with SPC” on page 178.

Integrating the Enforce Server with SPC

The following steps assume that you have already installed Symantec Protection
Center (SPC). If you do not have an instance of SPC installed, refer to the Symantec
Protection Center Getting Started Guide that is available here
http://www.symantec.com/business/protection-center to obtain and install SPC.
There are two methods for integrating the Enforce Server with SPC:
■ By adding a single known Enforce Server instance to SPC.
See Table 10-1 on page 179.
■ By discovering and registering one or more Enforce Server instances with SPC.
See Table 10-2 on page 184.
Complete the following steps to integrate a single known Enforce Server instance
with SPC.
 Integrating Enforce with Symantec Protection Center (SPC) 179
Integrating the Enforce Server with SPC

Table 10-1 Add a single known Enforce Server instance to SPC

Step Action Description

Step 1 Create a dedicated Data Loss To add or register the Enforce Server
Prevention role and user with administration console with SPC, you must first
the SPC privilege. grant the SPC Registration privilege to a Data Loss
Prevention role and assign a user to that role. It
is recommended that you create a dedicated role
and user for the specific purpose of integrating
the Enforce Server with SPC.
To create a dedicated role for integrating the
Enforce Server with SPC:

■ Log on to the Enforce Server administration

console as a user with User Administration
privileges.
■ Create a new role.
See “Configuring roles” on page 95.
■ To this role grant the Symantec Protection
Center Registration privilege.
There is no need to grant this role any other
privileges.
■ Create a new user account.
See “Configuring user accounts” on page 103.
■ Add the new user to the newly created role.

Note: The Symantec Protection Center

Registration privilege does not allow a user to log
on to the Enforce Server.
180 Integrating Enforce with Symantec Protection Center (SPC)
Integrating the Enforce Server with SPC

Table 10-1 Add a single known Enforce Server instance to SPC (continued)

Step Action Description

Step 2 Add and enable the Symantec To add the Data Loss Prevention product to SPC:
Data Loss Prevention product
■ Logon to the SPC appliance as a user with SPC
in SPC.
administrator credentials.
■ Select the Admin tab.
■ Click Add Product.
■ At the Add and Enable Product Instance
screen enter the following information:
■ Product
Select Symantec Data Loss Prevention
from the drop-down menu.
■ Host name or IP address
Enter the host name or IP address of the
system where the Enforce Server
administration console is installed.
■ Product user name
Enter the name of the user you created in
Step 1 who is granted the "Symantec
Protection Center" privilege.
Password
Enter the password for this user.
■ Click Enable.
The system indicates successful
enablement.
■ Click Finish.

Step 3 Verify that Symantec Data To verify that Data Loss Prevention was added to
Loss Prevention was added to SPC:
SPC and enabled.
■ In the SPC console, navigate to the Admin >
Supported Products screen.
■ In the Enabled Supported Products tab, verify
that you see that Symantec Data Loss
Prevention 12.0.0.0 is listed and the host name
or IP address of the Enforce Server host that
you have added.
 Integrating Enforce with Symantec Protection Center (SPC) 181
Integrating the Enforce Server with SPC

Table 10-1 Add a single known Enforce Server instance to SPC (continued)

Step Action Description

Step 4 Provide SPC user access to

Symantec Data Loss
Prevention.
182 Integrating Enforce with Symantec Protection Center (SPC)
Integrating the Enforce Server with SPC

Table 10-1 Add a single known Enforce Server instance to SPC (continued)

Step Action Description

Once the Enforce Server is integrated with SPC,

you need to map each Data Loss Prevention user
to SPC so that each user can access the Enforce
Server administration console by SPC.
To provide Data Loss Prevention users with access
to the Enforce Server through SPC:

■ In the SPC console, select Admin > User

Management.
■ Click New to add a new user.
■ Select the option Locally Authenticated
Account.
Note: Refer to the SPC documentation for
details on creating multiple user accounts by
LDAP synchronization.
■ Enter the User name and Password, and,
optionally, the user’s actual name and email
address.
■ Click Next.
■ Click Next at the "Protection Center
Permissions" screen.
These permissions are specific to SPC. Since
you are mapping Data Loss Prevention users,
there is no need to give these users SPC
privileges.
■ Click Next at the "Grant Organizational Access
Rights" screen.
■ At the "Link to Integrated Products" screen:
■ Integrated Product
Select the Enforce Server instance that you
added.
■ Linked User Name
Enter the name of the Data Loss Prevention
user to whom you want to grant SPC access.
■ Click Add to add the new user and mapping.
■ Click Save.
The system confirms the privileges granted.
■ Click Finish.

Note: The SPC user account can be mapped with

either an Enforce user or an Enforce Role\Enforce
 Integrating Enforce with Symantec Protection Center (SPC) 183
Integrating the Enforce Server with SPC

Table 10-1 Add a single known Enforce Server instance to SPC (continued)

Step Action Description

user combination. In the user-only method, when

the user logs on to Enforce using SPC, the default
role is used. In the case of the role\user method,
the user logs on to Enforce in the specified role
and cannot change his or her role. When
performing the mapping, you can use the following
syntax while entering the Enforce user name to
lock the user into a specified role: <enforce
role>\<enforce user>, for example:
remediator\bob.

Step 5 Verify Enforce Server To verify successful integration:

integration with SPC.
■ Log out of SPC.
■ Log back into SPC as the user you created in
Step 4.
■ At the SPC Home screen, select the target icon
in the upper left of the interface.
■ Select the Symantec Data Loss Prevention
option.
■ Select the host name or IP address of the
Enforce Server instance you added.
The Data Loss Prevention system should
appear with you logged in as the user you
created and mapped.

Step 6 Troubleshoot any connection Refer to Step 7 in Table 10-2.

issues.

Step 7 Revoke the SPC Registration Once you have successfully integrated your
privilege. Enforce Server instance with SPC, it is
recommended that you disable the user account
that you assigned to the “Symantec Protection
Center Registration” role for SPC integration (Step
1). Once integration is complete, there is no need
for a user to have this privilege. If you need to redo
the integration or unregister the Symantec Data
Loss Prevention product from SPC, you can add
re-enable the user account assigned to the SPC
role.

See Table 10-3 on page 186.

184 Integrating Enforce with Symantec Protection Center (SPC)
Integrating the Enforce Server with SPC

Complete the following steps to discover and register one or more Enforce Server
instances for integration with SPC, and to troubleshoot any integration issues
you may encounter.

Table 10-2 Steps to discover and register Enforce Server with SPC

Step Action Description

Step 1 Grant the SPC Registration Refer to Step 1 in Table 10-1.

privilege to a Data Loss
Prevention role and user.

Step 2 Discover one or more Enforce To discover an Enforce Server instance:

Server instances.
■ Logon to the SPC appliance with administrator
credentials.
■ Select Admin > Settings > Product Discovery
from the SPC console interface.
■ Enter the IP address of the Enforce Server host
in the Discovery IP Selection field.
To integrate more than Enforce Server instance
with SPC, enter a comma-separated list of IP
addresses.
■ Select (check) Symantec DLP 12.0.0.0.
■ Click Discover Products.
A message appears beneath the Discover
Products button that indicates that the Enforce
Server host was successfully discovered.

Step 3 Register one or more Enforce To register a discovered Enforce Server instance:
Server instances with SPC.
■ In the SPC console, select Admin > Product
Registration.
■ Select the tab Available Supported Products.
■ For the Host name, select the IP address for
the Enforce Server host.
■ Enter the User name and Password of the Data
Loss Prevention user who has been granted the
"Symantec Protection Center Registration" role
privilege (from Step 1).
■ Click Enable.
On the right side of the console you should see
a message indicating that the Enforce Server
instance was successfully registered:
“Supported product was successfully enabled!”
 Integrating Enforce with Symantec Protection Center (SPC) 185
Integrating the Enforce Server with SPC

Table 10-2 Steps to discover and register Enforce Server with SPC (continued)

Step Action Description

Step 4 Verify that one or more Refer to Step 3 in Table 10-1.

Enforce Server instances were
registered with SPC.

Step 5 Provide user access to Refer to Step 4 in Table 10-1.

Symantec Data Loss
Prevention from SPC.

Step 6 Verify Symantec Data Loss Refer to Step 5 in Table 10-1.

Prevention integration with
SPC.

Step 7 Troubleshoot any connection To debug connection issues:

issues.
■ If your browser cannot connect to the Enforce
Server from SPC, make sure that you have
loaded the Enforce Server certificate in the
browser. You can do this by accessing the
Enforce Server administration console
standalone outside of SPC.
■ The Data Loss Prevention users you map to
from within SPC must have appropriate
privileges to access Enforce Server resources,
build policies, and so forth. If you can log on
to the Enforce Server from SPC but cannot do
anything inside the administration console,
update the Data Loss Prevention user
privileges.
■ If the registration fails and you receive the
error "A time synchronization error has been
detected," make sure that the system clocks on
both the SPC host and the Enforce Server host
are in sync to the minute.
■ If you have integrated more than one Enforce
Server instance, from within SPC click the
arrow beneath the Symantec Data Loss
Prevention product heading and then select
the Enforce Server instance that you want to
access.

Step 8 Revoke the SPC Registration Refer to Step 7 in Table 10-1.

privilege.
186 Integrating Enforce with Symantec Protection Center (SPC)
Integrating the Enforce Server with SPC

The following steps provide instructions for unregistering an Enforce Server

instance from SPC.

Table 10-3 Steps to unregister the Enforce Server from SPC

Step Action Description

Step 1 Log on to SPC as an Logon to the SPC appliance as a user with SPC
administrator. administrator credentials.

Step 2 Unregister the Enforce Server To unregister an Enforce Server instance from
instance from SPC. SPC:

■ Select Admin > Supported Products.

■ In the Enabled Supported Products tab, select
the Enforce Server instance you want to
unregister.
■ Select Disable Product at the top left of the
screen.
This option is listed beneath the Supported
Products heading.
■ Enter the user name and password of the Data
Loss Prevention user who is granted the
Symantec Protection Center Registration
privilege.
■ Click Disable.
The system displays a message indicating if
the unregistration completed successfully.
 Section 3
Managing detection servers

■ Chapter 11. Installing and managing detection servers

■ Chapter 12. Managing log files

■ Chapter 13. Using Symantec Data Loss Prevention utilities

188
 Chapter 11
Installing and managing
detection servers
This chapter includes the following topics:

■ About managing Symantec Data Loss Prevention servers

■ Enabling Advanced Process Control

■ Server controls

■ Server configuration—basic

■ Server configuration—advanced

■ Adding a detection server

■ Removing a server

■ Importing SSL certificates to Enforce or Discover servers

■ About the System Overview screen

■ Server status overview

■ Recent error and warning events list

■ Server Detail screen

■ Advanced server settings

■ Advanced agent settings

190 Installing and managing detection servers
About managing Symantec Data Loss Prevention servers

About managing Symantec Data Loss Prevention

servers
Symantec Data Loss Prevention servers are managed from the System > Servers
> Overview screen. This screen provides an overview of your system, including
server status and recent system events. It displays summary information about
all Symantec Data Loss Prevention servers, a list of recent error and warning
events, and information about your license. From this screen you can add or
remove detection servers.
■ Click on the name of a server to display its Server Detail screen, from which
you can control and configure that server.
See “Installing a new license file” on page 173.
See “About the Enforce Server administration console” on page 56.
See “About the System Overview screen” on page 210.
See “Server Detail screen” on page 213.
See “Adding a detection server” on page 207.
See “Removing a server” on page 208.
See “Server controls” on page 192.
See “Server configuration—basic” on page 193.

Enabling Advanced Process Control

Symantec Data Loss Prevention Advanced Process Control lets you start or stop
individual server processes from the Enforce Server administration console. You
do not have to start or stop an entire server. This feature can be useful for
debugging. When Advanced Process Control is off (the default), each Server Detail
screen shows only the status of the entire server. When you turn Advanced Process
Control on, the General section of the Server Detail screen displays individual
processes.
See “Server Detail screen” on page 213.
 Installing and managing detection servers 191
Enabling Advanced Process Control

To enable Advanced Process Control

1 Go to System > Settings > General and click Configure.
The Edit System Settings screen is displayed.
2 Scroll down to the Process Control section and check the Advanced Process
Control box.
3 Click Save.
Table 11-1 describes the individual processes and the servers on which they run
once advanced process control is enabled.

Table 11-1 Advanced processes

Process Description Control

Monitor The Monitor Controller The MonitorController Status is

Controller process controls detection available for the Enforce Server.
servers.

File Reader The File Reader process The FileReader Status is available for all
detects incidents. detection servers.

Incident Writer The Incident Writer process The IncidentWriter Status is available
sends incidents to the Enforce for all detection servers, unless they are
Server. part of a single-tier installation, in which
case there is only one Incident Writer
process.

Packet Capture The Packet Capture process The PacketCapture Status is available
captures network streams. for Network Monitor.

Request The Request Processor The RequestProcessor Status is available

Processor processes SMTP requests. for Network Prevent for Email.

Endpoint The Endpoint Server process The EndpointServer Status is available

Server interacts with Symantec DLP for Endpoint Prevent.
Agents.

Detection The Detection Server The DetectionServerDatabase Status is

Server Database process is used for available for Network Discover.
Database automated incident
remediation tracking.

See “Server configuration—basic” on page 193.

192 Installing and managing detection servers
Server controls

Server controls
Servers and their processes are controlled from the Server Detail screen.
■ To reach the Server Detail screen for a particular server, go to the Overview
screen (System > Servers > Overview) and click on the server's name in the
list.
See “Server Detail screen” on page 213.
The status of the server and its processes appears in the General section of the
Server Detail screen. The Start, Recycle and Stop buttons control server and
process operations.
Current status of the server is displayed in the General section of the Server
Detail screen. The possible values are:

Table 11-2 Server status values

Icon Status

Starting - In the process of starting.

Running - Running without errors.

Running Selected - Some processes on the server are stopped or have errors.
To see the statuses of individual processes, you must first enable Advanced
Process Control on the System Settings screen.

Stopping - In the process of stopping.

Stopped - Fully stopped.

Unknown - The Server has encountered one of the following errors:

■ Start. To start a server or process, click Start.

■ Recycle. To stop and restart a server, click Recycle.
■ Stop. To stop a server or process, click Stop.
■ To halt a process during its start-up procedure, click Terminate.
 Installing and managing detection servers 193
Server configuration—basic

Note: Status and controls for individual server processes are only displayed if
Advanced Process Control is enabled for the Enforce Server. To enable Advanced
Process Control, go to System > Settings > General > Configure, check the
Advanced Process Control box, and click Save.

■ To update the status, click the refresh icon in the upper-right portion of the
screen, as needed.
See “About Symantec Data Loss Prevention administration” on page 55.
See “About the System Overview screen” on page 210.
See “Server Detail screen” on page 213.
See “Server configuration—basic” on page 193.
See “System events reports” on page 142.
See “Server event detail” on page 146.

Server configuration—basic
Enforce Servers are configured from the System > Settings menu.
Detection servers are configured from each server's individual Configure Server
screen.
To configure a server
1 Go to the Overview screen (System > Servers > Overview).
2 Click on the name of the server in the list.
That server's Server Detail screen is displayed. In the upper-left portion of
a Server Detail screen are the following buttons:
■ Done. Click Done to return to the previous screen.
■ Configure. Click Configure to specify a basic configuration for this server.
■ Server Settings. Click Server Settings to specify advanced configuration
parameters for this server. Use caution when modifying advanced server
settings. It is recommended that you check with Symantec Support before
changing any of the advanced settings.
See “Server configuration—advanced” on page 206.
See Symantec Data Loss Prevention online Help for information about
advanced server configuration.
194 Installing and managing detection servers
Server configuration—basic

3 Click Configure or Server Settings to display a configuration screen for that

type of server.
4 Specify or change settings on the screen as needed, and then click Save.
Click Cancel to return to the previous screen without changing any settings.

Note: A server must be recycled before new settings take effect.

See “Server controls” on page 192.

The Configure Server screen contains a General section for all detection servers
that contains the following parameters:
■ Name. The name you choose to give the server. This name appears in the
Enforce Server administration console (System > Servers > Overview). The
name is limited to 255 characters.
■ Host. The host name or IP address of the system hosting the server. Host
names must be fully qualified. If the host has more than one IP address, specify
the address on which the detection server listens for connections to the Enforce
Server.
■ Port. The port number used by the detection server to communicate with the
Enforce Server. The default is 8100.
For single-tier installations a Same as Enforce option is available. If the detection
server is installed on the same host as the Endpoint Server, select this option to
automatically populate the Host field with the local IP address (127.0.0.1).
The remaining portions of a Configure Server screen vary according to the type
of server.
See “Network Monitor Server—basic configuration” on page 195.
See “Network Discover Server and Network Protect—basic configuration”
on page 203.
See “Network Prevent for Email Server—basic configuration” on page 197.
See “Network Prevent for Web Server—basic configuration” on page 200.
See “Endpoint Server—basic configuration” on page 204.
See “Server Detail screen” on page 213.
See “Classification Server—basic configuration” on page 205.
See “Server Detail screen” on page 213.
 Installing and managing detection servers 195
Server configuration—basic

Network Monitor Server—basic configuration

Detection servers are configured from each server's individual Configure Server
screen. To display the Configure Server screen, go to the Overview screen (System
> Servers > Overview) and click the name of the server in the list. That server's
Server Detail screen appears. Click Configure to display the Configure Server
screen.
A Network Monitor Server's Configure Server screen is divided into a general
section and two tabs:
■ General section. Use this section to specify the server's name, host, and port.
See “Server configuration—basic” on page 193.
■ Packet Capture tab. Use this tab to configure network packet capture settings.
■ SMTP Copy Rule tab. Use this tab to modify the source folder where the server
retrieves SMTP message files.
The top portion of the Packet Capture defines general packet capture parameters.
It provides the following fields:

Field Description

Source Folder Override The source folder is the directory the

server uses to buffer network streams
before it processes them. The
recommended setting is to leave the
Source Folder Override field blank to
accept the default. If you want to
specify a custom buffer directory, type
the full path to the directory.

Archive Folder If you do not want to archive data, leave

the Archive Folder field blank. To
archive data, enter the full path to the
directory you want to use for that
purpose.

Network Interfaces Select the network interface card(s) to

use for monitoring. Note that to
monitor a NIC WinPcap software must
be installed on the Network Monitor
Server.

See the Symantec Data Loss Prevention

Installation Guide for more information
about NICs.
196 Installing and managing detection servers
Server configuration—basic

See “Implementing Network Monitor” on page 1069.

Th Protocol section of the Packet Capture specifies the types of network traffic
(by protocol) to capture. It also specifies any custom parameters to apply. This
section lists the standard protocols that you have licensed with Symantec, and
any custom TCP protocols you have added.
To monitor a particular protocol, check its box. When you initially configure a
server, the settings for each selected protocol are inherited from the system-wide
protocol settings. You configure these settings by going to System > Settings >
Protocol. System-wide default settings are listed as Standard.
Consult Symantec Data Loss Prevention online Help for information about working
with system-wide settings.
To override the inherited filtering settings for a protocol, click the name of the
protocol. The following custom settings are available (some settings may not be
available for some protocols):
■ IP filter
■ L7 sender filter
■ L7 recipient filter
■ Content filter
■ Search Depth (packets)
■ Sampling rate
■ Maximum wait until written
■ Maximum wait until dropped
■ Maximum stream packets
■ Minimum stream size
■ Maximum stream size
■ Segment Interval
■ No traffic notification timeout (The maximum value for this setting is 360000
seconds.)
Use the SMTP Copy Rule to modify the source folder where this server retrieves
SMTP message files. You can modify the Source Folder by entering the full path
to a folder.
See “About Symantec Data Loss Prevention administration” on page 55.
See “About the System Overview screen” on page 210.
See “Server Detail screen” on page 213.
 Installing and managing detection servers 197
Server configuration—basic

See “Server configuration—basic” on page 193.

See “Server controls” on page 192.
In addition to the settings available through the Configure Server screen, you
can specify advanced settings for this server. To specify advanced configuration
parameters, click Server Settings on the server's Overview screen. Use caution
when modifying advanced server settings. Check with Symantec Support before
you change any advanced setting.
See “Advanced server settings” on page 215.
See the Symantec Data Loss Prevention online Help for information about
advanced server settings.

Network Prevent for Email Server—basic configuration

Detection servers are configured from each server's individual Configure Server
screen. To display the Configure Server screen, go to the Overview screen (System
> Servers > Overview) and click the name of the server in the list. That server's
Server Detail screen appears. Click Configure to display the Configure Server
screen.
A Network Prevent for Email Server Configure Server screen is divided into a
General section and an Inline SMTP tab. The General section specifies the server's
name, host, and port.
See “Server configuration—basic” on page 193.
Use the Inline SMTP tab to configures different Network Prevent for Email Server
features:

Field Description

Trial Mode Trial mode lets you test prevention

capabilities without blocking requests. When
trial mode is selected, the server detects
incidents and creates incident reports, but
does not block any messages. Deselect this
option to block those messages that are
found to violate Symantec Data Loss
Prevention policies.

Keystore Password If you use TLS authentication in a

forwarding mode configuration, enter the
correct password for the keystore file.

Confirm keystore Password Re-enter the keystore file password.

198 Installing and managing detection servers
Server configuration—basic

Field Description

Next Hop Configuration Select Reflect to operate Network Prevent

for Email Server in reflecting mode. Select
Forward to operate in forwarding mode.
Note: If you select Forward you must also
select Enable MX Lookup or Disable MX
Lookup to configure the method used to
determine the next-hop MTA.

Enable MX Lookup This option applies only to forwarding mode

configurations.

Select Enable MX Lookup to perform a DNS

query on a domain name to obtain the mail
exchange (MX) records for the server.
Network Prevent for Email Server uses the
returned MX records to select the address of
the next hop mail server.

If you select Enable MX Lookup, also add

one or more domain names in the Enter
Domains text box. For example:

companyname.com

Network Prevent for Email Server performs

MX record queries for the domain names
that you specify.
Note: You must include at least one valid
entry in the Enter Domains text box to
successfully configure forwarding mode
behavior.
 Installing and managing detection servers 199
Server configuration—basic

Field Description

Disable MX Lookup This field applies only to forwarding mode

configurations.

Select Disable MX Lookup if you want to

specify the exact hostname or IP address of
one or more next-hop MTAs. Network
Prevent for Email Server uses the hostnames
or addresses that you specify and does not
perform an MX record lookup.

If you select Disable MX Lookup, also add

one or more hostnames or IP addresses for
next-hop MTAs in the Enter Hostnames text
box. You can specify multiple entries by
placing each entry on a separate line. For
example:

smtp1.companyname.com
smtp2.companyname.com
smtp3.companyname.com

Network Prevent for Email Server always

tries to use the first MTA that you specify in
the list. If that MTA is not available, Network
Prevent for Email Server tries the next
available entry in the list.
Note: You must include at least one valid
entry in the Enter Hostnames text box to
successfully configure forwarding mode
behavior.

See the Symantec Data Loss Prevention MTA Integration Guide for Network Prevent
for Email for additional information about configuring Network Prevent for Email
Server options.
See “About Symantec Data Loss Prevention administration” on page 55.
See “About the System Overview screen” on page 210.
See “Server Detail screen” on page 213.
See “Server configuration—basic” on page 193.
See “Server controls” on page 192.
In addition to the settings available through the Configure Server screen, you
can specify advanced settings for this server. To specify advanced configuration
parameters, click Server Settings on the server's Overview screen. Use caution
200 Installing and managing detection servers
Server configuration—basic

when modifying advanced server settings. Check with Symantec Support before
you change any advanced setting.
See “Advanced server settings” on page 215.
See the Symantec Data Loss Prevention online Help for information about
advanced server settings.

Network Prevent for Web Server—basic configuration

Detection servers are configured from each server's individual Configure Server
screen. To display the Configure Server screen, go to the Overview screen (System
> Servers > Overview) and click the name of the server in the list. That server's
Server Detail screen appears. Click Configure to display the Configure Server
screen.
A Network Prevent for Web Server Configure Server screen is divided into a
general section and one tab:
■ General section. This section specifies the server's name, host, and port.
See “Server configuration—basic” on page 193.
■ ICAP tab. This tab is for configuring Internet Content Adaptation Protocol
(ICAP) capture.
Use the ICAP tab to configure Web-based network traffic. The ICAP tab is divided
into four sections:
■ The Trial Mode section enables you to test prevention without blocking traffic.
When trial mode is selected, the server detects incidents and creates incident
reports, but it does not block any traffic. This option enables you to test your
policies without blocking traffic. Check the box to enable trial mode.
■ The Request Filtering section configures traffic filtering criteria:

Field Description

Ignore Requests Smaller Than Specify the minimum body

size of HTTP requests to
inspect on this server. The
default value is 4096 bytes.
HTTP requests with bodies
smaller than this number are
not inspected.

Ignore Requests without Attachments Check this box to inspect only

those HTTP requests that
contain attachments.
 Installing and managing detection servers 201
Server configuration—basic

Field Description

Ignore Requests to Hosts or Domains Enter the host names or

domains whose requests
should be filtered out
(ignored). Enter one host or
domain name per line.

Ignore Requests from User Agents Enter the names of user agents
whose requests should be
filtered out (ignored). Enter
one agent per line.

■ The Response Filtering section configures the filtering criteria to manage

HTTP responses:

Field Description

Ignore Responses Smaller Than Enter the minimum body size

of HTTP responses to inspect
on this server. The default
value is 4096 bytes. HTTP
responses with bodies smaller
than this number are not
inspected.

Inspect Content Type Specify the MIME content

types that this server is to
monitor. By default, this field
contains content type values
for standard Microsoft Office,
PDF, and plain-text formats.
You can add other MIME
content type values. Enter
separate content types on
separate lines. For example, to
inspect WordPerfect 5.1 files,
enter
application/wordperfect5.1.

Ignore Responses from Hosts or Domains Enter the host names or

domains whose responses are
to be ignored. Enter one host
or domain name per line.
202 Installing and managing detection servers
Server configuration—basic

Field Description

Ignore Responses to User Agents Enter the names of user agents

whose responses are to be
ignored. Enter one user agent
per line.

■ The Connection section configures settings for the ICAP connection between
an HTTP proxy server and the Network Prevent for Web Server:

Field Description

TCP Port Specify the TCP port number

that this server is to use to
listen to ICAP requests. The
same value must be configured
on the HTTP proxy sending
ICAP requests to this server.
The recommended value is
1344.

Maximum Number of Requests Enter the maximum number

of simultaneous ICAP
connections from the HTTP
proxy that are allowed. The
default is 25.

Maximum Number of Responses Enter the maximum number

of simultaneous ICAP
response connections from the
HTTP proxy or proxies that
are allowed. The default is 25.

Connection Backlog Enter the maximum number

of waiting connections
allowed. Each waiting
connection means that a user
waits at their browser. The
minimum value is 1.

See “Configuring Network Prevent for Web Server” on page 1095.

See “About Symantec Data Loss Prevention administration” on page 55.
See “About the System Overview screen” on page 210.
See “Server Detail screen” on page 213.
 Installing and managing detection servers 203
Server configuration—basic

See “Server configuration—basic” on page 193.

See “Server controls” on page 192.
In addition to the settings available through the Configure Server screen, you
can specify advanced settings for this server. To specify advanced configuration
parameters, click Server Settings on the server's Overview screen. Use caution
when modifying advanced server settings. Check with Symantec Support before
you change any advanced setting.
See “Advanced server settings” on page 215.
See the Symantec Data Loss Prevention online Help for information about
advanced server settings.

Network Discover Server and Network Protect—basic configuration

Detection servers are configured from each server's individual Configure Server
screen. To display the Configure screen for a server, go to the Overview screen
(System > Servers > Overview) and click on the name of the server in the list.
That server's Server Detail screen is displayed. Click Configure. The server's
Configure Server screen is displayed.
See “Modifying the Network Discover Server configuration” on page 1114.
A Network Discover Server's Configure Server screen is divided into a general
section and one tab:
■ General section. This section is for specifying the server's name, host, and
port.
See “Server configuration—basic” on page 193.
■ Discover tab. This tab is for modifying the number of parallel scans that run
on this Discover Server.
The maximum count can be increased at any time. After it is increased, any
queued scans that are eligible to run on the Network Discover Server are
started. The count can be decreased only if the Network Discover Server has
no running scans. Before you reduce the count, pause, or stop, all scans running
on the server.
To view the scans running on Network Discover Servers, go to Manage >
Discover Scanning > Discover Targets.

See “About Symantec Data Loss Prevention administration” on page 55.

See “Server Detail screen” on page 213.
See “Server configuration—basic” on page 193.
See “Server controls” on page 192.
204 Installing and managing detection servers
Server configuration—basic

In addition to the settings available through the Configure Server screen, you
can also specify advanced settings for this server. To specify advanced
configuration parameters, click Server Settings on the Server Detail screen. Use
caution when modifying advanced server settings. It is recommended that you
check with Symantec Support before changing any of the advanced settings.
See “Advanced server settings” on page 215.

Endpoint Server—basic configuration

Detection servers are configured from each server's individual Configure Server
screen. To display the Configure screen for a server, go to the Overview screen
(System > Servers > Overview) and click the name of the server. The Server Detail
screen for that server is displayed. Click Configure to display the Configure Server
screen for that server.
See “Adding a detection server” on page 207.
The Configure Server screen for an Endpoint Server is divided into a general
section and the following tabs:
■ General. This section is for specifying the server name, host, and port.
See “Server configuration—basic” on page 193.
■ Agent. This section is for configuring the Endpoint Server to a specific endpoint
configuration.
See “Adding agent configurations” on page 1342.
Agent Listener. Use this section to configure the Endpoint Server to listen for
connections from Symantec DLP Agents:

Field Description

Bind address Enter the IP address on which the Endpoint Server listens for
communications from the Symantec DLP Agents. The default IP
address is 0.0.0.0 which allows the Endpoint Server to listen on all
host IP addresses.

Port Enter the port over which the Endpoint Server listens for
communications from the Symantec DLP Agents.

Agent Configuration. Use this section to specify which agent configuration module
you want to associate with the new Endpoint Server.
 Installing and managing detection servers 205
Server configuration—basic

Field Description

Agent Configuration Use the drop-down menu to select the agent

configuration module that you want. If only
one module has been defined, Endpoint
Servers are automatically associated with
the agent configuration.

See “About agent configurations” on page 1341.

Classification Server—basic configuration

Detection servers are configured from each server's individual Configure Server
screen. To display the Configure Server screen, go to the Overview screen (System
> Servers > Overview) and click the name of the server in the list. The Server
Detail screen for that server appears. Click Configure to display the Configure
Server screen.
The Configure Server screen for a Classification Server is divided into two sections:
■ General section. This section specifies the server name, host, and port that is
used for communicating with the Enforce Server.
See “Server configuration—basic” on page 193.
■ Classification section. This section specifies the connection properties that
the Data Classification for Enterprise Vault filter uses to communicate with
the Classification Server.
Use the fields of the Classification section to configure connection properties for
the server:

Maximum number of sessions Enter the maximum number of concurrent

sessions that the Classification Server can
accept from Data Classification for
Enterprise Vault filters. The default is 12.
The maximum number of sessions that a
Classification Server can support depends
on the CPU and memory available to the
server. See the Symantec Enterprise Vault
Data Classification Services Implementation
Guide for more information.

Session Timeout (in milliseconds) Enter the maximum number of milliseconds

that a Data Classification for Enterprise
Vault filter can remain idle before the
Classification Server terminates the session.
The default value is 30000 milliseconds.
206 Installing and managing detection servers
Server configuration—advanced

Classification Service Port Specify the port number on which the

Classification Server accepts connections
from Data Classification for Enterprise Vault
filters. The default port is 10080.

Note: The Classification Server is used only with the Symantec Enterprise Vault
Data Classification solution, which is licensed separately from Symantec Data
Loss Prevention. You must configure the Enterprise Vault Data Classification
Services filter and Classification Server to communicate with one another. See
the Symantec Enterprise Vault Data Classification Services Implementation Guide
for more information.

Server configuration—advanced
Symantec Data Loss Prevention provides advanced server configuration settings
for each detection server in your system.

Note: Check with Symantec Support before changing any advanced settings. If
you make a mistake when changing advanced settings, you can severely degrade
performance or even disable the server entirely.

To change an advanced configuration setting for a detection server

1 Go to System > Servers > Overview and click on the name of the detection
server.
That server's Server Detail screen appears.
2 Click Server Settings.
The Advanced Server Settings screen appears.
See Symantec Data Loss Prevention online Help for information about
advanced server configuration.
See “Advanced server settings” on page 215.
3 With the guidance of Symantec Support, modify the appropriate setting(s).
4 Click Save.
Changes to settings on this screen normally do not take effect until you restart
the server.
See “Server configuration—basic” on page 193.
 Installing and managing detection servers 207
Adding a detection server

Adding a detection server

Add the detection servers that you want to your Symantec Data Loss Prevention
system from the System > Servers > Overview screen.
You can add the following types of servers:
■ Network Monitor Server, which monitors network traffic.
■ Network Protect Server, which inspects stored data for policy violations
(Network Discover).
■ Network Prevent for Email Server, which prevents SMTP violations.
■ Network Prevent for Web Server, which prevents ICAP proxy server violations
such as FTP, HTTP, and HTTPS.
■ Mobile Prevent for Web Server, which monitors and prevents HTTPS, HTTPS,
and FTP violations over mobile devices using a VPN.
■ Mobile Email Monitor Server, which monitors corporate emails that are sent
through Microsoft Exchange ActiveSync and downloaded to mobile devices.

Note: If your Symantec Data Loss Prevention license includes both Mobile
Prevent for Web and Network Prevent for Web Servers you add a single
detection server called Network and Mobile Prevent for Web Server.

■ Endpoint Server, which controls Symantec DLP Agents that monitor endpoint
computers.
■ Classification Server, which analyzes email messages that are sent from a
Symantec Enterprise Vault filter, and provides a classification result that
Enterprise Vault can use to perform tagging, archival, and deletion as
necessary.
To add a detection server
1 Go to the System Overview screen (System > Servers > Overview).
See “About the System Overview screen” on page 210.
2 Click Add Server.
The Add Server screen appears.
3 Select the type of server you want to install and click Next.
The Configure Server screen for that detection server appears.
208 Installing and managing detection servers
Removing a server

4 To perform the basic server configuration, use the Configure Server screen,
then click Save when you are finished.
See “Network Monitor Server—basic configuration” on page 195.
See “Network Prevent for Email Server—basic configuration” on page 197.
See “Network Prevent for Web Server—basic configuration” on page 200.
See “Network Discover Server and Network Protect—basic configuration”
on page 203.
See “Adding and configuring the Mobile Email Monitor Server ” on page 1450.
See “Endpoint Server—basic configuration” on page 204.
See “Classification Server—basic configuration” on page 205.
5 To return to the System Overview screen, click Done.
Your new server is displayed in the Servers list with a status of Unknown.
6 Click on the server to display its Server Detail screen.
See “Server Detail screen” on page 213.
7 Click [Recycle] to restart the server.
8 Click Done to return to the System Overview screen.
When the server is finished restarting, its status displays Running.
9 If necessary, click Server Settings on the Server Detail screen to perform
Advanced Server configuration.
See “Advanced server settings” on page 215.
See Symantec Data Loss Prevention online Help for information about
Advanced Server configuration.
See “Server configuration—basic” on page 193.

Removing a server
See the appropriate Symantec Data Loss Prevention Installation Guide for
information about uninstalling Symantec Data Loss Prevention from a server.
An Enforce Server administration console lists the detection servers registered
with it on the System > Overview screen. If Symantec Data Loss Prevention is
uninstalled from a detection server, or that server is stopped or disconnected
from the network, its status is shown as Unknown on the console.
A detection server can be removed (de-registered) from an Enforce Server
administration console. When a detection server is removed from an Enforce
 Installing and managing detection servers 209
Importing SSL certificates to Enforce or Discover servers

Server, its Symantec Data Loss Prevention services continue to operate. This
means that even though a detection server is de-registered from Enforce, it
continues to function unless some action is taken to halt it. In other words, even
though it is removed from an Enforce Server administration console, a detection
server continues to operate. Incidents it detects are stored on the detection server.
If a detection server is re-registered with an Enforce Server, incidents detected
and stored are then forwarded to Enforce.
To remove (de-register) a detection server from Enforce
1 Go to System > Overview.
See “About the System Overview screen” on page 210.
2 In the Servers section of the screen, click the red X on a server's status line
to remove it from this Enforce Server administration console.
See “Server controls” on page 192.
3 Click OK to confirm.
The server's status line is removed from the System Overview list.

Importing SSL certificates to Enforce or Discover

servers
You can import SSL certificates to the Java trusted keystore on the Enforce or
Discover servers. The SSL certificate can be self-signed (server) or issued by a
well-known certificate authority (CA).
You may need to import an SSL certificate to make secure connections to external
servers such as Active Directory (AD). If a recognized authority has signed the
certificate of the external server, the certificate is automatically added to the
Enforce Server. If the server certificate is self-signed, you must manually import
it to the the Enforce or Discover Servers.

Table 11-3 Importing an SSL certificate to Enforce or Discover

Step Description

1 Copy the certificate file you want to import to the Enforce Server or Discover Server
computer.

2 Change directory to c:\SymantecDLP\jre\bin on the Enforce Server or Discover

Server computer.
210 Installing and managing detection servers
About the System Overview screen

Table 11-3 Importing an SSL certificate to Enforce or Discover (continued)

Step Description

3 Execute the keytool utility with the -importcert option to import the public
key certificate to the Enforce Server or Discover Server keystore:

keytool -importcert -alias new_endpointgroup_alias

-keystore ..\lib\security\cacerts -file my-domaincontroller.crt

In this example command, new_endpointgroup_alias is a new alias to assign to the

imported certificate and my-domaincontroler.crt is the path to your certificate.

4 When you are prompted, enter the password for the keystore.

By default, the password is changeit. If you want you can change the password
when prompted.

To change the password, use: keytool -storepassword -alias

new_endpointgroup_alias -keystore ..\lib\security\cacerts

5 Answer Yes when you are asked if you trust this certificate.

6 Restart the Enforce Server or Discover Server.

See “Configuring directory server connections” on page 132.

About the System Overview screen

The System Overview screen is reached by System > Servers > Overview. This
screen provides a quick snapshot of system status. It lists information about the
Enforce Server, and each registered detection server.
The System Overview screen provides the following features:
■ The Add Server button is used to register a detection server. When this screen
is first viewed after installation, only the Enforce Server is listed. You must
register your various detection servers with the Add Server button. After you
register detection servers, they are listed in the Servers section of the screen.
See “Adding a detection server” on page 207.
■ The Upgrade button is for upgrading Symantec Data Loss Prevention to a
newer version.
See “About system upgrades” on page 174.
See also the appropriate Symantec Data Loss Prevention Upgrade Guide.
■ The Servers section of the screen displays summary information about each
server's status. It can also be use to remove (de-register) a server.
See “Server status overview” on page 211.
 Installing and managing detection servers 211
Server status overview

■ The Recent Error and Warning Events section shows the last five events of
error or warning severity for any of the servers listed in the Servers section.
See “Recent error and warning events list” on page 213.
■ The License section of the screen lists the Symantec Data Loss Prevention
individual products that you are licensed to use.
See “Server configuration—basic” on page 193.
See “About Symantec Data Loss Prevention administration” on page 55.

Server status overview

The Server section of the System Overview screen is reached by System > Servers
> Overview. This section of the screen provides a quick overview of system status.

Table 11-4 Server statuses

Icon Status Description

Starting The server is starting up.

Running The server is running normally without errors.

Running Selected Some Symantec Data Loss Prevention processes on the

server are stopped or have errors. To see the statuses of
individual processes, you must first enable Advanced
Process Control on the System Settings screen.

See “Enabling Advanced Process Control” on page 190.

Stopping The server is in the process of stopping Symantec Data Loss

Prevention services.

See “About Enforce Server services” on page 79.

Stopped All Symantec Data Loss Prevention processes are stopped.

Unknown The server is experiencing one of the following errors:

■ The Enforce Server is not reachable from server.

■ Symantec Data Loss Prevention is not installed on the
server.
■ A license key has not been configured for the Enforce
Server.
■ There is problem with Symantec Data Loss Prevention
account permissions in Windows.
212 Installing and managing detection servers
Server status overview

For each server, the following additional information appears. You can also click
on any server name to display the Server Detail screen for that server.

Table 11-5 Server status additional information

Column name Description

Messages (Last 10 sec) The number of messages processed in the last 10 seconds

Messages (Today) The number of messages processed since 12 am today

Incidents (Today) The number of incidents processed since 12 am today

For Endpoint Servers, the Messages and Incidents are not

aligned. This is because messages are being processed at
the Endpoint and not the Endpoint Server. However, the
incident count still increases.

Incident Queue For the Enforce Server, this is the number of incidents that
are in the database, but do not yet have an assigned status.
This number is updated whenever this screen is generated.

For the other types of servers, this is the number of incidents

that have not yet been written to the Enforce Server. This
number is updated approximately every 30 seconds. If the
server is shut down, this number is the last number updated
by the server. Presumably the incidents are still in the
incidents folder.

Message Wait Time The amount of time it takes to process a message after it
enters the system. This data applies to the last message
processed. If the server that processed the last message is
disconnected, this is N/A.

To see details about a server

◆ Click on any server name to see additional details regarding that server.
See “Server Detail screen” on page 213.
To remove a server from an Enforce Server
◆ Click the red X for that server, and then confirm your decision.

Note: Removing (de-registering) a server only disconnects it from this Enforce

Server server, it does not stop the detection server from operating.

See “Removing a server” on page 208.

 Installing and managing detection servers 213
Recent error and warning events list

Recent error and warning events list

The Recent Error and Warning Events section of the System Overview screen
is reached by Systern > Servers > Overview. This section of the screen shows the
last five events of either error or warning severity for any of the servers listed in
the Servers section.

Table 11-6 Recent error and warning events information

Column name Description

Type

The yellow triangle indicates a warning, the red circle indicates an

error.

Time The date and time when the event occurred.

Server The name of the server on which the event occurred.

Host The IP address or name of the machine where the server resides. The
server and host names may be the same.

Code The system event code. The Message column provides the code text.
Event lists can be filtered by code number.

Message A summary of the error or warning message that is associated with

this event code.

■ To display a list of all error and warning events, click Show all .
■ To display the Event Detail screen for additional information about that
particular event, click an event.
See “About the System Overview screen” on page 210.
See “System events reports” on page 142.
See “Server event detail” on page 146.

Server Detail screen

The Server Detail screen provides detailed information about a single selected
server. The Server Detail screen is also used to control and configure a server.
214 Installing and managing detection servers
Server Detail screen

To display the Server Detail screen for a particular server

1 Navigate to the System > Servers > Overview screen.
2 Click the detection server name in the Server Overview list.
See “About the System Overview screen” on page 210.
The Server Detail screen is divided into sections. The sections listed below are
displayed for all server types. The system displays sections based on the type of
detection server.

Table 11-7 Server Detail screen display information

Server Detail Description

display sections

General The General section identifies the server, displays system status
and statistics, and provides controls for starting and stopping the
server and its processes.

See “Server controls” on page 192.

Configuration The Configuration section displays the Channels, Policy Groups,

Agent Cofiguration, User Device, and Cofiguration Status for the
detection server.

Agent Summary The Agent Summary section displays a summary of all agents
assigned to the Endpoint Server.

Click the number next to an agent status to view agent details on

the System > Agents > Overview > Summary Reports screen.
Note: The system only displays the Agent Summary section for an
Endpoint Server.

Recent Error and The Recent Error and Warning Events section displays the five
Warning Events most recent Warning or Severe events that have occurred on this
server.

Click on an event to show event details. Click show all to display all
error and warning events.

See “About system events” on page 141.

All Recent Events The All Recent Events section displays all events of all severities
that have occurred on this server during the past 24 hours.

Click on an event to show event details. Click show all to display all
detection server events.
 Installing and managing detection servers 215
Advanced server settings

Table 11-7 Server Detail screen display information (continued)

Server Detail Description

display sections

Deployed Data The Deployed Data Profile section lists any Exact Data or Document
Profiles Profiles you have deployed to the detection server. The system
displays the version of the index in the profile.

See “Data Profiles” on page 335.

See “About the System Overview screen” on page 210.

See “Server configuration—basic” on page 193.
See “Server controls” on page 192.
See “System events reports” on page 142.
See “Server event detail” on page 146.

Advanced server settings

Use the Server Settings tab of a detection server's System > Servers > Overview
> Server Detail screen to modify the settings on that server.
Use caution when modifying these settings on a server. It is recommended that
you check with Symantec Support before changing any of the settings on this
screen. Changes to these settings normally do not take effect until after the server
has been restarted.
There are no advanced settings on the Enforce Server that can be modified from
its server detail screen.
216 Installing and managing detection servers
Advanced server settings

Table 11-8 Detection server advanced settings

Setting Default Description

BoxMonitor.Channels varies The values are case sensitive and

comma-separated if multiple.
Although any mix of them can be
configured, the following are the
officially supported configurations:

■ Network Monitor Server: Packet

Capture, Copy Rule
■ Discover Server: Discover
■ Endpoint Server: Endpoint
■ Network Prevent for Email: Inline
SMTP
■ Network Prevent for Web: ICAP
■ Mobile Email Monitor: ICAP
■ Classification Server: Classification

BoxMonitor.DetectionServerDatabase on Enables the BoxMonitor process to

start the Automated Incident
Remediation Tracking database on the
Detection Server. If you set this to off,
you must start the remediation
tracking database manually.

BoxMonitor.DetectionServerDatabaseMemory See description Any combination of JVM memory flags

can be used. The default setting is:
-Xrs -Xms300M -Xmx1024M
-XX:+UseG1GC.

BoxMonitor.DiskUsageError 90 The amount of disk space filled (as a

percentage) that will trigger a severe
system event. For instance, if
Symantec Data Loss Prevention is
installed on the C drive and this value
is 90, then the detection server creates
a severe system event when the C drive
usage is above 90%.
 Installing and managing detection servers 217
Advanced server settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

BoxMonitor.DiskUsageWarning 80 The amount of disk space filled (as a

percentage) that will trigger a warning
system event. For instance, if
Symantec Data Loss Prevention is
installed on the C drive and this value
is 80, then the detection server
generates a warning system event
when the C drive usage is above 80%.

BoxMonitor.EndpointServer on Enables the Endpoint Server.

BoxMonitor.EndpointServerMemory Any combination of JVM memory flags

can be used. For example: -Xrs
-Xms300M -Xmx1024M

BoxMonitor.FileReader on If off, the BoxMonitor cannot start the

FileReader, although it can still be
started manually.

BoxMonitor.FileReaderMemory FileReader JVM command line

arguments. For example: -Xrs
-Xms1200M -Xmx1200M

BoxMonitor.HeartbeatGapBeforeRestart 960000 The time interval (in milliseconds) that

the BoxMonitor waits for a monitor
process (for example, FileReader,
IncidentWriter) to report the
heartbeat. If the heartbeat is not
received within this time interval the
BoxMonitor restarts the process.

BoxMonitor.IncidentWriter on If off, the BoxMonitor cannot start the

IncidentWriter in the two-tier mode,
although it can still be started
manually. This setting has no effect in
the single-tier mode.

BoxMonitor.IncidentWriterMemory IncidentWriter JVM command line

arguments. For example: -Xrs

BoxMonitor.InitialRestartWaitTime 5000

BoxMonitor.MaxRestartCount 3
218 Installing and managing detection servers
Advanced server settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

BoxMonitor.MaxRestartCountDuringStartup 5 The maximum times that the Monitor

server will attempt to restart on its
own.

BoxMonitor.PacketCapture on If off, the BoxMonitor cannot start

PacketCapture, although it can still be
started manually. The PacketCapture
channel must be enabled for this
setting to work.

BoxMonitor.PacketCaptureDirectives PacketCapture command line

parameters (in Java). For example: -Xrs

BoxMonitor.ProcessLaunchTimeout 30000 The time interval (in milliseconds) for

a monitor process (e.g. FileReader) to
start.

BoxMonitor.ProcessShutdownTimeout 45000 The time interval (in milliseconds)

allotted to each monitor process to
shut down gracefully. If the process is
still running after this time the
BoxMonitor attempts to kill the
process.

BoxMonitor.RequestProcessor on If off, the BoxMonitor cannot start the

RequestProcessor; although, it can still
be started manually. The Inline SMTP
channel must be enabled for this
setting to work.

BoxMonitor.RequestProcessorMemory Any combination of JVM memory flags

can be used. For example: -Xrs
-Xms300M -Xmx1300M

BoxMonitor.RmiConnectionTimeout 15000 The time interval (in milliseconds)

allowed to establish connection to the
RMI object.

BoxMonitor.RmiRegistryPort 37329 The TCP port on which the BoxMonitor

starts the RMI registry.

BoxMonitor.StatisticsUpdatePeriod 10000 The monitor statistics are updated

after this time interval (in
milliseconds).
 Installing and managing detection servers 219
Advanced server settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

Classification.BindAddress 0.0.0.0 The IP address on which the

Classification Server accepts messages
for detection. By default, the
Classification Server listens on all
interfaces (0.0.0.0). If you have a
multi-homed server computer and you
want to limit classification requests to
a specific network interface, enter the
IP address of that interface in this
field.

Classification.MaxMemory 120M The maximum amount of memory that

the Classification Server allocates.
After this limit is reached, any
additional requests to classify
Exchange messages are spooled to disk
until memory is freed.

Classification.SessionReapInterval 20000 The time interval (in milliseconds)

after which the Classification Server
purges stale sessions.

Classification.WebserviceLogRententionDays 7 The number of days to retain the

Classification Server web service
request log. These log files are stored
in
c:\SymantecDLP\Protect\logs\jetty
(Windows) or
/var/log/SymantecDLP/logs/jetty
(Linux).
220 Installing and managing detection servers
Advanced server settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

ContentExtraction.EnableMetaData off Allows detection on file metadata. If

the setting is turned on, you can detect
metadata for Microsoft Office and PDF
files. For Microsoft Office files, OLE
metadata is supported, which includes
the fields Title, Subject, Author, and
Keywords. For PDF files, only
Document Information Dictionary
metadata is supported, which includes
fields such as Author, Title, Subject,
Creation, and Update dates. Extensible
Metadata Platform (XMP) content is
not detected. Note that enabling this
metadata detection option can cause
false positives.

ContentExtraction.LongContentSize 1M If the message component exceeds this

size (in bytes) then the
ContentExtraction.LongTimeout is
used instead of
ContentExtraction.ShortTimeout.

ContentExtraction.LongTimeout Varies The default value for this setting varies

depending on detection server type
(60,000 or 120,000).
The time interval (in milliseconds)
given to the ContentExtractor to
process a document larger than
ContentExtraction.LongContentSize.
If the document cannot be processed
within the specified time it's reported
as unprocessed. This value should be
greater than
ContentExtraction.ShortTimeout and
less than
ContentExtraction.RunawayTimeout.

ContentExtraction.MarkupAsText off Bypasses Content Extraction for files

that are determined to be XML or
HTML. This should be used in cases
such as web 2.0 pages containing data
in the header block or script blocks.
Default is off.
 Installing and managing detection servers 221
Advanced server settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

ContentExtraction.MaxContentSize 30M The maximum size (in MB) of the

document that can be processed by the
ContentExtractor.

ContentExtraction.RunawayTimeout 300,000 The time interval (in milliseconds)

given to the ContentExtractor to finish
processing of any document. If the
ContentExtractor does not finish
processing some document within this
time it will be considered unstable and
it will be restarted. This value should
be significantly greater than
ContentExtraction.LongTimeout.

ContentExtraction.ShortTimeout 30,000 The time interval (in milliseconds)

given to the ContentExtractor to
process a document smaller than
ContentExtraction.LongContentSize.
If the document cannot be processed
within the specified time it is reported
as unprocessed. This value should be
less than
ContentExtraction.LongTimeout.

ContentExtraction.TrackedChanges off Allows detection of content that has

changed over time (Track Changes
content) in Microsoft Office
documents.
Note: Using the foregoing option
might reduce the accuracy rate for IDM
and data identifiers. The default is set
to off (disallow).

To index content that has changed over

time, set
ContentExtraction.TrackedChanges=on
in file
\Protect\config\Indexer.properties.
The default and recommended setting
is
ContentExtraction.TrackedChanges=off.
222 Installing and managing detection servers
Advanced server settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

DDM.MaxBinMatchSize 300,000,000 The maximum size (in bytes) used to

generate the MD5 hash for an exact
binary match in an IDM. This setting
should NOT be changed. The following
conditions MUST be matched for IDM
to work correctly:

■ 1 - This setting must be exactly

identical to the
max_bin_match_size setting on the
Enforce Server in file
indexer.properties.
■ 2 - This setting must be smaller or
equal to the FileReader.FileMaxSize
value.
■ 3 - This setting must be smaller or
equal to the
ContentExtraction.MaxContentSize
value on the Enforce Server in file
indexer.properties.

Note: Changing 1) and/or 3) requires

re-indexing all IDM files.

DDM.UseJavaMD5 false Setting this flag to true makes the

indexer/detection use the default Java
MD5. False uses a faster MD5 library.
In general, this setting should not be
changed. If it is it must match the
setting in the Indexer.properties
file.

Detection.EncodingGuessingDefaultEncoding ISO-8859-1 Specifies the backup encoding assumed

for a byte stream.

Detection.EncodingGuessingEnabled on Designates whether the encoding of

unknown byte streams should be
guessed.

Detection.EncodingGuessingMinimumConfidence 50 Specifies the confidence level required

for guessing the encoding of unknown
byte streams.
 Installing and managing detection servers 223
Advanced server settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

DI.MaxViolations 100 Specifies the maximum number of

violations allowed with data
identifiers.

Discover.CountAllFilteredItems false Provides more accurate scan statistics

by counting the items in folders
skipped because of filtering. To count
all items, set this setting to true.

Discover.Exchange.FollowRedirects true Specifies whether to follow redirects.

Symantec Data Loss Prevention follows
redirects only from the public root
folder.

Discover.Exchange.ScanHiddenItems false Scan hidden items in Exchange

repositories, when set to true.

Discover.Exchange.UseSecureHttpConnections true Specifies whether connections to

Exchange repositories and Active
Directory are secure when using the
Exchange Web Services crawler.

Discover.FileSystem.OnlyAutoDiscoverAdministrativeShares false Specifies whether file system scans will

discover all open shares on a specified
server or only administrative shares
corresponding to logical drives, such
as C$, D$, and so on.

Discover.IgnorePstMessageClasses IPM.Appointment,IPM.Contact, This setting specifies a

comma-separated list of .pst message
IPM.Task,REPORT.IPM.Note.DR,
classes. All items in a .pst file that have
REPORT.IPM.Note.IPNRN. a message class in the list will be
ignored (no attempt will be made to
extract the .pst item). This setting is
case sensitive.
224 Installing and managing detection servers
Advanced server settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

Discover.IncludePstMessageClasses IPM.Note This setting specifies a

comma-separated list of .pst message
classes. All items in a .pst file that have
a message class in the list will be
included.

When both the include setting and the

ignore setting are defined,
Discover.IncludePstMessageClasses
takes precedence.

Discover.PollInterval 10000 Specifies the time interval (in

milliseconds) at which Enforce
retrieves data from the Discover
monitor while scanning.

Discover.Sharepoint.FetchACL true Turns off ACL fetching for integrated

SharePoint scans. The default value is
true (on).

Discover.ValidateSSLCertificates false Set to true to enable validation of the

SSL certificates for the HTTPS
connections for SharePoint and
Exchange targets. When validation is
enabled, scanning SharePoint or
Exchange servers using self-signed or
untrusted certificates fails. If the
SharePoint web application or
Exchange server is signed by a
certificate issued by a certificate
authority (CA), then the server
certificate or the server CA certificate
must reside in the Java trusted
keystore used by the Discover Server.
If the certificate is not in the keystore,
you must import it manually using the
keytool utility.

See “Importing SSL certificates to

Enforce or Discover servers”
on page 209.
 Installing and managing detection servers 225
Advanced server settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

EDM.MatchCountVariant 3 Specifies how matches are counted.

■ 1 - counts the number of matched

database rows regardless of use of
the same tokens across several
matches
■ 2 - eliminates matches that consist
of identical sets of tokens
■ 3 - eliminates matches that consist
of a subset of tokens from some
other match (the default)

See “Configuring exact data match

counting” on page 434.

EDM.MaximumNumberOfMatchesToReturn 100 Defines a top limit on the number of

matches returned from each RAM
index search. For multi-file indices,
this limit is applied to each sub-index
search independently before the search
results are combined. As a result the
number of actual matches can exceed
this limit for multiple file indices.

EDM.RunProximityLogic true If true, runs the token proximity check.

The free-form (a.k.a. simple) text
proximity is defined by
EDM.SimpleTextProximityRadius
setting. The tabular text proximity is
defined by belonging to the same table
row.

EDM.SimpleTextProximityRadius 35 Number of tokens to the left and to the

right of the current token that are
evaluated together when the proximity
check is enabled.

EDM.VerifyJohnJohnCases true Specifies whether to consider matches

where more than one database column
has the same value. For example, the
first name is John and the last name is
John. This verification incurs a slight
performance penalty.
226 Installing and managing detection servers
Advanced server settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

EndpointMessageStatistics.MaxFileDetectionCount 100 The maximum number of times a valid

file will be scanned. The file must not
cause an incident. After exceeding this
number, a system event is generated
recommending that the file be filtered
out.

EndpointMessageStatistics.MaxFolderDetectionCount 1800 The maximum number of times a valid

folder will be scanned. The folder must
not cause an incident. After exceeding
this number, a system event is
generated recommending that the file
be filtered out.

EndpointMessageStatistics.MaxMessageCount 2000 The maximum number of times a valid

message will be scanned. The message
must not cause an incident. After
exceeding this number, a system event
is generated recommending that the
file be filtered out.

EndpointMessageStatistics.MaxSetSize 3 The maximum list of hosts displayed

from where valid files, folders, and
messages come. When a system event
for
EndpointMessageStatistics.MaxFileDetectionCount,
EndpointMessageStatistics.MaxFolderDetectionCount,
or
EndpointMessageStatistics.MaxMessageCount
is generated, Symantec Data Loss
Prevention lists the host machines
where these system events were
generated. This setting limits the
number of hosts displayed in the list.

EndpointServer.Discover.ScanStatusBatchInterval 60000 The interval of time in milliseconds

the aggregator will accumulate scan
statuses before sending them to the
MonitorController as a batch.
 Installing and managing detection servers 227
Advanced server settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

EndpointServer.EndpointSystemEventQueueSize 20000 The maximum number of system

events that can be stored in the
endpoint agent's queue to be sent to
the Endpoint Server. If the database
connection is lost or some other
occurrence results in a massive
number of system events, any
additional system events that occur
after this number is reached are
discarded. This value can be adjusted
according to memory requirements.

EndpointServer.MaxPercentageMemToStoreEndpointFiles 60 The maximum amount (in percentage)

of memory to use to store shadow
cache files.

EndpointServer.MaxTimeToKeepEndpointFilesOpen 20000 The time interval (in minutes) that the

endpoint file is kept open or the file
size can exceed the
EndpointServer.MaxEndpointFileSize
setting whichever occurs first.

EndpointServer.MaxTimeToWaitForWriter 1000 The maximum time (in milliseconds)

that the agent will wait to connect to
the server.

EndpointServer.NoOfRecievers 15 The number of endpoint shadow cache

file receivers.

EndpointServer.NoOfWriters 10 The number of endpoint shadow cache

file writers.

FileReader.MaxFileSize 30M The maximum size (in MB) of a

message to be processed. Larger
messages are truncated to this size.

FileReader.MaxFileSystemCrawlerMemory 30M The maximum memory that is

allocated for the File System Crawler.
If this value is less than
FileReader.MaxFileSize, then the
greater of the two values is assigned.

FileReader.MaxReadGap 15 The time that a child process can have

data but not have read anything before
it stops sending heartbeats.
228 Installing and managing detection servers
Advanced server settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

FileReader.ScheduledInterval 1000 The time interval (in milliseconds)

between drop folder checks by the
filereader. This affects Copy Rule,
Packet Capture, and File System
channels only.

Icap.AllowHosts any The default value of "any" permits all

systems to make a connection to the
Network Prevent for Web Server on
the ICAP service port. Replacing "any"
with the IP address or Fully-Qualified
Domain Name (FQDN) of one or more
systems restricts ICAP connections to
just those designated systems. To
designate multiple systems, separate
their IP addresses of FQDNs by
commas.

Icap.AllowStreaming false If true, ICAP output is streamed to the

proxy directly without buffering the
ICAP request first. NetApp NetCache
6.0 does not support such streaming.

Icap.BindAddress 0.0.0.0 IP address to which a Network Prevent

for Web Server listener binds. When
BindAddress is configured, the server
will only answer a connection to that
IP address. The default value of 0.0.0.0
is a wild card that permits listening to
all available addresses including
127.0.0.1.

Icap.BufferSize 3K The size (in kilobytes) of the memory

buffer used for ICAP request streaming
and chunking. The streaming can
happen only if the request is larger
than FileReader.MaxFileSize and the
request has a Content-Length header.
 Installing and managing detection servers 229
Advanced server settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

Icap.DisableHealthCheck false If true, disables the ICAP periodic

self-check. If false, enables the ICAP
periodic self-check. This setting is
useful for debugging to remove clutter
produced by self-check requests from
the logs.

Icap.EnableIncidentSuppression true If the parameter is set to true, Incident

Suppression Cache for Gmail traffic on
Mobile Prevent for Web is enabled. If
the parameter is set to false,
suppression is disabled.

Icap.EnableTrace false If set to true, protocol debug tracing is

enabled once a folder is specified using
the Icap.TraceFolder setting.

Icap.ExchangeActiveSyncCommandsToInspect SendMail A comma-separated, case-sensitive list

of ActiveSync commands which need
to be sent through Symantec Data Loss
Prevention detection. If this parameter
is left blank, ActiveSync support is
disabled. If this parameter is set to
"any", all ActiveSync commands are
inspected.

Icap.LoadBalanceFactor 1 The number of web proxy servers that

a Network Prevent for Webserver is
able to communicate with. For
example, if the server is configured to
communicate with 3 proxies, set the
Icap.LoadBalanceFactor value to 3.

Icap.IncidentSuppressionCacheCleanupInterval 120000 The time interval in milliseconds for

running the Incident Suppression
cache clean-up thread.

Icap.IncidentSuppressionCacheTimeout 120000 The time in miliseconds to invalidate

the Incident Suppression cache entry.

Icap.SpoolFolder This value is needed for ICAP Spools.

This setting must be set to the correct
drive letter when updating from Vontu
DLP 5.0 U3 to 6.0 GA; otherwise, the
FileReader will not start.
230 Installing and managing detection servers
Advanced server settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

Icap.TraceFolder The fully qualified name of the folder

or directory where protocol debug
trace data is stored when the
Icap.EnableTrace setting is true. By
default, the value for this setting is left
blank.

IncidentDetection.IncidentLimitResetTime 86400000 Specifies the time frame (in

milliseconds) used by the
IncidentDetection.MaxIncidentsPerPolicy
setting. The default setting 86400000
equals one day.

IncidentDetection.MaxContentLength 2000000 Applies only to regular expression

rules. On a per component basis, only
the first MaxContentLength number
of characters are scanned for
violations. The default (2,000,000) is
equivalent to > 1000 pages of typical
text. The limiter exists to prevent
regular expression rules from taking
too long.

IncidentDetection.MaxIncidentsPerPolicy 10000 Defines the maximum number of

incidents detected by a specific policy
on a particular monitor within the
time-frame specified in the
IncidentDetection.IncidentTimeLimitResetTime.
The default is 10,000 incidents per
policy per time limit.

IncidentDetection.MessageWaitSevere 240 The number of minutes to wait before

sending a severe system event about
message wait times.

IncidentDetection.MessageWaitWarning 60 The number of minutes to wait before

sending a warning system event about
message wait times.
 Installing and managing detection servers 231
Advanced server settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

IncidentDetection.MinNormalizedSize 30 This setting applies to IDM detection.

It MUST be kept in sync with the
corresponding setting in the
Indexer.properties file on the Enforce
Server (which applies to indexing).
Derivative detections only apply to
messages when their normalized
content is greater than this setting. If
the normalized content size is less than
this setting, IDM detection does a
straight binary match.

IncidentDetection.patternConditionMaxViolations 100 The maximum number of pattern

violations highlighted by detection.
The exact number of matches may still
be 'correct' but only the first
'patternConditionMaxViolations' are
marked up in reporting. Increasing this
number increases the size of incidents
and potentially slows down the
incident snapshot report.

IncidentDetection.StopCachingWhenMemoryLowerThan 400M Instructs Detection to stop caching

tokenized and cryptographic content
between rule executions if the available
JVM memory drops below this value
(in megabytes). Setting this attribute
to 0 enables caching regardless of the
available memory and is not
recommended because
OutOfMemoryErrors may occur.

Setting this attribute to a value close

to, or larger than, the value of the -Xmx
option in
BoxMonitor.FileReaderMemory
effectively disables the caching.

Note that setting this value too low can

have severe performance
consequences.
232 Installing and managing detection servers
Advanced server settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

IncidentDetection.TrialMode false Prevention trial mode setting to

generate prevention incidents without
having a prevention setup.

If true, SMTP incidents coming from

the Copy Rule and Packet Capture
channels appear as if they were
prevented and HTTP incidents coming
from Packet Capture channel appear
as if they were prevented.

IncidentWriter.BacklogInfo 1000 The number of incidents that collect

in the log before an information level
message about the number of messages
is generated.

IncidentWriter.BacklogSevere 10000 The number of incidents that collect

in the log before a severe level message
about the number of messages is
generated.

IncidentWriter.BacklogWarning 3000 The number of incidents that collect

in the log before a warning level
message about the number of messages
is generated.

IncidentWriter.ResolveIncidentDNSNames false If true, only recipient host names are

resolved from IP.

IncidentWriter.ShouldEncryptContent true If true, the monitor will encrypt the

body of every message, message
component and cracked component
before writing to disk or sending to
Enforce.

L7.cleanHttpBody true If true, the HTML entity references are

replaced with spaces.
 Installing and managing detection servers 233
Advanced server settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

L7.DefaultBATV Standard This setting determines the tagging

scheme that Network Prevent for Email
uses to interpret Bounce Address Tag
Validation (BATV) tags in the MAIL
FROM header of a message. If this
setting is “Standard” (the default),
Network Prevent uses the tagging
scheme described in the BATV
specification (see
http://tools.ietf.org/html/draft-levine-mass-batv-02).
Change this setting to “Ironport” to
enable compatibility with the IronPort
proxy’s implementation of BATV
tagging.

L7.DefaultUrlEncodedCharset UTF-8 Defines the default character set to be

used in decoding query parameters or
url-encoded body when the character
set information is missing from the
header.

L7.discardDuplicateMessages true If true, the Monitor ignores duplicate

messages based on the messageID.

L7.ExtractBATV true If true (the default), Network Prevent

for Email interprets Bounce Address
Tag Validation (BATV) tags that are
present in the MAIL FROM header of
a message. This allows Network
Prevent to include a meaningful sender
address in incidents that are generated
from messages having BATV tags. If
this setting is false, Network Prevent
for Email does not interpret BATV tags,
and a message that contains BATV tags
may generate an incident that has an
unreadable sender address.

See
http://tools.ietf.org/html/draft-levine-mass-batv-02
for more information about BATV.

L7.httpClientIdHeader The sender identifier header name. The

default setting is X-Forwarded-For.
234 Installing and managing detection servers
Advanced server settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

L7.MAX_NUM_HTTP_HEADERS 30 If any HTTP message that contains

more than the specified header lines,
it is discarded.

L7.maxWordLength 30 The maximum word length (in

characters) allowed in UTCP string
extraction.

L7.messageIDCacheCleanupInterval 600000 The length of time that the messageID

is cached. The system will not cache
duplicate messages during this time
period if the
L7.discardDuplicateMessages setting
is set to true.

L7.minSizeOfGetUrl 100 The minimum size of the GET URL to

process. HTTP GET actions are not
inspected by Symantec Data Loss
Prevention for policy violations if the
number of bytes in the URL is less than
the value of this setting. For example,
with the default value of 100, no
detection check is performed when a
browser displays the Symantec Web
site at:
http://www.symantec.com/index.jsp.
The reason is that the URL contains
only 33 characters which is less than
the 100 minimum.
Note: Other request types such as
POST or PUT are not affected by
L7.minSizeofGetURL. In order for
Symantec Data Loss Prevention to
inspect any GET actions at all, the
L7.processGets setting must be set to
true.

L7.processGets true If true, the GET requests are processed.

If false, the GET requests are not
processed. Note that this setting
interacts with the L7.minSizeofGetURL
setting.

Lexer.AllowCommasWithOtherSeparatorInTabular true
 Installing and managing detection servers 235
Advanced server settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

Lexer.IncludeLinesWithOnlyWordsInTabular false If true, words-only lines are recognized

as tabular data.

Lexer.IncludePostalCodeInMultiWord true If true, postal code is included in

multi-word columns of tabular text.

Lexer.IncludePunctuationInWords true If true, punctuation characters are

considered as part of a word.

Lexer.MaximumNumberOfTokens 30000 Maximum number of tokens (including

separators) extracted from each
message component for detection.
Applicable to all detection technologies
where tokenization is required, for
example, System patterns, EDM, DGM.
Increasing this value may cause the
detection to run out of memory and
restart. Default is 30,000.

Lexer.MultiWordRecognition true If true, multi-word columns are

recognized in tabular data.

Lexer.StopwordLanguages en Enables the elimination of stop words

for the specified languages. The default
is English.

Lexer.Validate true If true, performs system

pattern-specific validation.

MessageChain.ArchiveTimedOutStreams false Specifies whether messages should be

archived to the temp folder

MessageChain.CacheSize 8 Limits the number of messages that

can be queued in the message chains.

MessageChain.ContentDumpEnabled false

MessageChain.MaximumComponentTime 60,000 The time interval (in milliseconds)

allowed before any chain component
is restarted.

MessageChain.MaximumFailureTime 360000 Number of milliseconds that must

elapse before restarting the filereader.
This is tracked after a message chain
error is detected and that message
chain has not been recovered.
236 Installing and managing detection servers
Advanced server settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

MessageChain.MaximumMessageTime varies This setting varies between is either

600,000 or 1,800,000 depending on
detection server type.

The maximum time interval (in

milliseconds) that a message can
remain in a message chain.

MessageChain.MemoryThrottlerReservedBytes 200,000,000 Number of bytes required to be

available before a message is sent
through the message chain. This
setting can avoid out of memory issues.
The default value is 200 MB. The
throttler can be disabled by setting this
value to zero.

MessageChain.MinimumFailureTime 30000 Number of milliseconds that must

elapse before failure of a message
chain is tracked. Failure eventually
leads to restarting the message chain
or file reader.

MessageChain.NumChains varies This number varies depending on

detection server type. It is either 4 or
8.
The number of messages, in parallel,
that the filereader will process. Setting
this number higher than 8 (with the
other default settings) is not
recommended. A higher setting does
not substantially increase performance
and there is a much greater risk of
running out of memory. Setting this to
less than 8 (in some cases 1) helps
when processing big files, but it may
slow down the system considerably.
 Installing and managing detection servers 237
Advanced server settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

MessageChain.StopProcessingWhenMemoryLowerThan 200M Instructs Detection to stop drilling

down into and processing sub-files if
JVM available memory drops below
this value. Setting this attribute to 0
will force sub-file processing,
regardless of how little memory is
available. Setting this attribute to a
value close to or larger than the value
of the -Xmx option in
BoxMonitor.FileReaderMemory will
effectively disable sub-file processing.

PacketCapture.DISCARD_HTTP_GET true If true, discards HTTP GET streams.

PacketCapture.DOES_DISCARD_TRIGGER_STREAM_DUMP false If true, a list of tcpstreams is dumped

to an output file in the log directory
the first time a discard message is
received.

PacketCapture.ENDACE_BIN_PATH To enable packet-capture using an

Endace card, enter the path to the
Endace /bin directory. Note that
environment variables (such as
%ENDACE_HOME%) cannot be used
in this setting. For example:
/usr/local/bin

PacketCapture.ENDACE_LIB_PATH To enable packet-capture using an

Endace card, enter the path to the
Endace /lib directory. Note that
environment variables (such as
%ENDACE_HOME%) cannot be used
in this setting. For example:
/usr/local/lib

PacketCapture.ENDACE_XILINX_PATH To enable packet-capture using an

Endace card, enter the path to the
Endace /xilinx directory. Note that
environment variables (such as
%ENDACE_HOME%) cannot be used
in this setting. For example:
/usr/local/dag/xilinx
238 Installing and managing detection servers
Advanced server settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

PacketCapture.Filter The default setting is tcp || ip proto 47

|| (vlan && (tcp || ip proto 47)).

When set to the default value all

non-TCP packets are filtered out and
not sent to Network Monitor. The
default value can be overridden using
the tcpdump filter format documented
in the tcpdump program. This setting
allows specialists to create more exact
filters (source and destination IPs for
given ports).

PacketCapture.INPUT_SOURCE_FILE /dummy.dmp The full path and name of the input

file.

PacketCapture.IS_ARCHIVING_PACKETS false DO NOT USE THIS FIELD. Diagnostic

setting that creates dumps of packets
captured in packetcapture for later
reuse. This feature is unsupported and
does not have normal error checking.
May cause repeated restarts on pcap.

PacketCapture.IS_ENDACE_ENABLED false To enable packet-capture using an

Endace card, set this value to true.

PacketCapture.IS_FTP_RETR_ENABLED false If true, FTP GETS and FTP PUTS are

processed. If false, only process FTP
PUTS are processed.

PacketCapture.IS_INPUT_SOURCE_FILE false If true, continually reads in packets

from a tcpdump formatted file
indicated in INPUT_SOURCE_FILE. Set
to dag when an Endace card is
installed.

PacketCapture.IS_NAPATECH_ENABLED false To enable packet-capture using a

Napatech card, set this value to true.
The default setting is false.
 Installing and managing detection servers 239
Advanced server settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

PacketCapture.KERNEL_BUFFER_SIZE_I686 64M For 32-bit Linux platforms, this setting

specifies the amount of memory
allocated to buffer network packets.
Specify K for kilobytes or M for
megabytes. Do not specify a value
larger than 128M.

PacketCapture.KERNEL_BUFFER_SIZE_Win32 16M For 32-bit Windows platforms, this

setting specifies the amount of
memory allocated to buffer network
packets. Specify K for kilobytes or M
for megabytes.

PacketCapture.KERNEL_BUFFER_SIZE_X64 64M For 64-bit Windows platforms, this

setting specifies the amount of
memory allocated to buffer network
packets. Specify K for kilobytes or M
for megabytes.

PacketCapture.KERNEL_BUFFER_SIZE_X86_64 64M For 64-bit Linux platforms, this setting

specifies the amount of memory
allocated to buffer network packets.
Specify K for kilobytes or M for
megabytes. Do not specify a value
larger than 64M.

PacketCapture.MAX_FILES_PER_DIRECTORY 30000 After the specified number of file

streams are processed a new directory
is created.

PacketCapture.MBYTES_LEFT_TO_DISABLE_CAPTURE 1000 If the amount of disk space (in MB) left

on the drop_pcap drive falls below this
specification, packet capture is
suspended. For example, if this number
is 100, pcap will stop writing out
drop_pcap files when there is less than
100 MB on the installed drive
240 Installing and managing detection servers
Advanced server settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

PacketCapture.MBYTES_REQUIRED_TO_RESTART_CAPTURE 1500 The amount of disk space (in MB)

needed on the drop_pcap drive before
packet capture resumes again after
stopping due to lack of space. For
example, if this value is 150 and packet
capture is suspended, packet capture
resumes when more than 150 MB is
available on the drop_pcap drive.

PacketCapture.NAPATECH_TOOLS_PATH This setting specifies the location of

the Napatech Tools directory. This
directory is not set by default. If
packet-capture is enabled for
Napatech, enter the fully qualified path
to the Napatech Tools installation
directory.

PacketCapture.NO_TRAFFIC_ALERT_PERIOD 86,400 The refresh time (in seconds), between

no traffic alert messages. No traffic
system events are created for a given
protocol based on this time period. For
instance, if this is set to 24*60*60
seconds, a new message is sent every
day that there is no new traffic for a
given protocol. Do not confuse with the
per protocol traffic timeout, that tells
us how long we initially go without
traffic before sending the first alert.

PacketCapture.NUMBER_BUFFER_POOL_PACKETS 600000 The number of standard sized

preallocated packet buffers used to
buffer and sort incoming traffic.

PacketCapture.NUMBER_JUMBO_POOL_PACKETS 1 The number of large sized preallocated

packet buffers that are used to buffer
and sort incoming traffic.

PacketCapture.NUMBER_SMALL_POOL_PACKETS 200000 The number of small sized preallocated

packet buffers that are used to buffer
and sort incoming traffic.
 Installing and managing detection servers 241
Advanced server settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

PacketCapture.RING_CAPTURE_LENGTH 1518 Controls the amount of packet data

that is captured. The default value of
1518 is sufficient to capture typical
Ethernet networks and Ethernet over
802.1Q tagged VLANs.

PacketCapture.RING_DEVICE_MEM 67108864 This setting is deprecated. Instead, use

the
PacketCapture.KERNEL_BUFFER_SIZE_I686
setting (for 32-bit Linux platforms) or
the
PacketCapture.KERNEL_BUFFER_SIZE_X86_64
setting (for 64-bit Linux platforms).

Specifies the amount of memory (in

bytes) to be allocated to buffer packets
per device. (The default of 67108864
is equivalent to 64MB.)

PacketCapture.SIZE_BUFFER_POOL_PACKETS 1540 The size of standard-sized buffer pool

packets.

PacketCapture.SIZE_JUMBO_POOL_PACKETS 10000 The size of jumbo-sized buffer pool

packets.

PacketCapture.SIZE_SMALL_POOL_PACKETS 150 The size of small-sized buffer pool

packets.

PacketCapture.SPOOL_DIRECTORY The directory in which to spool

streams with large numbers of packets.
This setting is user defined.

PacketCapture.STREAM_WRITE_TIMEOUT 5000 The time (in milliseconds) between

each count (StreamManager's write
timeout)

ProfileIndex.CheckAvailableRAM true Specifies whether or not the amount

of available RAM should be compared
with a profile size before loading an
EDM or IDM profile. Set to false for
single tier installations otherwise EDM
file may fail to index.
242 Installing and managing detection servers
Advanced server settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

ProfileIndex.MaximumInProcessIndexSize 100M Specifies an upper limit for the

maximum In Process index size.
Profiles that exceed this size are loaded
out of process by RMI.

ProfileIndex.MinimumMemoryReserve 200M Specifies the memory reserved for

out-of-process EDM and/or IDM
algorithm execution. It's used to
calculate the JVM heap size as
index_size +
MinumumMemoryReserve. Supported
by IDM since v7 and by EDM since v8.

ProfileIndex.ProcessTimeout 10000 The time interval (in milliseconds) for

launching out of process indexing. If
the process is not created within this
amount of time then index loading
fails.

RequestProcessor.AddDefaultHeader true If true, adds a default header to every

email processed (when in Inline SMTP
mode). The default header is
RequestProcessor.DefaultHeader. This
header is added to all messages that
pass through the system, i.e., if it is
redirected, if another header is added,
if the message has no policy violations
then the header is added.

RequestProcessor.AllowExtensions The default setting is: 8BITMIME

VRFY DSN HELP PIPELINING SIZE
ENHANCEDSTATUSCODES
STARTTLS

This setting lists the SMTP protocol

extensions that Network Prevent for
Email can use when it communicates
with other MTAs.
 Installing and managing detection servers 243
Advanced server settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

RequestProcessor.AllowHosts any The default value of any permits all

systems to make connections to the
Network Prevent for Email Server on
the SMTP service port. Replacing any
with the IP address or Fully-Qualified
Domain Name (FQDN) of one or more
systems restricts SMTP connections
to just those designated systems. To
designate multiple systems, separate
their addresses with commas. Use only
a comma to separate addresses; do not
include any spaces between the
addresses.

RequestProcessor.AllowUnauthenticatedConnections false The default value ensures that MTAs

must authenticate with Network
Prevent for Email for TLS
communication.

RequestProcessor.Backlog 12 The backlog that the request processor

specifies for the server socket listener.

Requestprocessor.BindAddress 0.0.0.0 IP address to which a Network Prevent

for Email Server listener binds. When
BindAddress is configured, the server
will only answer a connection to that
IP address. The default value of 0.0.0.0
is a wild card that permits listening to
all available addresses including
127.0.0.1.

Requestprocessor.DefaultCommandTimeout 300 Specifies the number of seconds the

Network Prevent for Email Server
waits for a response to an SMTP
command before closing connections
to the upstream and downstream
MTAs. The default is 300 seconds. This
setting does not apply to the "."
command (the end of a DATA
command). Do not modify the default
without first consulting Symantec
support.
244 Installing and managing detection servers
Advanced server settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

Requestprocessor.DefaultPassHeader The default setting is: X-C Filter-Loop:

Reflected.

This is the default header that will be

added if
RequestProcessor.AddDefaultPassHeader
is set to true, when in Inline SMTP
mode. Must be in a valid header
format, recommended to be an X
header.

Requestprocessor.DotCommandTimeout 600 Specifies the number of seconds the

Network Prevent for Email Server
waits for a response to the "."
command (the end of a DATA
command) before closing connections
to the upstream and downstream
MTAs. The default is 600 seconds. Do
not modify the default without first
consulting Symantec support.

RequestProcessor.ForwardConnectionTimeout 20000 The timeout value to use when

forwarding to an MTA.

RequestProcessor.KeyManagementAlgorithm SunX509 The key management algorithm used

in TLS communication.

RequestProcessor.MaxLineSize 1048576 The maximum size (in bytes) of data

lines expected from an external MTA.
If the data lines are larger than they
are broken down to this size.

RequestProcessor.Mode ESMTP Specifies the protocol mode to use

(SMTP or ESMTP).

RequestProcessor.MTAResubmitPort 10026 This is the port number used by the

request processor on the MTA to
resend the SMTP message.
 Installing and managing detection servers 245
Advanced server settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

RequestProcessor.NumberOfDNSAttempts 4 The maximum number of DNS queries

that Network Prevent for Email
performs when it attempts to obtain
mail exchange (MX) records for a
domain. Network Prevent for Email
uses this setting only if you have
enabled MX record lookups.

RequestProcessor.RPLTimeout 360000 The maximum time in milliseconds

allowed for email message processing
by a Prevent server. Any email
messages not processed during this
time interval are passed on by the
server.

RequestProcessor.ServerSocketPort 10025 The port number to be used by the

SMTP monitor to listen for incoming
connections from MTA.

RequestProcessor.TagHighestSeverity false When set to true, an additional email

header that reports the highest
severity of all the violated policies is
added to the message. For example, if
the email violated a policy of severity
HIGH and a policy of severity LOW, it
shows: X-DLP-MAX-Severity:HIGH.

RequestProcessor.TagPolicyCount. false When set to true an additional email

header reporting the total number of
policies that the message violates is
added to the message. For example, if
the message violates 3 policies a
header reading: X-DLP-Policy-Count:
3 is added.
246 Installing and managing detection servers
Advanced server settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

RequestProcessor.TagScore false When set to true an additional email

header reporting the total cumulative
score of all the policies that the
message violates is added to the
message. Scores are calculated using
the formula: High=4, Medium=3,
Low=2, and Info=1. For example, if a
message violates three policies, one
with a severity of medium and two with
a severity of low a header reading:
X-DLP-Score: 7 is added.

RequestProcessor.TrustManagementAlgorithm PKIX The trust management algorithm that

Network Prevent for Email uses when
it validates certificates for TLS
communication. You can optionally
specify a built-in Java trust manager
algorithm (such as SunX509 or
SunPKIX) or a custom algorithm that
you have developed.

RequestProcessorListener.ServerSocketPort 12355 The local TCP port that FileReader will

use to listen for connections from
RequestProcessor on a Network
Prevent server.

SocketCommunication.BufferSize 8K The size of the buffer that Network

Prevent for Web uses to process ICAP
requests. Increase the default value
only if you need to process ICAP
requests that are greater than 8K.
Certain features, such as Active
Directory authentication, may require
an increas in buffer size.

UnicodeNormalizer.AsianCharRanges default Can be used to override the default

definition of characters that are
considered Asian by the detection
engine. Must be either default, or a
comma-separated list of ranges, for
example: 11A80-11F9,3200-321E
 Installing and managing detection servers 247
Advanced agent settings

Table 11-8 Detection server advanced settings (continued)

Setting Default Description

UnicodeNormalizer.Enabled on Can be used to disable Unicode

normalization.

Enter off to disable.

UnicodeNormalizer.NewlineEliminationEnabled on Can be used to disable newline

elimination for Asian languages.

Enter off to disable.

See “About Symantec Data Loss Prevention administration” on page 55.

See “Advanced agent settings” on page 247.
See “About the System Overview screen” on page 210.
See “Server Detail screen” on page 213.
See “Server configuration—basic” on page 193.
See “Server controls” on page 192.

Advanced agent settings

The following settings affect only the Symantec DLP Agent. These settings should
not be modified without the assistance of Symantec Support. If you want to make
modifications to this server detail page, please contact Symantec Support before
making any changes.
Table 11-9 provides a list of server settings, along with the default value and
description of each setting.

Table 11-9 Agent advanced settings

Name of Setting Default values Description

AgentManagement.DISABLE_ENABLE_TASK_TIMEOUT_SECONDS.int 300 The amount of time, in

seconds, the Disable or Enable
agent troubleshooting task
waits before it sends the Agent
Requires Restart system
event.
248 Installing and managing detection servers
Advanced agent settings

Table 11-9 Agent advanced settings (continued)

Name of Setting Default values Description

AgentTamperProtection.ENABLE_AGENT_TAMPER_PROTECTION.int 7 This setting enables Tamper

Protection on the Symantec
Data Loss Prevention
Endpoint agent.

A setting of 0 disables all

Tamper Protection.

A setting of 1 prevents the

agent and the watchdog files
from being deleted or
modified.

A setting of 2 prevents the

agent and the watchdog
services from being stopped.

A setting of 4 prevents the

agent and the watchdog
services from being deleted
from the operating-system
registry.

A setting of 7 enables file,

service, and registry
protection.

AgentThreadPool.IDLE_TIME_IN_SECONDS.int 60 The maximum time a thread

can be inactive before it is
removed from the thread pool.
Threads are also known as
agent tasks.

AgentThreadPool.MAX_CAPACITY.int 20 The maximum number of

threads in the thread pool. The
threads can be either active or
inactive.

AgentThreadPool.MIN_CAPACITY.int 2 The minimum number of

threads that are allowed in the
thread pool. The thread pool
must always contain this
number of threads. The
threads can be either active or
inactive.

AggregatorCommunicator.ENABLE_ENDPOINT_DATAFLOW_CACHING.int 1 Reserved for future use.

 Installing and managing detection servers 249
Advanced agent settings

Table 11-9 Agent advanced settings (continued)

Name of Setting Default values Description

ApplicationConnector.KEY_LENGTH.int 64 The length of the key, in bytes,

that is used to obfuscate
communication between the
agent and the application
hooks.

ApplicationConnector.MAX_CONNECTIONS.int 255 The maximum number of

application hooks (per type of
hook) that can simultaneously
connect to the agent.

ApplicationConnector.TEMPORARY_DIRECTORY.str %TMP% The temporary location where

application hooks store
obfuscated content .

ComponentLoaderSettings.MAX_COMPONENT_SHUTDOWN_TIME.int 60000 The maximum amount of

time, in milliseconds, that the
agent waits for a component
to shut down.

ComponentLoaderSettings.PROCESS_PRIORITY.str NORMAL The priority level that dictates

what priority the Symantec
DLP Agent runs on the
endpoint computer.

CrashDump.ENABLE_CRASH_DUMP_COLLECTION.int 1 The setting that allows the

system to create a dump file
when the Symantec DLP Agent
crashes. Setting this value to
1 enables the crash dump file
to be created. Setting this
value to 0 disables the file.

CrashDump.MAX_DAYS_TO_KEEP_DUMP.int 2 The maximum time, in days,

that the crash dump file is
stored.

CrashDump.MAX_NUMBER_OF_FILES_IN_DUMP_FOLDER.int 1 The maximum number of files

to keep in the crash dump
folder.

Detection.CHUNK_OVERLAP.int 45 The number of characters

each chunk borrows from the
end of the previous chunk.
250 Installing and managing detection servers
Advanced agent settings

Table 11-9 Agent advanced settings (continued)

Name of Setting Default values Description

Detection.CHUNK_SIZE.int 65536 The text chunk size in bytes.

Detection.DAR_KVOOP_PRIORITY.str BELOW_NORMAL The priority of the external

kvoop process while it extracts
text for Endpoint Discover
scans.

Detection.DAR_THREAD_PRIORITY.str BELOW_NORMAL The priority of the detection

thread while it applies policies
to text for Endpoint Discover
scans.

Detection.ENABLE_METADATA.str off Allows detection on file

metadata when a user
attempts to transfer or print
a file. If the setting is turned
on, you can detect metadata
for Microsoft Office and PDF
files. For Microsoft Office files,
OLE metadata is supported,
which includes the fields Title,
Subject, Author, and
Keywords. For PDF files, only
Document Information
Dictionary metadata is
supported, which includes
fields such as Author, Title,
Subject, Creation, and Update
dates. Extensible Metadata
Platform (XMP) content is not
detected. Enabling this option
can cause false positives.

Detection.FILTER_TIMEOUT.int 420000 The time limit, in

milliseconds, for filtering text.

Detection.LOCAL_DRIVE_KVOOP_PRIORITY.str BELOW_NORMAL The priority of the external

kvoop process while it extracts
text for local drive events.

Detection.LOCAL_DRIVE_THREAD_PRIORITY.str BELOW_NORMAL The priority of the detection

thread while it applies policies
to text for local drive events.
 Installing and managing detection servers 251
Advanced agent settings

Table 11-9 Agent advanced settings (continued)

Name of Setting Default values Description

Detection.MARKUP_AS_TEXT.str off Stops the detection on any

text that has XML or HTML
tags associated with it. This
setting should be used in cases
such as Web 2.0 pages
containing data in the header
block or script blocks.

Detection.MAX_DETECTION_TIME.int 900000 The maximum amount of time

to complete endpoint
detection in milliseconds.

Detection.MAX_FILTER_FILE_SIZE.int 31457280 Maximum file size for text

filtering in bytes.

Detection.MAX_NUM_MATCHES.int 300 Maximum number of matches

for a given matcher.

Detection.MAX_QUEUE_SIZE.int 10000 The maximum number of

items that simultaneously wait
for detection.

Detection.NEWLINE_ELIMINATION.str on Sets whether newlines are

eliminated before detection.

Detection.RULESRESULTSCACHE_ENABLED.str on Rules results caching (RRC) is

a way to cache the results of
content on a Symantec DLP
Agent that does not violate a
policy.

See “About rules results

caching (RRC)” on page 1324.

By default, RRC is set to On. If

you do not want to use RRC,
set this parameter to Off.
252 Installing and managing detection servers
Advanced agent settings

Table 11-9 Agent advanced settings (continued)

Name of Setting Default values Description

Detection.RULESRESULTSCACHE_FAST_CACHE_SIZE.int 1024 The size of the rules results

caching first-level database,
the Level 1 database. Rules
results caching sends new
entries of recorded,
non-violating files to the Level
1 database. After the Level 1
database is full, entries are
flushed to the Level 2 database
to maintain the space of the
Level 1 database.

Detection.SHORT_DAR_DETECTION_TIME.int 2000 The amount of time, in

milliseconds, taken to detect
on a file before the file is
considered too large.

Detection.TRACKED.CHANGES.str off Allows the detection of

content that has changed over
time (Track Changes content)
in Microsoft Office documents.
Using this option might
reduce the accuracy rate for
IDM and data identifiers.

Detection.UNICODE_NORMALIZATION.str on Transforms the specific

characters to UNICODE before
detection. This transformation
is necessary for matching
policies containing data in
many Asian languages.

Discover.CRAWLER_THREAD_PRIORITY.str BELOW_NORMAL The priority of the Discover

threads while drives are
scanned.

Discover.POST_SCAN_REPORT_INTERVAL.int 60000 The interval of time, in

milliseconds, between two
Endpoint Discover status
reports. Occurs after the agent
has reached end of scan but
before the overall scan is
finished or aborted.
 Installing and managing detection servers 253
Advanced agent settings

Table 11-9 Agent advanced settings (continued)

Name of Setting Default values Description

Discover.SCAN_ONLY_WHEN_IDLE.int 2 Sets whether the agent

performs an Endpoint
Discover scan while the
endpoint user is idle.

If set to 1, the agent only

performs Endpoint Discover
scanning while the endpoint
user is idle.

If set to 2, the agent only scans

small files while the endpoint
computer is active and larger
files while the endpoint user
is idle. Files taking longer than
Detection.SHORT_DAR_DETECTION_TIME
seconds are considered large.

If set to 0, the scan runs

regardless of user activity.

Discover.SECONDS_UNTIL_IDLE.int 120 If the agent does not detect

any user activity in this
amount of time, in seconds,
the user is considered to be
idle. Very small amounts of
time, less than 60 seconds,
may not be precisely adhered
to.

Discover.STANDARD_REPORT_INTERVAL.int 60000 The interval of time between

two Endpoint Discover status
reports, in milliseconds, while
a scan is running.

FileService.MAX_CACHE_SIZE.int 250 The maximum number of

recently opened file paths that
have been recorded for each
endpoint computer process.
254 Installing and managing detection servers
Advanced agent settings

Table 11-9 Agent advanced settings (continued)

Name of Setting Default values Description

FileSystem.DRIVER_FILE_OPEN_REQUEST_TIMEOUT.int 10 Lets you configure the timeout

value, in seconds, for a file
open request that is sent from
a driver to the agent. This
setting is helpful in case the
file system connector is slow
in responding to the driver. If
the connection is slow, the
system performs badly. Each
file-open request is postponed
by the driver waiting for the
agent to respond. You cannot
leave this setting blank and a
value of 0 is not allowed.

FileSystem.ENABLE_FILE_RESTORATION.int 1 This setting provides the

ability to turn on or turn off
file restoration. File
restoration is the ability to
restore the original file in case
it is overwritten with a newer
file containing confidential
data. File restoration is
enabled by default.

FileSystem.ENABLE_VEP_FILE_ELIMINATION.int 1 When the setting is enabled,

the system does not create the
VEP file. Instead it runs
detection on the original file
and resolves any sharing
violations foe EDPA.exe and
KVOOP.exe, when needed. By
default, this setting is
disabled. To enable, set to 1.
Note: Enable this setting if
your environment does not
contain any of the following:

■ Data retention policies

■ Two-tier detection policies
■ Endpoint Discover or
Endpoint Prevent
encryption software
 Installing and managing detection servers 255
Advanced agent settings

Table 11-9 Agent advanced settings (continued)

Name of Setting Default values Description

FileSystem.NUM_TIMES_TO_OVERWRITE_FILE.int 2 This setting indicates how

many times a file is
overwritten with a secure
pattern before it is deleted
during prevention. A value of
0 indicates that the file cannot
be overwritten.

FileSystem.USE_CDDVD_DEFAULT_EXCLUDE_PATHS.int 1 This setting allows user to

exclude any file that is opened
by a CD/DVD application from
the following directories:

■ Installed directory of the

application, for example; if
the application is Roxio,
then c:\program files\roxio
■ System directories; for
example,
%windir%\system32
■ Program files\common
files.

It is enabled by default.

FlexResponse.MAX_INCIDENT_FILE_SIZE.int 31457280 Reserved for future use.

FlexResponse.PLUGIN_HOST_LOG_MAXFILE_SIZE.long 5120000 The maximum size of a plug-in

log file. The default number is
in bytes.

FlexResponse.PLUGIN_HOST_LOG_MAX_NUMBER_OF_FILES.long 1 The maximum number of

plug-in log files that can be
kept.

FlexResponse.PLUGIN_HOST_MESSAGE_TIMEOUT.long 180000 The amount of time that the

Plug-in Host can process
messages. The default time is
in milliseconds.
256 Installing and managing detection servers
Advanced agent settings

Table 11-9 Agent advanced settings (continued)

Name of Setting Default values Description

FlexResponse.PLUGIN_HOST_STARTUP_TIMEOUT.long 30000 The amount of time that the

Plug-in Host can take to start
up. The default time is in
milliseconds. If the Plug-in
Host does not start in the
specified amount of time, the
Plug-in Host sends a fail event
to the log.

GroupResolution.DAYS_DATA_STALING.int 7 The amount of time, in days,

that the agent retains Active
Directory (AD) user group
information. Information that
is older than this limit causes
the agent to contact the AD
server.

Hooking .APPLICATION_LOAD_TIMEOUT.int 300000 Specifies the time, in

milliseconds, that the agent
tries to hook into an
application if that application
takes a long time to load.

Hooking.EXPLORER_HOOKING.int 3 Allows the Symantec DLP

Agent to monitor Microsoft
Windows Explorer traffic.

Hooking .USE_LOADLIBRARYW_FROM_IMAGE.int 0 The method to find the

LoadLibraryW function
address. You can specify a
value of either 0 or 1.

0 uses the GetProcAddress API

to find the library.

1 reads the exports table of

kernel32.dll to find the library.
 Installing and managing detection servers 257
Advanced agent settings

Table 11-9 Agent advanced settings (continued)

Name of Setting Default values Description

IE8_HTTPS.Monitor.int 1 Sets Internet Explorer 8

HTTPS monitoring for
Symantec DLP Agents.
Internet Explorer 8 HTTPS
monitoring for the Symantec
DLP Agent is automatic.
Monitoring is turned on by
default. To turn off Internet
Explorer 8 monitoring, change
this setting to 0.

IncidentHandler.CACHE_SIZE_THRESHOLD.int 30 The percentage of used

endpoint database cache space
that triggers Endpoint
Discover to pause.

IncidentHandler.MAX_BACKOFF.int 3600000 Maximum time, in

milliseconds, to wait before it
retries to send an incident to
the server if the first attempt
fails.

IncidentHandler.MAX_INCIDENT_FILE_SIZE 31457280 Size, in bytes, of the largest

file to be sent from the agent
as part of an incident.

IncidentHandler.MAX_TTD_FILE_SIZE 31457280 Size, in bytes, of the largest

file to be sent from agent for
two-tier detection.

IncidentHandler.MIN_BACKOFF.int 30000 Minimum time, in

milliseconds, to wait before
the agent re-sends an incident
to the Endpoint Server after
the first attempt fails.

IncidentHandler.PERSISTER_MAX_DAR_ENTRIES.int 5 The maximum number of

persisted Endpoint Discover
incidents that are kept in
queue.

IncidentHandler.PERSISTER_MAX_ENTRIES.int 25 The maximum limit of

incidents in the Agent Store
before the agent starts
evicting incidents.
258 Installing and managing detection servers
Advanced agent settings

Table 11-9 Agent advanced settings (continued)

Name of Setting Default values Description

IncidentHandler.SENDER_CHUNK_SIZE.int 65536 Size, in bytes, of chunks to

read from the database as it
sends files.

Logging.OperationLogFileSize.long 5120000 The size of the operational log

file. This setting specifies how
large, in bytes, each
operational log can be. Logs
that exceed this setting are
not retained.

Logging.OperationLogMaxFiles.int 30 The maximum number of

operation logs, per scan, that
are retained at any one time.
If this number is exceeded,
operational log files are
purged from the folder until
the limit is reached. Log files
are purged according to the
date that they were created.
The oldest log files are purged
first. This setting is not
applicable to the entire
directory.

Logging.OperationLogTTL.int 90 The number of days that

operational logs are kept in
the directory. If the
operational log is not accessed
or modified in the specified
number of days, the file is
deleted.

MonitorSystemUsers.CLIPBOARD.int 0 Enables system user

monitoring for Clipboard
feature. Set to inactive by
default. Set to 1 to enable.

MonitorSystemUsers.LOCAL_DRIVE.int 0 Enables system user

monitoring for the local drive
feature. Set to inactive by
default. Set to 1 to enable.
 Installing and managing detection servers 259
Advanced agent settings

Table 11-9 Agent advanced settings (continued)

Name of Setting Default values Description

MonitorSystemUsers.NETWORK.int 0 Enables system user

monitoring for network
protocols in the driver (HTTP,
FTP). Set to inactive by
default. Set to 1 to enable.

MonitorSystemUsers.PRINT_FAX.int 0 Enables system user

monitoring for print/fax
feature. By default, this
feature is set to inactive. Set
to 1 to enable.

NetworkMonitor.ENABLE_HTTP_GET_MONITORING.int 0 Enables HTTP/HTTPS GET

request monitoring. By
default, this setting is
disabled. Set to 1 to enable.

NetworkMonitor.HTTP_DETECTION_TIMEOUT.int 120 The length of time, in seconds,

that the agent waits during a
scan of HTTP and HTTPS data.

NetworkMonitor.IM_DETECTION_SESSION_TIMEOUT.int 120 The duration, in seconds, of

the detection session window
for all instant messaging
clients.

PluginInstaller.TAMPERPROOFING_IGNORE_PROCESS_TIMEOUT.int 15000 Lets you specify a time, in

milliseconds, to ignore any
short-lived processes that do
not load plug-ins. If the
process ends before this time
limit is reached, the plug-in
installer does not start.

PostProcessor.ENABLE_FLEXRESPONSE.int 0 Lets you enable or disable

Endpoint FlexResponse
capability. By default,
Endpoint FlexResponse is
turned off. Change the setting
to 1 to enable Endpoint
FlexResponse.
260 Installing and managing detection servers
Advanced agent settings

Table 11-9 Agent advanced settings (continued)

Name of Setting Default values Description

PostProcessor.FILE_SYSTEM_USER_RESPONSE_TIMEOUT.int 60 The amount of time, in

seconds, that endpoint users
have to select a response
action to the User Cancel
pop-up notification. This
setting only applies to events
that are generated by
attempting to transfer files
that violate a policy.

PostProcessor.NETWORK_USER_RESPONSE_TIMEOUT.int 60 The amount of time, in

seconds, that endpoint users
have to select a response
action to the User Cancel
pop-up notification. This
setting applies to HTTP, FTP,
and IM events only.

PostProcessor.NOTIFY_ON_FIXED_DRIVE.int 0 Enables the response

notifications for fixed-drive
incidents. The default is set to
disable notifications. Set to 1
to enable.

PostProcessor.NOTIFY_WITH_CANCEL_DEFAULT_ACTION 1 The default action to take if an

endpoint user does not select
the action from the User
Cancel pop-up notification
within the specified time.

PostProcessor.OTHER_USER_RESPONSE_TIMEOUT 60 The amount of time, in

seconds, that endpoint users
have to select a response
action to the User Cancel
pop-up notification. This
setting applies to Clipboard,
Print, Email, HTTPS events
only.
 Installing and managing detection servers 261
Advanced agent settings

Table 11-9 Agent advanced settings (continued)

Name of Setting Default values Description

Quarantine.MAX_QUEUE_SIZE.int 100 The maximum number of

quarantine requests that can
be in queue at any one time.
Requests which exceed this
number are dropped and are
not quarantined.

ResponseCache.CD_TIMEOUT.int 2000 The amount of time, in

milliseconds, that a CD/DVD
incident is cached. Duplicate
incidents within this time
period are not generated or
cause Prevent pop-up
notifications.

ResponseCache.FTP_TIMEOUT.int 10000 The amount of time, in

milliseconds, that an FTP
incident is cached. Duplicate
incidents within this time
period are not generated or
cause Prevent pop-up
notifications.

ResponseCache.HTTP_TIMEOUT.int 2000 The amount of time, in

milliseconds, that an
HTTP/HTTPS incident is
cached. Duplicate incidents
within this time period are not
generated or cause Prevent
pop-up notifications.

ResponseCache.MAX_SIZE.int 100 The maximum number of

incidents that are cached at
any time.
262 Installing and managing detection servers
Advanced agent settings

Table 11-9 Agent advanced settings (continued)

Name of Setting Default values Description

SMP.AUTO_ENABLE.int 1 Automatically registers or

de-registers Symantec DLP
Agents with Symantec
Management Platform (SMP).
Change this setting if you do
not want Symantec DLP
Agents to be registered on
SMP.

A setting of 0 disables the

feature.

A setting of 1 enables the

feature and automatically
registers Symantec DLP
Agents with SMP.

A setting of 2 enables the

feature and automatically
de-registers Symantec DLP
Agents from SMP.

Make sure to set this

parameter to 0 if registration
or un-registration is carried
out by a registration utility or
an SMP registration policy.
Otherwise, the Symantec DLP
Agent automatically resets the
registration operation.

ServerCommunication.CONNECTION_INTERVAL_SECONDS.int 86400 Reserved for future use.

ServerCommunication.CONNECTION_RETRY_ATTEMPTS.int 10 Reserved for future use.

ServerCommunication.CONNECTION_RETRY_INTERVAL_SECONDS.int 10 Reserved for future use.

ServerCommunication.CONNECT_WHEN_IP_CHANGES.int 1 Reserved for future use.

ServerRedundancy.FAILOVER_INTERVAL.long 3600 Interval of time, in seconds,

an agent spends trying to
connect to an Endpoint Server
before it tries to failover to a
new Endpoint Server.
 Installing and managing detection servers 263
Advanced agent settings

Table 11-9 Agent advanced settings (continued)

Name of Setting Default values Description

ServerRedundancy.MAX_TIME_BETWEEN_CONNECTION_ATTEMPTS.long 600 Maximum amount of time, in

seconds, the agent waits
between connection retries to
the same Endpoint Server.

UI.BUTTON_OK.str OK Controls the text on the OK

button. Change this setting if
you use a locale that is not
supported. The default
language is English.

UI.BUTTON_OKTOALL.str OK To All Controls the text on the OK To

All button. Change this setting
if you use a locale that is not
supported. The default
language is English.

UI.CONSECUTIVE_TRANSACTION_TIME.str 10 Maximum time, in seconds,

between two file operations to
be considered as a single
transaction.

UI.MONITOR_MSG_TITLE.str The message title for a

notification pop-up message.

UI.MONITOR_TITLEBAR.str Warning Controls the static title

message in the title bar for the
Endpoint Notify notification
pop-up message. Change this
setting if you use a locale that
is not supported. The default
setting is Warning.

UI.NO_SCAN.int 0 If any number other than zero,

the scan dialog is not
displayed.

UI.NWC_EVENT_LIMIT_FS.int 5 The maximum number of

events that can be queued
before a default action for
further incidents is accepted.
This setting applies to File
System events only.
264 Installing and managing detection servers
Advanced agent settings

Table 11-9 Agent advanced settings (continued)

Name of Setting Default values Description

UI.NWC_EVENT_LIMIT_NW.int 2 The maximum number of

events that can be queued
before a default action for
further incidents is accepted.
This setting applies to
Network events only.

UI.POPUP_QUEUE_LIMIT.int 100 The limit of pop-up

notifications that a user sees
in a single session. These
pop-up notifications require a
user justification for the
validation. If the limit is
exceeded, any pop-up
notifications past the limit
automatically contain a Not
Applicable (N/A) justification.

UI.PREVENT_MSG_TITLE.str Message title for a block

pop-up message.

UI.PREVENT_TIMEOUT.int 300 Timeout value, in seconds,

before the incident is
generated. If this limit is
exceeded, the incident is
created regardless of what the
user chooses from the pop-up
window .

UI.PREVENT_TITLEBAR.str Blocked Controls the static title

message in the title bar for the
Endpoint block notification
pop-up dialog box.

UI.PREVENT_WINPOSITION.int 0 Start position of the Prevent

dialog window.

UI.QUARANTINE_PROMPT.str The file is quarantined Controls the text that specifies

at: where the quarantined data is
located.
 Installing and managing detection servers 265
Advanced agent settings

Table 11-9 Agent advanced settings (continued)

Name of Setting Default values Description

UI.SCAN_BAR.str (blank) This setting lets you change

the text in the body of the scan
window. This text is static and
appears regardless of the
locale of the endpoint
computer.

UI.SCAN_DELAY.int 0 The amount of time, in

seconds, that occurs before
the scan dialog window is
displayed.

UI.SCAN_EMAIL.int 0 This setting activates the

toggle for email scanning. If
this setting is set to 0, users
cannot select email
monitoring.

UI.SCAN_FTP.int 0 This setting activates the

toggle for FTP scanning. If this
setting is set to 0, users cannot
select FTP monitoring.

UI.SCAN_HTTP.int 0 This setting activates the

toggle for HTTP monitoring.
If this setting is set to 0, users
cannot select HTTP
monitoring.

UI.SCAN_IM.int 0 This setting activates the

toggle for instant message
(IM) scanning. If this setting
is set to 0, users cannot select
IM monitoring.

UI.SCAN_PRINTFAX.int 0 This setting activates the

toggle for Print/Fax scanning.
If this setting is set to 0, users
cannot select Print/Fax
monitoring.
266 Installing and managing detection servers
Advanced agent settings

Table 11-9 Agent advanced settings (continued)

Name of Setting Default values Description

UI.SCAN_REMOVABLEMEDIA.int 1 This setting activates the

toggle for removable media
scanning. If this setting is set
to 0, users do not have the
option of selecting removable
media monitoring.

UI.SCAN_SHOWTIME.int 2 Minimum time, in seconds, for

the scan dialog to remain on
the screen.

UI.SCAN_TITLE.str (blank) This setting lets you enter the

title of the scan window that
appears for the user. This title
is a static message that
appears regardless of the
locale of the endpoint
computer.

UI.USERINPUT_PROMPT.str Others: Controls the prompt that

appears in the block and notify
pop-up messages at the user
input field. Change this
prompt if you use a locale that
is not supported. The default
setting is in English.

UninstallPassword.RETRY_LIMIT.int 3 Defines the number of times a

user can attempt to uninstall
the Symantec Data Loss
Prevention agent without
entering the correct uninstall
password.
 Chapter 12
Managing log files
This chapter includes the following topics:

■ About log files

■ Log collection and configuration screen

■ Configuring server logging behavior

■ Collecting server logs and configuration files

■ About log event codes

About log files

Symantec Data Loss Prevention provides a number of different log files that record
information about the behavior of the software. Log files fall into these categories:
■ Operational log files record detailed information about the tasks the software
performs and any errors that occur while the software performs those tasks.
You can use the contents of operational log files to verify that the software
functions as you expect it to. You can also use these files to troubleshoot any
problems in the way the software integrates with other components of your
system.
For example, you can use operational log files to verify that a Network Prevent
for Email Server communicates with a specific MTA on your network.
See “Operational log files” on page 268.
■ Debug log files record fine-grained technical details about the individual
processes or software components that comprise Symantec Data Loss
Prevention. The contents of debug log files are not intended for use in
diagnosing system configuration errors or in verifying expected software
functionality. You do not need to examine debug log files to administer or
maintain an Symantec Data Loss Prevention installation. However, Symantec
268 Managing log files
About log files

Support may ask you to provide debug log files for further analysis when you
report a problem. Some debug log files are not created by default. Symantec
Support can explain how to configure the software to create the file if
necessary.
See “Debug log files” on page 271.
■ Installation log files record information about the Symantec Data Loss
Prevention installation tasks that are performed on a particular computer.
You can use these log files to verify an installation or troubleshoot installation
errors. Installation log files reside in the following locations:
■ installdir\SymantecDLP\.install4j\installation.log stores the
installation log for Symantec Data Loss Prevention.
■ installdir\oracle_home\admin\protect\ stores the installation log for
Oracle.
See the Symantec Data Loss Prevention Installation Guide for more information.

Operational log files

The Enforce Server and the detection servers store operational log files in the
\SymantecDLP\Protect\logs\ directory on Windows installations and in the
/var/log/SymantecDLP/ directory on Linux installations. A number at the end
of the log file name indicates the count (shown as 0 in Table 12-1).
Table 12-1 lists and describes the Symantec Data Loss Prevention operational log
files.

Table 12-1 Operational log files

Log file name Description Server

agentmanagement_webservices_access_0.log Logs successful and failed attempts Enforce Server

to access the Agent Management
API Web service.

agentmanagement_webservices_soap_0.log Logs the entire SOAP request and Enforce Server

response for most requests to the
Agent Management API Web
Service.
 Managing log files 269
About log files

Table 12-1 Operational log files (continued)

Log file name Description Server

boxmonitor_operational_0.log The BoxMonitor process oversees All detection servers

the detection server processes that
pertain to that particular server
type.

For example, the processes that

run on Network Monitor are file
reader and packet capture.

The BoxMonitor log file is

typically very small, and it shows
how the application processes are
running.

Classification_Operational_0.log Logs the state of the Classification Classification

Detection Server, the Web Detection Server
container, and requests.

detection_operational_0.log The detection operation log file All detection servers

provides details about how the
detection server configuration and
whether it is operating correctly.

detection_operational_trace_0.log The detection trace log file All detection servers

provides details about each
message that the detection server
processes. The log file includes
information such as:

■ The policies that were applied

to the message
■ The policy rules that were
matched in the message
■ The number of incidents the
message generated.

machinelearning_training_operational_0.log This log records information about Enforce Server

the tasks, logs, and configuration
files called on startup of the VML
training process.
270 Managing log files
About log files

Table 12-1 Operational log files (continued)

Log file name Description Server

manager_operational_0.log. Logs information about the Enforce Server

Symantec Data Loss Prevention
manager process, which
implements the Enforce Server
administration console user
interface.

monitorcontroller_operational_0.log Records a detailed log of the Enforce Server

connections between the Enforce
Server and all detection servers. It
provides details about the
information that is exchanged
between these servers including
whether policies have been pushed
to the detection servers or not.

SmtpPrevent_operational0.log This operational log file pertains SMTP Prevent

to SMTP Prevent only. It is the detection servers
primary log for tracking the health
and activity of a Network Prevent
for Email system. Examine this file
for information about the
communication between the MTAs
and the detection server.

spc_webservices_access_0.log Logs Web Service calls from the Enforce Server

SPC server.

spc_webservices_soap_0.log Logs detailed Web Service SOAP Enforce Server

messages exchanged between the
Enforce Server and the Symantec
Protection Console server.

WebPrevent_Access0.log This access log file contains ■ Network Prevent

information about the requests for Web
that are processed by Network and detection servers
Mobile Prevent for Web detection ■ Mobile Prevent
servers. It is similar to Web access for Web
logs for a proxy server. detection servers
 Managing log files 271
About log files

Table 12-1 Operational log files (continued)

Log file name Description Server

WebPrevent_Operational0.log This operational log file reports on ■ Network Prevent

the operating condition of Network for Web
and Mobile Prevent for Web, such detection servers
as whether the system is up or ■ Mobile Prevent
down and connection management. for Web
detection servers

webservices_access_0.log This log file records successful and Enforce Server

failed attempts to access the
Incident Reporting and Update
Web Service.

webservices_soap_0.log Contains the entire SOAP request Enforce Server

and response for most requests to
the Reporting API Web Service.
This log records all requests and
responses except responses to
incident binary requests. This log
file is not created by default. See
the Symantec Data Loss Prevention
Incident Reporting and Update API
Developers Guide for more
information.

See “Network and Mobile Prevent for Web operational log files and event codes”
on page 286.
See “Network and Mobile Prevent for Web access log files and fields” on page 288.
See “Network Prevent for Email log levels” on page 291.
See “Network Prevent for Email operational log codes” on page 291.
See “Network Prevent for Email originated responses and codes” on page 295.

Debug log files

The Enforce Server and the detection servers store debug log files in the
\SymantecDLP\Protect\logs\ directory on Windows installations and in the
/var/log/SymantecDLP/ directory on Linux installations. A number at the end
of the log file name indicates the count (shown as 0 in debug log files).
The following table lists and describes the Symantec Data Loss Prevention debug
log files.
272 Managing log files
About log files

Table 12-2 Debug log files

Log file name Description Server

Aggregator0.log This file describes communications between the Endpoint

detection server and the agents. detection
servers
Look at this log to troubleshoot the following
problems:

■ Connection to the agents

■ To find out why incidents do not appear when
they should
■ If unexpected agent events occur

BoxMonitor0.log This file is typically very small, and it shows how All
the application processes are running. The detection
BoxMonitor process oversees the detection server servers
processes that pertain to that particular server type.

For example, the processes that run on Network

Monitor are file reader and packet capture.

ContentExtractionAPI_FileReader.log Logs the behavior of the Content Extraction API file Detection
reader that sends requests to the plug-in host. The Server
default logging level is "info" which is configurable
using \Protect\config\log4cxx_config_filereader.xml.

ContentExtractionAPI_Manager.log Logs the behavior of the Content Extraction API Enforce

manager that sends requests to the plug-in host. Server
The default logging level is "info" which is
configurable using
\Protect\config\log4cxx_config_manager.xml.

ContentExtractionHost_FileReader.log Logs the behavior of the Content Extraction File Detection

Reader hosts and plug-ins. The default logging level Server
is "info" which is configurable using
\Protect\config\log4cxx_config_filereader.xml.

ContentExtractionHost_Manager.log Logs the behavior of the Content Extraction Manager Enforce

hosts and plug-ins. The default logging level is "info" Server
which is configurable using
\Protect\config\log4cxx_config_manager.xml.

DiscoverNative.log.0 Contains the log statements that the Network Discover

Discover native code emits. Currently contains the detection
information that is related to .pst scanning. This servers
log file applies only to the Network Discover Servers
that run on Windows platforms.
 Managing log files 273
About log files

Table 12-2 Debug log files (continued)

Log file name Description Server

FileReader0.log This log file pertains to the file reader process and All
contains application-specific logging, which may be detection
helpful in resolving issues in detection and incident servers
creation. One symptom that shows up is content
extractor timeouts.

flash_client_0.log Logs messages from the Adobe Flex client used for Enforce
folder risk reports by Network Discover. Server

flash_server_remoting_0.log Contains log messages from BlazeDS, an open-source Enforce

component that responds to remote procedure calls Server
from an Adobe Flex client. This log indicates
whether the Enforce Server has received messages
from the Flash client. At permissive log levels (FINE,
FINER, FINEST), the BlazeDS logs contain the
content of the client requests to the server and the
content of the server responses to the client

IncidentPersister0.log This log file pertains to the Incident Persister Enforce

process. This process reads incidents from the Server
incidents folder on the Enforce Server, and writes
them to the database. Look at this log if the incident
queue on the Enforce Server (manager) grows too
large. This situation can be observed also by
checking the incidents folder on the Enforce Server
to see if incidents have backed up.

Indexer0.log This log file contains information when an EDM Enforce

profile or IDM profile is indexed. It also includes the Server
information that is collected when the external (or
indexer is used. If indexing fails then this log should computer
be consulted. where
the
external
indexer
is
running)

jdbc.log This log file is a trace of JDBC calls to the database. Enforce
By default, writing to this log is turned off. Server
274 Managing log files
About log files

Table 12-2 Debug log files (continued)

Log file name Description Server

machinelearning_native_filereader.log This log file records the runtime category Detection

classification (positive and negative) and associated Server
confidence levels for each message detected by a
VML profile. The default logging level is "info" which
is configurable using
\Protect\config\log4cxx_config_filereader.xml.

machinelearning_training_0_0.log This log file records the design-time base accuracy Enforce
percentages for the k-fold evaluations for all VML Server
profiles.

machinelearning_training_native_manager.log This log file records the total number of features Enforce
modeled at design-time for each VML profile Server
training run. The default logging level is "info"
which is configurable using
\Protect\config\log4cxx_config_manager.xml.

MonitorController0.log This log file is a detailed log of the connections Enforce

between the Enforce Server and the detection Server
servers. It gives details around the information that
is exchanged between these servers including
whether policies have been pushed to the detection
servers or not.

PacketCapture.log This log file pertains to the packet capture process Network
that reassembles packets into messages and writes Monitor
to the drop_pcap directory. Look at this log if there
is a problem with dropped packets or traffic is lower
than expected. PacketCapture is not a Java
process, so it does not follow the same logging rules
as the other Symantec Data Loss Prevention system
processes.

PacketCapture0.log This log file describes issues with PacketCapture Network

communications. Monitor

RequestProcessor0.log This log file pertains to SMTP Prevent only. The log SMTP
file is primarily for use in cases where Prevent
SmtpPrevent0.log is not sufficient. detection
servers
 Managing log files 275
About log files

Table 12-2 Debug log files (continued)

Log file name Description Server

ScanDetail-target-0.log Where target is the name of the scan target. All white Discover
spaces in the target's name are replaced with detection
hyphens. This log file pertains to Discover server servers
scanning. It is a file by file record of what happened
in the scan. If the scan of the file is successful, it
reads success, and then the path, size, time, owner,
and ACL information of the file scanned. If it failed,
a warning appears followed by the file name.

tomcat\localhost.date.log These Tomcat log files contain information for any Enforce
action that involves the user interface. The logs Server
include the user interface errors from red error
message box, password failures when logging on,
and Oracle errors (ORA –#).

VontuIncidentPersister.log This log file contains minimal information: stdout Enforce

and stderr only (fatal events). Server

VontuManager.log This log file contains minimal information: stdout Enforce

and stderr only (fatal events). Server

VontuMonitor.log This log file contains minimal information: stdout All

and stderr only (fatal events). detection
servers

VontuMonitorController.log This log file contains minimal information: stdout Enforce

and stderr only (fatal events). Server

VontuNotifier.log This log file pertains to the Notifier service and its Enforce
communications with the Enforce Server and the Server
MonitorController service. Look at this file to
see if the MonitorController service registered
a policy change.

VontuUpdate.log This log file is populated when you update Symantec Enforce
Data Loss Prevention. Server

See “Network and Mobile Prevent for Web protocol debug log files” on page 290.
See “Network Prevent for Email log levels” on page 291.
276 Managing log files
Log collection and configuration screen

Log collection and configuration screen

Use the Logs screen (System > Servers > Logs) to collect log files or to configure
logging behavior for any Symantec Data Loss Prevention server. The Logs screen
contains two tabs that provide the following features:
■ Collection—Use this tab to collect log files and configuration files from one
or more Symantec Data Loss Prevention servers.
See “Collecting server logs and configuration files” on page 281.
■ Configuration—Use this tab to configure basic logging behavior for a Symantec
Data Loss Prevention server, or to apply a custom log configuration file to a
server.
See “Configuring server logging behavior” on page 276.
See “About log files” on page 267.

Configuring server logging behavior

Use the Configuration tab of the Logs screen (System > Servers > Logs) to change
logging configuration parameters for any server in the Symantec Data Loss
Prevention deployment. The Select a Diagnostic Log Setting menu provides
preconfigured settings for Enforce Server and detection server logging parameters.
You can select an available preconfigured setting to define common log levels or
to enable logging for common server features. The Select a Diagnostic Log Setting
menu also provides a default setting that returns logging configuration parameters
to the default settings used at installation time.
Table 12-3 describes the preconfigured log settings available for the Enforce
Server. Table 12-4 describes the preconfigured settings available for detection
servers.
Optionally, you can upload a custom log configuration file that you have created
or modified using a text editor. (Use the Collection tab to download a log
configuration file that you want to customize.) You can upload only those
configuration files that modify logging properties (file names that end with
Logging.properties). When you upload a new log configuration file to a server,
the server first backs up the existing configuration file of the same name. The
new file is then copied into the configuration file directory and its properties are
applied immediately.
You do not need to restart the server process for the changes to take effect, unless
you are directed to do so. As of the current software release, only changes to the
PacketCaptureNativeLogging.properties and
 Managing log files 277
Configuring server logging behavior

DiscoverNativeLogging.properties files require you to restart the server

process.
See “Server controls” on page 192.
Make sure that the configuration file that you upload contains valid property
definitions that are applicable to the type of server you want to configure. If you
make a mistake when uploading a log configuration file, use the preconfigured
Restore Defaults setting to revert the log configuration to its original installed
state.
The Enforce Server administration console performs only minimal validation of
the log configuration files that you upload. It ensures that:
■ Configuration file names correspond to actual logging configuration file names.
■ Root level logging is enabled in the configuration file. This configuration
ensures that some basic logging functionality is always available for a server.
■ Properties in the file that define logging levels contain only valid values (such
as INFO, FINE, or WARNING).
If the server detects a problem with any of these items, it displays an error message
and cancels the file upload.
If the Enforce Server successfully uploads a log configuration file change to a
detection server, the administration console reports that the configuration change
was submitted. If the detection server then encounters any problems when tries
to apply the configuration change, it logs a system event warning to indicate the
problem.

Table 12-3 Preconfigured log settings for the Enforce Server

Select a Diagnostic Log Setting value Description

Restore Defaults Restores log file parameters to their default values.

Reporting API SOAP Logging Logs the entire SOAP request and response message for
most requests to the Reporting API Web Service. The
logged messages are stored in the
webservices_soap.log file, which is not created by
default with new installations.

You can use the contents of webservices_soap.log

to diagnose problems when developing Reporting API
Web Service clients. See the Symantec Data Loss
Prevention Reporting API Developers Guide for more
information.
278 Managing log files
Configuring server logging behavior

Table 12-3 Preconfigured log settings for the Enforce Server (continued)

Select a Diagnostic Log Setting value Description

Custom Attribute Lookup Logging Logs diagnostic information each time the Enforce Server
uses a lookup plug-in to populate custom attributes for
an incident. Lookup plug-ins populate custom attribute
data using LDAP, CSV files, or other data repositories.
The diagnostic information is recorded in the Tomcat log
file
(c:\SymantecDLP\logs\tomcat\localhost.date.log)
and the IncidentPersister_0.log file.

See “About custom attributes” on page 1004.

See “About using custom attributes” on page 1006.

Table 12-4 Preconfigured log settings for detection servers

Select a Diagnostic Log Setting Detection server uses Description

value

Restore Defaults All detection servers Restores log file parameters to their
default values.

Discover Trace Logging Network Discover Servers Enables informational logging for
Network Discover scans. These log
messages are stored in
FileReader0.log.
 Managing log files 279
Configuring server logging behavior

Table 12-4 Preconfigured log settings for detection servers (continued)

Select a Diagnostic Log Setting Detection server uses Description

value

Detection Trace Logging All detection servers Logs information about each message
that the detection server processes.
This includes information such as:

■ The policies that were applied to

the message
■ The policy rules that were
matched in the message
■ The number of incidents that the
message generated.

When you enable Detection Trace

Logging, the resulting messages are
stored in the
detection_operational_trace_0.log
file.
Note: Trace logging can produce a
large amount of data, and the data is
stored in clear text format. Use trace
logging only when you need to debug
a specific problem.

Packet Capture Debug Logging Network Monitor Servers Enables basic debug logging for
packet capture with Network Monitor.
This setting logs information in the
PacketCapture.log file.

While this type of logging can

produce a large amount of data, the
Packet Capture Debug Logging
setting limits the log file size to 50 MB
and the maximum number of log files
to 10.

If you apply this log configuration

setting to a server, you must restart
the server process to enable the
change.
280 Managing log files
Configuring server logging behavior

Table 12-4 Preconfigured log settings for detection servers (continued)

Select a Diagnostic Log Setting Detection server uses Description

value

Email Prevent Logging Network Prevent for Email servers Enables full message logging for
Network Prevent for Email servers.
This setting logs the complete
message content and includes
execution and error tracing
information. Logged information is
stored in the SmtpPrevent0.log
file.
Note: Trace logging can produce a
large amount of data, and the data is
stored in clear text format. Use trace
logging only when you need to debug
a specific problem.

See “Network Prevent for Email

operational log codes” on page 291.

See “Network Prevent for Email

originated responses and codes”
on page 295.

ICAP Prevent Message Processing Network Prevent for Web servers Enables operational and access
Logging logging for Network Prevent for Web.
This setting logs information in the
FileReader0.log file.

See “Network and Mobile Prevent for

Web operational log files and event
codes” on page 286.

See “Network and Mobile Prevent for

Web access log files and fields”
on page 288.

Follow this procedure to change the log configuration for a Symantec Data Loss
Prevention server.
To configure logging properties for a server
1 Click the Configuration tab if it is not already selected.
2 If you want to configure logging properties for a detection server, select the
server name from the Select a Detection Server menu.
 Managing log files 281
Collecting server logs and configuration files

3 If you want to apply preconfigured log settings to a server, select the

configuration name from the Select a Diagnostic Configuration menu next
to the server you want to configure.
See Table 12-3 and Table 12-4 for a description of the diagnostic
configurations.
4 If you instead want to use a customized log configuration file, click Browse...
next to the server you want to configure. Then select the logging configuration
file to use from the File Upload dialog, and click Open. You upload only
logging configuration files, and not configuration files that affect other server
features.

Note: If the Browse button is unavailable because of a previous menu selection,

click Clear Form.

5 Click Configure Logs to apply the preconfigured setting or custom log

configuration file to the selected server.
6 Check for any system event warnings that indicate a problem in applying
configuration changes on a server.
See “Log collection and configuration screen” on page 276.

Note: The following debug log files are configured manually outside of the logging
framework available through the Enforce Server administration console:
ContentExtractionAPI_FileReader.log, ContentExtractionAPI_Manager.log,
ContentExtractionHost_FileReader.log, ContentExtractionHost_Manager.log,
machinelearning_native_filereader.log, and
machinelearning_training_native_manager.log. Refer to the entry for each
of these log files in debug log file list for configuration details. See “Debug log
files” on page 271.

Collecting server logs and configuration files

Use the Collection tab of the Logs screen (System > Servers > Logs) to collect log
files and configuration files from one or more Symantec Data Loss Prevention
servers. You can collect files from a single detection server or from all detection
servers, as well as from the Enforce Server computer. You can limit the collected
files to only those files that were last updated in a specified range of dates.
The Enforce Server administration console stores all log and configuration files
that you collect in a single ZIP file on the Enforce Server computer. If you retrieve
282 Managing log files
Collecting server logs and configuration files

files from multiple Symantec Data Loss Prevention servers, each server's files are
stored in a separate subdirectory of the ZIP file.
Checkboxes on the Collection tab enable you to collect different types of files
from the selected servers. Table 12-5 describes each type of file.

Table 12-5 File types for collection

File type Description

Operational Logs Operational log files record detailed information about

the tasks the software performs and any errors that occur
while the software performs those tasks. You can use the
contents of operational log files to verify that the software
functions as you expect it to. You can also use these files
to troubleshoot any problems in the way the software
integrates with other components of your system.

For example, you can use operational log files to verify

that a Network Prevent for Email Server communicates
with a specific MTA on your network.

Debug and Trace Logs Debug log files record fine-grained technical details about
the individual processes or software components that
comprise Symantec Data Loss Prevention. The contents
of debug log files are not intended for use in diagnosing
system configuration errors or in verifying expected
software functionality. You do not need to examine debug
log files to administer or maintain an Symantec Data Loss
Prevention installation. However, Symantec Support may
ask you to provide debug log files for further analysis
when you report a problem. Some debug log files are not
created by default. Symantec Support can explain how
to configure the software to create the file if necessary.
 Managing log files 283
Collecting server logs and configuration files

Table 12-5 File types for collection (continued)

File type Description

Configuration Files Use the Configuration Files option to retrieve both

logging configuration files and server feature
configuration files.

Logging configuration files define the overall level of

logging detail that is recorded in server log files. Logging
configuration files also determine whether specific
features or subsystem events are recorded to log files.

For example, by default the Enforce console does not log

SOAP messages that are generated from Reporting API
Web service clients. The ManagerLogging.properties
file contains a property that enables logging for SOAP
messages.

You can modify many common logging configuration

properties by using the presets that are available on the
Configuration tab.

If you want to update a logging configuration file by hand,

use the Configuration Files checkbox to download the
configuration files for a server. You can modify individual
logging properties using a text editor and then use the
Configuration tab to upload the modified file to the
server.

See “Configuring server logging behavior” on page 276.

The Configuration Files option retrieves the active

logging configuration files and also any backup log
configuration files that were created when you used the
Configuration tab. This option also retrieves server
feature configuration files. Server feature configuration
files affect many different aspects of server behavior,
such as the location of a syslog server or the
communication settings of the server. You can collect
these configuration files to help diagnose problems or
verify server settings. However, you cannot use the
Configuration tab to change server feature configuration
files. You can only use the tab to change logging
configuration files.
284 Managing log files
Collecting server logs and configuration files

Table 12-5 File types for collection (continued)

File type Description

Agent Logs Use the Agent Logs option to collect DLP agent service
and operational log files from an Endpoint Prevent
detection server. This option is available only for
Endpoint Prevent servers. To collect agent logs using this
option, you must have already pulled the log files from
individual agents to the Endpoint Prevent detection server
using a Pull Logs action.

Use the agent overview screen to select individual agents

and pull selected log files to the Endpoint Prevent
detection server. Then use the Agent Logs option on this
page to collect the log files.

When the logs are pulled from the endpoint computer,

they are stored on the Endpoint Server in an unencrypted
format. After you collect the logs from the Endpoint
Server, the logs are deleted from the Endpoint Server and
are stored only on the Enforce Server. You can only collect
logs from one endpoint computer at a time.

See “Agent overview actions” on page 1390.

Operational, debug, trace log files are stored in the server_identifier/logs

subdirectory of the ZIP file. server_identifier identifies the server that generated
the log files, and it corresponds to one of the following values:
■ If you collect log files from the Enforce Server, Symantec Data Loss Prevention
replaces server_identifier with the string Enforce. Note that Symantec Data
Loss Prevention does not use the localized name of the Enforce Server.
■ If a detection server’s name includes only ASCII characters, Symantec Data
Loss Prevention uses the detection server name for the server_identifier value.
■ If a detection server’s name contains non-ASCII characters, Symantec Data
Loss Prevention uses the string DetectionServer-ID-id_number for the
server_identifier value. id_number is a unique identification number for the
detection server.
If you collect agent service log files or operational log files from an Endpoint
Prevent server, the files are placed in the server_identifier/agentlogs
subdirectory. Each agent log file uses the individual agent name as the log file
prefix.
Follow this procedure to collect log files and log configuration files from Symantec
Data Loss Prevention servers.
 Managing log files 285
About log event codes

To collect log files from one or more servers

1 Click the Collection tab if it is not already selected.
2 Use the Date Range menu to select a range of dates for the files you want to
collect. Note that the collection process does not truncate downloaded log
files in any way. The date range limits collected files to those files that were
last updated in the specified range.
3 To collect log files from the Enforce Server, select one or more of the
checkboxes next to the Enforce Server entry to indicate the type of files you
want to collect.
4 To collect log files from one or all detection servers, use the Select a Detection
Server menu to select either the name of a detection server or the Collect
Logs from All Detection Servers option. Then select one or more of the
checkboxes next to the menu to indicate the type of files you want to collect.
5 Click Collect Logs to begin the log collection process.
The administration console adds a new entry for the log collection process
in the Previous Log Collections list at the bottom of the screen. If you are
retrieving many log files, you may need to refresh the screen periodically to
determine when the log collection process has completed.

Note: You can run only one log collection process at a time.

6 To cancel an active log collection process, click Cancel next to the log
collection entry. You may need to cancel log collection if one or more servers
are offline and the collection process cannot complete. When you cancel the
log collection, the ZIP file contains only those files that were successfully
collected.
7 To download collected logs to your local computer, click Download next to
the log collection entry.
8 To remove ZIP files stored on the Enforce Server, click Delete next to a log
collection entry.
See “Log collection and configuration screen” on page 276.
See “About log files” on page 267.

About log event codes

Operational log file messages are formatted to closely match industry standards
for the various protocols involved. These log messages contain event codes that
286 Managing log files
About log event codes

describe the specific task that the software was trying to perform when the
message was recorded. Log messages are generally formatted as:

Timestamp [Log Level] (Event Code) Event description [event parameters]

■ See “Network and Mobile Prevent for Web operational log files and event
codes” on page 286.
■ See “Network Prevent for Email operational log codes” on page 291.
■ See “Network Prevent for Email originated responses and codes” on page 295.

Network and Mobile Prevent for Web operational log files and event
codes
Network and Mobile Prevent for Web log file names use the format of
WebPrevent_OperationalX.log (where X is a number). The number of files that
are stored and their sizes can be specified by changing the values in the
FileReaderLogging.properties file. This file is in the
SymantecDLP\Protect\config directory. By default, the values are:

■ com.vontu.icap.log.IcapOperationalLogHandler.limit = 5000000
■ com.vontu.icap.log.IcapOperationalLogHandler.count = 5
Table 12-6 lists the Network and Mobile Prevent for Web-defined operational
logging codes by category. The italicized part of the text contains event parameters.

Table 12-6 Status codes for Network and Mobile Prevent for Web operational
logs

Code Text and Description

Operational Events

1100 Starting Mobile Prevent for Web

1101 Shutting down Mobile Prevent for Web

Connectivity Events
 Managing log files 287
About log event codes

Table 12-6 Status codes for Network and Mobile Prevent for Web operational
logs (continued)

Code Text and Description

1200 Listening for incoming connections at

icap_bind_address:icap_bind_port

Where:

■ icap_bind_address is the Network and Mobile Prevent for Web bind address
to which the server listens. This address is specified with the Icap.BindAddress
Advanced Setting.
■ icap_bind_port is the port at which the server listens. This port is set in the
Server > Configure page.

1201 Connection (id=conn_id) opened from

host(icap_client_ip:icap_client_port)

Where:

■ conn_id is the connection ID that is allocated to this connection. This ID can

be helpful in doing correlations between multiple logs.
■ icap_client_ip and icap_client_port are the proxy's IP address and port from
which the connect operation to Network and Mobile Prevent for Web was
performed.

1202 Connection (id=conn_id) closed (close_reason)

Where:

■ conn_id is the connection ID that is allocated to the connect operation.

■ close_reason provides the reason for closing the connection.

1203 Connection states: REQMOD=N, RESPMOD=N,

OPTIONS=N, OTHERS=N

Where N indicates the number of connections in each state, when the message
was logged.

This message provides the system state in terms of connection management. It

is logged whenever a connection is opened or closed.

Connectivity Errors
288 Managing log files
About log event codes

Table 12-6 Status codes for Network and Mobile Prevent for Web operational
logs (continued)

Code Text and Description

5200 Failed to create listener at icap_bind_address:icap_bind_port

Where:

■ icap_bind_address is the Network and Mobile Prevent for Web bind address
to which the server listens. This address can be specified with the
Icap.BindAddress Advanced Setting.
■ icap_bind_port is the port at which the server listens. This port is set on the
Server > Configure page.

5201 Connection was rejected from unauthorized host (host_ip:port)

Where host_ip and port are the proxy system IP and port address from which a
connect attempt to Network and Mobile Prevent for Web was performed. If the
host is not listed in the Icap.AllowHosts Advanced setting, it is unable to form a
connection.

See “About log files” on page 267.

Network and Mobile Prevent for Web access log files and fields
Network and Mobile Prevent for Web log file names use the format of
WebPrevent_AccessX.log (where X is a number). The number of files that are
stored and their sizes can be specified by changing the values in the
FileReaderLogging.properties file. By default, the values are:
■ com.vontu.icap.log.IcapAccessLogHandler.limit = 5000000
■ com.vontu.icap.log.IcapAccessLogHandler.count = 5
A Network and Mobile Prevent for Web access log is similar to a proxy server’s
Web access log. The “start” log message format is:

# Web Prevent starting: start_time

Where start_time format is date:time, for example:

13/Aug/2008:03:11:22:015-0700.

The description message format is:

# host_ip "auth_user" time_stamp "request_line" icap_status_code

request_size "referer" "user_agent" processing_time(ms) conn_id client_ip
client_port action_code icap_method_code traffic_source_code
 Managing log files 289
About log event codes

Table 12-7 lists the fields. The values of fields that are enclosed in quotes in this
example are quoted in an actual message. If field values cannot be determined,
the message displays - or "" as a default value.

Table 12-7 Network and Mobile Prevent for Web access log fields

Fields Explanation

host_ip IP address of the host that made the request.

auth_user Authorized user for this request.

time_stamp Time that Network and Mobile Prevent receives the request.

request_line Line that represents the request.

icap_status_code ICAP response code that Network and Mobile Prevent sends by
for this request.

request_size Request size in bytes.

referrer Header value from the request that contains the URI from which
this request came.

user_agent User agent that is associated with the request.

processing_time Request processing time in milliseconds. This value is the total

(milliseconds) of the receiving, content inspection, and sending times.

conn_id Connection ID associated with the request.

client_ip IP of the ICAP client (proxy).

client_port Port of the ICAP client (proxy).

action_code An integer representing the action that Network and Mobile

Prevent for Web takes. Where the action code is one of the
following:

■ 0 = UNKNOWN
■ 1 = ALLOW
■ 2 = BLOCK
■ 3 = REDACT
■ 4 = ERROR
■ 5 = ALLOW_WITHOUT_INSPECTION
■ 6 = OPTIONS_RESPONSE
■ 7 = REDIRECT
290 Managing log files
About log event codes

Table 12-7 Network and Mobile Prevent for Web access log fields (continued)

Fields Explanation

icap_method_code An integer representing the ICAP method that is associated with

this request. Where the ICAP method code is one of the following:

■ -1 = ILLEGAL
■ 0 = OPTIONS
■ 1 = REQMOD
■ 2 = RESPMOD
■ 3 = LOG

traffic_source_code An integer that represents the source of the network traffic.

Where the traffic source code is one of the following:

■ 0 = MOBILE
■ 1 = WEB
■ 2 = UNKNOWN

See “About log files” on page 267.

Network and Mobile Prevent for Web protocol debug log files
To enable ICAP trace logging, set the Icap.EnableTrace Advanced setting to true
and use the Icap.TraceFolder Advanced setting to specify a directory to receive
the traces. Symantec Data Loss Prevention service must be restarted for this
change to take effect.
Trace files that are placed in the specified directory have file names in the format:
timestamp-conn_id. The first line of a trace file provides information about the
connecting host IP and port along with a timestamp. File data that is read from
the socket is displayed in the format <<timestamp number_of_bytes_read. Data
that is written to the socket is displayed in the format >>timestamp
number_of_bytes_written. The last line should note that the connection has
been closed.

Note: Trace logging produces a large amount of data and therefore requires a
large amount of free disk storage space. Trace logging should be used only for
debugging an issue because the data that is written in the file is in clear text.

See “About log files” on page 267.

 Managing log files 291
About log event codes

Network Prevent for Email log levels

Network Prevent for Email log file names use the format of
EmailPrevent_OperationalX.log (where X is a number). The number of files that
are stored and their sizes can be specified by changing the values in the
FileReaderLogging.properties file. By default, the values are:
■ com.vontu.mta.log.SmtpOperationalLogHandler.limit = 5000000
■ com.vontu.mta.log.SmtpOperationalLogHandler.count = 5
At various log levels, components in the com.vontu.mta.rp package output varying
levels of detail. The com.vontu.mta.rp.level setting specifies log levels in the
RequestProcessorLogging.properties file which is stored in the
SymantecDLP\Protect\config directory. For example, com.vontu.mta.rp.level =
FINE specifies the FINE level of detail.
Table 12-8 describes the Network Prevent for Email log levels.

Table 12-8 Network Prevent for Email log levels

Level Guidelines

INFO General events: connect and disconnect notices, information on the messages
that are processed per connection.

FINE Some additional execution tracing information.

FINER Envelope command streams, message headers, detection results.

FINEST Complete message content, deepest execution tracing, and error tracing.

See “About log files” on page 267.

Network Prevent for Email operational log codes

Table 12-9 lists the defined Network Prevent for Email operational logging codes
by category.

Table 12-9 Status codes for Network Prevent for Email operational log

Code Description

Core Events

1100 Starting Network Prevent for Email

1101 Shutting down Network Prevent for Email

292 Managing log files
About log event codes

Table 12-9 Status codes for Network Prevent for Email operational log
(continued)

Code Description

1102 Reconnecting to FileReader (tid=id)

Where id is the thread identifier.

The RequestProcessor attempts to re-establish its connection with the FileReader

for detection.

1103 Reconnected to the FileReader successfully (tid=id)

The RequestProcessor was able to re-establish its connection to the FileReader.

Core Errors

5100 Could not connect to the FileReader (tid=id timeout=.3s)

An attempt to re-connect to the FileReader failed.

5101 FileReader connection lost (tid=id)

The RequestProcessor connection to the FileReader was lost.

Connectivity Events

1200 Listening for incoming connections (local=hostname)

Hostnames is an IP address or fully-qualified domain name.

1201 Connection accepted (tid=id cid=N

local=hostname:port
remote=hostname:port)

Where N is the connection identifier.

1202 Peer disconnected (tid=id cid=N

local=hostname:port
remote=hostname:port)

1203 Forward connection established (tid=id cid=N

local=hostname:port
remote=hostname:port)

1204 Forward connection closed (tid=id cid=N

local=hostname:port
remote=hostname:port)
 Managing log files 293
About log event codes

Table 12-9 Status codes for Network Prevent for Email operational log
(continued)

Code Description

1205 Service connection closed (tid=id cid=N

local=hostname:port
remote=hostname:port messages=1 time=0.14s)

Connectivity Errors

5200 Connection is rejected from the unauthorized host (tid=id

local=hostname:port
remote=hostname:port)

5201 Local connection error (tid=id cid=N

local=hostname:port
remote=hostname:port reason=Explanation)

5202 Sender connection error (tid=id cid=N

local=hostname:port
remote=hostname:port reason=Explanation)

5203 Forwarding connection error (tid=id cid=N

local=hostname:port
remote=hostname:port reason=Explanation)

5204 Peer disconnected unexpectedly (tid=id cid=N

local=hostname:port
remote=hostname:port reason=Explanation)

5205 Could not create listener (address=local=hostname:port

reason=Explanation)

5206 Authorized MTAs contains invalid hosts: hostname,

hostname, ...

5207 MTA restrictions are active, but no MTAs are authorized

to communicate with this host

5208 TLS handshake failed (reason=Explanation tid=id cid=N

local=hostname remote=hostname)
294 Managing log files
About log event codes

Table 12-9 Status codes for Network Prevent for Email operational log
(continued)

Code Description

5209 TLS handshake completed (tid=id cid=N

local=hostname remote=hostname)

5210 All forward hosts unavailable (tid=id cid=N

reason=Explanation)

5211 DNS lookup failure (tid=id cid=N

NextHop=hostname reason=Explanation)

5303 Failed to encrypt incoming message (tid=id cid=N

local=hostname remote=hostname)

5304 Failed to decrypt outgoing message (tid=id cid=N

local=hostname remote=hostname)

Message Events

1300 Message complete (cid=N message_id=3 dlp_id=message_identifier

size=number sender=email_address recipient_count=N
disposition=response estatus=statuscode rtime=N
dtime=N mtime=N

Where:

■ Recipient_count is the total number of addressees in the To, CC, and BCC
fields.
■ Response is the Network Prevent for Email response which can be one of:
PASS, BLOCK, BLOCK_AND_REDIRECT, REDIRECT, MODIFY, or ERROR.
■ Thee status is an Enhanced Status code.
See “Network Prevent for Email originated responses and codes” on page 295.
■ The rtime is the time in seconds for Network Prevent for Emailto fully receive
the message from the sending MTA.
■ The dtime is the time in seconds for Network Prevent for Email to perform
detection on the message.
■ The mtime is the total time in seconds for Network Prevent for Email to
process the message Message Errors.

Message Errors
 Managing log files 295
About log event codes

Table 12-9 Status codes for Network Prevent for Email operational log
(continued)

Code Description

5300 Error while processing message (cid=N message_id=header_ID

dlp_id=message_identifier size=0 sender=email_address
recipient_count=N disposition=response estatus=statuscode
rtime=N dtime=N mtime=N reason=Explanation

Where header_ID is an RFC 822 Message-Id header if one exists.

5301 Sender rejected during re-submit

5302 Recipient rejected during re-submit

See “About log files” on page 267.

Network Prevent for Email originated responses and codes

Network Prevent for Email originates the following responses. Other protocol
responses are expected as Network Prevent for Email relays command stream
responses from the forwarding MTA to the sending MTA. Table 12-10 shows the
responses that occur in situations where Network Prevent must override the
receiving MTA. It also shows the situations where Network Preventgenerates a
specific response to an event that is not relayed from downstream.
“Enhanced Status” is the RFC1893 Enhanced Status Code associated with the
response.

Table 12-10 Network Prevent for Email originated responses

Code Enhanced Text Description

Status

250 2.0.0 Ok: Carry on. Success code that Network Prevent for Email uses.

221 2.0.0 Service The normal connection termination code that Network
closing. Prevent for Email generates if a QUIT request is
received when no forward MTA connection is active.
296 Managing log files
About log event codes

Table 12-10 Network Prevent for Email originated responses (continued)

Code Enhanced Text Description

Status

451 4.3.0 Error: This “general, transient” error response is issued

Processing when a (potentially) recoverable error condition
error. arises. This error response is issued when a more
specific error response is not available. Forward
connections are sometimes closed, and their
unexpected termination is occasionally a cause of a
code 451, status 4.3.0. However sending connections
should remain open when such a condition arises
unless the sending MTA chooses to terminate.

421 4.3.0 Fatal: This “general, terminal” error response is issued when
Processing a fatal, unrecoverable error condition arises. This
error. error results in the immediate termination of any
Closing sender or receiver connections.
connection.

421 4.4.1 Fatal: That an attempt to connect the forward MTA was
Forwarding refused or otherwise failed to establish properly.
agent
unavailable.

421 4.4.2 Fatal: Closing connection. The forwarded MTA connection

Connection is lost in a state where further conversation with the
lost to sending MTA is not possible. The loss usually occurs
forwarding in the middle of message header or body buffering.
agent. The connection is terminated immediately.

451 4.4.2 Error: The forward MTA connection was lost in a state that
Connection may be recoverable if the connection can be
lost to re-established. The sending MTA connection is
forwarding maintained unless it chooses to terminate.
agent.

421 4.4.7 Error: The last command issued did not receive a response
Request within the time window that is defined in the
timeout RequestProcessor.DefaultCommandTimeout. (The
exceeded. time window may be from
RequestProcessor.DotCommandTimeout if the
command issued was the “.”). The connection is closed
immediately.
 Managing log files 297
About log event codes

Table 12-10 Network Prevent for Email originated responses (continued)

Code Enhanced Text Description

Status

421 4.4.7 Error: The connection was idle (no commands actively
Connection awaiting response) in excess of the time window that
timeout is defined in
exceeded. RequestProcessor.DefaultCommandTimeout.

501 5.5.2 Fatal: A fatal violation of the SMTP protocol (or the
Invalid constraints that are placed on it) occurred. The
transmission violation is not expected to change on a resubmitted
request. message attempt. This message is only issued in
response to a single command or data line that
exceeds the boundaries that are defined in
RequestProcessor.MaxLineLength.

502 5.5.1 Error: Defined but not currently used.

Unrecognized
command.

550 5.7.1 User This combination of code and status indicates that a
Supplied. Blocking response rule has been engaged. The text
that is returned is supplied as part of the response
rule definition.

Note that a 4xx code and a 4.x.x enhanced status indicate a temporary error. In
such cases the MTA can resubmit the message to the Network Prevent for Email
Server. A 5xx code and a 5.x.x enhanced status indicate a permanent error. In
such cases the MTA should treat the message as undeliverable.
See “About log files” on page 267.
298 Managing log files
About log event codes
 Chapter 13
Using Symantec Data Loss
Prevention utilities
This chapter includes the following topics:

■ About the Symantec Data Loss Prevention utilities

■ About Endpoint utilities

■ About the Environment Check Utility

■ About DBPasswordChanger

■ About the sslkeytool utility and server certificates

■ About using the SQL Preindexer

■ About using the Remote EDM Indexer

About the Symantec Data Loss Prevention utilities

Symantec provides a suite of utilities to help users accomplish those tasks that
need to be done on an infrequent basis. The utilities are typically used to perform
troubleshooting and maintenance tasks. They are also used to prepare data and
files for use with the Symantec Data Loss Prevention software.
The Symantec Data Loss Prevention utilities are provided for both Windows and
Linux operating systems. You use the command line to run the utilities on both
operating systems. The utilities operate in a similar manner regardless of operating
system.
Table 13-1 describes how and when to use each utility.
300 Using Symantec Data Loss Prevention utilities
About the Symantec Data Loss Prevention utilities

Table 13-1 Symantec Data Loss Prevention utilities

Name Description

Environment Check Utility Audits the environment of a Symantec Data

Loss Prevention server system and gathers
information into a ZIP file. Symantec
Support can use the ZIP file to troubleshoot
problems.

See “About the Environment Check Utility”

on page 302.

DBPasswordChanger Changes the encrypted password that the

Enforce Server uses to connect to the Oracle
database.

See “About DBPasswordChanger”

on page 304.

sslkeytool Generates custom authentication keys to

improve the security of the data that is
transmitted between the Enforce Server and
detection servers. The custom authentication
keys must be copied to each Symantec Data
Loss Prevention server.

See “About the sslkeytool utility and server

certificates” on page 306.

SQL Preindexer Indexes an SQL database or runs an SQL

query on specific data tables within the
database. This utility is designed to pipe its
output directly to the Remote EDM Indexer
utility.

See “About using the SQL Preindexer”

on page 311.
 Using Symantec Data Loss Prevention utilities 301
About Endpoint utilities

Table 13-1 Symantec Data Loss Prevention utilities (continued)

Name Description

Remote EDM Indexer Converts a comma-separated or

tab-delimited data file into an exact data
matching index. The utility can be run on a
remote machine to provide the same
indexing functionality that is available
locally on the Enforce Server.

This utility is often used with the SQL

Preindexer. The SQL Preindexer can run an
SQL query and pass the resulting data
directly to the Remote EDM Indexer to create
an EDM index.

See “About using the Remote EDM Indexer”

on page 314.

About Endpoint utilities

Table 13-2 describes those utilities that apply to the Endpoint products.
See “About Endpoint Discover and Endpoint Prevent” on page 1307.
See “About Endpoint tools” on page 1405.

Table 13-2 Endpoint utilities

Name Description

endpointkeytool The endpointkeytool utility creates a new

authentication key that is used to encrypt
communication between the Endpoint Server
and the Symantec DLP Agent. The new
authentication key replaces the hard-coded
AES key. Use endpointkeytool to generate a
new authentication key before installing the
Symantec DLP Agent on endpoint
computers.

Service_Shutdown.exe This utility enables an administrator to turn

off both the agent and the watchdog services
on an endpoint computer. (As a
tamper-proofing measure, it is not possible
for a user to stop either the agent or the
watchdog service.)
302 Using Symantec Data Loss Prevention utilities
About the Environment Check Utility

Table 13-2 Endpoint utilities (continued)

Name Description

vontu_sqlite3.exe This utility provides an SQL interface that

enables you to view or modify the encrypted
database files that the Symantec DLP Agent
uses. Use this tool when you want to
investigate or make changes to the Symantec
Data Loss Prevention files.

logdump.exe This tool lets you view the Symantec DLP

Agent extended log files, which are hidden
for security reasons.

About the Environment Check Utility

The Environment Check Utility (ECU) validates the environment in which
Symantec Data Loss Prevention servers operate. The ECU is a troubleshooting
tool that is installed with the Enforce Server and detection servers. In most cases
information is collected from both the Enforce Server and its detection servers.
Certain checks are performed only when you run the utility on the Enforce Server.
See Table 13-3 for a description of which tasks are performed on Enforce Servers
and detection servers.

Table 13-3 Environment Check Utility tasks

Task Server Type

■ Checks and displays the Windows or Linux operating Enforce Server or detection
system version. server
■ Verifies that required Symantec Data Loss Prevention
services are running.
■ Displays the full Symantec Data Loss Prevention version
number.
■ Checks the host configuration file and writes the
configuration to a log file.
 Using Symantec Data Loss Prevention utilities 303
About the Environment Check Utility

Table 13-3 Environment Check Utility tasks (continued)

Task Server Type

■ Checks for the existence of the System Account user that Enforce Server
was created during the Enforce Server installation.
■ Checks the stored settings for each registered detection
server and writes the information to the
/SymantecDLP/Protect/ECU/eculogs/monitorSettings
directory.
■ Checks the Oracle database by exercising the Symantec
Data Loss Prevention Notification and Lock Manager
services.
■ Checks the network connection from the Enforce Server
to each registered detection server.

If you experience problems with your installation, Symantec Support may ask
you to run this utility to collect information about the system environment.

Running the Environment Check Utility on Windows

If the default installation directory was used, the Environment Check Utility is
located in the c:\SymantecDLP\Protect\ECU directory.
To run the ECU on Windows
1 From the Windows Start menu, select Run and type cmd in the resulting Run
dialog box to open a command prompt window.
2 Go to the ECU folder (c:\SymantecDLP\Protect\ECU if you installed in the
default location).
3 Execute the utility:

EnvironmentCheckUtility.exe

See “About Environment Check Utility output” on page 304.

Running the Environment Check Utility on Linux

If the default installation directory was used, the Environment Check Utility is
located in the /opt/SymantecDLP/Protect/ECU directory.
304 Using Symantec Data Loss Prevention utilities
About DBPasswordChanger

To run the ECU on Linux

1 Log on as the protect user by typing:

su protect

2 Go to the ECU directory. If you used the defaults during installation, type:

cd /opt/SymantecDLP/Protect/ECU

3 Execute the utility:

./EnvironmentCheckUtility

See “About Environment Check Utility output” on page 304.

About Environment Check Utility output

When you run the Environment Check Utility, it generates an eculogs.zip file
in the ECU subdirectory. This ZIP file contains several files with system information.
If the utility runs on the Enforce Server computer, it also generates a subdirectory
named eculogs\monitorSettings that contains information about each registered
detection server.
The output files stored in eculogs.zip are as follows:
■ ECUoutput.txt contains the test results (pass or fail) and possible reasons for
the test failures.
■ ecu_error_log.txt records any errors that occurred during the tests that the
utility ran.
■ ecu_HostFileLog.txt contains a dump of the contents of the host file.

■ server_nameSettings.txt files record the settings of registered detection

servers. These files, and eculogs/monitorSettings directory are generated
only on the Enforce Server computer.
After the eculogs.zip file is created, send it to Symantec Support for further
analysis.
See “About log files” on page 267.

About DBPasswordChanger
Symantec Data Loss Prevention stores encrypted passwords to the Oracle database
in a file that is called DatabasePassword.properties, located in
 Using Symantec Data Loss Prevention utilities 305
About DBPasswordChanger

c:\SymantecDLP\Protect\config (Windows)
or/opt/SymantecDLP/Protect/config (Linux). Because the contents of the file
are encrypted, you cannot directly modify the file. The DBPasswordChanger utility
changes the stored Oracle database passwords that the Enforce Server uses.
Before you can use DBPasswordChanger to change the password to the Oracle
database you must:
■ Shut down the Enforce Server.
■ Change the Oracle database password using Oracle utilities.
See “Example of using DBPasswordChanger” on page 305.

DBPasswordChanger syntax
The DBPasswordChanger utility uses the following syntax:

DBPasswordChanger password_file new_oracle_password

All command-line parameters are required. The following table describes each
command-line parameter.
See “Example of using DBPasswordChanger” on page 305.

Table 13-4 DBPasswordChanger command-line parameters

Parameter Description

password_file Specifies the file that contains the encrypted

password. By default, this file is named
ProtectPassword.properties and is stored
in \SymantecDLP\Protect\config (Windows)
or /opt/SymantecDLP/Protect/config
(Linux).

new_oracle_password Specifies the new Oracle password to encrypt and

store.

Example of using DBPasswordChanger

If Symantec Data Loss Prevention was installed in the default location, then the
DBPasswordChanger utility is located at c:\Vontu\Protect\bin (Windows) or
/opt/Vontu/Protect/bin (Linux). You must be an Administrator (or root) to run
DBPasswordChanger.
For example, type:
306 Using Symantec Data Loss Prevention utilities
About the sslkeytool utility and server certificates

DBPasswordChanger \Vontu\Protect\bin\DatabasePassword.properties
protect_oracle

See “DBPasswordChanger syntax” on page 305.

About the sslkeytool utility and server certificates

Symantec Data Loss Prevention uses Secure Socket Layer/Transport Layer Security
(SSL/TLS) to encrypt all data that is transmitted between servers. Symantec Data
Loss Prevention also uses the SSL/TLS protocol for mutual authentication between
servers. Servers implement authentication by the mandatory use of client and
server-side certificates. By default, connections between servers use a single,
self-signed certificate that is embedded securely inside the Symantec Data Loss
Prevention software. All Symantec Data Loss Prevention installations at all
customer sites use this same certificate.
Symantec recommends that you replace the default certificate with unique,
self-signed certificates for your organization’s installation. You store a certificate
on the Enforce Server, and on each detection server that communicates with the
Enforce Server. These certificates are generated with the sslkeytool utility.

Note: If you install a Network Prevent detection server in a hosted environment,

you must generate unique certificates for your Symantec Data Loss Prevention
servers. You cannot use the built-in certificate to communicate with a hosted
Network Prevent server.

Note: Symantec recommends that you create dedicated certificates for

communication with your Symantec Data Loss Prevention servers. When you
configure the Enforce Server to use a generated certificate, all detection servers
in your installation must also use generated certificates. You cannot use the
built-in certificate with some detection servers and the built-in certificate with
other servers.

See “About sslkeytool command line options” on page 307.

See “Using sslkeytool to generate new Enforce and detection server certificates”
on page 308.
See “Using sslkeytool to add new detection server certificates” on page 310.
 Using Symantec Data Loss Prevention utilities 307
About the sslkeytool utility and server certificates

About sslkeytool command line options

sslkeytool is a command-line utility that generates a unique pair of SSL
certificates (keystore files). sslkeytool is located in the
\SymantecDLP\Protect\bin directory (Windows) or
/opt/SymantecDLP/Protect/bin directory (Linux). It must run under the Symantec
Data Loss Prevention operating system user account which, by default, is “protect.”
Also, you must run sslkeytool directly on the Enforce Server computer.
The following command forms and options are available for sslkeytool:
■ -genkey [-dir=directory -alias=aliasFile]
Generates two unique certificates (keystore files) by default: one for the Enforce
Server and one for other detection servers. The optional -dir argument
specifies the directory where the keystore files are placed. The optional -alias
argument generates additional keystore files for each alias specified in the
aliasFile. You can use the alias file to generate unique certificates for each
detection server in your system (rather than using a same certificate on each
detection server). Use this command form the first time you generate unique
certificates for your Symantec Data Loss Prevention installation.
■ -list=file
Lists the content of the specified keystore file.
■ -alias=aliasFile -enforce=enforceKeystoreFile [-dir=directory]
Generates multiple certificate files for detection servers using the aliases you
define in aliasFile. You must specify an existing Enforce Server keystore file
to use when generating the new detection server keystore files. The optional
-dir argument specifies the directory where the keystore files are placed. If
you specify the -dir argument, you must also place the Enforce Server keystore
file in the specified directory. Use this command form to add new detection
server certificates to an existing Symantec Data Loss Prevention installation.
For example, the command sslkeytool -genkey generates two files:
■ enforce.timestamp.sslKeyStore

■ monitor.timestamp.sslKeyStore

Unless you specified a different directory with the -dir argument, these two
keystore files are created in the bin directory where the sslkeytool utility resides.
See “About the sslkeytool utility and server certificates” on page 306.
See “Using sslkeytool to generate new Enforce and detection server certificates”
on page 308.
See “Using sslkeytool to add new detection server certificates” on page 310.
308 Using Symantec Data Loss Prevention utilities
About the sslkeytool utility and server certificates

Using sslkeytool to generate new Enforce and detection server

certificates
After installing Symantec Data Loss Prevention, use the -genkey argument with
sslkeytool to generate new certificates for the Enforce Server and detection
servers. Symantec recommends that you replace the default certificate used to
secure communication between servers with unique, self-signed certificates. The
-genkey argument automatically generates two certificate files. You store one
certificate on the Enforce Server, and the second certificate on each detection
server. The optional -alias command lets you generate a unique certificate file
for each detection server in your system. To use the -alias you must first create
an alias file that lists the name of each alias create.
To generate unique certificates for Symantec Data Loss Prevention servers
1 Log on to the Enforce Server computer using the "protect" user account you
created during Symantec Data Loss Prevention installation.
2 From a command window, go to the c:\SymantecDLP\Protect\bin directory
where the sslkeytool utility is stored.
3 If you want to create a dedicated certificate file for each detection server,
first create a text file to list the alias names you want to create. Place each
alias on a separate line. For example:

net_monitor01
protect01
endpoint01
smtp_prevent01
web_prevent01
classification01

Note: The -genkey argument automatically creates certificates for the

"enforce" and "monitor" aliases. Do not add these aliases to your custom alias
file.

4 Run the sslkeytool utility with the -genkey argument and optional -dir
argument to specify the output directory. If you created a custom alias file,
also specify the optional -alias argument, as in this example:

sslkeytool -genkey -alias=.\aliases.txt -dir=.\generated_keys

This generates new certificates (keystore files) in the specified directory. Two
files are automatically generated with the -genkey argument:
 Using Symantec Data Loss Prevention utilities 309
About the sslkeytool utility and server certificates

■ enforce.timestamp.sslKeyStore

■ monitor.timestamp.sslKeyStore

sslkeytool also generates individual files for any aliases that are defined in
the alias file. For example:
■ net_monitor01.timestamp.sslKeyStore
■ protect01.timestamp.sslKeyStore
■ endpoint01.timestamp.sslKeyStore
■ smtp_prevent01.timestamp.sslKeyStore
■ web_prevent01.timestamp.sslKeyStore
■ classification01.timestamp.sslKeyStore

5 Copy the certificate file whose name begins with enforce to the
c:\SymantecDLP\Protect\keystore directory on the Enforce Server.

6 If you want to use the same certificate file with all detection servers, copy
the certificate file whose name begins with monitor to the
c:\SymantecDLP\Protect\keystore directory of each detection server in
your system.
If you generated a unique certificate file for each detection server in your
system, copy the appropriate certificate file to the keystore directory on
each detection server computer.
7 Delete or secure any additional copies of the certificate files to prevent
unauthorized access to the generated keys.
8 Restart the Vontu Monitor Controller service on the Enforce Server and the
Vontu Monitor service on the detection servers.
When you install a Symantec Data Loss Prevention server, the installation program
creates a default keystore in the keystore directory. When you copy a generated
certificate file into this directory, the generated file overrides the default
certificate. If you later remove the certificate file from the keystore directory,
Symantec Data Loss Prevention reverts to the default keystore file embedded
within the application. This behavior ensures that data traffic is always protected.
Note, however, that you cannot use the built-in certificate with certain servers
and a generated certificate with other servers. All servers in the Symantec Data
Loss Prevention system must use either the built-in certificate or a custom
certificate.
310 Using Symantec Data Loss Prevention utilities
About the sslkeytool utility and server certificates

Note: If more than one keystore file is placed in the keystore directory, the server
does not start.

See “Using sslkeytool to add new detection server certificates” on page 310.
See “About sslkeytool command line options” on page 307.
See “About the sslkeytool utility and server certificates” on page 306.

Using sslkeytool to add new detection server certificates

Use sslkeytool with the -alias argument to generate new certificate files for
an existing Symantec Data Loss Prevention deployment. When you use this
command form, you must provide the current Enforce Server keystore file, so
that sslkeytool can embed the Enforce Server certificate in the new detection
server certificate files that you generate.
To generate new detection server certificates
1 Log on to the Enforce Server computer using the "protect" user account that
you created during Symantec Data Loss Prevention installation.
2 From a command window, go to the c:\SymantecDLP\Protect\bin directory
where the sslkeytool utility is stored.
3 Create a directory in which you will store the new detection server certificate
files. For example:

mkdir new_certificates

4 Copy the Enforce Server certificate file to the new directory. For example:
5 Create a text file that lists the new server alias names that you want to create.
Place each alias on a separate line. For example:

endpoint02
smtp_prevent02

6 Run the sslkeytool utility with the -alias argument and -dir argument to
specify the output directory. Also specify the name of the Enforce Server
certificate file that you copied into the certificate directory. For example:
This generates a new certificate file for each alias, and stores the new files
in the specified directory. Each certificate file also includes the Enforce Server
certificate from the Enforce keystore that you specify.
7 Copy each new certificate file to the c:\SymantecDLP\Protect\keystore
directory on the appropriate detection server computer.
 Using Symantec Data Loss Prevention utilities 311
About using the SQL Preindexer

8 Delete or secure any additional copies of the certificate files to prevent

unauthorized access to the generated keys.
9 Restart the Vontu Monitor service on each detection server to use the new
certificate file.

Verifying server certificate usage

Symantec Data Loss Prevention uses system events to indicate whether servers
are using the built-in certificate or user-generated certificates to secure
communication. If servers use the default, built-in certificate, Symantec Data Loss
Prevention generates a warning event. If servers use generated certificates,
Symantec Data Loss Prevention generates an info event.
Symantec recommends that you use generated certificates, rather than the built-in
certificate, for added security.
If you install Network Prevent to a hosted environment, you cannot use the built-in
certificate and you must generate and use unique certificates for the Enforce
Server and detection servers.
To determine the type of certificates that Symantec Data Loss Prevention uses
1 Start the Enforce Server or restart the Vontu Monitor Controller service on
the Enforce Server computer.
2 Start each detection server or restart the Vontu Monitor service on each
detection server computer.
3 Log in to the Enforce Server administration console.
4 Select System > Servers > Alerts.
5 Check the list of alerts to determine the type certificates that Symantec Data
Loss Prevention servers use:
■ If servers use the built-in certificate, the Enforce Server shows a warning
event with code 2709: Using built-in certificate.
■ If servers use unique, generated certificates, the Enforce Server shows an
info event with code 2710: Using user generated certificate.

About using the SQL Preindexer

This chapter describes how to use the SQL Preindexer. The SQL Preindexer utility
is always used with the Remote EDM Indexer utility. It is installed in the
\Vontu\Protect\bin directory during installation of the Remote EDM Indexer.
The SQL Preindexer utility generates an index directly from an SQL database. It
processes the database query and then pipes it to the Remote EDM Indexer utility.
312 Using Symantec Data Loss Prevention utilities
About using the SQL Preindexer

Read the chapter about the Remote EDM Indexer in this guide before running the
SQL Preindexer.
See “About using the Remote EDM Indexer” on page 314.
The SQL Preindexer runs from the command line. If you are on Linux, change
users to the “protect” user before running the SQL Preindexer. (The installation
program creates the “protect” user.) The SQL Preindexer only supports Oracle
databases.
An example of a command to run the SQL Preindexer follows. The SQL Preindexer
runs an SQL query to capture the name and the salary data from the employee
data table in the Oracle database. This example shows how to pipe the output of
the SQL query to the Remote EDM Indexer. The Remote EDM Indexer indexes the
results using the ExportEDMProfile.edm profile. The generated index files are
stored in the EDMIndexDirectory folder.

SqlPreindexer -alias=@//myhost:1521/orcl -username=scott -password=tiger -query="SELECT

name, salary FROM employee" | RemoteEDMIndexer -profile=C:\ExportEDMProfile.edm
-result=C:\EDMIndexDirectory\

Because you pipe the output from the SQL Preindexer to the Remote EDM Indexer,
review the section about Remote EDM Indexer command functions and options.
See Table 13-2 on page 301.

SQL Preindexer command function and options

The SQL Preindexer requires the -alias option and the -username option. All of
the command options for the SQL Preindexer are described in the following table.
If you omit the -query option, the utility indexes the entire database.
The SQL Preindexer command has the following options:

-alias Specifies the database alias used to connect to the database in the
following format: @//localhost:port/sid

For example: @//myhost:1521/orcl

This option is required.

-driver Specifies the JDBC driver class (for example,

oracle.jdbc.driver.OracleDriver).

-encoding Specifies the character encoding of the data to index. The default is
iso-8859-1, but data with non-English characters should use UTF-8
or UTF-16.
 Using Symantec Data Loss Prevention utilities 313
About using the SQL Preindexer

-password Specifies the password to the database. If this option is not specified,
the password is read from stdin.

-query Specifies the SQL query to run.

-query_path Specifies the file path that contains an SQL query to run. This option
can be used as an alternative to -query when the query is a long SQL
statement.

-separator Specifies whether the output column separator is a comma, pipe, or

tab. The default separator is a tab. To specify a comma separator or
pipe separator, enclose the character in quotation marks as in "," or
"|".

-subprotocol Specifies the JDBC connect string subprotocol (for example,

oracle:thin).

-username Specifies the name of the database user. This option is required.

-verbose Displays a statistical summation of the indexing operation when the

index is complete.

See “Troubleshooting preindexing errors” on page 313.

Troubleshooting preindexing errors

You may encounter errors when you index large amounts of data. Often the set
of data contains a data record that is incomplete, inconsistent, or inaccurate. Data
rows that contain more columns than expected or incorrect column data types
often cannot be properly indexed and are unrecognized.
The SQL Preindexer can be configured to provide a summary of information about
the indexing operation when it completes. To do so, specify the verbose option
when running the SQL Preindexer.
To see the rows of data that the Remote EDM Indexer did not index, adjust the
configuration in the Indexer.properties file using the following procedure.
To record those data rows that were not indexed
1 Locate the Indexer.properties file at
\SymantecDLP\Protect\config\Indexer.properties (Windows) or
/SymantecDLP/Protect/config/Indexer.properties (Linux).

2 Open the file in a text editor.

314 Using Symantec Data Loss Prevention utilities
About using the Remote EDM Indexer

3 Locate the create_error_file property and change the “false” setting to

“true.”
4 Save and close the Indexer.properties file.
The Remote EDM Indexer logs errors in a file with the same name as the data
file being indexed and the .err suffix.
The rows of data that are listed in the error file are not encrypted. Safeguard
the error file to minimize any security risk from data exposure.
See “About using the SQL Preindexer” on page 311.

About using the Remote EDM Indexer

The Remote EDM Indexer is a utility that converts a comma-separated value, or
tab-delimited, data file to an Exact Data Matching index. The utility is similar to
the local EDM Indexer used by the Enforce Server. However, the Remote EDM
Indexer is designed for use on a computer that is not part of the Symantec Data
Loss Prevention server configuration.
Using the Remote EDM Indexer to index a data source on a remote machine has
the following advantages over using the EDM Indexer on the Enforce Server:
■ It enables the owner of the data, rather than the Symantec Data Loss Prevention
administrator, to index the data.
■ It shifts the system load that is required for indexing onto another computer.
The CPU and RAM on the Enforce Server is reserved for other tasks.
The SQL Preindexer is often used with the Remote EDM Indexer. The SQL
Preindexer is used to run SQL queries against Oracle databases and pass the
resulting data to the Remote EDM Indexer.

Note: The SQL Preindexer is only supported for Oracle databases.

See “About using the SQL Preindexer” on page 311.

See “Using the Remote EDM Indexer” on page 315.
See “About the Exact Data Profile” on page 411.

System requirements for the Remote EDM Indexer

The Remote EDM Indexer runs on the Windows and Linux operating system
versions that are supported for Symantec Data Loss Prevention servers.
 Using Symantec Data Loss Prevention utilities 315
About using the Remote EDM Indexer

See the Symantec Data Loss Prevention System Requirements and Compatibility
Guide for more information about operating system requirements.
The RAM requirements for the Remote EDM Indexer vary according to the size
of the data files being indexed. Data files with less than a million rows of records
can be indexed from an average desktop computer. Data files that exceed a million
rows of records should run on a computer with at least 4 gigabytes of dedicated
RAM. The length of time that is required for indexing data files depends upon the
number of columns within the rows. More columns require more time to index.

Using the Remote EDM Indexer

This section summarizes the steps to index a data file on a remote machine and
then use the index in Symantec Data Loss Prevention.
See “About the Exact Data Profile” on page 411.

Table 13-5 Steps to use the Remote EDM Indexer

Step Action Description

Step Install the Remote EDM Indexer on a See “Installing the Remote EDM Indexer”
1 computer that is not part of the on page 316.
Symantec Data Loss Prevention
See “Installing from the command line (for
system.
Linux)” on page 317.

Step Create an Exact Data Profile on the See “Creating an EDM profile for remote
2 Enforce Server to use with the Remote indexing” on page 317.
EDM Indexer.

Step Copy the Exact Data Profile file to the See “Creating an EDM profile for remote
3 computer where the Remote EDM indexing” on page 317.
Indexer resides.

Step Run the Remote EDM Indexer and See “Remote EDM Indexer command
4 create the index files. options” on page 320.

Step Copy the index files from the remote See “Copying and using generated index
5 machine to the Enforce Server. files” on page 321.

Step Load the index files into the Enforce See “Copying and using generated index
6 Server. files” on page 321.

Step Troubleshoot any problems that occur See “Troubleshooting index jobs”
7 during the indexing process. on page 322.
316 Using Symantec Data Loss Prevention utilities
About using the Remote EDM Indexer

Installing the Remote EDM Indexer

The Remote EDM Indexer is installed from the same installation program as the
other Symantec Data Loss Prevention components. Copy the
ProtectInstaller_11.1.exe file to the remote machine where the data that
needs to be indexed resides. The Linux version of Symantec Data Loss Prevention
has a text-based command console option in the installation program that can be
used.
See “Installing from the command line (for Linux)” on page 317.

Note: Symantec recommends that you disable any antivirus, pop-up blocker, and
registry protection software before beginning the installation process.

To navigate through the installation process:

■ Click Next to display the next installation screen.
■ Click Back to return to the previous installation screen.
■ Click Cancel to terminate the installation process.
To install the Remote EDM Indexer
1 Go to the directory where you copied the ProtectInstaller_11.1.exe
(Windows) or ProtectInstaller_11.1.sh (Linux) file.
In some circumstances, you may need to change the file permissions to access
the file.
2 Run the installation program (either ProtectInstaller_11.1.exe or
ProtectInstaller_11.1.sh).

The installer files unpack and the Welcome screen displays.

3 Click Next and then accept the Symantec Software License Agreement to
continue.
4 Select Indexer from the list of components that appears and click Next.
5 On the Select Destination Directory screen, click Next to accept the default
installation location (recommended). Alternately, click Browse to navigate
to a different installation location, and then click Next.
6 For Windows, choose a Start Menu folder and then click Next.
7 The Installing screen appears and displays an installation progress bar. When
you are prompted, click Finish to complete the installation.
See “Uninstalling Remote Indexer on a Windows platform” on page 323.
 Using Symantec Data Loss Prevention utilities 317
About using the Remote EDM Indexer

Installing from the command line (for Linux)

The following procedure describes how to install from the command line for Linux.
To install a Remote EDM Indexer
1 Log on as root and copy the ProtectInstaller_11.1.sh file to the /tmp
directory on the computer.
2 Change the directory to /tmp by typing:

cd /tmp

3 You may need to change permissions on the file before you can run the file.
If so, type:

chmod 775 ProtectInstaller_11.1.sh

4 Once the file permissions have been changed you can run the
ProtectInstaller_11.1.sh file, by typing:

./ProtectInstaller_11.1.sh -i console

Once the console mode installation launches, the Introduction step is

displayed. For most circumstances, it is recommended to use the defaults
during installation whenever possible. Press Enter to proceed to the next
step.
5 In the Choose Install Set step, specify the component to install. To install the
Remote EDM Indexer, type the number beside the option and press Enter.
6 In the Install Folder step, type the absolute path to the directory where you
want to install the files. The default location can be selected by pressing
Enter.
7 In the Pre-Installation Summary step, review the installation configuration
that you have selected. If you are satisfied with the selections, press Enter
to begin the installation. Or, type back and press Enter until you reach the
step you want to change.
8 When the installation completes, press Enter to close the installer.
See “Uninstalling Remote Indexer on a Linux platform” on page 323.

Creating an EDM profile for remote indexing

The EDM Indexer uses an Exact Data Profile when it runs to ensure that the data
is correctly formatted. You must create the Exact Data Profile before you use the
Remote EDM Indexer. The profile is a template that describes the columns that
318 Using Symantec Data Loss Prevention utilities
About using the Remote EDM Indexer

are used to organize the data. The profile does not need to contain any data. After
creating the profile, copy it to the computer that runs the Remote EDM Indexer.
See “Copying and using generated index files” on page 321.
See “About the Exact Data Profile” on page 411.
To create an EDM profile for remote indexing
1 From the Enforce Server administration console, navigate to the Manage >
Data Profiles > Exact Data screen.
2 Click Add Exact Data Profile.
3 In the Name field, enter a name for the profile.
4 In the Data Source field, select Use This File Name, and enter the name of
the index file to create.
5 In the Number of Columns text box, specify the number of columns in the
data source to be indexed.
6 If the first row of the data source contains the column names, select the option
Read first row as column names.
7 In the Error Threshold text box, enter the maximum percentage of rows that
can contain errors.
If, during indexing of the data source, the number of rows with errors exceeds
the percentage that you specify here, the indexing operation fails.
8 In the Column Separator Char field, select the type of character that is used
in your data source to separate the columns of data.
9 In the File Encoding field, select the character encoding that is used in your
data source.
If Latin characters are used, select the ISO-8859-1 option. For East Asian
languages, use either the UTF-8 or UTF-16 options.
10 Click Next to map the column headings from the data source to the profile.
 Using Symantec Data Loss Prevention utilities 319
About using the Remote EDM Indexer

11 In the Field Mappings section, map the Data Source Field to the System
Field for each column by selecting the column name from the System Field
drop-down list.
The Data Source Field lists the number of columns you specified at the
previous screen. The System Field contains a list of standard column headings.
If any of the column headings in your data source match the choices available
in the System Field list, map each accordingly. Be sure that you match the
selection in the System Field column to its corresponding numbered column
in the Data Source Field.
For example, for a data source that you have specified in the profile as having
three columns, the mapping configuration may be:

Data Source Field System Field

Col 1 First Name

Col 2 Last Name

Col 3 Social Security Number

12 If a Data Source Field does not map to a heading value in the options available
from the System Field column, click the Advanced View link.
In the Advanced View the system displays a Custom Name column beside
the System Field column.
Enter the correct column name in the text box that corresponds to the
appropriate column in the data source.
Optionally, you can specify the data type for the Custom Name you entered
by selecting the data type from the Type drop-down list. These data types
are system-defined. Click the description link beside the Type name for
details on each system-defined data type.
13 If you intend to use the Exact Data Profile to implement a policy template
that contains one or more EDM rules, you can validate your profile mappings
for the template. To do this, select the template from the Check mappings
against policy template drop-down list and click Check now. The system
indicates any unmapped fields that the template requires.
14 Do not select any Indexing option available at this screen, since you intend
to index remotely.
320 Using Symantec Data Loss Prevention utilities
About using the Remote EDM Indexer

15 Click Finish to complete the profile creation process.

16 Once you have finished the configuration of the Exact Data Profile, click the
download profile link at the Manage > Data Profiles > Exact Data screen.
The system prompts you to save the EDM profile as a file. The file extension
is *.edm. Save the file to the remote machine where you intend to run the
Remote EDM Indexer utility.

Remote EDM Indexer command options

The Indexer runs from the command line. If you are on Linux, change users to
the “protect” user before running the Indexer. (The installation program creates
the “protect” user.)
The data, profile, and result options are required with the Remote EDM Indexer.
However, if the data option is not specified, the utility reads stdin by default.
Often the data is piped from the SQL Preindexer utility.
Table 13-6 describes the command options for the Remote EDM Indexer.

Table 13-6 Remote EDM Indexer options

Option Description

-data Specifies the file with the data to be indexed.

If this option is not specified, the utility
reads data from stdin.

-encoding Specifies the character encoding of the data

to index. The default is ISO-8859-1, but data
with non-English characters should use
UTF-8 or UTF-16. Optional.

-ignore_date Overrides the expiration date of the Exact

Data Profile if the profile has expired. (By
default, an Exact Data Profile expires after
30 days.) Optional.

-profile Specifies the Exact Data Profile to be used.

(This profile is the one that is selected by
clicking the “download link” on the Exact
Data screen in the Enforce Server
management console.) Required.

-result Specifies the directory where the index files

are generated. Required.
 Using Symantec Data Loss Prevention utilities 321
About using the Remote EDM Indexer

Table 13-6 Remote EDM Indexer options (continued)

Option Description

-verbose Displays a statistical summation of the

indexing operation when the index is
complete. Optional.

For example, to specify the profile file named ExportEDMProfile.edm and place
the generated indexes in the EDMIndexDirectory directory, type:

RemoteEDMIndexer -profile=C:\ExportEDMProfile.edm
-result=C:\EDMIndexDirectory\

When the indexing process completes, the Remote EDM Indexer generates several
files in the specified result directory. These files are named after the data file that
was indexed, with one file having the .pdx extension and another file with the
.rdx extension. Note that indexing a large data file may generate multiple .rdx
files with numbered extensions. For example: my_edm.rdx.1, my_edm.rdx.2 and
so forth.

Copying and using generated index files

After you create the index files on a remote machine, the files must be copied to
the Enforce Server and loaded.
To copy and load the files on the Enforce Server
1 Go to the directory where the index files were generated. (This directory is
the one specified in the result option.)
2 Copy all of the index files with .pdx and .rdx extensions to the index directory
on the Enforce Server. This directory is located at
\SymantecDLP\Protect\Index (Windows) or /var/SyantecDLP/index (Linux).

3 From the Enforce Server administration console, navigate to the Manage >
Policies > Exact Data screen. This screen lists all the Exact Data Profiles in
the system.
4 Click the name of the Exact Data Profile you used with the Remote EDM
Indexer.
5 To load the new index files, go to the Data Source section of the Exact Data
Profile and select Load Externally Generated Index.
322 Using Symantec Data Loss Prevention utilities
About using the Remote EDM Indexer

6 In the Indexing section, select Submit Indexing Job on Save.

7 Click Save.
Consider scheduling a job on the remote machine to run the Remote EDM
Indexer on a regular basis. The job should also copy the generated files to the
index directory on the Enforce Server. You can then schedule loading the
updated index files on the Enforce Server from the profile by selecting Load
Externally Generated Index and Submit Indexing Job on Schedule and
configuring an indexing schedule.
See “Creating an EDM profile for remote indexing” on page 317.

Troubleshooting index jobs

You may encounter errors when you index large amounts of data. Often the set
of data contains a data record that is incomplete, inconsistent, or incorrectly
formatted. Data rows that contain more columns than expected or incorrect data
types often cannot be properly indexed and are unrecognized during indexing.
The rows of data with errors cannot be indexed until those errors are corrected
and the Remote EDM Indexer rerun. Symantec provides a couple of ways to get
information about any errors and the ultimate success of the indexing operation.
The Remote EDM Indexer generally displays a message that indicates whether
the indexing operation was successful or not. The result depends on the error
threshold that you specify in the profile. Any error percentage under the threshold
completes successfully. More detailed information about the indexing operation
is available with the verbose option.
Specifying the verbose option when running the Remote EDM Indexer provides
a statistical summary of information about the indexing operation after it
completes. This information includes the number of errors and where the errors
occurred.
See “Remote EDM Indexer command options” on page 320.
To see the actual rows of data that the Remote EDM Indexer failed to index, modify
the Indexer.properties file.
To modify the Indexer.properties file
1 Locate the Indexer.properties file at
\SymantecDLP\Protect\config\Indexer.properties (Windows) or
/opt/SymantecDLP/Protect/config/Indexer.properties (Linux).

2 To edit the file, open it in a text editor.

 Using Symantec Data Loss Prevention utilities 323
About using the Remote EDM Indexer

3 Locate the create_error_file property parameter and change the “false” value
to “true.”
4 Save and close the Indexer.properties file.
The Remote EDM Indexer logs errors in a file with the same name as the
indexed data file and with an .err extension. This error file is created in the
logs directory.
The rows of data that are listed in the error file are not encrypted. Encrypt
the error file to minimize any security risk from data exposure.

Uninstalling Remote Indexer on a Windows platform

The files to uninstall the Remote EDM Indexer are located in the root level of the
Symantec Data Loss Prevention installation directory. Follow this procedure to
uninstall the utility on Windows.
To uninstall Remote EDM Indexer from a Windows system
1 On the computer where the Indexer is installed, locate and run (double-click)
the \Vontu\uninstall.exe program.
The uninstallation program begins and the Uninstall screen is displayed.
2 Click Next. When the uninstallation process is complete, the Uninstall
Complete screen is displayed.
3 Click Finish to close the program.
See “About using the Remote EDM Indexer” on page 314.

Uninstalling Remote Indexer on a Linux platform

The files to uninstall the Remote EDM Indexer are located in the root level of the
Symantec Data Loss Prevention installation directory. Follow this procedure to
uninstall the utility on Linux.
To remove a Remote EDM Indexer from the command line
1 Log on as root and change to the Uninstall directory by typing:

cd /opt/Vontu/Uninstall

2 Run the Uninstall program by typing:

./Uninstall -i console

3 Follow any on-screen instructions.

324 Using Symantec Data Loss Prevention utilities
About using the Remote EDM Indexer

See “About using the Remote EDM Indexer” on page 314.

 Section 4
Authoring policies

■ Chapter 14. Introduction to policies

■ Chapter 15. Overview of policy detection

■ Chapter 16. Creating policies from templates

■ Chapter 17. Configuring policies

■ Chapter 18. Administering policies

■ Chapter 19. General policy authoring considerations

■ Chapter 20. Detecting content using Exact Data Matching (EDM)

■ Chapter 21. Detecting content using Indexed Document Matching (IDM)

■ Chapter 22. Detecting content using Vector Machine Learning (VML)

■ Chapter 23. Detecting content using Data Identifiers

■ Chapter 24. Detecting content using keyword matching

■ Chapter 25. Detecting content using regular expressions

■ Chapter 26. Detecting file properties

■ Chapter 27. Detecting network and mobile incidents

■ Chapter 28. Detecting endpoint events

326

■ Chapter 29. Detecting described identities

■ Chapter 30. Detecting synchronized identities

■ Chapter 31. Detecting profiled identities

■ Chapter 32. Detecting international content

■ Chapter 33. Detecting document metadata

■ Chapter 34. Detecting email for data classification services

■ Chapter 35. File formats

■ Chapter 36. Data identifiers

■ Chapter 37. Policy templates

 Chapter 14
Introduction to policies
This chapter includes the following topics:

■ About Data Loss Prevention policies

■ Policy components

■ Policy templates

■ Solution packs

■ Policy groups

■ Policy deployment

■ Policy severity

■ Policy authoring privileges

■ Data Profiles

■ User Groups

■ Policy import and export

■ Workflow for implementing policies

About Data Loss Prevention policies

You implement policies to detect and prevent data loss. A Symantec Data Loss
Prevention policy combines detection rules and response actions. If a policy rule
is violated, the system generates an incident that you can report and act on. The
policy rules you implement are based on your information security objectives.
The actions you take in response to policy violations are based on your compliance
requirements. The Enforce Server administration console provides an intuitive,
centralized, Web-based interface for authoring policies.
328 Introduction to policies
About Data Loss Prevention policies

See “Workflow for implementing policies” on page 337.

Table 14-1 describes the policy authoring features provided by Symantec Data
Loss Prevention.

Table 14-1 Policy authoring features

Feature Description

Intuitive policy The policy builder interface supports Boolean logic for detection configuration.
building
You can combine different detection methods and technologies in a single policy.

See “Detecting data loss” on page 339.

See “About policy authoring considerations” on page 399.

Decoupled The system stores response rules and policies as separate entities.
response rules
You can manage and update response rules without having to change policies; you can reuse
response rules across policies.

See “About response rules” on page 802.

Fine-grained policy The system provides severity levels for policy violations.
reporting
You can report the overall severity of a policy violation by the highest severity.

See “Policy severity” on page 333.

Centralized data The system stores data and group profiles separate from policies.
and group profiling
This separation enables you to manage and update profiles without changing policies.

See “Data Profiles” on page 335.

See “User Groups” on page 336.

Template-based The system provides 65 pre-built policy templates.

policy detection
You can use these templates to quickly configure and deploy policies.

See “Policy templates” on page 330.

Policy sharing The system supports policy template import and export.

You can share policy templates across environments and systems.

See “Policy import and export” on page 336.

Role-based access The system provides role-based access control for various user and administrative functions.
control
You can create roles for policy authoring, policy administration, and response rule authoring.

See “Policy authoring privileges” on page 334.

 Introduction to policies 329
Policy components

Policy components
A valid policy has at least one detection or group rule with at least one match
condition. Response rules are optional policy components.
Policy components describes Data Loss Prevention policy components.

Table 14-2 Policy components

Component Use Description

Policy group Required A policy must be assigned to a single Policy Group.

See “Policy groups” on page 331.

Policy name Required The policy name must be unique within the Policy Group

See “Manage and add policies” on page 389.

Policy rule Required A valid policy must contain at least one rule that declares at least one
match condition.

See “Policy matching conditions” on page 343.

Data Profile May be A policy requires a Data Profile if a detection method in the policy
required requires it.

Exact Data Matching (EDM), Indexed Document Matching (IDM), and

Vector Machine Learning (VML) rules require a Data Profile.

See “Data Profiles” on page 335.

User group May be A policy requires a User Group only if a group method in the policy
required requires it.

Synchronized DGM rules and exceptions require a User Group.

See “User Groups” on page 336.

Policy description Optional A policy description helps users identify the purpose of the policy.

See “Configuring policies” on page 370.

Response Rule Optional A policy can implement one or more response rules to report and
remediate incidents.

See “About response rules” on page 802.

Policy exception Optional A policy can contain one or more exceptions to exclude data from
matching.

See “Exception conditions” on page 350.

330 Introduction to policies
Policy templates

Table 14-2 Policy components (continued)

Component Use Description

Compound match Optional A policy rule or exception can implement multiple match conditions.
conditions
See “Compound conditions” on page 351.

Policy templates
Symantec Data Loss Prevention provides policy templates to help you quickly
deploy detection policies in your enterprise. You can share policies across systems
and environments by importing and exporting policy rules and exceptions as
templates.
Using policy templates saves you time and helps you avoid errors and information
gaps in your policies because the detection methods are predefined. You can edit
a template to create a policy that precisely suits your needs. You can also export
and import your own policy templates.
Some policy templates are based on well-known sets of regulations, such as the
Payment Card Industry Security Standard, Gramm-Leach-Bliley, California SB1386,
and HIPAA. Other policy templates are more generic, such as Customer Data
Protection, Employee Data Protection, and Encrypted Data. Although the
regulation-based templates can help address the requirements of the relevant
regulations, consult with your legal counsel to verify compliance.
See “Creating a policy from a template” on page 355.
Table 14-3 describes the system-defined policy templates provided by Symantec
Data Loss Prevention.

Table 14-3 System-defined policy templates

Policy template type Description

US Regulatory Enforcement See “US Regulatory Enforcement policy templates” on page 357.

UK and International Regulatory See “UK and International Regulatory Enforcement policy templates”
Enforcement on page 360.

Customer and Employee Data Protection See “Customer and Employee Data Protection policy templates”
on page 360.

Confidential or Classified Data Protection See “Confidential or Classified Data Protection policy templates”
on page 362.

Network Security Enforcement See “Network Security Enforcement policy templates” on page 363.
 Introduction to policies 331
Solution packs

Table 14-3 System-defined policy templates (continued)

Policy template type Description

Acceptable Use Enforcement See “Acceptable Use Enforcement policy templates” on page 363.

Imported Templates See “Policy import and export” on page 336.

Classification for Enterprise Vault See the Enterprise Vault Data Classification Services Implementation
Guide.

Solution packs
Symantec Data Loss Prevention provides solution packs for several industry
verticals. A solution pack contains configured policies, response rules, user roles,
reports, protocols, and the incident statuses that support a particular industry or
organization. For a list of available solution packs and instructions, refer to chapter
4, "Importing a solution pack" in the Symantec Data Loss Prevention Installation
Guide. You can import one solution pack to the Enforce Server.
Once you have imported the solution pack, start by reviewing its policies. By
default the solution pack activates the policies it provides.
See “Manage and add policies” on page 389.

Policy groups
You deploy policies to detection servers using policy groups. Policy groups limit
the policies, incidents, and detection mechanisms that are accessible to specific
users.
Each policy belongs to one policy group. When you configure a policy, you assign
it to a policy group. You can change the policy group assignment, but you cannot
assign a policy to more than one policy group. You deploy policy groups to one or
more detection servers.
The Enforce Server is configured with a single policy group called the Default
Policy Group. The system deploys the default policy group to all detection servers.
If you define a new policy, the system assigns the policy to the default policy
group, unless you create and specify a different policy group. You can change the
name of the default policy group. A solution pack creates several policy groups
and assigns policies to them.
After you create a policy group, you can link policies, Discover targets, and roles
to the policy group. When you create a Discover target, you must associate it with
a single policy group. When you associate a role with particular policy groups,
332 Introduction to policies
Policy deployment

you can restrict users in that role. Policies in that policy group detect incidents
and report them to users in the role that is assigned to that policy group.
The relationship between policy groups and detection servers depends on the
server type. You can deploy a policy group to one or more Network Monitor, Mobile
Email Monitor, Network Prevent, Mobile Prevent, or Endpoint Servers. Policy
groups that you deploy to an Endpoint Server apply to any DLP Agent that is
registered with that server. The Enforce Server automatically associates all policy
groups with all Network Discover Servers.
For Network Monitor and Network Prevent, each policy group is assigned to one
or more Network Monitor Servers, Email Prevent Servers, or Web Prevent Servers.
For Mobile Prevent, each policy group is assigned to one or more Mobile Prevent
for Web Servers. For Network Discover, policy groups are assigned to individual
Discover targets. A single detection server may handle as many policy groups as
necessary to scan its targets. For Endpoint Monitor, policy groups are assigned
to the Endpoint Server and apply to all registered DLP Agents.
See “Manage and add policy groups” on page 391.
See “Creating and modifying policy groups” on page 392.

Policy deployment
You can use policy groups to organize and deploy your policies in different ways.
For example, consider a situation in which your detection servers are set up across
a system that spans several countries. You can use policy groups to ensure that
a detection server runs only the policies that are valid for a specific location.
You can dedicate some of your detection servers to monitor internal network
traffic and dedicate others to monitor network exit points. You can use policy
groups to deploy less restrictive policies to servers that monitor internal traffic.
At the same time, you can deploy stricter policies to servers that monitor traffic
leaving your network.
You can use policy groups to organize policies and incidents by business units,
departments, geographic regions, or any other organizational unit. For example,
policy groups for specific departments may be appropriate where security
responsibilities are distributed among various groups. In such cases, policy groups
provide for role-based access control over the viewing and editing of incidents.
You deploy policy groups according to the required division of access rights within
your organization (for example, by business unit).
You can use policy groups for detection-server allocation, which may be more
common where security departments are centralized. In these cases, you would
carefully choose the detection server allocation for each role and reflect the server
 Introduction to policies 333
Policy severity

name in the policy group name. For example, you might name the groups Inbound
and Outbound, United States and International, or Testing and Production.
In more complex environments, you might consider some combination of the
following policy groups for deploying policies:
■ Sales and Marketing - US
■ Sales and Marketing - Europe
■ Sales and Marketing - Asia
■ Sales and Marketing - Australia, New Zealand
■ Human Resources - US
■ Human Resources - International
■ Research and Development
■ Customer service
Lastly, you can use policy groups to test policies before deploying them in
production, to manage legacy policies, and to import and export policy templates.
See “Policy groups” on page 331.
See “About role-based access control” on page 87.

Policy severity
When you configure a detection rule, you can select a policy severity level. You
can then use response rules to take action based on a severity level. For example,
you can configure a response rule to take action after a specified number of "High"
severity violations.
See “About response rule conditions” on page 809.
The default severity level is set to "High," unless you change it. The default severity
level applies to any condition that the detection rule matches. For example, if the
default severity level is set to "High," every detection rule violation is labeled with
this severity level. If you do not want to tag every violation with a specific severity,
you can define the criteria by which a severity level is established. In this case
the default behavior is overridden. For example, you can define the "High" severity
level to be applied only after a specified number of condition matches have
occurred.
See “Defining rule severity” on page 377.
334 Introduction to policies
Policy authoring privileges

In addition, you can define multiple severity levels to layer severity reporting.
For example, you can set the "High" severity level after 100 matches, and the
medium severity level to apply after 50 matches.

Table 14-4 Rule severity levels

Rule severity level Description

High If a condition match occurs, it is labeled "High" severity.

Medium If a condition match occurs, it is labeled "Medium" severity.

Low If a condition match occurs, it is labeled "Low" severity.

Info If a condition match occurs, it is labeled "Info" severity.

Policy authoring privileges

Policy authors configure and manage policies and their rules and exceptions. To
author policies, a user must be assigned to a role that grants the policy authoring
privilege. This role can be expanded to include management of policy groups,
scanning targets, and credentials.
Response rule authoring privileges are separate credentials from policy authoring
and administration privileges. Whether or not policy authors have response rule
authoring privileges is based on your enterprise needs.
Table 14-5 describes the typical privileges for the policy and response rule
authoring roles.

Table 14-5 Policy authoring privileges

Role privilege Description

Author Policies Add, configure, and manage policies.

Add, configure, and manage policy rules and exceptions.

Import and export policy templates.

Modify system-defined data identifiers and create custom data identifiers.

Add, configure, and manage User Groups.

Add response rules to policies (but do not create response rules).

See “About role-based access control” on page 87.

 Introduction to policies 335
Data Profiles

Table 14-5 Policy authoring privileges (continued)

Role privilege Description

Enforce Server Add, configure, and manage policy groups.

Administration
Add, configure, and manage Data Profiles.

See “Configuring roles” on page 95.

Author Response Add, configure, and manage response rules (but do not add them to policies).
Rules
See “About response rule authoring privileges” on page 812.

Data Profiles
Data Profiles are user-defined configurations that you create to implement Exact
Data Matching (EDM), Indexed Document Matching (IDM), and Vector Machine
Learning (VML) policy conditions.
See “Data Loss Prevention policy detection technologies” on page 341.
Table 14-6 describes the types of Data Profiles that the system supports.

Table 14-6 Types of Data Profiles

Data Profile type Description

Exact Data Profile An Exact Data Profile is used for Exact Data Matching (EDM) policies. The Exact Data Profile
contains data that has been indexed from a structured data source, such as a database,
directory server, or CSV file. The Exact Data Profile runs on the detection server. If an EDM
policy is deployed to an endpoint, the DLP Agent sends the message to the detection server
for evaluation (two-tier detection).

See “About the Exact Data Profile” on page 411.

See “About profiled Directory Group Matching (DGM)” on page 607.

See “About two-tier detection for EDM on the endpoint” on page 415.

Indexed Document An Indexed Document Profile is used for Indexed Document Matching (IDM) policies. The
Profile Indexed Document Profile contains data that has been indexed from a collection of
confidential documents. The Indexed Document Profile runs on the detection server. If an
IDM policy is deployed to an endpoint, the DLP Agent sends the message to the detection
server for evaluation (two-tier detection).

See “About the Indexed Document Profile” on page 444.

See “About two-tier detection for IDM on the endpoint” on page 451.
336 Introduction to policies
User Groups

Table 14-6 Types of Data Profiles (continued)

Data Profile type Description

Vector Machine A Vector Machine Learning Profile is used for Vector Machine Learning (VML) policies. The
Learning Profile Vector Machine Learning Profile contains a statistical model of the features (keywords)
extracted from content that you want to protect. The VML profile is loaded into memory
by the detection server and DLP Agent. VML does not require two-tier detection.

See “About the Vector Machine Learning Profile” on page 478.

See “Implementing Vector Machine Learning (VML)” on page 481.

User Groups
You define User Groups on the Enforce Server. User Groups contain user identity
information that you populate by synchronizing the Enforce Server with a group
directory server (Microsoft Active Directory).
You must have at least policy authoring or server administrator privileges to
define User Groups. You must define the User Groups before you synchronize
users.
Once you define a User Group, you populate it with users, groups, and business
units from your directory server. After the user group is populated, you associate
it with the User/Sender and Recipient detection rules or exceptions. The policy
only applies to members of that User Group.
See “About synchronized Directory Group Matching (DGM)” on page 599.
See “Configuring directory server connections” on page 132.
See “Creating or modifying a User Group” on page 601.

Policy import and export

You can export and import policy templates to and from the Enforce Server. This
feature lets you share policies across environments, version existing policies, and
archive legacy policies.
Consider a scenario where you author and refine a policy on a test system and
then export the policy as a template. You then import this policy to a production
system for deployment to one or more detection servers. Or, if you want to retire
a policy, you export it as a template for archiving, then remove it from the system.
See “Importing policy templates” on page 393.
See “Exporting policy detection as a template” on page 394.
 Introduction to policies 337
Workflow for implementing policies

A policy template is an XML file. The template contains the policy metadata, and
the detection and the group rules and exceptions. If a policy template contains
more than one condition that requires a Data Profile, the system imports only
one of these conditions. A policy template does not include policy response rules,
or modified or custom data identifiers.
Table 14-7 describes policy template components.

Table 14-7 Components included in policy templates

Policy component Description Included in

Template

Policy metadata (name, The name of the template has to be less than 60 characters or YES
description). it does not appear in the Imported Templates list.

Described Content Matching If the template contains only DCM methods, it imports as YES
(DCM) rules and exceptions exported without changes.

Exact Data Matching (EDM) If the template contains multiple EDM or IDM match YES
and Indexed Document conditions, only one is exported.
Matching (IDM) conditions
If the template contains an EDM and an IDM condition, the
system drops the IDM.

User Group User group methods are maintained on import only if the user NO
groups exist on the target before import.

Policy Group Policy groups do not export. On import you can select a local NO
policy group, otherwise the system assigns the policy to the
Default Policy group.

Response Rules You must define and add response rules to policies from the NO
local Enforce Server instance.

Data Profiles On import you must reference a locally defined Data Profile, NO
otherwise the system drops any methods that require a Data
Profile.

Custom data identifiers Modified and custom data identifiers do not export. NO

Custom protocols Custom protocols do not export. NO

Policy state Policy state (Active/Suspended) does not export. NO

Workflow for implementing policies

Policies define the content, event context, and identities you want to detect.
Policies may also define response rule actions if a policy is violated. Successful
338 Introduction to policies
Workflow for implementing policies

policy creation is a process that requires careful analysis and proper configuration
to achieve optimum results.
Table 14-8 describes the typical workflow for implementing Data Loss Prevention
policies.

Table 14-8 Policy implementation process

Action Description

Familiarize yourself with the different types of See “Detecting data loss” on page 339.
detection technologies and methods that Symantec
See “Data Loss Prevention policy detection technologies”
Data Loss Prevention provides, and considerations for
on page 341.
authoring data loss prevention policies.
See “Policy matching conditions” on page 343.

See “About policy authoring considerations” on page 399.

Develop a policy detection strategy that defines the See “Develop a policy strategy that supports your data
type of data you want to protect from data loss. security objectives” on page 400.

Review the policy templates that ship with Symantec See “Policy templates” on page 330.
Data Loss Prevention, and any templates that you
See “Solution packs” on page 331.
import manually or by solution pack.

Create policy groups to control how your policies are See “Policy groups” on page 331.
accessed, edited, and deployed.
See “Policy deployment” on page 332.

To detect exact data or content or similar unstructured See “Data Profiles” on page 335.
data, create one or more Data Profiles.

To detect exact identities from a synchronized See “User Groups” on page 336.
directory server (Active Directory), configure one or
more User Groups.

Configure conditions for detection and group rules and See “Creating a policy from a template” on page 355.
exceptions.

Test and tune your policies. See “Test and tune policies to improve match accuracy”
on page 402.

Add response rules to the policy to take action when See “About response rules” on page 802.
the policy is violated.

Manage the policies in your enterprise. See “Manage and add policies” on page 389.
 Chapter 15
Overview of policy detection
This chapter includes the following topics:

■ Detecting data loss

■ Data Loss Prevention policy detection technologies

■ Policy matching conditions

■ Detection messages and message components

■ Exception conditions

■ Compound conditions

■ Policy detection execution

■ Two-tier detection for DLP Agents

Detecting data loss

Symantec Data Loss Prevention detects data from virtually any type of message
or file, any user, sender, or recipient, wherever your data or endpoints exist. You
can use Data Loss Prevention to detect both the content and the context of data
within your enterprise. You define and manage your detection policies from the
centralized, Web-based Enforce Server administration console.
See “Content that can be detected” on page 340.
See “Files that can be detected” on page 340.
See “Protocols that can be monitored” on page 340.
See “Endpoint events that can be detected” on page 341.
See “Identities that can be detected” on page 341.
See “Languages that can be detected” on page 341.
340 Overview of policy detection
Detecting data loss

Content that can be detected

Symantec Data Loss Prevention detects data and document content, including
text, markup, presentations, spreadsheets, archive files and their contents, email
messages, database files, designs and graphics, multimedia files, and more. For
example, the system can open a compressed file and scan a Microsoft Word
document within the compressed file for the keyword "confidential." If the keyword
is matched, the detection engine flags the message as an incident.
Content-based detection is based on actual content, not the file itself. A detection
server can detect extracts or derivatives of protected or described content. This
content may include sections of documents that have been copied and pasted to
other documents or emails. A detection server can also identify sensitive data in
a different file format than the source file. For example, if a confidential Word
file is fingerprinted, the detection engine can match the content emailed in a PDF
attachment.
See “Content matching conditions” on page 344.

Files that can be detected

Symantec Data Loss Prevention recognizes many types of files and attachments
based on their context, including file type, file name, and file size. Symantec Data
Loss Prevention identifies over 300 types of files, including word-processing
formats, multimedia files, spreadsheets, presentations, pictures, encapsulation
formats, encryption formats, and others.
For file type detection, the system does not rely on the file extension to identify
the file type. For example, the system recognizes a Microsoft Word file even if a
user changes the file extension to .txt. In this case the detection engine checks
the binary signature of the file to match its type.
See “File property matching conditions” on page 345.

Protocols that can be monitored

Symantec Data Loss Prevention detects messages on the network by identifying
the protocol signature: email (SMTP), Web (HTTP), file transfer (FTP), newsgroups
(NNTP), TCP, Telnet, and SSL.
You can configure a detection server to listen on non-default ports for data loss
violations. For example, if your network transmits Web traffic on port 81 instead
of port 80, the system still recognizes the transmitted content as HTTP.
See “Protocol matching condition for network and mobile” on page 346.
 Overview of policy detection 341
Data Loss Prevention policy detection technologies

Endpoint events that can be detected

Symantec Data Loss Prevention lets you detect data loss violations at several
endpoint destinations. These destinations include the local drive, CD/DVD drive,
removable storage devices, network file shares, Windows Clipboard, printers and
faxes, and application files. You can also detect protocol events on the endpoint
for email (SMTP), Web (HTTP), and file transfer (FTP) traffic.
For example, the DLP Agent (installed on each endpoint computer) can detect the
copying of a confidential file to a USB device. Or, the DLP Agent can allow the
copying of files only to a specific class of USB device that meets corporate
encryption requirements.
See “Endpoint matching conditions” on page 347.

Identities that can be detected

Symantec Data Loss Prevention lets you detect the identity of data users, message
senders, and message recipients using a variety of methods. These methods include
described identity patterns and exact identities matched from a directory server
or a corporate database.
For example, you can detect email messages sent by a specific user, or allow email
messages sent to or from a specific group of users as defined in your Microsoft
Active Directory server
See “Groups (identity) matching conditions” on page 348.

Languages that can be detected

Symantec Data Loss Prevention provides broad international support for detecting
data loss in many languages. Supported languages include most Western and
Central European languages, Hebrew, Arabic, Chinese (simplified and traditional),
Japanese, Korean, and more.
The detection engine uses Unicode internally. You can build localized policy rules
and exceptions using any detection technology in any supported language.
See “Supported languages for detection” on page 66.
See “About implementing non-English language detection” on page 613.

Data Loss Prevention policy detection technologies

Symantec Data Loss Prevention provides several types of detection technologies
to help you author policies to detect data loss. Each type of detection technology
provides unique capabilities. Often you combine technologies in policies to achieve
342 Overview of policy detection
Data Loss Prevention policy detection technologies

precise detection results. In addition, Symantec Data Loss Prevention provides

you with several ways to extend policy detection and match any type of data,
content, or files you want.
See “About Data Loss Prevention policies” on page 327.
See “About policy authoring considerations” on page 399.
Table 15-1 lists the various types of the detection technologies and customizations
provided by Data Loss Prevention.

Table 15-1 Data Loss Prevention detection technologies

Technology Description

Exact Data Matching (EDM) Use EDM to detect personally identifiable information.

See “About Exact Data Matching (EDM)” on page 409.

Indexed Document Matching Use IDM to detect exact files and file contents, and derivative content.
(IDM)
See “About Indexed Document Matching (IDM)” on page 443.

Vector Machine Learning Use VML to detect similar document content.

(VML)
See “About Vector Machine Learning (VML)” on page 477.

Directory Group Matching Use DGM to detect exact identities synchronized from a directory server or profiled
(DGM) from a database.

See “About profiled Directory Group Matching (DGM)” on page 607.

Described Content Matching Use DCM to detect message content and context, including:
(DCM)
■ Data Identifiers to match content using precise patterns and data validators.
See “About Data Identifiers” on page 509.
■ Keywords to detect content using key words, key phrases, and keyword
dictionaries.
See “About keyword matching” on page 549.
■ Regular Expressions to detect characters, patterns, and strings.
See “About regular expression matching” on page 557.
■ File properties to detect files by type, name, size, and custom type.
See “About file property matching” on page 563.
■ User, sender, and recipient patterns to detect described identities.
See “About described identity matching” on page 591.
■ Protocol signatures to detect network and mobile traffic.
See “About protocol monitoring for network” on page 573.
■ Destinations, devices, and protocols to detect endpoint events.
See “About endpoint event detection” on page 579.
 Overview of policy detection 343
Policy matching conditions

Table 15-1 Data Loss Prevention detection technologies (continued)

Technology Description

Custom policy detection Data Loss Prevention provides methods for customizing and extending detection,
methods including:

■ Custom Data Identifiers

Implement your own data identifier patterns and system-defined validators.
See “About Data Identifiers” on page 509.
■ Custom script validators for Data Identifiers
Use the Symantec Data Loss Prevention Scripting Language to validate custom
data types.
See “Implementing custom Data Identifiers” on page 537.
■ Custom file type identification
Use the Symantec Data Loss Prevention Scripting Language to detect custom file
types.
See “About custom file type identification” on page 564.
■ Custom endpoint device detection
Detect or allow any endpoint device using regular expressions.
See “About endpoint device detection” on page 581.
■ Custom network protocol detection
Define custom TCP ports to tap.
See “About protocol monitoring for network” on page 573.
■ Custom content extraction
Use a plug-in to identify custom file formats and extract file contents for analysis
by the detection server.

Policy matching conditions

Symantec Data Loss Prevention provides several types of match conditions, each
offering unique detection capabilities. You implement match conditions in policies
as rules or exceptions. Detection rules use conditions to match message content
or context. Group rules use conditions to match identities. You can also use
conditions as detection and group policy exceptions.
See “Exception conditions” on page 350.
Table 15-2 lists the various types of policy matching conditions provided by Data
Loss Prevention.

Table 15-2 Policy match condition types

Condition type Description

Content See “Content matching conditions” on page 344.

344 Overview of policy detection
Policy matching conditions

Table 15-2 Policy match condition types (continued)

Condition type Description

File property See “File property matching conditions” on page 345.

Protocol See “Protocol matching condition for network and mobile” on page 346.

Endpoint See “Endpoint matching conditions” on page 347.

Groups (identity) See “Groups (identity) matching conditions” on page 348.

Content matching conditions

Symantec Data Loss Prevention provides several conditions to match message
content. Certain content conditions require an associated Data Profile and index.
For content detection, you can match on individual message components, including
header, body, attachments, and subject for some conditions.
See “Detection messages and message components” on page 349.
See “Content that can be detected” on page 340.
Table 15-3 lists the content matching conditions that you can use without a Data
Profile and index.

Table 15-3 Content matching conditions

Content rule type Description

Content Matches Regular Match described content using regular expressions.

Expression
See “About regular expression matching” on page 557.

See “Configuring the Content Matches Regular Expression condition” on page 559.

Content Matches Keyword Match described content using keywords, key phrases, and keyword dictionaries

See “About keyword matching” on page 549.

See “Configuring the Content Matches Keyword condition” on page 552.

Content Matches Data Match described content using Data Identifier patterns and validators.
Identifier
See “About Data Identifiers” on page 509.

See “Configuring the Content Matches Data Identifier condition” on page 528.

Table 15-4 lists the content matching conditions that require a Data Profile and
index.
See “Data Profiles” on page 335.
 Overview of policy detection 345
Policy matching conditions

See “Two-tier detection for DLP Agents” on page 353.

Table 15-4 Index-based content matching conditions

Content rule type Description

Content Matches Exact Data Match exact data profiled from a structured data source such as a database or CSV
From an Exact Data Profile file.
(EDM)
See “About Exact Data Matching (EDM)” on page 409.

See “Configuring the Content Matches Exact Data condition” on page 429.
Note: This condition requires two-tier detection on the endpoint. See “About
two-tier detection for EDM on the endpoint” on page 415.

Content Matches Document Match files and file contents exactly or partially using fingerprinting
Signature From an Indexed
See “About Indexed Document Matching (IDM)” on page 443.
Document Profile (IDM)
See “Configuring the Content Matches Document Signature condition” on page 468.
Note: This condition requires two-tier detection on the endpoint. See “About
two-tier detection for IDM on the endpoint” on page 451.

Detect using Vector Machine Match file contents with features similar to example content you have trained.
Learning profile (VML)
See “About Vector Machine Learning (VML)” on page 477.

See “Configuring the Detect using Vector Machine Learning Profile condition”
on page 493.

File property matching conditions

Symantec Data Loss Prevention provides several conditions to match file
properties, including file type, file size, and file name.
See “Files that can be detected” on page 340.

Table 15-5 File property match conditions

Condition type Description

Message Attachment or File Match specific file formats and document attachments.
Type Match
See “About file type matching” on page 563.

See “Configuring the Message Attachment or File Type Match condition”

on page 567.
346 Overview of policy detection
Policy matching conditions

Table 15-5 File property match conditions (continued)

Condition type Description

Message Attachment or File Match files or attachments over or under a specified size.
Size Match
See “About file size matching” on page 564.

See “Configuring the Message Attachment or File Size Match condition” on page 568.

Message Attachment or File Match files or attachments that have a specific name or match wildcards.
Name Match
See “About file name matching” on page 565.

See “Configuring the Message Attachment or File Name Match condition”

on page 569.

Message/Email Properties and Classify Microsoft Exchange email messages based on specific message attributes
Attributes (MAPI attributes).

See “Configuring the Message/Email Properties and Attributes condition”

on page 630.
Note: This condition is available for use with Data Classification for Enterprise
Vault. See the Enterprise Vault Data Classification Services Implementation Guide.

Custom File Type Signature Match custom file types based on their binary signature using scripting.

See “About custom file type identification” on page 564.

See “Enabling custom file type detection” on page 569.

Protocol matching condition for network and mobile

Symantec Data Loss Prevention provides the single Protocol Monitoring condition
to match network and mobile traffic for policy detection rules and exceptions.
See “Protocols that can be monitored” on page 340.
 Overview of policy detection 347
Policy matching conditions

Table 15-6 Protocol matching condition for network and mobile monitoring

Match condition Description

Protocol Monitoring Match incidents on the network transmitted using a specified protocol, including
SMTP, FTP, HTTP/S, IM, and NNTP.

See “About protocol monitoring for network” on page 573.

See “Configuring the Protocol Monitoring condition for network detection”

on page 575.

Match incidents sent to and from mobile devices over the HTTP/S and FTP
protocols.

See “About protocol monitoring for mobile” on page 574.

See “Configuring the Protocol Monitoring condition for mobile detection”

on page 576.

Endpoint matching conditions

Symantec Data Loss Prevention provides several conditions for matching endpoint
events.
See “Endpoint events that can be detected” on page 341.

Table 15-7 Endpoint matching conditions

Condition Description

Protocol or Endpoint Match endpoint messages transmitted using a specified transport protocol or
Monitoring when data is moved or copied to a particular destination.

See “About endpoint event detection” on page 579.

See “Configuring the Endpoint Monitoring condition” on page 582.

Endpoint Device Class or ID Match endpoint events occurring on specified hardware devices.

See “About endpoint event detection” on page 579.

See “Configuring the Endpoint Device Class or ID condition” on page 585.

Endpoint Location Match endpoint events depending if the DLP Agent is on or off the corporate
network.

See “About endpoint event detection” on page 579.

See “Configuring the Endpoint Location condition” on page 584.

348 Overview of policy detection
Policy matching conditions

Groups (identity) matching conditions

Symantec Data Loss Prevention provides several conditions for matching the
identity of users and groups, and message senders and recipients.
See “Identities that can be detected” on page 341.
See “Two-tier detection for DLP Agents” on page 353.

Table 15-8 Available group rules for identity matching

Group rule Description

Sender/User Matches Pattern Match message senders and users by email address, user ID, IM screen name,
and IP address.

See “About described identity matching” on page 591.

See “Configuring the Sender/User Matches Pattern condition” on page 593.

Recipient Matches Pattern Match message recipients by email or IP address, or Web domain.

See “About described identity matching” on page 591.

See “Configuring the Recipient Matches Pattern condition” on page 595.

Sender/User based on a Match message senders and users from a synchronized directory server.
Directory Server Group
See “About synchronized Directory Group Matching (DGM)” on page 599.

See “Configuring the Sender/User based on a Directory Server Group condition”

on page 603.

Sender/User based on a Match message senders and users from a profiled directory server.
Directory from: an Exact Data
See “About profiled Directory Group Matching (DGM)” on page 607.
Profile
See “Configuring the Sender/User based on a Profiled Directory condition”
on page 610.
Note: This condition requires two-tier detection on the endpoint. See “About
two-tier detection for profiled DGM” on page 608.

Recipient based on a Directory Match message recipients from a synchronized directory server.
Server Group
See “About synchronized Directory Group Matching (DGM)” on page 599.

See “Configuring the Recipient based on a Directory Server Group condition”

on page 604.
Note: This condition requires two-tier detection on the endpoint. See “About
two-tier detection for synchronized DGM” on page 600.
 Overview of policy detection 349
Detection messages and message components

Table 15-8 Available group rules for identity matching (continued)

Group rule Description

Recipient based on a Directory Match message recipients from a profiled directory server.
from: an Exact Data Profile
See “Implementing profiled DGM” on page 608.

See “Configuring the Recipient based on a Profiled Directory condition”

on page 611.
Note: This condition requires two-tier detection on the endpoint. See “About
two-tier detection for profiled DGM” on page 608.

Detection messages and message components

Data Loss Prevention detection servers and DLP Agents receive input data for
analysis in the form of messages. The system determines the message type; for
example, an email or a Word document. Depending on the message type, the
system either parses the message content into components (header, subject, body,
attachments), or it leaves the message intact. The system evaluates the message
or message components to see if any policy match conditions apply. If a condition
applies and it supports component matching, the system evaluates the content
against each selected message component. If the condition does not support
component matching, the system evaluates the entire message against the match
condition.
See “Selecting components to match on” on page 380.
The content-based conditions support cross-component matching. You can
configure the DCM content conditions to match across all message components.
The EDM condition matches on message envelope, body, and attachments. The
document conditions match on the message body and attachments, except File
Type and Name which only match on the attachment. Protocol, endpoint, and
identity conditions match on the entire message, as does any condition evaluated
by the DLP Agent. The subject component only applies to SMTP email or NNTP
messages, and Data Classification.
See “About matching on the message Subject for Data Classification Services”
on page 628.
Table 15-9 summarizes the component matching supported by each match
condition type.
350 Overview of policy detection
Exception conditions

Table 15-9 Message components to match on

Condition type Envelope Subject Body Attachment(s)

Described content (DCM) match match match match

Keyword, Data Identifier, Regular

Expression conditions

Exact Data Matching (EDM) match match match

Indexed Document Matching match match

(IDM)

Vector Machine Learning (VML) match match

File Size (DCM) match match

File Type and File Name (DCM) match

Protocol (DCM) match (entire message)

Endpoint (DCM) match (entire message)

Identity (DCM and DGM) match (entire message)

Any condition evaluated by a DLP match (entire message)

Agent

Exception conditions
Symantec Data Loss Prevention provides policy exceptions to exclude messages
and message components from matching. You can use exception conditions to
refine the scope of your detection and group rules.
See “Use a limited number of exceptions to narrow detection scope” on page 404.
The system evaluates an inbound message or message component against policy
exceptions before policy rules. If the exception supports cross-component matching
(content-based exceptions), the exception can be configured to match on individual
message components. Otherwise, the exception matches on the entire message.
If an exception is met, the system ejects the entire message or message component
containing the content that triggered the exception. The ejected message or
message component is no longer available for evaluation against policy rules. The
system does not discard only the matched content or data item; it discards the
entire message or message component that contained the excepted item.
 Overview of policy detection 351
Compound conditions

Note: Symantec Data Loss Prevention does not support match-level exceptions,
only component or message-level exceptions.

For example, consider a policy that has a detection rule with one condition and
an exception with one condition. The rule matches messages containing Microsoft
Word attachments and generates an incident for each match. The exception
excludes from matching messages from ceo@company.com. An email from
ceo@company.com that contains a Word attachment is excepted from matching
and does not trigger an incident. The detection exception condition excluding
ceo@company.com messages takes precedence over the detection rule match
condition that would otherwise match on the message.
See “Policy detection execution” on page 352.
You can implement any condition as an exception, except the EDM condition
Content Matches Exact Data From. In addition, Network Prevent for Web does
not support synchronized DGM exceptions. You can implement IDM as an
exception, but the exception excludes exact files from matching, not file contents.
To exclude file contents, you "whitelist" it. VML can be used as an exception if the
content is from the same category.
See “Adding an exception to a policy” on page 381.
See “CAN-SPAM Act policy template” on page 727.
See “Whitelisting file contents to exclude from matching” on page 453.

Compound conditions
A valid policy must declare at least one rule that defines at least one match
condition. The condition matches input data to detect data loss. A rule with a
single condition is a simple rule. Optionally, you can declare multiple conditions
within a single detection or group rule. A rule with multiple conditions is a
compound condition.
For compound conditions, each condition in the rule must match to trigger a
violation. Thus, for a single policy that declares one rule with two conditions, if
one condition matches but the other does not, detection does not report a match.
If both conditions match, detection reports a match, assuming that the rule is set
to count all matches. In programmatic terms, two or more conditions in the same
rule are ANDed together.
Like rules, you can declare multiple conditions within a single exception. In this
case, all conditions in the exception must match for the exception to apply.
See “Policy detection execution” on page 352.
352 Overview of policy detection
Policy detection execution

See “Use compound conditions to improve match accuracy” on page 404.

See “Exception conditions” on page 350.

Policy detection execution

You can include any combination of detection rules, group rules, and exceptions
in a single policy. A detection server evaluates policy exceptions first. If any
exception is met, the entire message or message component matching the
exception is ejected and is no longer available for policy matching.
The detection server evaluates the detection and group rules in the policy on a
per-rule basis. In programmatic terms, where you have a single policy definition,
the connection between conditions in the same rule or exception is AND (compound
conditions). The connection between two or more rules of the same type is OR
(for example, 2 detection rules). But, if you combine rules of different type in a
single policy (for example, 1 detection rule and 1 group rule), the connection
between the rules is AND. In this configuration both rules must match to trigger
an incident. However, exception conditions created across the "Detection" and
"Groups" tabs are connected by an implicit OR.
See “Compound conditions” on page 351.
See “Exception conditions” on page 350.
Table 15-10 summarizes the policy condition execution logic for the detection
server for various policy configurations.

Table 15-10 Policy condition execution logic

Policy configuration Logic Description

Compound conditions AND If a single rule or exception in a policy contains two or more
match conditions, all conditions must match.

Rules or exceptions of same OR If there are two detection rules in a single policy, or two group
type rules in a single policy, or two exceptions of the same type
(detection or group), the rules or exceptions are independent
of each other.

Rules of different type AND If one or more detection rules is combined with one or more
group rules in a single policy, the rules are dependent.

Exceptions of different type OR If one or more detection exceptions is combined with one or
more group exceptions in a single policy, the exceptions are
independent.
 Overview of policy detection 353
Two-tier detection for DLP Agents

Two-tier detection for DLP Agents

Symantec Data Loss Prevention uses a two-tier detection architecture to analyze
activity on endpoint computers for some index-based match conditions.
Two-tier detection requires communication and data transfer between the DLP
Agent and the Endpoint Server to detect incidents. If a match condition requires
two-tier detection, the condition is not evaluated locally on the endpoint by the
DLP Agent. Instead, the DLP Agent sends the data to the Endpoint Server for
policy evaluation.
See “About policies for endpoints” on page 1319.
The effect of two-tier detection is that policy evaluation is delayed for the time it
takes the data to be sent to and evaluated by the Endpoint Server. If the DLP Agent
is not connected to the network or cannot communicate with the Endpoint Server,
the condition requiring two-tier detection is not evaluated until the DLP Agent
connects. This delay can impact performance of the DLP Agent if the message is
a large file or attachment.
See “Troubleshooting policies” on page 396.
Two-tier detection has implications for the kinds of policies you author for
endpoint computers. You can reduce the potential bottleneck of two-tier detection
by being aware of the detection conditions that require two-tier detection and
author your endpoint policies in such a way to eliminate or reduce the need for
two-tier detection.
See “Author policies to limit the potential effect of two-tier detection” on page 405.
Table 15-11 lists the detection conditions that require two-tier detection on the
endpoint.

Note: You cannot combine an Endpoint Prevent: Notify or Block response rule
with two-tier match conditions, including Exact Data Matching (EDM), Indexed
Document Matching (IDM), and Directory Group Matching (DGM). If you do, the
system displays a warning for both the detection condition and the response rule.

Table 15-11 Policy matching conditions requiring two-tier detection

Detection technology Match condition Description

Exact Data Matching (EDM) Content Matches Exact Data from an See “About Exact Data Matching
Exact Data Profile (EDM)” on page 409.

See “About two-tier detection for EDM

on the endpoint” on page 415.
354 Overview of policy detection
Two-tier detection for DLP Agents

Table 15-11 Policy matching conditions requiring two-tier detection (continued)

Detection technology Match condition Description

Profiled Directory Group Matching Sender/User based on a Directory See “About profiled Directory Group
(DGM) from an Exact Data Profile Matching (DGM)” on page 607.

Recipient based on a Directory from See “About two-tier detection for

an Exact Data Profile profiled DGM” on page 608.

Synchronized Directory Group Recipient based on a Directory See “About synchronized Directory
Matching (DGM) Server Group Group Matching (DGM)” on page 599.

See “About two-tier detection for

synchronized DGM” on page 600.

Indexed Document Matching (IDM) Content Matches Document See “About Indexed Document
Signaturefrom an Indexed Document Matching (IDM)” on page 443.
Profile
See “About two-tier detection for IDM
on the endpoint” on page 451.
 Chapter 16
Creating policies from
templates
This chapter includes the following topics:

■ Creating a policy from a template

■ US Regulatory Enforcement policy templates

■ UK and International Regulatory Enforcement policy templates

■ Customer and Employee Data Protection policy templates

■ Confidential or Classified Data Protection policy templates

■ Network Security Enforcement policy templates

■ Acceptable Use Enforcement policy templates

■ Choosing an Exact Data Profile

■ Choosing an Indexed Document Profile

Creating a policy from a template

You can create a policy from a system-provided template or from a template you
import to the Enforce Server.
See “Policy templates” on page 330.
See “Policy import and export” on page 336.
356 Creating policies from templates
Creating a policy from a template

Table 16-1 Create a policy from a template

Action Description

Add a policy from a template. See “Adding a new policy or policy template” on page 369.

Choose the template you want to At the Manage > Policies > Policy List > New Policy - Template List screen the
use. system lists all policy templates.
System-provided template categories:

■ See “US Regulatory Enforcement policy templates” on page 357.

■ See “UK and International Regulatory Enforcement policy templates”
on page 360.
■ See “Customer and Employee Data Protection policy templates” on page 360.
■ See “Confidential or Classified Data Protection policy templates” on page 362.
■ See “Network Security Enforcement policy templates” on page 363.
■ See “Acceptable Use Enforcement policy templates” on page 363.
Imported Templates appear individually after import:

■ See “Importing policy templates” on page 393.

Note: See the Enterprise Vault Data Classification Services Implementation Guide
for information about Classification policy templates.

Click Next to configure the For example, select the Webmail policy template and click Next.
policy.
See “Configuring policies” on page 370.

Choose a Data Profile (if If the template relies on one or more Data Profiles, the system prompts you to
prompted). select each:

■ Exact Data Profile

See “Choosing an Exact Data Profile” on page 365.
■ Indexed Document Profile
See “Choosing an Indexed Document Profile” on page 366.
If you do not have a Data Profile, you can either:

■ Cancel the policy definition process, define the profile, and resume creating
the policy from the template.
■ Click Next to configure the policy.
On creation of the policy, the system drops any rules or exceptions that rely
on the Data Profile.
Note: You should use a profile if a template calls for it.
 Creating policies from templates 357
US Regulatory Enforcement policy templates

Table 16-1 Create a policy from a template (continued)

Action Description

Edit the policy name or If you intend to modify a system-defined template, you may want to change the
description (optional). name so you can distinguish it from the original.

See “Configuring policies” on page 370.

Note: If you want to export the policy as a template, the policy name must be less
than 60 characters. If it is more, the template does not appear in the Imported
Templates section of the Template List screen.

Select a policy group (if If you have defined a policy group, select it from the Policy Group list.
necessary).
See “Creating and modifying policy groups” on page 392.

If you have not defined a policy group, the system deploys the policy to the Default
Policy Group.

Edit the policy rules or The Configure Policy screen displays the rules and exceptions (if any) provided
exceptions (if necessary). by the policy.

You can modify, add, and remove policy rules and exceptions to meet your
requirements.

See “Configuring policy rules” on page 374.

See “Configuring policy exceptions” on page 384.

Save the policy and export it Click Save to save the policy.
(optional).
You can export policy detection as a template for sharing or archiving.
See “Exporting policy detection as a template” on page 394.

For example, if you changed the configuration of a system-defined policy template,

you may want to export it for sharing across environments.

Test and tune the policy Test and tune the policy using data the policy should and should not detect.
(recommended).
Review the incidents that the policy generates. Refine the policy rules and
exceptions as necessary to reduce false positives and false negatives.

Add response rules (optional). Add response rules to the policy to report and remediate violations.

See “Implementing response rules” on page 813.

Note: Response rules are not included in policy templates.

US Regulatory Enforcement policy templates

Symantec Data Loss Prevention provides several policy templates supporting US
Regulatory Enforcement guidelines.
358 Creating policies from templates
US Regulatory Enforcement policy templates

See “Creating a policy from a template” on page 355.

Table 16-2 US Regulatory Enforcement policy templates

Policy template Description

CAN-SPAM Act Establishes requirements for sending commercial email.

See “CAN-SPAM Act policy template” on page 727.

Defense Message System (DMS) GENSER Detects information classified as confidential.

Classification
See “Defense Message System (DMS) GENSER Classification
policy template” on page 735.

Export Administration Regulations (EAR) Enforces the U.S. Department of Commerce Export
Administration Regulations (EAR).

See “Export Administration Regulations (EAR) policy template”

on page 740.

FACTA 2003 (Red Flag Rules) Enforces sections 114 and 315 (or Red Flag Rules) of the Fair and
Accurate Credit Transactions Act (FACTA) of 2003.

See “FACTA 2003 (Red Flag Rules) policy template” on page 741.

Gramm-Leach-Bliley This policy limits sharing of consumer information by financial

institutions.

See “Gramm-Leach-Bliley policy template” on page 747.

HIPAA and HITECH (including PHI) This policy enforces the US Health Insurance Portability and
Accountability Act (HIPAA).
See “HIPAA and HITECH (including PHI) policy template”
on page 749.

International Traffic in Arms Regulations (ITAR) This policy enforces the US Department of State ITAR provisions.

See “International Traffic in Arms Regulations (ITAR) policy

template” on page 755.

NASD Rule 2711 and NYSE Rules 351 and 472 This policy protects the name(s) of any companies that are
involved in an upcoming stock offering.

See “NASD Rule 2711 and NYSE Rules 351 and 472 policy
template” on page 759.

NASD Rule 3010 and NYSE Rule 342 This policy monitors brokers-dealers communications.

See “NASD Rule 3010 and NYSE Rule 342 policy template”
on page 760.
 Creating policies from templates 359
US Regulatory Enforcement policy templates

Table 16-2 US Regulatory Enforcement policy templates (continued)

Policy template Description

NERC Security Guidelines for Electric Utilities This policy detects the information that is outlined in the North
American Electric Reliability Council (NERC) security guidelines
for the electricity sector.

See “NERC Security Guidelines for Electric Utilities policy

template” on page 762.

Office of Foreign Assets Control (OFAC) This template detects communications involving targeted OFAC
groups.

See “Office of Foreign Assets Control (OFAC) policy template”

on page 766.

OMB Memo 06-16 and FIPS 199 Regulations This template detects information that is classified as
confidential.

See “OMB Memo 06-16 and FIPS 199 Regulations policy template”
on page 768.

Payment Card Industry Data Security Standard This template detects Visa and MasterCard credit card number
data.

See “Payment Card Industry (PCI) Data Security Standard policy

template” on page 770.

Sarbanes-Oxley This template detects sensitive financial data.

See “Sarbanes-Oxley policy template” on page 778.

SEC Fair Disclosure Regulation This template detects data disclosure of material financial
information.

See “SEC Fair Disclosure Regulation policy template” on page 780.

State Data Privacy This template detects breaches of state-mandated confidentiality.

See “State Data Privacy policy template” on page 784.

US Intelligence Control Markings (CAPCO) and This template detects authorized terms to identify classified
DCID 1/7 information in the US Federal Intelligence community.

See “US Intelligence Control Markings (CAPCO) and DCID 1/7

policy template” on page 791.
360 Creating policies from templates
UK and International Regulatory Enforcement policy templates

UK and International Regulatory Enforcement policy

templates
Symantec Data Loss Prevention provides several policy templates for UK and
International Regulatory Enforcement.
See “Creating a policy from a template” on page 355.

Table 16-3 UK and International Regulatory Enforcement policy templates

Policy template Description

Caldicott Report This policy protects UK patient information.

See “Caldicott Report policy template” on page 725.

UK Data Protection Act 1998 This policy protects personal identifiable information.

See “Data Protection Act 1998 (UK) policy template” on page 733.

EU Data Protection Directives This policy detects personal data specific to the EU directives.

See “Data Protection Directives (EU) policy template” on page 734.

Human Rights Act 1998 This policy enforces Article 8 of the act for UK citizens.

See “Human Rights Act 1998 policy template” on page 753.

PIPEDA This policy detects Canadian citizen customer data.

See “PIPEDA policy template” on page 771.

Customer and Employee Data Protection policy

templates
Symantec Data Loss Prevention provides several policy templates for Customer
and Employee Data Protection.
See “Creating a policy from a template” on page 355.

Table 16-4 Customer and Employee Data Protection policy templates

Policy template Description

Canadian Social Insurance Numbers This policy detects patterns indicating Canadian social insurance
numbers.

See “Canadian Social Insurance Numbers policy template” on page 727.

 Creating policies from templates 361
Customer and Employee Data Protection policy templates

Table 16-4 Customer and Employee Data Protection policy templates

(continued)

Policy template Description

Credit Card Numbers This policy detects patterns indicating credit card numbers.

See “Credit Card Numbers policy template” on page 731.

Customer Data Protection This policy detects customer data.

See “Customer Data Protection policy template” on page 731.

Employee Data Protection This policy detects employee data.

See “Employee Data Protection policy template” on page 738.

Individual Taxpayer Identification Numbers This policy detects IRS-issued tax processing numbers.
(ITIN)
See “Individual Taxpayer Identification Numbers (ITIN) policy
template” on page 755.

SWIFT Codes This policy detects codes banks use to transfer money across
international borders.

See “SWIFT Codes policy template” on page 788.

UK Drivers License Numbers This policy detects UK Drivers License Numbers.

See “UK Drivers License Numbers policy template” on page 789.

UK Electoral Roll Numbers This policy detects UK Electoral Roll Numbers.

See “UK Electoral Roll Numbers policy template” on page 789.

UK National Insurance Numbers This policy detects UK National Insurance Numbers.

See “UK National Insurance Numbers policy template” on page 790.

UK National Health Service Number This policy detects personal identification numbers issued by the
NHS.

See “UK National Health Service (NHS) Number policy template”

on page 790.

UK Passport Numbers This policy detects valid UK passports.

See “UK Passport Numbers policy template” on page 791.

UK Tax ID Numbers This policy detects UK Tax ID Numbers.

See “UK Tax ID Numbers policy template” on page 791.

US Social Security Numbers This policy detects patterns indicating social security numbers.

See “US Social Security Numbers policy template” on page 793.

362 Creating policies from templates
Confidential or Classified Data Protection policy templates

Confidential or Classified Data Protection policy

templates
Symantec Data Loss Prevention provides several policy templates for Confidential
or Classified Data Protection.
See “Creating a policy from a template” on page 355.

Table 16-5 Confidential or Classified Data Protection policy templates

Policy template Description

Confidential Documents This policy detects company-confidential documents.

See “Confidential Documents policy template” on page 730.

Design Documents This policy detects various types of design documents.

See “Design Documents policy template” on page 737.

Encrypted Data This policy detects the use of encryption by a variety of methods.

See “Encrypted Data policy template” on page 739.

Financial Information This policy detects financial data and information.

See “Financial Information policy template” on page 745.

Merger and Acquisition Agreements This policy detects information and communications about upcoming
merger and acquisition activity.

See “Merger and Acquisition Agreements policy template” on page 757.

Price Infomation This policy detects specific SKU or pricing information.

See “Price Information policy template” on page 773.

Project Data This policy detects discussions of sensitive projects.

See “Project Data policy template” on page 774.

Proprietary Media Files This policy detects various types of video and audio files.

See “Proprietary Media Files policy template” on page 774.

Publishing Documents This policy detects various types of publishing documents.

See “Publishing Documents policy template” on page 775.

Resumes This policy detects active job searches.

See “Resumes policy template” on page 777.

 Creating policies from templates 363
Network Security Enforcement policy templates

Table 16-5 Confidential or Classified Data Protection policy templates

(continued)

Policy template Description

Source Code This policy detects various types of source code.

See “Source Code policy template” on page 783.

Symantec DLP Awareness and Avoidance This policy detects any communications that refer to Symantec DLP or
other data loss prevention systems and possible avoidance of detection.

See “Symantec DLP Awareness and Avoidance policy template”

on page 788.

Network Security Enforcement policy templates

Symantec Data Loss Prevention provides several policy templates for Network
Security Enforcement.
See “Creating a policy from a template” on page 355.

Table 16-6 Network Security Enforcement policy templates

Policy template Description

Common Spyware Upload Sites This policy detects access to common spyware upload Web sites.

See “Common Spyware Upload Sites policy template” on page 729.

Network Diagrams This policy detects computer network diagrams.

See “Network Diagrams policy template” on page 764.

Network Security This policy detects evidence of hacking tools and attack planning.

See “Network Security policy template” on page 765.

Password Files This policy detects password file formats.

See “Password Files policy template” on page 769.

Acceptable Use Enforcement policy templates

Symantec Data Loss Prevention provides several policy templates for allowing
acceptable uses of information.
See “Creating a policy from a template” on page 355.
364 Creating policies from templates
Acceptable Use Enforcement policy templates

Table 16-7 Acceptable Use Enforcement policy templates

Policy template Description

Competitor Communications This policy detects forbidden communications with competitors.

See “Competitor Communications policy template” on page 729.

Forbidden Websites This policy detects access to specified Web sites.

See “Forbidden Websites policy template” on page 746.

Gambling This policy detects any reference to gambling.

See “Gambling policy template” on page 746.

Illegal Drugs This policy detects conversations about illegal drugs and controlled
substances.

See “Illegal Drugs policy template” on page 754.

Media Files This policy detects various types of video and audio files.

See “Media Files policy template” on page 756.

Offensive Language This policy detects the use of offensive language.

See “Offensive Language policy template” on page 765.

Racist Language This policy detects the use of racist language.

See “Racist Language policy template” on page 776.

Restricted Files This policy detects various file types that are generally inappropriate to
send out of the company.

See “Restricted Files policy template” on page 776.

Restricted Recipients This policy detects communications with specified recipients.

See “Restricted Recipients policy template” on page 776.

Sexually Explicit Language This policy detects sexually explicit content.

See “Sexually Explicit Language policy template” on page 782.

Violence and Weapons This policy detects violent language and discussions about weapons.

See “Violence and Weapons policy template” on page 793.

Webmail This policy detects the use of a variety of Webmail services.

See “Webmail policy template” on page 793.

Yahoo Message Board Activity This policy detects Yahoo message board activity.

See “Yahoo Message Board Activity policy template” on page 794.

 Creating policies from templates 365
Choosing an Exact Data Profile

Table 16-7 Acceptable Use Enforcement policy templates (continued)

Policy template Description

Yahoo and MSN Messengers on Port 80 This policy detects Yahoo IM and MSN Messenger activity.

See “Yahoo and MSN Messengers on Port 80 policy template” on page 796.

Choosing an Exact Data Profile

If the policy template you select implements Exact Data Matching (EDM), the
system prompts you to choose an Exact Data Profile. Table 16-8 lists the policy
templates that are based on Exact Data Profiles.
If you do not have an Exact Data Profile, you can cancel policy creation and define
a profile. Or, you can choose not to use an Exact Data Profile. In this case the
system disables the associated EDM detection rules in the policy template. You
can use any DCM rules or exceptions the policy template provides.
See “About Exact Data Matching (EDM)” on page 409.
See “About the Exact Data Profile” on page 411.
To choose an Exact Data Profile
1 Select an Exact Data Profile from the list of available profiles.
2 Click Next to continue with creating the policy from the template.
Click Previous to return to the list of policy templates.
See “Creating a policy from a template” on page 355.

Note: When the system prompts you to select an Exact Data Profile, the display
lists the data columns to include in the profile to provide the highest level of
accuracy. If data fields in your Exact Data Profile are not represented in the
selected policy template, the system displays those fields for content matching
when you define the detection rule

Table 16-8 Policy templates that implement Exact Data Matching (EDM)

Policy template Description

Caldicott Report See “Caldicott Report policy template” on page 725.

Customer Data Protection See “Customer Data Protection policy template” on page 731.

Data Protection Act 1988 See “Data Protection Act 1998 (UK) policy template” on page 733.
366 Creating policies from templates
Choosing an Indexed Document Profile

Table 16-8 Policy templates that implement Exact Data Matching (EDM)
(continued)

Policy template Description

Employee Data Protection See “Employee Data Protection policy template” on page 738.

EU Data Protection Directives See “Data Protection Directives (EU) policy template” on page 734.

Export Administration Regulations (EAR) See “Export Administration Regulations (EAR) policy template”
on page 740.

FACTA 2003 (Red Flag Rules) See “FACTA 2003 (Red Flag Rules) policy template” on page 741.

Gramm-Leach-Bliley See “Gramm-Leach-Bliley policy template” on page 747.

HIPAA and HITECK (including PHI) See “HIPAA and HITECH (including PHI) policy template” on page 749.

Human Rights Act 1998 See “Human Rights Act 1998 policy template” on page 753.

International Traffic in Arms Regulations See “International Traffic in Arms Regulations (ITAR) policy template”
(ITAR) on page 755.

Payment Card Industry Data Security See “Payment Card Industry (PCI) Data Security Standard policy
Standard template” on page 770.

PIPEDA See “PIPEDA policy template” on page 771.

Price Information See “Price Information policy template” on page 773.

Resumes See “Resumes policy template” on page 777.

State Data Privacy See “SEC Fair Disclosure Regulation policy template” on page 780.

Choosing an Indexed Document Profile

If the policy template you chose uses Indexed Document Matching (IDM) detection,
the system prompts you to select the Document Profile.
See “About Indexed Document Matching (IDM)” on page 443.
To use a Document Profile
1 Select the Document Profile from the list of available profiles.
2 Click Next to create the policy from the template.
See “Creating a policy from a template” on page 355.
If you do not have a Document Profile, you can cancel policy creation and define
the Document Profile. Or, you can choose to not use a Document Profile. In this
 Creating policies from templates 367
Choosing an Indexed Document Profile

case the system disables any IDM rules or exceptions for the policy instance. If
the policy template contains DCM rules or exceptions, you may use them.
See “About the Indexed Document Profile” on page 444.

Table 16-9 Policy templates that implement Indexed Document Matching (IDM)

Policy template Description

CAN-SPAM Act (IDM exception) See “CAN-SPAM Act policy template” on page 727.

NASD Rule 2711 and NYSE Rules 351 and See “NASD Rule 2711 and NYSE Rules 351 and 472 policy template”
472 on page 759.

NERC Security Guidelines for Electric See “NERC Security Guidelines for Electric Utilities policy template”
Utilities on page 762.

Sarbanes-Oxley See “Sarbanes-Oxley policy template” on page 778.

SEC Fair Disclosure Regulation See “SEC Fair Disclosure Regulation policy template” on page 780.

Confidential Documents See “Confidential Documents policy template” on page 730.

Design Documents See “Design Documents policy template” on page 737.

Financial Information See “Financial Information policy template” on page 745.

Project Data See “Project Data policy template” on page 774.

Proprietary Media Files See “Proprietary Media Files policy template” on page 774.

Publishing Documents See “Publishing Documents policy template” on page 775.

Source Code See “Source Code policy template” on page 783.

Network Diagrams See “Network Diagrams policy template” on page 764.

368 Creating policies from templates
Choosing an Indexed Document Profile
 Chapter 17
Configuring policies
This chapter includes the following topics:

■ Adding a new policy or policy template

■ Configuring policies

■ Adding a rule to a policy

■ Configuring policy rules

■ Defining rule severity

■ Configuring match counting

■ Selecting components to match on

■ Adding an exception to a policy

■ Configuring policy exceptions

■ Configuring compound match conditions

■ Input character limits for policy configuration

Adding a new policy or policy template

As a policy author you can define a new policy from scratch or from a template.
See “Workflow for implementing policies” on page 337.
370 Configuring policies
Configuring policies

To add a new policy or a policy template

1 Click Add Policy at the Manage > Polices > Policy List screen.
See “Manage and add policies” on page 389.
2 Choose the type of policy you want to add at the New Policy screen.
Select Add a blank policy to add a new empty policy.
See “Policy components” on page 329.
Select Add a policy from a template to add a policy from a template.
See “Policy templates” on page 330.
3 Click Next to configure the policy or the policy template.
See “Configuring policies” on page 370.
See “Creating a policy from a template” on page 355.
Click Cancel to not add a policy and return to the Policy List screen.

Configuring policies
The Manage > Policies > Policy List > Configure Policy screen is the home page
for configuring policies.
Table 17-1 describes the workflow for configuring policies.

Table 17-1 Configuring policies

Action Description

Define a new policy, or edit an existing policy. Add a new blank policy.

See “Adding a new policy or policy template” on page 369.

Create a policy from a template.

See “Creating a policy from a template” on page 355.

Select an existing policy at the Manage > Policies > Policy List
screen to edit it.

See “Manage and add policies” on page 389.

Enter a policy Name and Description. The policy name must be unique in the policy group you deploy
the policy to.

See “Input character limits for policy configuration”

on page 388.
 Configuring policies 371
Configuring policies

Table 17-1 Configuring policies (continued)

Action Description

Select the Policy Group from the list where the The Default Policy Group is selected if there is no policy group
policy is to be deployed. configured.

See “Creating and modifying policy groups” on page 392.

Set the Status for the policy. You can enable (default setting) or disable a policy. A disabled
policy is deployed but is not loaded into memory to detect
incidents.

See “Manage and add policies” on page 389.

Note: The Policy Actions setting only applies to Classification
policies. See the Enterprise Vault Data Classification Services
Implementation Guide.

Add a rule to the policy, or edit an existing rule. Click Add Rule to add a rule.

See “Adding a rule to a policy” on page 372.

Select an existing rule to edit it.

Configure the rule with one or more conditions. For a valid policy, you must configure at least one rule that
declares at least one condition. Compound conditions and
exceptions are optional.

See “Configuring policy rules” on page 374.

Optionally, add one or more policy exceptions, or Click Add Exception to add it.
edit an existing exception.
See “Adding an exception to a policy” on page 381.

Select an existing exception to edit it.

Configure any exception(s). See “Configuring policy exceptions” on page 384.

Save the policy configuration. Click Save to save the policy configuration to the Enforce
Server database.

See “Policy components” on page 329.

Export the policy as a template. Optionally, you can export the policy rules and exceptions as
a template.

See “Exporting policy detection as a template” on page 394.

Add one or more response rules to the policy. You configure response rules independent of policies.

See “Configuring response rules” on page 819.

See “Adding an automated response rule to a policy”

on page 394.
372 Configuring policies
Adding a rule to a policy

Adding a rule to a policy

At the Manage > Policies > Policy List > Configure Policy – Add Rule screen you
add one or more rules to a policy.
You can add two types of rules to a policy: detection and group. If two or more
rules in a policy are the same type, the system connects them by OR. If two or
more rules in the same policy are different types, the system connects them by
AND.
See “Policy detection execution” on page 352.

Note: Exceptions are added separate from rules. See “Adding an exception to a
policy” on page 381.

To add one or more rules to a policy

1 Choose the type of rule (detection or group) to add to the policy.
To add a detection rule, select the Detection tab and click Add Rule.
To add a group (identity) rule, select the Groups tab and click Add Rule.
See “Policy matching conditions” on page 343.
2 Select the detection or the group rule you want to implement from the list of
rules.
See Table 17-2 on page 372.
3 Select the prerequisite component, if required.
If the policy rule requires a Data Profile, Data Identifier, or User Group
select it from the list.
4 Click Next to configure the policy rule.
See “Configuring policy rules” on page 374.

Table 17-2 Adding policy rules

Rule Prerequisite Description

Content match conditions

Content Matches Regular See “About regular expression matching” on page 557.
Expression

Content Matches Exact Data Exact Data Profile See “About the Exact Data Profile” on page 411.

See “Choosing an Exact Data Profile” on page 365.

 Configuring policies 373
Adding a rule to a policy

Table 17-2 Adding policy rules (continued)

Rule Prerequisite Description

Content Matches Keyword See “About keyword matching” on page 549.

Content Matches Document Indexed Document See “About Indexed Document Matching (IDM)”
Signature Profile on page 443.

See “Choosing an Indexed Document Profile”

on page 366.

Content Matches Data Identifier Data Identifier See “About Data Identifiers” on page 509.

See “Selecting system Data Identifier breadth”

on page 530.

Detect using Vector Machine VML Profile See “About Vector Machine Learning (VML)”
Learning on page 477.

See “Implementing Vector Machine Learning (VML)”

on page 481.

File Properties match conditions

Message Attachment or File Type See “About file type matching” on page 563.
Match

Message Attachment or File Size See “About file size matching” on page 564.
Match

Message Attachment or File See “About file name matching” on page 565.
Name Match

Message/Email Properties and Enterprise Vault See “About implementing detection for Enterprise
Attributes integration Vault Classification” on page 627.

See the Enterprise Vault Data Classification Services

Implementation Guide.

Custom File Type Signature Rule enabled See “About custom file type identification” on page 564.

Custom script See “Enabling custom file type detection” on page 569.

Protocol and Endpoint match conditions

Protocol Monitoring Custom protocols (if any) See “About protocol monitoring for network”
on page 573.

See “About protocol monitoring for mobile” on page 574.

Endpoint Monitoring See “About endpoint protocol monitoring” on page 579.

Endpoint Device Class or ID Custom device(s) See “About endpoint device detection” on page 581.
374 Configuring policies
Configuring policy rules

Table 17-2 Adding policy rules (continued)

Rule Prerequisite Description

Endpoint Location See “About endpoint location detection” on page 581.

Groups (Identities) match conditions

Sender/User Matches Pattern See “About described identity matching” on page 591.

Recipient Matches Pattern

Sender/User based on a Directory User Group See “About synchronized Directory Group Matching
Server Group (DGM)” on page 599.

Recipient based on a Directory See “Creating or modifying a User Group” on page 601.
Server Group

Sender/User based on a Directory Exact Data Profile See “About profiled Directory Group Matching (DGM)”
from: on page 607.

Recipient based on a Directory See “Implementing profiled DGM” on page 608.

from:

Configuring policy rules

At the Manage > Policies > Policy List > Configure Policy – Edit Rule screen, you
configure a policy rule with one or more match conditions. The configuration of
each rule condition depends on its type.
See Table 17-4 on page 375.

Table 17-3 Configuring policy rules

Step Action Description

Step 1 Add a rule to a policy, or See “Adding a rule to a policy” on page 372.
modify a rule.
To modify an existing rule, select the rule in the policy builder interface
at the Configure Policy – Edit Rule screen.

Step 2 Name the rule, or modify a In the General section of the rule, enter a name in the Rule Name field,
name. or modify the name of an existing rule.

Step 3 Set the rule severity. In the Severity section of the rule, select or modify a "Default" severity
level.

In addition to the default severity, you can add multiple severity levels
to a rule.

See “Defining rule severity” on page 377.

 Configuring policies 375
Configuring policy rules

Table 17-3 Configuring policy rules (continued)

Step Action Description

Step 4 Configure the match condition. In the Conditions section of the rule, you configure one or more match
conditions for the rule. The configuration of a condition depends on its
type.

See Table 17-4 on page 375.

Step 5 Configure match counting (if If the rule calls for it, configure how you want to count matches.
required).
See “Configuring match counting” on page 378.

Step 6 Select components to match If the rule is content-based, select one or more available content rules to
on (if available). match on.

See “Selecting components to match on” on page 380.

Step 7 Add and configure one or more To define a compound rule, Add another match condition from the Also
additional match conditions Match list.
(optional).
Configure the additional condition according to its type (Step 4).

See “Configuring compound match conditions” on page 386.

Note: All conditions in a single rule must match to trigger an incident.
See “Policy detection execution” on page 352.

Step 8 Save the policy configuration. When you are done cofiguring the rule, click OK.

This action returns you to the Configure Policy screen where you can
Save the policy.

See “Manage and add policies” on page 389.

Table 17-4 lists each of the available match conditions and provides links to topics
for configuring each condition.

Table 17-4 Configuring policy match conditions

Rule Description

Content match conditions

Content Matches Regular Expression See “Configuring the Content Matches Regular Expression condition”
on page 559.

Content Matches Exact Data from an See “Configuring the Content Matches Exact Data condition” on page 429.
Exact Data Profile

Content Matches Keyword See “Configuring the Content Matches Keyword condition” on page 552.
376 Configuring policies
Configuring policy rules

Table 17-4 Configuring policy match conditions (continued)

Rule Description

Content Matches Document Signature See “Configuring the Content Matches Document Signature condition”
on page 468.

Content Matches Data Identifier See “Configuring the Content Matches Data Identifier condition”
on page 528.

Detect using Vector Machine Learning See “Configuring the Detect using Vector Machine Learning Profile
profile condition” on page 493.

File Properties match conditions

Message Attachment or File Type Match See “Configuring the Message Attachment or File Type Match condition”
on page 567.

Message Attachment or File Size Match See “Configuring the Message Attachment or File Size Match condition”
on page 568.

Message Attachment or File Name See “Configuring the Message Attachment or File Name Match condition”
Match on page 569.

Message/Email Properties and See “Configuring the Message/Email Properties and Attributes condition”
Attributes on page 630.

See the Enterprise Vault Data Classification Services Implementation

Guide.

Custom File Type Signature See “Configuring the Custom File Type Signature condition” on page 570.

Protocol match conditions

Network or Mobile Monitoring See “Configuring the Protocol Monitoring condition for network
detection” on page 575.

See “Configuring the Protocol Monitoring condition for mobile detection”

on page 576.

Endpoint Monitoring See “Configuring the Endpoint Monitoring condition” on page 582.

Endpoint Device Class or ID See “Configuring the Endpoint Device Class or ID condition” on page 585.

Endpoint Location See “Configuring the Endpoint Location condition” on page 584.

Groups match conditions

Sender/User Matches Pattern See “Configuring the Sender/User Matches Pattern condition” on page 593.

Recipient Matches Pattern See “Configuring the Recipient Matches Pattern condition” on page 595.
 Configuring policies 377
Defining rule severity

Table 17-4 Configuring policy match conditions (continued)

Rule Description

Sender/User based on a Directory Server See “Configuring the Sender/User based on a Directory Server Group
Group condition” on page 603.

Sender/User based on a Directory from See “Configuring the Sender/User based on a Profiled Directory condition”
an Exact Data Profile on page 610.

Recipient based on a Directory Server See “Configuring the Recipient based on a Directory Server Group
Group condition” on page 604.

Recipient based on a Directory from an See “Configuring the Recipient based on a Profiled Directory condition”
Exact Data Profile on page 611.

Defining rule severity

The system assigns a severity level to a policy rule violation. The default setting
is "High." You can configure the default, and add one or more additional severity
levels.
See “Policy severity” on page 333.
Policy rule severity works with the Severity response rule condition. If you set
the default policy rule severity level to "High" and define additional severity levels,
the system does not assign the additional severity to the incident based on match
count. The result is that if you have a response rule set to a match count severity
level that is less than the default "High" severity, the response rule does not
execute
See “Configuring the Severity response condition” on page 831.
To define policy rule severity
1 Configure a policy rule.
See “Configuring policy rules” on page 374.
2 Select a Default level from the Severity list.
The default severity level is the baseline level that the system reports. The
system applies the default severity level to any rule match, unless additional
severity levels override the default setting.
3 Click Add Severity to define additional severity levels for the rule.
If you add a severity level it is based on the match count.
378 Configuring policies
Configuring match counting

4 Select the desired severity level, choose the match count range, and enter
the match count.
For example, you can set a Medium severity with X range to match after 100
matches have been counted.
5 If you add an additional severity level, you can select it to be the default
severity.
6 To remove a defined severity level, click the X icon beside the severity
definition.

Configuring match counting

Some conditions let you specify how you want to count matches. Count all matches
is the default behavior. You can configure the minimum number of matches
required to cause an incident. Or, you can count all matches as one incident. If a
condition supports match counting, you can configure this setting for both policy
rules and exceptions.
See Table 17-6 on page 379.

Table 17-5 Configuring match counting

Parameter Condition Incident description

type

Check for Simple This configuration reports a match count of 1 if there are one or more matches;
existence it does not count multiple matches. For example, 10 matches are one incident.

Compound This configuration reports a match count of 1 if there are one or more matches
and ALL conditions in the rule or exception are set to check for existence.
 Configuring policies 379
Configuring match counting

Table 17-5 Configuring match counting (continued)

Parameter Condition Incident description

type

Count all Simple This configuration reports a match count of the exact number of matches detected
matches by the condition. For example, 10 matches count as 10 incidents.

Compound This configuration reports a match count of the sum of all condition matches in
the rule or exception. The default is one incident per condition match and applies
if any condition in the rule or exception is set to count all matches.

For example, if a rule has two conditions and one is set to count all matches and
detects four matches, and the other condition is set to check for existence and
detects six matches, the reported match count is 10. If a third condition in the
rule detects a match, the match count is 11.

Only report You can change the default one incident per match count by specifying the
incidents with minimum number of matches required to report an incident.
at least _
For example, in a rule with two conditions, if you configure one condition to
matches
count all matches and specify five as the minimum number of matches for each
condition, a sum of 10 matches reported by the two conditions generates two
incidents. You must be consistent and select this option for each condition in
the rule or exception to achieve this behavior.
Note: The count all matches setting applies to each message component you
match on. For example, consider a policy where you specify a match count of 3
and configure a keyword rule that matches on all four message components
(default setting for this condition). If a message is received with two instances
of the keyword in the body and one instance of the keyword in the envelope, the
system does not report this as a match. However, if three instances of the keyword
appear in an attachment (or any other single message component), the system
would report it as a match.

Count all unique Only count Unique match counting is new for Symantec Data Loss Prevention version 11.6
matches unique and is only available for Data Identifiers.
matches
See “About unique match counting for Data Identifiers” on page 525.

Table 17-6 Conditions that support match counting

Condition Description

Content Matches Regular See “About regular expression matching” on page 557.
Expression
See “Configuring the Content Matches Regular Expression condition” on page 559.

Content Matches Keyword See “About keyword matching” on page 549.

See “Configuring the Content Matches Keyword condition” on page 552.

380 Configuring policies
Selecting components to match on

Table 17-6 Conditions that support match counting (continued)

Condition Description

Content Matches Document See “Configuring the Content Matches Document Signature condition”
Signature (IDM) on page 468.

Content Matches Data Identifier See “About Data Identifiers” on page 509.

See “Configuring the Content Matches Data Identifier condition” on page 528.

See “Implementing unique match counting for Data Identifiers” on page 534.

Recipient Matches Pattern See “About described identity matching” on page 591.

See “Configuring the Recipient Matches Pattern condition” on page 595.

Note: Exact Data Matching supports match counting, but it is configured at the
Advanced Server Settings screen. See “Configuring exact data match counting”
on page 434.

Selecting components to match on

The availability of one or more message components to match on depends on the
type of rule or exception condition you implement.
See “Detection messages and message components” on page 349.

Table 17-7 Match on components

Component Description

Envelope If the condition supports matching on the Envelope component, select it to

match on the message metadata. The envelope contains the header, transport
information, and the subject if the message is an SMTP email.

If the condition does not support matching on the Envelope component,

this option is grayed out.

If the condition matches on the entire message, the Envelope is selected

and cannot be deselected, and the other components cannot be selected.
 Configuring policies 381
Adding an exception to a policy

Table 17-7 Match on components (continued)

Component Description

Subject Certain detection conditions match on the Subject component for some
types of messages.

See “Detection messages and message components” on page 349.

For the detection conditions that support subject component matching, you
can match on the Subject for the following types of messages:

■ SMTP (email) messages from Network Monitor or Network Prevent for

Email.
■ NNTP messages from Network Monitor.
■ Exchange email messages delivered by the Classification Server.
See the Enterprise Vault Data Classification Services Implementation
Guide.

To match on the Subject component, you must select (check) the Subject
component and uncheck (deselect) the Envelope component for the policy
rule. If you select both components, the system matches the subject twice
because the message subject is included in the envelope as part of the header.

Body If the condition matches on the Body message component, select it to match
on the text or content of the message.

Attachment(s) If the condition matches on the Attachment(s) message component, select

it to detect content in files sent by, downloaded with, or attached to the
message.

Adding an exception to a policy

At the Manage > Policies > Policy List > Configure Policy – Add Exception screen
you add one or more exception conditions to a policy. Policy exceptions are
executed before policy rules. If there is an exception match, the entire message
is discarded.
See “Exception conditions” on page 350.

Note: You can create exceptions for all policy conditions, except the EDM condition
Content Matches Exact Data From. In addition, Network Prevent for Web does
not support synchronized DGM exceptions.
382 Configuring policies
Adding an exception to a policy

To add an exception to a policy

1 Add an exception to a policy.
To add a detection rule exception, select the Detection tab and click Add
Exception.
To add a group rule exception, select the Groups tab and click Add Exception.
2 Select the policy exception to implement.
The Add Detection Exception screen lists all available detection exceptions
that you can add to a policy.
The Add Group Exception screen lists all available group exceptions that
you can add to a policy.
See Table 17-8 on page 382.
3 If necessary, choose the profile, data identifier, or user group.
4 Click Next to configure the exception.
See “Configuring policy exceptions” on page 384.

Table 17-8 Selecting a policy exception

Exception Prerequisite Description

Content

Content Matches Regular See “About regular expression matching” on page 557.
Expression

Content Matches Keyword See “About keyword matching” on page 549.

Content Matches Document Indexed Document See “Choosing an Indexed Document Profile” on page 366.
Signature Profile

Content Matches Data Identifier Data Identifier See “About Data Identifiers” on page 509.

See “Selecting system Data Identifier breadth” on page 530.

Detect using Vector Machine VML Profile See “Configuring VML policy exceptions” on page 494.
Learning profile
See “Implementing Vector Machine Learning (VML)”
on page 481.

File Properties

Message Attachment or File Type See “About file type matching” on page 563.
Match
 Configuring policies 383
Adding an exception to a policy

Table 17-8 Selecting a policy exception (continued)

Exception Prerequisite Description

Message Attachment or File Size See “About file size matching” on page 564.
Match

Message Attachment or File See “About file name matching” on page 565.
Name Match

Message/Email Properties and Enterprise Vault See “About implementing detection for Enterprise Vault
Attributes integration Classification” on page 627.

See the Enterprise Vault Data Classification Services

Implementation Guide.

Custom File Type Signature Condition enabled See “About custom file type identification” on page 564.

Custom script
added

Protocol and Endpoint

Network or Mobile Protocol See “About protocol monitoring for network” on page 573.

See “About protocol monitoring for mobile” on page 574.

Endpoint Protocol, Destination, See “About endpoint protocol monitoring” on page 579.
Application

Endpoint Device Class or ID See “About endpoint device detection” on page 581.

Endpoint Location See “About endpoint location detection” on page 581.

Group (identity)

Sender/User Matches Pattern See “About described identity matching” on page 591.

Recipient Matches Pattern

Sender/User based on a Directory User Group See “About synchronized Directory Group Matching (DGM)”
Server Group on page 599.

Recipient based on a Directory See “Creating or modifying a User Group” on page 601.
Server Group Note: Network Prevent for Web does not support this type
of exception. Use profiled DGM instead.

Sender/User based on a Directory Exact Data Profile See “About profiled Directory Group Matching (DGM)”
from: on page 607.

Recipient based on a Directory See “Implementing profiled DGM” on page 608.

from:
384 Configuring policies
Configuring policy exceptions

Configuring policy exceptions

At the Manage > Policies > Policy List > Configure Policy – Edit Exception screen
you configure one or more conditions for a policy exception.
See Table 17-10 on page 385.
If an exception condition matches, the system discards the matched component
from the system. This component is no longer available for evaluation.
See “Exception conditions” on page 350.

Table 17-9 Configure policy exceptions

Step Action Description

Step 1 Add a new policy exception, or See “Adding an exception to a policy” on page 381.
edit an existing exception.
Select an existing policy exception to modify it.

Step 2 Name the exception, or edit an In the General section, enter a unique name for the exception, or modify
existing name or description. the name of an existing exception.
Note: The exception name is limited to 60 characters.

Step 3 Select the components to apply If the exception is content-based, you can match on the entire message
the exception to (if available). or on individual message components.

See “Detection messages and message components” on page 349.

Select one of the Apply Exception to options:

■ Entire Message
This option applies the exception to the entire message.
■ Matched Components Only
This option applies the exception to each message component you
select from the Match On options in the Conditions section of the
exception.

Step 4 Configure the exception In the Conditions section of the Configure Policy - Edit Exception
condition. screen, define the condition for the policy exception. The configuration
of a condition depends on the exception type.

See Table 17-10 on page 385.

Step 5 Add one or more additional You can add conditions until the exception is structured as desired.
conditions to the exception
See “Configuring compound match conditions” on page 386.
(optional).
To add another condition to an exception, select the condition from
the Also Match list.

Click Add and configure the condition.

 Configuring policies 385
Configuring policy exceptions

Table 17-9 Configure policy exceptions (continued)

Step Action Description

Step 6 Save and manage the policy. Click OK to complete the exception definition process.

Click Save to save the policy.

See “Manage and add policies” on page 389.

Table 17-10 lists the exception conditions that you can configure, with links to
configuration details.

Table 17-10 Policy exception conditions available for configuration

Exception Description

Content

Content Matches Regular Expression See “Configuring the Content Matches Regular Expression condition”
on page 559.

Content Matches Keyword See “Configuring the Content Matches Keyword condition” on page 552.

Content Matches Document Signature See “Configuring the Content Matches Document Signature condition”
on page 468.

Content Matches Data Identifier See “Configuring the Content Matches Data Identifier condition”
on page 528.

Detect using Vector Machine Learning See “Configuring VML policy exceptions” on page 494.
Profile

File Properties

Message Attachment or File Type Match See “Configuring the Message Attachment or File Type Match
condition” on page 567.

Message Attachment or File Size Match See “Configuring the Message Attachment or File Size Match condition”
on page 568.

Message Attachment or File Name Match See “Configuring the Message Attachment or File Name Match
condition” on page 569.

Email/MAPI Attributes See “Configuring the Message/Email Properties and Attributes

condition” on page 630.

See the Enterprise Vault Data Classification Services Implementation

Guide.

Custom File Type Signature See “Configuring the Custom File Type Signature condition” on page 570.
386 Configuring policies
Configuring compound match conditions

Table 17-10 Policy exception conditions available for configuration (continued)

Exception Description

Protocol and Endpoint

Network or Mobile Protocol See “Configuring the Protocol Monitoring condition for network
detection” on page 575.

Endpoint Protocol or Destination See “Configuring the Endpoint Monitoring condition” on page 582.

Endpoint Device Class or ID See “Configuring the Endpoint Device Class or ID condition” on page 585.

Endpoint Location See “Configuring the Endpoint Location condition” on page 584.

Group (identity)

Sender/User Matches Pattern See “Configuring the Sender/User Matches Pattern condition”
on page 593.

Recipient Matches Pattern See “Configuring the Recipient Matches Pattern condition” on page 595.

Sender/User based on a Directory Server See “Configuring the Sender/User based on a Directory Server Group
Group condition” on page 603.

Recipient based on a Directory Server Group See “Configuring the Recipient based on a Directory Server Group
condition” on page 604.

Sender/User based on a Directory from an See “Configuring the Sender/User based on a Profiled Directory
EDM Profile condition” on page 610.

Recipient based on a Directory from and See “Configuring the Recipient based on a Profiled Directory condition”
EDM Profile on page 611.

Configuring compound match conditions

You can create compound match conditions for policy rules and exceptions.
See “Configuring compound match conditions” on page 386.
The detection engine connects compound conditions with an AND. All conditions
in the rule or exception must be met to trigger or except an incident.
See “Policy detection execution” on page 352.
You are not limited to the number of match conditions you can include in a rule
or exception. However, the multiple conditions you declare in a single rule or
exception should be logically associated. Do not mistake compound rules or
exceptions with multiple rules or exceptions in a policy.
See “Use compound conditions to improve match accuracy” on page 404.
 Configuring policies 387
Configuring compound match conditions

Table 17-11 Configure a compound policy rule or exception

Step Action Description

Step 1 Modify or configure an You can add one or more additional match conditions to a policy rule at the
existing policy rule or Configure Policy – Edit Rule screen.
exception.
You can add one or more additional match conditions to a rule or exception
at the Configure Policy – Edit Rule or Configure Policy – Edit Exception
screen.

Step 2 Select an additional match Select the additional match condition from the Also Match list.
condition.
This list appears at the bottom of the Conditions section for an existing rule
or exception.

Step 3 Review the available The system lists all available additional conditions you can add to a policy
conditions. rule or exception.

See “Adding a rule to a policy” on page 372.

See “Adding an exception to a policy” on page 381.

Step 4 Add the additional Click Add to add the additional match condition to the policy rule or
condition. exception.

Once added, you can collapse and expand each condition in a rule or
exception.

Step 5 Configure the additional See “Configuring policy rules” on page 374.
condition.
See “Configuring policy exceptions” on page 384.

Step 6 Select the same or any If the condition supports component matching, specify where the data must
component to match. match to generate or except an incident.

Same Component – The matched data must exist in the same component
as the other condition(s) that also support component matching to trigger
a match.

Any Component – The matched data can exist in any component that you
have selected.

See “About cross-component matching for Data Identifiers” on page 517.

Step 6 Repeat this process to You can add as many conditions to a rule or exception as you need.
additional match
All conditions in a single rule or exception must match to trigger an incident,
conditions to the rule or
or to trigger the exception.
exception.

Step 7 Save the policy. Click OK to close the rule or exception configuration screen.

Click Save to save the policy configuration.

388 Configuring policies
Input character limits for policy configuration

Input character limits for policy configuration

When configuring a policy, consider the following input character limits for policy
configuration components.

Table 17-12 Input character limits for policy configuration

Configuration element Input character limit

Name of a policy component, including: 60 characters

■ Policy Note: To import a policy as a template, the policy name

■ Rule must be less than 60 characters, otherwise it does not
■ Exception appear in the Imported Templates list.

■ Group
■ Condition

Description of policy component. 255 characters

Name of Data Profile, including: 255 characters

■ Exact Data
■ Indexed Document
■ Vector Machine Learning

Data Identifier pattern limits 100 characters per line

See “Character limits for Data Identifier patterns”

on page 539.
 Chapter 18
Administering policies
This chapter includes the following topics:

■ Manage and add policies

■ Manage and add policy groups

■ Creating and modifying policy groups

■ Importing policy templates

■ Exporting policy detection as a template

■ Adding an automated response rule to a policy

■ Removing policies and policy groups

■ Troubleshooting policies

Manage and add policies

The Manage > Policies > Policy List screen is the home page for adding and
managing policies. You implement policies to detect and report data loss.
See “Workflow for implementing policies” on page 337.
Table 18-1 lists and describes the actions you can take at the Policy List screen.

Table 18-1 Policy List screen actions

Action Description

Add Policy Click Add Policy to create a new policy.

See “Adding a new policy or policy template” on page 369.

390 Administering policies
Manage and add policies

Table 18-1 Policy List screen actions (continued)

Action Description

Modify Policy Click anywhere in the policy row to modify an existing policy.

See “Configuring policies” on page 370.

Activate Policy Click the red circle icon by the policy name to activate the policy.

Suspend Policy Click the green circle icon by the policy name.
Note: By default, all solution pack policies are activated on installation of the solution
pack.

Sort Policies Click any column header to sort the policy list.

Remove Policy Click the red X icon at the end of the policy row. On confirmation the system deletes
the policy.
Note: You cannot remove a policy that has active incidents.

See “Removing policies and policy groups” on page 395.

Export and Import Policy See “Importing policy templates” on page 393.
Templates
See “Exporting policy detection as a template” on page 394.

Table 18-2 lists and describes the display fields at the Policy List screen.

Table 18-2 Policy List screen display fields

Column Description

Name View and sort by the name of the policy.

See “About Data Loss Prevention policies” on page 327.

Description View the description of the policy.

See “Policy templates” on page 330.

Policy Group View and sort by the policy group to which the policy is deployed.

See “Policy groups” on page 331.

Last Modified View and sort by the date the policy was last updated.

See “Policy authoring privileges” on page 334.

Misconfigured Policy The policy icon is a yellow caution sign.

See “Policy components” on page 329.

 Administering policies 391
Manage and add policy groups

Table 18-2 Policy List screen display fields (continued)

Column Description

Active Policy The policy icon is green. An active policy can detect incidents.

Suspended Policy The policy icon is red. A suspended policy is deployed but does not detect incidents.

Manage and add policy groups

The System > Servers > Policy Groups screen lists the configured policy groups
in the system.
From the Policy Groups screen you manage existing policy groups and add new
ones.

Table 18-3 Policy Groups screen actions

Action Description

Add Policy Group Click Add Policy Group to define a new policy group.

See “Policy groups” on page 331.

Modify Policy Group To modify an existing policy group, click the name of the group, or click the pencil icon
to the far right of the row.

See “Creating and modifying policy groups” on page 392.

Remove Policy Group Click the red X icon to the far right of the row to delete that policy group from the system.
A dialog box confirms the deletion.
Note: If you delete a policy group, you delete any policies that are assigned to that group.

See “Removing policies and policy groups” on page 395.

View policies in a group To view the policies deployed to an existing policy group, navigate to the System >
Servers > Policy Groups > Configure Policy Group screen.

See “Creating and modifying policy groups” on page 392.

Table 18-4 Policy Groups screen display fields

Column Description

Name The name of the policy group.

Description The description of the policy group.

392 Administering policies
Creating and modifying policy groups

Table 18-4 Policy Groups screen display fields (continued)

Column Description

Available Servers The detection server to which the policy group is deployed.

See “Policy deployment” on page 332.

Last Modified The date the policy group was last modified.

Creating and modifying policy groups

At the System > Servers > Policy Groups screen you configure a new policy group
or modify an existing one.
See “Policy groups” on page 331.
To configure a policy group
1 Add a new policy group, or modify an existing one.
See “Manage and add policy groups” on page 391.
2 Enter the Name of the policy group, or modify an existing name.
Use an informative name. Policy authors and Enforce Server administrators
rely on the policy group name when they associate the policy group with
policies, roles, targets.
The name value is limited to 256 characters.
3 Enter a Description of the policy group, or modify an exiting description of
an existing policy group.
4 Select one or more Servers to assign the policy group to.
The system displays a check box for each detection server currently configured
and registered with the Enforce Server.
■ Select (check) the All Servers option to assign the policy group to all
detection servers in your system. If you leave this checkbox unselected,
you can assign the policy group to individual servers.
The All Discover Servers entry is not configurable because the system
automatically assigns all policy groups to all Network Discover Servers.
This feature lets you assign policy groups to individual Discover targets.
See “Configuring the required fields for Network Discover targets”
on page 1123.
■ Deselect (uncheck) the All Servers option to assign the policy group to
individual detection servers.
 Administering policies 393
Importing policy templates

The system displays a check box for each server currently configured and
registered with the Enforce Server.
Select each individual detection server to assign the policy group.

5 Click Save to save the policy group configuration.

Note: The Policies in this Group section of the Polices Group screen lists all the
policies in the policy group. You cannot edit these entries. When you create a new
policy group, this section is blank. After you deploy one or more policies to a policy
group (during policy configuration), the Policies in this Group section displays
each policy in the policy group.

See “Configuring policies” on page 370.

See “Policy deployment” on page 332.

Importing policy templates

You can import one or more policy templates to the Enforce Server. You must
have policy system privileges to import policy templates.
See “Policy import and export” on page 336.
See “Exporting policy detection as a template” on page 394.
To import one or more policy templates to the Enforce Server
1 Place one or more policy templates XML file(s) in the
\SymantecDLP\Protect\config\templates directory on the Enforce Server
host.
You can import multiple policies by placing them all in the templates directory.
2 Make sure that the directory and file(s) are readable by the "protect" system
user.
3 Log on to the Enforce Server Administration Console with policy authoring
privileges.
4 Navigate to Manage > Policies > Policy List and click Add Policy.
5 Choose the option Add a policy from a template and click Next.
394 Administering policies
Exporting policy detection as a template

6 Scroll down to the bottom of the template list to the Imported Templates
section.
You should see an entry for each XML file you placed in the templates
directory.
7 Select the imported policy template and click Next to configure it.
See “Configuring policies” on page 370.

Exporting policy detection as a template

You can export policy detection rules and exceptions in a template (XML file). You
cannot export policy response rules. You can only export one policy template at
a time.
See “Policy import and export” on page 336.
To export a policy as a template
1 Log on to the Enforce Server administration console with administrator
privileges.
2 Navigate to the Manage > Policies > Policy List > Configure Policy screen
for the policy you want to export.
3 At the bottom of the Configure Policy screen, click the Export this policy as
a template link.
4 Save the policy to a local or network destination of your choice.
For example, the system exports a policy named Webmail to the policy
template file Webmail.xml which you can save to your local drive.
See “Importing policy templates” on page 393.

Adding an automated response rule to a policy

You can add one or more automated response rules to a policy to take action when
that policy is violated.
See “About response rules” on page 802.

Note: Smart response rules are executed manually and are not deployed with
policies.
 Administering policies 395
Removing policies and policy groups

To add an automated response rule to a policy

1 Log on to the Enforce Server administration console with policy authoring
privileges.
See “Policy authoring privileges” on page 334.
2 Navigate to the Manage > Policies > Policy List > Configure Policy screen
for the policy you want to add a response rule to.
3 Select the response rule you want to add from those available in the drop-down
menu.
Policies and response rules are configured separately. To add a response rule
to a policy, the response rule must first be defined and saved independently.
See “Implementing response rules” on page 813.
4 Click Add Response Rule to add the response rule to the policy.
5 Repeat the process to add additional response rules to the policy.
6 Save the policy when you are done adding response rules.
7 Verify that the policy status is green after adding the response rule to the
policy.
See “Manage and add policies” on page 389.

Note: If the policy status is a yellow caution sign, the policy is misconfigured. The
system does not support certain pairings of detection rules and automated response
rule actions. See Table 73-2 on page 1321.

Removing policies and policy groups

Consider the following guidelines before you delete a policy or a policy group from
the Enforce Server.
396 Administering policies
Troubleshooting policies

Table 18-5 Guidelines for removing policies and policy groups

Action Description Guideline

Remove a If you attempt to delete a policy that has If you want to delete a policy, you must first delete all
policy associated incidents, the system does incidents that are associated with that policy from the
not let you remove the policy. Enforce Server.

See “Manage and add policies” on page 389.

An alternative is to create an undeployed policy group (one

that is not assigned to any detection servers). This method
is useful to maintain legacy policies and incidents for
review without keeping these policies in a deployed policy
group.

See “Policy import and export” on page 336.

Remove a If you attempt to delete a policy group Before you delete a policy group, remove any policies from
policy group that contains one or more policies, the that group by either deleting them or assigning them to
system displays an error message. And, different policy groups.
the policy group is not deleted.
See “Manage and add policy groups” on page 391.

If you want to remove a policy group, create a maintenance

policy group and move the policies you want to remove to
the maintenance group.

See “Creating and modifying policy groups” on page 392.

See “About Data Loss Prevention policies” on page 327.

See “Policy groups” on page 331.

Troubleshooting policies
Table 18-6 lists log files to consult for troubleshooting policies.

Table 18-6 Log files for troubleshooting policies

Log file Description

VontuMonitor.log Logs when policies and profiles are sent from the Enforce Server to
detection servers and endpoint servers. Displays JRE errors.

See “Debug log files” on page 271.

detection_operational.log Log the loading of policies and detection execution.

detection_operational_trace.log See “Operational log files” on page 268.

 Administering policies 397
Troubleshooting policies

Table 18-6 Log files for troubleshooting policies (continued)

Log file Description

FileReader.log Logs when an index file is loaded into memory. For EDM, look for the
line "loaded database profile." For IDM look for the line: "loaded
document profile."

See “Debug log files” on page 271.

Indexer.log Logs the operations of the Indexer process to generate EDM and IDM
indexes.

See “Debug log files” on page 271.

See “About log files” on page 267.

See “Log collection and configuration screen” on page 276.
See “Configuring server logging behavior” on page 276.
See “Collecting server logs and configuration files” on page 281.
See “Log files for troubleshooting VML training and policy detection” on page 499.
See “Advanced server settings” on page 215.
See “Advanced agent settings” on page 247.
398 Administering policies
Troubleshooting policies
 Chapter 19
General policy authoring
considerations
This chapter includes the following topics:

■ About policy authoring considerations

■ Develop a policy strategy that supports your data security objectives

■ Use a limited number of policies to get started

■ Use policy templates but modify them to meet your requirements

■ Use the appropriate match condition for your data loss prevention objectives

■ Test and tune policies to improve match accuracy

■ Start with high match thresholds to reduce false positives

■ Use a limited number of exceptions to narrow detection scope

■ Use compound conditions to improve match accuracy

■ Author policies to limit the potential effect of two-tier detection

■ Use policy groups to manage policy lifecycle

■ Follow detection-specific considerations

About policy authoring considerations

This section provides general considerations for creating well-authored Data Loss
Prevention policies to detect confidential data. These considerations assume you
are familiar with policy authoring concepts and tasks.
See “About Data Loss Prevention policies” on page 327.
400 General policy authoring considerations
Develop a policy strategy that supports your data security objectives

See “Detecting data loss” on page 339.

Develop a policy strategy that supports your data

security objectives
The goal of detection is to achieve accurate results based on true policy matches.
Well-authored policies should accurately detect the data you want to protect with
minimal false positives. Through the use of well-defined policies that implement
the right type and combination of rules, conditions, and exceptions, you can
achieve accurate detection results and prevent the loss of the most critical data
in your enterprise
There are two general approaches to developing a data loss prevention policy
strategy:
■ Information-driven – Identify sensitive data and author policies to prevent it
from being lost.
■ Regulation-driven– Review government and industry regulations and author
policies to comply with them.
Table 19-1 describes these two approaches in more detail.

Table 19-1 Policy detection approaches

Approach Description

Information-driven With this approach you start by identifying specific data items and data combinations you
want to protect. Examples of such data may include fields profiled from a database, a list
of keywords, a set of users, or a combination of these elements. You then group similar
data items together and create policies to identify and protect them. This approach works
best when you have limited access to the data or no particular concerns about a given
regulation.

Regulation-driven With this approach you begin with a policy template based on the regulations with which
you must comply. Examples of such templates may include HIPAA or FACTA. Also, begin
with a large set of data (such as customer or employee data). Use the high-level requirements
stipulated by the regulations as the basis for this approach. Then, decide what sensitive
data items and documents in your enterprise meet these requirements. These data items
become the conditions for the detection rules and exceptions in your policies.

Use a limited number of policies to get started

The policy detection rules you implement are based on your organization's
information security objectives. The actions you take in response to policy
 General policy authoring considerations 401
Use policy templates but modify them to meet your requirements

violations are based on your organization's compliance requirements. In general

you should start small with policy detection. Enable one or two policy templates,
or a few simple conditions, such as keyword matching. Review the incidents each
policy detects. Tune the results before you implement response rules to take
action.
Generally it is better to have fewer policies that are configured to address specific
data loss prevention objectives rather than many policies that attempt to address
all of your security requirements. Having too many policies can impact the
performance of the system and can lead to too many false positives.
See “Test and tune policies to improve match accuracy” on page 402.

Use policy templates but modify them to meet your

requirements
Policy templates provide an excellent starting point for authoring policies.
Symantec Data Loss Prevention provides 65 pre-built policy templates that contain
detection rules and conditions for many different types of use cases, including
regulatory compliance, data protection, security enforcement, and acceptable use
scenarios.
You should use the system-provided policy templates as starting points for your
policies. Doing so will save time and help you avoid errors and information gaps
in your policies since the detection methods are predefined. However, for most
situations you will want to modify the policy template and tailor it for your specific
environment. Deploying a policy template out-of-the-box without configuring it
for your environment is not recommended.
See “Creating a policy from a template” on page 355.

Use the appropriate match condition for your data

loss prevention objectives
To prevent data loss, it is necessary to accurately detect all types of confidential
data wherever that data is stored, copied, or transmitted. To meet your data
security objectives, you need to implement the appropriate detection methods
for the type of data you want to protect. The recommendation is to determine the
detection methods that work best for you, and tune the policies as necessary based
on the results of your detection testing.
Table 19-2 describes the primary use case for each type of policy match condition
provided by Data Loss Prevention.
402 General policy authoring considerations
Test and tune policies to improve match accuracy

Table 19-2 Match conditions compared

Type of data you want to protect Condition Matching

Personally Identifiable Information (PII), such as EDM Exact profiled data

SSNs, CCNs, and Driver's License numbers
Data Identifiers Described, validated data patterns

Confidential documents, such as Microsoft Word, IDM Exact file contents

PowerPoint, PDF, etc.
Partial file contents (derivative)

VML Similar file contents

Confidential files and images, such as CAD IDM Exact file

drawings
File Properties File context (type, name, size)

Words and phrases, such as "Confidential" or Keywords Exact words, phrases, proximity
"Proprietary"

Characters, strings, text Regular Expressions Described text

Network and endpoint communications Protocol and Endpoint Protocols, destinations, monitoring

Determined by the identity of the user, sender, Synchronized DGM Exact identity from LDAP server
recipient
Profiled DGM Exact profiled identity

Sender/user, recipient Described identity patterns

Describes a document, such as author, title, date, Content-based conditions File type metadata
etc.

Test and tune policies to improve match accuracy

When you create detection policies, there are two common detection problems to
avoid. If you create a policy that is too general or too broad, it generates incidents
when no real match has occurred (false positive). On the other hand, if a policy
has rules that are too specific or narrow about the data it detects, the policy may
miss some of the matches you intend to catch (false negatives). Table 19-3 describes
these common problems in more detail.
To reduce false positives and negatives, you need to tune your policies. The best
way to tune detection is to identify a single, specific use case that is a priority,
such as protecting source code for a particular product. You then create a single
policy—either from scratch or based on a template, depending on your DLP
strategy—containing one or two detection rules and test the policy to see how
many (quantity) and the types (quality) of incidents the policy generates. Based
 General policy authoring considerations 403
Test and tune policies to improve match accuracy

on these initial results, you adjust the detection rule(s) as needed. If the policy
generates more false positives than you want, make the detection rule(s) more
specific by fine-tuning the existing match conditions, adding additional match
conditions, and creating policy exceptions. If the policy does not detect some
incidents, make the detection condition(s) less specific.
As your policies mature, it is important to continuously test and tune them to
ensure ongoing accuracy.
See “Follow detection-specific considerations” on page 406.

Table 19-3 Common detection problems to avoid

Problem Cause Description

False positives Policy rules too False positives create high costs in time and resources that are required to
general or broad investigate and resolve apparent incidents that are not actual incidents. Since
many organizations do not have the capacity to manage excess false positives,
it is important that your policies define contextual rules to improve accuracy.

For example, a policy is designed to protect customer names and generates an

incident for anything that contains a first and last name. Since most messages
contain a name—in many cases both first and last names—this policy is too broad
and general. Although it may catch all instances of customer names being sent
outside the network, this policy will return too many false positives by detecting
email messages that do not divulge protected information. First and last names
require a much greater understanding of context to determine if the data is
confidential

False Policy rules too False negatives obscure gaps in security by allowing data loss, the potential for
negatives tight or narrow financial losses, legal exposure, and damage to the reputation of an organization.
False negatives are especially dangerous because you do not know you have lost
sensitive data.

For example, a policy that contains a keyword match on the word "confidential"
but also contains a condition that excludes all Microsoft Word documents would
be too narrow and be suspect to false negatives because it would likely miss
detecting many actual incidents contained in such documents

See “Start with high match thresholds to reduce false positives” on page 404.
See “Use a limited number of exceptions to narrow detection scope” on page 404.
See “Use compound conditions to improve match accuracy” on page 404.
404 General policy authoring considerations
Start with high match thresholds to reduce false positives

Start with high match thresholds to reduce false

positives
For content-based detection rules, there is a configuration setting that lets you
"count all matches" but only report an incident after a threshold number of
matches has been reached. The general recommendation is to start with high
match thresholds for your content-based detection policies. As you tune your
policies you can reduce the match thresholds to be more precise.
See “Configuring match counting” on page 378.

Use a limited number of exceptions to narrow

detection scope
You can implement exception conditions for any detection rule, except EDM rules.
The limited use of exception conditions can help to reduce false positives by
narrowing the scope of policy detection. However, if you need to use several
exceptions in a single policy to achieve the desired detection results, reconsider
the design of the policy. Make sure the policy is well-defined and uses the proper
match conditions. Too many compound exceptions (10 or more) in a policy can
cause system performance issues.
It is important to understand how exception conditions work so you can use them
properly. Exception conditions disqualify messages from creating incidents.
Exception conditions are checked first by the detection server before match
conditions. If the exception condition matches, the system immediately discards
the entire message or message component that met the exception. There is no
support for match-level exceptions. Once the message or message component is
discarded by meeting an exception, the data is no longer available for policy
evaluation.
See “Exception conditions” on page 350.
See “Use compound conditions to improve match accuracy” on page 404.

Use compound conditions to improve match accuracy

Compound conditions can help you improve the match accuracy of your policies.
Suppose you are concerned about Microsoft Word documents leaving the network.
Initially, you add a policy that uses an attachment type condition to catch all Word
files. You quickly discover that too many messages contain Word file attachments
that do not divulge protected information. When you examine the incidents more
closely, you realize that you are more concerned with Word files that contain the
 General policy authoring considerations 405
Author policies to limit the potential effect of two-tier detection

word CONFIDENTIAL. In this case you can convert the attachment type condition
to a compound rule by adding a keyword rule for the word CONFIDENTIAL. Such
a configuration would achieve more accurate detection results.
See “Compound conditions” on page 351.

Author policies to limit the potential effect of two-tier

detection
The Exact Data Matching (EDM), Indexed Document Matching (IDM), and most
Directory Group Matching (DGM) conditions require two-tier detection. For these
conditions, the DLP Agent must send the data to the Endpoint Server for
evaluation.
See “Two-tier detection for DLP Agents” on page 353.
On the endpoint the DLP Agent executes the least expensive rules first. If you are
deploying a policy to the endpoint that requires two-tier detection, you can author
the policy in such a way to limit the potential effect of two-tier detection.
Table 19-4 provides some considerations for authoring policies to limit the
potential effect of two-tier detection.
See “Detection messages and message components” on page 349.

Table 19-4 Policy configurations for two-tier detection rules

Two-tier match condition Policy configuration

Exact Data Matching (EDM) For EDM policies, consider including Data Identifier rules OR'd with EDM rules.
For example, for a policy that uses an EDM condition to match social security
numbers, you could add a second rule that uses the SSN Data Identifier condition.
The Data Identifier does not require two-tier detection and is evaluated locally
by the DLP Agent. If the DLP Agent is not connected to the Endpoint Server when
the DLP Agent receives the data, the DLP Agent can still perform SSN pattern
matching based on the Data Identifier condition.

See “Combine Data Identifiers with EDM rules to limit the impact of two-tier
detection” on page 441.

For example policy configurations, each of the policy templates that provide EDM
conditions also provide corresponding Data Identifier conditions.

See “Choosing an Exact Data Profile” on page 365.

406 General policy authoring considerations
Use policy groups to manage policy lifecycle

Table 19-4 Policy configurations for two-tier detection rules (continued)

Two-tier match condition Policy configuration

Indexed Document Matching For IDM policies that match file contents, consider using VML rules OR'd with
(IDM) IDM rules. VML rules do not require two-tier detection and are executed locally
by the DLP Agent. If you do not need to match file contents exactly, you may
want to use VML instead of IDM.

See “Use the appropriate match condition for your data loss prevention objectives”
on page 401.

If you are only concerned with file matching, not file contents, consider using
compound file property rules instead of IDM. File property rules do not require
two-tier detection.

See “Consider using compound file property rules to protect design and
multimedia files” on page 571.

Directory Group Matching (DGM) For the synchronized DGM Recipient condition, consider including a Recipient
Matches Pattern condition OR'd with the DGM condition. The pattern condition
does not require two-tier detection and is evaluated locally by the DLP Agent.

See “About two-tier detection for synchronized DGM” on page 600.

Use policy groups to manage policy lifecycle

Use policy groups to test policies before using them in production. Create a test
policy group to which only you have access. Then, create policies and add them
to the test policy group. Review the incidents your test policies capture. After you
tune the policies and confirm that they capture the expected incidents, you can
rename the policy group and grant the appropriate roles access to it. You can also
use policy groups to manage legacy policies, as well as policies you want to import
or export.
See “Policy groups” on page 331.
See “Removing policies and policy groups” on page 395.

Follow detection-specific considerations

In additional to these general policy authoring considerations, you should be
aware of and keep in mind policy tuning considerations specific to each type of
match condition. Table 19-5 lists detection specific considerations, with links to
topics for more information.
 General policy authoring considerations 407
Follow detection-specific considerations

Table 19-5 Considerations for specific detection methods

Detection method Description

EDM See “EDM policy considerations” on page 434.

IDM See “IDM policy considerations” on page 471.

VML See “VML policy considerations” on page 500.

Data Identifiers See “Data Identifier policy considerations” on page 543.

Keywords See “Keyword matching policy considerations” on page 555.

Regular Expressions See “Regular expression matching considerations” on page 560.

File Properties

Protocols See “Consider separate policies for specific protocols” on page 577.

Endpoint See “Endpoint event policy considerations” on page 589.

Described Identities See “Described identity matching policy considerations” on page 596.

Synchronized DGM See “Synchronized DGM policy considerations” on page 605.

Profiled DGM See “Profiled DGM policy considerations” on page 612.

Metadata Detection See “Considerations for implementing metadata detection” on page 621.
408 General policy authoring considerations
Follow detection-specific considerations
 Chapter 20
Detecting content using
Exact Data Matching (EDM)
This chapter includes the following topics:

■ About Exact Data Matching (EDM)

■ Implementing Exact Data Matching (EDM)

■ EDM policy considerations

About Exact Data Matching (EDM)

Exact Data Matching (EDM) is designed to protect your most sensitive content.
You can use EDM to detect personally identifiable information (PII)—such as social
security numbers, bank account numbers, credit card numbers—confidential
customer and employee records, and other confidential data stored in a structured
data source, such as a database, directory server, or CSV file such as a spreadsheet.
Consider the following example. Your company maintains an employee database
that contains the following column fields:
■ First Name
■ Last Name
■ SSN
■ Date of Hire
■ Salary
In a structured data format such as a database, each row represents one record,
with each record containing values for each column data field. In this example,
each row in the database contains information for one employee, and you can use
EDM to protect each record. You export the records to a data source file with each
410 Detecting content using Exact Data Matching (EDM)
About Exact Data Matching (EDM)

record on a separate line and each data item delimited by a comma, tab, or pipe
character. For example, one row in the data source file contains the following
comma-separated record: Bob,Smith,123-45-6789,05/26/99,$42500.
You create an Exact Data Profile and index the data source file. When you configure
the profile, you map the data field columns to system-defined patterns and validate
the data. You then configure the EDM policy condition that references the Exact
Data Profile. In this example, the condition matches if a message contains all five
data fields. The detection server reports a match if it detects "Bob, Smith,
123-45-6789, 05/26/99, $42500" in any inbound message. But, a message
containing "Betty, Smith, 000-00-0000, 05/26/99, $42500" does not match because
that record is not in the profile. If you limited the condition to matching only the
Last Name, SSN and Salary column fields, the message "Robert, Smith,
123-45-6789, 05/29/99, $42500," is a match because it meets the criteria. But,
"Bob, Smith, 415-789-0000, 05/26/99, $42500" does not match because the value
for the SSN is not present in the profile.'
See “Implementing Exact Data Matching (EDM)” on page 415.

How EDM works

To implement EDM policies, you identify and prepare the data you want to protect.
You create an Exact Data Profile and index the structured data source using the
Enforce Server administration console, or remotely using the Remote EDM Indexer.
During the indexing process, the system fingerprints the data by accessing and
extracting the text-based content, normalizing it, and securing it using a
nonreversible hash. You can schedule indexing on a regular basis so the data is
current.
Once you have profiled the data, you configure the Content Matches Exact Data
condition to match individual pieces of the indexed data. For increased accuracy
you can configure the condition to match combinations of data fields from a
particular record. The EDM policy condition matches on data coming from the
same row or record of data. For example, you can configure the EDM policy
condition to look for any three of First Name, Last Name, SSN, Account Number,
or Phone Number occurring together in a message and corresponding to a record
from your customer database.
Once the policy is deployed to one or more detection servers, the system can detect
the data you have profiled in either structured or unstructured format. For
example, you could deploy the EDM policy to a Network Discover Server and scan
data repositories for confidential data matching data records in the index. Or, you
could deploy the EDM policy to a Network Prevent for Email Server to detect
records in email communications and attachments, such as Microsoft Word files.
 Detecting content using Exact Data Matching (EDM) 411
About Exact Data Matching (EDM)

If the attachment is a spreadsheet, such as Microsoft Excel, the EDM policy can
detect the presence of confidential records there as well.
See “About Exact Data Matching (EDM)” on page 409.

About the Exact Data Profile

The Exact Data Profile is the user defined configuration you create to index the
data source and map the data. The index is a secure file (or set of files) that contains
hashes of the exact data values from each field in your data source, along with
information about those data values. The index does not contain the data values
themselves.
The index that is generated consists of one or more binary DataSource.rdx files,
each with space to fit into random access memory (RAM) on the detection server(s).
For a large data source file, the system may break the data into several .rdx files.
By default, Symantec Data Loss Prevention stores index files in
\SymantecDLP\Protect\index (on Windows) or in /var/SymantecDLP/index
(on Linux) on the Enforce Server. When the policy is active, Symantec Data Loss
Prevention deploys the index to the detection server and the detection server
loads the index into RAM.
In production, the system converts input content into hashed data values using
the same algorithm it employs for indexes. It then compares data values from
input content to those in the appropriate .rdx files, identifying matches.
See “About creating and cleansing the exact data source file” on page 411.
See “EDM policy considerations” on page 434.

About creating and cleansing the exact data source file

The data source file is a flat file containing data in a standard delimited format
(pipe, comma, or tab) that has been extracted from a database, CSV file such as a
spreadsheet, or other structured data source, and cleansed for profiling. You
upload the data source file to the Enforce Server when you are defining the Exact
Data Profile.
The maximum number of columns that a single data source file can have is 32. If
the data source file has more than 32 columns, the Enforce Server administration
console produces an error message at the profile screen, and the data source file
is not indexed. There is no maximum number of rows, but the total number of
cells in a single data source file should not exceed 2.1 billion cells. If your data
source file is larger than this, split it into multiple files and profile each separately.
The data source file must contain at least one unique column field. Some examples
of unique column fields include social security number, drivers license number,
412 Detecting content using Exact Data Matching (EDM)
About Exact Data Matching (EDM)

and credit card number. See “Ensure data source has at least one column of unique
data” on page 435.
In addition, note the following recommendations for cleansing the data source
file:
■ Remove incomplete and duplicate records.
See “Cleanse the data source file of blank columns and duplicate rows”
on page 435.
■ Remove improper characters.
See “Remove ambiguous character types from the data source file” on page 436.
■ Reduce fields with multiple words to single values for freeform text detection.
See “Avoid indexing multi-token cells to detect unstructured data” on page 436.
See “Preparing the exact data source file for indexing” on page 419.

About profile validation

Column headings in your data source are useful for visual reference. However,
they do not tell Symantec Data Loss Prevention what kind of data the columns
contain. To do this, you use the Field Mappings section of the Exact Data Profile
to specify mappings between fields in your data source. You can also use field
mappings to specify fields that the system recognizes in the system-provided
policy templates. The Field Mappings section also gives you advanced options
for specifying custom fields and validating the data in those fields.
See “Mapping Exact Data Profile fields” on page 426.
Consider the following example use of field mappings. Your company wants to
protect employee data, including employee social security numbers. You create
a Data Loss Prevention policy based on the Employee Data Protection template.
The policy requires an exact data index with fields for social security numbers
and other employee data. You prepare your data source and then create the Exact
Data Profile. To validate the data in the social security number field, you map
this column field in your index to the "Social Security Number" system field
pattern. The system will then validate all data in that field to ensure that each
data item is a social security number.
Using the system-defined field patterns to validate your data is critical to the
accuracy of your EDM policies. If there is no system-defined field pattern that
corresponds to one or more data fields in your index, you can define custom field
patterns to validate the data.
See “Mapping Exact Data Profile fields” on page 426.
 Detecting content using Exact Data Matching (EDM) 413
About Exact Data Matching (EDM)

About index scheduling

After you have indexed an exact data source extract, its schema cannot be changed
because the index file is binary. If the data source changes, or the number of
columns or data mapping of the exact data source file changes, you must create
a new EDM index and update the policies that reference the changed data. In this
case you can schedule the indexing to keep the index in sync with the data source.
See “Implementing Exact Data Matching (EDM)” on page 415.

About remote indexing

Instead of creating a flat data source file and uploading it to the Enforce Server
for indexing, you can index your confidential data sources remotely and securely.
You do this by using the Remote EDM Indexer utility to create a cryptographic
index directly on the storage system before moving it to the Enforce Server
You use the Remote EDM Indexer in conjunction with the SQL Preindexer utility.
The SQL Preindexer connects directly to an Oracle database instance, processes
the database query, and then pipes the result to the Remote EDM Indexer, which
you can use to define the Exact Data Profile. Both utilities are available in directory
\SymantecDLP\Protect\bin on the Enforce Server host file system (Windows).

See “About using the Remote EDM Indexer” on page 314.

About the Content Matches Exact Data From condition

The Content Matches Exact Data From an Exact Data Profile condition is the
detection component you use to implement EDM policies. When you define this
condition, you select the EDM profile on which the condition is based. You also
select the rows you want to use in your condition, as well as any where clause
limitations.

Note: You cannot use the Content Matches Exact Data From an Exact Data Profile
condition as a policy exception. Data Loss Prevention does not support the use of
the EDM condition as a policy exception.

See “Configuring the Content Matches Exact Data condition” on page 429.

About Data Owner Exception

Although EDM does not support the explicit use of match exceptions in policies,
EDM does support criteria-based matching exceptions. This feature of EDM is
known as Data Owner Exception. Data owner exception lets you tag or authorize
414 Detecting content using Exact Data Matching (EDM)
About Exact Data Matching (EDM)

a specific field in an Exact Data Profile as the data owner. At runtime if the sender
or recipient of the data is authorized as a data owner, the condition does not
trigger a match and the data is allowed to be sent or received by the data owner
You implement data owner exception by including either the email address field
or domain address field in your Exact Data Profile. In the EDM policy condition,
you specify the field as either the sender or recipient data owner. An authorized
data owner, identified by his or her email address or a domain address, who is a
sender can send his or her own confidential information without triggering an
EDM match or incident. This means that the sender can send any information
that is contained in the row where his or her email address or domain is specified.
Authorized data owner recipients can be specified individually or all recipients
in the list can be allowed to receive the data without triggering a match.
As a policy author, data owner exception gives you the flexibility to allow data
owners to use their own data legitimately. For example, if data owner exception
is enabled, an employee can send an email containing his or her own confidential
information (such as an account number) without triggering a match or an incident.
Similarly, if data owner exception is configured for a recipient, the system does
not trigger an EDM match or incident if the data owner is receiving his or her own
information, such as someone outside the company is sending a email to the data
owner containing his or her account number.
If you have previously implemented data owner exceptions manually using
configuration files, you must reconfigure these exceptions using the Enforce
Server administration console.

About profiled Directory Group Matching (DGM)

Profiled Directory Group Matching (DGM) is a specialized implementation of EDM
that is used to detect the exact identity of a message user, sender, or recipient
that has been profiled from a directory server or database
See “About profiled Directory Group Matching (DGM)” on page 607.
To implement profiled DGM, your exact data source file must contain one or more
of the following fields:
■ Email address
■ IP address
■ Windows user name
■ IM name (AOL, Yahoo, MSN)
If you include the email address field in the DGM profile, the field will appear in
the Directory EDM drop-down list at the incident snapshot screen in the Enforce
Server administration console, which facilitates remediation.
 Detecting content using Exact Data Matching (EDM) 415
Implementing Exact Data Matching (EDM)

See “Creating the exact data source file for profiled DGM” on page 609.

About two-tier detection for EDM on the endpoint

The EDM index is server-based. If you deploy a policy containing an EDM condition
to the DLP Agent on the endpoint, the system uses two-tier detection to evaluate
data for matching. In this case the EDM detection condition is not evaluated locally
by the DLP Agent. Instead, the DLP Agent sends the data to the Endpoint Server
for evaluation against the index. If the endpoint is offline, the message cannot be
sent until the server is available, which can affect endpoint performance.
See “Two-tier detection for DLP Agents” on page 353.
To check if two-tier detection is being used, check the
\SymantecDLP\Protect\logs\debug\FileReader.log on the Endpoint Server to
see if any EDM indexes are being loaded. Look for the line "loaded database profile."
See “Troubleshooting policies” on page 396.

Implementing Exact Data Matching (EDM)

To implement EDM, you create the Exact Data Profile, index the data source, and
define one or more EDM detection conditions to match profiled data exactly.
See “About the Exact Data Profile” on page 411.

Table 20-1 Implementing Exact Data Matching

Step Action Description

1 Create the data source file. Export the source data from the database (or other data repository)
to a tabular text file.

If you want to except data owners from matching, you need to include
specific data items in the data source file.

See “About Data Owner Exception” on page 413.

If you want to match identities for profiled Directory Group Matching

(DGM), you need to include specific data items in the data source files.

See “Implementing profiled DGM” on page 608.

2 Prepare the data source file for Remove irregularities from the data source file.
indexing.
See “Preparing the exact data source file for indexing” on page 419.
416 Detecting content using Exact Data Matching (EDM)
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Table 20-1 Implementing Exact Data Matching (continued)

Step Action Description

3 Upload the data source file to the You can copy or upload the data source file to the Enforce Server, or
Enforce Server. access it remotely.

See “Uploading exact data source files to the Enforce Server”

on page 420.

4 Create an Exact Data Profile. An Exact Data Profile is required to implement Exact Data Matching
(EDM) policies. The Exact Data Profile specifies the data source, data
field types, and the indexing schedule.

See “Creating and modifying Exact Data Profiles” on page 422.

5 Map and validate the data fields. You map the source data fields to system or custom data types that
the system validates. For example, a social security number data field
needs to be nine digits.

See “About profile validation” on page 412.

See “Mapping Exact Data Profile fields” on page 426.

6 Index the data source, or See “About index scheduling” on page 413.
schedule indexing.
See “Scheduling Exact Data Profile indexing” on page 428.

7 Configure and tune one or more See “Configuring the Content Matches Exact Data condition”
EDM detection conditions. on page 429.

See “Configuring the Content Matches Exact Data condition”

on page 429.

Manage and add Exact Data Profiles

You manage and create Exact Data Profiles for EDM at the Manage > Data Profiles
> Exact Data screen. Once a profile has been created, the Exact Data screen lists
all Exact Data Profiles configured in the system.
See “About the Exact Data Profile” on page 411.

Table 20-2 Exact Data screen actions

Action Description

Add EDM profile Click Add Exact Data Profile to define a new Exact Data Profile.

See “Implementing Exact Data Matching (EDM)” on page 415.

 Detecting content using Exact Data Matching (EDM) 417
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Table 20-2 Exact Data screen actions (continued)

Action Description

Edit EDM profile To modify an existing Exact Data Profile, click the name of the profile, or click the pencil
icon at the far right of the profile row.

See “Creating and modifying Exact Data Profiles” on page 422.

Remove EDM profile Click the red X icon at the far right of the profile row to delete the Exact Data Profile from
the system. A dialog box confirms the deletion.
Note: You cannot edit or remove a profile if another user currently modifies that profile, or
if a policy exists that depends on that profile.

Download EDM Click the download profile link to download and save the Exact Data Profile.
profile
This is useful for archiving and sharing profiles across environments. The file is in the binary
*.edm format.

Refresh EDM profile Click the refresh arrow icon at the upper right of the Exact Data screen to fetch the latest
status status of the indexing process.

If you are in the process of indexing, the system displays the message "Indexing is starting."
The system does not automatically refresh the screen when the indexing process completes.

Table 20-3 Exact Data screen details

Column Description

Exact Data Profile The name of the exact data profile.

Last Active Version The version of the exact data profile and the name of the detection server that runs the profile.

Status The current status of the exact data profile, which can be any of the following:

■ Next scheduled indexing (if it is not currently indexing)

■ Sending an index to a detection server
■ Indexing
■ Deploying to servers

In addition, the current status of the indexing process for each detection server, which can
be any of the following:
■ Completed, including a completion date
■ Pending index completion (waiting for the Enforce Server to finish indexing the exact
data source file)
■ Replicating indexing
■ Creating index (internally)
■ Building caches
418 Detecting content using Exact Data Matching (EDM)
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Table 20-3 Exact Data screen details (continued)

Column Description

Error messages The Exact Data screen displays any error messages in red.

For example, if the Exact Data Profile is corrupt or does not exist, the system displays an
error message.

Creating the exact data source file

The first step in the EDM indexing process is to create the data source. A data
source is a flat file containing data in a standard delimited format.
If you plan to use a policy template, review it before creating the data source file
to see which data fields the policy uses. For relatively small data sources, include
as many suggested fields in your data source as possible. However, note that the
more fields you include, the more memory the resulting index requires. This
consideration is important if you have a large data source. When you create the
data profile, you can confirm how well the fields in your data source match against
the suggested fields for the template.

Table 20-4 Create the exact data source file

Step Description

1 Export the data you want to protect from a database or other tabular data format, such as an Excel
spreadsheet, to a file. The data source file you create must be a tabular text file that contains rows
of data from the original source. Each row from the original source is included as a row in the data
source file. Delimit columns using a tab, a comma, or a pipe.

You must maintain all the structured data that you exported from the source database table or
table-like format in one data source file. You cannot split the data source across multiple files.

The data source file cannot exceed 2.1 billion cells. The size of a data source is otherwise limited
only by the available disk space of the Enforce Server host. If you plan to upload the data source
to the Enforce Server, browser capacity limits the data source size to 2 GB. For file sizes larger
than this size you can copy the file to the Enforce Server using FTP/S.

2 Include required data fields for specific EDM implementations:

■ Data Owner Exception

See “About Data Owner Exception” on page 413.
■ Directory Group Matching
See “Creating the exact data source file for profiled DGM” on page 609.

3 Prepare the data source file for indexing.

See “Preparing the exact data source file for indexing” on page 419.
 Detecting content using Exact Data Matching (EDM) 419
Implementing Exact Data Matching (EDM)

Preparing the exact data source file for indexing

Once you create the exact data source file, you must prepare it so that you can
efficiently index the data you want to protect.
When you index an exact data profile, the Enforce Server keeps track of empty
cells and any misplaced data which count as errors. For example, an error may
be a name that appears in a column for phone numbers. Errors can constitute a
certain percentage of the data in the profile (five percent, by default). If this default
error threshold is met, Symantec Data Loss Prevention stops indexing. It then
displays an error to warn you that your data may be unorganized or corrupt.
Symantec Data Loss Prevention checks for errors only if the data source has at
least a thousand rows.
To prepare the exact data source for efficient EDM indexing
1 Make sure that the data source file is formatted as follows:
■ If the data source has more than 200,000 rows, verify that it has at least
two columns of data. One of the columns should contain reasonably distinct
values. For example, credit card numbers, driver’s license numbers, or
account numbers (as opposed to first and last names, which are relatively
generic).
■ Verify that you have delimited the data source using commas, tabs, or
pipes ( | ). If the data source uses commas as delimiters, remove any
commas that do not serve as delimiters. For example, if a value in the
address column is 346 Guerrero St., Apt. 2, delete the comma after
Guerrero St.

Note: The pound sign (#), equals sign (=), plus sign (+), semicolon (;) and
colon (:) characters are also treated as separators.

■ Verify that data values are not enclosed in quotes.

■ Remove single-character and abbreviated data values from the data source.
(For example, remove the column name and all values for a column in
which the possible values are Y and N.) Optionally, remove any columns
that contain numeric values with less that five digits, as these can cause
false positives in production.
■ Verify that numbers, such as credit card or social security, are delimited
internally by dashes, or spaces, or none at all. Make sure that you do not
use a data-field delimiter (for example, a comma) as an internal delimiter
in any such numbers; for example: 123-45-6789, or 123 45 6789, or
123456789, but not 123,45,6789.
420 Detecting content using Exact Data Matching (EDM)
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■ Eliminate duplicate records, which can cause duplicate matches in

production.
■ Eliminate spaces in data values by separating the data into two or more
fields. For example, the name Joe Brown, may appear in input content
with the middle name or initial; for example: Joe R Brown, Joe R. Brown,
or Joe Robert Brown. If the value Joe Brown appears in a single field in
your data source, Symantec Data Loss Prevention detects only the literal
string Joe Brown. It does not detect other variants of the name. To ensure
that the system detects name variants, divide the name into two fields: a
first-name field and a last-name field. You may also want to remove any
relatively unimportant text that is separated by a space. For example, for
a data value of Mary Jo, you may want to remove Jo entirely. In addition,
some data values with inherent spacing, such as San Francisco and New
York, may not be critical to your matching criteria, and therefore can be
left as they are.
■ Eliminate duplicate records, which can cause duplicate incidents in
production.
■ Do not index common values. EDM works best with values that are unique.
You need to think about the data you want to index (and thus protect). Is
this data truly valuable? If the value is something common, it is not be
useful as an EDM value. For example, suppose you want to look for "states."
Since there are only 50 states, if your exact data profile has 300,000 rows,
the result is a lot of duplicates of common values. Symantec Data Loss
Prevention indexes all values in the exact data profile, regardless of if the
data is used in a policy or not. It is good practice to use values that are
less common and preferably unique to get the best results with EDM.

2 Once you have prepared the exact data source file, proceed with the next step
in the EDM process: upload the exact data source file to the Enforce Server
for profiling the data you want to protect.
See “Uploading exact data source files to the Enforce Server” on page 420.

Uploading exact data source files to the Enforce Server

After you have prepared the data source file for indexing, load it to the Enforce
Server so the data source can be indexed.
Listed here are the three options you have for making the data source file available
to the Enforce Server. Consult with your database administrator to determine the
best method for your needs.
 Detecting content using Exact Data Matching (EDM) 421
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To make the data source available to the Enforce Server

1 If you have a large data source file (over 50 MB), copy it to the "datafiles"
directory on the host where Enforce is installed.
■ On Windows this directory is located at
\SymantecDLP\Protect\datafiles.

■ On Linux this directory is located at /var/SymantecDLP/datafiles.

This option is convenient because it makes the data file available by reference
by a drop-down list during configuration of the Exact Data Profile. If it is a
large file, use a third-party solution (such as Secure FTP) to transfer the data
source file to the Enforce Server.

Note: Ensure that the Enforce user (usually called "protect") has modify
permissions (on Windows) or rw permissions (on Linux) for all files in the
"datafiles" directory.

2 If you have a smaller data source file (less than 50 MB), upload the data source
file to the Enforce Server using the Enforce Server administration console
(Web interface). When creating the Exact Data Profile, you can specify the
file path or browse to the directory and upload the data source file.

Note: Due to browser capacity limits, the maximum file size that you can
upload is 2 GB. However, uploading any file over 50 MB is not recommended
since files over this size can take a long time to upload. If your data source
file is over 50 MB, consider copying the data source file to the "datafiles"
directory using the first option.
422 Detecting content using Exact Data Matching (EDM)
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3 In some environments it may not be secure or feasible to copy or upload the

data source file to the Enforce Server. In this situation you can index the data
source remotely using the Remote EDM Indexer Utility.
See “About using the Remote EDM Indexer” on page 314.
This utility lets you index an exact data source on a computer other than the
Enforce Server host. This feature is useful when you do not want to copy the
data source file to the same machine as the Enforce Server. As an example,
consider a situation where the originating department wants to avoid the
security risk of copying the data to an extra-departmental host. In this case
you can use the Remote EDM Indexer.
See “Using the Remote EDM Indexer” on page 315.
4 Proceed with the next step in the EDM process: configuring the Exact Data
Profile and indexing the data source.
See “Creating and modifying Exact Data Profiles” on page 422.

Creating and modifying Exact Data Profiles

The Manage > Data Profiles > Exact Data > Add Exact Data Profile screen is the
home page for managing and adding Exact Data Profiles. An Exact Data Profile
is required to implement an instance of the Content Matches Exact Data detection
rule. An Exact Data Profile specifies the data source, the indexing parameters,
and the indexing schedule. Once you have created the EDM profile, you index the
data source and configure one or more detection rules to use the profile and detect
exact content matchesSee “Implementing Exact Data Matching (EDM)” on page 415.

Note: If you are using the Remote EDM Indexer to generate the Exact Data Profile,
refer to the following topic. See “Creating an EDM profile for remote indexing”
on page 317.

To create or modify an Exact Data Profile

1 Make sure that you have created the data source file.
See “Creating the exact data source file” on page 418.
2 Make sure that you have prepared the data source for indexing.
See “Preparing the exact data source file for indexing” on page 419.
3 Make sure the data source contains the email address field or domain field,
if you plan to use data owner exceptions.
See “About Data Owner Exception” on page 413.
 Detecting content using Exact Data Matching (EDM) 423
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4 In the Enforce Server administration console, navigate to Manage > Data

Profiles > Exact Data.
5 Click Add Exact Data Profile.
6 Enter a unique, descriptive Name for the profile (limited to 256 characters).
For easy reference, choose a name that describes the data content and the
index type (for example, Employee Data EDM).
If you modify an existing Exact Data Profile you can change the profile name.
7 Select one of the following Data Source options to make the data source file
available to the Enforce Server:
■ Upload Data Source to Server Now
If you are creating a new profile, click Browse and select the data source
file, or enter the full path to the data source file.
If you are modifying an existing profile, select Upload Now.
See “Uploading exact data source files to the Enforce Server” on page 420.
■ Reference Data Source on Manager Host
If you copied the data source file to the "datafiles" directory on the Enforce
Server, it appears in the drop-down list for selection.
See “Uploading exact data source files to the Enforce Server” on page 420.
■ Use This File Name
Select this option if you have not yet created the data source file but want
to configure EDM rule(s) using a placeholder data source. Enter the file
name of the data source you plan to create, including the Number of
Columns it is to have. When you do create the data source, you must copy
it to the "datafiles" directory.

Note: Use this option with caution. Be sure to remember to create the data
source file and copy it to the "datafiles" directory. Name the data source
file exactly the same as the name you enter here and include the exact
number of columns you specify here.

■ Load Externally Generated Index

Select this option if you have created an index on a remote computer using
the Remote EDM Indexer. This option is only available after you have
defined and saved the profile.
See “Uploading exact data source files to the Enforce Server” on page 420.

8 If the first row of your data source contains Column Names, select the "Read
first row as column names" check box.
424 Detecting content using Exact Data Matching (EDM)
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9 Specify the Error Threshold, which is the maximum percentage of rows that
contain errors before indexing stops.
A data source error is either an empty cell, a cell with the wrong type of data,
or extra cells in the data source. For example, a name in a column for phone
numbers is an error. If errors exceed a certain percentage of the overall data
source (by default, five percent), the system quits indexing and displays an
indexing error message. If you specify 100% as the error threshold, Symantec
Data Loss Prevention indexes the data source without checking for errors.

Note: Sometimes, a certain percentage of rows in a data set can contain errors.
However, more than a small percentage can indicate that the data source file
is corrupt, is in an incorrect format, or cannot be read. You can specify that
if a certain percentage of rows contains errors, indexing should stop. The
default setting is five percent.

See “Preparing the exact data source file for indexing” on page 419.
10 Select the Column Separator Char (delimiter) that you have used to separate
the values in the data source file. The delimiters you can use are tabs, commas,
or pipes.
11 Select one of the following encoding values for the content to analyze, which
must match the encoding of your data source:
■ ISO-8859-1 (Latin-1) (default value)
Standard 8-bit encoding for Western European languages using the Latin
alphabet.
■ UTF-8
Use this encoding for all languages that use the Unicode 4.0 standard (all
single- and double-byte characters), including those in East Asian
languages.
■ UTF-16
Use this encoding for all languages that use the Unicode 4.0 standard (all
single- and double-byte characters), including those in East Asian
languages.

Note: Make sure that you select the correct encoding. The system does not
prevent you from creating an EDM profile using the wrong encoding. The
system only reports an error at runtime when the EDM policy attempts to
match inbound data. To make sure that you select the correct encoding, after
you clickNext, verify that the column names appear correctly. If the column
names do not look correct, you chose the wrong encoding.
 Detecting content using Exact Data Matching (EDM) 425
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12 Click Next to go to the second Add Exact Data Profile screen.

13 The Field Mappings section displays the columns in the data source and the
field to which each column is mapped in the Exact Data Profile. Field mappings
in existing Exact Data Profiles are fixed and, therefore, are not editable.
See “About profile validation” on page 412.
See “Mapping Exact Data Profile fields” on page 426.
Confirm that the column names in your data source are accurately represented
in the Data Source Field column. If you selected the Column Names option,
the Data Source Field column lists the names in the first row of your data
source. If you did not select the Column Names option, the column lists Col
1, Col 2, and so on.
14 In the System Field column, select a field from the drop-down list for each
data source field. (This step is required if you use a policy template, or if you
want to check for errors in the data source.)
For example, for a data source field that is called
SOCIAL_SECURITY_NUMBER, select Social Security Number from the
corresponding drop-down list. The values in the System Field drop-down
lists include all suggested fields for all policy templates.
15 Optionally, specify and name any custom fields (that is, the fields that are
not pre-populated in the System Field drop-down lists). To do so, perform
these steps in the following order:
■ Click Advanced View to the right of the Field Mappings heading. This
screen displays two additional columns (Custom Name and Type).
■ To add a custom system field name, go to the appropriate System Field
drop-down list. Select Custom, and type the name in the corresponding
Custom Name text field.
■ To specify a pattern type (for purposes of error checking), go to the
appropriate Type drop-down list and select the wanted pattern. (To see
descriptions of all available pattern types, click Description at the top of
the column.)

16 Check your field mappings against the suggested fields for the policy template
you plan to use. To do so, go to the Check Mappings Against drop-down list,
select a template, and click Check now on the right.
The system displays a list of all template fields that you have not mapped.
You can go back and map these fields now. Alternatively, you may want to
expand your data source to include as many expected fields as possible, and
then re-create the exact data profile. Symantec recommends that you include
as many expected data fields as possible.
426 Detecting content using Exact Data Matching (EDM)
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17 In the Indexing section of the screen, select one of the following options:
■ Submit Indexing Job on Save
Select this option to begin indexing the data source when you save the
exact data profile.
■ Submit Indexing Job on Schedule
Select this option to index the data source according to a specific schedule.
Make a selection from the Schedule drop-down list and specify days, dates,
and times as required.
See “About index scheduling” on page 413.
See “Scheduling Exact Data Profile indexing” on page 428.

18 Click Finish.
After Symantec Data Loss Prevention finishes indexing, it deletes the original
data source from the Enforce Server. After you index a data source, you cannot
change its schema. If you change column mappings for a data source after
you index it, you must create a new exact data profile.
After the indexing process is complete you can create new EDM rules for your
policies that reference the Exact Data Profile you have created.
See “Configuring the Content Matches Exact Data condition” on page 429.

Mapping Exact Data Profile fields

After you have added and configured the data source file and settings, the Manage
> Data Profiles > Exact Data > Add Exact Data Profile screen lets you map the
fields from the data source file to the Exact Data Profile you are configuring.
To enable error checking on a field in a data source or to use the index with a
policy template that uses a system field, you must map the field in the data source
to the system field. The Field Mappings section lets you map the columns in the
original data source to system fields in the Exact Data Profile.

Table 20-5 Field mapping options

Field Description

Data Source Field If you selected the Column Names option at the Add Exact Data Profile screen, this column
lists the values that are found in the first row from the data source. If you did not select this
option, this column lists the columns by generic names (such as Col 1, Col 2, and so on).
Note: If you are implementing data owner exception, you must map either or both the email
address and domain fields.

See “Configuring the Content Matches Exact Data condition” on page 429.
 Detecting content using Exact Data Matching (EDM) 427
Implementing Exact Data Matching (EDM)

Table 20-5 Field mapping options (continued)

Field Description

System Field Select the system field for each column.

A system field value (except None Selected) cannot be mapped to more than one column.

Some system fields have system patterns associated with them (such as social security
number) and some do not (such as last name).
Note: The system does not recognize the pattern XXX-XXX-XXXX as a valid phone number
format because this format is frequently used in other forms of identification. If your data
source contains a column of phone numbers in that format, select None Selected to avoid
confusion between phone numbers and other data.

Check mappings Select a policy template from the drop-down list to compare the field mappings against and
against policy then click Check now.
template
All policy templates that implement EDM appear in the drop-down menu, including any you
have imported.

See “Choosing an Exact Data Profile” on page 365.

If you plan to use more than one policy template, select one and check it, and then select
another and check it, and so on.

If there are any fields in the policy template for which no data exists in the data source, a
message appears listing the missing fields. You can save the profile anyway or use a different
Exact Data Profile.

Advanced View If you want to customize the schema for the exact data profile, click Advanced View to
display the advanced field mapping options.

Table 20-6 lists and describes the additional columns you can specify in the Advanced view
screen.

Indexing Select one of the indexing options.

See “Scheduling Exact Data Profile indexing” on page 428.

Finish Click Finish when you are done configuring the Exact Data Profile.

From the Advanced View you map the system and data source fields to system
patterns. System patterns map the specified structure to the data in the Exact
Data Profile and enable efficient error checking and hints for the indexer.

Table 20-6 Advanced View options

Field Description

Custom Name If you select Custom Name for a System Field, enter a unique name for it and then select a
value for Type. The name is limited to 60 characters.
428 Detecting content using Exact Data Matching (EDM)
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Table 20-6 Advanced View options (continued)

Field Description

Type If you select a value other than Custom for a System Field, some data types automatically
select a value for Type. For example, if you select Birth Date for the System Field, Date is
automatically selected as the Type. You can accept it or change it.

Some data types do not automatically select a value for Type. For example, if you select
Account Number for the System Field, the Type remains unselected. You can specify the
data type of your particular account numbers.

Description Click the link (description) beside the Type column header to display a pop-up window
containing the available system data types.

Simple View Click Simple View to return to the Simple View (with the Custom Name and Type columns
hidden).

See “Creating and modifying Exact Data Profiles” on page 422.

Scheduling Exact Data Profile indexing

When you configure an Exact Data Profile, you can set a schedule for indexing
the data source (Submit Indexing on Job Schedule).
See “About index scheduling” on page 413.
Before you set up a schedule, consider the following recommendations:
■ If you update your data sources occasionally (for example, less than once a
month), there is no need to create a schedule. Index the data each time you
update the data source.
■ Schedule indexing for times of minimal system use. Indexing affects
performance throughout the Symantec Data Loss Prevention system, and large
data sources can take time to index.
■ Index a data source as soon as you add or modify the corresponding exact data
profile, and re-index the data source whenever you update it. For example,
consider a scenario whereby every Wednesday at 2:00 A.M. you update the
data source. In this case you should schedule indexing every Wednesday at
3:00 A.M. Do not index data sources daily as this can degrade performance.
■ Monitor results and modify your indexing schedule accordingly. If performance
is good and you want more timely updates, for example, schedule more frequent
data updates and indexing.
The Indexing section lets you index the Exact Data Profile as soon as you save it
(recommended) or on a regular schedule as follows:
 Detecting content using Exact Data Matching (EDM) 429
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Table 20-7 Scheduling indexing for Exact Data Profiles

Parameter Description

Submit Indexing Select this option to index the Exact Data Profile when you click Save.
Job on Save

Submit Indexing Select this option to schedule an indexing job. The default option is No Regular Schedule. If you
Job on Schedule want to index according to a schedule, select a desired schedule period, as described.

Index Once On – Enter the date to index the document profile in the format MM/DD/YY. You can also click
the date widget and select a date.

At – Select the hour to start indexing.

Index Daily At – Select the hour to start indexing.

Until – Select this check box to specify a date in the format MM/DD/YY when the indexing should
stop. You can also click the date widget and select a date.

Index Weekly Day of the week – Select the day(s) to index the document profile.

At – Select the hour to start indexing.

Until – Select this check box to specify a date in the format MM/DD/YY when the indexing should
stop. You can also click the date widget and select a date.

Index Monthly Day – Enter the number of the day of each month you want the indexing to occur. The number
must be 1 through 28.

At – Select the hour to start indexing.

Until – Select this check box to specify a date in the format MM/DD/YY when the indexing should
stop. You can also click the date widget and select a date.

See “Mapping Exact Data Profile fields” on page 426.

See “Creating and modifying Exact Data Profiles” on page 422.

Configuring the Content Matches Exact Data condition

Once you have defined the Exact Data Profile and indexed the data source, you
configure one or more Content Matches Exact Data conditions in policy detection
rules
See “About the Content Matches Exact Data From condition” on page 413.
430 Detecting content using Exact Data Matching (EDM)
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Table 20-8 Configure the Content Matches Exact Data condition

Steps Action Description

1 Configure an EDM Create a new EDM detection rule in a policy, or modify an existing EDM rule.
policy detection rule.
See “Configuring policies” on page 370.

See “Configuring policy rules” on page 374.

Match Data Rows when All of these match

2 Select the fields to The first thing you do when configuring the EDM condition is select each data field
match. that you want the condition to match. You can select all or deselect all fields at
once. The system displays all the fields or columns that were included in the index.
You do not have to select all the fields, but you should select at least 2 or 3, one of
which must be unique, such as social security number, credit card number, etc.

See “EDM policy considerations” on page 434.

3 Choose the number of Choose the number of selected the fields to match from the drop down menu. This
selected fields to number represents the number of fields of those selected that must be present in a
match. message to trigger a match. You must select at least as many fields to match as the
number of data fields you check. For example, if you choose 2 of the selected fields
from the drop-down menu, you must have checked at least two fields present in a
message for detection.

See “Ensure data source has at least one column of unique data” on page 435.

4 Select the Where The WHERE clause option matches on the specified field value. You specify a WHERE
clause to enter specific clause value by selecting an exact data field from the drop-down menu and by
field values to match entering a value for that field in the adjacent text box. If you enter more than one
(optional). value, separate the values with commas.

See “Use a where clause to detect records that meet specific criteria” on page 441.

For example, consider an Exact Data Profile for "Employees" with a "State" field
containing state abbreviations. In this example, to implement the WHERE clause,
you select (check) WHERE, choose "State" from the drop-down list, and enter CA,NV
in the text box. This where clause then limits the detection server to matching
messages that contain either CA or NV as the value for the State field.
Note: You cannot specify a field for WHERE that is the same as one of the selected
matched fields.

Ignore Data Rows when Any of these match

 Detecting content using Exact Data Matching (EDM) 431
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Table 20-8 Configure the Content Matches Exact Data condition (continued)

Steps Action Description

5 Ignore data owners To except data owners from detection, you must include in your Exact Data Profile
(optional). either an email address field or a domain address field (for example, symantec.com).
Once enabled, if the sender or recipient of confidential information is the data owner
(by email address or domain), the detection server allows the data to be sent or
received without generating an incident

See “About Data Owner Exception” on page 413.

If you are implementing data owner exception, select one of the options:

■ Sender matches — Select this option to EXCLUDE the data sender from detection.
■ Any or All Recipient matches — Select one of these options to EXCLUDE any or
all data recipient(s) from detection.

6 Exclude data field You can use the exclude data field combinations to specify combinations of data
combinations values that are exempted from detection. If the data appears in exempted pairs or
(optional). groups, it does not cause a match. Excluded combinations are only available when
matching 2 or 3 fields. To enable this option, you must select 2 or 3 fields to match
from the _ of the selected fields drop-down menu at the top of the condition
configuration.

See “Leverage exception tuples to avoid false positives” on page 440.

To implement excluded combinations, select an option from each Field N column

that appears. Then click the right arrow icon to add the field combination to the
Excluded Combinations list. To remove a field from the list, select it and click the
left arrow icon.
Note: Hold down the Ctrl key to select more than one field in the right-most column.

Additional match condition parameters

7 Select an incident Enter or modify the minimum number of matches required for the condition to
minimum. report an incident.

For example, consider a scenario where you specify 1 of the selected fields for a
social security number field and an incident minimum of 5. In this situation the
engine must detect at least five matching social security numbers in a single message
to trigger an incident.

See “Configuring exact data match counting” on page 434.

432 Detecting content using Exact Data Matching (EDM)
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Table 20-8 Configure the Content Matches Exact Data condition (continued)

Steps Action Description

8 Select components to Select one or more message components to match on:

match on.
■ Envelope – The header of the message.
■ Subject – (Not available for EDM.)
■ Body – The content of the message.
■ Attachments – The content of any files attached to or transported by the
message.

See “Selecting components to match on” on page 380.

9 Select one or more Select this option to create a compound condition. All conditions must match for
conditions to also the rule to trigger an incident.
match.
You can Add any available condition from the list.

See “Configuring compound match conditions” on page 386.

10 Test and troubleshoot See “Test and tune policies to improve match accuracy” on page 402.
the policy.
See “Troubleshooting policies” on page 396.

Implementing Data Owner Exception

To implement data owner exception and ignore data owners from detection, you
must explicitly include each user's email address or domain address in the Exact
Data Profile. Each expected domain (for example, symantec.com) must be explicitly
added to the Exact Data Profile. The system does not automatically match on
subdomains (for example, fileconnect.symantec.com). Each subdomain must be
explicitly added to the Exact Data Profile.
To implement the data owner exception feature, you must include either or both
of the following fields in your data source file:
■ Email address
■ Domain address

Note: When you configure the EDM condition, you cannot select a value for Ignore
Sender/Recipient that is the same as one of the matched fields.

See “About Data Owner Exception” on page 413.

 Detecting content using Exact Data Matching (EDM) 433
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Advanced server settings for EDM policies

EDM has various advanced settings available at the System > Servers > Overview
> Server Detail for the chosen detection server. Use caution when modifying
these settings on a server. It is recommended that you check with Symantec Data
Loss Prevention Support before changing any of the settings on this screen.
Changes to these settings normally do not take effect until after the server has
been restarted.
See “Advanced server settings” on page 215.

Table 20-9 Advanced settings for EDM

EDM parameter Default Description

EDM.MatchCountVariant 3 This setting specifies how matches are counted.

■ 1 - Counts the number of matched database rows regardless

of use of the same tokens across several matches
■ 2 - Eliminates matches that consist of identical sets of tokens
■ 3 - Eliminates matches that consist of a subset of tokens from
some other match (the default)

See “Configuring exact data match counting” on page 434.

EDM.MaximumNumberOfMatchesToReturn 100 Defines a top limit on the number of matches returned from
each RAM index search. For multi-file indices, this limit is
applied to each sub-index search independently before the search
results are combined. As a result the number of actual matches
can exceed this limit for multiple file indices.

EDM.RunProximityLogic true If true (default), this setting runs the token proximity check.
The free-form text proximity is defined by the setting
EDM.SimpleTextProximityRadius. The tabular text
proximity is defined by belonging to the same table row.
Note: Disabling proximity is not recommended because it can
negatively impact the performance of the system.

EDM.SimpleTextProximityRadius 35 For space-based languages, this value is the number of tokens

(words) to the left and to the right of the current token that are
evaluated together when the proximity check is enabled. For
non-space based languages, including Chinese, Japanese, and
Korean, the proximity check is 35 characters.

EDM.VerifyJohnJohnCases true Specifies whether to consider matches where more than one
database column has the same value. For example, the first name
is John and the last name is John. This verification incurs a slight
performance penalty.
434 Detecting content using Exact Data Matching (EDM)
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Configuring exact data match counting

The default value for the advanced server setting EDM.MatchCountVariant
eliminates matches that consist of a subset of tokens from some other match.
Rarely is there a need to change the default value, but if necessary you can
configure how EDM matches are counted.
See “Advanced server settings” on page 215.
As an example, consider a database profile with the following three records:
■ Kathy, Stevens, 123-45-6789, 1111-1111-1111-1111
■ Kathy, Stevens, 123-45-6789, 2222-2222-2222-2222
■ Kathy, Stevens, 123-45-6789, 3333-3333-3333-3333
If the policy rule is set up to match any 3 of 4 and someone sends a message with
the following line:
■ Kathy, Stevens, 123-45-6789
The matches are counted as follows:
■ EDM.MatchCountVariant=1: 3 (number of database profile records matched)
■ EDM.MatchCountVariant=2: 1 (number of unique token sets matched)
■ EDM.MatchCountVariant=3: 1 (number of inclusive token sets matched)
If someone sends a message with the following 2 lines:
■ Kathy, Stevens, 123-45-6789, 1111-1111-1111-1111
■ Kathy, Stevens, 123-45-6789
The matches will be counted as follows:
■ EDM.MatchCountVariant=1: 3 (number of database profile records matched)
■ EDM.MatchCountVariant=2: 2 (number of unique token sets matched)
■ EDM.MatchCountVariant=3: 1 (number of inclusive token sets matched, the
first token set includes the second one).

EDM policy considerations

EDM is the most accurate form of detection. It is also the most complex to set up
and maintain. To ensure that your EDM policies are as accurate as possible,
consider the recommendations in this section when you are implementing your
EDM profiles and policies.
 Detecting content using Exact Data Matching (EDM) 435
EDM policy considerations

Ensure data source has at least one column of unique data

EDM is designed to detect combinations of data fields that are globally unique.
At a minimum, your EDM index must include at least one column of data that
contains a unique value for each record in the row. Column data such as account
number, social security number, and credit card number are inherently unique,
whereas state or zip code are not unique, nor are names. If you do not include at
least one column of unique data in your index, your EDM profile will not accurately
detect the data you want to protect
Table 20-10 describes the various types of unique data to include in your EDM
indexes, as well as fields that are not unique. You can include the non-unique
fields in your EDM indexes as long as you have at least one column field that is
unique.

Table 20-10 Examples of unique data for EDM policies

Unique data for EDM Non-unique data

The following data fields are usually unique: The following data fields are not unique:

■ Account number ■ First name

■ Bank Card number ■ Last name
■ Phone number ■ City
■ Email address ■ State
■ Social security number ■ Zip code
■ Tax ID number ■ Password
■ Drivers license number ■ PIN number
■ Employee number
■ Insurance number

Cleanse the data source file of blank columns and duplicate rows
The data source file should be as clean as possible before you create the EDM
index, otherwise the resulting profile will create false positives.
When you create the data source file, you should avoid including empty cells or
blank columns. Blank columns or fields count as “errors” when you generate the
EDM profile. A data source error is either an empty cell or a cell with the wrong
type of data (a name appearing in a phone number column). If the errors exceed
the error threshold percentage for the profile (by default, five percent), the system
stops indexing and displays an indexing error message.
The recommendation is to remove blank columns and empty cells from the data
source file, rather than increasing the error threshold. Keep in mind that if you
have a lot of empty cells, it may require a 100% error threshold for the system to
436 Detecting content using Exact Data Matching (EDM)
EDM policy considerations

create the profile. If you specify 100% as the error threshold, the system indexes
the data source without checking for errors.

Remove ambiguous character types from the data source file

You cannot have extraneous spaces, punctuation, and inconsistently populated
fields in the data source file. You can use tools such as Stream Editor (sed) and
AWK to remove these items from you data source file or files before indexing
them.

Table 20-11 Characters to avoid in the data source file

Characters to avoid Explanation

Single characters Single character fields should be eliminated from the data source file. These are
more likely to cause false positives, since a single character is going to appear
frequently in normal communications.

Abbreviations Abbreviated fields should be eliminated from the data source file for the same
reason as single characters.

Quotes Text fields should not be enclosed in quotes.

Small numbers Indexing numeric fields that contain less than 5 digits is not recommended because
it will likely yield many false positives.

Dates Date fields are also not recommended. Dates are treated like a string, so if you are
indexing a date, such as 12/6/2007, the string will have to match exactly. The
indexer will only match 12/6/2007, and not any other date formats, such as Dec 6,
2007, 12-6-2007, or 6 Dec 2007. It must be an exact match.

Avoid indexing multi-token cells to detect unstructured data

The EDM policy condition matches on unstructured and structured data that is
present in the index. Unstructured data is freeform text, such as an email
communication or Word file. Structured data is a tabular-formatted document,
such as an Excel spreadsheet or CSV file.
To detect unstructured or freeform text, the recommendation is to avoid the use
of multi-token cells in the data source file and index. If a value of a column field
contains a space (such as "Mary Jo", "Von Batten", or "Joe Brown"), you remove
the space before indexing. For example, change "Mary Jo" to "Mary" and "Von
Batten" to "Batten," or create separate columns. Not following this recommendation
decreases accuracy and increases the likelihood of false negatives.
When creating an index, the system will index a value such as “Joe Brown” as one
multi-word token. The processor will then look to match the whole string "Joe
 Detecting content using Exact Data Matching (EDM) 437
EDM policy considerations

Brown.” On the detection side, if a message or file contains “Joe Brown” in freeform
content, it is broken into two tokens, "Joe" and "Brown." The EDM token "Joe
Brown" does not match "Joe" or "Brown" in any unstructured message or document,
so it is not matched, resulting in a false negative.
An EDM rule performs a full-text search against the message, checking each word
(except those that are excluded by way of the columns you choose to match in the
policy) for potential matches. The matching algorithm compares each individual
word in the message with the contents of each cell in the data profile. If a cell in
the data profile contains multiple words, that cell can never match a word in a
message. This behavior is because the matching algorithm cannot match individual
words to a group of words.
The exception to this recommendation is inbound structured data that triggers
a tabular search. For example, when the message is decomposed, it might have
certain comma- or pipe-separated data or be contained in an Excel spreadsheet
as an attachment to an email message. In this case, each piece of data is
individually tested against the data profile, even if the cell contains multiple
words. In this case, the term "Joe Brown" in an Excel spreadsheet or CSV file
attached to the message would be matched against the "Joe Brown" token

Use the pipe delimiter to ensure accurate column separation

Of the three types of column delimiters that you can choose from for the data
source file (pipe, comma, and tab), the pipe delimiter is recommended. If you use
a comma as the delimiter, make sure there are no commas in the data set other
than those used as column delimiters. Note that address fields commonly contain
extraneous commas that must be removed.

Map data source column to system fields to leverage validation

When you create the Exact Data Profile, you can validate how well the fields in
your data source match against system-defined patterns for that field. For example,
if you map a field to the credit card system pattern, the system will validate that
the data matches the credit card system pattern. If it does not, the system will
create an error for every record that contains an invalid credit card number.
Mapping data source fields in your index to system-defined field patterns helps
you ensure that the fields in your index meet the data type criteria.
If there is no corresponding system field to map to a data source column, consider
creating a custom field to map data source column data. You can use the
description field to annotate both system and custom fields.
Symantec Data Loss Prevention provides several policy templates that implement
EDM rules. The general recommendation is to use policy templates whenever
438 Detecting content using Exact Data Matching (EDM)
EDM policy considerations

possible when implementing EDM. If you do use a policy template for EDM, you
should validate the index against the template when you configure the Exact Data
Profile.

Include column headers as the first row of the data source file
When you extract the source data to the data source file, you should include the
column headers as the first row in the data source file. Including the column
headers will make it easier for you to identify the data you want to use in your
policies.
The column names reflect the column mappings that were created when the exact
data profile was added. If there is an unmapped column, it is called Col X, where
X is the column number (starting with 1) in the original data profile.
If the Exact Data Profile is to be used for DGM, the file must have a column with
a heading of email, or the DGM will not appear in the Directory EDM drop-down
list (at the remediation page).

Check the system alerts to tune profile accuracy

You should always review the system alerts after creating the Exact Data Profile.
The system alerts provide very specific information about problems encountered
when creating the profile, such as a SSN in an address field, which will impact
accuracy.

Use stopwords to exclude common words from causing false positives

The EDM indexing process ignores words found in the stopwords file. Stopwords
are common words that you exclude from indexing. For example, common last
name prefixes (such as Van Buren) can be added to the stopwords file to reduce
false positives.
Adjust the stopwords file by adding new words to the file. Stopword files are
located at the system directory \SymantecDLP\Protect\config\stopwords. By
default the system uses the stopwords_en.txt file, which is the English language
version. Other language stopword files are also located in this same directory.
You can change the default stopword language file by updating the
Lexer.StopwordLanguages property in the Advanced Server Settings screen of
the Enforce Server.
See “Advanced server settings for EDM policies” on page 433.
 Detecting content using Exact Data Matching (EDM) 439
EDM policy considerations

Use scheduled indexing to automate profile updates

When you configure an Exact Data Profile, you can set a schedule for indexing
the data source.
Before you set up an index schedule, consider the following:
■ If you update your data sources occasionally (for example, less than once a
month), generally there is no need to create a schedule. Index the data each
time you update the data source.
■ Schedule indexing for times of minimal system use. Indexing affects
performance throughout the Symantec Data Loss Prevention system, and large
data sources can take time to index.
■ Index a data source as soon as you add or modify the corresponding exact data
profile, and re-index the data source whenever you update it. For example,
consider a scenario whereby every Wednesday at 2:00 A.M. you update the
data source. In this case you should schedule indexing every Wednesday at
3:00 A.M. Do not index data sources daily as this can degrade performance.
■ Monitor results and modify your indexing schedule accordingly. If performance
is good and you want more timely updates, for example, schedule more frequent
data updates and indexing.

Match on 3 columns in an EDM condition to increase detection accuracy

In a structured data format such as a database, each row represents one record,
with each record containing related values for each column data field. Thus, for
an EDM policy rule condition to match, all the data must come from the same row
or record of data. When you define an EDM rule, you must select the fields that
must be present to be a match. Although there is no limit to the number of columns
you can select to match in a row (up to the total number of columns in the index,
which is a maximum of 32), it is recommended that you match on at least 2 or 3
columns, one of which must be unique. Generally matching on 3 fields is preferred,
but if one of the columns contains a unique value such as SSN or Credit Card
number, 2 columns may be used.
Consider the following example. You want to create an EDM policy condition based
on an Exact Data Profile that contains the following 5 columns of indexed data:
■ First Name
■ Last Name
■ Social Security Number (SSN)
■ Phone Number
■ Email Address
440 Detecting content using Exact Data Matching (EDM)
EDM policy considerations

If you select all 5 columns to be included in the policy, consider the possible results
based on the number of fields you require for each match.
If you choose "1 of the selected fields" to match, the policy will undoubtedly
generate a large number of false positives because the record will not be unique
enough. (Even if the condition only matches the SSN field, there may still be false
positives because there are other types of nine-digit numbers that may trigger a
match.)
If you choose "2 of the selected fields" to match, the policy will still produce false
positives because there are potential worthless combinations of data: First Name
+ Last Name, Phone Number + Email Address, or First Name + Phone Number.
If you choose to match on 4 or all 5 of the column fields, you will not be able to
exclude certain data field combinations because that option is only available for
matches on 2 or 3 fields.
See “Leverage exception tuples to avoid false positives” on page 440.
In this example, to ensure that you generate the most accurate match, the
recommendation is that you choose "3 of the selected fields to match." In this way
you can reduce the number of false positives while using one or more exceptions
to exclude the combinations that do not present a concern, such as First Name +
Last Name + Phone Number.
Whatever number of fields you choose to match, ensure that you are including
the column with the most unique data, and that you are matching at least 2 column
fields.

Leverage exception tuples to avoid false positives

The EDM policy condition lets you define exception tuples to exclude combinations
on data. You must select 2 or 3 columns to match to leverage exception tuples.
EDM allows detection based on any combination of columns in a given row of data
(that is, N of M fields from a given record). It can trigger on "tuples," or specified
sets of data types. For example, a combination of the first name and SSN fields
could be acceptable, but a combination of the last name and SSN fields would not.
EDM also allows more complex rules such as looking for N of M fields, but
excluding specified tuples. For example, this type of rule definition is required to
identify incidents in violation of state data privacy laws, such as California SB
1386, which requires a first name and last name in combination with any of the
following: SSN, bank account number, credit card number, or driver's license
number.
While exception tuples can help you reduce false positives, if you are using several
exception tuples, it may be a sign your index is flawed. In this case, considering
 Detecting content using Exact Data Matching (EDM) 441
EDM policy considerations

redoing your index so you don't have to use so many excluded combinations to
achieve the desired matches.

Use a where clause to detect records that meet specific criteria

Another configuration parameter of the EDM policy condition is the "Where"
clause option. This option matches on the exact value you specify for the field
you select. You can enter multiple values by separating each with commas. Using
a where clause to detect records that meet specific criteria helps you improve the
accuracy of your EDM policies.
For example, if you wanted to match only on an Exact Data Profile for "Employees"
with a "State" field containing certain states, you could configure the match where
"State" equals "CA,NV". This rule then causes the detection engine to match a
message that contains either CA or NV as content.

Use the minimum matches field to fine tune EDM rules

The minimum matches field is useful for fine-tuning the sensitivity of an EDM
rule. For example, one employee's first and last name in an outgoing email may
be acceptable. However, 100 employees' first and last names is a serious breach.
Another example might be a last name and social security number policy. The
policy might allow an employee to send information to a doctor, but the sending
of two last names and social security numbers is suspicious.

Combine Data Identifiers with EDM rules to limit the impact of two-tier
detection
When implementing EDM policies, it is recommended that you combine Data
Identifiers (DIs) rules with the EDM condition to form compound policies. As
reference, note that all system-provided policy templates that implement EDM
rules also implement Data Identifier rules in the same policy.
Data Identifiers and EDM are both designed to protect personally identifiable
information (PII). Including Data Identifiers with your EDM rules make your
policies more robust and reusable across detection servers because unlike EDM
rules Data Identifiers are executed on the endpoint and do not require two-tier
detection. Thus, if an endpoint is off the network, the Data Identifier rules can
protect PII such as SSNs.
Data Identifier rules are also useful to use in your EDM policies while you are
gathering and preparing your confidential data for EDM indexing. For example,
a policy might contain the US SSN Data Identifier and an EDM rule for as yet
unindexed or unknown SSNs.
442 Detecting content using Exact Data Matching (EDM)
EDM policy considerations
 Chapter 21
Detecting content using
Indexed Document
Matching (IDM)
This chapter includes the following topics:

■ About Indexed Document Matching (IDM)

■ Implementing IDM policies

■ IDM policy considerations

About Indexed Document Matching (IDM)

You use Indexed Document Matching (IDM) to protect confidential, proprietary,
or sensitive content and information stored in documents and files. For example,
you can use IDM to protect financial report data stored in Microsoft Office
documents, or merger and acquisition information stored in PDF files, or source
code stored in text-based files. You can also use IDM to protect binary files, such
as JPEG images, CAD designs, and multimedia files. In addition, you can use IDM
to detect partial or derived content, such as text that has been copy/pasted from
one document to another.
For example, consider a document source that you have indexed that contains
several Microsoft Office documents (Word, Excel, PowerPoint) and a few image
files (JPEG, BMP). You configure an IDM rule and select partial matching at 50%
for the document exposure setting. In production the detection server will look
for exact matches of the binary files, and partial matches of content indexed from
the text-based files. In this case, if an inbound file contains 50% or more of content
fingerprinted from the Office documents, it is considered a match.
444 Detecting content using Indexed Document Matching (IDM)
About Indexed Document Matching (IDM)

How IDM works

To implement IDM, you collect the document content and files you want to protect
and index these artifacts using the Enforce Server. During the indexing process
the system uses the message-digest algorithm (MD5) to "fingerprint" each file or
file contents. You create an IDM policy and reference the index. The system deploys
the policy and the index to the detection server. At runtime the index is loaded
into memory. The system converts inbound files and file content to MD5 hashes
using the same algorithm used for indexing. The system then compares the
resulting MD5 hashes from input files or file contents against the MD5 fingerprints
registered in the index file, identifying matches.
See “About the server index” on page 446.

About the Indexed Document Profile

The Indexed Document Profile is the user-defined configuration for creating and
generating IDM indexes. You define an Indexed Document Profile using the
Enforce Server administration console. You reference the document profile in
one or more IDM policy rules or exceptions. The profile is reusable across policies:
you can create one document profile and reference it in multiple policies. When
you create the Indexed Document Profile, you have the option of indexing the
document source immediately on save of the profile or at a scheduled time.
However, you must index the document source before you can detect policy
violations.
See “Creating and modifying Indexed Document Profiles” on page 456.
For example, you want to create an IDM index to detect when exact versions of
certain financial documents are found, or when passages or sections of the
fingerprinted documents are exposed. When you define the Indexed Document
Profile, you can upload the documents to the Enforce Server, or you can index
the documents on a network file share. You can also specify file name and file-size
filters in the document profile. The filters tell the system which files to include
or ignore during indexing. The resulting index is a secure, binary *.rdx file named
DocSource.rdx. The index may span multiple files if it is a large index. The system
deploys the index to the detection server in folder \SymantecDLP\Protect\index
(on Windows) or /var/SymantecDLP/index (on Linux).
See “About two-tier detection for IDM on the endpoint” on page 451.
The indexer is a separate process that installs with and runs on the Enforce Server.
During indexing the system stores the document source at
\SymantecDLP\Protect\documentprofiles (on Windows) or
/var/SymantecDLP/documentprofiles (on Linux). After the system finishes
indexing, the system deletes the document source from the Enforce Server.
 Detecting content using Indexed Document Matching (IDM) 445
About Indexed Document Matching (IDM)

About the document data source

The document data source is the collection of documents you want to index and
protect using IDM. The maximum size of the document data source you index is
2GB, which translates to approximately 300,000 or 400,000 documents. The exact
number of documents the system permits depends on the average extracted text
size (per document source).
For smaller document sets (50MB or less), you can upload the source files to the
Enforce Server using a ZIP file. For larger document sets (up to 2GB), you can copy
the source files to the host file system where the Enforce Server is installed, either
encapsulated within a single ZIP file or as individual files. In this case you can use
FTP/S to transfer the files to the Enforce Server. Alternatively, if you have a file
share that already contains the documents you want to protect, you can use the
Remote SMB Share feature to remotely index documents that are stored on a file
share that supports the WebDAV protocol
See “About indexing documents remotely on SharePoint servers” on page 445.
The document data source can contain any file type and any combination of files.
If the system can crack the file, IDM protects file contents, either exactly or
partially depending on the policy configuration. If the system cannot crack the
file, IDM protects the exact file. The documents comprising the document data
source must not be encapsulated in an archive file in order for the file contents
to be extractable, excluding the ZIP archive file used to upload or copy the files
to the Enforce Server.
See “Preparing the document source for indexing” on page 452.

About indexing documents remotely on SharePoint servers

With Symantec Data Loss Prevention you can index documents stored on a remote
SharePoint server using WebDAV.
WebDAV (Web-based Distributed Authoring and Versioning) is a standard that
provides extensions to the HTTP 1.1 protocol, allowing users to collaboratively
edit and manage files on remote Web servers. Microsoft IIS deployments that host
SharePoint instances can be enabled to accept WebDAV connections from Web
clients.
Once you have enabled WebDAV for SharePoint, you use the Use Remote SMB
Share IDM profile option to index the remote documents. Symantec Data Loss
Prevention supports remote IDM indexing using WebDAV for SharePoint 2007
and SharePoint 2010 instances.
See “Using remote SMB share to index SharePoint documents” on page 462.
446 Detecting content using Indexed Document Matching (IDM)
About Indexed Document Matching (IDM)

About the server index

The IDM indexing process uses the message-digest algorithm (MD5) to
"fingerprint" each file or file contents in the document data source. This algorithm
takes as input a message of arbitrary length and produces as output a 128-bit MD5
fingerprint of the file or file contents. The indexing process functions as follows:
First, the system creates MD5 hashes used for exact matching.
■ If the message input is a text-based document that the system can crack, the
system extracts the content from the file and creates an MD5 fingerprint based
on 100% of the extracted and normalized file contents
■ If the message input is a file that the system cannot crack, the system creates
an MD5 fingerprint based on the binary signature of the file
Second, for file formats the system can crack, the system goes back to those files
and creates MD5 hashes for discrete sections of content or text passages. These
hashes are used for partial matching.
■ The chunked content is normalized (cleansed) by removing whitepsace,
punctuation, and other non-essential characters.
■ The system uses a statistical sampling method to store hashed sections of
content; not all extractable text is fingerprinted for these hashes.
Table 21-1 summarizes the types of matching supported by the IDM server index.

Table 21-1 Types of matching supported by the IDM Server Index

Message input Example MD5 output Matches

Text-based file that the Microsoft Word document A single MD5 fingerprint Exact file contents (100%)
system can crack based on 100% of the
extracted and normalized
See “Using IDM to protect
file contents.
file contents” on page 447.
One or more MD5 hashes Partial file contents (10% -
based on discrete passages 90%)
of extracted and normalized
content based on statistical
sampling method of
selection.

Binary file, custom file, JPEG A single MD5 fingerprint Exact file
small file, encapsulated file based on the binary
signature of the file.
See “Using IDM to protect
files” on page 449.

See “Advanced server settings” on page 215.

 Detecting content using Indexed Document Matching (IDM) 447
About Indexed Document Matching (IDM)

About configuring the Content Matches Document Signature condition

You use the IDM condition Content Matches Document Signature From to
implement IDM detection rules and exceptions in your policies. When you
configure this condition, you specify which IDM index to use and how the condition
should match against the index using the Minimum Document Exposure setting.
You can select either Exact or partial between 10% to 90%. For example, if you
select 70% for the Minimum Document Exposure, a match occurs only if 70% of
the file or more is detected.
See “Configuring the Content Matches Document Signature condition” on page 468.
If a file is not text based, is not crackable, is very small, or is encapsulated in an
archive file, the file is matched exactly based on its binary signature. This form
of matching is performed automatically by the system, regardless of what
configuration option you choose for the Minimum Document Exposure setting.
See “Using IDM to protect files” on page 449.
Table 21-2 describes the matching supported by the Content Matches Document
Signature From policy condition.

Table 21-2 Minimum document exposure settings for the IDM condition

Configuration setting File type Match Example

Exact matching File contents 100% of the extracted and Microsoft Word
normalized file contents, if
See “Using IDM to protect
the file is text-based and
file contents” on page 447.
crackable

Partial (10% to 90%) File contents Discrete passages of text Microsoft Word

See “Using IDM to protect

file contents” on page 447.

Automatic File Binary signature of the file, JPEG, small file, custom file,
if the file is not text based archived subfile
See “Using IDM to protect
or is not crackable
files” on page 449.

Using IDM to protect file contents

The primary use case for IDM is to protect file contents (as distinguished from
binary files, such as audio or video files, for example). On the server you can use
IDM to match file contents exactly (100%) or partially (10% to 90%). File contents
include text-based content of any document type the system can crack, such as
Microsoft Office documents (Word, Excel, PowerPoint), PDF, and many more.
448 Detecting content using Indexed Document Matching (IDM)
About Indexed Document Matching (IDM)

See “File formats whose content can be extracted” on page 633.

An exact file contents match means that 100% of the inbound file contents matches
that of a file that has been indexed. As an optimization, the system checks the
byte size of the extracted and cleaned (normalized) text before computing the
runtime MD5 fingerprint for comparison against the index. If the byte size does
not match size of the indexed file contents there is no need to compute the MD5.
The system does not consider the file format when creating the MD5 fingerprint
for the index or when checking for an exact file contents match.
Partial file contents matching only applies to text-based file contents. If a file
format is crackable, in addition to creating the MD5 hash based on 100% of the
file contents, the system uses the same MD5 algorithm to register discrete sections
or passages of content. In this case the system uses a statistical sampling method
to store hashed sections of content; not all text is hashed in the index. The index
does not contain actual document content.
A document might contain much more content, but the system protects only the
file contents that is indexed as part of the document profile. For example, consider
a situation where you index a one-page document, and that one-page document
is included as part of a 100-page document. The 100-page document is considered
a 100 percent match because its content matches the one-page document exactly.
Table 21-3 lists the requirements to match file contents using IDM.

Table 21-3 Requirements for detecting content using IDM

Requirement Description

Crackable file format The system must be able to crack the file format and extract file content. Data Loss Prevention
supports context extraction for over 100 file types.

See “File formats whose content can be extracted” on page 633.

Natural file state To match file contents, the source file cannot be encapsulated in an archive file when the
source file is indexed. If a file in the document source is encapsulated in an archive file, the
system does not index the file contents of the encapsulated file. Any encapsulated file is
considered for exact matches only, like image files and other unsupported file formats.

See “Do not compress files in the document source” on page 471.
Note: The exception to this is the main ZIP file that contains the document data source, for
those upload methods that use an archive file. See “Creating and modifying Indexed
Document Profiles” on page 456.
 Detecting content using Indexed Document Matching (IDM) 449
About Indexed Document Matching (IDM)

Table 21-3 Requirements for detecting content using IDM (continued)

Requirement Description

Minimum amount of For exact file contents matching, the source file must contain at a minimum 30 characters
text of normalized text before the cracked content is indexed. Normalization involves the removal
of punctuation and whitespaces. A normalized character therefore is either a number or a
letter. This size is set by the min_normalized_size=30 parameter in the file
\SymantecDLP\Protect\config\Indexer.properties. If file contents is less than
30 normalized characters, the system performs an exact file match against the file binary.

For partial file contents matching, there must be at least 130 normalized characters. However,
the exact length is variable depending on the file contents and encoding.

See “Do not index empty documents” on page 472.

Maximum amount of The maximum size of the document that can be processed for content extraction at runtime
text is 30MB. If a file is larger than this, only the first 30 MB of content is extracted for indexing.
This size is set by the max_bin_match_size=30000000 parameter in the file
\SymantecDLP\Protect\config\Indexer.properties.

For example, consider a file that is 50 MB. During indexing an MD5 will be created for the
entire 50 MB. During detection, the file would be truncated to 30 MB. Further, the text would
still be extracted, assuming it can be. The result would be no match since the index only has
an MD5 for the 50MB and detection would generate fingerprints on the text and an MD5
for the first 30MB

See “Advanced server settings” on page 215.

Using IDM to protect files

The system performs exact file matching automatically on all binary. In addition,
if the file format is text-based but the system is unable to crack the file and extract
file contents, the system performs exact file matching. This behavior is true even
if you select a Minimum Document Exposure percentage for the IDM condition
that is less than Exact. In addition, the system performs exact file matching for
very small files and encapsulated files, even if these files are text-based.
An exact file match is not the same as an exact file contents match. The former
is based on the binary signature of the file, while the latter is based on 100% of
the extracted and normalized file contents.
See “Using IDM to protect file contents” on page 447.
Table 21-4 summarizes exact file matching behavior.
450 Detecting content using Indexed Document Matching (IDM)
About Indexed Document Matching (IDM)

Table 21-4 Exact file matching characteristics

File format Example Description

Text-based file format the Proprietary or non-supported If the system cannot crack the file format, you can
system cannot crack document format use IDM to protect that specific file using exact
binary matching.

See “Do not compress files in the document source”

on page 471.

Binary file GIF, MPG, AVI, CAD design, JPEG You can use IDM to protect binary file types that
files, audio/video files cannot be cracked, such as images, graphics, JPEGs,
etc.

See “Avoid using IDM solely for binary files”

on page 471.

File containing a small CAD files, Visio diagrams, etc. A file containing a small amount of text will be
amount of text treated as a binary file even if the contents are
text-based and crackable.

See “Using IDM to protect file contents” on page 447.

Encapsulated filed Any file that is encapsulated If a file is contained within the main ZIP file that is
when indexed (even if text-based indexed, the contents of the subfile is not matched,
and crackable), for example, only the binary signature.
Microsoft Word file archived in
See “About the document data source” on page 445.
a ZIP file.

About using IDM for policy exceptions

You can use the IDM policy condition Content Matches Document Signature
From as an exception to exclude specific documents from exact matching. You
cannot use the IDM policy condition to except content from matching. To exclude
content in documents from matching, you need to "whitelist" it.
See “About whitelisting content” on page 451.
In terms of using the IDM condition for policy exceptions, consider a data source
that you index which contains JPEG files. You create a policy that contains two
conditions: one rule implements the File Type Match condition with the JPEG
format selected; and an exception implements the IDM condition that references
the IDM index containing JPEG files. At runtime you submit to detection a number
of JPEG files. Each should trigger an incident, except any JPEG file that is contained
in the index.
 Detecting content using Indexed Document Matching (IDM) 451
Implementing IDM policies

For an additional example on how to implement IDM as a policy exception, refer

to the CAN-SPAM Act policy template that is included with installation of Data
Loss Prevention.
See “CAN-SPAM Act policy template” on page 727.

About whitelisting content

Often sensitive documents contain standard boilerplate text that that does not
requires protection, including front matter, headers, and footers. Information
contained in document headers and footers is likely to cause false positives.
Likewise boilerplate text, such as standard language and non-proprietary corporate
content, which is often repeated across confidential documents. Such boilerplate
content can generate false positives, and adds overhead to the index files.
Removing non-sensitive boilerplate or header/footer content before indexing is
usually not feasible, especially if you have a large data set. In this case you can
configure the system to exclude ("whitelist") non-sensitive text. You do this by
adding the text to ignore to the whitelist file. During indexing, any whitelisted
content found in the source files is ignored. At runtime the content will not cause
false positives because it has been excluded.
See “Whitelisting file contents to exclude from matching” on page 453.
See “Use whitelisting to exclude non-sensitive content from matching” on page 472.

About two-tier detection for IDM on the endpoint

The IDM index is server-based. If a policy is deployed to the endpoint that contains
an IDM condition, the DLP Agent sends the data to the endpoint server for
matching against the IDM index. This is known as two-tier detection. If you plan
to use IDM on the endpoint, make sure you understand the performance
implications of two-tier detection.
See “Two-tier detection for DLP Agents” on page 353.

Implementing IDM policies

Table 21-5 provides the workflow for implementing IDM policies. Complete the
steps in order to ensure that your IDM rules are properly implemented and are
as accurate and efficient as possible.
452 Detecting content using Indexed Document Matching (IDM)
Implementing IDM policies

Table 21-5 Implementing IDM rules

Step Action Description

1 Identify the content you want to protect and See “Using IDM to protect file contents” on page 447.
collect the documents that contain this
content.

2 Prepare the documents for indexing. See “Preparing the document source for indexing”
on page 452.

3 Whitelist headers, footers, and boilerplate See “Whitelisting file contents to exclude from matching”
text. on page 453.

4 Create an Indexed Document Profile and See “Creating and modifying Indexed Document Profiles”
specify the document source. on page 456.

5 Configure any document source filters. See “Filtering documents by file name” on page 465.

6 Schedule indexing as necessary. See “Scheduling document profile indexing” on page 468.

7 Configure one ore more IDM rule conditions See “Configuring the Content Matches Document Signature
or exceptions. condition” on page 468.

8 Test and troubleshoot your IDM See “Troubleshooting policies” on page 396.
implementation.

Preparing the document source for indexing

You must collect and prepare the documents you want to index. These documents
are known as the document data source.
See “About the document data source” on page 445.
A document data source is a ZIP archive file that contains the documents to index.
It can also be the files stored in a file share on a local or remote computer. If you
have a file share that already contains the documents you want to protect, you
can reference this share in the document profile.
A document data source is a ZIP archive file that contains the documents to index.
It can also be the files stored in a file share on a local or remote computer. A
document data source ZIP file can contain any file type and any combination of
files. If you have a file share that already contains the documents you want to
protect, you can reference this share in the document profile.
 Detecting content using Indexed Document Matching (IDM) 453
Implementing IDM policies

Table 21-6 Preparing the document source for indexing

Step Action Description

1 Collect all of the documents Collect all of the documents you want to index and put them in a folder.
you want to protect.
See “About the document data source” on page 445.

2 Uncompress all the files you The files you index should be in their natural, uncompressed state. Check
want to index. the document collection to make sure none of the files are encapsulated
in an archive file, such as ZIP, TAR, or RAR. If a file is embedded in an
archive file, extract the source file from the archive file and remove the
archive file.

See “Using IDM to protect file contents” on page 447.

3 Separate the documents if To protect a large amount of content and files, create separate collections
you have more than 2 GB to for each set of documents over 2 GB in size, with all files in their natural,
index. uncompressed state. For example, if you have 3 GB of documents you want
to index, separate the files by folders, one folder containing 2 GB of data,
and another folder containing the remaining 1 GB of data.

See “Using IDM to protect file contents” on page 447.

4 Decide how you are going to The indexing process is a separate process that runs on the Enforce Server.
make the document source To index the document source you must make the files accessible to the
files available to the Enforce Enforce Server. You have several options. Decide which one works best
Server. for your needs and proceeding accordingly.

See “Uploading a document archive to the Enforce Server” on page 458.

See “Referencing a document archive on the Enforce Server” on page 459.

See “Using local path on Enforce Server” on page 461.

See “Using the Remote SMB Share option to index the data source”
on page 462.

See “Using the Remote SMB Share option to index the data source”
on page 462.

5 Proceed with the next step The next step is to configure the document profile, or, alternatively, if you
of the process. want to exclude specific document content from detection, whitelist it.

See “Creating and modifying Indexed Document Profiles” on page 456.

See “Whitelisting file contents to exclude from matching” on page 453.

Whitelisting file contents to exclude from matching

You use whitelisting to exclude unimportant or noncritical content, such as
standard boilerplate text, document headers and footers, from the IDM index.
Whitelisting such content helps to reduce false positives.
454 Detecting content using Indexed Document Matching (IDM)
Implementing IDM policies

See “About whitelisting content” on page 451.

See “Use whitelisting to exclude non-sensitive content from matching” on page 472.
To exclude content from matching, you copy the content you want to exclude to
a text file and save the file asWhitelisted.txt. By default, the file must contain
at least 130 non-whitespace characters to have its content fingerprinted for
whitelisting purposes. When you index the document source, the Enforce Server
looks for the Whitelisted.txt file.
See “Use whitelisting to exclude non-sensitive content from matching” on page 472.
Table 21-7 describes the process for excluding document content using
whitelisting.

Table 21-7 Whitelisting non-sensitive content

Step Action Description

1 Copy the content you Copy only noncritical content you want to exclude,
want to exclude from such as standard boilerplate text and document
matching into a text file. headers and footers, to the text file. By default, for file
contents matching the file to be indexed must contain
at least 130 characters. This default setting applies to
the Whitelisted.txt file as well. For whitelisted
text you can change this default setting.

See “Changing the default indexer properties”

on page 470.

2 Save the text file as The Whitelisted.txt file is the source file for
Whitelisted.txt. storing content you want to exclude from matching.

3 Save the file to the Save the file to

whitelisted directory \SymantecDLP\Protect\documentprofiles\whitelisted
on the Enforce Server (on Windows) or
host file system. /var/SymantecDLP/documentprofiles/whitelisted
(on Linux).

4 Configure the Indexed When you index the document data source, the
Document Profile and Enforce Server looks for the Whitelisted.txt file.
generate the index. If the file exists, the Enforce Server copies it to
Whitelisted.x.txt, where x is a unique
identification number corresponding to the Indexed
Document Profile. Future indexing of the that profile
uses the profile-specific Whitelisted.x.txt file,
not the generic Whitelisted.txt file.

See “Creating and modifying Indexed Document

Profiles” on page 456.
 Detecting content using Indexed Document Matching (IDM) 455
Implementing IDM policies

Manage and add Indexed Document Profiles

The Manage > Data Profiles > Indexed Documents screen lists all configured
Indexed Document Profiles in the system. From this screen you can manage
existing profiles and add new ones.

Table 21-8 Indexed Documents screen actions

Column Description

Add IDM profile Click Add Document Profile to create a new Indexed Document Profile.

See “Implementing IDM policies” on page 451.

Edit IDM profile Click the name of the Document Profile, or click the pencil icon to the far right of the profile,
to modify an existing Document Profile.

See “Creating and modifying Indexed Document Profiles” on page 456.

Remove IDM profile Click the red X icon next to the far right of the document profile row to delete that profile
from the system. A dialog box confirms the deletion.
Note: You cannot edit or remove a profile if another user currently modifies that profile, or
if a policy exists that depends on that profile.

Refresh IDM profile Click the refresh arrow icon at the upper right of the Indexed Documents screen to fetch the
status latest status of the indexing process. If you are in the process of indexing, the system displays
the message "Indexing is starting." The system does not automatically update the screen
when the indexing process is complete.

Table 21-9 Indexed Documents screen details

Column Description

Document Profile The name of the Indexed Document Profile.

Detection server The name of the detection server that indexes the Document Profile and the Document Profile
version.

Click the triangle icon beside the Document Profile name to display this information. It
appears beneath the name of the Document Profile.

Location The location of the file(s) on the Enforce Server that the system has profiled and indexed.

Documents The number of documents that the system has indexed for the document profile.
456 Detecting content using Indexed Document Matching (IDM)
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Table 21-9 Indexed Documents screen details (continued)

Column Description

Status The current status of the document indexing process, which can be any of the following:

■ Next scheduled indexing (if it is not currently indexing)

■ Sending an index to a detection server
■ Indexing
■ Deploying to a detection server

In addition, beneath the status of the indexing process, the system displays the status of each
detection server, which can be any of the following:

■ Completed, including a completion date

■ Pending index completion (that is, waiting for the Enforce Server to finish indexing a file)
■ Replicating indexing
■ Creating index (internally)
■ Building caches

Error messages The Indexed Document screen also displays any error messages in red (for example, if the
document profile is corrupted or does not exist).

See “Data Profiles” on page 335.

See “Scheduling document profile indexing” on page 468.
See “Configuring the Content Matches Document Signature condition” on page 468.

Creating and modifying Indexed Document Profiles

You define and configure an Indexed Document Profile at the screen Manage >
Data Profiles > Indexed Documents > Configure Document Profile. The document
profile specifies the document data source, the indexing parameters, and the
indexing schedule. You must define a document profile to implement IDM
detection.
See “About the Indexed Document Profile” on page 444.
Table 21-10 describes the steps for creating and modifying IDM profiles.

Table 21-10 Configuring a document profile

Step Action Description

1 Navigate to the screen Manage You must be logged on to the Enforce Server administration console
> Data Profiles > Indexed as an administrator or policy author.
Documents.
See “Policy authoring privileges” on page 334.
 Detecting content using Indexed Document Matching (IDM) 457
Implementing IDM policies

Table 21-10 Configuring a document profile (continued)

Step Action Description

2 Click Add Document Profile. Select an existing Indexed Document Profile to edit it.

See “Manage and add Indexed Document Profiles” on page 455.

3 Enter a Name for the Document Choose a name that describes the data content and the index type
Profile. (for example, "Research Docs IDM"). The name is limited to 255
characters.

See “Input character limits for policy configuration” on page 388.

4 Select the Document Source Select one of the four options for indexing the document data source,
method for indexing. depending on how large your data source is and how you have
packaged it.

See “About the document data source” on page 445.

Options for making the data source available to the Enforce Server.

■ Upload Document Archive to Server Now

To use this method, you Browse and select a ZIP file containing
the documents to be indexed. The maximum size of the ZIP file
is 50 MB.
See “Uploading a document archive to the Enforce Server”
on page 458.
■ Reference Archive on Enforce Server
Use this method if you have copied the ZIP file to the file system
host where the Enforce Server is installed. This ZIP file is
available for selection in the drop-down field.
See “Referencing a document archive on the Enforce Server”
on page 459.
■ Use Local Path on Enforce Server
This method lets you index individual files that are local to the
Enforce Server. With this method the files to be indexed cannot
be archived in a ZIP file. The maximum size is 2 GB.
See “Using local path on Enforce Server” on page 461.
■ Use Remote SMB Share
See “Using the Remote SMB Share option to index the data
source” on page 462.
■ Use Remote SMB Share for SharePoint documents
See “Using remote SMB share to index SharePoint documents”
on page 462.
458 Detecting content using Indexed Document Matching (IDM)
Implementing IDM policies

Table 21-10 Configuring a document profile (continued)

Step Action Description

5 Optionally, configure any Filters. You can specify file name and file size filters in the document profile.
The filters tell the system which files to include or ignore during
indexing.

See “Filter documents from indexing to reduce false positives”

on page 473.

Enter files to include in the File Name Include Filters field, or enter
files to exclude in the File Name Exclude Filters field.

See “Filtering documents by file name” on page 465.

Select file sizes to ignore, either Ignore Files Smaller Than or Ignore
Files Larger Than.

See “Filtering documents by file size” on page 467.

6 Select one of the Indexing As part of creating a document profile, you can set up a schedule for
options. indexing the document source.
You do not have to select an indexing option to create a profile that
you can reference in a policy, but you you must select an indexing
option to generate the index and actually detect matches using an
IDM policy.

■ Select Submit Indexing Job on Save to index the document source

immediately on save of the Document Profile.
■ Select Submit Indexing Job on Schedule to display schedule
options so that you can schedule indexing at a later time.
See “Scheduling document profile indexing” on page 468.

7 Click Save. You must save the document profile.

Uploading a document archive to the Enforce Server

The Upload Document Archive to Server Now option lets you upload a ZIP file
with a maximum size of 50 MB to the Enforce Server and index its contents. To
use this method of indexing, the document source must meet the requirements
described in the table Table 21-11
To upload the document archive to Enforce Server describes the process for using
the Upload Document Archive to Server Now method of indexing.
 Detecting content using Indexed Document Matching (IDM) 459
Implementing IDM policies

To upload the document archive to Enforce Server

1 Navigate to the screen Manage > Data Profiles > Indexed Documents >
Configure Document Profile.
2 Select the option Upload Document Archive to Server Now.
Click Browse and select the ZIP file. The ZIP file can be anywhere on the same
network as the Enforce Server.
Optionally, you can type the full path and the file name if the ZIP file is local
to the Enforce Server, for example: c:\Documents\Research.zip.
3 Specify one or more file name or file size filters (optional).
See “Filtering documents by file name” on page 465.
4 Select one of the indexing options (optional).
See “Scheduling document profile indexing” on page 468.
5 Click Save.

Table 21-11 Requirements for using the Upload Document Archive to Server
Now option

Requirement Description

ZIP file only The document archive must be a ZIP file; no other encapsulation formats are supported
for this option.

50 MB or less You cannot use the this option if the document archive ZIP file is more than 50 MB becuase
files exdeeding that size limit can take too long to upload and impact the performance
of the Enforce Server. If the document archive ZIP file is over 50 MB, use the Reference
Archive on Enforce Server method instead.

UTF-8 file names only The IDM indexing process fails (and presents you with an "unexpected error") if the
document archive (ZIP file) contains non-ASCII file names in encodings other that UTF-8.
If the ZIP file contains files with non-ASCII file names, use either of the following options
instead to make the files available to the Enforce Server for indexing:

■ Use Local Path on Enforce Server

■ Use Remote SMB Share

Referencing a document archive on the Enforce Server

You use the Reference Archive on Enforce Server option to create an IDM index
based on a ZIP file that is local to the Enforce Server. You use this option to index
source documents that are archived in a ZIP file that is larger than 50 MB.
See “About the document data source” on page 445.
460 Detecting content using Indexed Document Matching (IDM)
Implementing IDM policies

Note: If the ZIP file is less than 50 MB, you can use the Upload Document Archive
to Server Now option instead. See “Uploading a document archive to the Enforce
Server” on page 458.

To use the Reference Archive on Enforce Server option, you copy the ZIP file to
the \SymantecDLP\Protect\documentprofiles folder on the Enforce Server file
system host. Once you have copied the ZIP file to the Enforce Server, you can
select the document source from the pull-down menu at the Add Document Profile
screen. See “Creating and modifying Indexed Document Profiles” on page 456.
To reference the document archive on the Enforce Server describes the procedure
for using the Reference Archive on Enforce Server option.
To reference the document archive on the Enforce Server
1 Copy the ZIP file to the Enforce Server.
■ On Windows, copy the ZIP file to directory
\SymantecDLP\Protect\documentprofiles

■ On Linux, copy the ZIP file to directory

/var/SymatnecDLP/documentprofiles

See Table 21-12 on page 461.

Note: The system deletes the document data source file after the indexing
process completes.

2 Log on to the Enforce Server administration console.

3 Navigate to the screen Manage > Data Profiles > Indexed Documents >
Configure Document Profile.
4 Select the file from the Reference Archive on Enforce Server pull-down
menu.

Note: A document source currently referenced by another Indexed Document

Profile does not appear in the list.

5 Specify one or more file name or file size filters (optional).

See “Filtering documents by file name” on page 465.
 Detecting content using Indexed Document Matching (IDM) 461
Implementing IDM policies

6 Select one of the indexing options (optional).

See “Scheduling document profile indexing” on page 468.
7 Click Save to save the document profile.

Table 21-12 Requirements to use the option Reference Archive on Enforce Server

Requirement Description

ZIP file only The document archive must be a ZIP file; no other encapsulation formats are supported
for this option.

2 GB or less 2 GB is the maximum file size of the IDM profile. Consider using a third party solution
(such as Secure FTP), to copy the ZIP file securely to the Enforce Server.

See “About the document data source” on page 445.

Subfiles not archived Make sure the subfiles are proper and not encapsulated in an archive (other than the
top-level profile archive).

See “Do not compress files in the document source” on page 471.

See “Do not index empty documents” on page 472.

UTF-8 file names only Do not use this method if the any of the names of the files you are indexing contain
non-ASCII filenames.
Use either of the following options instead:

■ Use Local Path on Enforce Server

See “Using local path on Enforce Server” on page 461.
■ Use Remote SMB Share
See “Using the Remote SMB Share option to index the data source” on page 462.

Using local path on Enforce Server

The Use Local Path on Enforce Server method lets you index individual files that
are local to the Enforce Server. With this method the files to be indexed cannot
be archived in a ZIP file. The system deletes the documents after the indexing
process completes.
To use the Use Local Path on Enforce Server method of making the document
source available to the Enforce Server for indexing, you enter the local path to
the directory that contains the documents to index. For example, if you copied
the files to the file system at directory c:\Documents, you would enter
c:\Documents in the field for the Use Local Path on Enforce Server option. You
must specify the exact path, not a relative path. Do not include the actual file
names in the path.
See “Creating and modifying Indexed Document Profiles” on page 456.
462 Detecting content using Indexed Document Matching (IDM)
Implementing IDM policies

Using the Remote SMB Share option to index the data source
The Use Remote SMB Share method lets you index documents remotely using
the Common Internet File System (CIFS) protocol. To use this method of making
the document source available to the Enforce Server, you enter the Universal
Naming Convention (UNC) path for the Server Message Block (SMB) share that
contains the documents to index. You can also use this option to index documents
remotely using the WebDAV protocol, for example, SharePoint documents.
See “Using remote SMB share to index SharePoint documents” on page 462.

Note: Symantec Data Loss Prevention does not delete documents after indexing
for the Use Remote SMB Share option. See “About the document data source”
on page 445.

To use the Remote SBM Share option

1 Log on to the Enforce Server administration console.
2 Navigate to the screen Manage > Data Profiles > Indexed Documents >
Configure Document Profile.
3 Select the option Use Remote SMB Share.
4 Enter the UNC Path for the SMB share that contains the documents to index.
A UNC path consists of a server name, a share name, and an optional file
path, for example: \\server\share\file_path.
5 Enter a valid user name and password for the share, and then re-enter the
password. The user you specify must have general access to the shared drive
and read permissions for the constituent files.
Optionally, you can Use Saved Credentials, in which case the credentials are
available from the pull-down menu.
See “About the credential store” on page 137.
6 Complete the configuration of the Indexed Document Profile.
See “Creating and modifying Indexed Document Profiles” on page 456.

Using remote SMB share to index SharePoint documents

You can use Use Remote SMB Share method to remotely index file shares (such
as SharePoint or LiveLink) that you expose to the Enforce Server using the
WebDAV protocol. To remotely index files on SharePoint, you expose the remote
file share by WebDAV and enter the UNC path.
See “About indexing documents remotely on SharePoint servers” on page 445.
 Detecting content using Indexed Document Matching (IDM) 463
Implementing IDM policies

Table 21-13 provides the procedure for remotely indexing SharePoint documents
using WebDAV

Table 21-13 Remote IDM Indexing of SharePoint documents

Step Task Description

1 Enable WebDAV for See “Enabling WebDAV for IIS” on page 464.
SharePoint.

2 Start the WebClient service. From the computer where the Enforce Server is installed, start the WebClient
service using the "Services" console. If this service is "disabled," right-click
it and select Properties. Enable the service, set it to Manual, then Start it.
Note: You must have administrative privileges to enable this service.

3 Access the SharePoint From the computer where your Enforce Server is installed, access SharePoint
instance. using your browser and the following address format:
http://<server_name>:port. For example, http://protect-x64:80.

4 Log on to SharePoint as an You do not need to have SharePoint administrative privileges.

authorized user.

5 Locate the documents to In SharePoint, navigate to the documents you want to scan. Often SharePoint
scan. documents are stored at the Home > Shared Documents screen. Your
documents may be stored in a different location.

6 Find the UNC path for the In SharePoint for the documents you want to scan, select the option Library
documents. > Open with Explorer. Windows Explorer should open a window and display
the documents. Look in the Address field for the path to the documents. This
address is the UNC path you need to scan the documents remotely. For
example: \\protect-x64\Shared Documents. Copy this path to the
Clipboard or a text file.

7 Create the IDM Index. See “Creating and modifying Indexed Document Profiles” on page 456.

8 Configure the SharePoint To configure the remote indexing source:

remote indexing source.
■ For the Document Source field, select the Use Remote SMB Share option.
■ For the UNC Path, paste (or enter) the address you copied from the
previous step. For example: \\protect-x64\Shared Documents.
■ For the User Credentials, enter your SharePoint user name and password,
or select the same from the Saved Credentials drop-down list.
■ Select the option Submit Indexing on Save and click Save.
464 Detecting content using Indexed Document Matching (IDM)
Implementing IDM policies

Table 21-13 Remote IDM Indexing of SharePoint documents (continued)

Step Task Description

9 Verify success. At the Manage > Data Profiles > Indexed Documents screen you should see
that the index was successfully created. Check the "Status" and the number
of documents indexed. If the index was successfully created you can now use
it to create IDM policies.

See “Troubleshooting SharePoint indexing for IDM” on page 465.

Enabling WebDAV for IIS

There are various methods for enabling WebDAV for IIS. The following steps
provide one approach, in this case for a Windows Server 2008. This approach is
provided as an example only. Your approach and environment may differ.
See “Using remote SMB share to index SharePoint documents” on page 462.
Enable WebDAV for SharePoint
1 Log on to the SharePoint system where you want to enable WebDAV.
2 Open the Internet Information Services (IIS) Manager console.
3 Select the server name in the IIS tree.
4 Expand the tree, click the Web Sites folder and expand it.
5 Select the SharePoint instance from the list.
6 Right-click the SharePoint instance and select New > Virtual Directory.
7 The Virtual Directory Creation Wizard will appear. Click Next.
8 Enter a name in the Alias field (such as "WebDAV") and click Next.
9 Enter a directory path in the Web Site Content Directory field. It can be any
directory path as long as it exists. Click Next.
10 Select Read access and click Next.
11 Click Finish.
12 Right-click the virtual directory that you created and select Properties.
13 In the Virtual Directory tab, select the option "A redirection to a URL" and
click Create. The alias name is populated in the Application Name field.
14 Enter the SharePoint site URL in the "Redirect to" field and click OK. WebDAV
is now enabled for this SharePoint instance.
 Detecting content using Indexed Document Matching (IDM) 465
Implementing IDM policies

Troubleshooting SharePoint indexing for IDM

If you cannot connect the Enforce Server computer to the SharePoint Server
computer after enabling WebDAV, make sure that you have started the WebClient
service on the Enforce Server computer. You must start this service and test the
WebDAV connection before you configure IDM indexing.
See “Using remote SMB share to index SharePoint documents” on page 462.
If you plan to re-index SharePoint documents periodically as they are updated, it
may be useful to map the remote network resource to the local computer where
the Enforce Server is installed. You can use the "net use" MS-DOS command to
map SharePoint using the UNC path. For example:
■ net use
This command without parameters retrieves and displays a list of network
connections.
■ net use s: \\sharepoint_server\Shared Documents
This command assigns (maps) the SharePoint server to the local "S" drive.
■ net use * \\sharepoint_server\Shared Documents
This command assigns (maps) the SharePoint server to the next available letter
drive.
■ net use s: /delete
This command removes the network mapping to the specified drive.

Filtering documents by file name

When you configure an Indexed Document Profile, you have the option of using
filters to include or exclude documents in your data source from being indexed.
There are two types of file name filters: File Name Include Filters and File Name
Exclude Filters. Symantec recommends that if you choose to use file name filters
you select either inclusion filters or exclusion filters, but not both.
See “Filter documents from indexing to reduce false positives” on page 473.
Table 21-14 describes the differences between the include and exclude filters for
file names.
466 Detecting content using Indexed Document Matching (IDM)
Implementing IDM policies

Table 21-14 File name filters distinguished

Filter Description

File Name Include Filters If the File Name Include Filters field is empty, matching is performed on all documents
in the document profile. If you enter anything in the File Name Include Filters field, it
is treated as an inclusion filter. In this case the document is indexed only if it matches
the filter you specify.

For example, if you enter *.docx in the File Name Include Filters field, the system
will index only the *.docx files in the document source.

File Name Exclude Filters The Exclude Filters field lets you specify the documents to exclude in the matching
process.

If you leave the Exclude Filters field empty, the system performs matching on all
documents in the ZIP file or file share. If you enter any values in the field, the system
scans only those documents that do not match the filter.

The system treats forward slashes (/) and backslashes (\) as equivalent. The system
ignores whitespace at the beginning or end of the pattern. File name filtering does
not support escape characters, so you cannot match on literal question marks,
commas, or asterisks.
Table 21-15 describes the syntax accepted by the File Name Filters feature. The
syntax for the Include and Exclude filters is the same.

Table 21-15 File name filtering syntax

Operator Description

Asterisk (*) Represents any number of characters.

Question mark (?) Represents a single character.

Comma (,) and newline Represents a logical OR.

Table 21-16 provides sample filters and descriptions of behavior if you enter them
in the File Name Include Filters field:

Table 21-16 File name filter examples

Filter Description

*.txt,*.docx The system indexes only .txt and .docx files in the ZIP file or file share, ignoring
everything else.
 Detecting content using Indexed Document Matching (IDM) 467
Implementing IDM policies

Table 21-16 File name filter examples (continued)

Filter Description

?????.docx The system indexes files with the .docx extension and files with five-character
names, such as hello.docx and stats.docx, but not good.docx or
marketing.docx.

*/documentation/*,*/specs/* The system indexes only files in two subdirectories below the root directory, one
called "documentation" and the other called "specs."

Filtering documents by file size

Filters let you specify documents to include or exclude from indexing. The types
of filters include File Name Include Filters, File Name Exclude Filters, and File
Size Filters. You use file size filters to exclude files from the matching process
based on their size. Any files that match the size filters are ignored.
See “Filtering documents by file name” on page 465.
In the Size Filters fields, specify any restrictions on the size of files the system
should index. In general you should use only one type of file size filter.
See “Filter documents from indexing to reduce false positives” on page 473.
Table 21-17 describes the file size filter options.

Table 21-17 File size filter configuration options

Filter Description

Ignore Files Smaller To exclude files smaller than a particular size:

Than
■ Enter a number in the field for Ignore Files Smaller Than.
■ Select the appropriate unit of measure Bytes, KB (kilobytes),
or MB (megabytes) from the drop-down list.

For example, to prevent indexing of files smaller than one kilobyte

(1 KB), enter 1 in the field and select KB from the corresponding
drop-down list.

Ignore Files Larger To exclude files larger than a particular size:

Than
■ Enter a number in the field for Ignore Files Larger Than.
■ Select the appropriate unit of measure (Bytes, KB, or MB) from
the drop-down list.

For example, to prevent indexing of files larger than two

megabytes (2 MB), enter 2 in the field and select MB from the
corresponding drop-down list.
468 Detecting content using Indexed Document Matching (IDM)
Implementing IDM policies

Scheduling document profile indexing

When you configure a document profile, select Submit Indexing Job on Save to
index the document profile as soon as you save it. Alternatively, you can set up a
schedule for indexing the document source.
To schedule document indexing, select Submit Indexing Job on Schedule and
select a schedule from the drop-down list as described in Table 21-18.

Note: The Enforce Server can index only one document profile at a time. If one
indexing process is scheduled to start while another indexing process is running,
the new process does not begin until the first process completes.

Table 21-18 Options for scheduling Document Profile indexing

Parameter Description

Index Once On – Enter the date to index the document profile in the format
MM/DD/YY. You can also click the date widget and select a date.

At – Select the hour to start indexing.

Index Daily At – Select the hour to start indexing.

Until – Select this check box to specify a date in the format MM/DD/YY
when the indexing should stop. You can also click the date widget and
select a date.

Index Weekly Day of the week – Select the day(s) to index the document.

At – Select the hour to start indexing.

Until – Select this check box to specify a date in the format MM/DD/YY
when the indexing should stop. You can also click the date widget and
select a date.

Index Monthly Day – Enter the number of the day of each month you want the indexing
to occur. The number must be 1 through 28.

At – Select the hour to start indexing.

Until – Select this check box to specify a date in the format MM/DD/YY
when the indexing should stop. You can also click the date widget and
select a date.

Configuring the Content Matches Document Signature condition

The ContentMatchesDocumentSignatureFrom matches unstructured document
content based on the Indexed Document Profile. The Content Matches Document
Signature From condition is available for detection rules and exceptions.
 Detecting content using Indexed Document Matching (IDM) 469
Implementing IDM policies

See “About configuring the Content Matches Document Signature condition”

on page 447.
To configure the Content Matches Document Signature condition
1 Add an IDM condition to a policy rule or exception, or modify an existing one.
See “Configuring policies” on page 370.
See “Configuring policy rules” on page 374.
See “Configuring policy exceptions” on page 384.
2 Configure the IDM condition parameters.
See Table 21-19 on page 469.
3 Save the policy configuration.

Table 21-19 Content Matches Document Signature condition parameters

Action Description

Set the Minimum Select an option from the drop-down list.

Document Exposure.
Choose Exact to match document contents exactly.

Choose a percentage between 10% and 90% to match document contents partially.

Configure Match Select how you want to count matches:

Counting.
■ Check for existence
Reports a match count of 1 if there are one or more condition matches.
■ Count all matches
Reports a match count of the exact number of matches.

See “Configuring match counting” on page 378.

Select the components to Select one of the available message components to match on:
Match On.
■ Body – The content of the message.
■ Attachments – Any files attached to or transferred by the message.

See “Selecting components to match on” on page 380.

Configure additional Select this option to create a compound condition. All conditions must be met to trigger
conditions to Also Match. or except a match.
You can Add any available condition from the drop-down menu.

Test and tune the policy. See “Test and tune policies to improve match accuracy” on page 402.

See “Use parallel IDM rules to tune match thresholds” on page 475.

See “Troubleshooting policies” on page 396.

470 Detecting content using Indexed Document Matching (IDM)
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Changing the default indexer properties

The server index contains the MD5 fingerprint of each file that has been indexed,
either raw binary or 100% extracted content if the file can be cracked, as well as
MD5 hashes of discrete passages of content.
See “Using IDM to protect file contents” on page 447.
The size of the passages depends on the "k" and "t" settings in the indexer
properties file (\SymantecDLP\Protect\config\indexer.properties). Generally,
there is no need to change the default settings. When you lower the default
minimum, the Enforce Server creates hashes out of smaller sections of the
documents it indexes. The lower the default minimum, the greater the number
of hashes that the Enforce Server requires for your documents. The greater number
of hashes increases index size as well as computational load during detection.
The default settings apply to the Whitelisted.txt file as well. If the amount of
content you need to whitelist is less than the minimum amount required for partial
matching, you can adjust the default minimum setting.
To change the default minimum for whitelisted text
1 On the Symantec Data Loss Prevention host, navigate to directory
\SymantecDLP\Protect\config on Windows, or
/opt/SymantecDLP/Protect/config on Linux.

2 Use a text editor to open file Indexer.properties

3 Locate the parameter Guarantee threshold t:

# Guarantee threshold t
com.vontu.profiles.documents.t=130

4 Change the numerical portion of the parameter value to reflect the wanted
minimum number of characters that are allowed in Whitelisted.txt.
For example, to change the minimum to 80 characters, modify the value to
look like the following:

# Guarantee threshold t
com.vontu.profiles.documents.t=80

5 Save the file.

 Detecting content using Indexed Document Matching (IDM) 471
IDM policy considerations

IDM policy considerations

Indexed Document Matching (IDM) is designed to protect document content and
images. IDM relies on an index of fingerprinted documents to perform partial and
derivative text-based content matching. In addition, you can also use IDM to match
indexed documents exactly based on their binary stamp, including not only
text-based documents but also graphics and media files
Because of the broad range of matching supported by IDM, it is imperative that
policy authors consider the best practices in this section to implement IDM policies
that accurately match the data you want to protect.

Do not compress files in the document source

For file formats whose content can be cracked, the indexing process opens the
document, extracts the text-based content, and fingerprints the data in full and
in part (sections). However, the indexing process cannot recursively inspect
document archives that are contained in the document set. This means that if a
document whose file contents you want to index is compressed in a archive file
(such as ZIP, RAR, or TAR) within the document data source, the system cannot
crack the file and index its content. In this case, the system will only take an MD5
hash of the binary file signature. The embedded file is considered for exact matches
only, like image files and other unsupported file formats.
This behavior is specific to the design-time indexing process only. At runtime the
detection server does recursively inspect document archives and extract the text
of files contained in those archives. But, in order the be able to evaluate such
content, the IDM index must have been able to index all content files.
The best practice is to not include any files whose content you want to index in a
document archive. The lone exception is the document archive ZIP file that you
upload or copy to the Enforce Server that contains the entire document set. All
files in that container file must be uncompressed. If the Document Archive
uploaded to the Enforce Server for indexing contains one or more embedded
archive files (such as a ZIP), the system performs an exact binary match on any
file contained in the embedded archive file
See “Creating and modifying Indexed Document Profiles” on page 456.

Avoid using IDM solely for binary files

Although IDM can protect any type of file, unless you must protect the exact file,
the general recommendation is that if you only need to protect binary files,
consider using the File Type Match condition instead of IDM. There is less
472 Detecting content using Indexed Document Matching (IDM)
IDM policy considerations

overhead in creating file type matching policies, and the File Type Match condition
executes locally on the endpoint. IDM requires two-tier detection on the endpoint.
See “Consider using compound file property rules to protect design and multimedia
files” on page 571.
For example, if you want to detect CAD files that contain IP diagrams, you could
index these files and apply IDM rules to detect them. Alternatively, you could
create a policy that contains a file type rule that detects on the CAD file format
plus a file size rule that specifies a threshold size. The file property approach is
preferred in this scenario because all you really care about is protecting large CAD
files potentially leaving the company. There is no need to gather and index these
files for IDM if you can simply create rules that will detect on the file type and
the size.

Do not index empty documents

You should be careful about the documents you index. In particular, avoid indexing
blank or empty documents.
For example, indexing a PPTX file containing only photographs or other graphical
content but no textual content will match other blank PPTX files exactly and
produce false positives. Is this case, even though a PPTX file contains no
user-entered text, the file does contain header and footer placeholder text that
the system extracts as file contents. Because the amount of text extracted and
normalized is more than 30 non-whitespace characters, the system treats the file
as not binary and creates a MD5 hash of 100% of the file contents. As a result, all
other blank PPTX files will produce exact file contents matches because the
resulting MD5 of the extracted content is the same.
See “Using IDM to protect file contents” on page 447.

Use whitelisting to exclude non-sensitive content from matching

Whitelisting is designed to let you exclude partial file contents from matching.
You use whitelisting to reduce false positives generated by non-sensitive content.
Information contained in document headers and footers is likely to cause false
positives. Likewise boilerplate text, such as standard language and non-proprietary
corporate content, which is often repeated across confidential documents.
Ideally, you should remove headers and footers from documents before you index
them. However, this may not be feasible, especially if you have a large document
set. As a best practice, you should whitelist header, footer, and boilerplate content
so that this text is excluded when the server index is generated. If you use
whitelisting, generally you can lower the Minimum Document Exposure setting
 Detecting content using Indexed Document Matching (IDM) 473
IDM policy considerations

in the policy without increasing false positives because more of the content indexed
is confidential data, instead of common, repeated content.
See “About whitelisting content” on page 451.
See “Whitelisting file contents to exclude from matching” on page 453.

Filter documents from indexing to reduce false positives

When you configure an Indexed Document Profile, you have the option of using
filters to include or exclude documents in your data source for indexing. There
are two types of filters: File Name and File Size.
See “Creating and modifying Indexed Document Profiles” on page 456.
You use filtering to filter non-critical documents from indexing and ensure that
your index is protecting only confidential files and file contents. Filtering helps
reduce false positives and decrease the size of the IDM index.
See “Do not index empty documents” on page 472.
The best practice is to use either an exclusion filter or an inclusion filter for each
filter type, but not both. For example, you may not need to index all of the files
you include in a document archive or expose to the system by file share. In this
case, you can enumerate the files you want to include (inclusion filter) or list the
file types you want to exclude from indexing (exclusion filter), but you should not
use both. You can also use file size filters to set a threshold for the file size to
include or exclude in the index. Again, you should choose only one method of
filtering, inclusion or exclusion.
See “Filtering documents by file name” on page 465.
See “Filtering documents by file size” on page 467.

Distinguish IDM exceptions from whitelisting and filtering

Whitelisting lets you exclude partial file contents from matching. Filtering lets
you exclude specific documents from the indexing process. IDM exceptions, on
the other hand, let you except indexed files from exact matching at runtime.
You use the IDM condition as policy exception to exclude files from detection. To
be excepted from matching, an inbound file must be an exact match with a file in
the IDM index. You cannot use IDM exceptions to exclude content from matching.
To exclude content, you must whitelist it.
474 Detecting content using Indexed Document Matching (IDM)
IDM policy considerations

Table 21-20 Whitelisting, filters, and exceptions distinguished

IDM Configuration Use

Exception Except exact file from matching

See “About using IDM for policy exceptions” on page 450.

As an example, the CAN-SPAM Act policy template uses an IDM exception.

See “CAN-SPAM Act policy template” on page 727.

Whitelisting Except file contents from matching

See “Use whitelisting to exclude non-sensitive content from matching”

on page 472.

Filtering Include or exclude files from being indexed

See “Filter documents from indexing to reduce false positives” on page 473.

Create separate profiles to index large document sources

IDM detection is based on an Indexed Document Profile. The maximum size of
the source documents that you can index for a single IDM profile is 2 GB. This
maximum size limit is based on the overall size of the documents in their natural,
uncompressed state. Depending on the size of the actual source files and their
extracted text size, this translates into approximately 300,000 to 400,000 files.
In addition, the 2 GB maximum size may be affected by any hardware limitations
imposed by the host machine where the Enforce Server is installed.
See “About the document data source” on page 445.
If you need to index a large number of files more than 2 GB in total size when
uncompressed, the best practice is to organize the documents into separate ZIP
files or share directories. You then create a separate Indexed Document Profile
for each individual document set. You can then define separate rules that reference
each index and add the rules one or more policies.

Use WebDAV to index remote document sources

For smaller document sets (less than 50MB), you can upload the files to the Enforce
Server. For larger document sets, consider using FTP/S to upload the files to the
Enforce Server.
Alternatively, you can use the remote IDM indexing feature to remotely index
documents that are stored on a file share that supports the WebDAV protocol,
such as SharePoint or LiveLink
See “Using remote SMB share to index SharePoint documents” on page 462.
 Detecting content using Indexed Document Matching (IDM) 475
IDM policy considerations

Use scheduled indexing to keep profiles up to date

You can use index scheduling to keep your IDM profiles up to date. The initial
index scans all the documents to be indexed. Any subsequent index only scans
the differences between the two. You should schedule indexing outside of normal
business hours to reduce the performance impact on the system.
See “Scheduling document profile indexing” on page 468.
Before you set up an indexing schedule, consider the following recommendations:
■ If you update your document sources occasionally (for example, less than once
a month), there is no need to create a schedule. Index the document each time
you update it.
■ Schedule indexing for times of minimal system use. Indexing affects
performance throughout the Symantec Data Loss Prevention system, and large
documents can take time to index.
■ Index a document as soon as you add or modify the corresponding document
profile, and re-index the document whenever you update it. For example,
consider a situation where every Wednesday at 2:00 A.M. you update a
document. In this case scheduling the index process to run every Wednesday
at 3:00 A.M. is optimal. Scheduling document indexing daily is not
recommended because that is too frequent and can degrade server performance.
■ Monitor results and modify your indexing schedule accordingly. If performance
is good and you want more timely updates, schedule more frequent document
updates and indexing.

Use parallel IDM rules to tune match thresholds

The primary use case for IDM policies is to detect unstructured document content
based on a percentage match requirement called the Minimum Document Exposure.
This value is a configurable parameter that specifies the minimum percentage of
content in the message that must match the IDM index to produce a match. The
IDM policy default is “Exact,” which means that, for text-based documents, 100%
of the content of the message must match the fingerprint to create an incident.
A Minimum Document Exposure setting of 10% means that, on average, one page
of a 10 page document must match the IDM index to create an incident
A document might contain much more content, but Symantec Data Loss Prevention
protects only the content that is indexed as part of a document profile. For
example, consider a situation where you index a one-page document, and that
one-page document is included as part of a 100-page document. The 100-page
document is considered a 100 percent match because its content matches the
one-page document exactly. In addition, the matched document does not have to
be of the same file type or format as the indexed document. For example, if you
476 Detecting content using Indexed Document Matching (IDM)
IDM policy considerations

index a Word document as part of a document profile, and its contents are pasted
into the body of an email message or used to create a PDF, the engine considers
it a match
A quick rule-of-thumb for setting the Minimum Document Exposure setting is
60%. Minimum Document Exposures set to less than 50% typically create many
false positives. Starting with rate of 60% should give you enough information to
determine whether you should go to a higher or lower match percentage without
creating excessive false positives
As an alternative, consider taking a tiered approach to establishing Minimum
Document Exposure settings. For example, you can create multiple IDM rules,
each with a different threshold percentage, such as 80% for documents with a
high match percentage, 50% for documents with a medium match percentage,
and 10% with a low match percentage. Using this approach will help you filter
out false positives and help you establish an accurate Minimum Document
Exposure setting for each IDM index you deploy as part of your policies.
 Chapter 22
Detecting content using
Vector Machine Learning
(VML)
This chapter includes the following topics:

■ About Vector Machine Learning (VML)

■ Implementing Vector Machine Learning (VML)

■ VML policy considerations

About Vector Machine Learning (VML)

Vector Machine Learning (VML) protects unstructured data by performing
statistical analysis to determine if content is similar to example content you train
against.
Unlike other detection technologies, with VML you do not have to locate and
fingerprint all of the data you want to protect, nor do you have to describe it and
risk potential inaccuracies. With VML you train the system to learn the type of
content you want to protect based on example documents you provide.
VML detection is based on a VML profile. You create a VML profile by uploading
a representative amount of content from a specific category of data. The system
scans the content, extracts the features, and creates a statistical model based on
the frequency of keywords in the example documents. At runtime the system
applies the model to analyze and detect content that has features that are
statistically similar to the profile.
VML simplifies the detection of unstructured, text-based content while offering
the potential for high accuracy. The key to implementing VML is the example
478 Detecting content using Vector Machine Learning (VML)
About Vector Machine Learning (VML)

content you train the system against. You must be careful to select documents
that are very representative of the type of content you want to protect. And, you
must select good examples of content you want to ignore that are closely related
to the content you want to protect.
See “Implementing Vector Machine Learning (VML)” on page 481.

About the Vector Machine Learning Profile

The Vector Machine Learning Profile is the data profile that you define for
implementing VML policies.
For example, you might create a VML profile to protect your source code. In this
case you train the system using positive example documents (proprietary code
that you want to protect) and negative example documents (open source code that
you do not care to protect). A VML policy references the VML profile to analyze
message data and recognize content that is similar to the positive features. The
VML profile can be tuned, and it can be easily updated by adding or removing
documents to or from the training sets.
See “Data Profiles” on page 335.
See “Creating new VML profiles” on page 483.

About the content you train

Collecting the documents for training is the most important step in the Vector
Machine Learning process. Vector Machine Learning is only as accurate as the
example content you train against.
See “Implementing Vector Machine Learning (VML)” on page 481.
A VML profile is based on a category of content representing a specific business
use case. A category of content comprises two training sets: positive and negative.
The positive training set is content you want to protect. More specific
categorization results in better accuracy. For example, “Customer Purchase Orders”
is better than “Financial Documents” because it is more specific.
The negative training set is content you want to ignore, yet related to the positive
training set. For example, if the positive training set is “Weekly Sales Reports,"
the negative training set might contain "Sales Press Releases."
You should collect an equal amount of positive and negative content that is
primarily text-based. You do not have to collect all the content you want to protect,
but you need to assemble training sets large enough to produce reliable statistics.
The recommended number of documents is 250 per training set. The minimum
number of documents per training set is 50.
 Detecting content using Vector Machine Learning (VML) 479
About Vector Machine Learning (VML)

The following table summarizes the baseline requirements for the content you
collect for VML profile training.

Table 22-1 VML training set requirements

Category of Type of data Training set Quantity Content Size

content

Positive Recommended: Content you want

250 documents to protect.

Minimum: 50
documents
30 MB per upload
Single, specific Text-based
Negative Approximately Content you do No size limit per
business use case (primarily)
the same amount not want to category.
as the positive protect yet
category. thematically
related to the
positive category.

About the base accuracy from training percentage rates

During the VML profile training process, the system extracts example document
content and converts it to raw text. The system selects features (or keywords)
using a proprietary algorithm and generates the VML profile. As part of the
training process, the system calculates and reports base accuracy rates for false
positives and false negatives. The base accuracy from training percentage rates
indicate the quality of your positive and negative training sets.
While the goal is to achieve 100% accuracy (0% base false rates), obtaining this
level of quality for both training sets is usually not possible. In general you should
reject a training profile if either the base false positive rate or the base false
negative rate is more than 5%. A relatively high base false percentage rate indicates
that the training set is not well categorized. In this case you need to add documents
to an underrepresented training set or remove documents from an
over-represented training set, or both.
See “Managing training set documents” on page 489.
The following table describes what the base accuracy percentage rates from
training mean in relation to the positive and negative training sets for a given
VML profile.
480 Detecting content using Vector Machine Learning (VML)
About Vector Machine Learning (VML)

Table 22-2 Base accuracy rates from training

Accuracy rate Description

Base False Positive Rate The percentage of the content in the negative training set that is statistically similar to
(%) the positive content.

Base False Negative Rate The percentage of the content in the positive training set that is statistically similar to
(%) negative content.

About the Similarity Threshold and Similarity Score

Each VML profile has a setting called the Similarity Threshold which can be set
from 0 to 10. This setting is used to make an adjustment for imperfect information
within a training set to achieve the best accuracy possible. During detection, a
message must have a Similarity Score greater than the Similarity Threshold for
an incident to be generated. The Similarity Threshold is set at the profile level—not
within a policy rule—because there is an ideal Similarity Threshold setting that
is unique to your training set where the best accuracy rates can be achieved (both
in terms of false positives and false negatives).
When a VML policy detects an incident, the system displays the Similarity Score
in the match highlighting section of the Incident Snapshot in the Enforce Server
administration console. The Similarity Score indicates how similar the detected
content is to the VML profile. The higher the score the more statistically similar
the message is to the positive example documents in your VML profile.
Consider an example where a Similarity Threshold is set to 4 and a message with
a Similarity Score of 5 is detected. In this case the system reports the match as
an incident and displays the Similarity Score during match highlighting. However,
if a message is detected with a Similarity Score of 3, the system does not report
a match (and no incident) because the Similarity Score is below the Similarity
Threshold.
The table below describes the Similarity Threshold and Similarity Score numbers.

Table 22-3 Similarity Threshold and Similarity Score details

Similarity Description

Similarity The Similarity Threshold is a configurable parameter between 0 and 10 that is unique to each
Threshold VML profile. The default setting is 10, which requires the most similar match between the
VML profile features and the detected message content. As such, this setting is likely to produce
fewer incidents. A setting of 0 produces the most number of matches, many of which are likely
to be false positives.

See “Adjusting the Similarity Threshold” on page 495.

 Detecting content using Vector Machine Learning (VML) 481
Implementing Vector Machine Learning (VML)

Table 22-3 Similarity Threshold and Similarity Score details (continued)

Similarity Description

Similarity Score The Similarity Score is a read-only runtime statistic between 0 and 10 reported by the system
based on the detection results of a VML policy. To report an incident, the Similarity Score
must be higher than the Similarity Threshold, otherwise the VML policy does not report a
match.

About using unaccepted VML profiles in policies

The system lets you create a policy that is based on a VML profile that has never
been accepted. However, the VML profile is not active and is not deployed to a
referenced policy until the profile is initially accepted.
See “Training VML profiles” on page 486.
Where you have a VML policy that references a never-accepted VML profile, the
result of this configuration depends on the type of detection server. The table
below describes the behavior:

Detection server Description

Discover Server Discover scanning does not begin until all policy dependencies are loaded. As such, a
Discover scan based on a VML policy will not start until the referenced VML profile
is accepted. In this case the system displays a message in the Discover scanning
interface indicating the scan is waiting on the dependency to load.

Network and Endpoint For a simple rule, or compound rule where the conditions are ANDed, the entire rule
Servers fails because the VML condition cannot match. If this is the only rule in the policy,
the policy will not work.

For a policy where there are multiple rules that are ORed, only the VML rule fails; the
other rules in the policy are evaluated.

See “Policy detection execution” on page 352.

Implementing Vector Machine Learning (VML)

Vector Machine Learning (VML) protects unstructured data by performing
statistical analysis to determine if content is similar to an example set of
documents you train against.
See “About Vector Machine Learning (VML)” on page 477.
The following table describes the process for implementing VML.
482 Detecting content using Vector Machine Learning (VML)
Implementing Vector Machine Learning (VML)

Table 22-4 Implementing VML

Step Action Description

Step 1 Collect the example documents for Collect a representative amount of example documents containing
training the system. positive content you want to protect and negative content you
want to ignore.

See “About the content you train” on page 478.

Step 2 Create a new VML profile. Define a new VML profile based on the specific business category
of data from which you have derived your positive and negative
training sets.

See “Creating new VML profiles” on page 483.

Step 3 Upload the example documents. Upload separately to the Enforce Server the example positive and
negative training sets.

See “Uploading example documents for training” on page 484.

Step 4 Train the VML profile. Train the system to learn the type of content you want to protect
and generate the VML profile.

See “Training VML profiles” on page 486.

Step 5 Accept or reject the trained profile. Accept the trained profile to deploy it. Or, reject the profile, update
one or both of the training sets (by adding or removing example
documents), and restart the training process.

See “About the base accuracy from training percentage rates”

on page 479.

See “Managing VML profiles” on page 490.

Step 6 Create a VML policy and test Create a VML policy that references the VML profile.
detection.
See “Configuring the Detect using Vector Machine Learning Profile
condition” on page 493.

Test and review incidents based on the Similarity Score.

See “About the Similarity Threshold and Similarity Score”

on page 480.

Step 7 Tune the VML profile. Adjust the Similarity Threshold setting as necessary to optimize
detection results.

See “Adjusting the Similarity Threshold” on page 495.

Step 8 Follow VML best practices. See “VML policy considerations” on page 500.
 Detecting content using Vector Machine Learning (VML) 483
Implementing Vector Machine Learning (VML)

Creating new VML profiles

A VML profile contains the model that is generated from the training set contents.
Once you define a VML profile, you use it to create one or more VML policies.
See “Implementing Vector Machine Learning (VML)” on page 481.

Note: You must have Enforce Server administrator privileges to create VML
profiles.

To create a new VML profile

1 Click New Profile from the Manage > Data Profiles > Vector Machine
Learning screen (if you have not already done so).
2 Enter a Name for the VML profile in the Create New Profile dialog.
Use a logical name for the VML profile that corresponds to the category of
data you want to protect.
See “About the content you train” on page 478.
3 Optionally, enter a Description for the VML profile.
You may want to include a description that identifies the purpose of the VML
profile.
4 Click Create to create the new VML profile.
Or, click Cancel to cancel the operation.
5 Click Manage Profile to upload example documents.
See “Uploading example documents for training” on page 484.

Working with the Current Profile and Temporary Workspace tabs

For any single VML profile there are two possible versions: Current and Temporary.
The Current Profile is the runtime version; the Temporary Profile is the
design-time version. Typically, as you develop a VML profile, you will have a
Current Profile that you have trained, accepted, and perhaps deployed to one or
more policies, as well as a Temporary Profile that you actively edit and tune.
The Enforce Server administration console displays each version of the VML
profile in separate tabs:
■ Current Profile
This version is the active instance of the VML profile. This version has been
successfully trained and accepted; it is available for deployment to one or more
policies.
484 Detecting content using Vector Machine Learning (VML)
Implementing Vector Machine Learning (VML)

■ Temporary Workspace
This version is an editable version of the VML profile. This version has not
been trained, or accepted, or both; it cannot be deployed to a policy.
Initially, when you create a new VML profile, the system displays only the Current
Profile tab with an empty training set. After you train and accept the VML profile
for the first time, the Trained Set table in the Current Profile tab becomes
populated with details about the training set. The information that is displayed
in this table and tab is read-only.
To edit a VML profile
◆ Click Manage Profile to the far right of the Current Profile tab.
The system displays the editable version of the profile in the Temporary
Workspace tab. You can now proceed with training and managing the profile.
See “Training VML profiles” on page 486.
The Temporary Workspace tab remains present in the user interface until you
train and accept a new version of the VML profile. In other words, there is no way
to close the Temporary Workspace tab without training and accepting, even if
you made no changes to the profile.
Once you accept a new version of the VML profile, the system overwrites the
previous Current Profile with the newly accepted version. You cannot revert to a
previously accepted Current Profile. However, you can revert to previous versions
of the training set for a Temporary Profile.
See “Managing training set documents” on page 489.

Uploading example documents for training

The training set comprises the example positive and negative documents you
want to train the system against. You upload the positive and negative documents
separately.

Note: While you can upload individual documents, it is recommended that you
upload a document archive (such as ZIP, RAR, or TAR) that contains the
recommended (250) or minimum (50) number of example documents. The
maximum upload size is 30 MB. You can partition the documents across archives
if you have more than 30 MB of data to upload. See “About the content you train”
on page 478.
 Detecting content using Vector Machine Learning (VML) 485
Implementing Vector Machine Learning (VML)

To upload the training set

1 Click Manage Profile from the Current Profile tab (if you have not already
done so).
This action enables the VML profile for editing in the Temporary Workspace
tab.
See “Working with the Current Profile and Temporary Workspace tabs”
on page 483.
2 Click Upload Contents (if you have not already done so).
This action opens the Upload Contents dialog.
3 Select which category of content you are uploading:
■ Choose Positive: match contents similar to these to upload a positive
document archive.
■ Choose Negative: ignore contents similar to these to upload a negative
document archive.

4 Click Browse to select the document archive to upload.

5 Navigate the file system to where you have stored the example documents.
6 Choose the file to upload and click Open.
7 Verify that you have chosen the correct category of content you are uploading:
Positive or Negative.
If you mismatch the upload (select Negative but upload a Positive document
archive), the resulting profile will be inaccurate.
8 Click Submit to upload the document archive to the Enforce Server.
The system displays a message indicating if the file successfully uploaded.
If the upload was successful, the document archive appears in the New
Documents table. This table displays the document type, name, size, date
uploaded, and the user who uploaded it. If the upload was not successful,
check the error message and retry the upload. Click the X icon in the Remove
column to delete an uploaded document or document archive from the training
set.
486 Detecting content using Vector Machine Learning (VML)
Implementing Vector Machine Learning (VML)

9 Click Upload Contents to repeat the process for the other training set.
The profile is not complete and cannot be trained until you have uploaded
the minimum number of positive and negative example documents.
See Table 22-1 on page 479.
10 Once you have successfully uploaded both training sets you are ready to train
the VML profile .
See “Training VML profiles” on page 486.

Training VML profiles

During the profile training process, the system scans the training content, extracts
key features, and generates a statistical model. When the training process
completes successfully, the system prompts you to accept or reject the training
profile. If you accept the training results, that version of the VML profile becomes
the Current Profile, meaning that it is active and available for use in one or more
policies.
See “Implementing Vector Machine Learning (VML)” on page 481.

Table 22-5 Training the VML profile

Step Action Description

Step 1 Enable training mode. Select the VML profile you want to train from the Manage > Data Profiles >
Vector Machine Learning screen. Or, create a new VML profile.

See “Creating new VML profiles” on page 483.

Click Manage Profile to the far right of the Current Profile tab. The system
displays the profile for training in the Temporary Workspace tab.

See “Working with the Current Profile and Temporary Workspace tabs”
on page 483.

Step 2 Upload the training Familiarize yourself with the training set requirements and recommendations.
content.
See “About the content you train” on page 478.

Upload the positive and negative training sets in separate document archives
to the Enforce Server.

See “Uploading example documents for training” on page 484.

 Detecting content using Vector Machine Learning (VML) 487
Implementing Vector Machine Learning (VML)

Table 22-5 Training the VML profile (continued)

Step Action Description

Step 3 Adjust the memory The default value is "High" which generally results in the best training set
allocation (only if accuracy rates. Typically you do not need to change this setting. For some
necessary). situations you may want to choose a "Medium" or "Low" memory setting (for
example, deploying the profile to the endpoint).

See “Adjusting memory allocation” on page 488.

Note: If you change the memory setting, you must do so before you train the
profile to ensure accurate training results. If you have already trained the
profile, you must retrain it again after you adjust the memory allocation.

Step 4 Start the training Click Start Training to begin the profile training process.
process. During the training process, the system:

■ Extracts the key features from the content;

■ Creates the model;
■ Calculates the predicted accuracy based on the averaged false positive and
false negative rates for the entire training set;
■ Generates the VML profile.

Step 5 Verify training When the training process completes, the system indicates if the training profile
completion. was successfully created.

If the training process failed, the system displays an error. Check the debug log
files and restart the training process.

See “Debug log files” on page 271.

On successful completion of the training process, the system displays the
following information for the New Profile:

■ Trained Example Documents

The number of example documents in each training set that the system
trained against and profiled.
■ Accuracy Rate From Training
The quality of the training set expressed as base false positive and base false
negative percentage rates.
See “About the base accuracy from training percentage rates” on page 479.
■ Memory
■ The minimum amount of memory required to load the profile at runtime
for detection.
Note: If you previously accepted the profile, the system also displays the
Current Profile statistics for side-by-side comparison.
488 Detecting content using Vector Machine Learning (VML)
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Table 22-5 Training the VML profile (continued)

Step Action Description

Step 6 Accept or reject the If the training process is successful, the system prompts you to accept or reject
training profile. the training profile. Your decision is based on the Accuracy Rate from Training
percentages.

See “About the base accuracy from training percentage rates” on page 479.
To accept or reject the training profile:

■ Click Accept to save the training results as the active Current Profile.
Once you accept the training profile, it appears in the Current Profile tab
and the Temporary Workspace tab is removed.
■ Click Reject to discard the training results.
The profile remains in the Temporary Workspace tab for editing. You can
adjust one or both of the training sets by adding or removing documents
and retraining the profile.
See “Managing training set documents” on page 489.
Note: A trained VML profile is not active until you accept it. While the system
lets you create a policy based on a VML profile that has not been trained or
accepted, the VML profile is not deployed to that policy until the profile is
accepted. See “About using unaccepted VML profiles in policies” on page 481.

Step 7 Test and tune the Once you have successfully trained and accepted the VML profile, you can now
profile. use it to define policy rules and tune the VML profile.

See “Configuring the Detect using Vector Machine Learning Profile condition”
on page 493.

See “About the Similarity Threshold and Similarity Score” on page 480.
Note: For more information, refer to the Symantec Data Loss Prevention Vecctor
Machine Learning Best Practices Guide, available at the DLP Knowledgebase
(https://kb-vontu.altiris.com/), article number 54340.

Adjusting memory allocation

The Memory Allocation setting determines the amount of memory required to
load VML the profile at runtime for policy detection. The more memory allocated
to training the larger the VML profile will be because more features will be
modeled. By default this value is set to "High." In general you should not adjust
this value. However, if you intend to deploy the VML profile to the endpoint, where
resources may be limited, you may want to use a lower memory setting to reduce
the size of the profile.
 Detecting content using Vector Machine Learning (VML) 489
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To adjust memory allocation

1 Click Adjust beside the Memory Allocation setting.
This setting is available in the Temorary Workspace tab. If it is not available,
click Manage Profile from the Current Profile tab.
See “Working with the Current Profile and Temporary Workspace tabs”
on page 483.
2 Select the desired memory allocation level.
The following options are available:
■ High
Requires a higher amount of runtime memory; generally yields higher
detection accuracy (default setting).
■ Medium
■ Low
Requires less runtime memory; may result in lower detection accuracy.

3 Click Save to save the setting.

The Memory Setting display should reflect the adjustment you made.
4 Click Start Training to start the training process.
You must adjust the memory allocation before you train the VML profile. If
you have already trained the profile, retrain after adjusting this setting.
See “Training VML profiles” on page 486.
5 Verify the amount of memory required to run the VML profile.
After you train the VML profile, the system displays the Memory Required
(KB) value, which represents the minimum amount of memory required to
load the profile at runtime.
See “Managing VML profiles” on page 490.

Managing training set documents

As you train and tune a VML profile, you may need to adjust one or both of the
training sets. For example, if you reject a training profile, you will need to add or
remove example documents to improve the training accuracy rates.
See “About the base accuracy from training percentage rates” on page 479.
490 Detecting content using Vector Machine Learning (VML)
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To add documents to a training set

1 Click Manage Profile for the profile you want to edit.
The editable profile appears in the Temporary Workspace tab.
2 Click Upload Contents.
See “Uploading example documents for training” on page 484.
To remove documents from a training set
1 Click Manage Profile for the profile you want to edit.
The editable profile appears in the Temporary Workspace tab.
2 Click the red X in the Mark Removed column for the trained document you
want to remove.
The removed document appears in the Removed Documents table. Repeat
this process as necessary to remove all unwanted documents from the training
set.
3 Click Start Training to retrain the profile.
You must retrain and accept the updated profile to complete the document
removal process. If you do not accept the new profile the document you
attempted to remove remains part of the profile.
See “Training VML profiles” on page 486.
To revert removed documents
1 Click the revert icon in the Revert column for a document you have removed.
The document is added back to the training set.
2 Click Start Training to retrain the profile.
You must retrain the profile and reaccept it even though you reverted to the
original configuration.

Managing VML profiles

The Manage > Data Profiles > Vector Machine Learning screen is the home page
for managing existing VML profiles and the starting point for creating new VML
profiles.
See “Implementing Vector Machine Learning (VML)” on page 481.

Note: You must have Enforce Server administrator privileges to manage and create
VML profiles.
 Detecting content using Vector Machine Learning (VML) 491
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Table 1 Creating and managing VML profiles

Action Description

Create new Click New Profile to create a new VML profile.

profiles.
See “Creating new VML profiles” on page 483.

View and sort The system lists all existing VML profiles and their state at the Vector
profiles. Machine Learning screen.

Click the column header to sort the VML profiles by name or status.

Manage and train Select a VML profile from the list to display and manage it.
profiles.
The Current Profile tab displays the active profile.

See “Working with the Current Profile and Temporary Workspace tabs”
on page 483.

Click Manage Profile to edit the profile.

The editable profile appears in the Temporary Workspace tab. From
this tab you can:

■ Upload training set documents.

See “Uploading example documents for training” on page 484.
■ Train the profile.
See “Training VML profiles” on page 486.
■ Add and remove documents from the training sets.
See “Managing training set documents” on page 489.

Monitor profiles. The system lists and describes the status of all VML profiles.

■ Memory Required (KB)

The minimum amount of memory required to load the profile in
memory for detection.
See “Adjusting memory allocation” on page 488.
■ Status
The present status of the profile.
See Table 22-7 on page 492.
■ Deployment Status
The historical status of the profile.
See Table 22-8 on page 492.

Remove profiles. Click the X icon at the far right to delete an existing profile.

If you delete an existing profile, the system removes the profile

metadata and the Training Set from the Enforce Server.

The Status field displays the current state of each VML profile.
492 Detecting content using Vector Machine Learning (VML)
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Table 22-7 Status values for VML profiles

Status value Description

Accepted on <date> The date the training profile was accepted.

Managing The current profile is enabled for editing.

Empty The profile is created, but no content is uploaded.

Awaiting Acceptance The profile is ready to be accepted.

Canceling Training The system is in the process of canceling the training.

Training Canceled The training process is canceled.

Failed The training process failed.

Training <time> The training is in progress (for the time indicated).

The Deployment Status field indicates if the VML profile has ever been accepted
or not.

Table 22-8 Deployment Status values for VML profiles

Status value Description

Never Accepted The VML profile has never been accepted.

See “About using unaccepted VML profiles in policies”

on page 481.

Accepted on <date> The VML profile was accepted on the date indicated.

Changing names and descriptions for VML profiles

If necessary you can change the name of a VML profile or edit its description. For
example, when you are ready to deploy a VML profile to one or more policies, you
may want to give the profile a more self-describing name so policy authors can
easily recognize it.

Note: You do not have to retrain a profile if you change the name or description.
 Detecting content using Vector Machine Learning (VML) 493
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To change the VML profile name or description

1 Select the VML profile from the Manage > Data Profiles > Vector Machine
Learning screen.
See “Managing VML profiles” on page 490.
2 Click the Edit link beside the name of the VML profile.
3 Edit the name and description of the profile in the Change Name and
Description dialog that appears.
4 Click OK to save the changes to the VML profile name or description.
5 Verify the changes at the home screen for the VML profile.

Configuring the Detect using Vector Machine Learning Profile condition

Once you have trained and accepted the VML profile, you configure a VML policy
using the Detect using Vector Machine Learning Profile condition. This condition
references the VML profile to detect content that is similar to the example content
you have trained against.
See “Implementing Vector Machine Learning (VML)” on page 481.

Table 22-9 Configuring a VML policy rule

Step Action Description

Step 1 Create and train the VML See “Creating new VML profiles” on page 483.
profile.
See “Training VML profiles” on page 486.

See “About using unaccepted VML profiles in policies” on page 481.

Step 2 Configure a new or an existing See “Configuring policies” on page 370.

policy.

Step 3 Add the VML rule to the policy. From the Configure Policy screen:

■ Select Add Rule.

■ Select the Detect using Vector Machine Learning profile rule from
the list of content rules.
■ Select the VML profile you want to use from the drop-down menu.
■ Click Next.

Step 4 Configure the VML detection Name the rule and configure the rule severity.
rule.
See “Configuring policy rules” on page 374.
494 Detecting content using Vector Machine Learning (VML)
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Table 22-9 Configuring a VML policy rule (continued)

Step Action Description

Step 5 Select components to match Select one or both message components to Match On:
on.
■ Body, which is the content of the message
■ Attachments, which are any files transported by the message

Note: On the endpoint, the Symantec DLP Agent matches on the entire
message, not individual message components.

See “Selecting components to match on” on page 380.

Step 6 Configure additional Optionally, you can create a compound detection rule by adding more
conditions (optional). conditions to the rule.

To add additional conditions, select the desired condition from the

drop-down menu and click Add.
Note: All conditions must match for the rule to trigger an incident.

See “Configuring compound match conditions” on page 386.

Step 7 Save the policy configuration. Click OK then click Save to save the policy.

Configuring VML policy exceptions

In some situations, you may want to implement a VML policy exception to ignore
certain content.
See “Implementing Vector Machine Learning (VML)” on page 481.

Table 22-10 Configuring a VML policy exception

Step Action Description

Step 1 Create and train the VML See “Creating new VML profiles” on page 483.
profile.
See “Training VML profiles” on page 486.

Step 2 Configure a new or an existing See “Configuring policies” on page 370.

policy.

Step 3 Add a VML exception to the From the Configure Policy screen:
policy.
■ Select Add Exception.
■ Select the Detect using Vector Machine Learning profile exception
from the list of content exceptions.
■ Select the VML profile you want to use from the drop-down menu.
■ Click Next.
 Detecting content using Vector Machine Learning (VML) 495
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Table 22-10 Configuring a VML policy exception (continued)

Step Action Description

Step 4 Configure the policy exception. Name the exception.

Select the components you want to apply the exception to:

■ Entire Message
Select this option to compare the exception against the entire
message. If an exception is found anywhere in the message, the
exception is triggered and no matching occurs.
■ Matched Components Only
Select this option to match the exception against the same
component as the rule. For example, if the rule matches on the
Body and the exception occurs in an attachment, the exception is
not triggered.

Step 5 Configure the condition. Generally you can accept the default condition settings for policy
exceptions.

See “Configuring policy exceptions” on page 384.

Step 6 Save the policy configuration. Click OK then click Save to save the policy.

Adjusting the Similarity Threshold

You adjust the Similarity Threshold setting to tune the VML profile. The Similarity
Threshold determines how similar detected content must be to a VML profile to
produce an incident.
See “About the Similarity Threshold and Similarity Score” on page 480.

Note: You do not have to retrain the VML profile after you adjust the Similarity
Threshold, unless you modify a training set based on testing results.

To adjust the Current Value of the Similarity Threshold

1 Click Edit beside the Similarity Threshold label for the VML profile you want
to tune.
This action opens the Similarity Threshold dialog.
2 Drag the meter to the desired Curent Value setting.
You set the Similarity Threshold to a decimal value between 0 and 10. The
default value is 10, which produces fewer incidents; a setting of 0 produces
more incidents.
496 Detecting content using Vector Machine Learning (VML)
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3 Click Save to save the Similarity Threshold setting.

4 Test the VML profile using a VML policy.
Compare the Similarity Scores across matches. A detected message must
have a Similarity Score higher than the Similarity Threshold to produce an
incident. Make further adjustments to the Similarity Threshold setting as
necessary to optimize and fine-tune the VML profile.
See “Configuring the Detect using Vector Machine Learning Profile condition”
on page 493.

Testing and tuning VML profiles

You tune a VML profile by testing it with the Similarity Threshold set to 0. Once
you determine the possible range of Similarity Scores for false positives, you
adjust the Similarity Threshold to be just above the highest Similarity Score
reported by false positives. This is referred to as negative testing.
A good training set has a well-defined range where the Similarity Threshold is
set to achieve the best accuracy rates. A poor training set yields poor accuracy
results regardless of the Similarity Threshold. A Similarity Threshold that is set
too high or too low can result in a large number of false positives or false negatives.
To determine the proper Similarity Threshold setting, the recommendation is to
perform negative testing as described in the following steps.

Table 22-11 Steps for tuning VML profiles

Step Action Description

Step 1 Train the VML profile. Follow the recommendations set forth in this guide for defining the category
and uploading the training set documents. Adjust the memory allocation before
you train the profile. Refer to the Symantec Data Loss Prevention Administration
Guide for help performing the tasks involved.

Step 2 Set the Similarity The default Similarity Threshold is 10. At this value the system does not generate
Threshold to 0. any incidents. A setting of 0 produces the most amount of incidents, many of
which are likely to be false positives. The purpose of setting the value to 0 is to
see the entire range of potential matches and to tune the profile to be just above
the highest false positive score.

Step 3 Create a VML policy. Create a policy that references the VML profile you want to tune. The profile
must be accepted to be deployable to a policy.
 Detecting content using Vector Machine Learning (VML) 497
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Table 22-11 Steps for tuning VML profiles (continued)

Step Action Description

Step 4 Test the policy. Test the VML policy using a corpus of test data. For example, you can use the
DLP_Wikipedia_sample.zip file to test your VML policies against. Create
some mechanism to detect incidents, such as a Discover scan target of a local
file folder where you place the test data, or a DLP Agent scan of a copy/paste
operation.

Step 5 Review any incidents. Review any matches at the Incident Snapshot screen. Verify a relatively low
Similarity Score for each match. A relatively low Similarity Score indicates a
false positive. If one or more test documents produce a match with a relatively
high Similarity Score, you have a training set quality issue. In this case you need
to review the content and if appropriate add the document(s) to the positive
training set. You then need to retrain and retune the profile.

See “Log files for troubleshooting VML training and policy detection” on page 499.

Step 6 Adjust the Similarity By reviewing the incidents you should now be able to determine the highest
Threshold. Similarity Score among the detected false positives that you have tested the
profile against. At this point you can adjust the Similarity Threshold for the
profile to be just above the highest Similarity Score for the false positives.

For example, if the highest detected false positive has a Similarity Score of 4.5,
set the Similarity Threshold to 4.6. This will filter the known false positives
from being reported as incidents.

Properties for configuring training

VML includes several property files for configuring VML training and logging.
The following table lists and describes relevant VML configuration properties.

Table 22-12 Property files for VML

Property file at \Protect\config\ Description

MLDTraining.properties Main property file for configuring VML training settings.

See Table 22-13 on page 498.

Manager.properties Property file for the Enforce Server; contains 1 VML

setting.

See Table 22-14 on page 499.

MLDTrainingLogging.properties Properties file for configuring VML logging.

See “Log files for troubleshooting VML training and policy

detection” on page 499.
498 Detecting content using Vector Machine Learning (VML)
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The following table lists and describes the VML training parameters available for
configuration in properties file MLDTraining.properties.

Table 22-13 Relevant configuration parameters for VML training

Parameter Description

minimum_documents_per_category Specifies the minimum number of documents required

for each training set (positive and negative). The default
setting is 50. Reducing this number below 50 is not
recommended or supported.

See “Recommendations for training set definition”

on page 502.

mld_num_folds Specifies the number of folds to use for the k-fold

evaluation process. The default is 10.

Reducing this value will speed up the time the system

takes to train against the content because less folds will
be evaluated, but potentially at the sacrifice of visibility
into profile quality. There is no need to change this value,
unless you have a large number of example documents
(and thus the training sets are very large), and you know
for certain that you have a well-categorized overall
training set.

See “Recommendations for accepting or rejecting a

profile” on page 505.

minimum_features_to_keep Specifies the minimum number of features to keep for

the profile. The default setting is 1000.

Lowering this value can help reduce the size of the profile.
However, adjusting this setting is not recommended.
Instead, use the memory allocation setting to tune the
size of the profile.

See “Guidelines for profile sizing” on page 505.

significance_threshold Specifies the minimum number of times a word must

occur before it is considered a feature. The default is 2.

Increasing this value (to 3 or 4, for example) may help

reduce the size of the profile because fewer words will
qualify as features. In general you should not adjust this
setting unless setting the memory allocation to "Low"
does not produce a small enough profile for your
deployment requirements.

See “Guidelines for profile sizing” on page 505.

 Detecting content using Vector Machine Learning (VML) 499
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Table 22-13 Relevant configuration parameters for VML training (continued)

Parameter Description

stopword_file Specifies the default stopword file

\config\machinelearningconfig\stopwords.txt.

Stopwords are common words, such as articles and

prepositions. During training the system ignores (does
not consider for feature extraction) any word contained
in the stopwords file.

If you add words to be ignored, you must use all lower

case because VML feature extraction normalizes the
content to lower case for evaluation.

logging_config_file Specifies the configuration file for standard VML logging.

See “Log files for troubleshooting VML training and policy

detection” on page 499.

native_logging_config_file Specifies the configuration file for native VML logging.

See “Log files for troubleshooting VML training and policy

detection” on page 499.

The following parameter is available for configuration in properties file

MLDTraining.properties.

Table 22-14 Configuration parameter for VML profiles

Parameter Description

DEFAULT_SIMILARITY_THRESHOLD Establishes the default value for the Similarity Threshold,

which is 10. Changing this value affects the default value
only. You can adjust the value using the Enforce Server
administration console.

See “Testing and tuning VML profiles” on page 496.

Log files for troubleshooting VML training and policy detection

The system provides debug log files for troubleshooting the VML training process
and policy detection. The following table lists and describes the debug log files.
See “Troubleshooting policies” on page 396.
500 Detecting content using Vector Machine Learning (VML)
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Table 22-15 Debug log files for VML

Log file Description

machinelearning_training.log Records the accuracy from training percentage rates for each fold of the
evaluation process for each VML profile training run.

This log file is useful for examining the quality of each training set at a
granular, per-fold level.

See “Recommendations for accepting or rejecting a profile” on page 505.

machinelearning_native_filereader.log Records the "distance," which is expressed as a positive or negative number,

and the "confidence," which is a similarity percentage, for each message
evaluated by a VML policy.

This log file is useful for examining all messages or documents evaluated
by VML policies, including positive matches with similarity percentages
beneath the Similarity Threshold, or messages the system has categorized
as negative (expressed as a negative "distance" number).

See “Testing and tuning VML profiles” on page 496.

machinelearning_training_native_manager.log Records the total number of features modeled and the number of features
kept to generate the profile for each training run.
The total number of features modeled versus the number of features kept
for the profile depends on the memory allocation setting:

■ If "high" the system keeps 80% of the features.

■ If "medium" the system keeps 50% of the features.
■ If "low" the system keeps 30% of the features.

See “Guidelines for profile sizing” on page 505.

VML policy considerations

This section provides considerations for implementing VML policies, including
best practices for testing and tuning your VML policies. In addition, you can
download example VML training set documents from the DLP Knowledgebase
(https://kb-vontu.altiris.com), article number 54340. Where appropriate, the
considerations in this section describe how to use these example documents.
These documents are provided under the Creative Commons license
(http://creativecommons.org/licenses/by-sa/3.0/).

When to use VML

VML is designed to protect unstructured content that is primarily text-based.
VML is well-suited for protecting sensitive content that is highly distributed such
 Detecting content using Vector Machine Learning (VML) 501
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that gathering all of it for fingerprinting is not possible or practical. VML is also
well-suited for protecting sensitive content that you cannot adequately describe
and achieve high matching accuracy.
The following table summarizes the recommended uses cases for VML.

Table 22-16 Recommended uses for VML

Use VML when Explanation

It is not possible or practical Often collecting all of the content you want to protect for fingerprinting is an
to fingerprint all the data you impossible task. This situation arises for many forms of unstructured data: marketing
want to protect. materials, financial documents, patient records, product formulas, source code, and
so forth.

VML works well for this situation because you do not have to collect all of the content
you want to protect, only a smaller set of example documents.

You cannot adequately Often describing the data you want to protect is difficult without sacrificing some
describe the data you want to accuracy. This situation may arise when you have long keyword lists that are hard
protect. to generate, tune, and maintain.

VML works well in these situations because it automatically models the features
(keywords) you want to protect, and lets you easily manage and update the source
content.

A policy reports frequent Sometimes a certain category of information is a constant source of false positives.
false positives. For example, a weekly sales report may consistently produce false positives for a
Data Identifier policy looking for social security numbers.

VML may work well here because you can train against the content that causes the
false positives and create a policy exception to ignore those features.
Note: The false positive contents must belong to a well-defined category for VML to
be an effective solution for this use case. See “Recommendations for training set
definition” on page 502.

When not to use VML

VML is not designed to protect structured data, such as Personally Identifiable
Information (PII), or binary content, such as documents that contain mostly
graphics or image files.
The following table summarizes the non-recommended uses of VML.
502 Detecting content using Vector Machine Learning (VML)
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Table 22-17 Non-recommended uses for VML

Do not use VML to Explanation

Protect personally Exact Data Matching (EDM) and Data Identifiers are the best option for protecting
identifiable information (PII). the common types of PII.

Protect binary files and Indexed Document Matching (IDM) is the best option to protect content that is largely
images. binary, such as image files or CAD files.

Recommendations for training set definition

A VML category is the specific business use case from which you derive your
example documents for training the VML profile. The more specific the category
the better the detection results. For example, the category "Financial Documents"
is not recommended because it is too broad. A better category classification is
"Sales Forecasts" or "Quarterly Earnings" because each is particular to a specific
business use case.
A VML category contains two sets of training content: positive and negative. The
positive training set contains content you want to protect; the negative training
set contains content you want to ignore. You should derive both the positive and
negative training sets from the same category of content such that all documents
are thematically related.
While it is possible to use entirely generic content for the negative training set,
this is not recommended. A completely generic negative training set may produce
good design-time training accuracy rates, but it is likely that at runtime you will
not be able to detect the content you want to protect with sufficient accuracy.

Note: While a completely generic negative training set is not recommended,

seeding the negative training set with some neutral-content documents does have
value. See “Guidelines for training set sizing” on page 503.

The following table provides some example categories and possible positive and
negative training sets comprising those categories.

Table 22-18 Some example categories and training sets

Category Positive training set Negative training set

Product Source Code Proprietary product source code Source code from open source
projects

Product Formulas Proprietary product formulas Non-proprietary product information

 Detecting content using Vector Machine Learning (VML) 503
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Table 22-18 Some example categories and training sets (continued)

Category Positive training set Negative training set

Quarterly Earnings Pre-release earnings; sales estimates; Details of published annual accounts
accounting documents

Marketing Plans Marketing plans Published marketing collateral,

advertising copy

Medical Records Patient medical records Healthcare documents

Customer Sales Customer purchasing patterns Publicly available consumer data

Mergers and Acquisitions Confidential legal documents; M&A Publicly available materials; press
documents releases

Manufacturing Methods Proprietary manufacturing methods Industry standards

and research

Guidelines for training set sizing

VML is only as accurate as the example content you train. Unlike other detection
technologies, to use VML you do not have to locate all the data you want to protect,
nor do you have to describe it. But, you must select example documents that
accurately represent the type of content you want to protect, as well as content
you want to ignore that is thematically related to the positive content.
The more example documents you collect for training the more accurate the VML
profile will be. A well-defined category of content contains 500 example documents:
250 positive and 250 negative. The minimum number of documents per training
set is 50.
Ideally you will collect for training a similar number of negative documents as
positive. However, this is not always possible. Regardless of how many negative
documents you collect, you should seed the negative training set with generic or
neutral-content documents. The archive file DLP_Wikipedia_sample.zip that is
attached to this guide at the Knowledgebase is provided for this purpose. For
example, if your positive training set contains the recommended number of
example documents (250), and the negative training set contains 150 documents,
you could add 100 to 200 generic documents to your negative training set from
the DLP_Wikipedia_sample.zip archive file. Internal testing has shown that
adding generic content to complement an otherwise well-defined negative training
set can improve accuracy for VML.
If you cannot collect enough positive documents to meet the minimum
requirement, you can upload the under-sized training set multiple times. For
504 Detecting content using Vector Machine Learning (VML)
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example, consider a case where you have the category of content "Sales Forecasts."
For this category you have collected 25 positive spreadsheets and 50 negative
documents. In this case, you could upload the positive training set twice to reach
the minimum document threshold and equal the number of negative documents.
Note that you should use this technique for development and testing purposes
only. Production profiles should be trained against at least the minimum number
of documents for both training sets.
The table below lists the optimal, recommended, and minimum number of
documents to include in each training set.

Note: These training set guidelines assume an average document size of 3 KB. If
you have larger-sized documents, fewer in number may be sufficient.

Table 22-19 Training set size guidelines

Training set Minimum Recommended

Positive example documents 50 250

Negative example documents 50 250

Total number of documents for the

100 500
category

Recommendations for uploading documents for training

While you can upload individual documents to the Enforce Server for training, it
is recommended that you upload a document archive (ZIP, RAR, TAR) that contains
the example documents for each training set. The maximum upload size is 30 MB.
There is no training set size limit.
To gather the documents for training, it is recommended that you create a staging
area. For example, consider a category called "Sales Reports." In this case you
would create a folder called \VML\training_stage\sales_reports that represents
the category. Within this folder you would create two subfolders, one for the
positive training set and the other for the negative training set (for example:
\VML\training_stage\sales_reports\positive). When you are ready to train
the profile, you compress the positive subfolder and the negative subfolder into
separate document archives. You can partition the training set across archives if
you have more than 30 MB of data to upload for a training set. Do not embed an
archive within an archive.
 Detecting content using Vector Machine Learning (VML) 505
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Guidelines for profile sizing

Before you train a VML profile, you can adjust the amount of memory allocated
to the profile. The amount of memory you allocate determines how many features
the system models, which in turn affects the size of the profile. The higher the
memory allocation setting, the more in-depth the feature extraction and the
plotting of the model, and the larger the profile. In general, for server-based policy
detection, the recommended memory allocation setting is high, which is the default
setting.
On the endpoint, the VML profile is deployed to the host computer and loaded
into memory by the DLP Agent. (Unlike EDM and IDM, VML does not rely on
two-tier detection for endpoint policies.) Because memory on the endpoint is
limited, the recommendation is to allocate low or medium memory for endpoint
policies. Internal testing has shown that reducing the memory allocation does
not reduce the accuracy of the profile and may improve accuracy in certain
situations.

Table 22-20 Memory allocation recommendations

Memory allocation Description

High Default setting generally appropriate for server-based detection.

Medium Use this setting to reduce the size of the profile.

Low Use this setting for endpoint detection.

Recommendations for accepting or rejecting a profile

When you train a VML profile against the category content, the system selects
features, creates the model, and calculates the base accuracy rates for false
positives and negatives. Base accuracy rates are calculated using a standard and
generally accepted process called k-folds evaluation. The base accuracy rates
provide you with an early indicator of the quality of your category training sets.
To illustrate how the k-folds evaluation process works, assume that you have a
category with 500 total example documents: 250 positive and 250 negative. During
the training run, the system divides the training set into 10 folds, each of which
are distinct subsets of the overall training set and contain both positive and
negative example documents. The system uses nine folds to generate a VML
profile, and one fold to test the profile. Any of the folds can become the test fold
for the first round of evaluation. For the next round, the next fold in the queue
becomes the test fold. This process repeats for all 10 folds. The system performs
a final training run called the cross-fold, averages the results of all folds, and
generates the final model.
506 Detecting content using Vector Machine Learning (VML)
VML policy considerations

On successful completion of the training process, the system displays the averaged
accuracy rates and prompts you to accept or reject the training profile. The false
positive accuracy rate is the percentage of negative test documents misclassified
as positive. The false negative rate is the percentage of positive test documents
that are misclassified as negative. As a general guideline, you should reject the
training profile if either rate is more than 5%.

Note: You can use the log file machinelearning_training.log to evaluate per-fold
training accuracy rates.
See “Log files for troubleshooting VML training and policy detection” on page 499.

Guidelines for accepting or rejecting training results

You decide to accept or reject a training profile based on the false positive and
false negative percentages that the system displays to you at the end of the training
process.
See “About the Similarity Threshold and Similarity Score” on page 480.
To better understand how the system calculates the Machine Learning Profile
training set accuracy rates, consider the following example.
You have a training set that includes 1000 documents, 500 positive and 500
negative. When you train the profile, the system takes 90% of the documents,
extracts the features, and creates a model. It takes the remaining 10% of the
documents and evaluates their features against the model for similarity, producing
false positive and false negative accuracy rates. This process is known as the
"fold." For each training set, the system evaluates ten folds, each time comparing
a different 10% of the documents against the 90%. At the end of the cycle, the
system performs a cross-fold evaluation of all ten folds and produces an average
accuracy percentage rate for both the positive and negetaive categories.
Continuing the example, assume the result of the training process yields a base
false positive rate of approximately 1.2% and a base false negative rate of
approximately 1%. This means that, on average, 1.2% of the negative documents
in the training set are miscategorized as positive, and 1% of the documents in the
training set are miscategorized as negative. While the goal is 0% for both rates,
in general a percentage rate below 5% for each category is acceptable.
However, since, the percentages produced at the end of the training process are
averages across the 10 folds, rather than relying on the general 5% rule of thumb,
the better practice is to review the percentage rate results for each fold. To do
this, examine the log file \Vontu\Protect\logs\debug\mld0.log. As shown below,
the individual fold rates give a reading for each of the ten folds on which you can
base your decision to accept or reject the profile.
 Detecting content using Vector Machine Learning (VML) 507
VML policy considerations

Table 22-21 Training set accuracy evaluation process

Fold evaluation Per fold category accuracy rates and cross-fold averages

Fold 0 false positive rate 2.013422727584839 false negative rate 0.0

Fold 1 false positive rate 1.3513513803482056 false negative rate 1.7857142686843872

Fold 2 false positive rate 1.3513513803482056 false negative rate 0.8928571343421936

Fold 3 false positive rate 1.3513513803482056 false negative rate 1.7857142686843872

Fold 4 false positive rate 1.3513513803482056 false negative rate 0.8928571343421936

Fold 5 false positive rate 1.3513513803482056 false negative rate 2.6785714626312256

Fold 6 false positive rate 0.0 false negative rate 0.0

Fold 7 false positive rate 0.6756756901741028 false negative rate 0.0

Fold 8 false positive rate 1.3513513803482056 false negative rate 0.8928571343421936

Fold 9 false positive rate 1.3513513803482056 false negative rate 1.8018018007278442

Cross-fold Avg False Positive Rate 1.214855808019638 Avg False Negative Rate
1.0730373203754424

Recommendations for deploying profiles

Accepted VML profiles are transferred to every detection server and Symantec
DLP Agent even if those profiles are not required by the active policies on that
server or endpoint. Detection servers load all VML profiles into memory regardless
of whether or not any associated VML policies are deployed to those servers. DLP
Agents only load the VML profiles that are required by an active policy. To optimize
server performance, it is recommended not to deploy (accept) unnecessary VML
profiles and remove any accepted (deployed) VML profiles that are not required
by active policies.
In addition, when you change the Similarity Threshold, the system re-syncs the
entire profile with the detection servers and DLP Agents. If you have a large VML
profile and possible bandwidth limitations (for example, deployment to many
endpoints), this may cause network congestion. In this case you should test and
tune the profile at a select few endpoints before deploying the profile into
production at every endpoint on your network.
508 Detecting content using Vector Machine Learning (VML)
VML policy considerations
 Chapter 23
Detecting content using
Data Identifiers
This chapter includes the following topics:

■ About Data Identifiers

■ Implementing system-defined Data Identifiers

■ Implementing custom Data Identifiers

■ Data Identifier policy considerations

About Data Identifiers

Symantec Data Loss Prevention provides Data Identifiers to detect specific
instances of described content. Data Identifiers let you quickly implement precise,
short-form data matching with minimal effort.
Data Identifiers are algorithms that combine pattern matching with data validators
to detect content. Patterns are similar to regular expressions but more efficient
because they are tuned to match the data precisely. Validators are accuracy checks
that focus the scope of detection and ensure compliance.
For example, the "Credit Card Number" system Data Identifier detects numbers
that match a specific pattern. The matched pattern is validated by a "Luhn check,"
which is an algorithm. In this case the validation is performed on the first 15
digits of the number that evaluates to equal the 16th digit.
Symantec Data Loss Prevention provides preconfigured Data Identifiers that you
can use to detect commonly used sensitive data, such as credit card, social security,
and driver's license numbers. Data Identifiers come in three breadths—wide,
medium, and narrow—so you can fine-tune your detection results. Data Identifiers
offer broad support for detecting international content.
510 Detecting content using Data Identifiers
About Data Identifiers

See “Selecting system Data Identifier breadth” on page 530.

If a system-defined Data Identifier does not meet your needs, you can modify it.
You can also define your own custom Data Identifiers to detect any content that
you can describe.

Table 23-1 Categories of Data Identifiers

Category Description

Personal Identity Detect various types of identification numbers for the regions of North America, Europe,
and Asia Pacific.

See Table 23-2 on page 511.

See Table 23-6 on page 512.

See Table 23-7 on page 513.

Financial Detect financial identification numbers, such as credit card numbers and ABA routing
numbers.

See Table 23-3 on page 511.

Healthcare Detect U.S. and international drug codes.

See Table 23-4 on page 512.

Information Detect IP addresses.

Technology
See Table 23-5 on page 512.

International Detect and validate common international content using keywords.

Keywords
See “Using find keywords for international system data identifiers” on page 615.

Modified System-defined Data Identifiers that you modify.

See “About modifying Data Identifiers” on page 517.

Custom User-defined Data Identifiers.

See “Implementing custom Data Identifiers” on page 537.

Available system Data Identifiers

Symantec Data Loss Prevention provides 36 system-defined Data Identifiers to
help you accurately detect and validate pattern-based sensitive data.
 Detecting content using Data Identifiers 511
About Data Identifiers

Table 23-2 North American personal identity

Data identifier Description

US Social Security Number (SSN) See “US Social Security Number (SSN) data identifier”
on page 718.

Canadian Social Insurance Number See “Canadian Social Insurance Number data identifier”
on page 663.

US Individual Tax ID Number (ITIN) See “UK Tax ID Number data identifier” on page 713.

Driver's License Number – CA State See “Drivers License Number – CA State data identifier”
on page 676.

Driver's License Number – IL State See “Drivers License Number - IL State data identifier”
on page 679.

Driver's License Number – NJ State See “Drivers License Number - NJ State data identifier”
on page 681.

Driver's License Number – NY State See “Drivers License Number - NY State data identifier”
on page 682.

Driver's License Number – FL, MI, MN States See “Drivers License Number - FL, MI, MN States data
identifier” on page 677.

Table 23-3 Financial

Data identifier Description

Credit Card Number See “Credit Card Number data identifier” on page 668.

ABA Routing Number See “ABA Routing Number data identifier” on page 658.

CUSIP Number See “CUSIP Number data identifier” on page 674.

SWIFT Code See “SWIFT Code data identifier” on page 700.

Credit Card Magnetic Stripe Data See “Credit Card Magnetic Stripe Data data identifier”
on page 666.

IBAN West See “IBAN West data identifier” on page 690.

IBAN Central See “IBAN Central data identifier” on page 685.

IBAN East See “IBAN East data identifier” on page 687.

512 Detecting content using Data Identifiers
About Data Identifiers

Table 23-4 Healthcare

Data identifier Description

National Drug Code See “National Drug Code (NDC) data identifier”
on page 694.

Australian Medicare Number See “Australian Medicare Number data identifier”

on page 661.

Table 23-5 Information technology

Data identifier Description

IP Address See “IP Address data identifier” on page 692.

Table 23-6 European personal identity

Data identifier Description

Codice Fiscale See “Codice Fiscale data identifier” on page 665.

Spanish DNI ID See “Spanish DNI ID data identifier” on page 699.

Burgerservicenummer See “Burgerservicenummer data identifier” on page 662.

UK Driver's License Number See “UK Drivers License Number data identifier”
on page 703.

UK Tax ID Number See “UK Tax ID Number data identifier” on page 713.

UK Passport Number See “UK Passport Number data identifier” on page 711.

UK National Insurance Number See “UK National Insurance Number data identifier”
on page 708.

UK National Health Service (NHS) Number See “UK National Health Service (NHS) Number data
identifier” on page 706.

UK Electoral Roll Number See “UK Electoral Roll Number data identifier”
on page 705.

French INSEE Code See “French INSEE Code data identifier” on page 684.

Swiss AHV Number See “Swiss AHV Number data identifier” on page 702.
 Detecting content using Data Identifiers 513
About Data Identifiers

Table 23-7 Asia Pacific personal identity

Data identifier Description

Australian Tax File Number See “Australian Tax File Number data identifier”
on page 662.

People's Republic of China ID See “People's Republic of China ID data identifier”

on page 697.

Hong Kong ID See “Hong Kong ID data identifier” on page 684.

Singapore NRIC See “Singapore NRIC data identifier” on page 697.

South Korean Resident Registration Number See “South Korea Resident Registration Number data
identifier” on page 698.

Taiwan ID See “Taiwan ID data identifier” on page 702.

About Data Identifier breadths

System Data Identifiers are implemented by breadth. The breadth defines the
scope of detection for that Data Identifier. Each Data Identifier implements at
least one breadth of detection. The widest option available for the Data Identifier
is likely to produce the most false positive matches; the narrowest option produces
the least. Generally the validators and often the patterns differ among breadths.
See Table 23-8 on page 513.
For example, the US Social Security Number (SSN) Data Identifier provides three
breadths of detection: wide, medium, and narrow. The Driver's License Number
– CA State system Data Identifier provides wide and medium breadths. In both
cases the narrowest breadth implements a keyword validator.

Note: Not all system Data Identifiers provide each breadth of detection. Refer to
the complete list of Data Identifiers and breadths to determine what is available.
See “Selecting system Data Identifier breadth” on page 530.

Table 23-8 Available rule breadths for system Data Identifiers

Breadth Description

Wide The wide breadth defines a single or multiple patterns to create the greatest number of matches.
In general this breadth produces a higher rate of false positives than the medium and narrow
breadths.
514 Detecting content using Data Identifiers
About Data Identifiers

Table 23-8 Available rule breadths for system Data Identifiers (continued)

Breadth Description

Medium The medium breadth may refine the detection pattern(s) and/or add one or more data validators
to limit the number of matches.

Narrow The narrow breadth offers the tightest patterns and strictest validation to provide the most
accurate positive matches. In general this option requires the presence of a keyword or other
validating restriction to trigger a match.

About optional validators

Optional validators help you refine the scope of detection for a Data Identifier.
When you configure a Data Identifier instance, you can select among five optional
validators.
See Table 23-9 on page 514.
The type of characters accepted by each optional validator depends on the Data
Identifier.
See “Acceptable characters for optional validators” on page 515.

Note: Optional validators only apply to the policy instance you are actively
configuring; they do not apply system-wide.

Table 23-9 Available optional validators for policy instances

Optional validator Description

Require beginning Match the characters that begin (lead) the matched data item.
characters
For example, for the CA Drivers License Data Identifier, you could require the beginning
character to be the letter "C." In this case the engine matches a license number C6457291.

See “Acceptable characters for optional validators” on page 515.

Require ending Match the characters that end (trail) the matched data item.
characters
See “Acceptable characters for optional validators” on page 515.

Exclude beginning Exclude from matching characters that being (lead) the matched data.
characters
See “Acceptable characters for optional validators” on page 515.

Exclude ending Exclude from matching the characters that end (trail) the matched data item.
characters
See “Acceptable characters for optional validators” on page 515.
 Detecting content using Data Identifiers 515
About Data Identifiers

Table 23-9 Available optional validators for policy instances (continued)

Optional validator Description

Find keywords Match one or more keywords or key phrases in addition to the matched data item.

The keyword must be detected in the same message component as the Data Identifier
content to repot a match.

See “About cross-component matching for Data Identifiers” on page 517.

This optional validator accepts any characters (numbers, letters, others).

See “Acceptable characters for optional validators” on page 515.

Acceptable characters for optional validators

Each optional validator requires you to enter in some data values. You must enter
the appropriate type of data.
See “About optional validators” on page 514.
The type of data expected by the optional validator depends on the Data Identifier.
Most Data Identifier/optional validator pairings accept numbers only; some accept
alphanumeric values, and a few accept any characters. If you enter unacceptable
input and attempt to save the policy, the system reports an error.
See “Configuring optional validators” on page 533.

Note: The Find keyword optional validator accepts any characters as values for
all Data Identifiers.

Table 23-10 Acceptable characters for optional validators

Data Identifier Require ending Exclude ending Require Exclude beginning

characters characters beginning characters
characters

US Social Security Number (SSN) Numbers only

Canadian Social Insurance Number Numbers only

US Individual Tax Identification Numbers only

Number (ITIN)

Driver's License Number – CA State Numbers only Any characters (normalized to lowercase)

Driver's License Number – IL State Numbers only Any characters (normalized to lowercase)

Driver's License Number – NJ State Numbers only Any characters (normalized to lowercase)
516 Detecting content using Data Identifiers
About Data Identifiers

Table 23-10 Acceptable characters for optional validators (continued)

Data Identifier Require ending Exclude ending Require Exclude beginning

characters characters beginning characters
characters

Driver's License Number – NY State Numbers only

Driver's License Number – FL, MI, Numbers only Any characters (normalized to lowercase)
MN States

Credit Card Number Numbers only

ABA Routing Number Numbers only

CUSIP Number Numbers only

SWIFT Code Alphanumeric (numbers or letters)

Credit Card Magnetic Stripe Data Numbers only

IBAN West Alphanumeric (numbers or letters)

IBAN Central Alphanumeric (numbers or letters)

IBAN East Alphanumeric (numbers or letters)

National Drug Code Numbers only

Australian Medicare Number Numbers only

IP Address Any characters

Codice Fiscale Numbers only

Spanish DNI ID Numbers only

Burgerservicenummer Numbers only

UK Driver's License Number Alphanumeric (normalized to lowercase)

UK Tax ID Number Numbers only

UK Passport Number Numbers only

UK National Insurance Number Alphanumeric (normalized to lowercase)

UK National Health Service (NHS) Numbers only

Number

UK Electoral Roll Number Numbers only Any characters (normalized to lowercase)

French INSEE Code Numbers only

 Detecting content using Data Identifiers 517
About Data Identifiers

Table 23-10 Acceptable characters for optional validators (continued)

Data Identifier Require ending Exclude ending Require Exclude beginning

characters characters beginning characters
characters

Swiss AHV Number Numbers only

Australian Tax File Number Numbers only

People's Republic of China ID Numbers only

Hong Kong ID Numbers only

Singapore NRIC Numbers only

South Korean Resident Registration Numbers only

Number

Taiwan ID Numbers only

About cross-component matching for Data Identifiers

Data Identifiers support component matching. This means that you can configure
Data Identifiers to match on one or more message components. However, if the
Data Identifier implements a validator (optional or required), such as Find
keywords, the validated data and the matched data must exist in the same
component to trigger or except an incident.
See “Detection messages and message components” on page 349.
For example, consider a scenario where you implement the narrow breadth edition
of the US Social Security Number (SSN) Data Identifier. This Data Identifier detects
on various 9-digits patterns and uses a keyword validator to narrow the scope of
detection. (The keyword and phrases in the list are "social security number, ssn,
ss#"). If the detection engine receives a message with the number pattern
123-45-6789 and the keyword "social security number" and both data items are
contained in the message attachment component, the detection engine reports a
match. However, if the attachment contains the number but the body contains
the keyword validator, the detection engine does not consider this to be a match.
See “Configuring the Content Matches Data Identifier condition” on page 528.

About modifying Data Identifiers

You can modify Data Identifiers to suit your requirements. You can modify the
system-defined Data Identifiers, and any custom Data Identifiers that you have
created. Any modification you make to a Data Identifier takes effect system wide.
518 Detecting content using Data Identifiers
About Data Identifiers

This means the modifications apply to any policy that declares the modified Data
Identifier.
See “Modifying and creating Data Identifiers” on page 535.
The most common use case for modifying a system-defined Data Identifier is to
edit the data input for a validator that accepts data input. For example, if the Data
Identifier implements the "Find keywords" validator, you may want to add or
remove values from the list of keywords.
See “Editing required validator input” on page 536.
Another use case may involve adding or removing validators to or from the Data
Identifier, or changing one or more of the patterns defined by the Data Identifier
There is no way to automatically revert a Data Identifier to its original
configuration once it is modified. Before you modify a system Data Identifier, you
should consider manually cloning it.
See “Manually cloning a system Data Identifier before modifying it” on page 536.
The system does not include modified Data Identifiers in policies exported as
templates. Before modifying a system Data Identifier, export any policies that
declare it.

About Data Identifier patterns

Data Identifiers implement patterns to match data. The Data Identifier pattern
syntax is similar to the regular expression language, but more limited. For example,
the Data Identifier pattern syntax does not support some regular expression
features, including grouping, lookahead and lookbehind expressions, and many
special characters (notably the dot "." character). In addition, the system only
allows the use of ASCII characters for Data Identifier patterns.
See “About pattern language limitations for Data Identifiers” on page 519.
When you edit a system Data Identifier, the system exposes the pattern for viewing
and editing. The system-defined Data Identifier patterns have been tuned and
optimized for precise content matching.
See “Selecting system Data Identifier breadth” on page 530.
In addition, you can create a custom Data Identifier in which case you are required
to implement at least one pattern. The best way to understand how to write
patterns is to examine the system-defined Data Identifier patterns.
See “Writing patterns to match data” on page 538.
 Detecting content using Data Identifiers 519
About Data Identifiers

About pattern language limitations for Data Identifiers

The Data Identifier pattern language is a limited subset of the regular expression
lexicon. The Data Identifier pattern language does not support all of the regular
expressions characters and constructs. A regular expression pattern converted
to a Data Identifier pattern will require some syntactical modifications.
The table below lists the known differences between regular expressions and the
Data Identifier pattern language.

Table 23-11 Data Identifier pattern language limitations

Character Description

* The asterisk (*), pipe (|), and doe (.) characters are not supported for Data Identifier
patterns.
|

\w The \w construct cannot be used to match the underscore character (_).

\s The \s construct cannot be used to match a whitespace character; instead, use an actual
whitespace.

\d For digits, use the construct \d.

Grouping Grouping only works at the beginning of the pattern, for example:

\d{4} – 2049 does not work; instead use 2049 – \d{4}

\d{2} /19 \d{2} does not work; instead use \d{2} /[1][9] \d{2}

Groupings are allowed at the beginning of the pattern, like in the credit card Data
Identifier.

About data validators

Validators are validation checks applied to data matched by a Data Identifier
pattern. Validators help refine the scope of detection and reduce false positives.
Many validators allow for data input. For example, the Keyword validator lets you
enter a list of keywords.
See Table 23-12 on page 520.
When you modify a Data Identifier, you can edit the input values for any validator
that accepts data. Validators marked with an asterisk (*) beside the name in the
table below require data input.
See “Editing required validator input” on page 536.
520 Detecting content using Data Identifiers
About Data Identifiers

When you modify a Data Identifier, you can add and remove data validators. When
you create custom Data Identifiers, you can configure one or more validators. The
system also provides you with the ability to author a custom script validator to
define your own validation check.
See “Selecting required data validators” on page 539.

Table 23-12 Available validators for system and custom Data Identifiers

Validator Description

ABA Checksum Every ABA routing number must start with the following two digits:
00-15,21-32,61-72,80 and pass an ABA specific, position-weighted check sum.

Advanced KRRN Validation Validates that 3rd and 4th digit are a valid month, that 5th and 6th digit a valid
day, and the checksum matches the check digit.

Advanced SSN Validator checks whether SSN contains zeros in any group, the area number (first
group) is less than 773 and not 666, the delimiter between the groups is the same,
the number does not consist of all the same digits, and the number is not reserved
for advertising (123-45-6789, 987-65-432x).

Australian Tax File validation Computes the checksum and validates the pattern against it.
check

Basic SSN Performs minimal SSN validation.

Burgerservicenummer Check Performs a check for the Burgerservicenummer.

China ID checksum validator Computes the checksum and validates the pattern against it.

Codice Fiscale Control Key Computes the control key and checks if it is valid.
Check

Cusip Validation Validator checks for invalid CUSIP ranges and computes the CUSIP checksum
(Modulus 10 Double Add Double algorithm).

Custom Script* Enter a custom script to validate pattern matches for this Data Identifier breadth.

See “Creating custom script validators” on page 540.

DNI control key check Computes the control key and checks if it is valid.

Duplicate digits Ensures that a string of digits are not all the same.

Exact Match* Enter a comma-separated list of values. If the values are numeric, do NOT enter
any dashes or other separators. Each value can be of any length.

Exclude beginning characters* Enter a comma-separated list of values. If the values are numeric, do NOT enter
any dashes or other separators. Each value can be of any length.
 Detecting content using Data Identifiers 521
About Data Identifiers

Table 23-12 Available validators for system and custom Data Identifiers
(continued)

Validator Description

Exclude ending characters* Enter a comma-separated list of values. If the values are numeric, do NOT enter
any dashes or other separators. Each value can be of any length.

Exclude exact match* Enter a comma-separated list of values. Each value can be of any length.

Exclude prefix* Enter a comma-separated list of values. Each value can be of any length.

Exclude suffix* Enter a comma-separated list of values. Each value can be of any length.

Find keywords* Enter a comma-separated list of values. Each value can be of any length.

Hong Kong ID Computes the checksum and validates the pattern against it.

INSEE Control Key Validator computes the INSEE control key and compares it to the last 2 digits of
the pattern.

IP Basic Check Every IP address must match the format x.x.x.x and every number must be less
than 256.

IP Octet Check Every IP address must match the format x.x.x.x, every number must be less than
256, and no IP address can contain only single-digit numbers (1.1.1.2).

IP Reserved Range Check Checks whether the IP address falls into any of the "Bogons" ranges. If so the match
is invalid.

Luhn check Validator computes the Luhn checksum which every Canadian Insurance Number
must pass.

Mod 97 Validator Computes the ISO 7064 Mod 97-10 checksum of the complete match.

No Validation Performs no validation.

Number Delimiter Validates a match by checking the surrounding digits.

Require beginning characters* Enter a comma-separated list of values. If the values are numeric, do NOT enter
any dashes or other separators. Each value can be of any length.

Require ending characters* Enter a comma-separated list of values. If the values are numeric, do NOT enter
any dashes or other separators. Each value can be of any length.

Singapore NRIC Computes the Singapore NRIC checksum and validates the pattern against it.

SSN Area-Group number For a given area number (first group), not all group numbers (second group) might
have been assigned by the SSA. Validator eliminates SSNs with invalid group
numbers.

Swiss AHV Swiss AHV Modulus 11 Checksum.

522 Detecting content using Data Identifiers
About Data Identifiers

Table 23-12 Available validators for system and custom Data Identifiers
(continued)

Validator Description

Taiwan ID Taiwan ID checksum.

UK Drivers License Every UK drivers license must be 16 characters and the number at the 8th and 9th
position must be larger than 00 and smaller than 32.

UK NHS UK NHS checksum.

About custom Data Identifiers

You can define your own Data Identifiers. To create a custom Data Identifier, you
implement one or more detection pattern(s), select one or more data validators
(optional), provide the data input if the validator requires it, and choose a data
normalizer.
Once configured, policy authors can use custom Data Identifiers in one or more
policies.
See “Implementing custom Data Identifiers” on page 537.

Table 23-13 Custom Data Identifier components

Component Description

Patterns Define one or more regular expression patterns, separated by line breaks.

Validators Add or remove validators to perform validation checks on the data detected by the
pattern(s).

Data Entry Provide comma separated data values for any validators that require data input.

Normalizer Select a normalizer to standardize the data before matching against it.

About data normalizers

When you create a custom Data Identifier, you must select a normalizer to reconcile
the data detected by the pattern with the format expected by the validators.
Table 23-14 lists and describes the normalizers you can implement for custom
Data Identifiers.

Note: You cannot modify the normalizer of a system-defined Data Identifier.

 Detecting content using Data Identifiers 523
About Data Identifiers

Table 23-14 Available data normalizers

Normalizer Description

Digits Only numeric characters are allowed.

Digits and Letters Alphanumeric characters are allowed.

Lowercase Only letters are allowed, normalized to lowercase.

Swift codes Code must match SWIFT requirements.

Do nothing The data is not normalized, evaluated as entered by the user.

About Data Identifier configuration

You can configure three types of Data Identifiers:
■ Instance – defined at the policy level
■ Modified – configured at the system-level
■ Custom – created at the system-level
The type of Data Identifier you implement depends on your business requirements.
For most use cases, configuring a policy instance using a non-modified,
system-defined Data Identifier is sufficient to accurately detect data loss. Should
you need to, you can extend a system-defined Data Identifier by modifying it, or
you can implement one or more custom Data Identifiers to detect unique data

Note: The system does export modified and custom Data Identifiers in a policy
template. The system exports a reference to a system Data Identifier. The target
system where the policy template is imported provides the actual Data Identifier.

Data identifier configuration done at the policy instance-level is specific to that

policy.
See “Configuring the Content Matches Data Identifier condition” on page 528.
524 Detecting content using Data Identifiers
About Data Identifiers

Table 23-15 Policy instance configuration options

Selectable at the policy level Not configurable

■ Breadth ■ Patterns
You can implement any breadth the Data Identifier You cannot modify the match patterns at the instance
supports at the instance level. level.
■ Optional Validators ■ Active Validators
You can select one or more optional validators at You cannot modify, add, or remove required validators
the instance level. at the instance level.

The system lets you modify system-defined Data Identifiers, but you cannot delete
them. Any modifications you make to the configuration of a system-defined Data
Identifier take effect system-wide. This means that the modifications apply to
any policies that actively or subsequently declare the Data Identifier.
See “Modifying and creating Data Identifiers” on page 535.

Table 23-16 System Data Identifier modification options

Modifiable at the system level Not configurable

■ Patterns ■ Name, Description, and Category

You can edit one or more Data Identifier patterns You cannot modify the name, description, or category
at the system level. of a system Data Identifier.
■ Active Validators ■ Breadth
You can add or remove required validators at the You cannot define a new detection breadth for a system
system level. Data Identifier; you can only modify an existing breadth.
■ Data Entry ■ Optional Validators
You can edit the input of an active validator for a You cannot define optional validators at the system level.
system Data Identifier. You can only configure optional validators at the policy
level.
■ Data Normalizer
You cannot modify the type of data normalizer
implemented by a system Data Identifier.
■ Delete
You cannot delete a system Data Identifier.

You can create and delete one or more custom Data Identifiers. A custom Data
Identifier can be used across policies. Changes made to a custom Data Identifier
at the system-level affect any policies that actively or subsequently declare the
custom Data Identifier.
See “Implementing custom Data Identifiers” on page 537.
 Detecting content using Data Identifiers 525
About Data Identifiers

Table 23-17 Custom Data Identifier implementation options

Configurable at the custom level Not configurable

■ Name and Description ■ Category

You must give a custom Data Identifier a unique The system assigns a custom Data Identifier to the
name. Custom category. You cannot change this setting.
It is good practice to provide a description for the ■ Breadth
custom Data Identifier. The system assigns a custom Data Identifier to the Wide
You can change the name or description of a rule breadth. You cannot change this setting.
custom Data Identifier when you modify it. ■ Optional Validators
■ Patterns Custom Data Identifiers support all optional validators,
You must define at least one pattern for the custom but they are configured at the policy instance level.
Data Identifier to be valid.
■ Active Validators
You can add one or more required validators to a
custom Data Identifier.
■ Data Entry
You can edit the input of an active validator that
accepts data input.
■ Data Normalizer
You must select a data normalizer when defining
a custom Data Identifier.

About unique match counting for Data Identifiers

With Symantec Data Loss Prevention version 11.6 or later, when you define a new
Data Identifier rule, Count all unqiue matches is the default method for counting
matches. As the name indicates, this option counts only those pattern matches
that are unique.
Unique match counting is useful when you are only concerned with detecting the
presence of unique patterns and not with detecting every matched pattern. For
example, you could use unique match counting to trigger an incident if a document
contains 10 or more unique social security numbers. In this case, if a document
contained 10 instances of the same social security number, the policy would not
trigger an incident.
The following table describes unique match counting characteristics.
526 Detecting content using Data Identifiers
About Data Identifiers

Table 23-18 Unique match counting characteristics

Unique match counting Description

characteristic

First match is unique A unique match is the first match found in a message component.

See “Detection messages and message components” on page 349.

Match count updated for each The match count is incremented by 1 for each unique pattern match.
unique match

Only unique matches are Duplicate matches are neither counted nor highlighted at the Incident Snapshot
highlighted screen

See “Remediating incidents” on page 868.

Uniqueness does not span message For example, if the same SSN appears in both the message body and
components attachment, two unique matches will be generated, not one. This is because
each instance is detected in a separate message component.

Compound rule with Data Identifier In a compound rule combining a Data Identifier condition with a keyword
and keyword proximity conditions condition that specifies keyword proximity logic, the reported match will not
be the first match found, but the first match within the distance of the keyword
proximity range.

No backward combatability Unique match counting is only available for policies configured using version
11.6 or later Enforce Server. In addition, only version 11.6 or later Detection
Servers and DLP Agents can run policies containing unique match counting.

See “Implementing unique match counting for Data Identifiers” on page 534.

About the change to randomized US SSNs

In 2009, researchers from Carnegie Mellon University released a study showing
that they were able to guess, with reasonable accuracy, a person's Social Security
Number (SSN) based on their birth place and birth date. In response to this and
increased concerns about identity theft, the United States Social Security
Administration (SSA) began developing a new scheme for issuing SSNs.
The SSA began issuing "randomized SSNs" leveraging this new scheme on June
25th, 2011. The high group number (second part of the SSN) no longer corresponds
to the area number (first part of the SSN). Also, the range of the area number can
go up to 899 instead of 773.
Any organization that stores, processes, or transmits SSNs will be impacted by
the change to SSN randomization. Industries that may be impacted in the near-
term include Financial Services, Insurance, Health Care, Education and
 Detecting content using Data Identifiers 527
Implementing system-defined Data Identifiers

Government. This includes a majority of Symantec Data Loss Prevention customers

in the United States who monitor SSNs using the SSN Data Identifier.
The new randomization method applies to individuals who are issued SSNs on or
after June 25, 2011 and requires a you to implement a custom Data Identifier in
Symantec Data Loss Prevention. It does not affect or apply to existing SSNs. The
short-term risk of false negatives is low to moderate as randomization applies
primarily to newborns, naturalized citizens, and temporary workers, students,
and visitors.
To address the change to randomization, existing Symantec Data Loss Prevention
customers should implement a new custom Data Identifier that can be used to
detect SSNs issued according to the new "randomization" scheme from the SSA.
See “US SSN – Randomized custom Data Identifier” on page 722.
See “Recommendations for using the US SSN - Randomized custom DI” on page 546.
See “US SSN – Randomized custom Data Identifier” on page 722.

Implementing system-defined Data Identifiers

Table 23-19 describes the workflow for implementing system-defined Data
Identifiers.

Table 23-19 Workflow for implementing Data Identifiers

Step Action Description

1 Decide the type of See “About Data Identifiers” on page 509.

Data Identifier you
want to implement.

2 Decide the Data See “About Data Identifier breadths” on page 513.
Identifier breadth.

3 Configure the Data See “Configuring the Content Matches Data Identifier
Identifier. condition” on page 528.

4 Test and tune the See “Data Identifier policy considerations” on page 543.
Data Identifier
policy.

Manage and add Data Identifiers

The Manage > Policies > Data Identifiers screen lists all Data Identifiers, including
system- and custom-defined. From this screen you manage and modify existing
Data Identifiers, and add new ones.
528 Detecting content using Data Identifiers
Implementing system-defined Data Identifiers

See “About Data Identifiers” on page 509.

Table 23-20 Manage Data Identifiers

Action Description

Edit a Data Identifier. Select the Data Identifier from the list to modify it.

See “Selecting system Data Identifier breadth” on page 530.

See “About modifying Data Identifiers” on page 517.

See “Modifying and creating Data Identifiers” on page 535.

Define a custom Data Click Add Data Identifier to create a custom Data Identifier.
Identifier.
See “About custom Data Identifiers” on page 522.

See “Implementing custom Data Identifiers” on page 537.

Sort and view Data The list is sorted alphabetical by Name.

Identifiers.
You can also sort by the Category.

A pencil icon to the left means that the Data Identifier is modified from its original state, or
is custom.

Remove a Data Click the X icon on the right side to delete a Data Identifier.
Identifier.
The system does not let you delete system Data Identifiers. You can only delete custom Data
Identifiers.

Configuring the Content Matches Data Identifier condition

You can configure the Content Matches Data Identifier condition in policy detection
rules and exceptions.
See “About Data Identifiers” on page 509.

Table 23-21 Configuring the Content Matches Data Identifier condition

Step Action Description

Step 1 Add a Data Identifier rule Select the Content Matches Data Identifier condition at the Add Detection
or exception to a policy, Rule or Add Exception screen.
or configure an existing
See “Adding a rule to a policy” on page 372.
one.
See “Adding an exception to a policy” on page 381.

Step 2 Choose a Data Identifier. Choose a Data Identifier from the list and click Next.

See “Available system Data Identifiers” on page 510.

 Detecting content using Data Identifiers 529
Implementing system-defined Data Identifiers

Table 23-21 Configuring the Content Matches Data Identifier condition

(continued)

Step Action Description

Step 3 Select a Breadth of Use the breadth option to narrow the scope of detection.
detection.
See “About Data Identifier breadths” on page 513.

Wide is the default setting and detects the broadest set of matches. Medium
and narrow breadths, if available, check additional criteria and detect fewer
matches.

See “Selecting system Data Identifier breadth” on page 530.

Step 4 Select and configure one Optional validators restrict the match criteria and reduce false positives.
or more Optional
See “About optional validators” on page 514.
Validators.

Step 5 Configure Match Select how you want to count matches:

Counting.
■ Check for existence
Do not count multiple matches; report a match count of 1 for one or more
matches.
■ Count all matches
Count each match; specify the minimum number of matches to report an
incident.
See “Configuring match counting” on page 378.
■ Count all unqiue matches
This is the default setting for version 11.6 and higher.
See “About unique match counting for Data Identifiers” on page 525.
See “Implementing unique match counting for Data Identifiers” on page 534.

Step 6 Configure the message Select one or more message components on which to match.
components to Match
On the endpoint, the detection engine matches the entire message, not
On.
individual components.

See “Selecting components to match on” on page 380.

If the Data Identifier uses optional or required keyword validators, the keyword
must be present in the same component as the matched Data Identifier
content.

See “About cross-component matching for Data Identifiers” on page 517.

Step 7 Configure additional Optionally, you can Add one or more additional conditions from any available
conditions to Also in the Also Match condition list.
Match.
All conditions in a compound rule or exception must match to trigger or except
an incident.

See “Configuring compound match conditions” on page 386.

530 Detecting content using Data Identifiers
Implementing system-defined Data Identifiers

Selecting system Data Identifier breadth

Each system Data Identifier provides one or more breadths of detection. When
you configure a system Data Identifier instance, or when you modify a system
Data Identifier, you select which breadth to implement. Not all breadth options
are available for each Data Identifier.
See “About Data Identifier breadths” on page 513.

Note: You cannot change the normalizer that a system Data Identifier implements.
This information is useful to know when you implement one or more optional
validators. See “Acceptable characters for optional validators” on page 515.

Table 23-22 System Data Identifier breadths and normalizers

Data Identifier Breadth(s) Normalizer

ABA Routing Number Wide Digits Only

See “ABA Routing Number data identifier” on page 658. Medium

Narrow

Australian Medicare Number Wide Digits Only

See “Australian Medicare Number data identifier” on page 661.

Australian Tax File Number Wide Digits Only

See “Australian Tax File Number data identifier” on page 662.

Burgerservicenummer Wide Digits Only

See “Burgerservicenummer data identifier” on page 662.

Canadian Social Insurance Number Wide Digits Only

See “Canadian Social Insurance Number data identifier” Medium

on page 663.
Narrow

Codice Fiscale Wide Digits Letters Only

See “Codice Fiscale data identifier” on page 665.

Credit Card Magnetic Stripe Data Medium Digits Only

See “Credit Card Magnetic Stripe Data data identifier”

on page 666.
 Detecting content using Data Identifiers 531
Implementing system-defined Data Identifiers

Table 23-22 System Data Identifier breadths and normalizers (continued)

Data Identifier Breadth(s) Normalizer

Credit Card Number Wide Digits Only

See “Credit Card Number data identifier” on page 668. Medium

Narrow

CUSIP Number Wide Lowercase

See “CUSIP Number data identifier” on page 674. Medium

Narrow

Driver's License Number – CA State Wide Lowercase

See “Drivers License Number – CA State data identifier” Medium

on page 676.

Driver's License Number – FL, MI, MN States Wide Lowercase

See “Drivers License Number - FL, MI, MN States data Medium

identifier” on page 677.

Driver's License Number – IL State Wide Lowercase

See “Drivers License Number - IL State data identifier” Medium

on page 679.

Driver's License Number – NJ State Wide Lowercase

See “Drivers License Number - NJ State data identifier” Medium

on page 681.

Driver's License Number – NY State Wide Lowercase

See “Drivers License Number - NY State data identifier” Medium

on page 682.

French INSEE Code Wide Digits Only

See “French INSEE Code data identifier” on page 684.

Hong Kong ID Wide Lowercase

See “Hong Kong ID data identifier” on page 684.

IBAN Central Wide None

See “IBAN Central data identifier” on page 685.

IBAN East Wide None

See “IBAN East data identifier” on page 687.

532 Detecting content using Data Identifiers
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Table 23-22 System Data Identifier breadths and normalizers (continued)

Data Identifier Breadth(s) Normalizer

IBAN West Wide None

See “IBAN West data identifier” on page 690.

IP Address Wide None

See “IP Address data identifier” on page 692. Medium

Narrow

National Drug Code Wide None

See “National Drug Code (NDC) data identifier” on page 694. Medium

Narrow

People's Republic of China ID Wide Lowercase

See “People's Republic of China ID data identifier” on page 697.

Singapore NRIC Wide Lowercase

See “Singapore NRIC data identifier” on page 697.

South Korean Resident Registration Number Wide Digits Only

See “South Korea Resident Registration Number data Medium

identifier” on page 698.

Spanish DNI ID Wide Lowercase

See “Spanish DNI ID data identifier” on page 699.

SWIFT Code Wide Swift

See “SWIFT Code data identifier” on page 700. Narrow

Swiss AHV Number Wide Digits Only

See “Swiss AHV Number data identifier” on page 702.

Taiwan ID Wide None

See “Taiwan ID data identifier” on page 702.

UK Driver's License Number Wide Lowercase

See “UK Drivers License Number data identifier” on page 703. Medium

UK Electoral Roll Number Wide Lowercase

See “UK Electoral Roll Number data identifier” on page 705.

 Detecting content using Data Identifiers 533
Implementing system-defined Data Identifiers

Table 23-22 System Data Identifier breadths and normalizers (continued)

Data Identifier Breadth(s) Normalizer

UK National Health Service (NHS) Number Medium Digits Only

See “UK National Health Service (NHS) Number data Narrow

identifier” on page 706.

UK National Insurance Number Wide Lowercase

See “UK National Insurance Number data identifier” Medium

on page 708.
Narrow

UK Passport Number Wide None

See “UK Passport Number data identifier” on page 711. Medium

Narrow

UK Tax ID Number Wide None

See “UK Tax ID Number data identifier” on page 713. Medium

Narrow

US Individual Tax ID Number (ITIN) Wide Digits Only

See “US Individual Tax Identification Number (ITIN) data Medium

identifier” on page 715.
Narrow

US Social Security Number (SSN) Wide Digits Only

See “US Social Security Number (SSN) data identifier” Medium
on page 718.
Narrow

Configuring optional validators

You implement optional validators to refine the scope of a Data Identifier defined
in a policy instance. System and custom Data Identifiers support the configuration
of optional validators.
See “About optional validators” on page 514.
The type of input allowed by an optional validator (numbers, letters, characters)
depends on the Data Identifier. If you enter unacceptable input characters and
attempt to save the configuration, the system reports an error.
For example, the US Social Security Number (SSN) Data Identifier accepts numbers
only. If you configure the "Require ending character" optional validator and
provide input as letters, you receive the following error when you attempt to save
534 Detecting content using Data Identifiers
Implementing system-defined Data Identifiers

the configuration: Input to "Require ending characters" Validator is incorrect:

List contains non-number character.
See Table 23-10 on page 515.
To configure an optional validator
1 Click the plus sign beside the Optional Validators label for the Data Identifier
instance you are configuring.
See “Configuring the Content Matches Data Identifier condition” on page 528.
2 Select one or more optional validators.
See “About optional validators” on page 514.
3 Provide the expected input for each optional validator you select.
Each value can be of any length. Use commas to separate multiple values.
4 Click Save to save the configuration.
If the system displays an error message, make sure you have entered the
correct type of expected character input.
See Table 23-10 on page 515.

Implementing unique match counting for Data Identifiers

Count all unique matches is the default selection for new Data Identifiers you
create. After upgrading Data Loss Prevention, you may need to manually configure
pre-existing Data Identifier rules to use unique match counting, if you have not
done so prior to upgrade
See “About unique match counting for Data Identifiers” on page 525.
To configure unique match counting
1 Select the policy containing the Data Identifier rule or rules you want to
update at the Manage > Policies > Policy List screen.
2 Select the Data Identifier rule at the Configure Policy screen.
3 Select the match counting option Count all unique matches.
4 Click OK to apply the unique match counting configuration change.
 Detecting content using Data Identifiers 535
Implementing system-defined Data Identifiers

5 Click Save to save the policy change.

6 Test unique match counting.
Create an incident with multiple instances of a Data Identifier pattern, such
as several instances of the same social security number in the same message
component (for example, in an email attachment).
At the Incident Snapshot verify that only unique matches are highlighted
and counted.

Modifying and creating Data Identifiers

You can modify and create Data Identifiers, including the patterns, validators,
and validator input. Modifications are propagated to any policy that declares the
Data Identifier. You cannot rename a system Data Identifier. Consider manually
creating a cloned copy before you modify a system Data Identifier.
See “About modifying Data Identifiers” on page 517.

Table 23-23 Modifying and creating system Data Identifiers

Step Action Description

Step 1 Create a custom Data See “Implementing custom Data Identifiers” on page 537.
Identifier, or modify an
If you modify a system Data Identifier, click the plus sign to display the
existing one.
breadth and edit the Data Identifier.

See “Selecting system Data Identifier breadth” on page 530.

Step 2 Supply or edit one or more You can modify any pattern that the Data Identifier provides.
Patterns.
See “Writing patterns to match data” on page 538.

Step 3 Edit the data input for any See “Editing required validator input” on page 536.
validator that accepts input.

Step 4 Add or remove Validators, as See “Selecting required data validators” on page 539.
necessary.

Step 5 Save the Data Identifier. Click Save to save the modifications.

Once the Data Identifier is saved, the icon at the Data Identifiers screen
indicates that it is modified from its original state, or is custom.

See “Manage and add Data Identifiers” on page 527.

Note: Click Cancel to not save the Data Identifier.

Step 6 Implement the Data Identifier See “Configuring the Content Matches Data Identifier condition” on page 528.
in a policy rule or exception.
536 Detecting content using Data Identifiers
Implementing system-defined Data Identifiers

Manually cloning a system Data Identifier before modifying it

The Enforce Server does not provide an automated mechanism for cloning a
system Data Identifier.
See “About modifying Data Identifiers” on page 517.
Before you modify a system Data Identifier, consider manually cloning it so you
can revert to the original configuration, if necessary. At the least, you should
export a policy as a template before you modify any system Data Identifier declared
by that policy.
To manually clone a system Data Identifier
1 Review the original configuration of the Data Identifier you want to modify.
2 Create a custom Data Identifier.
See “Implementing custom Data Identifiers” on page 537.
3 Copy the configuration of the original Data Identifier to the custom Data
Identifier.
Add the pattern(s), validator(s), any data input, and the normalizer.
See “Selecting system Data Identifier breadth” on page 530.
4 Save the custom Data Identifier.
5 Modify the custom Data Identifier to suit your needs.

Editing required validator input

At the system-level you can edit the data input that a required validator accepts.
Not all validators accept data input.
See “About data validators” on page 519.
To edit required validator input
1 Edit the Data Identifier by selecting it from the Manage > Policies > Data
Identifiers screen.
2 Select the Rule Breadth you want to modify.
Generally, the medium and narrow breadth options include validators that
accept data input.
3 Select the validator from the Active Validators list whose input you want to
edit.
For example, select Find keywords.
4 Edit the input for the validator in the Description and Data Entry field.
 Detecting content using Data Identifiers 537
Implementing custom Data Identifiers

5 Click Update Validator to save the changes you have made to the validator
input.
Click Discard Changes to not save the changes.
6 Click Save to save the Data Identifier.

Implementing custom Data Identifiers

You can implement custom Data Identifiers to detect unique content. To implement
a custom Data Identifier, you must define at least one pattern and select a data
normalizer. Validators are optional.
See “About custom Data Identifiers” on page 522.
When you define a custom Data Identifier, the system assigns it to the "Wide"
breadth by default. This is not a limitation, however, because the actual scope of
detection is determined by the pattern(s) and validator(s) that you define.

Table 23-24 Implementing custom Data Identifiers

Step Action Description

Step 1 Select Manage > Policies > The Data Identifiers screen lists all Data Identifiers available in the system.
Data Identifiers.

Step 2 Select Add Data Identifier. Enter a Name for the custom Data Identifier.

The name must be unique.

Enter a Description for the custom Data Identifier.

A custom Data Identifier is assigned to the Custom category by default and

cannot be changed.

Step 3 Enter one or more Patterns You must enter at least one pattern for the custom data identifier to be
to match data. valid.

Separate multiple patterns by line breaks.

See “Writing patterns to match data” on page 538.

538 Detecting content using Data Identifiers
Implementing custom Data Identifiers

Table 23-24 Implementing custom Data Identifiers (continued)

Step Action Description

Step 4 Select a Data Normalizer. You must select a data normalizer.

The following normalizers are available:

■ Digits
■ Digits and Letters
■ Lowercase
■ Swift codes
■ Do nothing
Select this option if you do not want to normalize the data.

See “About data normalizers” on page 522.

Step 5 Select zero or more Including a validator to check and verify pattern matching is optional.
Validators.
See “Selecting required data validators” on page 539.

Step 6 Save the custom Data Click Save at the upper left of the screen.
Identifier.
Once you define and save a custom Data Identifier, it appears alphabetically
in the list of Data Identifiers at the Data Identifiers screen.

To edit a custom Data Identifier, select it from the list.

See “Modifying and creating Data Identifiers” on page 535.

Note: Click Cancel to not save the custom Data Identifier.

Step 7 Implement the custom Data The system lists all custom Data Identifiers beneath the Custom category
Identifier in one or more for the "Content Matches Data Identifier" condition at the Configure Policy
policies. - Add Rule and the Configure Policy - Add Exception screens.

See “Configuring the Content Matches Data Identifier condition” on page 528.

You can configure optional validators at the policy instance level for custom
Data Identifiers.

See “Configuring optional validators” on page 533.

Writing patterns to match data

If you modify an existing Data Identifier, you can edit its patterns. If you create
a custom Data Identifier, you must implement at least one pattern. Data identifier
patterns are implemented using a syntax that is similar to the regular expression
language, with limitations. In addition, the system only allows the use of ASCII
characters for Data Identifier patterns.
See “About Data Identifier patterns” on page 518.
 Detecting content using Data Identifiers 539
Implementing custom Data Identifiers

To edit or implement a pattern

1 Review the patterns for the Data Identifier you want to modify.
See “Selecting system Data Identifier breadth” on page 530.
2 Consider cloning the Data Identifier, if you are modifying a system Data
Identifier.
See “Manually cloning a system Data Identifier before modifying it”
on page 536.
3 Select Manage > Policies > Data Identifiers in the Enforce Server
administration console.
4 Select the Data Identifier you want to modify.
5 Select the breadth for the Data Identifier you want to modify.
Generally, patterns vary among detection breadths.
6 In the Patterns field, modify an existing pattern, or enter one or more new
patterns, separated by line breaks.
Data identifier patterns are implemented as regular expressions. However,
much of the regular expression syntax is not supported.
See “About pattern language limitations for Data Identifiers” on page 519.
7 Click Save to save the Data Identifier.

Character limits for Data Identifier patterns

Data Identifier patterns are limited to 100 characters per line. The pattern itself
can be more than 100 characters, but a line cannot have more than 100 character.
You should split the pattern up by lines not longer than 100 characters.
The description field is limited to 255 characters per line.
See “Input character limits for policy configuration” on page 388.

Selecting required data validators

Symantec Data Loss Prevention provides a comprehensive set of validators to
facilitate pattern matching accuracy.
See “About data validators” on page 519.
When you modify a Data Identifier, the system exposes the active validators used
by the Data Identifier. When you modify or create a Data Identifier, the system
displays all system-defined data validators from which you can choose.
540 Detecting content using Data Identifiers
Implementing custom Data Identifiers

Note: The active validators that allow for and define input are not to be confused
with the "Optional validators" that can be configured for any runtime instance of
a particular Data Identifier. Optional validators are always configurable at the
instance level. Active validators are only configurable at the system level.

Select a validator from the "Validation Checks" list on the left, then click Add
Validator to the right. If the validator requires input, provide the required data
using a comma-separated list and then click Add Validator.
See “Selecting required data validators” on page 539.
To select a pattern validator
1 Create a custom Data Identifier.
See “Implementing custom Data Identifiers” on page 537.
2 In the Validators section, select the desired validator.
See “About data validators” on page 519.
3 If the validator does not require data input, click Add Validator.
The validator is added to the Active Validators list.
4 If the validator requires data input, enter the data values in the Description
and Data Entry field.
Click Add Validator when you are done entering the values.
The validator is added to the Active Validators list.
5 To remove a validator, select it in the Active Validators list and click the red
X icon.
6 Click Save to save the configuration of the Data Identifier.

Creating custom script validators

The custom script validation check lets you enter a custom script to validate
pattern matches. To implement a custom validator, you use the Symantec Data
Loss Prevention Scripting Language.
You can implement a custom script validator in a system Data Identifier you
modify or in a custom Data Identifier.

Note: Refer to the Symantec Data Loss Prevention Detection Customziation Guide
for details on using the Symantec Data Loss Prevention Scripting Language.
 Detecting content using Data Identifiers 541
Implementing custom Data Identifiers

To implement a custom script validator

1 Modify an existing Data Identifier or create a custom Data Identifier.
See “Implementing custom Data Identifiers” on page 537.
2 Select the Custom Script validator from the list of Validation Checks.
3 Enter your custom script in the Description and Data Entry field.
4 Click Add Validator to add the custom validator to the Active Validators
list.
5 Click Save to save the configuration of the Data Identifier.

Creating the US SSN - Randomized custom DI

Table 23-25 provides instructions for defining the US SSNs - Randomized custom
Data Identifier.
See “About the change to randomized US SSNs” on page 526.

Table 23-25 Creating the US SSN – Randomized custom DI

Step Action Description

Step 1 Log on to the Enforce To create a custom DI, you must log on as a user who
Server. has policy authoring privileges.

Step 2 Navigate to the list of Select Manage > Policies > Data Identifiers.
Data Identifiers.

Step 3 Add a new Data Click Add Data Identifier.

Identifier.
This action creates a new custom DI that you
configure from scratch.

Step 4 Enter a Name and Name: US SSNs - Randomized

Description.
Description: Custom DI for detecting randomized
SSNs issued on or after June 25, 2011.
542 Detecting content using Data Identifiers
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Table 23-25 Creating the US SSN – Randomized custom DI (continued)

Step Action Description

Step 5 Enter Patterns. Copy/paste all the patterns provided in the previous
topic to the Patterns input field. Separate each
pattern by a new line. Make sure you add all 12
patterns exactly as provided.

See Table 36-123 on page 722.

Collectively, these patterns will detect 9-digit

numbers with all possible beginning numbers,
including the new randomization range of 773
through 899, while excluding numbers beginning
with 9xx, which continue to be invalid even after the
change to randomization

Step 6 Select the Data Select Digits from the drop-down menu.
Normalizer.

Step 7 Add the validation checks To add the Number Delimiter validator, select it
and data inputs. from the list of Validation Checks and click Add
Validator. Once added, the validation check appears
in the list of Active Validators. Since this validator
takes no input, no further action is necessary to
implement it.

Add the Exclude beginning characters validation

check. This validator expects input. To add input:

■ In the Description and Data Entry field on the

right side of the display screen, enter the
following numbers to exclude them from
matching:
666,000,123456789,111111111,222222222,333333333,
444444444,555555555,666666666,77777777,888888888
■ Click Add Validator to add the validator to the
Active Validators list.

Repeat this process for the Exclude ending

characters validation check. Enter 0000 as preclusive
numbers.

Lastly, add a Find keyword validator with the

following inputs: social security number,ssn,ss#.

Step 8 Save the custom DI. Click Save. Back at the Manage > Policies > Data
Identifiers screen, the US SSNs - Randomized
appears in the list.
 Detecting content using Data Identifiers 543
Data Identifier policy considerations

Table 23-25 Creating the US SSN – Randomized custom DI (continued)

Step Action Description

Step 9 Test the custom DI. Create a test policy and define a rule that declares
the US SSNs - Randomized custom DI as the lone
condition in a rule. Deploy the policy to a policy
group and test the custom DI against sample SSNs
that begin with numbers in the 773 – 899 range.
Ensure that the policy detects randomized SSNs.

Step 10 Add the custom DI to Create a separate rule for the custom DI condition
your existing SSN so that the rule is connected with the system-defined
policies. DI rule by an implicit OR. With this configuration, if
either condition is met the policy is violated.

See “Recommendations for using the US SSN -

Randomized custom DI” on page 546.

Data Identifier policy considerations

Data Identifiers are algorithms that combine pattern matching with data validators
to detect content. Symantec Data Loss Prevention provides a number of
system-defined Data Identifiers for common data patterns, including SSNs, Tax
IDs, and more. In addition, you can define your own custom Data Identifiers to
match any data you can describe using the Data Identifier pattern language. Data
Identifiers are commonly used to detect personally identifiable information (PII).
See “About Data Identifiers” on page 509.
This section provides considerations to keep in mind for implementing Data
Identifier policies.

Use Data Identifiers instead of regular expressions to improve accuracy

Data Identifiers are designed to protect personally identifiable information (PII)
with very good accuracy (<10% false positive rate). If a Data Identifier is available
for the type of content you want to protect, you should use the Data Identifier
instead of a regular expression because Data Identifiers are more efficient than
regular expressions. Out-of-the-box Data Identifier patterns are tuned for accuracy,
including region, industry, and country nuances. In addition, Data Identifiers
include validation checks to verify the data matched by the pattern. This additional
layer of intelligence screens out test data and other triggers of false positive
incidents. Regular expressions, on the other hand, can be computationally
expensive and can lead to increased false positives.
544 Detecting content using Data Identifiers
Data Identifier policy considerations

For example, if you want to detect social security numbers (SSN), you would use
the SSN Data Identifier instead of a regular expression pattern. The SSN Data
Identifier, with its various breadths and validators, is more accurate than any
regular expression you could write and much easier and quicker to implement

Note: The Data Identifier pattern language is a limited subset of the regular
expression language. Not all regular expression constructs or characters are
supported for Data Identifier patterns. See “About pattern language limitations
for Data Identifiers” on page 519.

Clone system-defined Data Identifiers before modifying to preserve

original state
Before you modify a system Data Identifier or create a custom Data Identifier,
consider the following:
■ If you want to modify a system Data Identifier, manually clone it as a custom
Data Identifier and then modify the cloned copy. In this fashion you preserve
the state of the original system-defined Data Identifier.
■ Data Identifiers do not export as part of a policy template. As such, you should
add the Data Identifier to a policy and export the policy as a template before
modifying the Data Identifier.
An exported template contains a reference to each Data Identifier implemented
in that policy. On import to a target system, the template uses a reference to
select the local Data Identifier. If the system Data Identifier is modified, on
import it cannot be recognized by the target system.
See “Manually cloning a system Data Identifier before modifying it” on page 536.

Modify Data Identifier definitions when you want tuning to apply

globally
Data Identifiers offer two levels of configuration:
■ Definitions
■ Instances
Data Identifier definitions are configured at the system-level of the Enforce Server.
At the definition level you can tune the data supplied by any required validator
that the definition declares at this level, as well as what validators are used.
Data Identifier instances can only configured at the policy rule level. Any
configurations made at the rule level are local in scope and applicable only to that
 Detecting content using Data Identifiers 545
Data Identifier policy considerations

policy. At the rule level you use optional validators, such as require or exclude
beginning or ending characters, to tune the instance of the Data Identifier rule.
The general recommendation is to configure Data Identifier definitions so that
the changes apply globally to any instance of that Data Identifier definition. Such
configurations are reusable across policies. Rule-level optional validators, such
as, should be used for unique policies.

Consider using multiple breadths in parallel to detect different

severities of confidential data
Matching Data Identifiers against content often requires fine-tuning as you adjust
the configuration to keep both false positives and false negatives to a minimum.
After you configure an instance of the Content Matches Data Identifier condition,
study the matches and adjust the configuration to ensure optimum data matching
success.
Consider adjusting the Data Identifier breadth you are using if the Data Identifier
is producing too many false positive or negatives. For example, if you are using
a wide breadth and receiving many false positives, consider using a medium or
narrow breadth.
See “About Data Identifier breadths” on page 513.
As an alternative approach, consider using multiple Data Identifier breadths in
parallel in the same rule with different severity levels for each rule. For example,
in a single policy designed to detect social security numbers, you could add three
rules to the policy, each using a different SSN Data Identifier breadth (one wide,
one medium, one narrow). You would then set the severity for the narrow to be
high severity incidents, and the wide to be low severity incidents. Using this
layered approach lets you survey the data flowing the enterprise using a policy
that covers both ends of spectrum. You can use this sampling-based approach to
focus your remediation efforts on the highest priority incidents while still detecting
and being able to review low severity incidents

Avoid matching on the Envelope over HTTP to reduce false positives

Sometimes HTTP transmissions contain session IDs in the header that can trigger
false positives for numeric Data Identifiers. For example, some social media sites
such as Facebook and LinkedIn contain a session ID that may at times match the
CCN and SSN Data Identifiers exactly, causing false positives
To reduce false positives in connection with HTTP session IDs in the message
header, the best practice is to not match on the “Envelope” message component
when implementing numeric Data Identifiers, specifically the CCN or SSN Data
Identifiers.
546 Detecting content using Data Identifiers
Data Identifier policy considerations

Implement the US SSN Randomized custom Data Identifier to detect

newly issued SSNs
If you are using the US SSN Data Identifier to detect U.S.-based Social Security
Numbers, you should implement the US SSN Randomized custom Data Identifier
to augment the functionality of the system-defined Data Identifier patterns for
SSNs. As of June 25, 2011, SSNs will now be randomly generated. To ensure that
you can detect SSNs issued after the transition date, you must implement the
custom Data Identifier as described in this documentation.
See “Recommendations for using the US SSN - Randomized custom DI” on page 546.
See “Creating the US SSN - Randomized custom DI” on page 541.

Recommendations for using the US SSN - Randomized custom DI

To update your policies for SSN randomization, your should not modify the
system-defined US SSN Data Identifier. This Data Identifier is still valid for SSNs
issued before June 25, 2011. Once you have created and tested the US SSN –
Randomized custom Data Identifier, the recommendation is to deploy the custom
Data Identifier in parallel with the system-defined Data Identifier as part of the
same policy
Thus, for each policy you have that implements the system-defined SSN, you
simply add another detection rule to the policy that declares the US SSN –
Randomized custom Data Identifier as its single condition. Set the severity for
the custom Data Identifier rule to be lower than the severity for the system-defined
Data Identifier rule.
Make sure you add the custom Data Identifier to a policy as a standalone rule and
not as a condition in the existing system-defined Data Identifier rule. As separate
rules in the same policy, the conditions are connected by an implicit "OR" so that
if either condition matches it will be an incident (assuming you are counting all
matches). You do not want the conditions to be part of the same rule because that
will require both conditions to be met to trigger an incident.

Use unique match counting to improve accuracy and ease remediation

The Data Identifier rule configuration contains an option to count only unique
matches. With this option selected (as opposed to the default setting which counts
all matches), only unique matches will be reported as the first match found in the
message or message component. Only unique matches are counted and highlighted.
The best practice is to use unique match counting when you only care about unique
matches, not duplicate matches. For example, if you are using the SSN Data
Identifier to protect social security numbers, and you only care if a document
 Detecting content using Data Identifiers 547
Data Identifier policy considerations

contains 25 or more unique social security numbers, you would use the count all
unique matches option instead of the count all matches option. If you counted all
matches, a document containing 25 of the same SSN would trigger the policy,
which is not the objective of your policy.
See “About unique match counting for Data Identifiers” on page 525.
548 Detecting content using Data Identifiers
Data Identifier policy considerations
 Chapter 24
Detecting content using
keyword matching
This chapter includes the following topics:

■ About keyword matching

■ Configuring the Content Matches Keyword condition

■ Keyword matching policy considerations

About keyword matching

Symantec Data Loss Prevention provides keyword matching detection. Keyword
matching uses a list of one or more keywords or phrases to detect data loss. The
detection engine checks message components against each keyword in the list
for matches.

About keyword proximity matching

Using keyword proximity, a policy author can define a pair of keywords and specify
a word range between them. If the words occur within that range, a match is
triggered. For example, an instance of the Content Matches Keyword rule might
require that any instance of the words “confidential” and “information” occurring
within 10 words of each other triggers a match.
Alternatively, you can use keyword proximity to exclude matching words within
a specified distance by using the "Content Matches Keyword" rule as a detection
exception. In this case any occurrence of the words “confidential” and
“information” within 10 words of each is excepted from matching.
550 Detecting content using keyword matching
About keyword matching

Note: The word distance (proximity value) is exclusive of detected keywords.

Thus, a word distance of 10 allows for a proximity window of 12 words.

See “Keyword matching examples ” on page 550.

See “Configuring the Content Matches Keyword condition” on page 552.

Keyword matching syntax

When you define a keyword rule, the system evaluates every keyword in the
condition list against each message component (header, subject, body, attachment).
Consider the following syntactical guidelines when creating keyword lists.

Table 24-1 Keyword matching syntax

Behavior Description

Quotation marks Do not use quotation marks when you enter keywords or phrases because quotes
are interpreted literally and will be required in the match.

White space The systems strips out the white space before and after keywords or key phrases.

Case sensitivity The case sensitivity option you choose applies to all keywords in the list for that
condition.

Plurals and verb inflections All plurals and verb inflections must be specifically listed. If the number of
enumerations becomes complicated use the wildcard character (asterisk [*]) to
detect a keyword suffix (in whole word mode only).

Keyword phrases You can enter keyword phrases, such as social security number (without quotes).
The system looks for the entire phrase without returning matches on individual
words (such as social or security).

Keyword variants The system only detects the exact keyword, not variants. For example, if you
specify the key phrase social security number, detection does not match a phrase
that contains two spaces between the words.

Matching multiple keywords The system implies an OR between keywords. That is, content matches if it
contains any of the keywords, not necessarily all of them. To perform an ALL
(or AND) match, combine multiple keyword conditions in a compound rule or
exception.

Keyword matching examples

To implement keyword matching, you can enter one or more keywords or phrases,
each separated by a comma or newline character. You can match on whole or
 Detecting content using keyword matching 551
About keyword matching

partial words, and specify case sensitivity. You can use the asterisk (*) wildcard
character to detect a keyword suffix (in whole word mode only).
See “Keyword matching syntax” on page 550.

Table 24-2 Keyword matching examples

Keyword type Keyword(s) Matches Does Not Match

keyword confidential confidential confidentially (in

whole word mode
-confidential;
only, otherwise it
®"confidential" would match)
®Confidential

®CONFIDENTIAL

key phrase internal use only internal use only internal use

internal use ONLY (if case

insensitive is selected)

keyword list Newline delimited: Comma delimited: hacks hackers

hack hack, hacker, hacks hack shack

hacker hacker

hacks

keyword with priv* private prize

wildcard
privilege prevent

privy

privity

privs

priv

keyword dictionary account number, account ps, american If any keyword or phrase is amx
express, americanexpress, amex, bank present, the data is matched:
creditcard
card, bankcard, card num, card number,
cc #, cc#, ccn, check card, checkcard, amex master card
credit card, credit card #, credit card credit card car
number, credit card#, debit card,
debitcard, diners club, dinersclub, mastercard
discover, enroute, japanese card bureau,
jcb, mastercard, mc, visa, (etc....)
552 Detecting content using keyword matching
Configuring the Content Matches Keyword condition

Implementing keyword matching

Table 24-3 describes the features for implementing keyword matching.

Table 24-3 Implementing keyword matching

Keyword matching feature Description

Match on whole or partial keywords Separate each keyword or phrase by a newline or comma.
and key phrases.
See “Keyword matching examples ” on page 550.

Match on the wildcard asterisk (*) Match the wildcard at the end of a keyword, in whole word mode only.
character.
See “Keyword matching examples ” on page 550.

Keyword proximity matching. Match across a range of keywords.

See “About keyword proximity matching” on page 549.

Find keywords. Implement one or more keywords in data identifiers to refine the scope of
detection.

See “About Data Identifiers” on page 509.

Policy rules and exceptions. You can implement keyword matching in policy rules and exceptions.

See “Configuring the Content Matches Keyword condition” on page 552.

Cross-component matching. Keyword matching detects on one or more message components.

See “Detection messages and message components” on page 349.

Keyword dictionary. If you have a large dictionary of keywords, you can index the keyword list.
See “Use indexing to generate and maintain keyword dictionaries” on page 556.

Configuring the Content Matches Keyword condition

The Content Matches Keyword detection rule lets you match content using
keywords and key phrases.
See “About keyword matching” on page 549.
You can implement keyword matching conditions in policy rules and exceptions.
See “Configuring policies” on page 370.
 Detecting content using keyword matching 553
Configuring the Content Matches Keyword condition

To configure the Content Matches Keyword condition

1 Add a new keyword condition to a policy rule or exception, or modify an
existing one.
See “Configuring policy rules” on page 374.
See “Configuring policy exceptions” on page 384.
2 Configure the keyword matching parameters.
See Table 24-4 on page 553.
See “Keyword matching syntax” on page 550.
3 Save the policy.

Table 24-4 Configure the Content Matches Keyword condition

Action Description

Enter the match Select if you want the keyword match to be:
type.
Case Sensitive or Case Insensitive

Case insensitive is the default.

Choose the keyword Select the keyword separator you to delimit multiple keywords:
separator.
Newline or Comma.

Newline is the default.

Match any keyword. Enter the keyword(s) or key phrase(s) you want to match. Use the separator you have selected
(newline or comma) to delimit multiple keyword or key phrase entries.

You can use the asterisk (*) wildcard character at the end of any keyword to match one or
more suffix characters in that keyword. If you use the asterisk wildcard character, you must
match on whole words only. For example, a keyword entry of confid* would match on
"confidential" and "confide," but not "confine." As long as the keyword prefix matches, the
detection engine matches on the remaining characters using the wildcard.

See “Keyword matching syntax” on page 550.

See “Keyword matching examples ” on page 550.

554 Detecting content using keyword matching
Configuring the Content Matches Keyword condition

Table 24-4 Configure the Content Matches Keyword condition (continued)

Action Description

Configure keyword Keyword proximity matching lets you specify a range of detection among keyword pairs.
proximity matching
See “About keyword proximity matching” on page 549.
(optional).
To implement keyword proximity matching:

■ Select (check) the Keyword Proximity matching option in the "Conditions" section of the
rule builder interface.
■ Click Add Pair of Keywords.
■ Enter a pair of keywords.
■ Specify the Word distance.
The maximum distance between keywords is 999, as limited by the three-digit length of
the “Word distance” field. The word distance is exclusive of detected keywords. For
example, a word distance of 10 allows for a range of 12 words, including the two words
comprising the keyword pair.
■ Repeat the process to add additional keyword pairs.
The system connects multiple keyword pair entries the OR Boolean operator, meaning
that the detection engine evaluates each keyword pair independently.

Match on whole or Select the option On whole words only to match on whole keywords only.
partial keywords.
See “Keyword matching examples ” on page 550.
Note: You must match on whole words only if you use the asterisk (*) wildcard character in
any keyword you enter in the list.

Configure match Keyword matching lets you specify how you want to count condition matches.
conditions. Select one of the following options:

■ Check for existence

The system reports one incident for all matches.
■ Count all matches
The system reports one incident for each match (default setting).
■ only report incidents with at least _ matches
The system reports each match once the match threshold you specify is met.

See “Configuring match counting” on page 378.

 Detecting content using keyword matching 555
Keyword matching policy considerations

Table 24-4 Configure the Content Matches Keyword condition (continued)

Action Description

Select components Keyword matching detection supports matching across message components.
to match on.
See “Selecting components to match on” on page 380.
Select one or more message components to match on:

■ Envelope – Header metadata used to transport the message

■ Subject – Email subject of the message (only applies to SMTP)
■ Body – The content of the message
■ Attachments – Any files attached to or transferred by the message

Note: On the endpoint the DLP Agent matches on the entire message, not individual
components.

See “Detection messages and message components” on page 349.

Also match one or Select this option to create a compound condition. All conditions must be met to report a
more additional match.
conditions.
You can Add any available condition from the list.

See “Configuring compound match conditions” on page 386.

Keyword matching policy considerations

The Keyword rule lets you match content using keywords, key phrases, and
keyword dictionaries. On the server, the keyword rule matches on the header,
subject, body and attachment message components, and it supports
cross-component matching. On the endpoint this rule matches on the entire
message.
This section provides considerations for implementing keyword policies.

Use partial word matching to detect keywords in Chinese, Japanese,

and Korean
With keyword matching you can match on whole or partial words. For keyword
matching on Chinese, Japanese, Korean, and mixed-language matching, the
recommendation is to use partial word matching.
With whole word matching, keywords match at word boundaries only (\W in the
regular expression lexicon). Any characters other than A-Z, a-z, and 0-9 are
interpreted as word boundaries. With whole word matching, keywords must have
at least one alphanumeric character (a letter or a number). A keyword consisting
of only white-space characters, such as "..", is ignored.
556 Detecting content using keyword matching
Keyword matching policy considerations

See Table 24-5 on page 556. describes the typical use cases for whole and partial
keyword matching.

Table 24-5 Recommendations use cases partial and whole word matching

Configuration Recommended use

Partial word matching Use partial for Chinese, Japanese and Korean languages.

Use for mixed languages.

Whole word matching User for Western languages.

Use for UTF-8 characters.

Use a keyword rule to tune keywords lists for validators to improve

accuracy
Data Identifiers contain keyword validators. Many Data Identifier definitions
contain required keyword validators with prepopulated keyword lists. In addition,
you can add your own list of keywords to a Data Identifier rule. Whether you
adjust the keywords in a required validator for a Data Identifier definition, or you
implement a keyword optional validator for a Data Identifier rule, the best practice
recommendation is that you should tune the keyword list before you deploy it to
the Data Identifier.
To do this, take the keywords you want to use for the validator and put them into
its own Keyword Matching rule condition and policy. Then test the policy using
data that should and should not match the keywords. The keyword rule will let
you see match highlighting and tune the keyword list. Once tested, you can add
the keywords to the Data Identifier and then test the Data Identifier policy to
ensure accuracy.

Use indexing to generate and maintain keyword dictionaries

Sometimes you may want to protect a long list or dictionary of keywords. An
example might be a list of project code names. Because long keyword lists are
hard to generate, tune, and maintain, you may want to consider using VML to
help automate the detection of keywords. For example, you could generate a profile
based on a collection of documents containing the keywords you want to protect.
See “VML policy considerations” on page 500.
 Chapter 25
Detecting content using
regular expressions
This chapter includes the following topics:

■ About regular expression matching

■ About writing regular expressions

■ Configuring the Content Matches Regular Expression condition

■ Regular expression matching considerations

About regular expression matching

Data Loss Prevention provides the Content Matches Regular Expression policy
match condition to match message content using the regular expression pattern
language.
Regular expressions provide a mechanism for identifying strings of text, such as
particular characters, words, or patterns of characters. You can use the regular
expression condition is used to match (or exclude from matching) characters,
patterns, and strings.
See “Configuring the Content Matches Regular Expression condition” on page 559.
See “Regular expression matching considerations” on page 560.

About writing regular expressions

Symantec Data Loss Prevention implements the Java regular expression syntax
for policy condition matching. provides some reference constructs for writing
558 Detecting content using regular expressions
About writing regular expressions

regular expressions to match or exclude characters in messages or message

components.
See “About regular expression matching” on page 557.

Note: Data Identifier pattern matching is based on the regular expression syntax.
However, not all regular expression constructs listed in the table below are
supported by Data Identifier patterns. See “About Data Identifier patterns”
on page 518.

Table 25-1 Regular expression constructs

Regular expression Description

construct

. Any single character (except for newline characters)

Note: The use of the dot (.) character is not supported for data identifier patterns.

\d Any digit (0-9)

\s Any white space

\w Any word character (a-z, A-Z, 0-9, _)

Note: The use of the \w construct does not match the underscore (_) character when
implemented in a data identifier pattern.

\D Anything other than a digit

\S Anything other than white space

[] Elements inside brackets are a character class (For example, [abc] matches 1 character:
a, b, or c.)

^ At the beginning of a character class, negates it (For example, [^abc] matches anything
except a, b, or c.)

+ Following a regular expression means 1 or more (For example, \d+ means 1 or more digit.)

? Following a regular expression means 0 or 1 (For example, \d? means 1 or no digits.)

* Following a regular expression means any number (For example, \d* means 0, 1, or more
digits.)

(?i) At the beginning of a regular expression makes it case-insensitive (Regular expressions are
case-sensitive by default.)

(?: ) Groups regular expressions together (The ?: is a slight performance enhancement.)

 Detecting content using regular expressions 559
Configuring the Content Matches Regular Expression condition

Table 25-1 Regular expression constructs (continued)

Regular expression Description

construct

(?u) Makes a period (.) match even newline characters

| Means OR (For example, A|B means regular expression A or regular expression B.)

Configuring the Content Matches Regular Expression

condition
You use the Content Matches Regular Expression condition to match (or exclude
from matching) characters, patterns, and strings using regular expressions.
See “About regular expression matching” on page 557.
To configure the Content Matches Regular Expression condition
1 Add a Content Matches Regular Expression condition to a policy, or edit an
existing one.
See “Configuring policies” on page 370.
See “Configuring policy rules” on page 374.
See “Configuring policy exceptions” on page 384.
2 Configure the Content Matches Regular Expression condition parameters.
See Table 25-2 on page 559.
3 Save the policy configuration.

Table 25-2 Content Matches Regular Expression parameters

Action Description

Match regex. Specify a regular expression to be matched.

See “About writing regular expressions” on page 557.

Configure match Configure how you want to count matches.

counting.
See “Configuring match counting” on page 378.

Check for existence reports a match count of 1 if there are one or more matches. For
compound rules or exceptions, all conditions must be configured this way.

Count all matches reports the sum of all matches; applies if any condition uses this
parameter.
560 Detecting content using regular expressions
Regular expression matching considerations

Table 25-2 Content Matches Regular Expression parameters (continued)

Action Description

Match on one or more Configure cross-component matching by selecting one or more message components to
message components. match on.

■ Envelope – The header of the message, transport metadata.

■ Subject – The email subject (only applies to email messages).
■ Body – The content of the message.
■ Attachments – The content of any files that are attached to or transported by the
message.

See “Selecting components to match on” on page 380.

Note: On the endpoint the DLP Agent matches the entire message regardless of any
individually selected components. See “Detection messages and message components”
on page 349.

Also match one or Select this option to create a compound condition. All conditions must match to trigger or
more additional except an incident.
conditions.
You can Add any available condition from the list.

See “Configuring compound match conditions” on page 386.

Regular expression matching considerations

This section provides considerations for implementing the Content Matches
Regular Expression match condition in your Data Loss Prevention policies.
See “About regular expression matching” on page 557.

When to use regular expression matching

Data Identifiers are more efficient than regular expressions because the Data
Identifier patterns are tuned for accuracy and the data is validated. For example,
if you want to search for social security numbers, use the US Social Security
Number (SSN) Data Identifier instead of a regular expression.
The regular expression condition is useful for matching or excepting unique data
types for which there are no system-provided Data Identifiers. Examples of these
might include internal account numbers and data types that can vary greatly in
length, such as email addresses.
 Detecting content using regular expressions 561
Regular expression matching considerations

Use look ahead and look behind characters to improve regex accuracy
Symantec Data Loss Prevention implements a significant enhancement to improve
the performance of regular expressions. To achieve improved regex performance,
the look ahead and look behind sections must exactly match one of the supported
standard sections.
Table 25-3 lists the standard look ahead and look behinds sections that this
performance improvement supports. If either section differs even slightly, that
section is executed as part of the regular expression without the performance
improvement.
See “About writing regular expressions” on page 557.

Table 25-3 Look ahead and look behind standard sections

Operation Construct

Look ahead (?=(?:[^-\w])|$)

Look behind (?<=(^|(?:[^)+\d][^-\w+])))

and

(?<=(^|(?:[^)+\d][^-\w+])|\t))

Use regular expressions sparingly to support efficient performance

Regular expressions can be computationally expensive. If you add a regular
expression condition, observe the system for one hour. Make sure that the system
does not slow down and that there are no false positives.

Test regular expressions before deployment to improve accuracy

If you implement regular expression matching, consider using a third-party tool
to test the regular expressions before you deployment the policy rules to
production. The recommended tool is RegexBuddy
562 Detecting content using regular expressions
Regular expression matching considerations
 Chapter 26
Detecting file properties
This chapter includes the following topics:

■ About file property matching

■ Implementing file property matching

■ Consider using compound file property rules to protect design and multimedia
files

About file property matching

Symantec Data Loss Prevention provides various methods for detecting the context
of messages, files, and attachments. You can detect the type, size, and name of
files and attachments. You can also use these conditions to except files and
attachments from matching.
See “About file type matching” on page 563.
See “About file size matching” on page 564.
See “About file name matching” on page 565.
See “Implementing file property matching” on page 566.

About file type matching

You use the Message Attachment or File Type Match condition to match the file
type of a message attachment. Symantec Data Loss Prevention supports the
identification of over 300 file types.
See “File types that can be recognized” on page 641.
Example uses of message attachment and file type matching are as follows:
■ A certain type of document should never leave the organization (such as a PGP
document or EXE file).
564 Detecting file properties
About file property matching

■ A certain type of match is likely to occur only in a document of a certain type,

such as a Word document.
The detection engine does not rely on the file name extension to match file format
type. For example, if a user changes the .mp3 file name extension to .doc and
emails the file, the detection engine can still register a match because it checks
the binary signature of the file to detect it as an MP3 file.

Note: File type matching does not crack the file and detect content; it only detects
the file type based on the binary signature of the file. To detect content, use a
content matching condition.

See “Configuring the Message Attachment or File Type Match condition”

on page 567.
See “About custom file type identification” on page 564.

About custom file type identification

If the type of file you want to detect is not supported as a system default file type,
Symantec Data Loss Prevention provides you with the ability to detect custom
file types using scripts
To detect a custom file type, you use the Symantec Data Loss Prevention Scripting
Language to write a custom script that detects the binary signature of the file
format that you want to protect. To implement this match condition you need to
enable it on the Enforce Server.
See “Enabling custom file type detection” on page 569.
See “Configuring the Custom File Type Signature condition” on page 570.

About file size matching

You use the Message Attachment or File Size Match condition to detect the size
of the message body and attachment. Detection is based on either the body or
attachment message component, or both, but not the entire message.
For example, consider a condition where you specify that an attachment size
greater than 50k matches. A message with a 5k header, 10k body, and 55k
attachment matches because the detected message component is the attachment,
which in this case is over the 50k threshold. On the other hand, a message with
a 5k header, 10k body, and 45k attachment does not match, even though the entire
message is more than 50k.
See “Detection messages and message components” on page 349.
 Detecting file properties 565
About file property matching

See “Configuring the Message Attachment or File Size Match condition”

on page 568.

About file name matching

You use the Message Attachment or File Name Match condition to detect the
names of files and attachments.
See “File name matching syntax” on page 565.
See “File name matching examples” on page 565.
See “Configuring the Message Attachment or File Name Match condition”
on page 569.

File name matching syntax

For file name matching, the system supports the DOS pattern matching syntax
to detect file names, including wildcards.
See “About file name matching” on page 565.
Any characters you enter (other than the DOS operators) match exactly. To enter
multiple file names, enter them as comma-separated values or by line space.
Table 26-1 describes the syntax for the Message Attachment or File Name Match
condition.

Table 26-1 DOS Operators for file name detection

Operator Description

. Use a dot to separate the file name and the extension.

* Use an asterisk as a wild card to match any number of characters (including none).

? Use a question mark to match a single character.

File name matching examples

Table 26-2 lists some examples for matching file names using the Message
Attachment or File Name condition.
See “About file name matching” on page 565.
566 Detecting file properties
Implementing file property matching

Table 26-2 File name matching examples

Match objective Example

To match a Word file name that begins with ENG- ENG-????????.doc

followed by any eight characters:

If you are not sure that it is a Word document: ENG-????????.*

If you are not sure how many characters are in the name: ENG-*.*

To match all file names that begin with ENG- and all file Enter as comma separated values:
names that begin with ITA-:
ENG-*.*,ITA-*

Or separate the file names by line space:

ENG-*.*

ITA-*

Implementing file property matching

Table 26-3 lists the conditions available for implementing file property matching.

Table 26-3 File Properties match conditions

Match condition Description

Message Attachment or File Detect or except specific files and attachments by type.
Type Match
See “About file type matching” on page 563.

See “Configuring the Message Attachment or File Type Match condition” on page 567.

Message Attachment or File Detect or except specific files and attachments by size.
Size Match
See “About file size matching” on page 564.

See “Configuring the Message Attachment or File Size Match condition” on page 568.

Message Attachment or File Detect or except specific files and attachments by name.
Name Match
See “About file name matching” on page 565.

See “Configuring the Message Attachment or File Name Match condition” on page 569.

Custom File Type Signature Detect or except custom file types.

Message/Email Properties Detect email properties for Data Classification services.

and Attributes
See the Enterprise Vault Data Classification Services Implementation Guide.
 Detecting file properties 567
Implementing file property matching

Configuring the Message Attachment or File Type Match condition

The Message Attachment or File Type Match condition matches the file type of
an attachment message component. You can configure an instance of this condition
in policy rules and exceptions.
See “About file type matching” on page 563.
To configure the Message Attachment or File Type Match condition
1 Add a Message Attachment or File Type Match condition to a policy rule or
exception, or edit an existing one.
See “Configuring policies” on page 370.
See “Configuring policy rules” on page 374.
See “Configuring policy exceptions” on page 384.
2 Configure the Message Attachment or File Type Match condition parameters.
See Table 26-4 on page 567.
3 Click Save to save the policy.

Table 26-4 Message Attachment or File Type Match condition parameters

Action Description

Select the file type or types Select all of the formats you want to match.
to match.
See “File types that can be recognized” on page 641.

Click select all or deselect all to select or deselect all formats.

To select all formats within a certain category (for example, all word-processing
formats), click the section heading.

The system implies an OR operator among all file types you select. For example, if you
select Microsoft Word and Microsoft Excel file type attachments, the system detects
all messages with Word or Excel documents attached, not messages with both
attachment types

Match on attachments only. This condition only matches on the Message Attachments component.

See “Detection messages and message components” on page 349.

Also match on one or more Select this option to create a compound condition. All conditions must match to trigger
additional conditions. or except an incident.

You can Add any condition available from the list.

See “Configuring compound match conditions” on page 386.

568 Detecting file properties
Implementing file property matching

Configuring the Message Attachment or File Size Match condition

The Message Attachment or File Size Match condition matches or excludes from
matching files of a specified size. You can configure an instance of this condition
in policy rules and exceptions.
See “About file size matching” on page 564.
To configure the Message Attachment or File Size Match condition
1 Add a Message Attachment or File Size Match condition to a policy, or edit
an existing one.
See “Configuring policies” on page 370.
See “Configuring policy rules” on page 374.
See “Configuring policy exceptions” on page 384.
2 Configure the Message Attachment or File Type Match condition parameters.
See Table 26-5 on page 568.
3 Click Save to save the policy.

Table 26-5 Message Attachment or File Size Match parameters

Action Description

Enter the Size to match. Enter a number, and select the unit of measure: bytes, kilobytes (KB), megabytes (MB),
or gigabytes (GB).

Select More Than to specify the minimum size of the file to match.

Select Less Than to specify the maximum size of the file to match.

Match on the body or Select one or both of the following message components on which to base the match:
attachments.
■ Body – The content of the message.
■ Attachments – Any files that are attached to or transferred by the message.

See “Selecting components to match on” on page 380.

Also match one or more Select this option to create a compound condition. All conditions must match to trigger
additional conditions. or except an incident.

You can Add any condition available from the list.

See “Configuring compound match conditions” on page 386.

 Detecting file properties 569
Implementing file property matching

Configuring the Message Attachment or File Name Match condition

The Message Attachment or File Name Match condition matches based on the
name of a file attached to the message. You can configure an instance of this
condition in policy rules and exceptions.
See “About file name matching” on page 565.
To configure the Message Attachment or File Name Match condition
1 Add a Message Attachment or File Name Match condition to a policy, or edit
an existing one.
See “Configuring policies” on page 370.
See “Configuring policy rules” on page 374.
See “Configuring policy exceptions” on page 384.
2 Configure the Message Attachment or File Type Match condition parameters.
See Table 26-6 on page 569.
3 Click Save to save the policy.

Table 26-6 Message Attachment or File Name Match parameters

Action Description

Specify the File Name. Specify the file name to match using the DOS pattern matching language to represent
patterns in the file name.

Separate multiple matching patterns with commas or by placing them on separate lines.

See “File name matching syntax” on page 565.

See “File name matching examples” on page 565.

Match on attachments. This condition only matches on the Message Attachments component.

See “Detection messages and message components” on page 349.

Also match one or more Select this option to create a compound condition. All conditions must match to trigger
additional conditions. or except an incident.

You can Add any condition available from the list.

See “Configuring compound match conditions” on page 386.

Enabling custom file type detection

The custom file type policy rule is not enabled by default. To implement the
Custom File Type Signature condition, you must first enable it.
See “About custom file type identification” on page 564.
570 Detecting file properties
Implementing file property matching

To enable the Custom File Type Signature rule

1 Using a text editor, open the file
\SymantecDLP\Protect\config\Manager.properties

2 Set the value of the following parameter to "true":

com.vontu.manager.policy.showcustomscriptrule=true

3 Stop and then restart the Vontu Manager service.

4 Log back on to the Enforce Server Administration Console and add a new
blank policy.
5 Add a new detection rule or exception and beneath the File Properties heading
you should see the Custom File Type Signature condition.
6 Configure the condition with your custom script.
See “Configuring the Custom File Type Signature condition” on page 570.

Configuring the Custom File Type Signature condition

The Custom File Type Signature condition matches custom file types that you
have scripted. You can implement the Custom File Type Signature condition in
policy rules and exceptions.
See “About custom file type identification” on page 564.
See “Enabling custom file type detection” on page 569.
To configure a Custom File Type Signature condition
1 Add a Custom File Type Signature condition to a policy rule or exception, or
edit an existing one.
See “Configuring policy rules” on page 374.
See “Configuring policy exceptions” on page 384.
2 Configure the Custom File Type Signature condition parameters.
See Table 26-7 on page 570.
3 Click Save to save the policy.

Table 26-7 Custom File Type Signature parameters

Action Description

Enter the Script Name. Specify the name of the script. The name must be unique across policies.
 Detecting file properties 571
Consider using compound file property rules to protect design and multimedia files

Table 26-7 Custom File Type Signature parameters (continued)

Action Description

Enter the custom file Enter the File Type Matches Signature script for detecting the binary signature of the
type script. custom file type.

See the Symantec Data Loss Prevention Detection Customization Guide for details on writing
custom scripts.

See “Custom file formats” on page 656.

Match only on This condition only matches on the Message Attachments component.
attachments.
See “Detection messages and message components” on page 349.

Also match one or more Select this option to create a compound condition. All conditions must match to trigger
additional conditions. or except an incident.

You can Add any condition available from the list.

See “Configuring compound match conditions” on page 386.

Consider using compound file property rules to

protect design and multimedia files
You can use IDM to protect files, or you can use file property rules. Unless you
must protect an exact file, the general recommendation is to use the file property
rules because there is less overhead in setting up the rules.
For example, if you want to detect CAD files that contain IP diagrams, you could
index these files and apply IDM rules to detect them. Alternatively, you could
create a policy that contains a file type rule that detects on the CAD file format
plus a file size rule that specifies a threshold size. The file property approach is
preferred because in this scenario all you really care about is protecting large CAD
files potentially leaving the company. There is no need to gather and index these
files for IDM if you can simply create rules that will detect on the file type and
the size.
572 Detecting file properties
Consider using compound file property rules to protect design and multimedia files
 Chapter 27
Detecting network and
mobile incidents
This chapter includes the following topics:

■ About protocol monitoring for network

■ About protocol monitoring for mobile

■ Configuring the Protocol Monitoring condition for network detection

■ Configuring the Protocol Monitoring condition for mobile detection

■ Consider separate policies for specific protocols

About protocol monitoring for network

Symantec Data Loss Prevention provides the Protocol Monitoring condition which
lets you detect network messages based on the communications transport method.
Table 27-1 lists the protocols that Data Loss Prevention supports for network
detection.

Table 27-1 Supported protocols for network monitoring

Protocol Description

Email/SMTP Simple Mail Transfer Protocol (SMTP) is a protocol for sending email messages between servers.

FTP The file transfer protocol (FTP) is used on the Internet for transferring files from one computer
to another.

HTTP The hypertext transfer protocol (HTTP) is the underlying protocol that supports the World
Wide Web. HTTP defines how messages are formatted and transmitted, and what actions Web
servers and browsers should take in response to various commands.
574 Detecting network and mobile incidents
About protocol monitoring for mobile

Table 27-1 Supported protocols for network monitoring (continued)

Protocol Description

HTTP/SSL Hypertext transfer protocol over Secure Sockets Layer (HTTPS) is a protocol for sending data
securely between a client and server.

IM:MSN Instant messaging is a type of communications service that enables you to create a private
chat room with another individual.
IM:AIM
Data Loss Prevention supports detection on the following IM channels.:
IM:AIM
■ AIM instant messaging
■ MSN instant messaging
■ Yahoo! Instant messaging

NNTP Network News Transport Protocol (NNTP), which is used to send, distribute, and retrieve
USENET messages.

TCP:custom_protocol The Transmission Control Protocol (TCP) is used to reliably exchange data between computers
across the Internet. This option is only available if you have defined a custom TCP port.

See “Configuring the Protocol Monitoring condition for network detection”

on page 575.
See “About protocol monitoring for mobile” on page 574.

About protocol monitoring for mobile

Symantec Data Loss Prevention provides the Protocol Monitoring condition which
lets you detect mobile messages based on the communications transport method.
Table 27-2 lists the protocols that Data Loss Prevention supports for mobile
detection.

Table 27-2 Supported protocols for mobile monitoring

Protocol Description

FTP File transfer protocol (FTP) is used on the Internet for transferring files from one computer
to another.

HTTP The hypertext transfer protocol (HTTP) is the underlying protocol that supports the World
Wide Web. HTTP defines how messages are formatted and transmitted, and what actions Web
servers and browsers should take in response to various commands.

HTTP/SSL Hypertext transfer protocol over Secure Sockets Layer (HTTPS) is a protocol for sending data
securely between a client and server.
 Detecting network and mobile incidents 575
Configuring the Protocol Monitoring condition for network detection

See “About protocol monitoring for network” on page 573.

See “Configuring the Protocol Monitoring condition for mobile detection”
on page 576.

Configuring the Protocol Monitoring condition for

network detection
You use the Protocol Monitoring condition to detect network incidents. You can
implement an instance of the Protocol Monitoring condition in one or more policy
detection rules and exceptions.

Table 27-3 Protocol Monitoring condition parameters for Network

Action Description

Add or modify the Add a new Protocol or Endpoint Monitoring condition to a policy rule or exception, or
Protocol or Endpoint modify an existing rule or exception condition.
Monitoring condition.
See “Configuring policies” on page 370.

See “Configuring policy rules” on page 374.

See “Configuring policy exceptions” on page 384.

Select one or more To detect Network incidents, select one or more Protocols.
protocols to match.
■ Email/SMTP
■ FTP
■ HTTP
■ HTTPS/SSL
■ IM:AIM
■ IM:MSN
■ IM:Yahoo
■ NNTP

Configure a custom Select one or more custom protocols: TCP:custom_protocol.

network protocol.

Configure endpoint See “Configuring the Endpoint Monitoring condition” on page 582.
monitoring.

Match on the entire The Protocol Monitoring condition matches on the entire message, not individual message
message. components.

The Envelope option is selected by default. You cannot select individual message
components.

See “Detection messages and message components” on page 349.

576 Detecting network and mobile incidents
Configuring the Protocol Monitoring condition for mobile detection

Table 27-3 Protocol Monitoring condition parameters for Network (continued)

Action Description

Also match one or more Select this option to create a compound condition. All conditions must match to trigger
additional conditions. or except an incident.

You can Add any condition available from the list.

See “Configuring compound match conditions” on page 386.

Configuring the Protocol Monitoring condition for

mobile detection
You use the Protocol Monitoring condition to detect mobile incidents. You can
use this condition in policy detection rules and exceptions.
Table 27-4 describes the configuration of the Protocol Monitoring condition for
mobile detection.

Table 27-4 Protocol Monitoring condition parameters for Mobile

Action Description

Add or modify the Add a new Protocol or Endpoint Monitoring condition to a policy rule or exception, or
Protocol or Endpoint modify an existing rule or exception condition.
Monitoring condition.
See “Configuring policies” on page 370.

See “Configuring policy rules” on page 374.

See “Configuring policy exceptions” on page 384.

Select one or more To detect Mobile incidents, select one or more Protocols:
protocols to match.
■ FTP
File transfer protocol is used on the Internet for transferring files from one computer
to another.
■ HTTP
The hypertext transfer protocol is the underlying protocol that supports the World
Wide Web. HTTP defines how messages are formatted and transmitted, and what
actions Web servers and browsers should take in response to various commands.
■ HTTPS/SSL
Hypertext transfer protocol over Secure Sockets Layer, which is a protocol for sending
data securely between a client and server.

Custom network protocol. Mobile monitoring only supports FTP, HTTP, and HTTP/S.
 Detecting network and mobile incidents 577
Consider separate policies for specific protocols

Table 27-4 Protocol Monitoring condition parameters for Mobile (continued)

Action Description

Configure endpoint See “Configuring the Endpoint Monitoring condition” on page 582.
monitoring.

Match on the entire The Protocol Monitoring condition matches on the entire message, not individual message
message. components.

The Envelope option is selected by default. You cannot select individual message
components.

See “Detection messages and message components” on page 349.

Also match one or more Select this option to create a compound condition. All conditions must match to trigger
additional conditions. or except an incident.

You can Add any condition available from the list.

See “Configuring compound match conditions” on page 386.

Consider separate policies for specific protocols

You can use protocol matching detection to detect network traffic, such as Web
mail, social networking, and specific protocols. For protocol monitoring, consider
implementing different policies for each type of protocol, such as SMTP, TCP,
HTTP, FTP, etc. Creating separate policies for specific protocols may ease
remediation and help you tune the policies.
578 Detecting network and mobile incidents
Consider separate policies for specific protocols
 Chapter 28
Detecting endpoint events
This chapter includes the following topics:

■ About endpoint event detection

■ Implementing endpoint event matching

■ Endpoint event policy considerations

About endpoint event detection

Endpoint detection matches events on endpoint computers where the Symantec
DLP Agent is installed.
See “About Endpoint Prevent monitoring” on page 1311.
Symantec Data Loss Prevention provides several methods for detecting and
excepting endpoint events, and a collection of response rules for responding to
them.
See “Response rules for Endpoint detection” on page 804.

About endpoint protocol monitoring

On the endpoint you can detect data loss based on the transport protocol, such
as email (SMTP), Web (HTTP), and file transfer (FTP).
See “Configuring the Endpoint Monitoring condition” on page 582.

Table 28-1 Supported protocols for endpoint monitoring

Protocol Description

Email/SMTP Simple Mail Transfer Protocol (SMTP) is a protocol for sending email messages between servers.
580 Detecting endpoint events
About endpoint event detection

Table 28-1 Supported protocols for endpoint monitoring (continued)

Protocol Description

FTP The file transfer protocol (FTP) is used on the Internet for transferring files from one computer
to another.

HTTP The hypertext transfer protocol (HTTP) is the underlying protocol that supports the World
Wide Web. HTTP defines how messages are formatted and transmitted, and what actions Web
servers and browsers should take in response to various commands.

HTTP/SSL Hypertext transfer protocol over Secure Sockets Layer (HTTPS) is a protocol for sending data
securely between a client and server.

IM:MSN Instant messaging is a type of communications service that enables you to create a private
chat room with another individual.
IM:AIM
Data Loss Prevention supports detection on the following IM channels.:
IM:AIM
■ AIM instant messaging
■ MSN instant messaging
■ Yahoo! Instant messaging

About endpoint destination monitoring

You can also detect endpoint data loss on the destination where data is copied or
moved, such as CD/DVD drive, USB device, or the clipboard.
See “Configuring the Endpoint Monitoring condition” on page 582.

Table 28-2 Supported destinations for endpoint monitoring

Destination Description

Local Drive Monitor the local disk.

CD/DVD The CD/DVD burner on the endpoint computer. This destination can be any type of
third-party CD/DVD burning software.

Removable Storage Device Detect data that is transferred to any eSATA, FireWire, or USB connected storage
device.

Copy to Network Share Detect data that is transferred to any network share or remote file access.

Printer/Fax Detect data that is transferred to a printer or to a fax that is connected to the
endpoint computer. This destination can also be print-to-file documents.

Clipboard The Windows Clipboard used to copy and paste data between Windows applications.
 Detecting endpoint events 581
About endpoint event detection

About endpoint application monitoring

You can create exceptions for allowable use scenarios.
The DLP Agent monitors any third-party application you add and configure at
the System > Agents > Application Monitoring screen.
The DLP Agent monitors applications when they access sensitive files.
See “Adding an application” on page 1402.
See “Configuring the Endpoint Monitoring condition” on page 582.

About endpoint device detection

Symantec Data Loss Prevention lets you detect or except specific endpoint devices
based on described device metadata. You can configure a condition to allow
endpoint users to copy files to a specific device class, such as USB drives from a
single manufacturer.
See “Manage and add endpoint devices” on page 586.
For example, a policy author has a set of USB flash drives with serial numbers
that range from 001-010. These are the only flash drives that should be allowed
to access the company’s endpoint computers. The policy administrator adds the
serial number metadata into an exception of a policy so that the policy applies to
all USB flash drives except for the drives with the serial number that falls into
the 001-010 metadata. In this fashion the device metadata allows for only “trusted
devices” to be allowed to carry company data.
See “Creating and modifying endpoint device configurations” on page 587.
The Endpoint Device Class or ID condition detects specific removable storage
devices based on their definitions. Endpoint Destination parameters in the
Endpoint Monitoring condition detect any removable storage device on the
endpoint,
See “Configuring the Endpoint Device Class or ID condition” on page 585.

About endpoint location detection

You can detect or except events based on the location of the endpoint.
Using the Endpoint Location detection method, you can choose to detect incidents
only when the endpoint is on or off the network.
For example, you might configure this condition to match only when users are
off the corporate network because you have other rules in place for detecting
network incidents. In this case implementing the Endpoint Location detection
method would achieve this result.
582 Detecting endpoint events
Implementing endpoint event matching

See “Configuring the Endpoint Location condition” on page 584.

Implementing endpoint event matching

Table 28-3 describes the various methods for implementing endpoint event
monitoring.

Table 28-3 Detecting endpoint events

Endpoint match conditions Details

Endpoint Protocol Monitoring Detect endpoint data based on the protocol.

See “About endpoint protocol monitoring” on page 579.

See “Configuring the Endpoint Monitoring condition” on page 582.

Endpoint Destination Detect endpoint data based on the destination.

Monitoring
See “About endpoint protocol monitoring” on page 579.

See “Configuring the Endpoint Monitoring condition” on page 582.

Endpoint Application Detect endpoint data based on the application.

Monitoring
See “About endpoint protocol monitoring” on page 579.

See “Configuring the Endpoint Monitoring condition” on page 582.

Endpoint Device or Class ID Detect when users move endpoint data to a specific device.

See “About endpoint device detection” on page 581.

See “Configuring the Endpoint Device Class or ID condition” on page 585.

Endpoint Location Detect when the endpoint is on or off the corporate network.

See “About endpoint location detection” on page 581.

See “Configuring the Endpoint Location condition” on page 584.

Configuring the Endpoint Monitoring condition

The Endpoint Monitoring condition matches on endpoint message protocols,
destinations, and applications.
You can implement an instance of the Endpoint Monitoring condition in one or
more policy detection rules and exceptions.
 Detecting endpoint events 583
Implementing endpoint event matching

Note: This topic does not address network protocol monitoring configuration.
See “Configuring the Protocol Monitoring condition for network detection”
on page 575.

Table 28-4 Configure the Endpoint Monitoring condition

Action Description

Add or modify the Add a new Protocol or Endpoint Monitoring condition to a policy
Endpoint rule or exception, or modify an existing rule or exception condition.
Monitoring
See “Configuring policy rules” on page 374.
condition.
See “Configuring policy exceptions” on page 384.

See “Configuring policies” on page 370.

Select one or more To detect Endpoint incidents, select one or more Endpoint Protocols:
endpoint protocols
■ Email/SMTP
to match.
■ HTTP
■ HTTPS/SSL
■ IM:MSN
■ IM:AIM
■ IM:Yahoo
■ FTP

See “About endpoint protocol monitoring” on page 579.

Select one or more To detect when users move data on the endpoint, select one or more
endpoint Endpoint Destinations:
destinations.
■ Local Drive
■ CD/DVD
■ Removable Storage Device
■ Copy to Network Share
■ Printer/Fax
■ Clipboard

See “About endpoint protocol monitoring” on page 579.

Monitor endpoint To detect when endpoint applications access files, select the
applications. Application File Access option.

See “About application monitoring” on page 1401.

584 Detecting endpoint events
Implementing endpoint event matching

Table 28-4 Configure the Endpoint Monitoring condition (continued)

Action Description

Match on the entire The DLP Agent evaluates the entire message, not individual message
message. components.

The Envelope option is selected by default. You cannot select the

other message components.

See “Detection messages and message components” on page 349.

Also match one or Select this option to create a compound condition. All conditions
more additional must match to trigger or except an incident.
conditions.
You can Add any condition available from the list.

See “Configuring compound match conditions” on page 386.

Configuring the Endpoint Location condition

The Endpoint Location condition matches endpoint events based on the location
of the endpoint computer where the DLP Agent is installed.
You can implement an instance of the Endpoint Location condition in one or more
policy detection rules and exceptions.
See “Configuring policies” on page 370.

Table 28-5 Configure the Endpoint Location detection condition

Action Description

Add or modify the Add a new Endpoint Location detection condition to a policy rule or
Endpoint Location exception, or modify an existing policy rule or exception.
condition.
See “Configuring policy rules” on page 374.

See “Configuring policy exceptions” on page 384.

Select the location Select one of the following endpoint locations to monitor:
to monitor.
■ Off the corporate network
Select this option to detect or except events when the endpoint
computer is off of the corporate network.
■ On the corporate network
Select this option to detect or except events when the endpoint
computer is on the corporate network.
This option is the default selection.

See “About endpoint location detection” on page 581.

 Detecting endpoint events 585
Implementing endpoint event matching

Table 28-5 Configure the Endpoint Location detection condition (continued)

Action Description

Match on the entire The DLP Agent evaluates the entire message, not individual message
message. components.

The Envelope option is selected by default. The other message

components are not selectable.

See “Detection messages and message components” on page 349.

Also match one or Select this option to create a compound condition. All conditions
more additional must match to trigger or except an incident.
conditions.
You can Add any condition available from the list.

See “Configuring compound match conditions” on page 386.

See “About endpoint location detection” on page 581.

See “Configuring the Endpoint Location condition” on page 584.

Configuring the Endpoint Device Class or ID condition

The Endpoint Device Class or ID condition lets you detect when users move
endpoint data to specific devices.
You can implement the Endpoint Device Class or ID condition in one or more
policy detection rules or exceptions.
See “Configuring policies” on page 370.

Table 28-6 Configuring the Endpoint Device Class or ID condition

Action Description

Add or modify Add a new Endpoint Device Class or ID condition to a policy rule or
an Endpoint exception, or modify an existing one.
Device
See “Configuring policy rules” on page 374.
condition.
See “Configuring policy exceptions” on page 384.

Select one or The condition matches when users move data from an endpoint
more devices. computer to the selected device(s).

Click Create an endpoint device to define one or more devices.

See “Creating and modifying endpoint device configurations” on page 587.

586 Detecting endpoint events
Implementing endpoint event matching

Table 28-6 Configuring the Endpoint Device Class or ID condition (continued)

Action Description

Match on the The DLP Agent matches on the entire message, not individual message
entire message. components.

The Envelope option is selected by default. You cannot select other

components.

See “Detection messages and message components” on page 349.

Also match one Select this option to create a compound condition. All conditions must
or more match to trigger or except an incident.
additional
You can Add any condition available from the drop-down menu.
conditions.
See “Configuring compound match conditions” on page 386.

See “About endpoint device detection” on page 581.

See “Manage and add endpoint devices” on page 586.

Manage and add endpoint devices

From the System > Agents > Endpoint Devices screen you manage existing
endpoint devices and add new ones.
See “About endpoint device detection” on page 581.

Table 28-7 Manage endpoint devices

Action Description

Add endpoint Click Add Device to define a new endpoint device. Once defined the
device. device is added to the list.

See “Gathering endpoint device IDs” on page 588.

Modify existing To edit a device definition, select anywhere in the device row, or click
endpoint device the pencil icon.
configurations.
See “Creating and modifying endpoint device configurations”
on page 587.

View configured The Endpoint Devices screen lists all configured endpoint devices.
endpoint devices. The columns display the following information:

■ Device Name
■ Device Description
■ Device Definition (Regex)
 Detecting endpoint events 587
Implementing endpoint event matching

Table 28-7 Manage endpoint devices (continued)

Action Description

Sort endpoint You can sort the endpoint device list by name, description, or
devices. definition.

Creating and modifying endpoint device configurations

You can configure one or more devices for specific endpoint detection. Once the
device expressions are configured, you implement the Endpoint Device Class or
ID condition in one or more policy rules or exceptions to deny or allow the use of
the specific devices
See “Gathering endpoint device IDs” on page 588.
To create and modify endpoint device ID expressions
1 Click Add Device.
Perform this action from the System > Agent > Endpoint Devices screen.
2 Enter the Device Name.
3 Enter a Device Desciption.
4 Enter the Device Definition expression.
The device definition must conform to the regular expression syntax.
See Table 28-8 on page 587.
See “About writing regular expressions” on page 557.
5 Click Save to save the device configuration.
6 Implement the Endpoint Device Class or ID condition in a detection rule or
exception.
See “Configuring the Endpoint Device Class or ID condition” on page 585.

Table 28-8 Example endpoint device expressions

Example device class Expression example

Generic USB Device USBSTOR\\DISK&VEN_SANDISK&PROD_ULTRA_BACKUP&REV_8\.32\\3485731392112B52

iPod generic USBSTOR\\DISK&VEN_APPLE&PROD_IPOD&.*

Lexar generic USBSTOR\\DISK&VEN_LEXAR.*

CD Drive IDE\\DISKST9160412ASG__________________0002SDM1\\4&F4ACADA&0&0\.0\.0
588 Detecting endpoint events
Implementing endpoint event matching

Table 28-8 Example endpoint device expressions (continued)

Example device class Expression example

Hard drive USBSTOR\\DISK&VEN_MAXTOR&PROD_ONETOUCH_II&REV_023D\\B60899082H____&0

Blackberry generic USBSTOR\\DISK&VEN_RIM&PROD_BLACKBERRY...&REV.*

Cell phone USBSTOR\\DISK&VEN_PALM&PROD_PRE&REV_000\\FBB4B8FF4CAEFEC11 24DED689&0

See “About endpoint device detection” on page 581.

See “Manage and add endpoint devices” on page 586.

Gathering endpoint device IDs

You add device metadata information to the Enforce Server and create one or
more policy detection methods that detect or except the specific device instance
or class of device. The system supports the regular expression syntax for defining
the metadata. The system displays the device metadata at the Incident Snapshot
screen during remediation.
See “Creating and modifying endpoint device configurations” on page 587.
The metadata the system requires to define the device instance or device class is
the Device Instance ID. On Windows you can obtain the "Device Instance Id" from
the Device Manager.
In addition, Symantec Data Loss Prevention provides the DeviceID.exe utility.
You can use this utility to extract Device Instance ID strings. This utility also
reports what devices the system can recognize for detection. This utility is available
with the Enforce Server installation files.
See “About the Device ID utility” on page 1411.

Note: The Device Instance ID is also used by Symantec Endpoint Protection (SEP).

To obtain the Device Instance ID (on Windows)

1 Right-click My Computer.
2 Select Manage.
3 Select the Device Manager.
4 Click the plus sign beside any device to expand its list of device instances.
5 Double-click the device instance. Or, right-click the device instance and select
Properties.
 Detecting endpoint events 589
Endpoint event policy considerations

6 Look in the Details tab for the Device Instance Id.

7 Use the ID to create device metadata expressions.
See “Creating and modifying endpoint device configurations” on page 587.
See “About endpoint device detection” on page 581.
See “Manage and add endpoint devices” on page 586.

Endpoint event policy considerations

When implementing endpoint match conditions, keep in mind the following
considerations:
■ Any detection method that executes on the endpoint matches on the entire
message, not individual message components.
See “Detection messages and message components” on page 349.
■ The Endpoint Destination and Endpoint Location methods are specific to the
endpoint computer and are not user-based.
See “Distinguish synchronized DGM from other types endpoint detection”
on page 606.
■ You might often combine group and detection methods on the endpoint. Keep
in mind that the policy language ANDs detection and group methods, whereas
methods of the same type, two rules for example, are ORed.
See “Policy detection execution” on page 352.
590 Detecting endpoint events
Endpoint event policy considerations
 Chapter 29
Detecting described
identities
This chapter includes the following topics:

■ About described identity matching

■ Implementing described identity matching

■ Described identity matching examples

■ Configuring the Sender/User Matches Pattern condition

■ Configuring the Recipient Matches Pattern condition

■ Described identity matching policy considerations

About described identity matching

Described identity detection matches patterns in messages from email senders
and recipients, Windows users, IM users, URL domains, and IP addresses.
See “Implementing described identity matching” on page 591.
See “Configuring the Sender/User Matches Pattern condition” on page 593.
See “Configuring the Recipient Matches Pattern condition” on page 595.

Implementing described identity matching

Table 29-1 lists and describes the two conditions that Symantec Data Loss
Prevention provides for matching described identities.
See “Described identity matching examples” on page 592.
592 Detecting described identities
Described identity matching examples

Table 29-1 Implementing described identity matching

Match condition Description

Sender/User Matches Pattern Matches on an email address, domain address, IP address, Windows user
name, or IM screen name / handle.

See “Configuring the Sender/User Matches Pattern condition” on page 593.

Recipient Matches Pattern Matches on an email address, domain address, IP address, or newsgroup

See “Configuring the Recipient Matches Pattern condition” on page 595.

Described identity matching examples

Table 29-2 lists and describes some example described content matching examples.

Table 29-2 Pattern identity matching examples

Example Pattern Matches Does Not Match

fr, cu All SMTP email that is addressed to a .fr Any email that is addressed to French
(France) or .cu (Cuba) addresses. company with the .com extension instead of
.fr.

Any HTTP post to a .fr address through a

Web-based mail application, such as Yahoo
mail.

company.com All SMTP email that is addressed to the Any SMTP email that is not addressed to the
specific domain URL, such as specific domain URL.
symantec.com.

3rdlevel.company.com All SMTP email that is addressed to the Any SMTP email that is not addressed to the
specific 3rd level domain, such as specific 3rd level domain.
dlp.symantec.com.

bob@company.com All SMTP email that is addressed to Any email not specifically addressed to
bob@company.com. bob@company.com, such as:

All SMTP email that is addressed to ■ sally@company.com

BOB@COMPANY.COM (the pattern is not ■ robert.bob@company.com
case-sensitive). ■ bob@3rdlevel.company.com

192.168.0.* All email, Web, or URL traffic specifically Note: If the IP address does not match, use
addressed to 192.168.0.[0-255]. one or more domain URLs instead.
This result assumes that the IP address
maps to the desired domain, such as
web.company.com.
 Detecting described identities 593
Configuring the Sender/User Matches Pattern condition

Configuring the Sender/User Matches Pattern

condition
The Sender/User Matches Pattern condition matches described user and message
sender identities. You can use this condition in a policy detection rule or exception.
See “About described identity matching” on page 591.
See “Described identity matching policy considerations” on page 596.
Configuring the Sender/User Matches Pattern condition describes the process
for configuring the Sender/User Matches Pattern condition.
594 Detecting described identities
Configuring the Sender/User Matches Pattern condition

Table 29-3 Configuring the Sender/User Matches Pattern condition

Action Description

Enter one or more Sender Email Address Pattern:

Patterns to match one or
■ To match a specific email address, enter the full email address:
more message senders.
sales@symantec.com
■ To match multiple exact email addresses, enter a comma-separated list:
john.smith@company.com, johnsmith@company.com,
jsmith@company.com
■ To match partial email addresses, enter one or more domain patterns:
■ Enter one or more top-level domain extensions, for example:
.fr, .cu, .in, .jp
■ Enter one or more domain names, for example:
company.com, symantec.com
■ Enter one or more third-level (or lower) domain names:
web.company.com, mail.yahoo.com, smtp.gmail.com,
dlp.security.symantec.com

Windows User Names

Enter the names of one or more Windows users, for example:

john.smith, jsmith

IM Screen Name

Enter one or more IM screen names that are used in instant messaging systems, for
example:

john_smith, jsmith

IP Address
Enter one or more IP addresses that map to the domain you want to match, for
example:

■ Exact IP address match, for example:

192.168.1.1
■ Wildcard match – The asterisk (*) character can substitute for one or more fields,
for example:
192.168.1.* or 192.*.168.*

Match on the entire message. This condition matches on the entire message. The Envelope option is selected by
default. You cannot select any other message component.

See “Detection messages and message components” on page 349.

 Detecting described identities 595
Configuring the Recipient Matches Pattern condition

Table 29-3 Configuring the Sender/User Matches Pattern condition (continued)

Action Description

Also match additional Select this option to create a compound condition. All conditions must match to
conditions. trigger an incident.

You can Add any available condition from the list.

See “Configuring compound match conditions” on page 386.

Configuring the Recipient Matches Pattern condition

The Recipient Matches Pattern condition matches the described identity of
message recipients. You can use this condition in a policy detection rule or
exception.
See “About described identity matching” on page 591.
See “Define precise identity patterns to match users” on page 596.
Configuring the Recipient Matches Pattern condition defines the process for
configuring the Recipient Matches Pattern condition.

Table 29-4 Recipient Matches Pattern condition parameters

Action Description

Enter one or more Recipient Email Address/Newsgroup Pattern

Patterns to match one or
Enter one or more email or newsgroup addresses to match the desired recipients.
more message recipients.
Separate multiple entries with To match specific email addresses, enter the full address, such as
commas. sales@symantec.com. To match email addresses from a specific domain, enter the
domain name only, such as symantec.com.

IP Address

Enter one or more IP address patterns that resolve to the domain that you want to
match. You can use the asterisk (*) wildcard character for one or more fields.

URL Domain

Enter one or more URL Domains to match Web-based traffic, including Web-based
email and postings to a Web site. For example, if you want to prohibit the receipt of
certain types of data using Hotmail, enter hotmail.com.
596 Detecting described identities
Described identity matching policy considerations

Table 29-4 Recipient Matches Pattern condition parameters (continued)

Action Description

Configure match counting. Select one of the following options to specify the number of email recipients that
must match:

■ All recipients must match (Email Only) does not count a match unless ALL email
message recipients match the specified pattern.
■ At least _ recipients must match (Email Only) lets you specify the minimum
number of email message recipients that must match to be counted.
Select one of the following options to specify how you want to count the matches:

■ Check for existence

Reports a match count of 1 if there are one or more matches.
■ Count all matches
Reports the sum of all matches.

See “Configuring match counting” on page 378.

Match on the entire message. This condition matches on the entire message. The Envelope option is selected by
default. You cannot select any other message component.

See “Detection messages and message components” on page 349.

Also match additional Select this option to create a compound condition. All conditions in a rule or exception
conditions. must match to trigger an incident.

You can Add any available condition from the list.

See “Configuring compound match conditions” on page 386.

Described identity matching policy considerations

This section provides considerations for implementing the Sender/User or
Recipient Matches Pattern conditions in policy detection rules or exceptions. Keep
in mind these considerations when you implement these conditions.

Define precise identity patterns to match users

Both the Sender/User and Recipient conditions match on the entire message, not
individual message components. If either condition is used as an exception, a
match excludes the entire message, not only the header.
See “Policy detection execution” on page 352.
For both described identity matching rules, the system implies an OR between all
comma-separated list items and between all fields. For example, if any single
email address among a list of email addresses matches, the condition reports (or
 Detecting described identities 597
Described identity matching policy considerations

excepts) an incident. Or, if either an email address, a domain name, or an IP address

matches, the condition reports (or excepts) an incident.
See “Detection messages and message components” on page 349.
Table 29-5 describes the types of patterns you can use for described identity
matching.

Table 29-5 Patterns for identity matching

Pattern Sender/User Matches Pattern Recipient Matches Pattern

Email address: full and partial matches matches

Domain address: top-level and matches matches

subdomains

IP address matches matches

Windows user name matches does not match

IM screen name / handle matches does not match

Newsgroup patterns does not match matches

Specify email addresses exactly to improve accuracy

An email address must match exactly. For example, bob@company.com does not
match bob@something.company.com. But, a domain name pattern such as
company.com or something.company.com matches bob@something.company.com.

The email address field does not match the sender or recipient of a Web post. For
example, the email address bob@yahoo.com does not match if Bob uses a Web
browser to send or receive email. In this case, you must use the domain pattern
mail.yahoo.com to match bob@yahoo.com.

Match domains instead of IP addresses to improve accuracy

The URL Domain pattern matches HTTP traffic to particular URL domains. You
do not enter the entire URL. For example, you enter mail.yahoo.com not
http://www.mail.yahoo.com.

The system does not resolve URL domains to IP addresses. For example, you
specify an IP address of 192.168.1.1 for a specific domain. If users access the
domain URL using a Web browser, the system does not match emails that are
transmitted by the IP address. In this case, use a domain pattern instead of an IP
address, such as internalmemos.com.
598 Detecting described identities
Described identity matching policy considerations

You can detect senders/users and recipients based one or more IP addresses .
However, to do so you must carefully consider the placement of the detection
server on your network. If the detection server is installed between the Web proxy
and the Internet, the IP address of all Web traffic from individuals in your
organization appears to come from the Web proxy. If the detection server is
installed between the Web proxy and the internal corporate network, the IP address
of all Web traffic from outside your organization appears to go to the Web proxy.
The best practice is to match on domain names instead of IP addresses.
 Chapter 30
Detecting synchronized
identities
This chapter includes the following topics:

■ About synchronized Directory Group Matching (DGM)

■ Implementing synchronized DGM

■ Synchronized DGM policy considerations

About synchronized Directory Group Matching (DGM)

Symantec Data Loss Prevention provides synchronized Directory Group Matching
(DGM) to detect data based on the exact identities of users, senders, and recipients
of that data. Using synchronized DGM, you can connect the Enforce Server to a
group directory server such as Microsoft Active Directory and detect users based
on their directory group affiliation. For example, you may want to apply policies
to staff only in the engineering department of your company, but not to staff in
the human resources department. Synchronized DGM enables you to do this.
Synchronized DGM is based on a User Group configuration that you populate
with users synchronized from your directory server. When you create a
synchronized DGM policy, you reference the User Group in the policy. At runtime
the synchronized DGM policy only applies to identities in the User Group reference
by the policy. Or, consider an example where you you want to create a policy that
applies to your everyone in your organization except the CEO. In this case you
can create a User Group that contains the CEO's identity as a sole group member.
You then define a policy exception that references the CEO User Group. At runtime
the policy will ignore messages sent or received by the CEO.
See “User Groups” on page 336.
600 Detecting synchronized identities
Implementing synchronized DGM

About two-tier detection for synchronized DGM

On the endpoint, the Recipient based on a Directory Server Group condition
requires two-tier detection for DLP Agents. The corresponding Sender/User based
on a Directory Server Group condition does not require two-tier detection.
Be sure understand the implications of two-tier detection before you deploy the
synchronized DGM Recipient rule to one or more endpoints.
See “Two-tier detection for DLP Agents” on page 353.
To check if two-tier detection is being used, check the
\SymantecDLP\Protect\logs\debug\FileReader.log on the Endpoint Server.

See “Troubleshooting policies” on page 396.

Implementing synchronized DGM

To implement synchronized DGM policies, you define a Directory Connection
using the Enforce Server administration console. The Directory Connection
specifies the directory server you want to use as source information for defining
exact identity User Groups. You then define one or more User Groups in the
Enforce Server administration console and populate the group by synchronizing
the User Group with the directory server. You then associate the User Groups
with the Sender/User based on a Directory Server Group group rule or the
Recipient matches User Group based on a Directory Server group rule.
See “About synchronized Directory Group Matching (DGM)” on page 599.
Table 30-1 describes the process for implementing synchronized DGM.

Table 30-1 Workflow for implementing synchronized DGM

Step Action Description

1 Create the connection to the Establish the connection from the Enforce Server to a directory server
directory server. such as Microsoft Active Directory.

See “Configuring directory server connections” on page 132.

2 Create the User Group. Create one or more User Groups on the Enforce Server and populate the
User Groups with the exact identities from the users, groups, and business
units that are defined in the directory server

See “Creating or modifying a User Group” on page 601.

3 Configure a new policy or See “Configuring policies” on page 370.

edit an existing one.
 Detecting synchronized identities 601
Implementing synchronized DGM

Table 30-1 Workflow for implementing synchronized DGM (continued)

Step Action Description

4 Configure one or more group Choose the type of synchronized DGM rule you want to implement and
rules or exceptions. reference the User Group. After the policy and the group are linked, the
policy applies only to those identifies in the referenced User Group.

See “Configuring the Sender/User based on a Directory Server Group

condition” on page 603.

See “Configuring the Recipient based on a Directory Server Group

condition” on page 604.

Creating or modifying a User Group

The Manage > Policies > User Groups screen displays configured User Groups
and is the starting point for creating a new User Group. User Groups are used for
implementing synchronized DGM.
See “About synchronized Directory Group Matching (DGM)” on page 599.

Note: User Groups can also be used with Microsoft Exchange Server Discover
targets. See “Setting up scanning of Microsoft Exchange Servers ” on page 1245.

To create or modify a User Group

1 Establish a connection to the Active Directory server you want to synchronize
with.
See “Configuring directory server connections” on page 132.
2 At the Manage > Policies > User Groups screen, click Create New Group.
Or, to edit an existing user group, select the group in the User Groups screen.
3 Configure the User Group parameters as required.
See Table 30-2 on page 602.

Note: If this is the first time you are configuring the User Group, you must
select the option Refresh the group directory index on Save to populate the
User Group.

4 After you locate the users you want, use the Add and Remove options to
include or exclude them in the User Group.
5 Click Save.
602 Detecting synchronized identities
Implementing synchronized DGM

Table 30-2 Configure a User Group

Action Description

Enter the group The Group Name is the name that you want to use to identify this group.
name.
Use a descriptive name so that you can easily identify it later on.

Enter the group Enter a short Description of the group.

description

View which policies Initially, when you create a new User Group, the Used in Policy field displays None.
use the group.
If the User Group already exists and you modify it, the system displays a list of the policies
that implement the User Group, assuming one or more group-based policies is created for
this User Group.

Refresh the group Select (check) the Refresh the group directory index on Save option to synchronize the user
directory index on group profile with the most recent directory server index immediately on Save of the profile.
Save. If you leave this box unselected (unchecked), the profile is synchronized with the directory
server index based on the Directory Connection setting.

See “Scheduling directory server indexing” on page 134.

If this is the first time you are configuring the User Group profile, you must select the Refresh
the group directory index on Save option to populate the profile with the latest directory
server index replication.

Select the directory Select the directory server you want to use from the Directory Server list.
server.
You must establish a connection to the directory server before you create the User Group
profile.

See “Configuring directory server connections” on page 132.

 Detecting synchronized identities 603
Implementing synchronized DGM

Table 30-2 Configure a User Group (continued)

Action Description

Search the directory Enter the search string in the search field and click Search to search the directory for specific
for specific users. users. You can search using literal text or wildcard characters (*).

The search results display the Common Name (CN) and the Distinguished Name (DN) of the
directory server that contains the user. These names give you the specific user identity. Results
are limited to 1000 entries.

Click Clear to clear the results and begin a new search of the directory.
Literal text search criteria options:

■ Name of individual node, such as "engineering" or "accounting"

■ Email address, such as "goakham@symantec-dlp.com"
Wildcard character search criteria options:

■ The supported wildcard character is an asterisk (*)

■ Proper wildcard search examples:
■ Gabriel *akha* returns "Gabriel Oakham"
■ j* jop* returns "Janice Joplin"
■ Improper wildcard search:
■ Do not begin the search string with a wildcard; this will hinder directory server search
performance.
■ For example, the following search is not recommended: *Gabriel Oakham.

Browse the You can browse the directory tree for groups and users by clicking on the individual nodes
directory for user and expanding them until you see the group or node that you want.
groups.
The browse results display the name of each node. These names give you the specific user
identity.

The results are limited to 20 entries by default. Click See More to view up to 1000 results.

Add a user group to To add a group or user to the User Group profile, select it from the tree and click Add.
the profile.
After you select and add the node to the Added Groups column, the system displays the
Common Name (CN) and the Distinguished Name (DN).

Save the user group. Click Save to save the User Group profile you have configured.

Configuring the Sender/User based on a Directory Server Group

condition
The condition Sender/User based on a Directory Server Group matches policy
violations based on message senders and endpoint computer users synchronized
from a directory group server. You can implement this condition in a policy group
(identity) rule or exception.
604 Detecting synchronized identities
Implementing synchronized DGM

See “Configuring policies” on page 370.

Note: If the identity being detected is a user, the user must be actively logged on
to a DLP Agent-enabled system for the policy to match.

Table 30-3 Sender/User matches User Group condition parameters

Parameter Description

Select User Groups to Select one or more User Groups that you want this policy to detect.
include in this policy
If you have not created a User Group, click Create a new User Group.

See “Creating or modifying a User Group” on page 601.

Match On This condition matches on the entire message. The Envelope option is selected by
default. You cannot select any other message component.

See “Detection messages and message components” on page 349.

Also Match Select this option to create a compound condition. All conditions in a rule or exception
must match to trigger an incident.

You can Add any available condition from the list.

See “Configuring compound match conditions” on page 386.

See “About synchronized Directory Group Matching (DGM)” on page 599.

Configuring the Recipient based on a Directory Server Group condition

The Recipient based on a Directory Server Group condition matches policy
violations based on specific message recipients synchronized from a directory
server. You can implement this condition in a policy group rule or exception.
See “About synchronized Directory Group Matching (DGM)” on page 599.

Note: The Recipient based on a Directory Server Group condition requires two-tier
detection. See “About two-tier detection for synchronized DGM” on page 600.
 Detecting synchronized identities 605
Synchronized DGM policy considerations

Table 30-4 Configuring the Recipient based on a Directory Server Group

condition

Step Action Description

1 Select User Groups to Select the User Group(s) that you want this policy to match on.
include in this policy
If you have not created a User Group, click Create a new Endpoint User Group
option.

See “Creating or modifying a User Group” on page 601.

2 Match On This rule detects the entire message, not individual components. The Envelope
option is selected by default. You cannot select any other message component.

See “Detection messages and message components” on page 349.

3 Also Match Select this option to create a compound condition. All conditions in a rule or
exception must match to trigger an incident.

You can Add any available condition from the list.

See “Configuring compound match conditions” on page 386.

Synchronized DGM policy considerations

This section contains a few considerations to keep in mind when implementing
synchronized DGM conditions in your policies.

Refresh the directory on initial save of the User Group

To execute a policy rule based on an Active Directory group, the index that you
define on the Enforce Server must first be populated. When you first define the
User Group, the recommendation is to select the option "Refresh the group
directory index on Save." This ensures proper synchronization of Active Directory
with the Enforce Server. Once the User Group is populated, you can then set up
scheduling to keep the user group on Enforce in sync with the Active Directory
server.
One use case for not indexing immediately is where you are creating multiple
User Groups and you want to index after you have defined all the groups. In this
case you can use scheduling, but keep in mind that any policies based on these
indices will not execute until they are populated.
See “About synchronized Directory Group Matching (DGM)” on page 599.
See “Creating or modifying a User Group” on page 601.
606 Detecting synchronized identities
Synchronized DGM policy considerations

Distinguish synchronized DGM from other types endpoint detection

When synchronized DGM policies are deployed to endpoint servers, identity-based
detection applies to the users in a configured group of DLP Agent-based endpoint
computers. With endpoint-based user groups, many different users can log on to
the same computer depending on business practices. The response that each user
sees on that endpoint computer varies depending on how the users are grouped.
Contrast this style of endpoint detection with the Endpoint Protocol Destination
or Endpinot Location methods, which are specific to the endpoint computer and
are not user-based.
See “About synchronized Directory Group Matching (DGM)” on page 599.
 Chapter 31
Detecting profiled identities
This chapter includes the following topics:

■ About profiled Directory Group Matching (DGM)

■ Implementing profiled DGM

■ Profiled DGM policy considerations

About profiled Directory Group Matching (DGM)

Profiled Directory Group Matching (DGM) leverages Exact Data Matching (EDM)
technology to detect identities that you have indexed from your database or
directory server using an Exact Data Profile. For example, you can use profiled
DGM to identify network user activity or to analyze content associated with
particular users, senders, or recipients. Or, you can exclude certain email addresses
from analysis. Or, you might want to prevent certain people from sending
confidential information by email.
See “Implementing profiled DGM” on page 608.
Profiled DGM is distinguished from synchronized DGM, which uses a connection
to a directory server (such as Microsoft Active Directory) to match identities.
See “About synchronized Directory Group Matching (DGM)” on page 599.

About profiled DGM conditions

Symantec Data Loss Prevention provides two match conditions for profiled DGM:
sender/user and recipient. Both conditions can be used as policy rules or
exceptions. For example, consider a scenario where you index a list of email
addresses and author profiled DGM policies based on this indexed data. You could
write a rule that requires the message sender to be from the indexed list to violate
608 Detecting profiled identities
Implementing profiled DGM

the policy. Or, you could write an exception that is not violated if the recipient of
an email is from the indexed list.
See “Creating the exact data source file for profiled DGM” on page 609.

Table 31-1 Profiled DGM conditions

Group rule Description

Sender/User based on a Directory If this condition is implemented as a policy rule, a match occurs only if the
from <EDM Profile> sender or user of the data is contained in the index profile. If this condition
is implemented as a policy exception, the data will be excepted from matching
if it is sent by a sender/user listed in the index profile

Recipient based on a Directory from If this condition is implemented as a policy rule, a match occurs only if the
<EDM Profile> recipient of the data is contained in the index profile. If this condition is
implemented as a policy exception, the data will be excepted from matching
if it is received by a recipient listed in the index profile.

About two-tier detection for profiled DGM

Profiled DGM relies on an EDM index, which is server-based. Profiled DMG requires
two-tier detection for DLP Agents on the endpoint.
See “About two-tier detection for EDM on the endpoint” on page 415.
You cannot combine either type of profiled DGM condition with an Endpoint:
Block or Endpoint: Notify response rule in a policy. If you do, the system reports
that the policy is misconfigured.
See “Troubleshooting policies” on page 396.

Implementing profiled DGM

To implement profiled DGM, you export identity records from a directory server
or database, index the data, and create an Exact Data Profile. You then reference
this profile in the corresponding Sender/User or Recipient condition.
See “About profiled Directory Group Matching (DGM)” on page 607.
Table 31-2 describes the procedure for implementing profiled DGM policies.
 Detecting profiled identities 609
Implementing profiled DGM

Table 31-2 Workflow for implementing profiled DGM

Step Action Description

1 Create the data source file. Create a data source file for the directory server or database you want to
profile. Make sure the data source file contains the appropriate fields.

See “Creating the exact data source file for profiled DGM” on page 609.

2 Prepare the data source See “Implementing Exact Data Matching (EDM)” on page 415.
file for indexing.
See “Preparing the exact data source file for indexing” on page 419.

3 Create the Exact Data This includes uploading the data source file to the Enforce Server, mapping
Profile. the data fields, and indexing the data source.

See “Uploading exact data source files to the Enforce Server” on page 420.

See “Creating and modifying Exact Data Profiles” on page 422.

See “Mapping Exact Data Profile fields” on page 426.

See “Scheduling Exact Data Profile indexing” on page 428.

4 Define the profiled DGM See “Configuring the Sender/User based on a Profiled Directory condition”
condition. on page 610.

See “Configuring the Recipient based on a Profiled Directory condition”

on page 611.

5 Test the profiled DGM Use a test policy group and verify that the matches the policy generates
policy. are accurate.

See “Test and tune policies to improve match accuracy” on page 402.

Creating the exact data source file for profiled DGM

Profiled DGM leverages Exact Data Matching (EDM) technology to precisely detect
identities. Identity-related attributes may include an IP address, email address,
Windows user name, business unit, department, manager, title, employment
status. Other attributes may be whether that employee has provided consent to
be monitored, or whether the employee has access to sensitive information. To
implement profiled DGM, you must include at least one required data field in your
data source. Both conditions require an associated Exact Data Profile containing
one or more specific data fields.
See “About the Exact Data Profile” on page 411.
Table 31-3 lists the required fields for profiled DGM. The data source file must
contain at least one of these fields.
610 Detecting profiled identities
Implementing profiled DGM

Table 31-3 Profiled DGM data source fields

Field Description

Email address If you use an email address column filed in the data source file, the email address appears in
the Directory EDM drop-down list at the incident snapshot screen.

IP address For example: 172.24.56.33

Windows user name If you use a Windows user name field in your data source, the data must be in the following
format: domain\user; for example: ACME\john_smith.

AOL IM name IM screen name / handle

Yahoo! IM name For example: myhandle123

MSN IM name

Configuring the Sender/User based on a Profiled Directory condition

The Sender/User based on a Directory from detection rule lets you create detection
rules based on sender identity or (for endpoint incidents) user identity. This
condition requires an Exact Data Profile.
See “Creating the exact data source file for profiled DGM” on page 609.
After you select the Exact Data Profile, when you configure the rule, the directory
you selected and the sender identifier(s) appear at the top of the page.
Table 31-4 describes the parameters for configuring the Sender/User based on a
Directory an EDM Profile condition.

Table 31-4 Configuring the Sender/User based on a Directory from an EDM

Profile condition

Parameter Description

Where Select this option to have the system match on the specified field values. Specify the values by
selecting a field from the drop-down list and typing the values for that field in the adjacent text
box. If you enter more than one value, separate the values with commas.

For example, for an Employees directory group profile that includes a Department field, you would
select Where, select Department from the drop-down list, and enter Marketing,Sales in the text
box. If the condition is implemented as a rule, in this example a match occurs only if the sender
or user works in Marketing or Sales (as long as the other input content meets all other detection
criteria). If the condition is implemented as an exception, in this example the system ignores from
matching messages from a sender or user who works in Marketing or Sales.
 Detecting profiled identities 611
Implementing profiled DGM

Table 31-4 Configuring the Sender/User based on a Directory from an EDM

Profile condition (continued)

Parameter Description

Is Any Of Enter or modify the information you want to match. For example, if you want to match any sender
in the Sales department, select Department from the drop-down list, and then enter Sales in this
field (assuming that your data includes a Department column). Use a comma-separated list if you
want to specify more than one value.

Configuring the Recipient based on a Profiled Directory condition

The Recipient based on a Directory from condition lets you create detection
methods based on the identity of the recipient. This method requires an Exact
Data Profile.
See “Creating the exact data source file for profiled DGM” on page 609.
After you select the Exact Data Profile, when you configure the rule, the directory
you selected and the recipient identifier(s) appear at the top of the page.
Table 31-4 describes the parameters for configuring Recipient based on a
Directory from an EDM profile condition.

Table 31-5 Configuring the Recipient based on a Directory from an EDM profile
condition

Parameter Description

Where Select this option to have the system match on the specified field values. Specify the values by
selecting a field from the drop-down list and typing the values for that field in the adjacent text
box. If you enter more than one value, separate the values with commas.

For example, for an Employees directory group profile that includes a Department field, you
would select Where, select Department from the drop-down list, and enter Marketing, Sales in
the text box. For a detection rule, this example causes the system to capture an incident only if
at least one recipient works in Marketing or Sales (as long as the input content meets all other
detection criteria). For an exception, this example prevents the system from capturing an incident
if at least one recipient works in Marketing or Sales.

Is Any Of Enter or modify the information you want to match. For example, if you want to match any
recipient in the Sales department, select Department from the drop-down list, and then enter
Sales in this field (assuming that your data includes a Department column). Use a comma-separated
list if you want to specify more than one value.
612 Detecting profiled identities
Profiled DGM policy considerations

Profiled DGM policy considerations

Keep in mind the considerations in this section when implementing profiled
Directory Group Matching (DGM)

Follow EDM best practices when implementing profiled DGM

Profiled DGM leverages EDM technology. Follow the EDM procedures and best
practices when implementing profiled DGM.
See “About two-tier detection for profiled DGM” on page 608.

Include an email address field in the Exact Data Profile

You must include the appropriate fields in the Exact Data Profile to implement
profiled DGM.
See “Creating the exact data source file for profiled DGM” on page 609.
If you include the email address field in the Exact Data Profile for profiled DGM
and map it to the email data validator, email address will appear in the Directory
EDM drop-down list (at the remediation page).

Use profiled DGM for Network Prevent for Web identity detection
If you want to implement DGM for Network Prevent for Web, use one of the profiled
DGM conditions to implement identity matching. For example, you may want to
use identity matching to block all web traffic for a specific users. For Network
Prevent for Web, you cannot use synchronized DGM conditions for this use case.
See “Creating the exact data source file for profiled DGM” on page 609.
See “Configuring the Sender/User based on a Profiled Directory condition”
on page 610.
 Chapter 32
Detecting international
content
This chapter includes the following topics:

■ About implementing non-English language detection

■ International policy templates

■ Using find keywords for international system data identifiers

■ Use partial keyword matching for Chinese, Japanese, and Korean

About implementing non-English language detection

Symantec Data Loss Prevention detection features support many localized versions
of Microsoft Windows operating systems. To use international character sets, the
Windows system on which you view the Enforce Server administration console
must have the appropriate capabilities.
See “About support for character sets, languages, and locales” on page 65.
See “Working with international characters” on page 68.
You can create policies and detect violations using any supported language. You
can use localized keywords, regular expressions, and Data Profiles to detect data
loss. In addition, Symantec Data Loss Prevention offers several international data
identifiers and policy templates for protecting confidential data.
See “Supported languages for detection” on page 66.
See “International policy templates” on page 614.
See “Using find keywords for international system data identifiers” on page 615.
614 Detecting international content
International policy templates

International policy templates

Symantec Data Loss Prevention provides several international policy templates
that you can quickly deploy in your enterprise.
See “Creating a policy from a template” on page 355.

Table 32-1 International policy templates

Policy template Description

Canadian Social Insurance Numbers This policy detects patterns indicating Canadian social insurance numbers.

See “Canadian Social Insurance Numbers policy template” on page 727.

Caldicott Report This policy protects UK patient information.

See “Caldicott Report policy template” on page 725.

UK Data Protection Act 1998 This policy protects personal identifiable information.

See “Data Protection Act 1998 (UK) policy template” on page 733.

EU Data Protection Directives This policy detects personal data specific to the EU directives.

See “Data Protection Directives (EU) policy template” on page 734.

UK Human Rights Act 1998 This policy enforces Article 8 of the act for UK citizens.

See “Human Rights Act 1998 policy template” on page 753.

PIPEDA (Canada) This policy detects Canadian citizen customer data.

See “PIPEDA policy template” on page 771.

SWIFT Codes (International banking) This policy detects codes that banks use to transfer money across
international borders.

See “SWIFT Codes policy template” on page 788.

UK Drivers License Numbers This policy detects UK Drivers License Numbers.

See “UK Drivers License Numbers policy template” on page 789.

UK Electoral Roll Numbers This policy detects UK Electoral Roll Numbers.

See “UK Electoral Roll Numbers policy template” on page 789.

UK National Insurance Numbers This policy detects UK National Insurance Numbers.

See “UK National Insurance Numbers policy template” on page 790.

UK National Health Service Number This policy detects personal identification numbers issued by the NHS.

See “UK National Health Service (NHS) Number policy template” on page 790.
 Detecting international content 615
Using find keywords for international system data identifiers

Table 32-1 International policy templates (continued)

Policy template Description

UK Passport Numbers This policy detects valid UK passports.

See “UK Passport Numbers policy template” on page 791.

UK Tax ID Numbers This policy detects UK Tax ID Numbers.

See “UK Tax ID Numbers policy template” on page 791.

Using find keywords for international system data

identifiers
Data identifiers offer broad support for detecting international content.
See “About Data Identifiers” on page 509.
Some international data identifiers offer a wide breadth of detection only. In this
case you can implement the Find Keywords optional validator to narrow the scope
of detection. Implementing this optional validator may help you eliminate any
false positives that your policy matches.
See “Selecting system Data Identifier breadth” on page 530.
The following table provides keywords for several international data identifiers.
To use keywords for international data identifiers
1 Create a policy using one of the system-provided international data identifiers
that is listed in the table.
See Table 32-2 on page 616.
2 Select the Find Keywords optional validator.
See “Configuring the Content Matches Data Identifier condition” on page 528.
3 Copy and past the appropriate comma-separated keywords from the list to
the Find Keywords optional validator field.
See “Configuring optional validators” on page 533.
616 Detecting international content
Using find keywords for international system data identifiers

Table 32-2 International Data Identifiers and Keyword Lists

Data Identifier Language Keywords English Translation

Burgerservicenummer Dutch Persoonsnummer, sofinummer, person number, social-fiscal

(BSN) sociaal-fiscaal nummer, number (abbreviation),
persoonsgebonden social-fiscal number,
person-related number

Codice Fiscale Italian codice fiscal, dati anagrafici, partita tax code, personal data, VAT
I.V.A., p. iva number, VAT number

French INSEE Code French INSEE, numéro de sécu, code sécu INSEE, social security number,
social security code

Hong Kong ID Chinese 身份證 , 三顆星 Identity card, Hong Kong

(Traditional) permanent resident ID Card

International Bank French Code IBAN, numéro IBAN IBAN Code, IBAN number
Account Number (IBAN)
Central

International Bank French Code IBAN, numéro IBAN IBAN Code, IBAN number
Account Number (IBAN)
East

International Bank French Code IBAN, numéro IBAN IBAN Code, IBAN number
Account Number (IBAN)
West

People's Republic of Chinese 身份证,居民信息,居民身份信息 Identity Card, Information of

China ID (Simplified) resident, Information of resident
identification

South Korea Resident Korean 주민등록번호, 주민번호 Resident Registration Number,

Registration Number Resident Number

Spanish DNI ID Spanish DNI DNI

Swiss AHV Number French Numéro AVS, numéro d'assuré, AVS number, insurance number,
identifiant national, numéro national identifier, national
d'assurance vieillesse, numéro de insurance number, social security
sécurité soclale, Numéro AVH number, AVH number

German AHV-Nummer, Matrikelnumme, AHV number, Swiss Registration

Personenidentifikationsnummer number, PIN

Italian AVS, AVH AVS, AVH

 Detecting international content 617
Use partial keyword matching for Chinese, Japanese, and Korean

Table 32-2 International Data Identifiers and Keyword Lists (continued)

Data Identifier Language Keywords English Translation

Taiwan ID Chinese 中華民國國民身分證 Taiwan ID

(Traditional)

Use partial keyword matching for Chinese, Japanese,

and Korean
With keyword matching you can match on whole or partial words. For keyword
matching on Chinese, Japanese, Korean, and mixed-language matching, the
recommendation is to use partial word matching.
With whole word matching, keywords match at word boundaries only (\W in the
regular expression lexicon). Any characters other than A-Z, a-z, and 0-9 are
interpreted as word boundaries. With whole word matching, keywords must have
at least one alphanumeric character (a letter or a number). A keyword consisting
of only white-space characters, such as "..", is ignored.

Table 32-3 Recommendations use cases partial and whole word matching

Configuration Recommended use

Partial word matching Use partial for Chinese, Japanese and Korean languages.

Use for mixed languages.

Whole word matching Use for Western languages.

Use for UTF-8 characters.

618 Detecting international content
Use partial keyword matching for Chinese, Japanese, and Korean
 Chapter 33
Detecting document
metadata
This chapter includes the following topics:

■ About file format metadata detection

■ Supported file formats for metadata detection

■ Enabling server metadata detection

■ Enabling endpoint metadata detection

■ Considerations for implementing metadata detection

About file format metadata detection

In addition to file content and subfile extraction, Symantec Data Loss Prevention
supports metadata extraction for many file formats. File format metadata is data
about a file that is stored as file properties. By default metadata extraction is
disabled because it can lead to false positives. Used properly, metadata detection
can enhance the accuracy of your content-based policy rules.
For example, consider a business that uses Microsoft Office templates for their
Word, Excel, and PowerPoint documents. The business applies Microsoft OLE
metadata properties in the form of keywords to each template. The business has
enabled metadata extraction and deployed keyword policies to match on metadata
keywords. These policies can detect keywords in documents that are derived from
the templates. The business also has the flexibility to use policy exceptions to
avoid generating incidents if certain metadata keywords are present.
620 Detecting document metadata
Supported file formats for metadata detection

Supported file formats for metadata detection

Table 33-1 lists some of the file formats that Symantec Data Loss Prevention
supports for metadata detection, and provides some example metadata fields
returned for those formats.

Note: This list is not exhaustive and is provided for quick reference only. Other
file formats may be supported, and other custom fields may be returned. The best
practice is to always use the filter utility to verify metadata support for each file
format you want to detect. See “Use filter to verify file format metadata support”
on page 622.

Table 33-1 Supported file formats for metadata detection

File formats Metadata Description

Example fields:
Microsoft Office documents, for
example: ■ Title
For Microsoft Office documents, the
■ Subject
■ Word (DOC, DOCX) system extracts Object Linking and
■ Author
■ Excel (XLS, XLSX) Embedding (OLE) metadata.
■ Keywords
■ PowerPoint (PPT, PPTX)
■ Other custom fields

Example fields:
For Adobe PDF files, the system
extracts Document Information ■ Author
Dictionary (DID) metadata. The ■ Title
Adobe PDF files
system does not support Adobe ■ Subject
Extensible Metadata Platform (XMP) ■ Creation
metadata extraction.
■ Update dates

Use the filter utility to verify See “Use filter to verify file format
Other file formats (including binary
metadata extraction for other file metadata support” on page 622.
and text)
formats.

Content extraction plug-in that

Custom file formats Custom file type metadata supports the metadata extraction
operation.

Enabling server metadata detection

By default metadata extraction is disabled for detection servers.
 Detecting document metadata 621
Enabling endpoint metadata detection

To enable server metadata extraction

1 Log on to the Enforce Server administration console as a system administrator.
2 Navigate to the System > Servers > Overview > Server Detail screen for the
detection server you want to enable metadata extraction.
3 Click the Server Settings button.
4 Locate property ContentExtraction.EnableMetaData in the list.
5 Enter the value on for this property to enable metadata extraction.
6 Click Save to save the configuration.
7 Click Recycle the server at the Server Detail screen to restart the server.
8 Click Done at the Server Detail screen to complete the process.

Enabling endpoint metadata detection

By default metadata extraction is disabled for endpoints.
To enable endpoint metadata extraction
1 Log on to the Enforce Server administration console as a system administrator.
2 Navigate to the System > Agents > Agent Configuration screen for the
endpoint server you want to enable metadata extraction.
3 Create a new endpoint configuration for metadata detection, or select the
default configuration.
See “Create a separate endpoint configuration for metadata detection”
on page 626.
4 Select the Advanced Agent Settings tab.
5 Locate property Detection.ENABLE_METADATA.str in the list.
6 Enter the value on for this property to enable metadata extraction.
7 Click Save and Apply to save the configuration change.

Considerations for implementing metadata detection

Considerations for implementing metadata detection lists best practices for
implementing metadata detection with links to corresponding topics for detailed
considerations.
622 Detecting document metadata
Considerations for implementing metadata detection

Table 33-2 Considerations for implementing metadata detection

Consideration Topic

Always use filter to verify file format metadata support. See “Use filter to verify file format metadata support”
on page 622.

Enable metadata detection only if it is necessary. See “Distinguish metadata from file content and
application data” on page 625.

Avoid generating false positives by selecting keywords See “Use and tune keyword lists to avoid false positives
carefully. on metadata” on page 626.

Understand resource implications of endpoint metadata See “Understand performance implications of enabling
extraction. endpoint metadata detection” on page 626.

Create a separate endpoint configuration for metadata See “Create a separate endpoint configuration for
detection. metadata detection” on page 626.

Use response rules to add metadata tags to incidents. See “Use response rules to tag incidents with metadata”
on page 626.

Use filter to verify file format metadata support

To help you create policies that detect file format metadata, use the filter utility
that is available with any Symantec Data Loss Prevention detection or endpoint
server installation. This utility provides an easy way to determine which metadata
fields the system returns for a given file format. The utility generates output that
contains the metadata the system will extract at runtime for each file format you
test usingfilter.
To verify file format metadata extraction support using filter describes how to
use the filter utility. It is recommended that you always follow this process so that
you can create and tune policies that accurately detect file format metadata.

Note: The data output by the filter utility is in ASCII format. Symantec Data Loss
Prevention processes data in Unicode format. Therefore, you may rely on the
existence of the fields returned by the filter utility, but the metadata detected by
Symantec Data Loss Prevention may not look identical to the filter output.
 Detecting document metadata 623
Considerations for implementing metadata detection

To verify file format metadata extraction support using filter

1 On the file system where a detection server is installed, start a command
prompt session.
2 Change directory to where the filter utility is located.
For example, on a default 64-bit Windows installation you would issue the
following command:
cd \SymantecDLP\Protect\plugins\contentextraction\Verity\x64

On a default 32-bit Windows installation you would issue the following

command:
cd \SymantecDLP\Protect\plugins\contentextraction\verity\Win32

3 Issue the following command to run the filter program and display its syntax
and optional parameters.
filter -help

As indicated by the help, you use the following syntax to execute the filter
utility:
filter [options] inputfile outputfile

The inputfile is an instance of the file format you want to verify. The
outputfile is a file the filter utility writes the extracted data to.

Note the following extraction options:

■ To verify metadata extraction, use the "get doc summary info" option:-i
■ To verify content extraction, use no options: filter inputfile
outputfile

4 Execute filter against an instance of the file format to verify metadata

extraction.
For example, on Windows you would issue the following command:
filter -i \temp\myfile.doc \temp\metadata_output.txt

Where myfile.doc is a file containing metadata you want to verify and have
copied to the \temp directory, and metadata_output.txt is the name of the file
you want the system to generate and write the extracted data to.
624 Detecting document metadata
Considerations for implementing metadata detection

5 Review the filter output. The output data should be similar to the following:

1 2 1252 CodePage 1 1 "S" Title 0 0 (null) 1 1 "P" Author 0 0 (null)

0 0 (null) 0 1 "" (null) 1 1 "m" LastAuthor 1 1 "1" RevNumber
1 3 6300 Minutes EditTime 1 3 Mon Aug 27 11:53:07 2007 LastPrinted

6 Refer to the following tables for an explanation of each metadata extraction

field output by the filter utility.
Table 33-3 repeats the output from Step 5, formatted for readability.
Table 33-4 explains each column field.

Table 33-3 Example filter metadata output

Column 1 Column 2 Column 3 Column 4

1 2 1252 CodePage

1 1 "S" Title

0 0 (null)

1 1 "P" Author

0 0 (null)

0 0 (null)

0 1 "" (null)

1 1 "m" LastAuthor

1 1 "1" RevNumber

1 3 6300 Minutes EditTime

1 3 Mon Aug 27 11:53:07 2007 LastPrinted

Table 33-4 Metadata fields generated by the filter utility

Column 1 Column 2 Column 3 Column 4

1 = valid field The type of data: The data payload for the The name of the field
field. (empty or null if the field is
0 = invalid field 1 = String
invalid).
Note: You may ignore rows 2 = Integer
where the first column is 0.
3 = Date/Time

5 = Boolean
 Detecting document metadata 625
Considerations for implementing metadata detection

Distinguish metadata from file content and application data

Do not confuse metadata extraction with content extraction or application data.
Some text that may appear to be metadata is extracted as content or application
data. Table 33-5 describes some types of data that is not extracted as file format
metadata to help you determine if and when you need to enable metadata detection.

Note: This list is not exhastive and is provided for quick reference only. There
may be other types of data that is not extracted as metadata. The best practice is
to always use the filter utility to verify file format metadata support. See “Use
filter to verify file format metadata support” on page 622.

Table 33-5 Data not extracted as metadata

Content type Extraction method

Application data Application data including message transport information is extracted separately
from file format extraction. For all inbound messages, the system extracts message
envelope (header) and subject information as text at the application layer. The type
of application data that is extracted depends on the channels supported by the
detection server or endpoint.

Headers and footers Document header and footer text is extracted as content, not metadata. To avoid
false positives, it is recommended that you remove or whitelist headers and footers
from documents.

See “Use whitelisting to exclude non-sensitive content from matching” on page 472.

Markup text Markup text is extracted as content, not metadata. Markup text extraction is
supported for HTML, XML, SGML, and more. Markup text extraction is disabled by
default.

See “Advanced server settings” on page 215.

See “Advanced agent settings” on page 247.

Hidden text Hidden text is extracted as content, not metadata. Hidden text extraction in the form
of tracked changes is supported for some Microsoft Office file formats. Hidden text
extraction is disabled by default.

See “Advanced server settings” on page 215.

See “Advanced agent settings” on page 247.

Watermarks Text-based watermarks are extracted as content, not metadata. Text-based watermark
detection is supported for Microsoft Word documents (versions 2003 and 2007). It
is not supported for other file formats.
626 Detecting document metadata
Considerations for implementing metadata detection

Use and tune keyword lists to avoid false positives on metadata

Enabling metadata extraction can cause false positives because more text is
checked for a match. For example, if you have a policy that detects keywords and
metadata extraction is enabled, the policy reports a match if a keyword is present
in the content or in the metadata. Once the system has extracted the content and
the metadata, the text is normalized and streamed to the detection component
for matching. The detection component has no knowledge of the source of the
text, whether it is application data, content, or metadata.
To detect file format metadata, you define keyword conditions for rules or
exceptions that contain keywords that are specific to one or more file formats.
To avoid generating false positives, clearly define the keyword lists in your policies.
The keywords you use to detect metadata should be unique and distinct from
keywords or phrases you use to detect content. Test and tune keyword lists to
improve metadata detection accuracy.

Understand performance implications of enabling endpoint metadata

detection
On the endpoint, enabling metadata extraction does not add overhead if no content
rules are deployed. If content rules are deployed to the endpoint, enabling metadata
extraction may introduce minor overhead because there is extra data to inspect.
Test and tune your endpoint policy keyword lists to ensure that metadata detection
is efficient.

Create a separate endpoint configuration for metadata detection

When you enable endpoint metadata detection, consider creating a custom
endpoint configuration specifically for metadata detection. By doing so you can
easily revert to the default configuration if necessary.

Use response rules to tag incidents with metadata

You cannot use metadata detection to apply tags to inbound files or documents
that generate incidents. If this is desired, consider using a Flex Response plug-in.
See “About response rules” on page 802.
 Chapter 34
Detecting email for data
classification services
This chapter includes the following topics:

■ About implementing detection for Enterprise Vault Classification

■ About matching on the message Subject for Data Classification Services

■ Enabling classification test mode

■ Configuring the Message/Email Properties and Attributes condition

About implementing detection for Enterprise Vault

Classification
You can use the full policy authoring functionality of Symantec Data Loss
Prevention, along with a new Message/Email Properties and Attributes detection
rule, to automatically classify messages with Enterprise Vault for Microsoft
Exchange. A new classification response rule produces a classification result that
indicates whether a message should be archived or deleted. The Classification
Server returns the classification result to the Enterprise Vault filter. Enterprise
Vault can then use the result to perform archiving, delete messages, and flag
messages for compliance reviews or E-Discovery searches.

Note: The Classification Server is used only with the Symantec Data Classification
for Enterprise Vault solution, which is licensed separately from Symantec Data
Loss Prevention. You must configure the Enterprise Vault Data Classification
Services filter and Classification Server to communicate with one another. See
the Symantec Enterprise Vault Data Classification Services Implementation Guide
for more information.
628 Detecting email for data classification services
About matching on the message Subject for Data Classification Services

The following table highlights the key policy configuration components that are
associated with Data Classification for Enterprise Vault.

Table 34-1 Policy configuration for data classification

Configuration type Topic

Policy actions to enable See “Enabling classification test mode” on page 628.
classification test mode and limit
generated classification results

Message/Email Properties and See “Configuring the Message/Email Properties and

Attributes detection condition Attributes condition” on page 630.

Classify Enterprise Vault Content

response rule action

About matching on the message Subject for Data

Classification Services
Symantec Data Loss Prevention provides the ability to detect content in the Subject
component of a message, independent of other components in the message
envelope. You can use the Subject component to match on Exchange messages
delivered from a Classification server. The Envelope component is not applicable
to Exchange email delivered from a Classification server. See the Enterprise Vault
Data Classification Services Implementation Guide for more information.
See “Detection messages and message components” on page 349.
See “Selecting components to match on” on page 380.
See “Configuring the Message/Email Properties and Attributes condition”
on page 630.

Enabling classification test mode

When you create or configure any policy (Manage > Policies > Policy List), the
Configure Policy screen contains options in the Policy Actions section that apply
only to classification policies. You may choose to place Classification policies in
test mode during the initial configuration of your Data Classification for Enterprise
Vault deployment, or while tuning individual classification policies. When a
classification policy runs in test mode, the Classification Server adds a test mode
tag to any classification results that are returned to the Enterprise Vault Data
Classification Filter for that policy. Enterprise Vault for Microsoft Exchange uses
 Detecting email for data classification services 629
Enabling classification test mode

the tag to ignore the outcome of the classification response for that policy, but
still performs archiving as if no classification service is running.
When a classification policy runs in test mode, the Enforce Server creates a
classification event each time a message matches the policy. You can view these
classification events in the incident lists of the Enforce Server administration
console (Incidents > Classification). The test mode configuration also enables
you to limit the number of classification events that are recorded.

Note: The Enforce Server creates classification events only for those policies that
run in test mode. When you disable test mode for production use, no classification
incidents are recorded for that policy.

After you are confident that the classification policy works as intended, you can
disable test mode so that Enterprise Vault actively classifies or deletes messages
as defined in the policy.

Note: The parameters that are listed have no effect unless the policy uses the
Classification: Classify Enterprise Vault Content response rule.

Table 34-2 Classifying policy detection matches

Parameter Description

Enable Classification This setting is enabled by default and adds a test mode flag to
Test Mode the policy detection result for this policy. The flag indicates that
Enterprise Vault should perform no action for the returned
classification result.

To classify Enterprise Vault content using this policy, uncheck

this option.

Maximum for This setting specifies the maximum number of classification

Classification Test events that Symantec Data Loss Prevention creates for this
Mode Events policy while in test mode. Limit the number of classification
events for test mode policies, because each message that is
posted to the Classification Server should generate a
classification result. Specify a limit that enables you to evaluate
the performance of your classification policy. You may choose
to delete these classification events from the Enforce Server
database after you activate the policy (disable test mode). The
default setting records a maximum of 100 events.

You can view recorded test-mode classification events by

selecting Incidents > Classification.
630 Detecting email for data classification services
Configuring the Message/Email Properties and Attributes condition

Configuring the Message/Email Properties and

Attributes condition
The Message/Email Properties and Attributes detection rule enables you to
classify Microsoft Exchange email messages based on specific message attributes.
This detection rule is only applied to Microsoft Exchange messages that are
delivered from a Data Classification for Enterprise Vault filter to a Classification
Server.

Note: The Classification Server is used only with the Symantec Data Classification
for Enterprise Vault solution, which is licensed separately from Symantec Data
Loss Prevention. You must configure the Data Classification for Enterprise Vault
filter and Classification Server to communicate with one another. See the Symantec
Enterprise Vault Data Classification Services Implementation Guide for more
information. This detection rule does not examine email messages from Network
Monitor, Network Prevent, Network Discover, or Endpoint detection servers.

The Message/EmailPropertiesandAttributes detection rule examines the various

Messaging Application Programming Interface (MAPI) properties and attributes
that Exchange has assigned to the email. Use these attributes to determine whether
a message should be archived or deleted, and whether to flag the message for
compliance review or E-Discovery searches.

Table 34-3 Message/Email Properties and Attributes condition parameters

MAPI Description
Attribute

Message This attribute describes the sensitivity of the message.

Sensitivity
Select Message Sensitivity and then select one or more of the following
sensitivity levels:

■ Normal
■ Personal
■ Private
■ Confidential

The detection rule matches if the message contains any of the selected
Message Sensitivity levels.
 Detecting email for data classification services 631
Configuring the Message/Email Properties and Attributes condition

Table 34-3 Message/Email Properties and Attributes condition parameters

(continued)

MAPI Description
Attribute

Message Class This attribute describes the type of message, or the type of content that
the message contains. Select Message Class and then select one or more
classes from the Available Message Classes column. Use the arrows to
move selected classes into the Selected Message Classes column.
The following classes of interpersonal messages (IPM) appear in the
Available Message Classes column:

■ IPM.Activity*—Journal entries, business notes, and phone logs.

■ IPM.Appointment*—Calendar appointments.
■ IPM.Contact*—Accounts and business contacts.
■ IPM.Document*—Document files.
■ IPM.Note*—Email messages that were received from a MAPI source
(Exchange email).
■ IPM.Post*—Email messages that were received from an SMTP source,
rather than a MAPI source.
■ IPM.Stickynote*—Notes.
■ IPM.Task*—Tasks, projects, and campaigns.
■ REPORT.IPM.*—Message delivery and non-delivery receipts, message
read receipts, and message disposition notifications.

Certain message classes, such as IPM.Note, can be classified both when

journal and mailbox archiving is enabled in Enterprise Vault for Microsoft
Exchange. Other classes, such as IPM.contact, IPM.task, and
IPM.Appointment are not present in the journal and are classified only
when Enterprise Vault performs mailbox archiving.

Use the Other field to specify message classes to examine in addition to

or in place of those classes that are listed in the Available Message Classes
column. Use the asterisk wildcard to specify multiple message subclasses.
Ensure that any new mailbox classes that you add are also specified in
the Exchange Message Classes and Exchange Mailbox Policy > Message
Classes tab in Enterprise Vault. (Enterprise Vault archives all journal
classes that are delivered from the Classification Server; you do not have
to configure individual message classes for journal archiving.)
632 Detecting email for data classification services
Configuring the Message/Email Properties and Attributes condition

Table 34-3 Message/Email Properties and Attributes condition parameters

(continued)

MAPI Description
Attribute

Also Match Select this option to create a compound rule. All conditions must match
for the rule to trigger an incident. You can add any available condition
from the drop-down menu.
Note: Exchange messages that are delivered from a Classification Server
do not include envelope information.

See “Detection messages and message components” on page 349.

See “Selecting components to match on” on page 380.

 Chapter 35
File formats
This chapter includes the following topics:

■ File formats whose content can be extracted

■ File types that can be recognized

■ Custom file formats

File formats whose content can be extracted

Symantec Data Loss Prevention identifies more than 100 file formats. For many
of these formats, you can use content-based detection rules to crack a file and
extract its contents, including text, metadata, and subfiles. For non-default file
formats, Symantec Data Loss Prevention lets developers extend file type
identification and customize content extraction.
The following table lists the various file format categories whose content Symantec
Data Loss Prevention can extract. Refer to the associted link for the individual
file formats supported for that category.

Table 35-1 Supported file format categories

File format category Default support list

Word processing file formats See “Supported word processing file formats” on page 634.

Presentation file formats See “Supported presentation formats” on page 635.

Spreadsheet file formats See “Supported spreadsheet formats” on page 636.

Encapsulation file formats See “Supported encapsulation formats” on page 637.

Text and markup file formats See “Supported text and markupt file formats” on page 638.

Email file formats See “Supported email file formats” on page 639.
634 File formats
File formats whose content can be extracted

Table 35-1 Supported file format categories (continued)

File format category Default support list

CAD file formats See “Supported computer-aided design formats” on page 639.

Graphics file formats See “Supported graphics formats” on page 640.

Database file formats See “Supported database formats” on page 640.

Other file formats See “Other supported formats” on page 640.

Supported word processing file formats

The following table lists the word processing file formats whose content Symantec
Data Loss Prevention can extract for policy evaluation.

Table 35-2 Supported word processing file formats

Format Name Format Extension

Adobe FrameMaker Interchange Format MIF

Apple iWork Pages PAGES

ApplixWords AW

Corel WordPerfect Linux WPS

Corel WordPerfect Macintosh WPS

Corel WordPerfect Windows WO

Corel WordPerfect Windows WPD

DisplayWrite IP

Folio Flat file FFF

Fujitsu Oasys OA2

Haansoft Hangul HWP

IBM DCA/RFT (Revisable Form Text) DC

JustSystems Ichitaro JTD

Lotus AMI Pro SAM

Lotus AMI ProfessionalWrite Plus AMI

 File formats 635
File formats whose content can be extracted

Table 35-2 Supported word processing file formats (continued)

Format Name Format Extension

LotusWord Pro LWP

Lotus SmartMaster MWP

Microsoft Word PC DOC

Microsoft Word Windows DOC

Microsoft Word Windows XML DOCX

Microsoft Word Windows Template XML DOTX

Microsoft Word Windows Macro-Enabled Template XML DOTM

Microsoft Word Macintosh DOC

Microsoft Works WPS

Microsoft Windows Write WRI

OpenOfficeWriter SXW

OpenOfficeWriter ODT

StarOfficeWriter SXW

StarOfficeWriter ODT

WordPad RTF

XML Paper Specification XPS

XyWrite XY4

Supported presentation formats

The following tables list the presentation file formats whose content Symantec
Data Loss Prevention can extract for policy evaluation.

Table 35-3 Supported presentation file formats

Format Name Format Extension

Apple iWork Keynote KEYNOTE

Applix Presents AG
636 File formats
File formats whose content can be extracted

Table 35-3 Supported presentation file formats (continued)

Format Name Format Extension

Corel Presentations SHW

Lotus Freelance Graphics PRZ

Lotus Freelance Graphics 2 PRE

Macromedia Flash SWF

Microsoft PowerPoint Windows PPT

Microsoft PowerPoint PC PPT

Microsoft PowerPoint Windows XML PPTX

Microsoft PowerPoint Windows Macro-Enabled XML PPTM

Microsoft PowerPoint Windows XML Template POTX

Microsoft PowerPoint Windows Macro-Enabled XML POTM

Template

Microsoft PowerPoint Windows XML Show PPSX

Microsoft PowerPoint Windows Macro-Enabled Show PPSM

Microsoft PowerPoint Macintosh PPT

OpenOffice Impress SXI

OpenOffice Impress SXP

OpenOffice Impress ODP

StarOffice Impress SXI

StarOffice Impress SXP

StarOffice Impress ODP

Supported spreadsheet formats

The following table lists the speadsheet file formats whose content Symantec
Data Loss Prevention can extract for policy evaluation.
 File formats 637
File formats whose content can be extracted

Table 35-4 Supported spreadsheet file formats

Format Name Format Extension

Apple iWork Numbers NUMBERS

Applix Spreadsheets AS

Comma Separated Values CSV

Corel Quattro Pro WB2

Corel Quattro Pro WB3

Data Interchange Format DIF

Lotus 1-2-3 123

Lotus 1-2-3 WK4

Lotus 1-2-3 Charts 123

Microsoft Excel Windows XLS

Microsoft Excel Windows XML XLSX

Microsoft Excel Charts XLS

Microsoft Excel 2007 Binary XLSB

Microsoft Excel Macintosh XLS

Microsoft Works Spreadsheet S30

Microsoft Works Spreadsheet S40

OpenOffice Calc SXC

OpenOffice Calc ODS

StarOffice Calc SXC

StarOffice Calc ODS

Supported encapsulation formats

The following table lists the file formats whose content Symantec Data Loss
Prevention can extract for policy evaluation. Note that the content of encapsulation
files are subfiles.
638 File formats
File formats whose content can be extracted

Table 35-5 Supported encapsulation file formats

Format Name Format Extension

7-Zip 7Z

BinHex HQX

GZIP GZ

Java Archive JAR

Microsoft Cabinet CAB

Microsoft Compressed Folder LZH

Microsoft Compressed Folder LHA

PKZIP ZIP

WinZip ZIP

RAR archive RAR

Tape Archive TAR

UNIX Compress Z

UUEncoding UUE

Supported text and markupt file formats

The following table lists the text and markup file formats whose content Symantec
Data Loss Prevention can extract for policy evaluation.

Table 35-6 Supported text and markup file formats

Format Name Format Extension

ANSI TXT

ASCII TXT

HTML HTM

Microsoft Excel Windows XML XML

Microsoft Word Windows XML XML

Microsoft Visio XML VDX

 File formats 639
File formats whose content can be extracted

Table 35-6 Supported text and markup file formats (continued)

Format Name Format Extension

Oasis Open Document Format ODT

Oasis Open Document Format ODS

Oasis Open Document Format ODP

Rich Text Format RTF

Unicode Text TXT

XHTML HTM

XML (generic) XML

Supported email file formats

The following table lists the email file formats whose content Symantec Data Loss
Prevention can extract for policy evaluation.

Table 35-7 Supported email file formats

Format Name Format Extension

Domino XML Language DXL

EMC EmailXtender Native Message ONM

Microsoft Outlook MSG

Microsoft Outlook Express EML

Text Mail (MIME) various

Transfer Neutral Encapsulation Format various

Supported computer-aided design formats

The following table lists the computer-aided design (CAD) file formats whose
content Symantec Data Loss Prevention can extract for policy evaluation.

Table 35-8 Supported CAD file formats

Format Name Format Extension

AutoCAD Drawing DWG

640 File formats
File formats whose content can be extracted

Table 35-8 Supported CAD file formats (continued)

Format Name Format Extension

AutoCAD Drawing Exchange DFX

Microsoft Visio VSD

Microstation DGN

Supported graphics formats

The following table lists the graphics file formats whose content Symantec Data
Loss Prevention can extract for policy evaluation.

Table 35-9 Supported graphics file formats

Format Name Format Extension

Enhanced Metafile EMF

Lotus Pic PIC

Tagged Image File (metadata only) TIFF

Windows Metafile WMF

Supported database formats

The following table lists the database file formats whose content Symantec Data
Loss Prevention can extract for policy evaluation.

Table 35-10 Crackable database file formats

Format Name Format Extension

Microsoft Access MDB

Microsoft Project (metadata only) MPP

Other supported formats

The following table lists other file formats whose content Symantec Data Loss
Prevention can extract for policy evaluation.
 File formats 641
File types that can be recognized

Table 35-11 Other crackable file formats

Format Name Format Extension

Adobe PDF PDF

MPEG-1 Audio layer 3 (metadata only) MP3

Microsoft Windows Backup Utility File BKF

File types that can be recognized

The following table lists the file types Symantec Data Loss Prevention can
recognize.

Note: The content of these files is not scanned, only the file type is recognized.
See “File formats whose content can be extracted” on page 633.

Table 35-12 File types that can be recognized

Recognizable file types

7-Zip Compressed File (7Z)

Ability Office (SS)

Ability Office (DB)

Ability Office (GR)

Ability Office (WP)

Ability Office (COM)

ACT

Adobe FrameMaker

Adobe FrameMaker Interchange Format

Adobe FrameMaker Markup Language

Adobe PDF

AES Multiplus Comm

Aldus Freehand (Macintosh)

Aldus PageMaker (DOS)

642 File formats
File types that can be recognized

Table 35-12 File types that can be recognized (continued)

Recognizable file types

Aldus PageMaker (Macintosh)

Amiga IFF-8SVX sound

Amiga MOD sound

ANSI

Apple Double

Apple Single

Applix Alis

Applix Asterix

Applix Graphics

Applix Presents

Applix Spreadsheets

Applix Words

ARC/PAK Archive

ASCII

ASCII-armored PGP encoded

ASCII-armored PGP Public Keyring

ASCII-armored PGP signed

Audio Interchange File Format

AutoCAD Drawing

AutoCAD Drawing Exchange

AutoDesk Animator FLIC Animation

AutoDesk Animator Pro FLIC Animation

AutoDesk WHIP

AutoShade Rendering

BinHex
 File formats 643
File types that can be recognized

Table 35-12 File types that can be recognized (continued)

Recognizable file types

CADAM Drawing (CDD)

CADAM Drawing Overlay

CATIA Drawing (CAT)

CCITT Group 3 1-Dimensional (G31D)

COMET TOP Word

Comma Separated Values

Compactor/Compact Pro Archive

Computer Graphics Metafile

Convergent Tech DEF Comm.

Corel Draw CMX

Corel Presentations

Corel Quattro Pro (WB2)

Corel Quattro Pro (WB3)

Corel WordPerfect Linux

Corel WordPerfect Macintosh

Corel WordPerfect Windows (WO)

Corel WordPerfect Windows (WPD)

CorelDRAW

cpio Archive (UNIX)

cpio Archive (VAX)

cpio Archive (SUN)

CPT Communication

Creative Voice (VOC) sound

Curses Screen Image (UNIX)

Curses Screen Image (VAX)

644 File formats
File types that can be recognized

Table 35-12 File types that can be recognized (continued)

Recognizable file types

Curses Screen Image (SUN)

Data Interchange Format

Data Point VISTAWORD

dBase Database

DCX Fax

DCX Fax System

DEC WPS PLUS

DECdx

Desktop Color Separation (DCS)

Device Independent file (DVI)

DG CEOwrite

DG Common Data Stream (CDS)

DIF Spreadsheet

Digital Document Interchange Format (DDIF)

Disk Doubler Compression

DisplayWrite

Domino XML Language

EBCDIC Text

EMC EmailXtender Container File (EMX)

ENABLE

ENABLE Spreadsheet (SSF)

Encapsulated PostScript (raster)

Enhanced Metafile

Envoy (EVY)

Executable- Other
 File formats 645
File types that can be recognized

Table 35-12 File types that can be recognized (continued)

Recognizable file types

Executable- UNIX

Executable- VAX

Executable- SUN

FileMaker (Macintosh)

File Share Encryption

Folio Flat File

Framework

Framework II

FTP Session Data

Fujitsu Oasys

GEM Bit Image

GIF

Graphics Environment Manager (GEM VDI)

GZIP

Haansoft Hangul

Harvard Graphics

Hewlett-Packard

Honey Bull DSA101

HP Graphics Language (HPG)

HP Printer Control Language (PCL)

HTML

IBM 1403 Line Printer

IBM DCA/RFT(Revisable Form Text)

IBM DCA-FFT

IBM DCF Script

646 File formats
File types that can be recognized

Table 35-12 File types that can be recognized (continued)

Recognizable file types

Informix SmartWare II

Informix SmartWare II Communication File

Informix SmartWare II Database

Informix SmartWare Spreadsheet

Interleaf

Java Archive

JPEG

JPEG File Interchange Format (JFIF)

JustSystems Ichitaro

KW ODA G31D (G31)

KW ODA G4 (G4)

KW ODA Internal G32D (G32)

KW ODA Internal Raw Bitmap (RBM)

Lasergraphics Language

Legato Extender

Link Library- Other

Link Library UNIX

Link Library VAX

Link Library SUN

Lotus 1-2-3 (123)

Lotus 1-2-3 (WK4)

Lotus 1-2-3 Charts

Lotus AMI Pro

Lotus AMI Professional Write Plus

Lotus AMIDraw Graphics

 File formats 647
File types that can be recognized

Table 35-12 File types that can be recognized (continued)

Recognizable file types

Lotus Freelance Graphics

Lotus Freelance Graphics 2

Lotus Notes Bitmap

Lotus Notes CDF

Lotus Notes database

Lotus Pic

Lotus Screen Cam

Lotus SmartMaster

Lotus Word Pro

Lyrix MacBinary

MacBinary

Macintosh Raster

MacPaint

Macromedia Director

Macromedia Flash

MacWrite

MacWrite II

MASS-11

Micrografx Designer

Microsoft Access

Microsoft Advanced Systems Format (ASF)

Microsoft Compressed Folder (LZH)

Microsoft Compressed Folder (LHA)

Microsoft Device Independent Bitmap

Microsoft Excel Charts

648 File formats
File types that can be recognized

Table 35-12 File types that can be recognized (continued)

Recognizable file types

Microsoft Excel Macintosh

Microsoft Excel Windows

Microsoft Excel Windows XML

Microsoft Office Access (ACCDB)

Microsoft Office Drawing

Microsoft Outlook Personal Folder

Microsoft Outlook

Microsoft Outlook Express

Microsoft PowerPoint Macintosh

Microsoft PowerPoint PC

Microsoft PowerPoint Windows

Microsoft PowerPoint Windows XML

Microsoft PowerPoint Windows Macro-Enabled XML

Microsoft PowerPoint Windows XML Template

Microsoft PowerPoint Windows Macro-Enabled XML Template

Microsoft PowerPoint Windows XML Show

Microsoft PowerPoint Windows Macro-Enabled Show

Microsoft Project

Microsoft Publisher

Microsoft Visio

Microsoft Visio XML

Microsoft Wave Sound

Microsoft Windows Cursor (CUR) Graphics

Microsoft Windows Group File

Microsoft Windows Help File

 File formats 649
File types that can be recognized

Table 35-12 File types that can be recognized (continued)

Recognizable file types

Microsoft Windows Icon (ICO)

Microsoft Windows OLE 2 Encapsulation

Microsoft Windows Write

Microsoft Word (UNIX)

Microsoft Word Macintosh

Microsoft Word PC

Microsoft Word Windows

Microsoft Word Windows XML

Microsoft Word Windows Template XML

Microsoft Word Windows Macro-Enabled Template XML

Microsoft Works (Macintosh)

Microsoft Works

Microsoft Works Communication (Macintosh)

Microsoft Works Communication (Windows)

Microsoft Works Database (Macintosh)

Microsoft Works Database (PC)

Microsoft Works Database (Windows)

Microsoft Works Spreadsheet (S30)

Microsoft Works Spreadsheet (S40)

Microsoft Works Spreadsheet (Macintosh)

Microstation

MIDI

MORE Database Outliner (Macintosh)

MPEG-1 Audio layer 3

MPEG-1 Video
650 File formats
File types that can be recognized

Table 35-12 File types that can be recognized (continued)

Recognizable file types

MPEG-2 Audio

MS DOS Batch File format

MS DOS Device Driver

MultiMate 4.0

Multiplan Spreadsheet

Navy DIF

NBI Async Archive Format

NBI Net Archive Format

Netscape Bookmark file

NeWS font file (SUN)

NeXT/Sun Audio

NIOS TOP

Nota Bene

Nurestor Drawing (NUR)

Oasis Open Document Format (ODT)

Oasis Open Document Format (ODS)

Oasis Open Document Format (ODP)

Object Module UNIX

Object Module VAX

Object Module SUN

ODA/ODIF

ODA/ODIF (FOD 26)

Office Writer

OLE DIB object

OLIDIF
 File formats 651
File types that can be recognized

Table 35-12 File types that can be recognized (continued)

Recognizable file types

OmniOutliner (OO3)

OpenOffice Calc (SXC)

OpenOffice Calc (ODS)

OpenOffice Impress (SXI)

OpenOffice Impress (SXP)

OpenOffice Impress (ODP)

OpenOffice Writer (SXW)

OpenOffice Writer (ODT)

Open PGP

OS/2 PM Metafile Graphics

Paradox (PC) Database

PC COM executable

PC Library Module

PC Object Module

PC PaintBrush

PC True Type Font

PCD Image

PeachCalc Spreadsheet

Persuasion Presentation

PEX Binary Archive (SUN)

PGP Compressed Data

PGP Encrypted Data

PGP Public Keyring

PGP Secret Keyring

PGP Signature Certificate

652 File formats
File types that can be recognized

Table 35-12 File types that can be recognized (continued)

Recognizable file types

PGP Signed and Encrypted Data

PGP Signed Data

Philips Script

PKZIP

Plan Perfect

Portable Bitmap Utilities (PBM)

Portable Greymap Utilities (PGM)

Portable Network Graphics

Portable Pixmap Utilities (PPM)

PostScript File

PRIMEWORD

Program Information File

Q & A for DOS

Q & A for Windows

Quadratron Q-One (V1.93J)

Quadratron Q-One (V2.0)

Quark Express (Macintosh)

QuickDraw 3D Metafile (3DMF)

QuickTime Movie

RAR archive

Real Audio

Reflex Database

Rich Text Format

RIFF Device Independent Bitmap

RIFF MIDI
 File formats 653
File types that can be recognized

Table 35-12 File types that can be recognized (continued)

Recognizable file types

RIFF Multimedia Movie

SAMNA Word IV

Serialized Object Format (SOF) Encapsulation

SGI RGB Image

SGML

Simple Vector Format (SVF)

SMTP document

SolidWorks Drawing

StarOffice Calc (SXC)

StarOffice Calc (ODS)

StarOffice Impress (SXI)

StarOffice Impress (SXP)

StarOffice Impress (ODP)

StarOffice Writer (SXW)

StarOffice Writer (ODT)

Stuff It Archive (Macintosh)

Sun Raster Image

SUN vfont definition

Supercalc Spreadsheet

SYLK Spreadsheet

Symphony Spreadsheet

Tagged Image File

Tape Archive

Targon Word (V 2.0)

Text Mail (MIME)

654 File formats
File types that can be recognized

Table 35-12 File types that can be recognized (continued)

Recognizable file types

Transmission Neutral Encapsulation Format

Truevision Targa

Ultracalc Spreadsheet

Unicode Text

Uniplex (V6.01)

Uniplex Ucalc Spreadsheet

UNIX Compress

UNIX SHAR Encapsulation

Usenet format

UUEncoding

Volkswriter

VRML

Wang Office GDL Header Encapsulation

WANG PC

Wang WITA

WANG WPS Comm.

Windows Animated Cursor

Windows Bitmap

Windows C++ Object Storage

Windows Icon Cursor

Windows Metafile

Windows Micrografx Draw (DRW)

Windows Palette

Windows Media Video (WMV)

Windows Media Audio (WMA)

 File formats 655
File types that can be recognized

Table 35-12 File types that can be recognized (continued)

Recognizable file types

Windows Video (AVI)

WinZip (unzip reader)

WinZip

Word Connection

WordERA (V 1.0)

WordMARC word processor

WordPad

WordPerfect General File

WordPerfect Graphics 1

WordPerfect Graphics 2

WordStar

WordStar 2000

WordStar 6.0

WriteNow

Writing Assistant word processor

X Bitmap (XBM)

X Image

X Pixmap (XPM)

Xerox 860 Comm.

Xerox Writer word processor

XHTML

XML (generic)

XML Paper Specification

XyWrite
656 File formats
Custom file formats

Custom file formats

If the desired file format is not supported by default, Symantec Data Loss
Prevention lets you extend file type identification and customize content extraction
so that virutally any type of file can be detected and cracked.
You can implement custom file type identification using the DLP Scripting
Language. Refer to the Symantec Data Loss Prevention Detection Customization
Guide for details.
See “About custom file type identification” on page 564.
 Chapter 36
Data identifiers
This chapter includes the following topics:

■ ABA Routing Number data identifier

■ Australian Medicare Number data identifier

■ Australian Tax File Number data identifier

■ Burgerservicenummer data identifier

■ Canadian Social Insurance Number data identifier

■ Codice Fiscale data identifier

■ Credit Card Magnetic Stripe Data data identifier

■ Credit Card Number data identifier

■ CUSIP Number data identifier

■ Drivers License Number – CA State data identifier

■ Drivers License Number - FL, MI, MN States data identifier

■ Drivers License Number - IL State data identifier

■ Drivers License Number - NJ State data identifier

■ Drivers License Number - NY State data identifier

■ French INSEE Code data identifier

■ Hong Kong ID data identifier

■ IBAN Central data identifier

■ IBAN East data identifier

658 Data identifiers
ABA Routing Number data identifier

■ IBAN West data identifier

■ IP Address data identifier

■ National Drug Code (NDC) data identifier

■ People's Republic of China ID data identifier

■ Singapore NRIC data identifier

■ South Korea Resident Registration Number data identifier

■ Spanish DNI ID data identifier

■ SWIFT Code data identifier

■ Swiss AHV Number data identifier

■ Taiwan ID data identifier

■ UK Drivers License Number data identifier

■ UK Electoral Roll Number data identifier

■ UK National Health Service (NHS) Number data identifier

■ UK National Insurance Number data identifier

■ UK Passport Number data identifier

■ UK Tax ID Number data identifier

■ US Individual Tax Identification Number (ITIN) data identifier

■ US Social Security Number (SSN) data identifier

■ US SSN – Randomized custom Data Identifier

ABA Routing Number data identifier

The American Banking Association (ABA) routing number, also known as a routing
transit number (RTN), is used to identify financial institutions and process
transactions.
The ABA Routing Number data identifier detects 9-digit numbers and provides
three breadths of detection:
■ The wide breadth edition validates the detected number using the final check
digit.
See “ABA Routing Number wide breadth” on page 659.
 Data identifiers 659
ABA Routing Number data identifier

■ The medium breadth edition validates the detected number using the final
check digit and eliminates common test numbers.
See “ABA Routing Number medium breadth” on page 659.
■ The narrow breadth edition validates the detected number using the final
check digit, eliminates common test numbers, and requires the presence of
an ABA-related keyword.
See “ABA Routing Number narrow breadth” on page 660.

ABA Routing Number wide breadth

The wide breadth edition of the ABA Routing Number data identifier detects 9-digit
numbers. It validates the number using the final check digit.

Table 36-1 ABA Routing Number wide breadth patterns

Pattern

[0123678]\d{8}

[0123678]\d{3}-\d{4}-\d

Table 36-2 ABA Routing Number wide breadth validators

Mandatory validator Description

ABA Checksum Every ABA routing number must start with

the following two digits:
00-15,21-32,61-72,80 and pass an ABA
specific, position-weighted check sum.

ABA Routing Number medium breadth

The medium breadth edition of the ABA Routing number DI detects 9-digit
numbers. It validates the number using the final check digit.
It eliminates common test numbers, such as 123456789, ranges reserved for future
use, and all the same digit.

Table 36-3 ABA Routing Number medium breadth patterns

Pattern

[0123678]\d{8}

[0123678]\d{3}-\d{4}-\d
660 Data identifiers
ABA Routing Number data identifier

Table 36-4 ABA Routing Number medium breadth validators

Mandatory validator Description

ABA Checksum Every ABA routing number must start with

the following two digits:
00-15,21-32,61-72,80 and pass an ABA
specific, position-weighted check sum.

Exclude beginning characters With this option selected, data beginning

with any of the following list of values will
not be matched.

Input: 123456789

Duplicate digits Ensures that a string of digits are not all the
same.

Number delimiter Validates a match by checking the

surrounding numbers.

ABA Routing Number narrow breadth

The narrow breadth edition of the ABA Routing number data identifier detects
9-digit numbers and validates the number using the final check digit. It eliminates
common test numbers, such as 123456789, ranges reserved for future use, and
all the same digit. It also requires the presence of an ABA-related keyword.

Table 36-5 ABA Routing Number narrow breadth patterns

Pattern

[0123678]\d{8}

[0123678]\d{3}-\d{4}-\d

Table 36-6 ABA Routing Number narrow breadth validators

Mandatory validator Description

ABA Checksum Every ABA routing number must start with

the following two digits:
00-15,21-32,61-72,80 and pass an ABA
specific, position-weighted checksum.
 Data identifiers 661
Australian Medicare Number data identifier

Table 36-6 ABA Routing Number narrow breadth validators (continued)

Mandatory validator Description

Exclude beginning characters With this option selected, data beginning

with any of the following list of values will
not be matched.

Input: 123456789

Duplicate digits Ensures that a string of digits are not all the
same.

Find keywords With this option selected, at least one of the

following keywords or key phrases must be
present for the data to be matched. Input:

aba, aba #, aba routing #, aba routing

number, aba#, abarouting#,
abaroutingnumber, american bank
association routing #, american bank
association routing number,
americanbankassociationrouting#,
americanbankassociationroutingnumber,
bank routing #, bank routing number,
bankrouting#, bankroutingnumber

Number delimiter Validates a match by checking the

surrounding numbers.

Australian Medicare Number data identifier

The Australian Medicare Number is a personal identifier allocated by the
Australian Health Insurance Commission to eligible persons under the Medicare
scheme. This number appears on the Australian Medicare card.
The Australian Medicare Number data identifier detects an 8- or 9-digit number
that matches the format of the Australian Medicare Number. This data identifier
does not implement any validators.

Table 36-7 Australian Medicare Number wide breadth patterns

Pattern

\d{4} \d{5} \d \d

\d{4}-\d{5}-\d-\d
662 Data identifiers
Australian Tax File Number data identifier

Australian Tax File Number data identifier

The Australian Tax File Number (TFN) is an 8- or 9-digit number issued by the
Australian Taxation Office (ATO) to taxpayers (individual, company,
superannuation fund, partnership or trust) to identify their Australian tax dealings.
The Australian Tax File Number data identifier detects an 8- or 9-digit number
and ensures that the detected number passes checksum validation.

Table 36-8 Australian Tax File Number wide breadth patterns

Pattern

\d{8}

\d{9}

Table 36-9 Australian Tax File Number wide breadth validator

Mandatory validator Description

Australian Tax File validation check Computes the checksum and validates the
pattern against it.

Burgerservicenummer data identifier

In the Netherlands, the burgerservicenummer is used to uniquely identify citizens
and is printed on driving licenses, passports and international ID cards under the
header Personal Number.
The Burgerservicenummer data identifier detects an 8- or 9-digit number that
passes checksum validation.

Table 36-10 Burgerservicenummer wide breadth pattern

Pattern

\d{9}

Table 36-11 Burgerservicenummer wide breadth validator

Mandatory validator Description

Burgerservicenummer Check Burgerservicenummer Check.

 Data identifiers 663
Canadian Social Insurance Number data identifier

Canadian Social Insurance Number data identifier

The Canadian Social Insurance Number (SIN) is a personal identification number
issued by Human Resources and Skills Development Canada primarily for
administering national pension and employment plans.
The Canadian Social Insurance Number data identifier provides three breadths
of detection:
■ Wide
See “Canadian Social Insurance Number wide breadth” on page 663.
■ Medium
See “Canadian Social Insurance Number medium breadth” on page 664.
■ Narrow
See “Canadian Social Insurance Number narrow breadth” on page 664.

Canadian Social Insurance Number wide breadth

The wide breadth Canadian Social Insurance Number DI detects 9-digit numbers
with the format DDD-DDD-DDD separated by dashes, spaces, periods, slashes, or
without separators. Performs Luhn check validation.

Table 36-12 Canadian Social Insurance Number wide breadth patterns

Pattern

\d{3} \d{3} \d{3}

\d{9}

\d{3}/\d{3}/\d{3}

\d{3}.\d{3}.\d{3}

\d{3}-\d{3}-\d{3}

Table 36-13 Canadian Social Insurance Number wide breadth validator

Mandatory validator Description

Luhn Check Validator computes the Luhn checksum

which every Canadian Insurance Number
must pass.
664 Data identifiers
Canadian Social Insurance Number data identifier

Canadian Social Insurance Number medium breadth

The medium breadth Canadian Social Insurance Number DI detects 9-digit numbers
with the format DDD-DDD-DDD separated by dashes, spaces, or periods. It
performs Luhn check validation and eliminates non-assigned numbers and
common test numbers.

Table 36-14 Canadian Social Insurance Number medium breadth patterns

Pattern

\d{3} \d{3} \d{3}

\d{3}.\d{3}.\d{3}

\d{3}-\d{3}-\d{3}

Table 36-15 Canadian Social Insurance Number medium breadth validators

Mandatory validator Description

Luhn Check Validator computes the Luhn checksum

which every Canadian Insurance Number
must pass.

Number delimiter Validates a match by checking the

surrounding numbers.

Exclude beginning characters With this option selected, data beginning

with any of the following list of values will
not be matched.

Input:

8, 123456789

Canadian Social Insurance Number narrow breadth

The narrow breadth Canadian Social Insurance Number DI detects 9-digit numbers
with the format DDD-DDD-DDD separated by dashes or spaces. Performs Luhn
check validation. Eliminates non-assigned numbers, fictitiously assigned numbers,
and common test numbers. Requires the presence of a Social Insurance-related
keyword.

Table 36-16 Canadian Social Insurance Number narrow breadth patterns

Pattern

\d{3} \d{3} \d{3}

 Data identifiers 665
Codice Fiscale data identifier

Table 36-16 Canadian Social Insurance Number narrow breadth patterns

(continued)

Pattern

\d{3}-\d{3}-\d{3}

Table 36-17 Canadian Social Insurance Number narrow breadth validators

Mandatory validator Description

Luhn Check Validator computes the Luhn checksum

which every Canadian Insurance Number
must pass.

Number delimiter Validates a match by checking the

surrounding numbers.

Exclude beginning characters With this option selected, data beginning

with any of the following list of values will
not be matched.

Input:

0, 8, 123456789

Find keywords With this option selected, at least one of the

following keywords or key phrases must be
present for the data to be matched.

Inputs:
pension, pensions, soc ins, ins #, social ins,
CSIN, SSN, social security, social insurance,
Canada, Canadian

Codice Fiscale data identifier

In Italy the codice fiscale is issued to every Italian at birth. The codice fiscale
uniquely identifies an Italian citizen or permanent resident alien and issuance of
the code is centralized to the Ministry of Treasure.
The Codice Fiscale data identifier detects a 16 character identifier. The final
character must match a checksum algorithm.
666 Data identifiers
Credit Card Magnetic Stripe Data data identifier

Table 36-18 Codice Fiscale wide breadth patterns

Pattern

[A-Z]{6}[0-9LMNPQRSTUV]{2}[ABCDEHLMPRST][0-9LMNPQRSTUV]{2}[A-Z]
[0-9LMNPQRSTUV]{3}[A-Z]

[A-Z]{3} [A-Z]{3} [0-9LMNPQRSTUV]{2}[ABCDEHLMPRST][0-9LMNPQRSTUV]{2}

[A-Z][0-9LMNPQRSTUV]{3}[A-Z]

Table 36-19 Codice Fiscale wide breadth validator

Mandatory validator Description

Codice Fiscale Control Key Check Computes the control key and checks if it is
valid.

Credit Card Magnetic Stripe Data data identifier

The magnetic stripe of a credit card contains information about the card. Storage
of the complete version of this data is a violation of the Payment Card Industry
(PCI) Data Security Standard.
The Credit Card Magnetic Stripe Data data identifier detects the following raw
data taken from the credit card magnetic stripe:
■ Data from track 1, format B, which typically contains account number, name,
expiration date, and possibly Card Verification Value or Card Verification Code
1 (CVV1/CVC1).
■ Data from track 2, which typically contains account number and possibly
expiration date, service code and Card Verification Value or Card Verification
Code 1 (CVV1/CVC1)
The Credit Card Magnetic Stripe data identifier detects the characteristic data
pattern for track 2 data which contains the start sentinel, format code, primary
account number, name, expiration date, service code, discretional data, and the
end sentinel. It also includes standard field separators. It validates the data using
a Luhn check validator.
 Data identifiers 667
Credit Card Magnetic Stripe Data data identifier

Table 36-20 Credit Card Magnetic Stripe Data medium breadth patterns

Pattern Pattern (continued)

;1800\d{11}= %B3[068]\d{12}^[A-Z]{1}

;6011-\d{4}-\d{4}-\d{4}= %B3[068]\d{2} \d{6} \d{4}^[A-Z]{1}

;6011 \d{4} \d{4} \d{4}= %B3[068]\d{2}-\d{6}-\d{4}^[A-Z]{1}

;6011\d{12}= %B4\d{12}^[A-Z]{1}

;3[068]\d{12}= %B3[47]\d{2}-\d{6}-\d{5}^[A-Z]{1}

;3[068]\d{2} \d{6} \d{4}= %B4\d{3} \d{4} \d{4} \d{4}^[A-Z]{1}

;3[068]\d{2}-\d{6}-\d{4}= %B3[47]\d{2} \d{6} \d{5}^[A-Z]{1}

;4\d{12}= %B4\d{15}^[A-Z]{1}

;3[47]\d{2}-\d{6}-\d{5}= %B3[47]\d{13}^[A-Z]{1}

;4\d{3} \d{4} \d{4} \d{4}= %B5[1-5]\d{2}-\d{4}-\d{4}-\d{4}^[A-Z]{1}

;3[47]\d{2} \d{6} \d{5}= %B4\d{3}-\d{4}-\d{4}-\d{4}^[A-Z]{1}

;4\d{15}= ;3[47]\d{13}= %B5[1-5]\d{2} \d{4} \d{4} \d{4}^[A-Z]{1}

;5[1-5]\d{2}-\d{4}-\d{4}-\d{4}= %B5[1-5]\d{14}^[A-Z]{1}

;4\d{3}-\d{4}-\d{4}-\d{4}= %B2131\d{11}^[A-Z]{1}

;5[1-5]\d{2} \d{4} \d{4} \d{4}= %B3\d{3}-\d{4}-\d{4}-\d{4}^[A-Z]{1}

;5[1-5]\d{14}= ;2131\d{11}= %B3\d{3} \d{4} \d{4} \d{4}^[A-Z]{1}

;3\d{3}-\d{4}-\d{4}-\d{4}= %B3\d{15}^[A-Z]{1}

;3\d{3} \d{4} \d{4} \d{4}= %B2149\d{11}^[A-Z]{1}

;3\d{15}= %B2149 \d{6} \d{5}^[A-Z]{1}

;2149\d{11}= %B2149-\d{6}-\d{5}^[A-Z]{1}

;2149 \d{6} \d{5}= %B2014\d{11}^[A-Z]{1}

;2149-\d{6}-\d{5}= %B2014 \d{6} \d{5}^[A-Z]{1}

;2014\d{11}= %B2014-\d{6}-\d{5}^[A-Z]{1}

;2014 \d{6} \d{5}=

;2014-\d{6}-\d{5}=

%B1800\d{11}^[A-Z]{1}

%B6011-\d{4}-\d{4}-\d{4}^[A-Z]{1}

%B6011 \d{4} \d{4}

\d{4}^[A-Z]{1}

%B6011\d{12}^[A-Z]{1}
668 Data identifiers
Credit Card Number data identifier

Table 36-21 Credit Card Magnetic Stripe Data medium breadth validator

Validator Description

Luhn Check Computes the Luhn checksum which every

instance must pass.

Credit Card Number data identifier

Account number needed to process credit card transactions. Often abbreviated
as CCN. Also known as a Primary Account Number (PAN).
The Credit Card Number data identifier offers three breadths of detection:
■ Wide breadth
See “Credit Card Number wide breadth” on page 668.
■ Medium breadth
See “Credit Card Number medium breadth” on page 669.
■ Narrow breadth
See “Credit Card Number narrow breadth” on page 671.

Credit Card Number wide breadth

The wide breadth Credit Card Number data identifier detects valid credit card
numbers that are separated by spaces, dashes, periods, or without separators.
This validator includes formats for American Express, Diner's Club, Discover,
Japan Credit Bureau (JCB), MasterCard, and Visa.
This validator performs Luhn check validation.
 Data identifiers 669
Credit Card Number data identifier

Table 36-22 Credit Card Number wide breadth patterns

Pattern Pattern (continued)

\d{16} 2149-\d{6}-\d{5}

\d{4}.\d{4}.\d{4}.\d{4} 3[068]\d{12}

\d{4} \d{4} \d{4} \d{4} 3[068]\d{2}.\d{6}.\d{4}

\d{4}-\d{4}-\d{4}-\d{4} 3[068]\d{2} \d{6} \d{4}

1800\d{11} 2014.\d{6}.\d{5} 3[068]\d{2}-\d{6}-\d{4}

2014\d{11} 2014 \d{6} \d{5} 3[47]\d{13}

2014-\d{6}-\d{5} 3[47]\d{2}.\d{6}.\d{5}

2131\d{11} 3[47]\d{2} \d{6} \d{5}

2149.\d{6}.\d{5} 3[47]\d{2}-\d{6}-\d{5}

2149\d{11} 4\d{12}

2149 \d{6} \d{5}

Table 36-23 Canadian Social Insurance Number wide breadth validator

Mandatory validator Description

Luhn Check Computes the Luhn checksum which every

Credit Card Number must pass.

Credit Card Number medium breadth

The medium breadth Credit Card Number data identifier detects valid credit card
numbers that are separated by spaces, dashes, periods, or without separators.
This validator performs Luhn check validation. This validator includes formats
for American Express, Diner's Club, Discover, Japan Credit Bureau (JCB),
MasterCard, and Visa. This validator eliminates common test numbers, including
those reserved for testing by credit card issuers.
670 Data identifiers
Credit Card Number data identifier

Table 36-24 Credit Card Number medium breadth patterns

Pattern Pattern (continued)

1800\d{11} 3\d{3}.\d{4}.\d{4}.\d{4}

2014.\d{6}.\d{5} 3\d{3} \d{4} \d{4} \d{4}

2014\d{11} 3\d{3}-\d{4}-\d{4}-\d{4}

2014 \d{6} \d{5} 4\d{12} 4\d{15}

2014-\d{6}-\d{5} 4\d{3}.\d{4}.\d{4}.\d{4}

2131\d{11} 4\d{3} \d{4} \d{4} \d{4}

2149.\d{6}.\d{5} 2149\d{11} 4\d{3}-\d{4}-\d{4}-\d{4}

2149 \d{6} \d{5} 5[1-5]\d{14}

2149-\d{6}-\d{5} 5[1-5]\d{2}.\d{4}.\d{4}.\d{4}

3[068]\d{12} 5[1-5]\d{2} \d{4} \d{4} \d{4}

3[068]\d{2}.\d{6}.\d{4} 5[1-5]\d{2}-\d{4}-\d{4}-\d{4}

3[068]\d{2} \d{6} \d{4} 6011.\d{4}.\d{4}.\d{4}

3[068]\d{2}-\d{6}-\d{4} 6011\d{12}

3[47]\d{13} 6011 \d{4} \d{4} \d{4}

3[47]\d{2}.\d{6}.\d{5} 6011-\d{4}-\d{4}-\d{4}

3[47]\d{2} \d{6} \d{5}

3[47]\d{2}-\d{6}-\d{5}

3\d{15}

Table 36-25 Credit Card Number medium breadth validators

Mandatory validator Description

Luhn Check Validator computes the Luhn checksum which every Credit
Card Number must pass.

Exclude data match Excludes anything that matches the specified text.
 Data identifiers 671
Credit Card Number data identifier

Table 36-25 Credit Card Number medium breadth validators (continued)

Mandatory validator Description

Exclude data match 0111111111111111, 1234567812345670, 180025848680889,

inputs 180026939516875, 201400000000009, 201411032364438,
201431736711288, 210002956344412, 214906110040367,
30000000000004, 30175572836108, 30203642658706,
30374367304832, 30569309025904, 3088000000000000,
3088000000000009, 3088272824427380, 3096666928988980,
3158060990195830, 340000000000009, 341019464477148,
341111111111111, 341132368578216, 343510064010360,
344400377306201, 3530111333300000, 3566002020360500,
370000000000002, 371449635398431, 374395534374782,
378282246310005, 378282246310005, 378282246310005,
378734493671000, 38520000023237, 4007000000027,
4012888888881880, 4024007116284, 4111111111111110,
4111111111111111, 4222222222222, 4242424242424242,
4485249610564758, 4539399050593, 4539475158333170,
4539603277651940, 4539687075612974, 4539890911376230,
4556657397647250, 4716733846619930, 4716976758661,
4916437046413, 4916451936094420, 4916491104658550,
4916603544909870, 4916759155933, 5105105105105100,
5119301340696760, 5263386793750340, 5268196752489640,
5283145597742620, 5424000000000015, 5429800397359070,
5431111111111111, 5455780586062610, 5472715456453270,
5500000000000004, 5539878514522540, 5547392938355060,
5555555555554440, 5555555555554444, 5556722757422205,
6011000000000000, 6011000000000004, 6011000000000012,
6011000990139420, 6011111111111110, 6011111111111117,
6011312054074430, 6011354276117410, 6011601160116611,
6011905056260500, 869908581608894, 869933317208876,
869989278167071

Number Delimiter Validates a match by checking the surrounding number.

Credit Card Number narrow breadth

The narrow breadth edition of the Credit Card Number data identifier detects
valid credit card numbers that are separated by spaces, dashes, periods, or without
separators. It performs Luhn check validation. Includes formats for American
Express, Diner's Club, Discover, Japan Credit Bureau (JCB), MasterCard, and Visa.
Eliminates common test numbers, including those reserved for testing by credit
card issuers. Also requires presence of a credit card-related keyword.
672 Data identifiers
Credit Card Number data identifier

Table 36-26 Credit Card Number narrow breadth patterns

Pattern Pattern (continued)

2149 \d{6} \d{5} 5[1-5]\d{2}-\d{4}-\d{4}-\d{4}

2149-\d{6}-\d{5} 5[1-5]\d{2} \d{4} \d{4} \d{4}

2014\d{11} 5[1-5]\d{14}

2014 \d{6} \d{5} 5[1-5]\d{2}.\d{4}.\d{4}.\d{4}

2014-\d{6}-\d{5} 2131\d{11}

6011-\d{4}-\d{4}-\d{4} 3\d{3}-\d{4}-\d{4}-\d{4}

6011 \d{4} \d{4} \d{4} 3\d{3} \d{4} \d{4} \d{4}

6011\d{12} 3\d{15}

3[068]\d{12} 2149\d{11}

3[068]\d{2} \d{6} \d{4}

3[068]\d{2}-\d{6}-\d{4}

3[47]\d{2}-\d{6}-\d{5}

3[47]\d{2} \d{6} \d{5}

3[47]\d{13}

4\d{3}-\d{4}-\d{4}-\d{4}

3\d{3}.\d{4}.\d{4}.\d{4}

2149.\d{6}.\d{5}

2014.\d{6}.\d{5}

6011.\d{4}.\d{4}.\d{4}

3[068]\d{2}.\d{6}.\d{4}

3[47]\d{2}.\d{6}.\d{5}

4\d{3}.\d{4}.\d{4}.\d{4}

1800\d{11}

4\d{12}

4\d{3} \d{4} \d{4} \d{4}

4\d{15}
 Data identifiers 673
Credit Card Number data identifier

Table 36-27 Credit Card Number narrow breadth validators

Mandatory validator Description

Luhn Check Validator computes the Luhn checksum which every Credit Card
Number must pass.

Exclude data match Excludes anything that matches the specified text.

Exclude data match 0111111111111111, 1234567812345670, 180025848680889,

inputs 180026939516875, 201400000000009, 201411032364438,
201431736711288, 210002956344412, 214906110040367,
30000000000004, 30175572836108, 30203642658706,
30374367304832, 30569309025904, 3088000000000000,
3088000000000009, 3088272824427380, 3096666928988980,
3158060990195830, 340000000000009, 341019464477148,
341111111111111, 341132368578216, 343510064010360,
344400377306201, 3530111333300000, 3566002020360500,
370000000000002, 371449635398431, 374395534374782,
378282246310005, 378282246310005, 378282246310005,
378734493671000, 38520000023237, 4007000000027,
4012888888881880, 4024007116284, 4111111111111110,
4111111111111111, 4222222222222, 4242424242424242,
4485249610564758, 4539399050593, 4539475158333170,
4539603277651940, 4539687075612974, 4539890911376230,
4556657397647250, 4716733846619930, 4716976758661,
4916437046413, 4916451936094420, 4916491104658550,
4916603544909870, 4916759155933, 5105105105105100,
5119301340696760, 5263386793750340, 5268196752489640,
5283145597742620, 5424000000000015, 5429800397359070,
5431111111111111, 5455780586062610, 5472715456453270,
5500000000000004, 5539878514522540, 5547392938355060,
5555555555554440, 5555555555554444, 5556722757422205,
6011000000000000, 6011000000000004, 6011000000000012,
6011000990139420, 6011111111111110, 6011111111111117,
6011312054074430, 6011354276117410, 6011601160116611,
6011905056260500, 869908581608894, 869933317208876,
869989278167071

Number Delimiter Validates a match by checking the surrounding number.

Find keywords With this option selected, at least one of the following keywords
or key phrases must be present for the data to be matched.
674 Data identifiers
CUSIP Number data identifier

Table 36-27 Credit Card Number narrow breadth validators (continued)

Mandatory validator Description

Find keywords inputs account number, account ps, american express,

americanexpress, amex, bank card, bankcard, card num, card
number, cc #, cc#, ccn, check card, checkcard, credit card, credit
card #, credit card number, credit card#, debit card, debitcard,
diners club, dinersclub, discover, enroute, japanese card bureau,
jcb, mastercard, mc, visa

CUSIP Number data identifier

The CUSIP number is a unique identifier assigned to North American stock or
other securities. This number is issued by the Committee on Uniform Security
Identification Procedures (CUSIP) to assist in clearing and settling trades.
The CUSIP Number data identifier detects 9 character strings.
This data identifier provides three breadths of detection:
■ The wide edition validates the final check digit.
See “CUSIP Number wide breadth” on page 674.
■ The medium edition validates the final check digit and requires the presence
of a keyword.
See “CUSIP Number medium breadth” on page 675.
■ The narrow edition validates the final check digit and requires the presence
of a keyword.
See “CUSIP Number narrow breadth” on page 675.

CUSIP Number wide breadth

The wide breadth edition of the CUSIP Number data identifier detects 9 character
strings. The 5th, 6th, 7th, and 8th character can be a letter or number, and all
others are digits. Validates the final check digit.

Table 36-28 CUSIP Number wide breadth pattern

Pattern

\d{4}\w{4}\d
 Data identifiers 675
CUSIP Number data identifier

Table 36-29 CUSIP Number wide breadth validator

Mandatory validator Description

Cusip Validation Validator checks for invalid CUSIP ranges and computes the
CUSIP checksum (Modulus 10 Double Add Double algorithm).

CUSIP Number medium breadth

The medium breadth edition of the CUSIP Number data identifier detects 9
character strings. The 5th, 6th, 7th, and 8th character can be a letter or number,
and all others are digits.
This edition of the validator validates the final check digit and also requires the
presence of a CUSIP-related keyword..

Table 36-30 CUSIP Number medium breadth pattern

Pattern

\d{4}\w{4}\d

Table 36-31 CUSIP Number medium breadth validator

Mandatory validator Description

Cusip Validation Validator checks for invalid CUSIP ranges and computes the
CUSIP checksum (Modulus 10 Double Add Double algorithm).

Find keywords With this option selected, at least one of the following keywords
or key phrases must be present for the data to be matched.

Find keywords input cusip, c.u.s.i.p., Committee on Uniform Security Identification

Procedures, American Bankers Association, Standard & Poor's,
S&P, National Numbering Association, NNA, National Securities
Identification Number

CUSIP Number narrow breadth

The narrow breadth edition of the CUSIP Number data identifier detects 9
character strings. The 5th, 6th, 7th, and 8th character can be a letter or number,
and all others are digits.
This edition of the validator validates the final check digit and also requires the
presence of a CUSIP-related keyword.
This edition of the data identifier is narrower than the medium breadth because
it does not include the "NNA" abbreviation as a keyword.
676 Data identifiers
Drivers License Number – CA State data identifier

Table 36-32 CUSIP Number narrow breadth pattern

Pattern

\d{4}\w{4}\d

Table 36-33 CUSIP Number narrow breadth validators

Mandatory validator Description

Cusip Validation Validator checks for invalid CUSIP ranges

and computes the CUSIP checksum (Modulus
10 Double Add Double algorithm).

Find keywords With this option selected, at least one of the

following keywords or key phrases must be
present for the data to be matched.

Find keywords input cusip, c.u.s.i.p., Committee on Uniform

Security Identification Procedures, American
Bankers Association, Standard & Poor's, S&P,
National Numbering Association, National
Securities Identification Number

Drivers License Number – CA State data identifier

This number is the identification number for an individual's driver's license issued
by the US state of California.
The Drivers License Number – CA State data identifier detects the presence of a
7-digit number.
This data identifier provides two breadths of validation:
■ The wide breadth edition detects any 7-digit number.
See “Drivers License Number – CA State wide breadth” on page 676.
■ The medium breadth edition validates a detected number against keywords.
See “Drivers License Number – CA State medium breadth” on page 677.

Drivers License Number – CA State wide breadth

The wide breadth edition of the CA Driver License Number data identifier detects
an 8 character string, beginning with a letter followed by a 7-digit number.

Note: This breadth option does not include any validators.

 Data identifiers 677
Drivers License Number - FL, MI, MN States data identifier

Table 36-34 Drivers License Number wide breadth pattern

Pattern

\l\d{7}

Drivers License Number – CA State medium breadth

The medium breadth edition of this data identifier detects an 8 character string,
beginning with a letter followed by a 7-digit number.
It validates a detected number by requiring a driver's license keyword AND a
California-related keyword.

Table 36-35 Drivers License Number – CA State medium breadth pattern

Pattern

\l\d{7}

Table 36-36 Drivers License Number – CA State medium breadth validators

Mandatory validator Description

Find keywords With this option selected, at least one of the

following keywords or key phrases must be
present for the data to be matched.

Find keywords input driver license, drivers license, driver's

license, driver licenses, drivers licenses,
driver's licenses, dl#, dls#, lic#, lics#

Find keywords With this option selected, at least one of the

following keywords or key phrases must be
present for the data to be matched.

Find keywords input ca, calif, california

Drivers License Number - FL, MI, MN States data

identifier
These number are the identification number for an individual's driver's license
issued by one of the following US states: Florida, Michigan, or Minnesota. These
states are grouped together because they share a common pattern for this number.
678 Data identifiers
Drivers License Number - FL, MI, MN States data identifier

This data identifier detects a 13 character string, beginning with a letter followed
by 12 numbers.
This data identifier provides two breadths of validation:
■ The wide breadth edition detects any 13 character string with a letter followed
by 12 numbers.
See “Drivers License Number- FL, MI, MN States wide breadth” on page 678.
■ The medium breadth narrows the scope by requiring the presence keywords.
See “Drivers License Number- FL, MI, MN States medium breadth” on page 678.

Drivers License Number- FL, MI, MN States wide breadth

The wide breadth edition of this data identifier detects any 13 character string
with a letter followed by 12 numbers.
For the MN license number, the following format is matched:
L-DDD-DDD-DDD-DDD.

Note: This breadth option does not include any validators.

Table 36-37 Drivers License Number- FL, MI, MN States wide breadth patterns

Patterns

\\l \\d{3} \\d{3} \\d{3} \\d{3}

\l\d{12}

\l\d{3}-\d{3}-\d{2}-\d{3}-\d

\l-\d{3}-\d{3}-\d{3}-\d{3}

Drivers License Number- FL, MI, MN States medium breadth

The medium breadth edition of this data identifier implements patters to detect
any 13 character string with a letter followed by 12 numbers. For the MN license
number, the following format is matched: L-DDD-DDD-DDD-DDD.
This data identifier validates the number by requiring the presence of a drivers
license keyword AND a state-related keyword.

Table 36-38 Drivers License Number- FL, MI, MN States medium breadth patterns

Pattern

\\l \\d{3} \\d{3} \\d{3} \\d{3}

 Data identifiers 679
Drivers License Number - IL State data identifier

Table 36-38 Drivers License Number- FL, MI, MN States medium breadth patterns
(continued)

Pattern

\l\d{12}

\l\d{3}-\d{3}-\d{2}-\d{3}-\d

\l-\d{3}-\d{3}-\d{3}-\d{3}

Table 36-39
Mandator validator Description

Find keywords Requires at least one of the input keywords

or key phrases to be present for the data to
be matched.

Find keywords input driver license, drivers license, driver's

license, driver licenses, drivers licenses,
driver's licenses, dl#, dls#, lic#, lics#

Find keywords Requires at least one of the input keywords

or key phrases to be present for the data to
be matched.

Find keywords input fla, fl, florida, michigan, mi, minnesota, mn

Drivers License Number - IL State data identifier

This number is the identification number for an individual's driver's license issued
by the US state of Illinois.
The Drivers License Number - IL State data identifier detects the presence of an
Illinois drivers license number.
This data identifier provides two breadths of validation:
■ The wide breadth edition detects the presence of a 12 character string.
See “Drivers License Number- IL State wide breadth” on page 680.
■ The medium breadth narrows the scope by requiring the presence of keywords.
See “Drivers License Number- IL State medium breadth” on page 680.
680 Data identifiers
Drivers License Number - IL State data identifier

Drivers License Number- IL State wide breadth

The wide breadth edition of the Drivers License Number- IL State data identifier
detects a 12 character string, beginning with a letter (the first letter of the person's
last name) followed by 11 numbers.

Note: This breadth option does not include any validators.

Table 36-40 Drivers License Number- IL State wide breadth patterns

Pattern

\\l\\d{3}-\\d{4}-\\d{4}

\l\d{11}

Drivers License Number- IL State medium breadth

The medium breadth edition of the Drivers License Number- IL State data identifier
detects a 12 character string, beginning with a letter (the first letter of the person's
last name) followed by 11 numbers.
This breadth also requires the presence of both a driver's license keyword AND
a Illinois-related keyword..

Table 36-41 Drivers License Number- IL State medium breadth patterns

Pattern

\\l\\d{3}-\\d{4}-\\d{4}

\l\d{11}

Table 36-42 Drivers License Number- IL State medium breadth validators

Mandator validators Description

Find keywords Requires at least one of the input keywords

or key phrases to be present for the data to
be matched.

Find keywords input driver license, drivers license, driver's

license, driver licenses, drivers licenses,
driver's licenses, dl#, dls#, lic#, lics#
 Data identifiers 681
Drivers License Number - NJ State data identifier

Table 36-42 Drivers License Number- IL State medium breadth validators

(continued)

Mandator validators Description

Find keywords Requires at least one of the input keywords

or key phrases to be present for the data to
be matched.

Find keywords input il, illinois

Drivers License Number - NJ State data identifier

This number is the identification for an individual's driver's license issued by the
US state of New Jersey.
The Drivers License Number - NJ State data identifier detects the presence of a
New Jersey drivers license number.
This data identifier provides two breadths of validation:
■ The wide breadth edition detects the presence of a 15 character string.
See “Drivers License Number- NJ State wide breadth” on page 681.
■ The medium breadth narrows the scope by requiring the presence of keywords.
See “Drivers License Number- NJ State medium breadth” on page 682.

Drivers License Number- NJ State wide breadth

The wide breadth edition of the Drivers License Number- NJ State data identifier
detects a 15 character string, beginning with a letter (the first letter of the person's
last name) followed by 14 numbers.

Note: The wide breadth option does not include any validators.

Table 36-43 Drivers License Number- NJ State wide breadth patterns

Patterns

\\l\\d{4} \\d{5} \\d{5}

\l\d{14}
682 Data identifiers
Drivers License Number - NY State data identifier

Drivers License Number- NJ State medium breadth

The medium breadth edition of the Drivers License Number- NJL State data
identifier detects a 15 character string, beginning with a letter (the first letter of
the person's last name) followed by 14 numbers.
This breadth also requires the presence of both a driver's license keyword AND
a New Jersey-related keyword.

Table 36-44 Drivers License Number- NJ State medium breadth patterns

Pattern

\\l\\d{3}-\\d{4}-\\d{4}

\l\d{11}

Table 36-45 Drivers License Number- NJ State medium breadth validators

Validators Description

Find keywords Requires at least one of the input keywords

or key phrases to be present for the data to
be matched.

Find keywords input driver license, drivers license, driver's

license, driver licenses, drivers licenses,
driver's licenses, dl#, dls#, lic#, lics#

Find keywords Requires at least one of the input keywords

or key phrases to be present for the data to
be matched.

Find keywords input nj, new jersey, newjersey

Drivers License Number - NY State data identifier

This number is the identification for an individual's driver's license issued by the
US state of New York.
The Drivers License Number - NY State data identifier detects the presence of an
New York drivers license number.
This data identifier provides two breadths of validation:
■ The wide breadth edition detects a string of 9 digits.
See “Drivers License Number- NJ State wide breadth” on page 681.
■ The medium breadth narrows the scope by requiring the presence of keywords.
 Data identifiers 683
Drivers License Number - NY State data identifier

See “Drivers License Number- NJ State medium breadth” on page 682.

Drivers License Number- NY State wide breadth

The wide breadth edition of the Drivers License Number- NY State data identifier
detects a 9-digit string.

Note: The wide breadth option does not include any validators.

Table 36-46 Drivers License Number- NY State wide breadth patters

Pattern

\\d{3} \\d{3} \\d{3}

\d{9}

Drivers License Number - NY State medium breadth

The medium breadth edition of the Drivers License Number - NY State data
identifier detects a 9-digit string.
This breadth also requires the presence of both a driver's license keyword AND
a New York–related keyword.

Table 36-47 Drivers License Number- NY State wide breadth patterns

Pattern

\\l\\d{3}-\\d{4}-\\d{4}

\l\d{11}

Table 36-48
Mandatory validators Description

Find keywords Requires at least one of the input keywords

or key phrases to be present for the data to
be matched.

Find keywords input driver license, drivers license, driver's

license, driver licenses, drivers licenses,
driver's licenses, dl#, dls#, lic#, lics#
684 Data identifiers
French INSEE Code data identifier

Table 36-48 (continued)

Mandatory validators Description

Find keywords Requires at least one of the input keywords

or key phrases to be present for the data to
be matched.

Find keywords input new york, ny, newyork

French INSEE Code data identifier

The INSEE code in France is used as a social insurance number, a national
identification number, and for taxation and employment purposes.
The French INSEE Code data identifier detects the presence of INSEE numbers.
The wide breadth edition of the French INSEE Code data identifier detects a 15-digit
number which encodes the date of birth, department of origin, commune of origin,
and an order number. A space delimiter after the first 13 digits is optional. The
last two digits of the INSEE code encode a control key used to validate a checksum.

Table 36-49 French INSEE Code wide breadth patterns

Pattern

\d{13} \d{2}

d{15}

Table 36-50 French INSEE Code wide breadth validator

Mandatory validator Description

INSEE Control Key This validator computes the INSEE control

key and compares it to the last 2 digits of the
pattern.

Hong Kong ID data identifier

The Hong Kong ID is the unique identifier for all residents of Hong Kong and
appears on the Hong Kong Identity Card.
The Hong Kong ID data identifier detects the presence of Hong Kong IDs.
 Data identifiers 685
IBAN Central data identifier

The wide breadth edition of the Hong Kong ID data identifier detects 8 characters
in the form LDDDDDD(D) or LDDDDDD(A). The last character in the detected
string is used to validate a checksum.

Table 36-51 Hong Kong ID wide breadth patterns

Patterns

\w\d{6}(\d)

\w\d{6}(A)

U\w\d{6}(\d)

U\w\d{6}(A)

Table 36-52 Hong Kong ID wide breadth validator

Mandatory validator Description

Hong Kong ID Computes the checksum and validates the

pattern against it.

IBAN Central data identifier

The International Bank Account Number (IBAN) is an international standard for
identifying bank accounts across national borders.
The IBAN Central data identifier detects IBAN numbers for Andorra, Austria,
Belgium, Germany, Italy, Liechtenstein, Luxembourg, Malta, Monaco, San Marino,
and Switzerland.
The wide breadth edition of the IBAN Central data identifier detects a
country-specfic IBAN number that passes a checksum. IBAN numbers can include
space delimiters, dash delimiters, or no delimiters.

Table 36-53 IBAN Central wide breadth patterns

Pattern Description

AD\d{2}\d{4}\d{4}\w{4}\w{4}\w{4} Andorra patterns

AD\d{2} \d{4} \d{4} \w{4} \w{4} \w{4}

AD\d{2}-\d{4}-\d{4}-\w{4}-\w{4}-\w{4}
686 Data identifiers
IBAN Central data identifier

Table 36-53 IBAN Central wide breadth patterns (continued)

Pattern Description

AT\d{2}\d{4}\d{4}\d{4}\d{4} Austria patterns

AT\d{2} \d{4} \d{4} \d{4} \d{4}

AT\d{2}-\d{4}-\d{4}-\d{4}-\d{4}

BE\d{2}\d{4}\d{4}\d{4} Belgium patterns

BE\d{2} \d{4} \d{4} \d{4}

BE\d{2}-\d{4}-\d{4}-\d{4}

CH\d{2}\d{4}\d\w{3}\w{4}\w{4}\w Switzerland patterns

CH\d{2} \d{4} \d\w{3} \w{4} \w{4} \w

CH\d{2}-\d{4}-\d\w{3}-\w{4}-\w{4}-\w

DE\d{2}\d{4}\d{4}\d{4}\d{4}\d{2} Germany patterns

DE\d{2} \d{4} \d{4} \d{4} \d{4} \d{2}

DE\d{2}-\d{4}-\d{4}-\d{4}-\d{4}-\d{2}

IT\d{2}[A-Z]\d{3}\d{4}\d{3}\w\w{4}\w{4}\w{3} Italy patterns

IT\d{2} [A-Z]\d{3} \d{4} \d{3}\w \w{4} \w{4}

\w{3}

IT\d{2}-[A-Z]\d{3}-\d{4}-\d{3}\w-\w{4}-\w{4}-\w{3}

LI\d{2}\d{4}\d\w{3}\w{4}\w{4}\w Liechtenstein patterns

LI\d{2} \d{4} \d\w{3} \w{4} \w{4} \w

LI\d{2}-\d{4}-\d\w{3}-\w{4}-\w{4}-\w

LU\d{2}\d{3}\w\w{4}\w{4}\w{4} Luxembourg patterns

LU\d{2} \d{3}\w \w{4} \w{4} \w{4}

LU\d{2}-\d{3}\w-\w{4}-\w{4}-\w{4}

MC\d{2}\d{4}\d{4}\d{2}\w{2}\w{4}\w{4}\w\d{2} Monaco patterns

MC\d{2} \d{4} \d{4} \d{2}\w{2} \w{4} \w{4}

\w\d{2}

MC\d{2}-\d{4}-\d{4}-\d{2}\w{2}-\w{4}-\w{4}-\w\d{2}
 Data identifiers 687
IBAN East data identifier

Table 36-53 IBAN Central wide breadth patterns (continued)

Pattern Description

MT\d{2}[A-Z]{4}\d{4}\d\w{3}\w{4}\w{4}\w{4}\w{3} Malta

MT\d{2} [A-Z]{4} \d{4} \d\w{3} \w{4} \w{4}

\w{4} \w{3}

MT\d{2}-[A-Z]{4}-\d{4}-\d\w{3}-\w{4}-\w{4}-\w{4}-\w{3}

SM\d{2}[A-Z]\d{3}\d{4}\d{3}\w\w{4}\w{4}\w{3} San Marino patterns

SM\d{2} [A-Z]\d{3} \d{4} \d{3}\w \w{4} \w{4}

\w{3}

SM\d{2}-[A-Z]\d{3}-\d{4}-\d{3}\w-\w{4}-\w{4}-\w{3}

Table 36-54 IBAN Central wide breadth validator

Validator Description

Mod 97 Validator Computes the ISO 7064 Mod 97-10 checksum

of the complete match.

IBAN East data identifier

The International Bank Account Number (IBAN) is an international standard for
identifying bank accounts across national borders.
The IBAN East data identifier detects IBAN numbers for Bosnia, Bulgaria, Croatia,
Cyprus, Czech Republic, Estonia, Greece, Hungary, Israel, Latvia, Lithuania,
Macedonia, Montenegro, Poland, Romania, Serbia, Slovakia, Slovenia, Turkey and
Tunisia.
The wide breadth IBAN East data identifier detects a country-specfic IBAN number
that passes a checksum. IBAN numbers can include space delimiters, dash
delimiters, or no delimiters.

Table 36-55 IBAN East wide breadth patterns

Pattern Description

BA\d{2}\d{4}\d{4}\d{4}\d{4} Bosnia patterns

BA\d{2} \d{4} \d{4} \d{4} \d{4}

BA\d{2}-\d{4}-\d{4}-\d{4}-\d{4}
688 Data identifiers
IBAN East data identifier

Table 36-55 IBAN East wide breadth patterns (continued)

Pattern Description

BG\d{2}[A-Z]{4}\d{4}\d{2}\w{2}\w{4}\w{2} Bulgaria patterns

BG\d{2} [A-Z]{4} \d{4} \d{2}\w{2} \w{4} \w{2}

BG\d{2}-[A-Z]{4}-\d{4}-\d{2}\w{2}-\w{4}-\w{2}

CY\d{2}\d{4}\d{4}\w{4}\w{4}\w{4}\w{4} Cyprus patterns

CY\d{2} \d{4} \d{4} \w{4} \w{4} \w{4} \w{4}

CY\d{2}-\d{4}-\d{4}-\w{4}-\w{4}-\w{4}-\w{4}

CZ\d{2}\d{4}\d{4}\d{4}\d{4}\d{4} Czech Republic patterns

CZ\d{2} \d{4} \d{4} \d{4} \d{4} \d{4}

CZ\d{2}-\d{4}-\d{4}-\d{4}-\d{4}-\d{4}

EE\d{2}\d{4}\d{4}\d{4}\d{4} Estonia patterns

EE\d{2} \d{4} \d{4} \d{4} \d{4}

EE\d{2}-\d{4}-\d{4}-\d{4}-\d{4}

GR\d{2}\d{4}\d{3}\w\w{4}\w{4}\w{4}\w{3} Greece patterns

GR\d{2} \d{4} \d{3}\w \w{4} \w{4} \w{4} \w{3}

GR\d{2}-\d{4}-\d{3}\w-\w{4}-\w{4}-\w{4}-\w{3}

HR\d{2}\d{4}\d{4}\d{4}\d{4}\d Croatia patterns

HR\d{2} \d{4} \d{4} \d{4} \d{4} \d

HR\d{2}-\d{4}-\d{4}-\d{4}-\d{4}-\d

HU\d{2}\d{4}\d{4}\d{4}\d{4}\d{4}\d{4} Hungary patterns

HU\d{2} \d{4} \d{4} \d{4} \d{4} \d{4} \d{4}

HU\d{2}-\d{4}-\d{4}-\d{4}-\d{4}-\d{4}-\d{4}

IL\d{2}\d{4}\d{4}\d{4}\d{4}\d{3} Israel patterns

IL\d{2} \d{4} \d{4} \d{4} \d{4} \d{3}

IL\d{2}-\d{4}-\d{4}-\d{4}-\d{4}-\d{3}

LT\d{2}\d{4}\d{4}\d{4}\d{4} Lithuania patterns

LT\d{2} \d{4} \d{4} \d{4} \d{4}

LT\d{2}-\d{4}-\d{4}-\d{4}-\d{4}
 Data identifiers 689
IBAN East data identifier

Table 36-55 IBAN East wide breadth patterns (continued)

Pattern Description

LV\d{2}[A-Z]{4}\w{4}\w{4}\w{4}\w Latvia patterns

LV\d{2} [A-Z]{4} \w{4} \w{4} \w{4} \w

LV\d{2}-[A-Z]{4}-\w{4}-\w{4}-\w{4}-\w

ME\d{2}\d{4}\d{4}\d{4}\d{4}\d{2} Montenegro patterns

ME\d{2} \d{4} \d{4} \d{4} \d{4} \d{2}

ME\d{2}-\d{4}-\d{4}-\d{4}-\d{4}-\d{2}

MK\d{2}\d{3}\w\w{4}\w{4}\w\d{2} Macedonia patterns

MK\d{2} \d{3}\w \w{4} \w{4} \w\d{2}

MK\d{2}-\d{3}\w-\w{4}-\w{4}-\w\d{2}

PL\d{2}\d{4}\d{4}\d{4}\d{4}\d{4}\d{4} Poland patterns

PL\d{2} \d{4} \d{4} \d{4} \d{4} \d{4} \d{4}

PL\d{2}-\d{4}-\d{4}-\d{4}-\d{4}-\d{4}-\d{4}

RO\d{2}[A-Z]{4}\w{4}\w{4}\w{4}\w{4} Romania patterns

RO\d{2} [A-Z]{4} \w{4} \w{4} \w{4} \w{4}

RO\d{2}-[A-Z]{4}-\w{4}-\w{4}-\w{4}-\w{4}

RS\d{2}\d{4}\d{4}\d{4}\d{4}\d{2} Serbia patterns

RS\d{2} \d{4} \d{4} \d{4} \d{4} \d{2}

RS\d{2}-\d{4}-\d{4}-\d{4}-\d{4}-\d{2}

SI\d{2}\d{4}\d{4}\d{4}\d{3} Slovenia patterns

SI\d{2} \d{4} \d{4} \d{4} \d{3}

SI\d{2}-\d{4}-\d{4}-\d{4}-\d{3}

SK\d{2}\d{4}\d{4}\d{4}\d{4}\d{4} Slovak Republic patterns

SK\d{2} \d{4} \d{4} \d{4} \d{4} \d{4}

SK\d{2}-\d{4}-\d{4}-\d{4}-\d{4}-\d{4}

TN59\d{4}\d{4}\d{4}\d{4}\d{4} Tunisia patterns

TN59 \d{4} \d{4} \d{4} \d{4} \d{4}

TN59-\d{4}-\d{4}-\d{4}-\d{4}-\d{4}
690 Data identifiers
IBAN West data identifier

Table 36-55 IBAN East wide breadth patterns (continued)

Pattern Description

TR\d{2}\d{4}\d\w{3}\w{4}\w{4}\w{4}\w{2} Turkey patterns

TR\d{2} \d{4} \d\w{3} \w{4} \w{4} \w{4} \w{2}

TR\d{2}-\d{4}-\d\w{3}-\w{4}-\w{4}-\w{4}-\w{2}

Table 36-56 IBAN East wide breadth validator

Validator Description

Mod 97 Validator Computes the ISO 7064 Mod 97-10 checksum

of the complete match.

IBAN West data identifier

The International Bank Account Number (IBAN) is an international standard for
identifying bank accounts across national borders.
The IBAN West data identifier detects IBAN numbers for Denmark, Faroe Islands,
Finland, France, Gibraltar, Greenland, Iceland, Ireland, Netherlands, Norway,
Portugal, Spain, Sweden, and the United Kingdom.
The wide breadth IBAN West data identifier detects a country-specfic IBAN number
that passes a checksum. IBAN numbers can include space delimiters, dash
delimiters, or no delimiters.

Table 36-57 IBAN West wide breadth patterns

Pattern Description

DK\d{2}\d{4}\d{4}\d{4}\d{2} Denmark patterns

DK\d{2} \d{4} \d{4} \d{4} \d{2}

DK\d{2}-\d{4}-\d{4}-\d{4}-\d{2}

ES\d{2}\d{4}\d{4}\d{4}\d{4}\d{4} Spain patterns

ES\d{2} \d{4} \d{4} \d{4} \d{4} \d{4}

ES\d{2}-\d{4}-\d{4}-\d{4}-\d{4}-\d{4}

FI\d{2}\d{4}\d{4}\d{4}\d{2} Finland patterns

FI\d{2} \d{4} \d{4} \d{4} \d{2}

FI\d{2}-\d{4}-\d{4}-\d{4}-\d{2}
 Data identifiers 691
IBAN West data identifier

Table 36-57 IBAN West wide breadth patterns (continued)

Pattern Description

FO\d{2}\d{4}\d{4}\d{4}\d{2} Faroe Islands patterns

FO\d{2} \d{4} \d{4} \d{4} \d{2}

FO\d{2}-\d{4}-\d{4}-\d{4}-\d{2}

FR\d{2}\d{4}\d{4}\d{2}\w{2}\w{4}\w{4}\w\d{2} France patterns

FR\d{2} \d{4} \d{4} \d{2}\w{2} \w{4} \w{4}

\w\d{2}

FR\d{2}-\d{4}-\d{4}-\d{2}\w{2}-\w{4}-\w{4}-\w\d{2}

GB\d{2}[A-Z]{4}\d{4}\d{4}\d{4}\d{2} United Kingdom

GB\d{2} [A-Z]{4} \d{4} \d{4} \d{4} \d{2}

GB\d{2}-[A-Z]{4}-\d{4}-\d{4}-\d{4}-\d{2}

GI\d{2}[A-Z]{4}\w{4}\w{4}\w{4}\w{3} Gibraltar patterns

GI\d{2} [A-Z]{4} \w{4} \w{4} \w{4} \w{3}

GI\d{2}-[A-Z]{4}-\w{4}-\w{4}-\w{4}-\w{3}

GL\d{2}\d{4}\d{4}\d{4}\d{2} Greenland patterns

GL\d{2} \d{4} \d{4} \d{4} \d{2}

GL\d{2}-\d{4}-\d{4}-\d{4}-\d{2}

IE\d{2}[A-Z]{4}\d{4}\d{4}\d{4}\d{2} Ireland patterns

IE\d{2} [A-Z]{4} \d{4} \d{4} \d{4} \d{2}

IE\d{2}-[A-Z]{4}-\d{4}-\d{4}-\d{4}-\d{2}

IS\d{2}\d{4}\d{4}\d{4}\d{4}\d{4}\d{2} Iceland patterns

IS\d{2} \d{4} \d{4} \d{4} \d{4} \d{4} \d{2}

IS\d{2}-\d{4}-\d{4}-\d{4}-\d{4}-\d{4}-\d{2}

NL\d{2}[A-Z]{4}\d{4}\d{4}\d{2} Netherlands patterns

NL\d{2} [A-Z]{4} \d{4} \d{4} \d{2}

NL\d{2}-[A-Z]{4}-\d{4}-\d{4}-\d{2}

NO\d{2}\d{4}\d{4}\d{3} Montenegro patterns

NO\d{2} \d{4} \d{4} \d{3}

NO\d{2}-\d{4}-\d{4}-\d{3}
692 Data identifiers
IP Address data identifier

Table 36-57 IBAN West wide breadth patterns (continued)

Pattern Description

PT\d{2}\d{4}\d{4}\d{4}\d{4}\d{4}\d Portugal patterns

PT\d{2} \d{4} \d{4} \d{4} \d{4} \d{4} \d

PT\d{2}-\d{4}-\d{4}-\d{4}-\d{4}-\d{4}-\d

SE\d{2}\d{4}\d{4}\d{4}\d{4}\d{4} Sweden patterns

SE\d{2} \d{4} \d{4} \d{4} \d{4} \d{4}

SE\d{2}-\d{4}-\d{4}-\d{4}-\d{4}-\d{4}

Table 36-58 IBAN West wide breadth patterns

Validator Description

Mod 97 Validator Computes the ISO 7064 Mod 97-10 checksum

of the complete match.

IP Address data identifier

An IP address is the computer networking code that is used to identify devices
and facilitate communications.
The IP Address data identifier detects IP addresses.
This data identifier offers three breadths of detection:
■ Wide
See “IP Address wide breadth” on page 692.
■ Medium
See “IP Address medium breadth” on page 693.
■ Narrow
See “IP Address narrow breadth” on page 694.

IP Address wide breadth

The wide breadth edition of the IP Address data identifier detects numbers in
format DDD.DDD.DDD.DDD with an optional /DD. Each three digit group must
be between 0 and 255 inclusive and the /DD must be between 0 and 32.
Additionally, 0.0.0.0 is not allowed.
 Data identifiers 693
IP Address data identifier

Table 36-59 IP Address wide breadth patterns

Pattern

\d{1,3}.\d{1,3}.\d{1,3}.\d{1,3}

\d{1,3}.\d{1,3}.\d{1,3}.\d{1,3}/[0-9]

\d{1,3}.\d{1,3}.\d{1,3}.\d{1,3}/[1-2][0-9]?

\d{1,3}.\d{1,3}.\d{1,3}.\d{1,3}/[3][0-2]?

Table 36-60 IP Address wide breadth validator

Validator Description

IP Basic Check Every IP address must match the format

x.x.x.x and every number must be less than
256.

IP Address medium breadth

The medium breadth edition of the IP Address data identifier detects numbers in
format DDD.DDD.DDD.DDD with an optional /DD. Each three digit group must
be between 0 and 255 inclusive and the /DD must be between 0 and 32.
Additionally, 0.0.0.0 is not allowed. Also, eliminates as common fictitious examples
all 1-digit match groups such as 1.1.1.2.

Table 36-61 IP Address medium breadth patterns

Pattern

\d{1,3}.\d{1,3}.\d{1,3}.\d{1,3}

\d{1,3}.\d{1,3}.\d{1,3}.\d{1,3}/[0-9]

\d{1,3}.\d{1,3}.\d{1,3}.\d{1,3}/[1-2][0-9]?

\d{1,3}.\d{1,3}.\d{1,3}.\d{1,3}/[3][0-2]?

Table 36-62 IP Address medium breadth validator

Mandatory Validator Description

IP Octet Check Every IP address must match the format

x.x.x.x, every number must be less than 256,
and no IP address can contain only
single-digit numbers (1.1.1.2).
694 Data identifiers
National Drug Code (NDC) data identifier

IP Address narrow breadth

The narrow breadth edition of the IP Address data identifier detects numbers in
format DDD.DDD.DDD.DDD with an optional /DD. Each three digit group must
be between 0 and 255 inclusive and the /DD must be between 0 and 32.
Additionally, 0.0.0.0 is not allowed. Also, eliminates as common fictitious examples
all 1-digit match groups such as 1.1.1.2. Also eliminates unassigned IP addresses
("bogons").

Table 36-63 IP Address medium breadth patterns

Pattern

\d{1,3}.\d{1,3}.\d{1,3}.\d{1,3}

\d{1,3}.\d{1,3}.\d{1,3}.\d{1,3}/[0-9]

\d{1,3}.\d{1,3}.\d{1,3}.\d{1,3}/[1-2][0-9]?

\d{1,3}.\d{1,3}.\d{1,3}.\d{1,3}/[3][0-2]?

Table 36-64 IP Address wide breadth validator

Mandatory Validator Description

IP Octet Check Every IP address must match the format

x.x.x.x, every number must be less than 256,
and no IP address can contain only
single-digit numbers (1.1.1.2).

IP Octet Check Checks whether the IP address falls into any

of the "Bogons" ranges. If so the match is
invalid.

National Drug Code (NDC) data identifier

The National Drug Code (NDC) is an identifier issued by the Food and Drug
Administration (FDA) for an individual drug in the United States. An alternate
format is defined by HIPAA regulations.
The National Drug Code data identifier detects the existence of an NDC as well as
the HIPAA version.
This data identifier provides three breadths of detection:
■ The wide breadth checks for the existence of an NDC number or its HIPAA
version.
See “Drivers License Number- FL, MI, MN States wide breadth” on page 678.
 Data identifiers 695
National Drug Code (NDC) data identifier

■ The medium breadth restricts the patterns for detecting the numbers.
See “Drivers License Number- FL, MI, MN States medium breadth” on page 678.
■ The narrow breadth requires a keyword match.
See “Drivers License Number- FL, MI, MN States medium breadth” on page 678.

National Drug Code (NDC) wide breadth

The wide breadth edition of the National Drug Code (NDC) data identifier detects
the standard FDA format, which is a 10-digit number in the format 4-4-2, 5-4-1
or 5-3-2, with the numbers separated by dashes or spaces.
This data identifier also detects the HIPAA format, an 11-digit number in the
format 5-4-2. The HIPAA format may include a single asterisk to represent a
missing digit.

Table 36-65 National Drug Code (NDC) wide breadth patterns

Patterns

*?\d{4} \d{4} \d{2}

*?\d{4}-\d{4}-\d{2}

\d{5} *?\d{3} \d{2}

\d{5}-*?\d{3}-\d{2}

\d{5} \d{4} *?\d

\d{5}-\d{4}-*?\d

\d{5} \d{4} \d{2}

\d{5}-\d{4}-\d{2}

National Drug Code (NDC) medium breadth

The medium breadth edition of the National Drug Code (NDC) data identifier
detects the standard FDA format, which is a 10-digit number in the format 4-4-2,
5-4-1 or 5-3-2, with the numbers separated by dashes.
This data identifier also detects the HIPAA format, an 11-digit number in the
format 5-4-2. The HIPAA format may include a single asterisk to represent a
missing digit.

Note: The medium edition of this data identifier does not include any validators.
696 Data identifiers
National Drug Code (NDC) data identifier

Note: The wide breadth edition of this data identifier allows for the NDC number
to be space-delimited; the medium breadth edition does not. That is the difference
between the wide and medium editions of this data identifier.

Table 36-66 National Drug Code (NDC) medium breadth patterns

Pattern

*?\d{4}-\d{4}-\d{2}

\d{5}-*?\d{3}-\d{2}

\d{5}-\d{4}-*?\d

\d{5}-\d{4}-\d{2}

National Drug Code (NDC) narrow breadth

The narrow breadth edition of the National Drug Code (NDC) data identifier detects
the standard FDA format, which is a 10-digit number in the format 4-4-2, 5-4-1
or 5-3-2, with the numbers separated by dashes.
This data identifier also detects the HIPAA format, an 11-digit number in the
format 5-4-2. The HIPAA format may include a single asterisk to represent a
missing digit. This data identifier also requires the presence of an NDC-related
keyword.

Table 36-67 National Drug Code (NDC) narrow breadth patterns

Pattern

*?\d{4}-\d{4}-\d{2}

\d{5}-*?\d{3}-\d{2}

\d{5}-\d{4}-*?\d

\d{5}-\d{4}-\d{2}

Table 36-68 National Drug Code (NDC) narrow breadth validators

Mandatory validator Description

Find keywords With this option selected, at least one of the

following keywords or key phrases must be
present for the data to be matched.

Find keywords input ndc, national drug code

 Data identifiers 697
People's Republic of China ID data identifier

People's Republic of China ID data identifier

The People's Republic of China ID is used for residential registration, army
enrollment registration, registration of marriage/divorce, traveling abroad, taking
part in various national exams, and other social or civil matters in China.
The People's Republic of China ID data identifier detects the presence of this
18-digit number.
The wide breadth edition of the People's Republic of China ID data identifier
detects an 18-digit number with the last number being used to validate a checksum.

Table 36-69 People's Republic of China ID wide breadth patterns

Pattern

\d{17}[Xx]

\d{18}

Table 36-70 People's Republic of China ID wide breadth validator

Mandatory validator Description

China ID checksum validator Computes the checksum and validates the

pattern against it.

Singapore NRIC data identifier

The Singapore NRIC (National Registration Identity Card) is the identity document
used in Singapore. The NRIC is a required document for some government
procedures, commercial transactions such as the opening of a bank account, or
to gain entry to premises by surrendering or exchanging for an entry pass.
The wide breadth edition of the Singapore NRIC data identifier detects 9 characters
in the pattern LDDDDDDDL. The last character is used to validate a checksum.

Table 36-71 Singapore NRIC wide breadth pattern

Pattern

[SFTGsftg]\d{7}\w
698 Data identifiers
South Korea Resident Registration Number data identifier

Table 36-72 Singapore NRIC wide breadth validator

Mandatory validator Description

Singapore NRIC Computes the Singapore NRIC checksum and

validates the pattern against it.

South Korea Resident Registration Number data

identifier
The South Korea Resident Registration Number is a 13-digit number issued to all
residents of the Republic of Korea. Similar to national identification numbers in
other countries, it is used to identify people in various private transactions such
as in banking and employment. It is also used extensively for online identification
purposes.
The South Korea Resident Registration Number data identifier detects the presence
of this 13-digit number.
This data identifier provides two breadths of validation:
■ The wide breadth edition matches numbers with dash delimiters or no
delimiters.
See “South Korea Resident Registration Number wide breadth” on page 698.
■ The medium breadth edition matches a dash-delimited number only.
See “South Korea Resident Registration Number medium breadth” on page 699.
This data identifier does not provide a narrow breadth option.

South Korea Resident Registration Number wide breadth

The wide breadth edition of the South Korea Resident Registration Number data
identifier detects 13 numeric characters that contain encoded birth date, gender,
and origin of birth. It matches with dash or no delimiters, and validates the pattern
using a checksum.

Table 36-73 South Korea Resident Registration Number wide breadth patterns

Pattern

\d{2}[01]\d[0123]\d{8}

\d{2}[01]\d[0123]\d-\d{7}
 Data identifiers 699
Spanish DNI ID data identifier

Table 36-74 South Korea Resident Registration Number wide breadth validators

Mandatory validator Description

Number Delimiter Validates a match by checking the

surrounding numbers.

Advanced KRRN Validation Validates that the 3rd and 4th digit are a
valid month, that the 5th and 6th digit are a
valid day, and the checksum matches the
check digit.

South Korea Resident Registration Number medium breadth

The medium breadth edition of the South Korea Resident Registration Number
data identifier detects 13 numeric characters that contain encoded birth date,
gender, and origin of birth, also validates the pattern using a checksum. This
pattern requires a dash delimiter.

Table 36-75 South Korea Resident Registration Number medium breadth pattern

Pattern

\d\d[01]\d[0123]\d-\d{7}

Table 36-76 South Korea Resident Registration Number medium breadth

validators

Validator Description

Number Delimiter Validates a match by checking the

surrounding numbers.

Advanced KRRN Validation Validates that the 3rd and 4th digit are a
valid month, that the 5th and 6th digit are a
valid day, and the checksum matches the
check digit.

Spanish DNI ID data identifier

The Spanish DNI ID number appears on the Documento nacional de identidad
(DNI) and is issued by the Spanish Hacienda Publica to every citizen of Spain. It
is the most important unique identifier used in Spain used for opening accounts,
signing contracts, taxes, and elections.
700 Data identifiers
SWIFT Code data identifier

The wide breadth edition of the Spanish DNI ID data identifier detects an 8-digit
number followed by a hyphen and letter. Optionally the letter X and a hyphen can
appear at the beginning for foreign nationals. The last letter must match a
checksum algorithm.

Table 36-77 Spanish DNI ID wide breadth patterns

Pattern

\d{8}-\w

X-\d{8}-\w

Table 36-78 Spanish DNI ID wide breadth validator

Mandatory validator Description

DNI control key check Computes the control key and checks if it is
valid.

SWIFT Code data identifier

The SWIFT Code is a unique identifier for a banks and is managed by the Society
for Worldwide Interbank Financial Telecommunications (SWIFT). The SWIFT
Code is required for monetary transfers between financial institutions. It is also
known as the Bank Identifier Code (BIC).
The SWIFT Code data identifier detects the presence of the SWIFT Code.
This data identifier provides two breadths of validation:
■ Wide breadth
See “SWIFT Code wide breadth” on page 700.
■ Narrow breadth
See “SWIFT Code narrow breadth” on page 701.

SWIFT Code wide breadth

The wide breadth edition of the SWIFT Code data identifier detects Detects 8- or
11-character strings. The 5th and 6th characters are the country code. This breadth
also requires presence of a SWIFT-related keyword.
 Data identifiers 701
SWIFT Code data identifier

Table 36-79 SWIFT Code wide breadth patterns

Pattern

[A-Z]{6}\w{2}

[A-Z]{6}\w{5}

Table 36-80 SWIFT Code wide breadth validators

Mandatory validator Description

Require beginning characters With this option selected, any of the

following list of values are required at the
beginning of the matched data.

Find keywords With this option selected, at least one of the

following keywords or key phrases must be
present for the data to be matched.

Find keywords input bic, bic#, international organization for

standardization 9362, iso 9362, iso9362,
swift, swift#, swiftcode, swiftnumber,
swiftroutingnumber.

SWIFT Code narrow breadth

The narrow breadth edition of the SWIFT Code data identifier detects 8- or
11-character strings. The 5th and 6th characters are letters referring to a country
code. This breadth also requires presence of specific SWIFT-related keywords.

Table 36-81 SWIFT Code narrow breadth patterns

Pattern

[A-Z]{6}\w{2}

[A-Z]{6}\w{5}

Table 36-82 SWIFT Code narrow breadth validators

Validator Description

Require beginning characters With this option selected, any of the

following list of values are required at the
beginning of the matched data.
702 Data identifiers
Swiss AHV Number data identifier

Table 36-82 SWIFT Code narrow breadth validators (continued)

Validator Description

Find keywords With this option selected, at least one of the

following keywords or keyphrases must be
present for the data to be matched.

Find keywords input bic#, international organization for

standardization 9362, iso 9362, iso9362,
swift#, swiftcode, swiftnumber,
swiftroutingnumber, swift code, swift
number, swift routing number, bic number,
bic code, bic #

Swiss AHV Number data identifier

In Switzerland the Old Age and Survivors Insurance Fund number (Alters- und
Hinterlassenenversicherungsnummer - AHV number) is the most important public
ID number.
The Swiss AHV Number data identifier detects the 11-digit identifier with or
without the standard period delimiter (DDD.DD.DDD.DDD) and is validated against
a checksum algorithm.

Table 36-83 Swiss AHV Number wide breadth patterns

Pattern

\d{8}-\w

X-\d{8}-\w

Table 36-84 Swiss AHV Number wide breadth validators

Validator Description

Swiss AHV Swiss AHV Modulus 11 Checksum.

Number Delimiter Validates a match by checking the

surrounding numbers.

Taiwan ID data identifier

In Taiwan an ID card is mandatory for all citizens who are over 14-years old. The
ID card has been uniformly numbered since 1965.
 Data identifiers 703
UK Drivers License Number data identifier

The Taiwan ID data identifier detects the presence of Taiwan identification number
based on two types of comon ID patterns. The last character matched is used to
validate a checksum.

Table 36-85 Taiwan ID wide breadth pattern

Patterns

[A-Z][12][0-3]\d{7}

[A-Z][ABCD]\d{8}

Table 36-86 Taiwan ID wide breadth validator

Validator Description

Taiwan ID Taiwan ID checksum.

UK Drivers License Number data identifier

The UK Drivers License Number is the identification number for an individual's
driver's license issued by the Driver and Vehicle Licensing Agency of the United
Kingdom.
The UK Drivers License Number data identifier detects the presence of UK Drivers
License numbers.
This data identifier provides three breadths of validation:
■ Wide
See “UK Drivers License Number wide breadth” on page 703.
■ Medium
See “UK Drivers License Number medium breadth” on page 704.
■ Narrow
See “UK Drivers License Number narrow breadth” on page 704.

UK Drivers License Number wide breadth

The wide breadth edition of the UK Drivers License Number data identifier detects
16 character strings of the following format: AAAAAD[0,1,5,6]DDDDAAALL,
where A is an alphanumeric character, D a digit, and L a letter.

Note: This breadth option does not include any validators.

704 Data identifiers
UK Drivers License Number data identifier

Table 36-87 UK Drivers License Number wide breadth patterns

Pattern

\w{5}\d[0156]\d{4}\w{3}\l{2}

\w{5} \d[0156]\d{4} \w{3}\l{2}

UK Drivers License Number medium breadth

The medium breadth edition of the UK Drivers License Number data identifier
detects 16 character strings of the following format:
AAAAAD[0,1,5,6]DDDDAAALL, where A is an alphanumeric character, D a digit,
and L a letter.
The first digit in the numeric section is restricted to 0,1,5, or 6. In addition, the
4th and 5th digits in the numeric section must be between 01 and 31, inclusive.

Table 36-88 UK Drivers License Number medium breadth patterns

Pattern

\w{5}\d[0156]\d{4}\w{3}\l{2}

\w{5} \d[0156]\d{4} \w{3}\l{2}

Table 36-89 UK Drivers License Number medium breadth validator

Mandatory validator Description

UK Drivers License Every UK drivers license must be 16

characters and the number at the 8th and
9th position must be larger than 00 and
smaller than 32.

UK Drivers License Number narrow breadth

The narrow breadth edition of the UK Drivers License Number data identifier
detects 16 character strings of the following format:
AAAAAD[0,1,5,6]DDDDAAALL, where A is an alphanumeric character, D is a digit,
and L is a letter.
The first digit is restricted to 0,1,5, or 6. In addition, the 4th and 5th digits in the
numeric section must be between 01 and 31, inclusive.
In addition, the narrow breadth edition also requires the presence of both a driver's
license-related keyword AND a UK-related keyword.
 Data identifiers 705
UK Electoral Roll Number data identifier

Table 36-90 UK Drivers License Number narrow breadth patterns

Pattern

\w{5}\d[0156]\d{4}\w{3}\l{2}

\w{5} \d[0156]\d{4} \w{3}\l{2}

Table 36-91 UK Drivers License Number narrow breadth validators

Mandatory validator Description

UK Drivers License Every UK drivers license must be 16

characters and the number at the 8th and
9th position must be larger than 00 and
smaller than 32.

Find keywords: driver's license-related At least one of the following keywords or key
phrases must be present for the data to
match:

british, the united kingdom, uk, united

kingdom, unitedkingdom

Find keywords: UK-related At least one of the following keywords or

keyphrases must be present for the data to
match:

british, the united kingdom, uk, united

kingdom, unitedkingdom

UK Electoral Roll Number data identifier

The Electoral Roll Number is the identification number issued to an individual
for UK election registration. The format of this number is specified by the UK
Government Standards of the UK Cabinet Office.
The UK Electoral Roll Number data identifier detects the presence of UK Electoral
Roll Number. It implements a pattern to detect strings consisting of 2 to 3 letters,
followed by 1 to 4 digits.

Table 36-92 UK Electoral Roll Number wide breadth pattern

Pattern

\l{2,3}\d{1,4}
706 Data identifiers
UK National Health Service (NHS) Number data identifier

The wide breadth edition of the Electoral Roll Number data identifier implements
two validators to require the presence of an electoral number-related keyword
and a UK-reated keyword.

Table 36-93 UK Electoral Roll Number wide breadth validators

Validator Description

Find keywords: electoral number-related At least one of the following keywords or key
phrases must be present for the data to
match:

electoral #, electoral number, electoral roll

#, electoral roll no., electoral roll number,
electoral roll#, electoral#, electoralnumber,
electoralroll#, electoralrollno

Find keywords: UK-related At least one of the following keywords or key

phrases must be present for the data to
match:

british, the united kingdom, uk, united

kingdom, unitedkingdom

UK National Health Service (NHS) Number data

identifier
The UK National Health Service (NHS) Number is the personal identification
number issued by the U.K. National Health Service (NHS) for administration of
medical care.
The UK National Health Service (NHS) Number data identifier detects the presence
of the UK National Health Service (NHS) Number.
This data identifier provides two breadths of validation:
■ Medium
See “UK National Health Service (NHS) Number medium breadth” on page 707.
■ Narrow
See “UK National Health Service (NHS) Number narrow breadth” on page 707.

Note: This data identifier does not provide a wide breadth option.
 Data identifiers 707
UK National Health Service (NHS) Number data identifier

UK National Health Service (NHS) Number medium breadth

The medium breadth edition of the UK National Health Service (NHS) Number
data identifier implements patterns to detect numbers in the currently defined
NHS format, DDD-DDD-DDDD (where D is a digit), with various separators.

Table 36-94 UK National Health Service (NHS) Number medium breadth patterns

Pattern Description

\d{3}.\d{3}.\d{4} Pattern for detecting the format

DDD-DDD-DDDD separated by periods.

\d{3} \d{3} \d{4} Pattern for detecting the format

DDD-DDD-DDDD separated by spaces.

\d{3}-\d{3}-\d{4} Pattern for detecting the format

DDD-DDD-DDDD separated by dashes.

The medium breadth edition of the UK National Health Service (NHS) Number
data identifier implements three validators: one to validate the NHS checksum,
another to perform numerical validation using the final digit, and a third to check
for the presence of an NHS-related keyword.

Table 36-95 UK National Health Service (NHS) Number medium breadth

validators

Validator Description

UK NHS UK NHS checksum.

Number Delimiter Validates a match by checking the

surrounding numbers.

Find keywords: NHS-related At least one of the following keywords or key

phrases must be present for the data to
match:

national health service, NHS

UK National Health Service (NHS) Number narrow breadth

The narrow breadth edition of the UK National Health Service (NHS) Number data
identifier implements patterns to detect numbers in the currently defined format:
DDD-DDD-DDDD (where D is a digit), separated with dashes, spaces, or periods.
708 Data identifiers
UK National Insurance Number data identifier

Table 36-96 UK National Health Service (NHS) Number narrow breadth patterns

Pattern Description

\d{3}.\d{3}.\d{4} Pattern for detecting the format

DDD-DDD-DDDD separated by periods.

\d{3} \d{3} \d{4} Pattern for detecting the format

DDD-DDD-DDDD separated by spaces.

\d{3}-\d{3}-\d{4} Pattern for detecting the format

DDD-DDD-DDDD separated by dashes.

The narrow breadth edition of the UK National Health Service (NHS) Number data
identifier implements four validators: one to validate the NHS checksum, another
to perform numerical validation using the final digit, a third to require the presence
of an NHS-related keyword, and a fourth to require the presence of a UK-related
keyword.

Table 36-97 UK National Health Service (NHS) Number narrow breadth validators

Mandatory validator Description

UK NHS UK NHS checksum.

Number Delimiter Validates a match by checking the

surrounding numbers.

Find keywords: NHS-related At least one of the following keywords or key

phrases must be present for the data to
match:

national health service, NHS

Find keywords: UK-related At least one of the following keywords or key

phrases must be present for the data to
match:

uk, united kingdom, britain, england, gb

UK National Insurance Number data identifier

The UK National Insurance Number is issued by the United Kingdom Department
for Work and Pensions (DWP) to identify an individual for the national insurance
program. It is also known as a NI number, NINO or NINo.
The UK National Insurance Number data identifier detects the presence of the
UK National Insurance Number.
 Data identifiers 709
UK National Insurance Number data identifier

This data identifier provides three breadths of validation:

■ Wide
See “UK National Insurance Number wide breadth” on page 709.
■ Medium
See “UK National Insurance Number medium breadth” on page 709.
■ Narrow
See “UK National Insurance Number narrow breadth” on page 710.

UK National Insurance Number wide breadth

The wide breadth edition of the UK National Insurance Number data identifier
implements patterns to detect 9-digit numbers of the format LL DD DD DD L
(where L is a letter and D is a digit), separated by spaces, periods, dashes, or
together in a string.
The first and second letter cannot be D, F, I, Q, U and V. The second letter also
cannot be O.

Table 36-98 UK National Insurance Number wide breadth patterns

Pattern Description

[A-CEGHJ-PR-TW-Z][A-CEGHJ-NPR-TW-Z].\d{2}.\d{2}.\d{2}-[ABCD] Separated by periods.

[A-CEGHJ-PR-TW-Z][A-CEGHJ-NPR-TW-Z]\d{2}\d{2}\d{2}[ABCD] Not separated.

[A-CEGHJ-PR-TW-Z][A-CEGHJ-NPR-TW-Z] \d{2} \d{2} \d{2} Separated by spaces.

[ABCD]

[A-CEGHJ-PR-TW-Z][A-CEGHJ-NPR-TW-Z]-\d{2}-\d{2}-\d{2}-[ABCD] Separated by dashes.

[A-CEGHJ-PR-TW-Z][A-CEGHJ-NPR-TW-Z] \d{6} [ABCD] Digits in a string.

UK National Insurance Number medium breadth

The medium breadth edition of the UK National Insurance Number data identifier
implements patterns to detect 9-digit numbers of the format LL DD DD DD L
(where L is a letter and D is a digit), separated by spaces or together in a string.
The first and second letter cannot be D, F, I, Q, U and V; the second letter cannot
be O.
710 Data identifiers
UK National Insurance Number data identifier

Table 36-99 UK National Insurance Number medium breadth patterns

Pattern Description

[A-CEGHJ-PR-TW-Z][A-CEGHJ-NPR-TW-Z]\d{2}\d{2}\d{2}[ABCD] Not delimited.

[A-CEGHJ-PR-TW-Z][A-CEGHJ-NPR-TW-Z] \d{2} \d{2} \d{2} Separated by spaces.

[ABCD]

[A-CEGHJ-PR-TW-Z][A-CEGHJ-NPR-TW-Z] \d{6} [ABCD] Characters in a string.

UK National Insurance Number narrow breadth

The narrow breadth edition of the UK National Insurance Number data identifier
implements patterns to detect 9-digit numbers of the format LL DD DD DD L
(where L is a letter and D is a digit), separated by spaces or together in a string.
The first and second letter cannot be D, F, I, Q, U and V. The second letter also
cannot be O.

Table 36-100 UK National Insurance Number narrow breadth patterns

Pattern Description

[A-CEGHJ-PR-TW-Z][A-CEGHJ-NPR-TW-Z]\d{2}\d{2}\d{2}[ABCD] Not delimited.

[A-CEGHJ-PR-TW-Z][A-CEGHJ-NPR-TW-Z] \d{2} \d{2} \d{2} Separated by spaces.

[ABCD]

[A-CEGHJ-PR-TW-Z][A-CEGHJ-NPR-TW-Z] \d{6} [ABCD] Characters in a string.

The narrow breadth edition of the UK National Insurance Number data identifier
implements a validator that requires the presence of a national insurance-related
keyword.

Table 36-101 UK National Insurance Number narrow breadth validator

Mandatory validator Description

Find keywords: Insurance-related At least one of the following keywords or key

phrases must be present for the data to
match:

insurance no., insurance number,

insurance#, insurancenumber, national
insurance number, nationalinsurance#,
nationalinsurancenumber, nin, nino
 Data identifiers 711
UK Passport Number data identifier

UK Passport Number data identifier

The UK Passport Number identifies a United Kingdom passport using the current
official specification of the UK Government Standards of the UK Cabinet Office.
The UK Passport Number data identifier detects the presence of the UK Passport
Number.
This data identifier provides three breadths of validation:
■ Wide
See “UK Passport Number wide breadth” on page 711.
■ Medium
See “UK Passport Number medium breadth” on page 711.
■ Narrow
See “UK Passport Number narrow breadth” on page 712.

UK Passport Number wide breadth

The wide breadth edition of the UK Passport Number data identifier implements
a pattern to detect 9-digit numbers.

Note: The wide breadth edition of the UK Passport Number data identifier does
not include any validators.

Table 36-102 UK Passport Number wide breadth pattern

Pattern Description

\d{9} Pattern for detecting 9-digit numbers.

UK Passport Number medium breadth

The medium breadth edition of the UK Passport Number data identifier implements
a pattern to detect 9-digit numbers.

Table 36-103 UK Passport Number medium breadth pattern

Pattern Description

\d{9} Pattern for detecting 9-digit numbers.

The medium breadth edition of the UK Passport Number data identifier implements
three validators: one to eliminate common test numbers, such as 123456789;
712 Data identifiers
UK Passport Number data identifier

another to eliminate numbers with all the same digits; and a third that requires
the presence of a passport-related keyword.

Table 36-104 UK Passport Number medium breadth validators

Mandatory validator Description

Exclude beginning characters Data beginning with any of the following list
of values will not be matched:

123456789

Duplicate digits Ensures that a string of digits are not all the
same.

Find keywords: Passport-related At least one of the following keywords or key

phrases must be present for the data to
match:

passport, passport#, passportID,

passportno, passportnumber

UK Passport Number narrow breadth

The narrow breadth edition of the UK Passport Number data identifier implements
a pattern to detect 9-digit numbers.

Table 36-105 UK Passport Number narrow breadth pattern

Pattern Description

\d{9} Pattern for detecting 9-digit numbers.

The narrow breadth edition of the UK Passport Number data identifier implements
four validators: one to eliminate common test numbers, such as 123456789;
another to eliminate numbers with all the same digits; a third that requires the
presence of a passport-related keyword; and a fourth that requires the presence
of a UK-related keyword.

Table 36-106 UK Passport Number narrow breadth validators

Mandatory validator Description

Exclude beginning characters Data beginning with any of the following list
of values will not be matched:

123456789
 Data identifiers 713
UK Tax ID Number data identifier

Table 36-106 UK Passport Number narrow breadth validators (continued)

Mandatory validator Description

Duplicate digits Ensures that a string of digits are not all the
same.

Find keywords: Passport-related At least one of the following keywords or key

phrases must be present for the data to
match:

passport, passport#, passportID,

passportno, passportnumber

Find keywords: UK-related At least one of the following keywords or key

phrases must be present for the data to
match:

uk, united kingdom, britain, england, gb

UK Tax ID Number data identifier

The UK Tax ID Number is a personal identification number provided by the UK
Government Standards of the UK Cabinet Office.
The UK Tax ID Number data identifier detects the presence of the UK Tax ID
numbers.
This data identifier provides three breadths of validation:
■ Wide
See “UK Tax ID Number wide breadth” on page 713.
■ Medium
See “UK Tax ID Number medium breadth” on page 714.
■ Narrow
See “UK Tax ID Number narrow breadth” on page 714.

UK Tax ID Number wide breadth

The wide breadth edition of the UK Tax ID Number data identifier implements a
single pattern to detect 10-digit numbers.

Note: The wide breadth edition of the UK Tax ID Number data identifier does not
include any validators.
714 Data identifiers
UK Tax ID Number data identifier

Table 36-107 UK Passport Number wide breadth pattern

Pattern Description

\d{10} Pattern for detecting 10-digit numbers.

UK Tax ID Number medium breadth

The medium breadth edition of the UK Tax ID Number data identifier implements
a single pattern to detect 10-digit numbers.

Table 36-108 UK Tax ID Number medium breadth pattern

Pattern Description

\d{10} Pattern for detecting 10-digit numbers.

The medium breadth edition of the UK Tax ID Number data identifier implements
two validators: one to eliminates common test numbers, such as 1234567890, and
another to eliminate numbers with all the same digit.

Table 36-109 UK Tax ID Number medium breadth validators

Mandatory validator Description

Duplicate digits Ensures that a string of digits are not all the
same.

Exclude beginning characters Data beginning with any of the following list
of values will not be matched:

0123456789, 1234567890, 9876543210,

0987654321

UK Tax ID Number narrow breadth

The narrow breadth edition of the UK Tax ID Number data identifier implements
a single pattern to detect 10-digit numbers.

Table 36-110 UK Tax ID Number narrow breadth pattern

Pattern Description

\d{10} Pattern for detecting 10-digit numbers.

The narrow breadth edition of the UK Tax ID Number data identifier implements
three validators: one to eliminates common test numbers, such as 1234567890;
 Data identifiers 715
US Individual Tax Identification Number (ITIN) data identifier

another to eliminate numbers with all the same digit; and a third that requires
the presence of a tax identification-related keyword.

Table 36-111 UK Tax ID Number narrow breadth validators

Mandatory validator Description

Duplicate digits Ensures that a string of digits are not all the
same.

Exclude beginning characters Data beginning with any of the following list
of values will not be matched:

0123456789, 1234567890, 9876543210,

0987654321

Find keywords: Tax ID-related At least one of the following keywords or key
phrases must be present for the data to
match:

tax id, tax id no., tax id number, tax

identification, tax identification#, tax no.,
tax#, taxid#

US Individual Tax Identification Number (ITIN) data

identifier
The US Individual Tax Identification Number (ITIN) is used for tax processing
number and issued by the United States Internal Revenue Service (IRS). The IRS
issues ITINs to track individuals who are not eligible to obtain Social Security
Numbers (SSNs).
The US Individual Tax Identification Number (ITIN) data identifier detects the
presence of US ITIN numbers.
This data identifier provides three breadths of validation:
■ Wide
See “US Individual Tax Identification Number (ITIN) wide breadth” on page 716.
■ Medium
See “US Individual Tax Identification Number (ITIN) medium breadth”
on page 716.
■ Narrow
See “US Individual Tax Identification Number (ITIN) narrow breadth”
on page 717.
716 Data identifiers
US Individual Tax Identification Number (ITIN) data identifier

US Individual Tax Identification Number (ITIN) wide breadth

The wide breadth edition of the US Individual Tax Identification Number (ITIN)
data identifier implements patterns to detect 9-digit numbers with the pattern
DDD-DD-DDDD separated with dashes, spaces, periods, slashes, or without
separators.
The number must begin with a 9 and have a 7 or 8 as the fourth digit.

Note: The wide breadth edition of the US Individual Tax Identification Number
(ITIN) data identifier does not include any validators.

Table 36-112 US Individual Tax Identification Number (ITIN) wide breadth patterns

Pattern Description

9\\d{2}[78]\\d\\d{4} Pattern for detecting the ITIN format

without separators.

9\\d{2}\\\\[78]\\d\\\\\\d{4} Pattern for detecting the ITIN format

without separators.

9\d{2}/[78]\d/\d{4} Pattern for detecting the ITIN format

separated by slashes.

9\d{2}.[78]\d.\d{4} Pattern for detecting the ITIN format

separated by periods.

9\d{2} [78]\d \d{4} Pattern for detecting the ITIN format

separated by spaces.

9\d{2}-[78]\d-\d{4} Pattern for detecting the ITIN format

separated by dashes.

US Individual Tax Identification Number (ITIN) medium breadth

The medium breadth edition of the US Individual Tax Identification Number (ITIN)
data identifier implements patterns to detect 9-digit numbers with the pattern
DDD-DD-DDDD separated with dashes, spaces, or periods.
The number must begin with a 9 and have a 7 or 8 as the fourth digit.
 Data identifiers 717
US Individual Tax Identification Number (ITIN) data identifier

Table 36-113 US Individual Tax Identification Number (ITIN) medium breadth

patterns

Pattern Description

9\d{2}.[78]\d.\d{4} Pattern for detecting the ITIN format

separated by periods.

9\d{2} [78]\d \d{4} Pattern for detecting the ITIN format

separated by spaces.

9\d{2}-[78]\d-\d{4} Pattern for detecting the ITIN format

separated by dashes.

The medium breadth edition of the US Individual Tax Identification Number (ITIN)
data identifier implements a single validator to check the surrounding characters.

Table 36-114 US Individual Tax Identification Number (ITIN) medium breadth

validator

Mandatory validator Description

Number Delimiter Validates a match by checking the

surrounding characters.

US Individual Tax Identification Number (ITIN) narrow breadth

The narrow breadth edition of the US Individual Tax Identification Number (ITIN)
data identifier implements patterns to detect 9-digit numbers with the pattern
DDD-DD-DDDD separated with dashes or spaces.
The number must begin with a 9 and have a 7 or 8 as the fourth digit.

Table 36-115 US Individual Tax Identification Number (ITIN) narrow breadth

patterns

Pattern Description

9\d{2} [78]\d \d{4} Pattern for detecting the ITIN format

separated by spaces.

9\d{2}-[78]\d-\d{4} Pattern for detecting the ITIN format

separated by dashes.

The narrow breadth edition of the US Individual Tax Identification Number (ITIN)
data identifier implements three validators: one to check the surrounding
characters, another to ensure that the digits in the ITIN string are not all the
same, and a third that requires the presence of a ITIN-related keyword.
718 Data identifiers
US Social Security Number (SSN) data identifier

Table 36-116 US Individual Tax Identification Number (ITIN) narrow breadth

validators

Mandatory validator Description

Number Delimiter Validates a match by checking the

surrounding characters.

Duplicate digits Ensures that a string of digits are not all the
same.

Find keywords: ITIN-related At least one of the following keywords or key

phrases must be present for the data to be
matched.

individual taxpayer identification number,

itin, i.t.i.n.

US Social Security Number (SSN) data identifier

The US Individual Tax Identification Number (ITIN) is a personal identification
number issued by the Social Security Administration of the United States
government. Although primarily used for administering the Social Security
program, it is widely used as a personal identification number in many purposes.
The US Social Security Number (SSN) data identifier detects the presence of US
Social Security numbers.
This data identifier provides three breadths of validation:
■ Wide
See “US Social Security Number (SSN) wide breadth” on page 718.
■ Medium
See “US Social Security Number (SSN) medium breadth” on page 720.
■ Narrow
See “US Social Security Number (SSN) narrow breadth” on page 721.

US Social Security Number (SSN) wide breadth

The wide breadth edition of the US Social Security Number (SSN) data identifier
implements patterns to detects 9-digit numbers with the pattern DDD-DD-DDDD
separated with dashes, spaces, periods, slashes, or without separators.
The number must begin with a 9 and have a 7 or 8 as the fourth digit.
 Data identifiers 719
US Social Security Number (SSN) data identifier

Table 36-117 Social Security Number (SSN) wide breadth patterns

Pattern Description

\d{3}-\d{2}-\d{4} Matches the standard SSN format, which is

any three digits followed by a hyphen, two
digits, a hyphen, and any four digits.

\d{3}.\d{2}.\d{4} Matches the SSN format delimited by

periods.

\d{3} \d{2} \d{4} Matches the SSN format delimited by spaces.

\d{3}\\\d{2}\\\d{4} Matches the SSN format delimited by

backslashes.

\d{3}/\d{2}/\d{4} Matches the SSN format delimited by

forward slashes.

\d{9} Matches any 9-digit number that is not

delimited.

The wide breadth edition of the US Social Security Number (SSN) data identifier
implements three validators to ensure that the detected SSN is within validly
assigned number ranges, eliminate common test numbers, such as 123456789,
and all the same digit.

Table 36-118 Social Security Number (SSN) wide breadth validators

Validator Description

Number Delimiter Validates a match by checking the

surrounding characters.

Advanced SSN Checks whether SSN contains zeros in any

group, the area number (first group) is less
than 773 and not 666, the delimiter between
the groups is the same, the number does not
consist of all the same digits, and the number
is not reserved for advertising (123-45-6789,
987-65-432x).

SSN Area-Group number For a given area number (first group), not all
group numbers (second group) might have
been assigned by the SSA. Validator
eliminates SSNs with invalid group numbers.
720 Data identifiers
US Social Security Number (SSN) data identifier

US Social Security Number (SSN) medium breadth

The medium breadth edition of the US Social Security Number (SSN) data identifier
implements patterns to detects 9-digit numbers with the pattern DDD-DD-DDDD
separated with dashes, spaces, or periods.

Table 36-119 Social Security Number (SSN) medium breadth patterns

Pattern Description

\d{3}-\d{2}-\d{4} Matches the standard SSN format, which is

any three digits followed by a hyphen, two
digits, a hyphen, and any four digits.

\d{3}.\d{2}.\d{4} Matches the SSN format delimited by

periods.

\d{3} \d{2} \d{4} Matches the SSN format delimited by spaces.

The medium breadth edition of the US Social Security Number (SSN) data identifier
implements three validators to ensure that the detected SSN is within validly
assigned number ranges, is not a common test number (such as 123456789), and
is not all the same digit.

Table 36-120 Social Security Number (SSN) medium breadth validators

Validator Description

Number Delimiter Validates a match by checking the

surrounding characters.

Advanced SSN Checks whether SSN contains zeros in any

group, the area number (first group) is less
than 773 and not 666, the delimiter between
the groups is the same, the number does not
consist of all the same digits, and the number
is not reserved for advertising (123-45-6789,
987-65-432x).

SSN Area-Group number For a given area number (first group), not all
group numbers (second group) might have
been assigned by the SSA. Validator
eliminates SSNs with invalid group numbers.
 Data identifiers 721
US Social Security Number (SSN) data identifier

US Social Security Number (SSN) narrow breadth

The narrow breadth edition of the US Social Security Number (SSN) data identifier
implements patterns to detects 9-digit numbers with the pattern DDD-DD-DDDD
separated with dashes or spaces or without separators.

Table 36-121 US Social Security Number (SSN) narrow breadth patterns

Pattern Description

\d{3}-\d{2}-\d{4} Matches the standard SSN format, which is

any three digits followed by a hyphen, two
digits, a hyphen, and any four digits.

\d{3} \d{2} \d{4} Matches the SSN format delimited by spaces.

\d{9} Matches any 9-digit number not delimited.

The narrow breadth edition of the US Social Security Number (SSN) data identifier
implements four validators to ensure that the detected SSN is within validly
assigned number ranges, is not a common test number (such as 123456789), is
not all the same digit, and the message containing the SSN includes a keyword.

Table 36-122 Social Security Number (SSN) narrow breadth validators

Mandatory Validator Description

Number Delimiter Validates a match by checking the

surrounding characters.

Advanced SSN Checks whether SSN contains zeros in any

group, the area number (first group) is less
than 773 and not 666, the delimiter between
the groups is the same, the number does not
consist of all the same digits, and the number
is not reserved for advertising (123-45-6789,
987-65-432x).

SSN Area-Group number For a given area number (first group), not all
group numbers (second group) might have
been assigned by the SSA. Validator
eliminates SSNs with invalid group numbers.

Find keywords: Social security-related At least one of the following keywords or key
phrases must be present for the data to be
matched:

social security number, ssn, ss#

722 Data identifiers
US SSN – Randomized custom Data Identifier

US SSN – Randomized custom Data Identifier

Table 36-123 provides the patterns and validators to create the US SSN –
Randomized custom DI. If you are familiar with creating custom DIs, you can use
the information that is provided in this table to create the custom DI.
See “Creating the US SSN - Randomized custom DI” on page 541.

Table 36-123 US SSN – Randomized custom DI

DI component Value

Name US SSN - Randomized

Patterns [0-8]\d{2}\\\d{1}[1-9]\\\d{4}

[0-8]\d{2}.\d{1}[1-9].\d{4}

[0-8]\d{2} \d{1}[1-9] \d{4}

[0-8]\d{3}[1-9]\d{4}

[0-8]\d{2}/\d{1}[1-9]/\d{4}

[0-8]\d{2}[1-9]\d{5}

[0-8]\d{2}-\d{1}[1-9]-\d{4}

[0-8]\d{2}\\[1-9]\d{1}\\\d{4}

[0-8]\d{2} [1-9]\d{1} \d{4}

[0-8]\d{2}/[1-9]\d{1}/\d{4}
[0-8]\d{2}.[1-9]\d{1}.\d{4}

[0-8]\d{2}-[1-9]\d{1}-\d{4}

Data Normalizer Digits

Active Validators (and inputs Number Delimiter

if any)
Exclude beginning characters:

666,000,123456789,111111111,222222222,333333333,
444444444,555555555,666666666,77777777,888888888

Exclude ending characters:

0000

Find keywords:

social security number,ssn,ss#

 Chapter 37
Policy templates
This chapter includes the following topics:

■ Caldicott Report policy template

■ Canadian Social Insurance Numbers policy template

■ CAN-SPAM Act policy template

■ Common Spyware Upload Sites policy template

■ Competitor Communications policy template

■ Confidential Documents policy template

■ Credit Card Numbers policy template

■ Customer Data Protection policy template

■ Data Protection Act 1998 (UK) policy template

■ Data Protection Directives (EU) policy template

■ Defense Message System (DMS) GENSER Classification policy template

■ Design Documents policy template

■ Employee Data Protection policy template

■ Encrypted Data policy template

■ Export Administration Regulations (EAR) policy template

■ FACTA 2003 (Red Flag Rules) policy template

■ Financial Information policy template

■ Forbidden Websites policy template

724 Policy templates

■ Gambling policy template

■ Gramm-Leach-Bliley policy template

■ HIPAA and HITECH (including PHI) policy template

■ Human Rights Act 1998 policy template

■ Illegal Drugs policy template

■ Individual Taxpayer Identification Numbers (ITIN) policy template

■ International Traffic in Arms Regulations (ITAR) policy template

■ Media Files policy template

■ Merger and Acquisition Agreements policy template

■ NASD Rule 2711 and NYSE Rules 351 and 472 policy template

■ NASD Rule 3010 and NYSE Rule 342 policy template

■ NERC Security Guidelines for Electric Utilities policy template

■ Network Diagrams policy template

■ Network Security policy template

■ Offensive Language policy template

■ Office of Foreign Assets Control (OFAC) policy template

■ OMB Memo 06-16 and FIPS 199 Regulations policy template

■ Password Files policy template

■ Payment Card Industry (PCI) Data Security Standard policy template

■ PIPEDA policy template

■ Price Information policy template

■ Project Data policy template

■ Proprietary Media Files policy template

■ Publishing Documents policy template

■ Racist Language policy template

■ Restricted Files policy template

■ Restricted Recipients policy template

 Policy templates 725
Caldicott Report policy template

■ Resumes policy template

■ Sarbanes-Oxley policy template

■ SEC Fair Disclosure Regulation policy template

■ Sexually Explicit Language policy template

■ Source Code policy template

■ State Data Privacy policy template

■ SWIFT Codes policy template

■ Symantec DLP Awareness and Avoidance policy template

■ UK Drivers License Numbers policy template

■ UK Electoral Roll Numbers policy template

■ UK National Health Service (NHS) Number policy template

■ UK National Insurance Numbers policy template

■ UK Passport Numbers policy template

■ UK Tax ID Numbers policy template

■ US Intelligence Control Markings (CAPCO) and DCID 1/7 policy template

■ US Social Security Numbers policy template

■ Violence and Weapons policy template

■ Webmail policy template

■ Yahoo Message Board Activity policy template

■ Yahoo and MSN Messengers on Port 80 policy template

Caldicott Report policy template

The UK Chief Medical Officer commissioned the Caldicott Report (December,
1997) to improve the way the National Health Service handles and protects patient
information. The Caldicott Committee reviewed the confidentiality of data
throughout the NHS for purposes other than direct care, medical research, or
where there is a statutory requirement for information. Its recommendations are
now being put into practice throughout the NHS and in the Health Protection
Agency.
726 Policy templates
Caldicott Report policy template

EDM Rule Patient Data and Drug Keywords

This compound rule looks for any match of the following data in
combination with a keyword from the "Prescription Drug Names"
dictionary. Both conditions must be satisfied for the rule to trigger
an incident.

■ UK NIN (National Insurance Number)

■ Account number
■ Last name
■ ID card number
■ Email
■ Phone
■ UK NHS (National Health Service) number

EDM Rule Patient Data and Disease Keywords

This compound rule looks for any match of the following data in
combination with a keyword from the "Disease Names" dictionary.
Both conditions must be satisfied for the rule to trigger an incident.

■ UK NIN (National Insurance Number)

■ Account number
■ Last name
■ ID card number
■ Email
■ Phone
■ UK NHS (National Health Service) number

EDM Rule Patient Data and Treatment Keywords

This compound rule looks for any match of the following data in
combination with a keyword from the "Medical Treatment Keywords"
dictionary. Both conditions must be satisfied for the rule to trigger
an incident:

■ UK NIN (National Insurance Number)

■ Account number
■ Last name
■ ID card number
■ Email
■ Phone
■ UK NHS (National Health Service) number
 Policy templates 727
Canadian Social Insurance Numbers policy template

DCM Rule UK NHS Number and Drug Keywords

This rule looks for a keyword from "UK NIN Keywords" dictionary in
combination with a pattern matching the UK NIN data identifier and
a keyword from the "Prescription Drug Names" dictionary.

DCM Rule UK NHS Number and Disease Keywords

This rule looks for a keyword from "UK NIN Keywords" dictionary in
combination with a pattern matching the UK NIN data identifier and
a keyword from the "Disease Names" dictionary.

DCM Rule UK NHS Number and Treatment Keywords

This rule looks for a keyword from "UK NIN Keywords" dictionary in
combination with a pattern matching the UK NIN data identifier and
a keyword from the "Medical Treatment Keywords" dictionary.

See “Choosing an Exact Data Profile” on page 365.

See “Configuring policies” on page 370.
See “Exporting policy detection as a template” on page 394.

Canadian Social Insurance Numbers policy template

This policy detects patterns indicating Canadian social insurance numbers (SINs)
at risk of exposure.

DCM Rule Canadian Social Insurance Numbers

This rule looks for a match to the Canadian Social Insurance Number
data identifier and a keyword from the "Canadian Social Ins. No.
Words" dictionary.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

CAN-SPAM Act policy template

The Controlling the Assault of Non-Solicited Pornography and Marketing Act
(CAN-SPAM) establishes requirements for those who send commercial email.
The CAN-SPAM Act template detects activity from an organization's bulk mailer
to help ensure compliance with the CAN-SPAM Act requirements.
728 Policy templates
CAN-SPAM Act policy template

The detection exception Exclude emails that contain the mandated keywords
allows messages to pass that have one or more keywords from the user-defined
"CAN-SPAM Exception Keywords" dictionary.

Table 37-1 Detection exception: Exclude emails that contain the mandated
keywords

Method Condition Configuration

Simple Content Matches Exclude emails that contain the mandated keywords
exception Keyword (DCM) (Keyword Match):

■ Match keyword from "[physical postal address]"

or "advertisement".
■ Look in envelope, subject, body, attachments.
■ Case insensitive.
■ Match on whole words only.
Note: After you define the keywords, you can
choose to count all matches and require 2 keywords
from the list to be matched.

The detection exception CAN-SPAM Compliant Emails excludes from detection

document content from the selected IDM index with at least 100% match.

Table 37-2 Detection exception: CAN-SPAM Compliant Emails

Method Condition Configuration

Simple Content Exception for CAN-SPAM compliant emails (IDM):

exception Matches
■ Exact content match (100%)
Document
■ Look in the message body and attachments.
Profile (IDM)
■ Check for existence.

See “Choosing an Indexed Document Profile”

on page 366.

If an exception is not met, the detection rule Monitor Email From Bulk Mailer
looks for a sender's email address that matches one from the "Bulk Mailer Email
Address" list, which is user-defined.
 Policy templates 729
Common Spyware Upload Sites policy template

Table 37-3 Detection rule: Monitor Email From Bulk Mailer

Method Condition Configuration

Simple rule Sender/User Monitor Email From Bulk Mailer (Sender):

Matches Pattern
■ Match sender pattern(s):
(DCM)
[bulk-mailer@company.com] (user defined)
■ Severity: High.

See “Creating a policy from a template” on page 355.

See “Exporting policy detection as a template” on page 394.

Common Spyware Upload Sites policy template

The Common Spyware Upload Sites policy detects access to common spyware
upload Web sites.

DCM Rule Forbidden Websites 1

This is a compound rule that looks for either specified IP addresses

or URLs in the "Forbidden Websites 1" dictionary.

DCM Rule Forbidden Websites 2

This rule looks for a match of a specified URL in the "Forbidden

Websites 2" dictionary.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

Competitor Communications policy template

The Competitor Communications policy detects forbidden communications with
competitors.

DCM Rule Competitor List

This rule looks for keywords (domains) from the "Competitor Domains"
dictionary, which is user-defined.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.
730 Policy templates
Confidential Documents policy template

Confidential Documents policy template

This policy detects company-confidential documents at risk of exposure.

Table 37-4 Rules comprising the Confidential Documents template

Rule Type Description

Confidential Documents, Simple IDM Rule with one This rule looks for content from specific documents
Indexed condition registered as confidential; returns a match if 80% or more
of the source document is found. If you do not have an
Indexed Document Profile configured this rule is dropped.

Confidential Documents Compound DCM Rule: This rule looks for a combination of keywords from the
Attachment/File Type and "Confidential Keywords" list and the following file types:
Keyword Match. Both
■ Microsoft Excel Macro
conditions must match for
■ Microsoft Excel
the rule to trigger an
incident. ■ Microsoft Works Spreadsheet
■ SYLK Spreadshet
■ Corel Quattro Pro
■ Multiplan Spreadsheet
■ Comma Separate Values
■ Applix Spreadsheets
■ Lotus 1-2-3
■ Microsoft Word
■ Adobe PDF
■ Microsoft PowerPoint

Proprietary Documents Compound DCM Rule: This compound rule looks for a combination of keywords
Attachment/File Type and from the "Proprietary Keywords" dictionary and the above
Keyword Match referenced file types.

Internal Use Only Compound DCM Rule: This compound rule looks for a combination of keywords
Documents Attachment/File Type and from the "Internal Use Only Keywords" dictionary and
Keyword Match the above referenced file types.

Documents Not For Compound DCM Rule: This compound rule looks for a combination of keywords
Distribution Attachment/File Type and from the "Not For Distribution Words" dictionary and the
Keyword Match above referenced file types.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.
 Policy templates 731
Credit Card Numbers policy template

Credit Card Numbers policy template

This policy detects patterns indicating credit card numbers at risk of exposure.

DCM Rule Credit Card Numbers, All

This rule looks for a match to the credit card number system pattern
and a keyword from the "Credit Card Number Keywords" dictionary.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

Customer Data Protection policy template

This policy detects customer data at risk of exposure.

EDM Rule Username/Password Combinations

This rule looks for usernames and passwords in combination with
three or more of the following fields:

■ SSN
■ Phone
■ Email
■ First Name
■ Last Name
■ Bank Card number
■ Account Number
■ ABA Routing Number
■ Canadian Social Insurance Number
■ UK National Insurance Number
However, the following combinations are not a violation:

■ Phone, email, and last name

■ Email, first name, and last name
■ Phone, first name, and last name
732 Policy templates
Customer Data Protection policy template

EDM Rule Date of Birth

This rule looks for any three of the following data fields in
combination:

■ SSN
■ Phone
■ Email
■ First Name
■ Last Name
■ Bank Card number
■ Account Number
■ ABA Routing Number
■ Canadian Social Insurance Number
■ UK National Insurance Number
■ Date of Birth
However, the following combinations are not a violation:

■ Phone, email, and first name

■ Phone, email, and last name
■ Email, first name, and last name
■ Phone, first name, and last name

EDM Rule Exact SSN or CCN

This rule looks for an exact social security number or bank card
number.

EDM Rule Customer Directory

This rule looks for Phone or Email.

DCM Rule US Social Security Number Patterns

This rule looks for a match to the Social Security number data
identifier and a keyword from the "US SSN Keywords" dictionary.

DCM Rule Credit Card Numbers, All

This rule looks for a match to the credit card number system pattern
and a keyword from the "Credit Card Number Keywords" dictionary.

DCM Rule ABA Routing Numbers

This rule looks for a match to the ABA Routing number data identifier
and a keyword from the "ABA Routing Number Keywords" dictionary.

See “About the Exact Data Profile” on page 411.

See “Configuring policies” on page 370.
 Policy templates 733
Data Protection Act 1998 (UK) policy template

See “Exporting policy detection as a template” on page 394.

Data Protection Act 1998 (UK) policy template

The Data Protection Act 1998 (replacement of Data Protection Act 1984) set
standards which must be satisfied when obtaining, holding, using, or disposing
of personal data in the UK. The Data Protection Act 1998 covers anything with
personal identifiable information (such as data about personal health, employment,
occupational health, finance, suppliers, and contractors).

Table 37-5 UK Data Protection Act, Personal Data detection rule

Description

This EDM rule looks for three of the following However, the following combinations
columns of data: are not an incident:

■ NIN (National Insurance Number) ■ First name, last name, pin

■ Account number ■ First name, last name, password
■ Pin ■ First name, last name, email
■ Bank card number ■ First name, last name, phone
■ First name ■ First name, last name, mother's
■ Last name maiden name
■ Drivers license
■ Password
■ Tax payer ID
■ UK NHS number
■ Date of birth
■ Mother's maiden name
■ Email address
■ Phone number

Table 37-6 Additional detection rules in the Data Protection Act 1998 policy
template

Description

The UK Electoral Roll Numbers rule implements the UK Electoral Roll Number data
identifier.

See “UK Electoral Roll Number data identifier” on page 705.

The UK National Insurance Numbers rule implements the narrow breadth edition of the
UK National Insurance Number data identifier.

See “UK National Insurance Number data identifier” on page 708.

734 Policy templates
Data Protection Directives (EU) policy template

Table 37-6 Additional detection rules in the Data Protection Act 1998 policy
template (continued)

Description

The UK Tax ID Numbers rule implements the narrow edition of the UK Tax ID Number
data identifier.

See “UK Tax ID Number data identifier” on page 713.

The UK Drivers License Numbers rule implements the narrow breadth edition of the UK
Driver's License number data identifier.

See “UK Drivers License Number data identifier” on page 703.

The UK Passport Numbers rule implements the narrow breadth edition of the UK Passport
Number data identifier.

See “UK Passport Number data identifier” on page 711.

The UK NHS Numbers rule implements the narrow breadth edition of the UK National
Health Service (NHS) Number data identifier.

See “UK National Health Service (NHS) Number data identifier” on page 706.

See “Choosing an Exact Data Profile” on page 365.

See “Configuring policies” on page 370.
See “Exporting policy detection as a template” on page 394.

Data Protection Directives (EU) policy template

Directives 95/46/EC of the European Parliament deal with the protection of
individuals with regard to the processing and free movement of personal data.
This policy detects personal data specific to the EU directives.
 Policy templates 735
Defense Message System (DMS) GENSER Classification policy template

EDM Rule EU Data Protection Directives

This rule looks for any two of the following data columns:

■ Last Name
■ Bank Card number
■ Drivers license number
■ Account Number
■ PIN
■ Medical account number
■ Medical ID card number
■ User name
■ Password
■ ABA Routing Number
■ Email
■ Phone
■ Mother's maiden name
However, the following combinations do not create a match:

■ Last name, email

■ Last name, phone
■ Last name, account number
■ Last name, username

EDM Rule EU Data Protection, Contact Info

This rule looks for any two of the following data columns: last name,
phone, account number, username, and email.

Exception Except for email internal to the EU

This rule is an exception if the recipient is within the EU. This covers
recipients with any of the country codes from the "EU Country Codes"
dictionary.

See “Choosing an Exact Data Profile” on page 365.

See “Configuring policies” on page 370.
See “Exporting policy detection as a template” on page 394.

Defense Message System (DMS) GENSER

Classification policy template
The Defense Information Systems Agency has established guidelines for Defense
Message System (DMS) General Services (GENSER) message classifications,
736 Policy templates
Defense Message System (DMS) GENSER Classification policy template

categories, and markings. These standards specify how to mark classified and
sensitive documents according to U.S. standards. These standards also provide
interoperability with NATO countries and other U.S. allies.
The GENSER policy template enforces GENSER guidelines by detecting information
that is classified as confidential. The template contains four simple (single
condition) keyword matching (DCM) detection rules. If any rule condition matches,
the policy reports an incident.
The detection rule Top Secret Information (Keyword Match) looks for any
keywords in the "Top Secret Information" dictionary.

Table 37-7 Detection rule: Top Secret Information (Keyword Match)

Method Condition Configuration

Simple rule Content Top Secret Information (Keyword Match):

Matches
■ Keyword dictionary: "TOP SECRET//"
Keyword (DCM)
■ Severity: High
■ Check for existence.
■ Look in envelope, subject, body, attachments.
■ Case sensitive.
■ Match on whole or partial words.

The detection rule Secret Information (Keyword Match) looks for any keywords
in the "Secret Information" dictionary.

Table 37-8 Detection rule: Secret Information (Keyword Match)

Method Condition Configuration

Simple rule Content Secret Information (Keyword Match):

Matches
■ Keyword dictionary: "SECRET//"
Keyword (DCM)
■ Severity: High
■ Check for existence
■ Look in envelope, subject, body, attachments
■ Case sensitive
■ Match on whole or partial words.

The detection rule Classified or Restricted Information (Keyword Match) looks

for any keywords in the "Classified or Restricted Information" dictionary.
 Policy templates 737
Design Documents policy template

Table 37-9 Detection rule: Classified or Restricted Information (Keyword Match)

Method Condition Configuration

Simple rule Content Classified or Restricted Information (Keyword Match):

Matches
■ Keyword dictionary:
Keyword (DCM)
"CLASSIFIED//,//RESTRICTED//"
■ Severity: High
■ Check for existence.
■ Look in envelope, subject, body, attachments.
■ Case sensitive.
■ Match on whole or partial words.

The detection rule Other Sensitive Information looks for any keywords in the
"Other Sensitive Information" dictionary.

Table 37-10 Other Sensitive Information detection rule

Method Condition Configuration

Simple rule Content Matches Other Sensitive Information (Keyword Match):

Keyword (DCM)
■ Keyword dictionary: FOR OFFICIAL USE ONLY,
SENSITIVE BUT UNCLASSIFIED,DOD
UNCLASSIFIED CONTROLLED NUCLEAR
INFORMATION
■ Severity: High
■ Check for existence.
■ Look in envelope, subject, body, attachments.
■ Case sensitive.
■ Match on whole words only.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

Design Documents policy template

This policy detects various types of design documents, such as CAD/CAM, at risk
of exposure.
738 Policy templates
Employee Data Protection policy template

IDM Rule Design Documents, Indexed

This rule looks for content from specific design documents registered
as proprietary. It returns a match if the engine detects 80% or more
of the source document.

DCM Rule Design Document Extensions

This rule looks for the specified file name extensions found in the
"Design Document Extensions" dictionary.

DCM Rule Design Documents

This rule looks for the following specified file types:

■ cad_draw
■ dwg

Note: Both file types and file name extensions are used because the policy does
not detect the true file type for all the required documents.

See “Choosing an Indexed Document Profile” on page 366.

See “Configuring policies” on page 370.
See “Exporting policy detection as a template” on page 394.

Employee Data Protection policy template

This policy detects employee data at risk of exposure.

EDM Rule Username/Password Combinations

This rule looks for usernames and passwords in combination with any
three of the following data fields.

■ SSN
■ Phone
■ Email
■ First Name
■ Last Name
■ Bank Card Number
■ Account Number
■ ABA Routing Number
■ Canadian Social Insurance Number
■ UK National Insurance Number
■ Date of Birth
 Policy templates 739
Encrypted Data policy template

EDM Rule Employee Directory

This rule looks for Phone or Email.

DCM Rule US Social Security Number Patterns

This rule looks for a match to the Social Security number data
identifier and a keyword from the "US SSN Keywords" dictionary.

DCM Rule Credit Card Numbers, All

This rule looks for a match to the credit card number system pattern
and a keyword from the "Credit Card Number Keywords" dictionary.

DCM Rule ABA Routing Numbers

This rule looks for a match to the ABA Routing number data identifier
and a keyword from the "ABA Routing Number Keywords" dictionary.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

Encrypted Data policy template

This policy detects the use of encryption by a variety of methods including S/MIME,
PGP, GPG, and file password protection.

DCM Rule Password Protected Files

This rule looks for the following file types: encrypted_zip,

encrypted_doc, encrypted_xls, or encrypted_ppt.

DCM Rule PGP Files

This rule looks for the following file type: pgp.

DCM Rule GPG Files

This rule looks for a keyword from the "GPG Encryption Keywords"
dictionary.

DCM Rule S/MIME

This rule looks for a keyword from the "S/MIME Encryption Keywords"
dictionary.

DCM Rule HushMail Transmissions

This rule looks for a match from a list of recipient URLs.

See “Configuring policies” on page 370.

740 Policy templates
Export Administration Regulations (EAR) policy template

See “Exporting policy detection as a template” on page 394.

Export Administration Regulations (EAR) policy

template
The U.S. Department of Commerce enforces the Export Administration Regulations
(EAR). These regulations primarily cover technologies and technical information
with commercial and military applicability. These technologies are also known
as dual use technologies, for example, chemicals, satellites, software, computers,
and so on.
This Export Administration Regulations (EAR) template detects violations from
regulated countries and controlled technologies.
The detection rule Indexed EAR Commerce Control List Items and Recipients
looks for a country code in the recipient from the "EAR Country Codes" dictionary
and for a specific "SKU" from an Exact Data Profile index (EDM). Both conditions
must match to trigger an incident.

Table 37-11 Detection rule: Indexed EAR Commerce Control List Items and
Recipients

Method Condition Configuration

Compound rule Content Matches See “Choosing an Exact Data Profile” on page 365.
Exact Data (EDM)

Content Matches
Keyword (DCM)

The detection rule EAR Commerce Control List and Recipients looks for a country
code in the recipient from the "EAR Country Codes" list and a keyword from the
"EAR CCL Keywords" dictionary. Both conditions must match to trigger an incident.
 Policy templates 741
FACTA 2003 (Red Flag Rules) policy template

Table 37-12 Detection rule: EAR Commerce Control List and Recipients

Method Condition Configuration

Compound rule Recipient Matches EAR Commerce Control List and Recipients
Pattern (DCM) (Recipient):

■ Match: Email address OR URL domain suffixes

■ Severity: High.
■ Check for existence.
■ At least 1 recipient(s) must match.
■ Matches on entire message

Content Matches EAR Commerce Control List and Recipients

Keyword (DCM) (Keyword Match):

■ Match: EAR CCL Keywords

■ Severity: High.
■ Check for existence.
■ Look in envelope, subject, body, attachments.
■ Case insensitive.
■ Match on whole words only.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

FACTA 2003 (Red Flag Rules) policy template

This policy helps to address sections 114 and 315 (or Red Flag Rules) of the Fair
and Accurate Credit Transactions Act (FACTA) of 2003. These rules specify that
a financial institution or creditor that offers or maintains covered accounts must
develop and implement an identity theft prevention program. FACTA is designed
to detect, prevent, and mitigate identity theft in connection with the opening of
a covered account or any existing covered account.
The Username/Password Combinations detection rule detects the presence of
both a user name and password from a profiled database index.
742 Policy templates
FACTA 2003 (Red Flag Rules) policy template

Table 37-13 Username/Password Combinations detection rule

Method Condition Configuration

Simple rule Content This condition detects exact data containing both of the
Matches Exact following data items:
Data (EDM)
■ User name
■ Password

See “Choosing an Exact Data Profile” on page 365.

The Exact SSN or CCN detection rule detects the presence of either a social security
number or a credit card number from a profiled database.

Table 37-14 Exact SSN or CCN detection rule

Method Condition Configuration

Simple rule Content This condition detects exact data containing either of the
Matches Exact following data columns:
Data (EDM)
■ Social security number (Taxpayer ID)
■ Bank Card Number

See “Choosing an Exact Data Profile” on page 365.

The Customer Directory detection rule detects the presence of either an email
address or a phone number from a profiled database.

Table 37-15 Customer Directory detection rule

Method Condition Configuration

Simple rule Content This condition detects exact data containing either of the
Matches Exact following data columns:
Data (EDM)
■ Email address
■ Phone number

See “Choosing an Exact Data Profile” on page 365.

The Three or More Data Columns detection rule detects exact data containing
three or more of data items from a profiled database index.
 Policy templates 743
FACTA 2003 (Red Flag Rules) policy template

Table 37-16 Three or More Data Columns detection rule

Method Condition Configuration

Simple rule Content Detects exact data containing three or more of the
Matches Exact following data items:
Data (EDM)
■ ABA Routing Number
■ Account Number
■ Bank Card Number
■ Birth Date
■ Email address
■ First Name
■ Last Name
■ National Insurance Number
■ Password
■ Phone Number
■ Social Insurance Number
■ Social security number (Taxpayer ID)
■ User name

However, the following combinations are not a match:

■ Phone Number, Email, First Name

■ Phone Number, First Name, Last Name

See “Choosing an Exact Data Profile” on page 365.

The US Social Security Number Patterns detection rule implements the narrow
breadth edition of the US Social Security Number (SSN) system Data Identifier.
See “US Social Security Number (SSN) data identifier” on page 718.
This data identifier detects nine-digit numbers with the pattern DDD-DD-DDDD
separated with dashes or spaces or without separators. The number must be in
valid assigned number ranges. This condition eliminates common test numbers,
such as 123456789 or all the same digit. It also requires the presence of a Social
Security keyword.
744 Policy templates
FACTA 2003 (Red Flag Rules) policy template

Table 37-17 US Social Security Number Patterns detection rule

Method Condition Configuration

Simple rule Content ■ Data Identifier: US Social Security Number (SSN)

Matches Data narrow breadth
Identifier (DCM) See “US Social Security Number (SSN) narrow
breadth” on page 721.
■ Severity: High.
■ Count all matches.
■ Look in envelope, subject, body, attachments.

The Credit Card Numbers, All detection rule implements the narrow breadth
edition of the Credit Card Number system Data Identifier.
See “Credit Card Number data identifier” on page 668.
This data identifier detects valid credit card numbers that are separated by spaces,
dashes, periods, or without separators. This condition performs Luhn check
validation and includes formats for American Express, Diner's Club, Discover,
Japan Credit Bureau (JCB), MasterCard, and Visa. It eliminates common test
numbers, including those reserved for testing by credit card issuers. It also requires
the presence of a credit card keyword.

Table 37-18 Credit Card Numbers, All detection rule

Method Condition Configuration

Simple rule Content ■ Data Identifier: Credit Card Number narrow breadth
Matches Data See “Credit Card Number narrow breadth” on page 671.
Identifier (DCM) ■ Severity: High.
■ Count all matches.
■ Look in envelope, subject, body, attachments.

The ABA Routing Numbers detection rule implements the narrow breadth edition
of the ABA Routing Number system Data Identifier.
See “ABA Routing Number data identifier” on page 658.
This data identifier detects nine-digit numbers. It validates the number using the
final check digit. This condition eliminates common test numbers, such as
123456789, number ranges that are reserved for future use, and all the same digit.
This condition also requires the presence of an ABA keyword.
 Policy templates 745
Financial Information policy template

Table 37-19 ABA Routing Numbers detection rule

Method Condition Configuration

Simple rule Content ■ Data Identifier: ABA Routing Number narrow breadth
Matches Data See “ABA Routing Number narrow breadth”
Identifier (DCM) on page 660.
■ Severity: High.
■ Count all matches.
■ Look in envelope, subject, body, attachments.

See “Creating a policy from a template” on page 355.

See “Exporting policy detection as a template” on page 394.

Financial Information policy template

The Financial Information policy detects financial data and information.

IDM Rule Financial Information, Indexed

This rule looks for content from specific financial information files
registered as proprietary; returns a match if 80% or more of the source
document is found.

DCM Rule Financial Information

This rule looks for the combination of specified file types, keywords
from the "Financial Keywords" dictionary, and keywords from the
"Confidential/Proprietary Words" dictionary.
The specified file types are as follows:

■ excel_macro
■ xls
■ works_spread
■ sylk
■ quattro_pro
■ mod
■ csv
■ applix_spread
■ 123

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.
746 Policy templates
Forbidden Websites policy template

Forbidden Websites policy template

The Forbidden Websites policy detects access to specified Web sites.

DCM Rule Forbidden Websites

This rule looks for any keywords in the "Forbidden Websites"

dictionary, which is user-defined.

To enable a Forbidden Website policy to process GET requests appropriately

1 Configure your web proxy server to forward GET requests to the Network
Prevent (Web) server.
2 Set the L7.processGets Advanced setting on the Network Prevent (Web) server
to "true" (which is the default).
3 Reduce the L7.minSizeofGetURL Advanced setting on the Network Prevent
(Web) server from the default of 100 to a number of bytes (characters) smaller
than the length of the shortest Web site that the policy specifies.

Note: Reducing the minimum size of GETs increases the number of URLs that
have to be processed, which increases the server's traffic load. One approach
is to calculate the number of characters in the shortest URL specified in the
list of forbidden URLs and set the minimum size to that number. Another
approach is to set the minimum URL size to 10 as that should cover all cases.

4 You may need to adjust the "Ignore Requests Smaller Than" setting in the
ICAP configuration of the Network Prevent server from the default 4096
bytes. This value stops processing of incoming Web pages that contain fewer
bytes than the number specified. If a page of a forbidden Web site URL might
be smaller than that number, the setting should be reduced appropriately.
See “Configuring policies” on page 370.
See “Exporting policy detection as a template” on page 394.

Gambling policy template

This policy detects any reference to gambling.

DCM Rule Suspicious Gambling Keywords

This rule looks for five instances of keywords from the "Gambling
Keywords, Confirmed" dictionary.
 Policy templates 747
Gramm-Leach-Bliley policy template

DCM Rule Less Suspicious Gambling Keywords

This rule looks for 10 instances of keywords from the "Gambling

Keywords, Suspect" dictionary.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

Gramm-Leach-Bliley policy template

The Gramm-Leach-Bliley (GLB) Act gives consumers the right to limit some sharing
of their information by financial institutions.
The Gramm-Leach-Bliley policy template detects transmittal of customer data.

Table 37-20 Gramm-Leach-Bliley detection methods

Detection method Type Description

Username/Password Simple rule: This rule looks for user names and passwords in
Combinations EDM combination.

See “Choosing an Exact Data Profile” on page 365.

Exact SSN or CCN Simple rule: This rule looks for SSN or Credit Card Number.
EDM

Customer Directory Simple rule: This rule looks for Phone or Email.
EDM
748 Policy templates
Gramm-Leach-Bliley policy template

Table 37-20 Gramm-Leach-Bliley detection methods (continued)

Detection method Type Description

3 or more critical Simple rule: This rule looks for a match among any three of the
customer fields EDM following fields:

■ Account number
■ Bank card number
■ Email address
■ First name
■ Last name
■ PIN number
■ Phone number
■ Social security number
■ ABA Routing Number
■ Canadian Social Insurance Number
■ UK National Insurance Number
■ Date of Birth
However, the following combinations are not a
match:

■ Phone, email, and first name

■ Phone, email, and last name
■ Email, first name, and last name
■ Phone, first name, and last name

ABA Routing Simple rule: This condition detects nine-digit numbers. It

Numbers DCM (DI) validates the number using the final check digit.
This condition eliminates common test numbers,
such as 123456789, number ranges that are reserved
for future use, and all the same digit. This condition
also requires the presence of an ABA-related
keyword.

See “ABA Routing Number narrow breadth”

on page 660.
 Policy templates 749
HIPAA and HITECH (including PHI) policy template

Table 37-20 Gramm-Leach-Bliley detection methods (continued)

Detection method Type Description

US Social Security Simple rule: This rule looks for social security numbers. For this
Numbers DCM (DI) rule to match, there must be a number that fits the
US SSN regular expression pattern. There must also
be a keyword or phrase that indicates the presence
of a US SSN with a keyword from "US SSN
Keywords" dictionary. The keyword condition is
included to reduce false positives with any numbers
that may match the SSN format.

See “US Social Security Number (SSN) narrow

breadth” on page 721.

Credit Card Numbers Simple rule: This condition detects valid credit card numbers
DCM (DI) that are separated by spaces, dashes, periods, or
without separators. This condition performs Luhn
check validation and includes the following credit
card formats:

■ American Express
■ Diner's Club
■ Discover
■ Japan Credit Bureau (JCB)
■ MasterCard
■ Visa

This rule eliminates common test numbers,

including those reserved for testing by credit card
issuers, and also requires the presence of a credit
card-related keyword.

See “Credit Card Number narrow breadth”

on page 671.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

HIPAA and HITECH (including PHI) policy template

The HIPAA and HITECH (including PHI) policy strictly enforces the US Health
Insurance Portability and Accountability Act (HIPAA). Health Information
Technology for Economic and Clinical Health Act (HITECH) is the first national
law that mandates breach notification for PHI.
750 Policy templates
HIPAA and HITECH (including PHI) policy template

This policy template detects data concerning prescription drugs, diseases, and
treatments in combination with Protected Health Information (PHI). Organizations
that are not subject to HIPAA can also use this policy to control PHI data.
TPOs (Treatment, Payment, or health care Operations) are service providers to
health care organizations and have an exception for HIPAA information
restrictions. This policy does not trigger an incident if the protected information
is sent to one of the allowed partners.
The Table 37-21 is evaluated before any detection rules. The template requires
that you enter the allowed email addresses.

Table 37-21 TPO detection exception

Method and Condition type Configuration

cardinality

Simple detection Content Matches Looks for a recipient email address

exception Keyword (DCM) matching one from the "TPO Email
Addresses" keyword dictionary.

The Table 37-22 looks for a match against any single column from a profiled
Patient Data database record.

Table 37-22 Patient Data detection rule

Method and Condition type Configuration

cardinality

Simple detection rule Content Matches Patient Data (EDM):

Exact Data (EDM)
■ Last name
■ Tax payer ID (SSN)
■ Email address
■ Account number
■ ID card number
■ Phone number

See “Choosing an Exact Data Profile”

on page 365.

The Table 37-23 requires a Patient Data condition match and a match from the
"Drug Code" data identifier.
 Policy templates 751
HIPAA and HITECH (including PHI) policy template

Table 37-23 Patient Data and Drug Codes detection rule

Method and Condition type Configuration

cardinality

Compound detection Content Matches Looks for a match against any single
rule Exact Data (EDM) column from a profiled Patient Data
database record.

Content Matches Data See “National Drug Code (NDC) data

Identifier identifier” on page 694.

The Table 37-24 requires a Patient Data condition match in combination with a
keyword from the "Prescription Drug Names" keyword dictionary.

Table 37-24 Patient Data and Prescription Drug Names detection rule

Method and Condition type Configuration

cardinality

Compound detection Content Matches Looks for a match against any single
rule Exact Data (EDM) column from a profiled Patient Data
database record.

Content Matches
Keyword (DCM)

The Table 37-25 requires a Patient Data condition match in combination with a
keyword from the "Medical Treatment Keywords" keyword dictionary.

Table 37-25 Patient Data and Treatment Keywords detection rule

Method and Condition type Configuration

cardinality

Compound detection Content Matches Looks for a match against any single
rule Exact Data (EDM) column from a profiled Patient Data
database record.

Content Matches
Keyword (DCM)

The Table 37-26 requires a Patient Data condition match in combination with a
keyword from the "Disease Names" keyword dictionary.
752 Policy templates
HIPAA and HITECH (including PHI) policy template

Table 37-26 Patient Data and Disease Keywords detection rule

Method and Condition type Configuration

cardinality

Compound detection Content Matches Looks for a match against any single
rule Exact Data (EDM) column from a profiled Patient Data
database record.

Content Matches
Keyword (DCM)

The Table 37-27 looks for a social security number using the US Social Security
Number (SSN) system Data Identifier (narrow breadth) and for a keyword from
the "Prescription Drug Names" keyword dictionary.

Table 37-27 SSN and Drug Keywords detection rule

Method and Condition type Configuration

cardinality

Compound detection Content Matches Data US Social Security Number (SSN) system
rule Identifier Data Identifier (narrow breadth)

See “US Social Security Number (SSN) data

identifier” on page 718.

Content Matches "Prescription Drug Names" keyword

Keyword dictionary

The Table 37-28 rule looks for the social security number using the US SSN system
Data Identifier (narrow breadth) and for a match from the "Medical Treatment
Keywords" keyword dictionary.

Table 37-28 SSN and Treatment Keywords detection rule

Method and Condition type Configuration

cardinality

Compound detection Content Matches Data US Social Security Number (SSN) system
rule Identifier Data Identifier (narrow breadth)

See “US Social Security Number (SSN) data

identifier” on page 718.

Content Matches "Medical Treatment Keywords" keyword

Keyword dictionary
 Policy templates 753
Human Rights Act 1998 policy template

The Table 37-29 rule looks for the social security number using the US SSN system
Data Identifier (narrow breadth) and for a match from the "Disease Names"
keyword dictionary.

Table 37-29 SSN and Disease Keywords detection rule

Method and Condition type Configuration

cardinality

Compound detection Content Matches Data US Social Security Number (SSN) system
rule Identifier Data Identifier (narrow breadth)

See “US Social Security Number (SSN) data

identifier” on page 718.

Content Matches "Disease Names" keyword dictionary

Keyword

The Table 37-30 rule looks for the social security number using the US SSN system
Data Identifier (narrow breadth) and for a drug code using the Drug Code system
Data Identifier (narrow breadth).

Table 37-30 SSN and Drug Code detection rule

Method and Condition type Configuration

cardinality

Compound detection Content Matches Data US SSN system Data Identifier (narrow
rule Identifier breadth)
See “US Social Security Number (SSN) data
identifier” on page 718.

Content Matches Drug Code system Data Identifier (narrow

Keyword breadth)

See “National Drug Code (NDC) data

identifier” on page 694.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

Human Rights Act 1998 policy template

The Human Rights Act 1998 allows UK citizens to assert their rights under the
European Convention on Human Rights in UK courts and tribunals. The Act states
that "so far as possible to do so, legislation must be read and given effect in a way
754 Policy templates
Illegal Drugs policy template

which is compatible with convention rights." The Human Rights Act 1998 policy
enforces Article 8 by ensuring that the private lives of British citizens stay private.

EDM Rule UK Data Protection Act, Personal Data

This compound rule looks for two data types, last name and electoral
roll number, in combination with a keyword from the "UK Personal
Data Keywords" dictionary.

DCM Rule UK Electoral Roll Numbers

This rule looks for a single compound condition with four parts:

■ A single keyword from the "UK Keywords" dictionary

■ A pattern matching that of the UK Electoral Roll Number data
identifier
■ A single keyword from the "UK Electoral Roll Number Words"
dictionary
■ A single keyword from the "UK Personal Data Keywords" dictionary

See “Choosing an Exact Data Profile” on page 365.

See “Configuring policies” on page 370.
See “Exporting policy detection as a template” on page 394.

Illegal Drugs policy template

This policy detects conversations about illegal drugs and controlled substances.

DCM Rule Street Drugs

This rule looks for five instances of keywords from the "Street Drug
Names" dictionary.

DCM Rule Mass Produced Controlled Substances

This rule looks for five instances of keywords from the "Manufactured
Controlled Substances" dictionary.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.
 Policy templates 755
Individual Taxpayer Identification Numbers (ITIN) policy template

Individual Taxpayer Identification Numbers (ITIN)

policy template
An Individual Taxpayer Identification Number (ITIN) is a tax processing number
issued by the US Internal Revenue Service (IRS). The IRS issues ITINs to track
individuals are not eligible to obtain Social Security Numbers (SSNs).

DCM Rules ITIN

This rule looks for a match to the US ITIN data identifier and a
keyword from the "US ITIN Keywords" dictionary.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

International Traffic in Arms Regulations (ITAR) policy

template
The International Traffic in Arms Regulations (ITAR) are enforced by the US
Department of State. Exporters of defense services or related technical data are
required to register with the federal government and may need export licenses.
This policy detects potential violations based on countries and controlled assets
designated by the ITAR.
The Indexed ITAR Munition Items and Recipients detection rule looks for a country
code in the recipient from the "ITAR Country Codes" dictionary and for a specific
"SKU" from an indexed EDM file.

Table 37-31 Indexed ITAR Munition Items and Recipients detection rule

Method Conditions (both Configuration

must match)

Compound rule Recipient Matches Match recipient email or URL domain from ITAR
Pattern (DCM) Country Codes list:

■ Severity: High.
■ Check for existence.
■ At least 1 recipient(s) must match.

Content Matches See “Choosing an Exact Data Profile” on page 365.

Exact Data (EDM)
756 Policy templates
Media Files policy template

The ITAR Munitions List and Recipients detection rule looks for both a country
code in the recipient from the "ITAR Country Codes" dictionary and a keyword
from the "ITAR Munition Names" dictionary.

Table 37-32 ITAR Munitions List and Recipients detection rule

Method Conditions (both Configuration

must match)

Compound rule Recipient Matches Match recipient email or URL domain from ITAR
Pattern (DCM) Country Codes list:

■ Severity: High.
■ Check for existence.
■ At least 1 recipient pattern must match.

Content Matches Match any keyword from the ITAR Munitions List:
Keyword (DCM)
■ Severity: High.
■ Check for existence.
■ Look in envelope, subject, body, attachments.
■ Case insensitive.
■ Match on whole words only.
■ Severity: High.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

Media Files policy template

The Media Files policy detects various types of video and audio files (including
mp3).
 Policy templates 757
Merger and Acquisition Agreements policy template

DCM Rule Media Files

This rule looks for the following media file types:

■ qt
■ riff
■ macromedia_dir
■ midi
■ mp3
■ mpeg_movie
■ quickdraw
■ realaudio
■ wav
■ video_win
■ vrml

DCM Rule Media Files Extensions

This rule looks for file name extensions from the "Media Files
Extensions" dictionary.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

Merger and Acquisition Agreements policy template

The Mergers and Acquisition Agreements policy template detects contracts and
official documentation concerning merger and acquisition activity.
You can modify this template with company-specific code words to detect specific
deals.
The Merger and Acquisition Agreements template provides a single compound
detection rule. All conditions in the rule must match for the rule to trigger an
incident.
758 Policy templates
Merger and Acquisition Agreements policy template

Table 37-33 Merger and Acquisition Agreements compound detection rule

Condition Configuration

Contract Specific ■ Match any keyword: merger, agreement, contract, letter of

Keywords (Keyword intent, term sheet, plan of reorganization
Match) ■ Severity: High.
■ Check for existence.
■ Look in envelope, subject, body, attachments.
■ Case insensitive.
■ Match on whole words only.

Acquisition Corporate ■ Match any keyword: subsidiary, subsidiaries, affiliate,

Structure Keywords acquiror, merger sub, covenantor, acquired company,
(Keyword Match) acquiring company, surviving corporation, surviving
company
■ Severity: High.
■ Check for existence.
■ Look in envelope, subject, body, attachments.
■ Case insensitive.
■ Match on whole words only.

Merger Consideration ■ Match any keyword: merger stock, merger consideration,

Keywords (Keyword exchange shares, capital stock, dissenting shares, capital
Match) structure, escrow fund, escrow account, escrow agent, escrow
shares, escrow cash, escrow amount, stock consideration,
break-up fee, goodwill
■ Severity: High.
■ Check for existence.
■ Look in envelope, subject, body, attachments.
■ Case insensitive.
■ Match on whole words only.

Legal Contract ■ Match any keyword: recitals, in witness whereof, governing

Keywords (Keyword law, Indemnify, Indemnified, indemnity, signature page, best
Match) efforts, gross negligence, willful misconduct,authorized
representative, severability, material breach
■ Severity: High.
■ Check for existence.
■ Look in envelope, subject, body, attachments.
■ Case insensitive.
■ Match on whole words only.

See “Configuring policies” on page 370.

 Policy templates 759
NASD Rule 2711 and NYSE Rules 351 and 472 policy template

See “Exporting policy detection as a template” on page 394.

NASD Rule 2711 and NYSE Rules 351 and 472 policy
template
This policy protects the name(s) of any companies involved in an upcoming stock
offering, internal project names for the offering, and the stock ticker symbols for
the offering companies.
The NASD Rule 2711 Documents, Indexed detection rule looks for content from
specific documents registered as sensitive and known to be subject to NASD Rule
2711 or NYSE Rules 351 and 472. This rule returns a match if 80% or more of the
source document is found.

Table 37-34 NASD Rule 2711 Documents, Indexed detection rule

Method Condition Configuration

Simple rule Content NASD Rule 2711 Documents, Indexed (IDM):

Matches
■ Detect documents in selected Indexed Document Profile
Document
■ Require at least 80% content match.
Signature
(IDM) ■ Severity: High.
■ Check for existence.
■ Look in body, attachments.

See “Choosing an Indexed Document Profile” on page 366.

The NASD Rule 2711 and NYSE Rules 351 and 472 detection rule is a compound
rule that contains a sender condition and a keyword condition. The sender
condition is based on a user-defined list of email addresses of research analysts
at the user's company ("Analysts' Email Addresses" dictionary). The keyword
condition looks for any upcoming stock offering, internal project names for the
offering, and the stock ticker symbols for the offering companies ("NASD 2711
Keywords" dictionary). Like the sender condition, it requires editing by the user.
760 Policy templates
NASD Rule 3010 and NYSE Rule 342 policy template

Table 37-35 NASD Rule 2711 and NYSE Rules 351 and 472 detection rule

Method Condition Configuration

Compound Sender/User NASD Rule 2711 and NYSE Rules 351 and 472 (Sender):
rule Matches
■ Match sender pattern(s)
Pattern (DCM)
[research_analyst@company.com] (user defined)
■ Severity: High.
■ Matches on entire message.

Content NASD Rule 2711 and NYSE Rules 351 and 472 (Keyword
Matches Match):
Keyword
■ Match "[company stock symbol]", "[name of offering
(DCM)
company]", "[offering name (internal name)]".
■ Severity: High.
■ Check for existence.
■ Look in envelope, subject, body, attachments.
■ Case insensitive.
■ Match on whole words only.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

NASD Rule 3010 and NYSE Rule 342 policy template

NASD Rule 3010 and NYSE Rule 342 require brokers-dealers to supervise certain
brokerage employees' communications. The NASD Rule 3010 and NYSE Rule 342
policy monitors the communications of registered principals who are subject to
these regulations.
The Stock Recommendation detection rule looks for a keyword from the "NASD
3010 Stock Keywords" dictionary and the "NASD 3010 Buy/Sell Keywords"
dictionary. In addition, this rule requires evidence of a stock recommendation in
combination with a buy or sell action.
 Policy templates 761
NASD Rule 3010 and NYSE Rule 342 policy template

Table 37-36 Stock Recommendation detection rule

Method Conditions (all Configuration

must match)

Compound rule Content Matches Match keyword: "recommend"

Keyword (DCM)
■ Severity: High.
■ Check for existence.
■ Look in envelope, subject, body, attachments.
■ Case insensitive.
■ Match on whole words only.

Content Matches Match keyword: "buy" or "sell"

Keyword (DCM)
■ Severity: High.
■ Check for existence.
■ Look in envelope, subject, body, attachments.
■ Case insensitive.
■ Match on whole words only.

Content Matches Match keyword: "stock, stocks, security, securities,

Keyword (DCM) share, shares"

■ Severity: High.
■ Check for existence.
■ Look in envelope, subject, body, attachments.
■ Case insensitive.
■ Match on whole words only.

The NASD Rule 3010 and NYSE Rule 342 Keywords detection rule looks for
keywords in the "NASD 3010 General Keywords" dictionary, which look for any
general stock broker activity, and stock keywords.
762 Policy templates
NERC Security Guidelines for Electric Utilities policy template

Table 37-37 NASD Rule 3010 and NYSE Rule 342 Keywords detection rule

Method Conditions (both Configuration

must match)

Compound rule Content Matches Match keyword: "authorize", "discretion",

Keyword (DCM) "guarantee", "options"

■ Severity: High.
■ Check for existence.
■ Look in envelope, subject, body, attachments.
■ Case insensitive.
■ Match on whole words only.

Content Matches Match keyword: "stock, stocks, security, securities,

Keyword (DCM) share, shares"

■ Severity: High.
■ Check for existence.
■ Look in envelope, subject, body, attachments.
■ Case insensitive.
■ Match on whole words only.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

NERC Security Guidelines for Electric Utilities policy

template
The North American Electric Reliability Council (NERC) Guideline for Protecting
Potentially Sensitive Information describes how to protect and secure data about
critical electricity infrastructure.
This policy detects the information outlined in the NERC security guidelines for
the electricity sector.
 Policy templates 763
NERC Security Guidelines for Electric Utilities policy template

Table 37-38 Key Response Personnel detection rule

Detection Match condition Configuration

method

Simple rule Content Matches Match any three of the following data items:
Exact Data (EDM)
■ First name
■ Last name
■ Phone
■ Email

See “Choosing an Exact Data Profile” on page 365.

Table 37-39 Network Infrastructure Maps detection rule

Detection Match condition Configuration

method

Simple rule Content Matches This rule requires an exact binary match.
Indexed Documents
See “Choosing an Indexed Document Profile”
(IDM)
on page 366.

The Sensitive Keywords and Vulnerability Keywords detection rule looks for any
keyword matches from the "Sensitive Keywords" dictionary and the "Vulnerability
Keywords" dictionary.
764 Policy templates
Network Diagrams policy template

Table 37-40 Sensitive Keywords and Vulnerability Keywords detection rule

Detection Match conditions Configuration

method

Compound rule Content Matches Match any Sensitive Keyword:

Keyword (DCM)
■ Severity: High.
■ Check for existence.
■ Look in envelope, subject, body,
attachments.
■ Case insensitive.
■ Match on whole words only.

Content Matches Match any Vulnerability Keyword:

Keyword (DCM)
■ Severity: High.
■ Check for existence.
■ Look in envelope, subject, body,
attachments.
■ Case insensitive.
■ Match on whole words only.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

Network Diagrams policy template

The Network Diagrams policy detects computer network diagrams at risk of
exposure.

IDM Rule Network Diagrams, Indexed

This rule looks for content from specific network diagrams that are
registered as confidential. This rule returns a match if 80% or more
of the source document is detected.

DCM Rule Network Diagrams with IP Addresses

This rule looks for a Visio file type in combination with an IP address
data identifier.

DCM Rule Network Diagrams with IP Address Keyword

This rule looks for a Visio file type in combination with phrase
variations of "IP address" with a data identifier.
 Policy templates 765
Network Security policy template

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

Network Security policy template

The Network Security policy detects evidence of hacking tools and attack planning.

DCM Rule GoToMyPC Activity

This rule looks for a GoToMyPC command format with a data

identifier.

DCM Rule Hacker Keywords

This rule looks for a keyword from the "Hacker Keywords" dictionary.

DCM Rule KeyLoggers Keywords

This rule looks for a keyword from the "Keylogger Keywords"

dictionary.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

Offensive Language policy template

The Offensive Language policy detects the use of offensive language.

DCM Rule Offensive Language, Explicit

This rule looks for any single keyword in the "Offensive Language,
Explicit" dictionary.

DCM Rule Offensive Language, General

This rule looks for any three instances of keywords in the "Offensive
Language, General" dictionary.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.
766 Policy templates
Office of Foreign Assets Control (OFAC) policy template

Office of Foreign Assets Control (OFAC) policy

template
The Office of Foreign Assets Control of the U.S. Department of the Treasury
administers and enforces economic and trade sanctions. These sanctions are based
on US foreign policy and national security goals against certain countries,
individuals, and organizations. The Office of Foreign Assets Control (OFAC) policy
detects communications involving these targeted groups.
The OFAC policy has two primary parts. The first deals with the Specially
Designated Nationals (SDN) list, and the second deals with general OFAC policy
restrictions.
The SDN list refers to specific people or organizations that are subject to trade
restrictions. The U.S. Treasury Department provides text files with specific names,
last known addresses, and known aliases for these individuals and entities. The
Treasury Department stipulates that the addresses may not be correct or current,
and different locations do not change the restrictions on people and organizations.
In the OFAC policy template, Symantec Data Loss Prevention has scrubbed the
list to make it more usable and practical. This includes extracting keywords and
key phrases from the list of names and aliases, since names do not always appear
in the same format as the list. Also, common names have been removed to reduce
false positives. For example, one organization on the SDN list is known as "SARA."
Leaving this on the list would generate a high false positive rate. "SARA Properties"
is another entry on the list. It is used as a key phrase in the template because the
incidence of this phrase is much lower than "SARA" alone. The list of names and
organizations is considered in combination with the commonly found countries
in the SDN address list. The top 12 countries on the list are considered, after again
removing more commonly occurring countries. The template looks for recipients
with any of the listed countries as the designated country code. This SDN list
minimizes false positives while still detecting transactions or communications
with known restricted parties.
The OFAC policy also provides guidance around the restrictions the U.S. Treasury
Department has placed on general trade with specific countries. This is distinct
from the SDN list, since individuals and organizations are not specified. The list
of general sanctions can be found here:
http://www.treasury.gov/offices/enforcement/ofac/programs/index.shtml
The Office of Foreign Assets Control (OFAC) template looks for recipients on the
OFAC- listed countries by designated country code.
The OFAC Special Designated Nationals List and Recipients detection rule looks
for a recipient with a country code matching entries in the "OFAC SDN Country
 Policy templates 767
Office of Foreign Assets Control (OFAC) policy template

Codes" specification in combination with a match on a keyword from the "Specially

Designated Nationals List" dictionary.

Table 37-41 OFAC Special Designated Nationals List and Recipients detection
rule

Method Condition Configuration

Compound Recipient OFAC Special Designated Nationals List and Recipients

rule Matches (Recipient):
Pattern (DCM)
■ Match email or URL domain by OFAC SDN Country
Code.
■ Severity: High.
■ Check for existence.
■ At least 1 recipient(s) must match.
■ Matches on the entire message.

Content Specially Designated Nationals List (Keyword Match):

Matches
■ Match keyword from the Specially Designated
Keyword (DCM)
Nationals List.
■ Severity: High.
■ Check for existence.
■ Look in envelope, subject, body, attachments.
■ Case insensitive.
■ Match on whole words only.

The Communications to OFAC countries detection rule looks for a recipient with
a country code matching entries from the "OFAC Country Codes" list.

Table 37-42 Communications to OFAC countries detection rule

Method Condition Configuration

Simple rule Recipient Communications to OFAC countries (Recipient):

Matches
■ Match email or URL domain by OFAC Country Code.
Pattern (DCM)
■ Severity: High.
■ Check for existence.
■ At least 1 recipient(s) must match.
■ Matches on the entire message.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.
768 Policy templates
OMB Memo 06-16 and FIPS 199 Regulations policy template

OMB Memo 06-16 and FIPS 199 Regulations policy

template
This policy detects information classified as confidential according to the
guidelines established in the Federal Information Processing Standards (FIPS)
Publication 199 from the National Institute of Standards and Technology (NIST).
NIST is responsible for establishing standards and guidelines for data security
under the Federal Information Security Management Act (FISMA).
This template contains three simple detection rules. If any rule reports a match,
the policy triggers an incident.
The High Confidentiality Indicators detection rule looks for any keywords in the
"High Confidentiality" dictionary.

Table 37-43 High Confidentiality Indicators detection rule

Method Condition Configuration

Simple rule Content High Confidentiality Indicators (Keyword Match):

Matches
■ Match "(confidentiality, high)", "(confidentiality,high)"
Keyword
■ Severity: High.
■ Check for existence.
■ Look in envelope, subject, body, attachments.
■ Case insensitive.
■ Match on whole words only.

The Moderate Confidentiality Indicators detection rule looks for any keywords
in the "Moderate Confidentiality" dictionary.

Table 37-44 Moderate Confidentiality Indicators detection rule

Method Condition Configuration

Simple rule Content Moderate Confidentiality Indicators (Keyword Match):

Matches
■ Match "(confidentiality, moderate)",
Keyword
"(confidentiality,moderate)"
■ Severity: High.
■ Check for existence.
■ Look in envelope, subject, body, attachments.
■ Case insensitive.
■ Match on whole words only.
 Policy templates 769
Password Files policy template

The Low Confidentiality Indicators detection rule looks for any keywords in the
"Low Confidentiality" dictionary.

Table 37-45 Low Confidentiality Indicators detection rule

Method Condition Configuration

Simple rule Content Low Confidentiality Indicators (Keyword Match):

Matches
■ Match "(confidentiality, low)", "(confidentiality,low)"
Keyword
■ Severity: High.
■ Check for existence.
■ Look in envelope, subject, body, attachments.
■ Case insensitive.
■ Match on whole words only.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

Password Files policy template

The Password Files policy detects password file formats, such as SAM, password,
and shadow.

DCM Rule Password Filenames

This rule looks for the file names "passwd" or "shadow."

DCM Rule /etc/passwd Format

This rule looks for a regular expression pattern with the /etc/passwd
format.

DCM Rule /etc/shadow Format

This rule looks for a regular expression pattern with the /etc/shadow
format.

DCM Rule SAM Passwords

This rule looks for a regular expression pattern with the SAM format.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.
770 Policy templates
Payment Card Industry (PCI) Data Security Standard policy template

Payment Card Industry (PCI) Data Security Standard

policy template
The Payment Card Industry (PCI) data security standards are jointly determined
by Visa and MasterCard to protect cardholders by safeguarding personally
identifiable information. Visa's Cardholder Information Security Program (CISP)
and MasterCard's Site Data Protection (SDP) program both work toward enforcing
these standards. The Payment Card Industry (PCI) Data Security Standards policy
detects Visa and MasterCard credit card number data.
The Card Numbers, Exact detection rule detects exact credit card numbers profiled
from a database or other data source.

Table 37-46 Credit Card Numbers, Exact detection rule

Method Condition Configuration

Simple rule Content This rule detects credit card numbers.

Matches Exact
See “Choosing an Exact Data Profile” on page 365.
Data (EDM)

The Credit Card Numbers, All detection rule detects credit card numbers using
the Credit Card Number system Data Identifier.

Table 37-47 Credit Card Numbers, All detection rule

Method Condition Configuration

Simple rule Content Credit Card Numbers, All (Data Identifiers):

Matches Data
■ Data Identifier: Credit Card Number (narrow)
Identifier
See “Credit Card Number data identifier” on page 668.
(DCM)
■ Severity: High.
■ Count all matches.
■ Look in envelope, subject, body, attachments.

The Magnetic Stripe Data for Credit Cards detection rule detects raw data from
the credit card magnetic stripe using the Credit Card Magnetic Stripe system Data
Identifier.
 Policy templates 771
PIPEDA policy template

Table 37-48 Magnetic Stripe Data for Credit Cards detection rule

Method Condition Configuration

Simple rule Content Magnetic Stripe Data for Credit Cards (Data Identifiers):
Matches Data
■ Data Identifier: Credit Card Magnetic Stripe
Identifier
(medium)
(DCM)
See “Credit Card Number data identifier” on page 668.
■ Data Severity: High.
■ Count all matches.
■ Look in envelope, subject, body, attachments.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

PIPEDA policy template

Canada's Personal Information Protection and Electronic Documents Act (PIPEDA)
protects personal information in the hands of private sector organizations. This
act provides guidelines for the collection, use, and disclosure of personal
information.
The PIPEDA policy detects customer data that PIPEDA regulations protect.
The PIPEDA detection rule looks for a match of two data items, with certain data
combinations excluded from matching.
772 Policy templates
PIPEDA policy template

Table 37-49 PIPEDA detection rule

Detection Description Excluded combinations

method
type

EDM The PIPEDA detection rule matches However, the following combinations do not
Rule any two of the following data items: create a match:

■ Last name ■ Last name, email

■ Bank card ■ Last name, phone
■ Medical account number ■ Last name, account number
■ Medical record ■ Last name, user name
■ Agency number
■ Account number
■ PIN
■ User name
■ Password
■ SIN
■ ABA routing number
■ Email
■ Phone
■ Mother's maiden name

See “Choosing an Exact Data

Profile” on page 365.

The PIPEDA Contact Info detection rule looks for a match of two data items, with
certain data combinations excepted from matching.

Table 37-50 PIPEDA Contact Info detection rule

Detection Description
method
type

EDM Rule This rule looks for any two of the following data columns:

■ Last name
■ Phone
■ Account number
■ User name
■ Email

See “Choosing an Exact Data Profile” on page 365.

 Policy templates 773
Price Information policy template

Table 37-51 Canadian Social Insurance Numbers detection rule

Detection Description
method
type

DCM Rule This rule implements the narrow breadth edition of the Canadian Social
Insurance Number data identifier.

See “Canadian Social Insurance Number narrow breadth” on page 664.

Table 37-52 ABA Routing Numbers detection rule

Detection Description
method
type

DCM Rule This rule implements the narrow breadth edition of the ABA Routing Number
data identifier.

See “ABA Routing Number narrow breadth” on page 660.

Table 37-53 Credit Card Numbers, All detection rule

Detection Description
method
type

DCM Rule This rule implements the narrow breadth edition of the Credit Card Number
data identifier.

See “Credit Card Number narrow breadth” on page 671.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

Price Information policy template

The Price Information policy detects specific SKU and pricing information at risk
of exposure.

EDM Rule Price Information

This rule looks for the combination of user-specified Stock Keeping

Unit (SKU) numbers and the price for that SKU number.
774 Policy templates
Project Data policy template

Note: This template contains one EDM detection rule. If you do not have an EDM
profile configured, or you are using Symantec Data Loss Prevention Standard,
this policy template is empty and contains no rule to configure.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.
See “About the Exact Data Profile” on page 411.

Project Data policy template

The Project Data policy detects discussions of sensitive projects.

IDM Rule Project Documents, Indexed

This rule looks for content from specific project data files registered
as proprietary. It returns a match if the engine detects 80% or more
of the source document.

DCM Rule Project Activity

This rule looks for any keywords in the "Sensitive Project Code Names"
dictionary, which is user-defined.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

Proprietary Media Files policy template

The Proprietary Media Files policy detects various types of video and audio files
that can be proprietary intellectual property of your organization at risk for
exposure.

IDM Rule Media Files, Indexed

This rule looks for content from specific media files registered as
proprietary.
 Policy templates 775
Publishing Documents policy template

DCM Rule Media Files

This rule looks for the following media file types:

■ qt
■ riff
■ macromedia_dir
■ midi
■ mp3
■ mpeg_movie
■ quickdraw
■ realaudio
■ wav
■ video_win
■ vrml

DCM Rule Media Files Extensions

This rule looks for file name extensions from the "Media Files
Extensions" dictionary.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

Publishing Documents policy template

The Publishing Documents policy detects various types of publishing documents,
such as Adobe FrameMaker files, at risk of exposure.

IDM Rule Publishing Documents, Indexed

This rule looks for content from specific publishing documents

registered as proprietary. It returns a match if the engine detects 80%
or more of the source document.

DCM Rule Publishing Documents

This rule looks for the specified file types:

■ qxpress
■ frame
■ aldus_pagemaker
■ publ
776 Policy templates
Racist Language policy template

DCM Rule Publishing Documents, extensions

This rule looks for specified file name extensions found in the
"Publishing Document Extensions" dictionary.

Note: Both file types and file name extensions are required for this policy because
the detection engine does not detect the true file type for all the required
documents. As such, the file name extension must be used with the file type.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

Racist Language policy template

The Racist Language policy detects the use of racist language.

DCM Rule Racist Language

This rule looks for any single keyword in the "Racist Language"
dictionary.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

Restricted Files policy template

The Restricted Files policy detects various file types that are generally
inappropriate to send out of the company, such as Microsoft Access and executable
files.

DCM Rule MSAccess Files and Executables

This rule looks for files of the specified types: access, exe, and exe_unix.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

Restricted Recipients policy template

The Restricted Recipients policy detects communications with specified recipients,
such as former employees.
 Policy templates 777
Resumes policy template

DCM Rules Restricted Recipients

This rule looks for messages to recipients with email addresses in the
"Restricted Recipients" dictionary.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

Resumes policy template

The Resumes policy detects active job searches.

EDM Rule Resumes, Employee

This rule is a compound rule with two conditions; both must match
to trigger an incident. This rule contains an EDM condition for first
and last names of employees provided by the user. This rule also looks
for a specific file type attachment (.doc) that is less than 50 KB and
contains at least one keyword from each of the following dictionaries:

■ Job Search Keywords, Education

■ Job Search Keywords, Work
■ Job Search Keywords, General

DCM Rule Resumes, All

This rule looks for files of a specified type (.doc) that are less than 50
KB and match at least one keyword from each of the following
dictionaries:

■ Job Search Keywords, Education

■ Job Search Keywords, Work
■ Job Search Keywords, General

DCM Rule Job Search Websites

This rule looks for URLs of Web sites that are used in job searches.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.
See “About the Exact Data Profile” on page 411.
778 Policy templates
Sarbanes-Oxley policy template

Sarbanes-Oxley policy template

The US Sarbanes-Oxley Act (SOX) imposes requirements on financial accounting,
including the preservation of data integrity and the ability to create an audit trail.
The Sarbanes-Oxley policy detects sensitive financial data.
The Sarbanes-Oxley Documents, Indexed detection rule looks for content from
specific documents registered as being subject to Sarbanes-Oxley Act. This rule
returns a match if 80% or more of the source document is found.

Table 37-54 Sarbanes-Oxley Documents, Indexed detection rule

Method Condition Configuration

Simple rule Content Matches See “Choosing an Indexed Document Profile” on page 366.
Indexed
Document
Profile

The SEC Fair Disclosure Regulation compound detection rule looks for the
following conditions; all must be satisfied for the rule to trigger an incident:
■ The SEC Fair Disclosure keywords indicate possible disclosure of advance
financial information ("SEC Fair Disclosure Keywords" dictionary).
■ An attachment or file type that is a commonly used document or spreadsheet
format. The detected file types are Microsoft Word, Excel Macro, Excel, Works
Spreadsheet, SYLK Spreadsheet, Corel Quattro Pro, WordPerfect, Lotus 123,
Applix Spreadsheets, CSV, Multiplan Spreadsheet, and Adobe PDF.
■ The company name keyword list requires editing by the user, which can include
any name, alternate name, or abbreviation that might indicate a reference to
the company.
 Policy templates 779
Sarbanes-Oxley policy template

Table 37-55 SEC Fair Disclosure Regulation detection rule

Method Condition Configuration

Compound Content Matches SEC Fair Disclosure Regulation (Keyword Match):

rule Keyword
■ Match keyword: earnings per share, forward
guidance
■ Severity: High.
■ Check for existence.
■ Look in envelope, subject, body, attachments.
■ Case insensitive.
■ Match on whole words only.
■ Match on same component.
The keyword must be in the attachment or file type
detected by that condition.

Message SEC Fair Disclosure Regulation (Attachment/File Type):

Attachment or
■ File type detected: excel_macro, xls, works_spread,
File Type Match
sylk, quattro_pro, mod, csv, applix_spread, 123, doc,
wordperfect, and pdf.
■ Severity: High.
■ Match on: Attachments and same component.

Content Matches SEC Fair Disclosure Regulation (Keyword Match):

Keyword
■ Match "[company name]"
■ Severity: High.
■ Check for existence.
■ Look in envelope, subject, body, attachments.
■ Case insensitive.
■ Match on whole words only.
■ Match on same component.
The keyword must be in the attachment or file type
detected by that condition.

The Financial Information detection rule looks for a specific file type containing
a word from the "Financial Keywords" dictionary and a word from the
"Confidential/Proprietary Words" dictionary. The spreadsheet file types detected
are Microsoft Excel Macro, Microsoft Excel, Microsoft Works Spreadsheet, SYLK
Spreadsheet, Corel Quattro Pro, and more.
780 Policy templates
SEC Fair Disclosure Regulation policy template

Table 37-56 Financial Information detection rule

Method Condition Configuration

Compound Content Matches Financial Information (Attachment/File Type):

rule Indexed
■ Match file type: excel_macro, xls, works_spread, sylk,
Document
quattro_pro, mod, csv, applix_spread, Lotus 1-2-3
Profile
■ Severity: High.
■ Match on attachments, same component.

Content Matches Financial Information (Keyword Match):

Keyword
■ Match "accounts receivable turnover", "adjusted
gross margin", "adjusted operating expenses",
"adjusted operating margin", "administrative
expenses", ....
■ Severity: High.
■ Check for existence.
■ Look in envelope, subject, body, attachments.
■ Case insensitive.
■ Match on whole words only.
■ Keyword must be detected in the attachment (same
component).

Content Matches Financial Information (Keyword Match):

Keyword
■ Match "confidential", "internal use only",
"proprietary".
■ Severity: High.
■ Check for existence.
■ Look in envelope, subject, body, attachments.
■ Case insensitive.
■ Match on whole words only.
■ Keyword must be detected in the attachment (same
component).

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

SEC Fair Disclosure Regulation policy template

The US SEC Selective Disclosure and Insider Trading Rules prohibit public
companies from selectively divulging material information to analysts and
institutional investors before its general release to the public.
 Policy templates 781
SEC Fair Disclosure Regulation policy template

The SEC Fair Disclosure Regulation template detects data indicating disclosure
of material financial information.
The SEC Fair Disclosure Regulation Documents, Indexed (IDM) detection rule
looks for content from specific documents subject to SEC Fair Disclosure
regulation. This rule returns a match if 80% or more of the source document
content is found.

Table 37-57 SEC Fair Disclosure Regulation Documents, Indexed (IDM) detection
rule

Method Condition Configuration

Simple rule Content SEC Fair Disclosure Regulation Documents, Indexed

Matches (IDM):
Document
■ Detect documents from the selected Indexed
Signature
Document Profile.
(IDM)
See “Choosing an Indexed Document Profile”
on page 366.
■ Match documents with at least 80% content match.
■ Severity: High.
■ Check for existence.
■ Look in body, attachments.

The SEC Fair Disclosure Regulation detection rule looks for the a keyword match
from the "SEC Fair Disclosure Keywords" dictionary, an attachment or file type
that is a commonly used document or spreadsheet, and a keyword match from
the "Company Name Keywords" dictionary.
All three conditions must be satisfied for the rule to trigger an incident:
■ The SEC Fair Disclosure keywords indicate possible disclosure of advance
financial information.
■ The file types detected are Microsoft Word, Excel Macro, Excel, Works
Spreadsheet, SYLK Spreadsheet, Corel Quattro Pro, WordPerfect, Lotus 123,
Applix Spreadsheets, CSV, Multiplan Spreadsheet, and Adobe PDF.
■ The company name keyword list requires editing by the user, which can include
any name, alternate name, or abbreviation that might indicate a reference to
the company.
782 Policy templates
Sexually Explicit Language policy template

Table 37-58 SEC Fair Disclosure Regulation detection rule

Method Condition Configuration

Compound Content SEC Fair Disclosure Regulation (Keyword Match):

rule Matches
■ Match "earnings per share", "forward guidance".
Keyword (DCM)
■ Severity: High.
■ Check for existence.
■ Look in envelope, subject, body, attachments.
■ Case insensitive.
■ Match on whole words only.

Message SEC Fair Disclosure Regulation (Attachment/File Type):

Attachment or
■ Match file type: excel_macro, xls, works_spread, sylk,
File Type Match
quattro_pro, mod, csv, applix_spread, 123, doc,
(DCM)
wordperfect, pdf
■ Severity: High.
■ Match on attachments.
■ Require content match to be in the same component
(attachment).

Content SEC Fair Disclosure Regulation (Keyword Match):

Matches
■ Match "[company name]" (user defined)
Keyword (DCM)
■ Severity: High.
■ Check for existence.
■ Look in envelope, subject, body, attachments, same
component.
■ Case insensitive.
■ Match on whole words only.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

Sexually Explicit Language policy template

The Sexually Explicit Language policy detects vulgar, sexually explicit, and
pornographic language content.

DCM Rule Sexually Explicit Keywords, Confirmed

This rule looks for any single keyword in the "Sex. Explicit Keywords,
Confirmed" dictionary.
 Policy templates 783
Source Code policy template

DCM Rule Sexually Explicit Keywords, Suspected

This rule looks for any three instances of keywords in the "Sex. Explicit
Words, Suspect" dictionary.

DCM Rule Sexually Explicit Keywords, Possible

This rule looks for any three instances of keywords in the "Sex. Explicit
Words, Possible" dictionary.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

Source Code policy template

The Source Code policy detects various types of source code at risk of exposure.

IDM Rule Source Code Documents

This rule looks for specific user-provided source code using IDM. This
rule returns a match if it detects 80% or more of the source document.

DCM Rule Source Code Extensions

This rule looks for file name extensions from the "Source Code
Extensions" dictionary.

DCM Rule Java Source Code

This rule looks for the Java Import Statements or Java Class Files
regular expression.

DCM Rule C Source Code

This rule looks for the C Source Code regular expression.

DCM Rule VB Source Code

This rule looks for the VB Source Code regular expression.

DCM Rule PERL Source Code

This rule looks for the three different PERL-related system patterns
and regular expressions.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.
784 Policy templates
State Data Privacy policy template

State Data Privacy policy template

Many states in the US have adopted statutes mandating data protection and public
disclosure of information security breaches in which confidential data of
individuals is compromised. The State Data Privacy policy detects these breaches
of confidentiality.
The Email to Affiliates detection exception is evaluated first and applies to email
messages sent to affiliates who are legitimately allowed to receive information
covered under the State Data Privacy regulations.

Table 37-59 Email to Affiliates detection exception

Method Condition(s) Configuration

Simple Recipient Matches Email to Affiliates (Recipient):

exception Pattern (DCM)
■ Match email: [affiliate1],[affiliate2].
The "Affiliate Domains" requires editing by the
user.
■ At least 1 recipient(s) must match.
■ Matches on the entire message.

The State Data Privacy, Consumer Data detection rule looks for an exact match
on any three data items, except certain combinations.
 Policy templates 785
State Data Privacy policy template

Table 37-60 State Data Privacy, Consumer Data detection rule

Method Condition Configuration

Simple rule Content matches This rule looks for a match on any three data items:
Exact Data (EDM)
■ First name
■ Last name
■ Tax payer ID
■ Bank card
■ Account
■ PIN
■ State ID
■ Drivers license
■ Password
■ ABA number
■ Date of birth

However, the following combinations do not match:

■ First name, last name, pin

■ First name, last name, password

See “Choosing an Exact Data Profile” on page 365.

The US Social Security Number Patterns detection rule implements the US SSN
narrow breadth system Data Identifier to detect social security numbers.

Table 37-61 US Social Security Number Patterns detection rule

Detection Condition type Configuration

method

Simple rule Content Matches US Social Security Number Patterns:

Data Identifier
■ See “US Social Security Number (SSN) narrow
(DCM)
breadth” on page 721.
■ Severity: High.
■ Count all matches.
■ Look in envelope, subject, body, attachments.

The ABA Routing Numbers detection rule implements the ABA Routing Number
data identifier.
786 Policy templates
State Data Privacy policy template

Table 37-62 ABA Routing Numbers detection rule

Method Condition Configuration

Simple rule Content Matches ABA Routing Numbers:

Data Identifier
■ See “ABA Routing Number narrow breadth”
(DCM)
on page 660.
■ Severity: High.
■ Count all matches.
■ Look in envelope, subject, body, attachments.

The Credit Card Numbers, All detection rule looks for a word from the "Credit
Card Number Keywords" dictionary and the credit card number system pattern.

Table 37-63 Credit Card Numbers, All detection rule

Method Condition Configuration

Simple rule Content Matches Credit Card Numbers, All (Data Identifiers):
Data Identifier
■ Credit Card Number
(DCM)
See “Credit Card Number narrow breadth”
on page 671.
■ Severity: High.
■ Count all matches.
■ Look in envelope, subject, body, attachments

The CA Drivers License Numbers detection rule looks for a match for the CA
drivers license number pattern, a match for a data identifier for terms relating
to "drivers license," and a keyword from the "California Keywords" dictionary.

Table 37-64 CA Drivers License Numbers detection rule

Detection Condition type Configuration

method

Simple rule Content Matches See “Drivers License Number – CA State data
Data Identifier identifier” on page 676.
(DCM)

The NY Drivers License Numbers detection rule looks for a match for the NY
drivers license number pattern, a match for a regular expression for terms relating
to "drivers license," and a keyword from the "New York Keywords" dictionary.
 Policy templates 787
State Data Privacy policy template

Table 37-65 NY Drivers License Numbers detection rule

Detection Condition type Configuration

method

Simple rule Content Matches See “Drivers License Number - NY State data
Data Identifier identifier” on page 682.
(DCM)

The FL, MI, and MN Drivers License Numbers detection rule looks for a match for
the stated drivers license number pattern, a match for a regular expression for
terms relating to "drivers license," and a keyword from the "Letter/12 Num. DLN
State Words" dictionary (namely, Florida, Minnesota, and Michigan).

Table 37-66 FL, MI, and MN Drivers License Numbers detection rule

Method Condition Configuration

Simple rule Content Matches See “Drivers License Number - FL, MI, MN States data
Data Identifier identifier” on page 677.
(DCM)

The IL Drivers License Numbers detection rule looks for a match for the IL drivers
license number pattern, a match for a regular expression for terms relating to
"drivers license," and a keyword from the "Illinois Keywords" dictionary.

Table 37-67 IL Drivers License Numbers detection rule

Detection Condition type Configuration

method

Simple rule Content Matches See “Drivers License Number - IL State data
Data Identifier identifier” on page 679.
(DCM)

The NJ Drivers License Numbers detection rule looks for a match for the NJ drivers
license number pattern, a match for a regular expression for terms relating to
"drivers license," and a keyword from the "New Jersey Keywords" dictionary.
788 Policy templates
SWIFT Codes policy template

Table 37-68 NJ Drivers License Numbers detection rule

Detection Condition type Configuration

method

Simple rule Content Matches This condition implements the Driver's License
Data Identifier Number- NJ State medium breadth system Data
(DCM) Identifier.

See “Drivers License Number- NJ State medium

breadth” on page 682.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

SWIFT Codes policy template

The Society for Worldwide Interbank Financial Telecommunication (SWIFT) is a
cooperative organization under Belgian law and is owned by its member financial
institutions. The SWIFT code (also known as a Bank Identifier Code, BIC, or ISO
9362) has a standard format to identify a bank, location, and the branch involved.
These codes are used when transferring money between banks, particularly across
international borders.

DCM Rule SWIFT Code Regular Expression

This rule looks for a match to the SWIFT code regular expression and
a keyword from the "SWIFT Code Keywords" dictionary.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

Symantec DLP Awareness and Avoidance policy

template
The Symantec DLP Awareness & Avoidance policy detects any communications
that refer to Symantec Data Loss Prevention or data loss prevention systems and
possible avoidance of detection. The Symantec DLP Awareness & Avoidance policy
is most useful for the deployments that are not widely known among monitored
users.
 Policy templates 789
UK Drivers License Numbers policy template

DCM Rule Symantec DLP Awareness

Checks for a keyword match from the "Symantec DLP Awareness"

dictionary.

DCM Rule Symantec DLP Avoidance

This rule is a compound rule with two conditions; both must be

matched to trigger an incident. This rule looks for a keyword match
from the "Symantec DLP Awareness" dictionary and a keyword from
the "Symantec DLP Avoidance" dictionary.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

UK Drivers License Numbers policy template

The UK Drivers License Numbers policy detects UK Drivers License Numbers
using the official specification of the UK Government Standards of the UK Cabinet
Office.

DCM Rule UK Drivers License Numbers

This rule is a compound rule with the following conditions:

■ A single keyword from the "UK Keywords" dictionary

■ The pattern matching that of the UK drivers license data identifier
■ Different combinations of the phrase "drivers license" using a data
identifier

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

UK Electoral Roll Numbers policy template

The UK Electoral Roll Numbers policy detects UK Electoral Roll Numbers using
the official specification of the UK Government Standards of the UK Cabinet
Office.
790 Policy templates
UK National Health Service (NHS) Number policy template

DCM Rule UK Electoral Roll Numbers

This rule is a compound rule with the following conditions:

■ A single keyword from the "UK Keywords" dictionary

■ A pattern matching the UK Electoral Roll Number data identifier
■ A single keyword from the "UK Electoral Roll Number Words"
dictionary

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

UK National Health Service (NHS) Number policy

template
The UK National Health Service (NHS) Number policy detects the personal
identification number issued by the U.K. National Health Service (NHS) for
administration of medical care.

DCM Rule UK NHS Numbers

This rule looks for a single compound condition with two parts: either
new or old style National Health Service numbers and a single keyword
from the "UK NHS Keywords" dictionary.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

UK National Insurance Numbers policy template

The National Insurance Number is issued to individuals by the UK Department
for Work and Pensions and Inland Revenue (DWP/IR) for administering the
national insurance system. The UK National Insurance Numbers policy detects
these insurance policy numbers.

DCM Rule UK National Insurance Numbers

This rule looks for a match to the UK National Insurance number data
identifier and a keyword from the dictionary "UK NIN Keywords."

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.
 Policy templates 791
UK Passport Numbers policy template

UK Passport Numbers policy template

The UK Passport Numbers policy detects valid UK passports using the official
specification of the UK Government Standards of the UK Cabinet Office.

DCM Rule UK Passport Numbers (Old Type)

This rule looks for a keyword from the "UK Passport Keywords"
dictionary and a pattern matching the regular expression for UK
Passport Numbers (Old Type).

DCM Rule UK Passport Numbers (New Type)

This rule looks for a keyword from the "UK Passport Keywords"
dictionary and a pattern matching the regular expression for UK
Passport Numbers (New Type).

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

UK Tax ID Numbers policy template

The UK Tax ID Numbers policy detects UK Tax ID Numbers using the official
specification of the UK Government Standards of the UK Cabinet Office.

DCM Rule UK Tax ID Numbers

This rule looks for a match to the UK Tax ID number data identifier
and a keyword from the dictionary "UK Tax ID Number Keywords."

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

US Intelligence Control Markings (CAPCO) and DCID

1/7 policy template
The US Intelligence Control Markings (CAPCO) & DCID 1/7 policy detects
authorized terms to identify classified information in the US Federal Intelligence
community as defined in the Control Markings Register, which is maintained by
the Controlled Access Program Coordination Office (CAPCO) of the Community
Management Staff (CMS). The register was created in response to the Director of
Central Intelligence Directive (DCID) 1/7.
This rule looks for a keyword match on the phrase "TOP SECRET."
792 Policy templates
US Intelligence Control Markings (CAPCO) and DCID 1/7 policy template

Table 37-69 Top Secret Information detection rule

Method Condition Configuration

Simple rule Content Matches Match "TOP SECRET//"

Keyword (DCM)
■ Severity: High.
■ Check for existence.
■ Look in envelope, subject, body, attachments.
■ Case sensitive.
■ Match on whole or partial words.

This rule looks for a keyword match on the phrase "SECRET."

Table 37-70 Secret Information detection rule

Method Condition Configuration

Simple rule Content Matches Match "SECRET//"

Keyword (DCM)
■ Severity: High.
■ Check for existence.
■ Look in envelope, subject, body, attachments.
■ Case sensitive.
■ Match on whole or partial words.

This rule looks for a keyword match on the phrases "CLASSIFIED" or

"RESTRICTED."

Table 37-71 Classified or Restricted Information (Keyword Match) detection rule

Method Condition Configuration

Simple rule Content Matches Match "CLASSIFIED//,//RESTRICTED//"

Keyword (DCM)
■ Severity: High.
■ Check for existence.
■ Look in envelope, subject, body, attachments.
■ Case sensitive.
■ Match on whole or partial words.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.
 Policy templates 793
US Social Security Numbers policy template

US Social Security Numbers policy template

The US Social Security Numbers policy detects patterns indicating social security
numbers at risk of exposure.

DCM Rule US Social Security Number Patterns

This rule looks for a match to the social security number regular
expression and a keyword from the dictionary "US SSN Keywords."

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

Violence and Weapons policy template

The Violence and Weapons policy detects violent language and discussions about
weapons.

DCM Rule Violence and Weapons

This rule is a compound rule with two conditions; both must match
to trigger an incident. This rule looks for a keyword from the "Violence
Keywords" dictionary and a keyword from the "Weapons Keywords"
dictionary.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

Webmail policy template

The Webmail policy detects the use of a variety of Webmail services, including
Yahoo, Google, and Hotmail.

Table 37-72
Name Type Condition(s) Description

Yahoo Compound Recipient Matches This condition checks for the URL domain
detection rule Pattern (DCM) mail.yahoo.com.

Content Matches This condition checks for the keyword

Keyword (DCM) ym/compose.
794 Policy templates
Yahoo Message Board Activity policy template

Table 37-72 (continued)

Name Type Condition(s) Description

Hotmail Compound Recipient Matches This condition checks for the URL domain
detection rule Pattern (DCM) hotmail.msn.com.

Content Matches This condition checks for the keyword

Keyword (DCM) compose?&curmbox.

Go Compound Recipient Matches This condition checks for the URL

detection rule Pattern (DCM) gomailus.go.com.

Content Matches This condition checks for the keyword

Keyword (DCM) compose.

AOL Compound Recipient Matches This condition checks for the URL domain
detection rule Pattern (DCM) aol.com.

Content Matches This condition checks for the keyword

Keyword (DCM) compose.

Gmail Compound Recipient Matches This condition checks for the URL domain
detection rule Pattern (DCM) gmail.google.com.

Content Matches This condition checks for the keyword

Keyword (DCM) gmail.

See “Configuring policies” on page 370.

See “Exporting policy detection as a template” on page 394.

Yahoo Message Board Activity policy template

The Yahoo Message Board policy template detects Yahoo message board activity.
The Yahoo Message Board detection rule is a compound method that looks for
messages posted to the Yahoo message board you specify.
Table 37-73 describes its configuration details.
 Policy templates 795
Yahoo Message Board Activity policy template

Table 37-73 Yahoo Message Board detection rule

Method Condition Configuration

Compound Content Matches Yahoo Message Board (Keyword Match):

rule Keyword (DCM)
■ Case insensitive.
■ Match Keyword: post.messages.yahoo.com/bbs.
■ Match on whole words only.
■ Check for existence (do not count multiple matches).
■ Look in envelope, subject, body, attachments.
■ Match must occur in the same component for both
conditions.

AND

Content Matches Yahoo Message Board (Keyword Match):

Keyword (DCM)
■ Case insensitive.
■ Match Keyword: board=<enter board number>.
■ Match on whole words only.
■ Check for existence (do not count multiple matches).
■ Look in envelope, subject, body, attachments.
■ Match must occur in the same component for both
conditions.

The Finance Message Board URL detection rule detects messages posted to the
Yahoo Finance message board.
Table 37-74 describes its configuration.

Table 37-74 Finance Message Board URL detection rule

Method Condition Configuration

Simple Content Matches Finance Message Board URL (Keyword Match):

rule Keyword (DCM)
■ Case insensitive.
■ Match Keyword: messages.finance.yahoo.com.
■ Match on whole words only.
■ Check for existence (do not count multiple matches).
■ Look in envelope, subject, body, attachments.

The Board URLs detection rule detects messages posted to the Yahoo or Yahoo
Finance message boards by the URL of either.
Table 37-75 describes its configuration details.
796 Policy templates
Yahoo and MSN Messengers on Port 80 policy template

Table 37-75 Board URLs detection rule

Method Condition Configuration

Simple Recipient Matches Board URLs (Recipient):

rule Pattern (DCM)
■ Recipient URL:
messages.yahoo.com,messages.finance.yahoo.com.
■ At least 1 recipient(s) must match.
■ Matches on the entire message (not configurable).

See “Creating a policy from a template” on page 355.

See “Exporting policy detection as a template” on page 394.

Yahoo and MSN Messengers on Port 80 policy

template
The Yahoo and MSN Messengers on Port 80 policy detects Yahoo and MSN
Messenger activity over port 80.
The Yahoo IM detection rule looks for keyword matches on both ymsg and
shttp.msg.yahoo.com.
 Policy templates 797
Yahoo and MSN Messengers on Port 80 policy template

Table 37-76 Yahoo IM detection rule

Method Condition Configuration

Yahoo IM (Keyword Match):

■ Case insensitive.
■ Match keyword: ymsg.
■ Match on whole words only.
Content Matches ■ Count all matches and report an incident for each
Keyword (DCM) match.
■ Look for matches in the envelope, subject, body, and
attachments.
■ Match must occur in the same component for both
conditions in the rule.
Compound
AND
rule
Yahoo IM (Keyword Match):

■ Case insensitive.
■ Match keyword: shttp.msg.yahoo.com.
■ Match on whole words only.
Content Matches ■ Count all matches and report an incident for each
Keyword (DCM) match.
■ Look for matches in the envelope, subject, body, and
attachments.
■ Match must occur in the same component for both
conditions in the rule.

The MSN IM detection rule looks for matches on three keywords in the same
message component.
798 Policy templates
Yahoo and MSN Messengers on Port 80 policy template

Table 37-77 MSN IM detection rule

Method Condition Configuration

MSN IM (Keyword Match):

■ Case insensitive.
■ Match keyword: msg.
■ Match on whole words only.
Content Matches ■ Count all matches and report an incident for each
Keyword (DCM) match.
■ Look for matches in the envelope, subject, body, and
attachments.
■ Match must occur in the same component for all
conditions in the rule.

AND

MSN IM (Keyword Match):

■ Case insensitive.
■ Match keyword: x-msn.
■ Match on whole words only.
Compound Content Matches ■ Count all matches and report an incident for each
rule Keyword (DCM) match.
■ Look for matches in the envelope, subject, body, and
attachments.
■ Match must occur in the same component for all
conditions in the rule.

AND

MSN IM (Keyword Match):

■ Case insensitive.
■ Match keyword: charset=utf-8.
■ Match on whole words only.
Content Matches ■ Count all matches and report an incident for each
Keyword (DCM) match.
■ Look for matches in the envelope, subject, body, and
attachments.
■ Match must occur in the same component for all
conditions in the rule.

See “Creating a policy from a template” on page 355.

See “Exporting policy detection as a template” on page 394.
 Section 5
Responding to policy
violations

■ Chapter 38. Responding to policy violations

■ Chapter 39. Configuring and managing response rules

■ Chapter 40. Response rule conditions

■ Chapter 41. Response rule actions

800
 Chapter 38
Responding to policy
violations
This chapter includes the following topics:

■ About response rules

■ About response rule actions

■ Response rules for all detection servers

■ Response rules for Endpoint detection

■ Response rules for Network and Mobile Prevent for Web detection

■ Response rules for Network Protect detection

■ Response rule for the Classification Server

■ About response rule execution types

■ About Automated Response rules

■ About Smart Response rules

■ About response rule conditions

■ About response rule action execution priority

■ About response rule authoring privileges

■ Implementing response rules

■ Response rule best practices

802 Responding to policy violations
About response rules

About response rules

You can implement one or more response rules in a policy to escalate, resolve,
and dismiss incidents when a violation occurs. For example, if a policy is violated,
a response rule blocks the transmission of a file containing sensitive content.
See “About response rule actions” on page 802.
You create, modify, and manage response rules separate from the policies that
declare them. This decoupling allows response rules to be updated and reused
across policies.
See “Implementing response rules” on page 813.
The detection server automatically executes response rules. Or, you can configure
Smart Response rules for manual execution by an incident remediator.
See “About response rule execution types” on page 807.
You can implement conditions to control how and when response rules execute.
See “About response rule conditions” on page 809.
You can sequence the order of execution for response rules of the same type.
See “About response rule action execution priority” on page 810.
You must have response rule authoring privileges to create and manage response
rules.
See “About response rule authoring privileges” on page 812.

About response rule actions

Response rule actions are the components that take action when a policy violation
occurs. Response rule actions are mandatory components of response rules. If
you create a response rule, you must define at least one action for the response
rule to be valid.
Symantec Data Loss Prevention provides several response rule actions. Many are
available for all types of detection servers. Others are available for specific
detection servers.
See “Implementing response rules” on page 813.
The detection server where a policy is deployed executes a response rule action
any time a policy violation occurs. Or, you can configure a response rule condition
to dictate when the response rule action executes.
See “About response rule conditions” on page 809.
 Responding to policy violations 803
Response rules for all detection servers

For example, anytime a policy is violated, send an email to the user who violated
the policy and the manager. Or, if a policy violation severity level is medium,
present the user with an on-screen warning. Or, if the severity is high, block a file
from being copied to an external device.

Table 38-1 Response rules by server type

Server type Description

All detection servers See “Response rules for all detection servers” on page 803.

Endpoint detection servers See “Response rules for Endpoint detection” on page 804.

Network and Mobile Prevent for Web See “Response rules for Network and Mobile Prevent for Web detection”
detection servers on page 805.

Network Protect detection servers See “Response rules for Network Protect detection” on page 806.

Classification detection server See “Response rule for the Classification Server” on page 807.

Response rules for all detection servers

Symantec Data Loss Prevention provides several response rule actions for Endpoint
Prevent, Endpoint Discover, Network Prevent for Web, Network Prevent for Email,
Mobile Prevent for Web, and Network Protect.

Table 38-2 Available response rules for all detection servers

Response rule Description

Add Note Add a field to the incident record that the remediator can annotate at the
Incident Snapshot screen.

See “Configuring the Add Note action” on page 834.

Limit Incident Data Retention Discard or retain matched data with the incident record.

See “Configuring the Limit Incident Data Retention action” on page 834.

Log to a Syslog Server Log the incident to a syslog server.

See “Configuring the Log to a Syslog Server action” on page 837.

Send Email Notification Send an email you compose to recipients you specify.

See “Configuring the Send Email Notification action” on page 838.

804 Responding to policy violations
Response rules for Endpoint detection

Table 38-2 Available response rules for all detection servers (continued)

Response rule Description

Server FlexResponse Execute a custom Server FlexResponse action.

See “Configuring the Server FlexResponse action” on page 840.

Note: This response rule action is available only if you deploy one or more
custom Server FlexResponse plug-ins to Symantec Data Loss Prevention.

See “Deploying a Server FlexResponse plug-in” on page 1166.

Set Attribute Add a custom value to the incident record.

See “Configuring the Set Attribute action” on page 841.

Set Status Change the incident status to the specified value.

See “Configuring the Set Status action” on page 842.

See “About response rules” on page 802.

See “Implementing response rules” on page 813.

Response rules for Endpoint detection

Symantec Data Loss Prevention provides several response rule actions for Endpoint
Prevent and Endpoint Discover.

Table 38-3 Available Endpoint response rules

Response rule Description

Endpoint: FlexResponse Take custom action using the FlexResponse API.

See “Configuring the Endpoint: FlexResponse action” on page 843.

Endpoint Discover: Quarantine File Quarantine a discovered sensitive file.

See “Configuring the Endpoint Discover: Quarantine File action”

on page 844.

Endpoint Prevent: Block Block the transfer of data that violates the policy.

For example, block the copy of confidential data from an endpoint

computer to a USB flash drive.

See “Configuring the Endpoint Prevent: Block action” on page 845.

 Responding to policy violations 805
Response rules for Network and Mobile Prevent for Web detection

Table 38-3 Available Endpoint response rules (continued)

Response rule Description

Endpoint Prevent: Notify Display an on-screen notification to the endpoint user when confidential
data is transferred.

See “Configuring the Endpoint Prevent: Notify action” on page 848.

Endpoint Prevent: User Cancel Allow the user to cancel the transfer of a confidential file. The override
is time sensitive.

See “Configuring the Endpoint Prevent: User Cancel action” on page 851.

See “About response rules” on page 802.

See “Implementing response rules” on page 813.

Response rules for Network and Mobile Prevent for

Web detection
Symantec Data Loss Prevention provides several response rule actions for Network
Prevent for Web, Network Prevent for Email, and Mobile Prevent for Web.

Table 38-4 Available Network response rules

Response rule Description

Network Prevent: Block FTP Request Block FTP transmissions.

See “Configuring the Network and Mobile Prevent for Web: Block FTP
Request action” on page 854.
Note: Only available with Network Prevent for Web.

Network Prevent: Block HTTP/S Block Web postings.

See “Configuring the Network and Mobile Prevent for Web: Block HTTP/S
action” on page 854.
Note: Only available with Network Prevent for Web.

Network Prevent: Block SMTP Message Block email that causes an incident.
(Network Prevent only)
See “Configuring the Network Prevent: Block SMTP Message action”
on page 856.
Note: Only available with Network Prevent for Email.
806 Responding to policy violations
Response rules for Network Protect detection

Table 38-4 Available Network response rules (continued)

Response rule Description

Network Prevent: Modify SMTP Message Modify sensitive email messages.

(Network Prevent only)
For example, change the email subject to include information about the
violation.

See “Configuring the Network Prevent: Modify SMTP Message action”

on page 857.
Note: Only available with Network Prevent for Email.

Network Prevent: Remove HTTP/S Remove confidential content from Web posts.
Content
See “Configuring the Network and Mobile Prevent for Web: Remove
HTTP/S Content action” on page 858.
Note: Only available with Network Prevent for Web.

See “About response rules” on page 802.

See “Implementing response rules” on page 813.

Response rules for Network Protect detection

Symantec Data Loss Prevention provides several response rule actions for Network
Protect (Discover).

Table 38-5 Available Network Protect response rules

Response rule Description

Network Protect: Copy File Copy sensitive files to a location you specify.

See “Configuring the Network Protect: Copy File action” on page 860.
Note: Only available with Network Protect.

Network Protect: Quarantine File Quarantine sensitive files.

See “Configuring the Network Protect: Quarantine File action” on page 860.
Note: Only available with Network Protect.

See “About response rules” on page 802.

See “Implementing response rules” on page 813.
 Responding to policy violations 807
Response rule for the Classification Server

Response rule for the Classification Server

The Classify Enterprise Vault Content response rule uses a Classification Server
to automatically classify, archive, or delete Exchange messages with Enterprise
Vault for Microsoft Exchange.

Note: This response rule is used only with the Symantec Data Classification for
Enterprise Vault solution, which is licensed separately from Symantec Data Loss
Prevention. You must configure the Enterprise Vault Data Classification Services
filter and Classification Server to communicate with one another. See the
Enterprise Vault Data Classification Services Implementation Guide for more
information.

Table 38-6 Available Classification response rule

Response rule Description

Classification: Classify Enterprise Vault Defines the classification result tags and retention categories that
Content Symantec Enterprise Vault for Microsoft Exchange uses to archive,
delete, or flag Exchange messages for compliance reviews and
E-Discovery searches.

The Classification Server delivers the retention category and

classification tag to the Data Classification for Enterprise Vault filter
that delivered the message for detection. The classification tag
corresponds to the name of the policy that executed the response rule.

See “About response rules” on page 802.

See “Implementing response rules” on page 813.

About response rule execution types

Symantec Data Loss Prevention provides two types of policy response rules:
Automated and Smart.
The detection server that reports a policy violation executes Automated Response
rules. Users such as incident remediators execute Smart Response rules on demand
from the Enforce Server administration console.
See “About recommended roles for your organization” on page 92.
808 Responding to policy violations
About Automated Response rules

Table 38-7 Response rule types

Response rule execution type Description

Automated Response rules When a policy violation occurs, the detection server automatically executes
response rule actions.

See “About Automated Response rules” on page 808.

Smart Response rules When a policy violation occurs, an authorized user manually triggers the
response rule.

See “About Smart Response rules” on page 808.

See “About response rule actions” on page 802.

See “Implementing response rules” on page 813.

About Automated Response rules

The system executes Automated Response rules when the detection engine reports
a policy violation. However, if you implement a response rule condition, the
condition must be met for the system to execute the response rule. Conditions let
you control the automated execution of response rule actions.
See “About response rule conditions” on page 809.
For example, the system can automatically block certain policy violating actions,
such as the attempted transfer of high value customer data or sensitive design
documents. Or, the system can escalate an incident to a workflow management
system for immediate attention. Or, you can set a different severity level for an
incident involving 1000 customer records than for one involving only 10 records.
See “Implementing response rules” on page 813.

About Smart Response rules

Users execute Smart Response rules on demand in response to policy violations
from the Enforce Server administration console Incident Snapshot screen.
See “About response rule actions” on page 802.
You create Smart Response rules for the situations that require human
remediation. For example, you might create a Smart response rule to dismiss false
positive incidents. An incident remediator can review the incident, identify the
match as a false positive, and dismiss it.
See “About configuring Smart Response rules” on page 820.
 Responding to policy violations 809
About response rule conditions

Only some response rules are available for manual execution.

Table 38-8 Available Smart Response rules for manual execution

Smart response rule Description

Add Note Add a field to the incident record that the remediator can annotate at the
Incident Snapshot screen.

See “Configuring the Add Note action” on page 834.

Log to a Syslog Server Log the incident to a syslog server for workflow remediation.

See “Configuring the Log to a Syslog Server action” on page 837.

Send Email Notification Send an email you compose to recipients you specify.

See “Configuring the Send Email Notification action” on page 838.

Server FlexResponse Execute a custom Server FlexResponse action.

See “Configuring the Server FlexResponse action” on page 840.

Note: This response rule action is available only if you deploy one or more
custom Server FlexResponse plug-ins to Symantec Data Loss Prevention.

See “Deploying a Server FlexResponse plug-in” on page 1166.

Set Status Set the incident status to the specified value.

See “Configuring the Set Status action” on page 842.

See “Implementing response rules” on page 813.

About response rule conditions

Response rule conditions are optional response rule components. Conditions
define how and when the system triggers response rule actions. Conditions give
you multiple ways to prioritize incoming incidents to focus remediation efforts
and take appropriate response.
See “Implementing response rules” on page 813.
Response rule conditions trigger action based on detection match criteria. For
example, you can configure a condition to trigger action for high severity incidents,
certain types of incidents, or after a specified number of incidents.
See “Configuring response rule conditions” on page 820.
Conditions are not required. If a response rule does not declare a condition, the
response rule action always executes each time an incident occurs. If a condition
810 Responding to policy violations
About response rule action execution priority

is declared, it must be met for the action to trigger. If more than one condition is
declared, all must be met for the system to take action.
See “Configuring response rules” on page 819.

Table 38-9 Available response rule conditions

Condition type Description

Endpoint Location Triggers a response action when the endpoint is on or off the corporate network.

See “Configuring the Endpoint Location response condition” on page 825.

Endpoint Device Triggers a response action when an event occurs on a configured endpoint
device.

See “Configuring the Endpoint Device response condition” on page 826.

Incident Type Triggers a response action when the specified type of detection server reports
a match.

See “Configuring the Incident Type response condition” on page 827.

Incident Match Count Triggers a response action when the volume of policy violations exceeds a
threshold or range.

See “Configuring the Incident Match Count response condition” on page 828.

Protocol or Endpoint Monitoring Triggers a response action when an incident is detected on a specified network
communications protocol (such as HTTP) or endpoint destination (such as
CD/DVD).

See “Configuring the Protocol or Endpoint Monitoring response condition”

on page 829.

Severity Triggers a response action when the policy violation is a certain severity level.

See “Configuring the Severity response condition” on page 831.

About response rule action execution priority

A Symantec Data Loss Prevention server executes response rule actions according
to a system-defined prioritized order. You cannot modify the order of execution
among response rules of different types.
In all cases, when a server executes two or more different response rules for the
same policy, the higher priority response action takes precedence.
Consider the following example(s):
■ One endpoint response rule lets a user cancel an attempted file copy and
another rule blocks the attempt.
 Responding to policy violations 811
About response rule action execution priority

The detection server blocks the file copy.

■ One network response rule action copies a file and another action quarantines
it.
The detection server quarantines the file.
■ One network response rule action modifies the content of an email message
and another action blocks the transmission.
The detection server blocks the email transmission.
You cannot change the priority execution order for different response rule action
types. But, you can modify the order of execution for the same type of response
rule action with conflicting instructions.
See “Modifying response rule ordering” on page 823.

Table 38-10 System-defined response rule execution priority

Execution priority Description

(from highest to lowest)

Endpoint Prevent: Block See “Configuring the Endpoint Prevent: Block action”
on page 845.

Endpoint Prevent: User Cancel See “Configuring the Endpoint Prevent: User Cancel
action” on page 851.

Endpoint: FlexResponse See “Configuring the Endpoint: FlexResponse action”

on page 843.

Endpoint Prevent: Notify See “Configuring the Endpoint Prevent: Notify action”
on page 848.

Endpoint Discover: Quarantine File See “Configuring the Endpoint Discover: Quarantine
File action” on page 844.

Limit Incident Data Retention See “Configuring the Limit Incident Data Retention
action” on page 834.

Network Prevent: Block SMTP See “Configuring the Network Prevent: Block SMTP
Message Message action” on page 856.

Network Prevent: Modify SMTP See “Configuring the Network Prevent: Modify SMTP
Message Message action” on page 857.

Network and Mobile Prevent for See “Configuring the Network and Mobile Prevent for
Web: Remove HTTP/HTTPS Web: Remove HTTP/S Content action” on page 858.
Content
812 Responding to policy violations
About response rule authoring privileges

Table 38-10 System-defined response rule execution priority (continued)

Execution priority Description

(from highest to lowest)

Network and Mobile Prevent for See “Configuring the Network and Mobile Prevent for
Web: Block HTTP/HTTPS Web: Block HTTP/S action” on page 854.

Network and Mobile Prevent for See “Configuring the Network and Mobile Prevent for
Web: Block FTP Request Web: Block FTP Request action” on page 854.

Network Protect: Quarantine File See “Configuring the Network Protect: Quarantine File
action” on page 860.

Network Protect: Copy File See “Configuring the Network Protect: Copy File
action” on page 860.

Classify Content

Set Status See “Configuring the Set Status action” on page 842.

Set Attribute See “Configuring the Set Attribute action” on page 841.

Add Note See “Configuring the Add Note action” on page 834.

Log to a Syslog Server See “Configuring the Log to a Syslog Server action”
on page 837.

Send Email Notification See “Configuring the Send Email Notification action”
on page 838.

Server FlexResponse See “Configuring the Server FlexResponse action”

on page 840.
Note: Server FlexResponse actions that are part of
Automated Response rules execute on the Enforce
Server, rather than the detection server.

See “Implementing response rules” on page 813.

See “Manage response rules” on page 817.

About response rule authoring privileges

To manage and create response rules, you must be assigned to a role with response
rule authoring privileges. To add a response rule to a policy, you must have policy
authoring privileges.
See “Policy authoring privileges” on page 334.
 Responding to policy violations 813
Implementing response rules

For business reasons, you may want to grant response rule authoring and policy
authoring privileges to the same role. Or, you may want to keep these roles
separate.
See “About recommended roles for your organization” on page 92.
If you log on to the system as a user without response rule authoring privileges,
the Manage > Policies > Response Rules screen is not available.
See “About role-based access control” on page 87.

Implementing response rules

You define response rules independent of policies.
See “About response rules” on page 802.
You must have response rule authoring privileges to create and manage response
rules.
See “About response rule authoring privileges” on page 812.

Table 38-11 Workflow for implementing policy response rules

Step Action Description

Step 1 Review the available response rules. The Manage > Policies > Response Rules screen displays all
configured response rules.

See “Manage response rules” on page 817.

The solution pack for your system provides configured

response rules. You can use these response rules in your
policies as they exist, or you can modify them.

See “Solution packs” on page 331.

Step 2 Decide the type of response rule to Decide the type of response rules based on your business
implement: Smart, Automated, both. requirements.

See “About response rule execution types” on page 807.

Step 3 Determine the type of actions you want to See “About response rule conditions” on page 809.
implement and any triggering conditions.
See “About response rule actions” on page 802.

Step 4 Understand the order of precedence among See “About response rule action execution priority”
response rule actions of different and the on page 810.
same types.
See “Modifying response rule ordering” on page 823.
814 Responding to policy violations
Response rule best practices

Table 38-11 Workflow for implementing policy response rules (continued)

Step Action Description

Step 5 Integrate the Enforce Server with an Some response rules may require integration with external
external system (if required for the systems.
response rule). These may include:

■ A SIEM system for the Log to a Syslog Server response

rule.
■ An SMTP email server for the Send Email Notification
response rule
■ A Web proxy host for Network Prevent for Web response
rules.
■ An MTA for Network Prevent for Email response rules.

Step 6 Add a new response rule. See “Adding a new response rule” on page 818.

Step 7 Configure response rules. See “Configuring response rules” on page 819.

Step 8 Configure one or more response rule See “Configuring response rule conditions” on page 820.
conditions (optional).

Step 9 Configure one or more response rule You must define at least one action for a valid response rule.
actions (required).
See “Configuring response rule actions” on page 821.

The action executes when a policy violation is reported or

when a response rule condition is matched.

Step 10 Add response rules to policies. You must have policy authoring privileges to add response
rules to policies.

See “Adding an automated response rule to a policy”

on page 394.

Response rule best practices

When implementing response rules, consider the following:
■ Response rules are not required for policy execution. In general it is best to
implement and fine-tune your policy rules and exceptions before you implement
response rules. Once you achieve the desired policy detection results, you can
then implement and refine response rules.

■ Response rules require at lease one rule action; a condition is optional. If you
do not implement a condition, the action always executes when an incident is
 Responding to policy violations 815
Response rule best practices

reported. If you configure more than one response rule condition, all conditions
must match for the response rule action to trigger.
See “About response rule actions” on page 802.
■ Response rule conditions are derived from policy rules. Understand the type
of rule and exception conditions that the policy implements when you configure
response rule conditions. The system evaluates the response rule condition
based on how the policy rule counts matches.
See “Policy matching conditions” on page 343.
■ The system displays only the response rule name for policy authors to select
when they add response rules to policies. Be sure to provide a descriptive name
that helps policy authors identify the purpose of the response rule.
See “Configuring policies” on page 370.
■ You cannot combine an Endpoint Prevent: Notify or Endpoint Prevent: Block
response rule action with EDM, IDM, or DGM detection methods. If you do,
the system displays a warning for the policy that it is misconfigured.
See “Manage and add policies” on page 389.
■ If you combine multiple response rules in a single policy, make sure that you
understand the order of precedence among response rules.
See “About response rule action execution priority” on page 810.
■ Use Smart Response rules only where it is appropriate for human intervention.
See “About configuring Smart Response rules” on page 820.
816 Responding to policy violations
Response rule best practices
 Chapter 39
Configuring and managing
response rules
This chapter includes the following topics:

■ Manage response rules

■ Adding a new response rule

■ Configuring response rules

■ About configuring Smart Response rules

■ Configuring response rule conditions

■ Configuring response rule actions

■ Modifying response rule ordering

■ About removing response rules

Manage response rules

The Manage > Policies > Response Rules screen is the home page for managing
response rules, and the starting point for adding new ones.
See “About response rules” on page 802.
You must have response rule authoring privileges to manage and add response
rules.
See “About response rule authoring privileges” on page 812.
818 Configuring and managing response rules
Adding a new response rule

Table 39-1 Response Rules screen actions

Action Description

Add Response Rule Click Add Response Rule to define a new response rule.

See “Adding a new response rule” on page 818.

Modify Response Rule Click Modify Response Rule Order to modify the response rule order of precedence.
Order
See “Modifying response rule ordering” on page 823.

Edit an existing response Click the response rule to modify it.

rule
See “Configuring response rules” on page 819.

Delete an existing response Click the red X icon next to the far right of the response rule to delete it.
rule
You must confirm the operation before deletion occurs.

See “About removing response rules” on page 824.

Refresh the list Click the refresh arrow icon at the upper right of the Response Rules screen to fetch
the latest status of the rule.

Table 39-2 Response Rules screen display

Display column Description

Order The Order of precedence when more than one response rule is configured.

See “Modifying response rule ordering” on page 823.

Rule The Name of the response rule.

See “Configuring response rules” on page 819.

Actions The type of Action the response rule can take to respond to an incident (required).

See “Configuring response rule actions” on page 821.

Conditions The Condition that triggers the response rule (if any).

See “Configuring response rule conditions” on page 820.

See “Implementing response rules” on page 813.

Adding a new response rule

Add a new response rule from the Manage > Policies > Response Rules > New
Response Rule screen.
See “About response rules” on page 802.
 Configuring and managing response rules 819
Configuring response rules

To add a new response rule

1 Click Add Response Rule at the Manage > Policies > Response Rules screen.
See “Manage response rules” on page 817.
2 At the New Response Rule screen, select one of the following options:
■ Automated Response
The system automatically executes the response action as the server
evaluates incidents (default option).
See “About Automated Response rules” on page 808.
■ Smart Response
An authorized user executes the response action from the Incident
Snapshot screen in the Enforce Server administration console.
See “About Smart Response rules” on page 808.

3 Click Next to configure the response rule.

See “Configuring response rules” on page 819.
See “Implementing response rules” on page 813.

Configuring response rules

You configure response rules at the Manage > Policies > Response Rules >
Configure Response Rule screen.
See “About response rules” on page 802.
To configure a response rule
1 Add a new response rule, or modify an existing one.
See “Adding a new response rule” on page 818.
See “Manage response rules” on page 817.
2 Enter a response Rule Name and Description.
3 Optionally, define one or more Conditions to dictate when the response rule
executes.
See “Configuring response rule conditions” on page 820.
If no condition is declared, the response rule action always executes when
there is a match (assuming that the detection rule is set the same).
Skip this step if you selected the Smart Response rule option.
See “About configuring Smart Response rules” on page 820.
820 Configuring and managing response rules
About configuring Smart Response rules

4 Select and configure one or more Actions. You must define at least one action.
See “Configuring response rule actions” on page 821.
5 Click Save to save the response rule definition.
See “Manage response rules” on page 817.
See “Implementing response rules” on page 813.

About configuring Smart Response rules

When implementing Smart Response rules, consider the following:
■ Smart Response rules are best suited for the incidents that warrant user review
to determine if any response action is required.
If you do not want user involvement in triggering a response rule action, use
Automated Response rules instead.
■ You cannot configure any triggering conditions with Smart Response rules.
Authorized users decide when a detection incident warrants a response.
■ You are limited in the actions you can take with Smart Response rules (note,
log, email, status).
If you need to block or modify an action, use Automated Response rules.
See “About Smart Response rules” on page 808.
See “Implementing response rules” on page 813.

Configuring response rule conditions

You can add one or more conditions to a response rule. An incident must meet all
response rule conditions before the system executes any response rule actions.
See “About response rule conditions” on page 809.
To configure a response rule condition
1 Configure a response rule at the Configure Response Rule screen.
See “Configuring response rules” on page 819.
2 Click Add Condition to add a new condition.
Conditions are optional and based on detection rule matches. Each type of
response rule condition performs a different function.
See “About response rule conditions” on page 809.
 Configuring and managing response rules 821
Configuring response rule actions

3 Choose the condition type from the Conditions list.

See Table 38-9 on page 810.
For example, select the condition Incident Match Count and Is Greater Than
and enter 15 in the textbox. This condition triggers the response rule action
after 15 policy violation matches.
4 To add another condition, click Add Condition and repeat the process.
If all conditions do not match, no action is taken.
5 Click Save to save the condition.
Click Cancel to not save the condition and return to the previous screen.
Click the red X icon beside the condition to delete it from the response rule.
See “Manage response rules” on page 817.
See “Implementing response rules” on page 813.

Configuring response rule actions

You must configure at least one action for the response rule to be valid. You can
configure multiple response rule actions. Each action is evaluated independently.
See “Implementing response rules” on page 813.
To define a response rule action
1 Configure a response rule at the Configure Response Rule screen.
See “Configuring response rules” on page 819.
2 Choose an action type from the Actions list and click Add Action.
For example, add the All: Add Note action to the response rule. This action
lets the remediator annotate the incident.
3 Configure the action type by specifying the expected parameters for the
chosen action type.
See Table 39-3 on page 822.
4 Repeat these steps for each action you want to add.
If you add additional actions, consider the execution order and possible
modification of similar types.
See “Modifying response rule ordering” on page 823.
5 Click Save to save the response rule.
See “Manage response rules” on page 817.
822 Configuring and managing response rules
Configuring response rule actions

Table 39-3 Configure a response rule action

Incident type Response rule Description

All Add Note See “Configuring the Add Note action” on page 834.

All Limit Incident Data See “Configuring the Limit Incident Data Retention action”
Retention on page 834.

All Log to a Syslog Server See “Configuring the Log to a Syslog Server action” on page 837.

All Send Email Notification See “Configuring the Send Email Notification action” on page 838.

All Server FlexResponse See “Configuring the Server FlexResponse action” on page 840.

All Set Attribute See “Configuring the Set Attribute action” on page 841.

All Set Status See “Configuring the Set Status action” on page 842.

Classification Classify Enterprise Vault

Content

Endpoint FlexResponse See “Configuring the Endpoint: FlexResponse action” on page 843.

Endpoint Quarantine File See “Configuring the Endpoint Discover: Quarantine File action”
Discover on page 844.

Endpoint Prevent Block See “Configuring the Endpoint Prevent: Block action” on page 845.

Endpoint Prevent Notify See “Configuring the Endpoint Prevent: Notify action” on page 848.

Endpoint Prevent User Cancel See “Configuring the Endpoint Prevent: User Cancel action”
on page 851.

Network and Block FTP Request See “Configuring the Network and Mobile Prevent for Web: Block
Mobile Prevent FTP Request action” on page 854.
for Web

Network and Block HTTP/S See “Configuring the Network and Mobile Prevent for Web: Block
Mobile Prevent HTTP/S action” on page 854.
for Web

Network Prevent Block SMTP Message See “Configuring the Network Prevent: Block SMTP Message action”
for Email on page 856.

Network Prevent Modify SMTP Message See “Configuring the Network Prevent: Modify SMTP Message
for Email action” on page 857.

Network and Remove HTTP/S Content See “Configuring the Network and Mobile Prevent for Web: Remove
Mobile Prevent HTTP/S Content action” on page 858.
for Web
 Configuring and managing response rules 823
Modifying response rule ordering

Table 39-3 Configure a response rule action (continued)

Incident type Response rule Description

Network Protect Copy File See “Configuring the Network Protect: Copy File action” on page 860.

Network Protect Quarantine File See “Configuring the Network Protect: Quarantine File action”
on page 860.

See “Implementing response rules” on page 813.

Modifying response rule ordering

You cannot change the system-defined execution priority for different types of
response rule actions. But, you can modify the order of execution for response
rule actions of the same type with conflicting instructions.
See “About response rule action execution priority” on page 810.
For example, consider a scenario where you include two response rules in a policy.
Each response rule implements a Limit Incident Data Retention action. One action
discards all attachments and the other action discards only those attachments
that are not violations. In this case, when the policy is violated, the detection
server looks to the response rule order priority to determine which action takes
precedence. This type of ordering is configurable.
To modify response rule action ordering
1 Navigate to the Manage > Policies > Response Rules screen.
See “Manage response rules” on page 817.
2 Note the Order column and number beside each configured response rule.
By default the system sorts the list of response rules by the Order column in
descending order from highest priority (1) to lowest. Initially the system
orders the response rules in the order they are created. You can modify this
order.
3 To enable modification mode, click Modify Response Rule Order.
The Order column now displays a drop-down menu for each response rule.
4 To modify the ordering, for each response rule you want to reorder, select
the desired order priority from the drop-down menu.
For example, for a response rule with order priority of 2, you can modify it
to be 1 (highest priority).
Modifying an order number moves that response rule to its modified position
in the list and updates all other response rules.
824 Configuring and managing response rules
About removing response rules

5 Click Save to save the modifications to the response rule ordering.

6 Repeat these steps as necessary to achieve the desired results.
See “Implementing response rules” on page 813.

About removing response rules

You can delete response rules at the Manage > Policies > Response Rules screen.
See “Manage response rules” on page 817.
When deleting a response rule, consider the following:
■ A user must have response rule authoring privileges to delete an existing
response rule.
■ A response rule author cannot delete an existing response rule while another
user modifies it.
■ A response rule author cannot delete a response rule if a policy declares that
response rule. In this case you must remove the response rule from all policies
that declare the response rule before you can delete it.
 Chapter 40
Response rule conditions
This chapter includes the following topics:

■ Configuring the Endpoint Location response condition

■ Configuring the Endpoint Device response condition

■ Configuring the Incident Type response condition

■ Configuring the Incident Match Count response condition

■ Configuring the Protocol or Endpoint Monitoring response condition

■ Configuring the Severity response condition

Configuring the Endpoint Location response condition

The Endpoint Location condition triggers response rule action based on the
connection status of the DLP Agent when an endpoint policy is violated.
See “About response rule conditions” on page 809.

Note: This condition is specific to endpoint incidents. You should not implement
this condition for Network or Discover incidents. If you do the response rule action
does not to execute.
826 Response rule conditions
Configuring the Endpoint Device response condition

To configure the Endpoint Location condition

1 Configure a response rule at the Configure Response Rule screen.
See “Configuring response rules” on page 819.
2 Select the Endpoint Location condition from the Conditions list.
See “Configuring response rule conditions” on page 820.
3 Select the endpoint location requirements to trigger actions.
See Table 40-1 on page 826.

Table 40-1 Endpoint Location condition options

Qualifier Condition Description

Is Any Of Off the corporate This combination triggers a response rule action if an incident occurs when
network the endpoint is off the corporate network.

Is None Of Off the corporate This combination does not trigger a response rule action if an incident occurs
network when the endpoint is off the corporate network.

Is Any Of On the corporate This combination triggers a response rule action if an incident occurs when
network the endpoint is on the corporate network.

Is None Of On the corporate This combination does not trigger a response rule action if an incident occurs
network when the endpoint is on the corporate network.

See “Implementing response rules” on page 813.

See “Manage response rules” on page 817.

Configuring the Endpoint Device response condition

The Endpoint Device condition triggers response rule action when an incident is
detected from one or more configured endpoint devices.
See “About response rule conditions” on page 809.
You configure endpoint devices at the System > Agents > Endpoint Devices screen.
See “About endpoint device detection” on page 581.

Note: This condition is specific to endpoint incidents. You should not implement
this condition for Network or Discover incidents. If you do the response rule action
does not to execute.
 Response rule conditions 827
Configuring the Incident Type response condition

To configure the Endpoint Device response condition

1 Configure a response rule at the Configure Response Rule screen.
See “Configuring response rules” on page 819.
2 Select the Endpoint Device condition from the Conditions list.
See “Configuring response rule conditions” on page 820.
3 Select to detect or except specific endpoint devices.
See Table 40-2 on page 827.

Table 40-2 Endpoint Device condition parameters

Qualifier Condition Description

Is Any Of Configured Triggers a response rule action when an incident is detected on a configured
device endpoint device.

Is None Of Configured Does not trigger (excludes from executing) a response rule action when an incident
device is detected on a configured endpoint device.

See “Implementing response rules” on page 813.

See “Manage response rules” on page 817.

Configuring the Incident Type response condition

The Incident Type condition triggers a response rule action based on the type of
detection server that reports the incident.
See “About response rule conditions” on page 809.
To configure the Incident Type condition
1 Configure a response rule at the Configure Response Rule screen.
See “Configuring response rules” on page 819.
2 Choose the Incident Type condition from the Conditions list.
See “Configuring response rule conditions” on page 820.
3 Select one or more incident types.
Use the Ctrl key to select multiple types.
See Table 40-3 on page 828.
828 Response rule conditions
Configuring the Incident Match Count response condition

Table 40-3 Incident Type condition parameters

Parameter Server Description

Is Any Of Classification Triggers a response rule action for any incident that the Classification Server
detects.

Is None Of Does not trigger a response rule action for any incident that the Classification
Server detects.

Is Any Of Discover Triggers a response rule action for any incident that Network Discover detects.

Is None Of Does not trigger a response rule action for any incident that Network Discover
detects.

Is Any Of Endpoint Triggers a response rule action for any incident that Endpoint Prevent detects.

Is None Of Does not trigger a response rule action for any incident that Endpoint Prevent
detects.

Is Any Of Network or Triggers a response rule action for any incident that Network Prevent detects.
Mobile
Is None Of Does not trigger a response rule action for any incident that Network Prevent
detects.

See “Implementing response rules” on page 813.

See “Manage response rules” on page 817.

Configuring the Incident Match Count response

condition
The Incident Match Count condition triggers a response rule action based on the
number of policy violations reported.
See “About response rule conditions” on page 809.
 Response rule conditions 829
Configuring the Protocol or Endpoint Monitoring response condition

To configure the Incident Match Count condition

1 Configure a response rule at the Configure Response Rule screen.
See “Configuring response rules” on page 819.
2 Choose the Incident Match Count condition from the Conditions list.
See “Configuring response rule conditions” on page 820.
3 In the text field, enter a numeric value that indicates the threshold above
which you want the response rule to trigger.
For example, if you enter 15 the response rule triggers after 15 policy
violations have been detected.
See Table 40-4 on page 829.

Table 40-4 Incident Match Count condition options

Parameter Input Description

Is Greater Than User-specified Triggers a response rule action if the threshold number of incidents is
number eclipsed.

Is Greater Than or User-specified Triggers a response rule action if the threshold number of incidents is
Equals number met or eclipsed.

Is Between User-specified pair of Triggers a response rule action when the number of incidents is between
numbers the range of numbers specified.

Is Less Than User-specified Triggers a response rule action if the number of incidents is less than
number the specified number.

Is Less Than or User-specified Triggers a response rule action when the number of incidents is equal
Equals number to or less than the specified number.

See “Implementing response rules” on page 813.

See “Manage response rules” on page 817.

Configuring the Protocol or Endpoint Monitoring

response condition
The Protocol or Endpoint Monitoring condition triggers action based on the
protocol or the endpoint destination, device, or application where the policy
violation occurred.
See “About response rule conditions” on page 809.
830 Response rule conditions
Configuring the Protocol or Endpoint Monitoring response condition

To configure the Protocol or Endpoint Monitoring condition

1 Configure a response rule at the Configure Response Rule screen.
See “Configuring response rules” on page 819.
2 Choose the Protocol or Endpoint Monitoring condition from the Conditions
list.
See “Configuring response rule conditions” on page 820.
3 Use the Ctrl key to select multiple, or use the Shift key to select a range.
See Table 40-5 on page 830.
The system lists any additional network protocols that you configure at the
System > Settings > Protocols screen.

Table 40-5 Protocol or Endpoint Destination condition options

Qualifier Condition Description

Is Any Of Triggers an action if an endpoint application file has been accessed.

Endpoint Application
Is None Of File Access Does not trigger action if an endpoint application file has been
accessed.

Is Any Of Triggers an action if an endpoint CD/DVD has been written to.

Endpoint CD/DVD
Is None Of Does not trigger action if an endpoint CD/DVD has been written to.

Is Any Of Triggers an action if the endpoint clipboard has been copied to.
Endpoint Clipboard
Is None Of Does not trigger action if the endpoint clipboard has been copied to.

Is Any Of Triggers an action if sensitive information is copied to or from a

network share.
Endpoint Copy to
Network Share
Is None Of Does not trigger action if sensitive information is copied to or from
a network share.

Is Any Of Triggers an action if sensitive files are discovered on the local drive.
Endpoint Local Drive
Is None Of Does not trigger action if sensitive files are discovered on the local
drive.

Is Any Of Triggers an action if an endpoint printer or fax has been sent to.
Endpoint Printer/Fax
Is None Of Does not trigger action if an endpoint printer or fax has been sent to.
 Response rule conditions 831
Configuring the Severity response condition

Table 40-5 Protocol or Endpoint Destination condition options (continued)

Qualifier Condition Description

Is Any Of Triggers an action if sensitive data is copied to a removable storage

device.
Endpoint Removable
Storage Device
Is None Of Does not trigger action if sensitive data is copied to a removable
storage device.

Is Any Of Triggers an action if sensitive data is copied through FTP.

FTP
Is None Of Does not trigger action if sensitive data is copied through FTP.

Is Any Of Triggers an action if sensitive data is sent through HTTP.

HTTP
Is None Of Does not trigger action if sensitive data is sent through HTTP.

Is Any Of Triggers an action if sensitive data is sent through HTTPS.

HTTPS
Is None Of Does not trigger action if sensitive data is sent through HTTPS.

Is Any Of Triggers an action if sensitive data is sent through AIM.

IM:AIM
Is None Of Does not trigger action if sensitive data is sent through AIM.

Is Any Of Triggers an action if sensitive data is sent through MSN.

IM:MSN
Is None Of Does not trigger action if sensitive data is sent through MSN.

Is Any Of Triggers an action if sensitive data is sent through Yahoo IM.

IM:Yahoo
Is None Of Does not trigger action if sensitive data is sent through Yahoo IM.

Is Any Of Triggers an action if sensitive data is sent through NNTP.

NNTP
Is None Of Does not trigger action if sensitive data is sent through NNTP.

Is Any Of Triggers an action if sensitive data is sent through SMTP.

SMTP
Is None Of Does not trigger action if sensitive data is sent through SMTP.

See “Implementing response rules” on page 813.

See “Manage response rules” on page 817.

Configuring the Severity response condition

The Severity condition triggers a response rule action based on the severity of
the policy rule violation.
832 Response rule conditions
Configuring the Severity response condition

See “About response rule conditions” on page 809.

To configure the Severity condition
1 Configure a response rule at the Configure Response Rule screen.
See “Configuring response rules” on page 819.
2 Select the Severity condition from the Conditions list.
See “Configuring response rule conditions” on page 820.
3 Select one or more severity levels.
Use the Ctrl key to select multiple; use the Shift key to select a range.
See Table 40-6 on page 832.

Table 40-6 Severity condition matches

Parameter Severity Description

Is Any Of High Triggers a response rule action when a detection rule

with severity set to high is matched.

Is None Of High Does not trigger a response rule action when a

detection rule with severity set to high is matched.

Is Any Of Medium Triggers a response rule action when a detection rule

with severity set to medium is matched.

Is None Of Medium Does not trigger a response rule action when a

detection rule with severity set to medium is matched.

Is Any Of Low Triggers a response rule action when a detection rule

with severity set to low is matched.

Is None Of Low Does not trigger a response rule action when a

detection rule with severity set to low is matched.

Is Any Of Info Triggers a response rule action when a detection rule

with severity set to info is matched.

Is None Of Info Does not trigger a response rule action when a

detection rule with severity set to info is matched.

See “Implementing response rules” on page 813.

See “Manage response rules” on page 817.
 Chapter 41
Response rule actions
This chapter includes the following topics:

■ Configuring the Add Note action

■ Configuring the Limit Incident Data Retention action

■ Configuring the Log to a Syslog Server action

■ Configuring the Send Email Notification action

■ Configuring the Server FlexResponse action

■ Configuring the Set Attribute action

■ Configuring the Set Status action

■ Configuring the Endpoint: FlexResponse action

■ Configuring the Endpoint Discover: Quarantine File action

■ Configuring the Endpoint Prevent: Block action

■ Configuring the Endpoint Prevent: Notify action

■ Configuring the Endpoint Prevent: User Cancel action

■ Configuring the Network and Mobile Prevent for Web: Block FTP Request
action

■ Configuring the Network and Mobile Prevent for Web: Block HTTP/S action

■ Configuring the Network Prevent: Block SMTP Message action

■ Configuring the Network Prevent: Modify SMTP Message action

■ Configuring the Network and Mobile Prevent for Web: Remove HTTP/S Content
action
834 Response rule actions
Configuring the Add Note action

■ Configuring the Network Protect: Copy File action

■ Configuring the Network Protect: Quarantine File action

Configuring the Add Note action

The Add Note response rule action lets an incident responder enter a note about
a particular incident. For example, if a policy violation occurs, the system presents
the incident responder with a Note dialog that the responder can annotate.
See “About response rule actions” on page 802.
The Add Note response rule action is available for all types of detection servers.
See “Response rules for all detection servers” on page 803.
To configure the Add Note action
1 Configure a response rule at the Configure Response Rule screen.
See “Configuring response rules” on page 819.
2 Add the All: Add Note action type from the Actions list.
The system displays a Note field. Generally you leave the field blank and
allow remediators to add comments when they evaluate incidents. However,
you can add comments at this level of configuration as well.
See “Configuring response rule actions” on page 821.
3 Click Save to save the configuration.
See “Manage response rules” on page 817.
See “Implementing response rules” on page 813.

Configuring the Limit Incident Data Retention action

The Limit Incident Data Retention response rule action lets you modify the default
incident data retention behavior of the detection server.
See “About response rule actions” on page 802.
This response rule is available for all types of detection servers.
See “Response rules for all detection servers” on page 803.
 Response rule actions 835
Configuring the Limit Incident Data Retention action

To configure incident data retention

1 Configure a response rule at the Configure Response Rule screen.
See “Configuring response rules” on page 819.
2 Add the action type All: Limit Incident Data Retention from the Actions list.
See “Configuring response rule actions” on page 821.
3 Choose to retain Endpoint Incident data by selecting this option.
By default, the agent discards the original message and any attachments for
endpoint incidents.
See “Retaining data for endpoint incidents” on page 835.
4 Choose to discard Network Incident data by selecting this option.
By default, the system retains the original message and any attachments for
network incidents.
See “Discarding data for network incidents” on page 836.
5 Click Save to save the response rule configuration.
See “Manage response rules” on page 817.
See “Implementing response rules” on page 813.

Retaining data for endpoint incidents

By default, the system discards original messages (including files and attachments)
for endpoint incidents. You can implement the Limit Incident Data Retention
response rule action to override this default behavior and retain original messages
for endpoint incidents.
See “Configuring the Limit Incident Data Retention action” on page 834.

Table 41-1 Retaining data for endpoint incidents

Parameter Description

All Endpoint Incidents Check this option to retain the original message and file attachments for all
Endpoint Prevent incidents and incidents Endpoint Discover captures using
(including Endpoint Discover
an endpoint target.
incidents)

If you combine a server-side detection rule (EDM/IDM/DGM) with a Limit Incident

Data Retention response rule action on the endpoint, consider the network
bandwidth implications. When an Endpoint Agent sends content to an Endpoint
Server for analysis, it sends text or binary data according to detection
requirements. If possible, Symantec DLP Agents send text to reduce bandwidth
836 Response rule actions
Configuring the Limit Incident Data Retention action

use. When you retain the original messages for endpoint incidents, in every case
the system requires agents to send binary data to the Endpoint Server. As such,
make sure that your network can handle the increased traffic between Endpoint
Agents and Endpoint Servers without degrading performance.
See “Two-tier detection for DLP Agents” on page 353.
Consider the system behavior for any policies that combine an agent-side detection
rule (any DCM rule, such as a keyword rule). If you implement the Limit Incident
Data Retention response rule action, the increased use bandwidth depends on the
number of incidents the detection engine matches. For such policies, the Endpoint
Agent does not send all original files to the Endpoint Server, but only those
associated with confirmed incidents. If there are not many incidents, the effect
is small.

Discarding data for network incidents

For network incidents, by default the detection server retains the original message
and any attachments that trigger an incident.
You can implement the Limit Incident Data Retention response rule action to
override the default behavior and discard original messages and some or all
attachments.
See “Configuring the Limit Incident Data Retention action” on page 834.

Note: The default data retention behavior for network incidents applies to Network
Prevent for Web and Network Prevent for Email incidents. The default behavior
does not apply to Network Discover incidents. For Network Discover incidents,
the system provides a link in the Incident Snapshot that points to the offending
file at its original location. Incident data retention for Network Discover is not
configurable.

Table 41-2 Discarding data from network incidents

Parameter Description

Discard Original Check this option to discard the original message.

Message
Use this configuration to save disk space when you are only interested in statistical data.
 Response rule actions 837
Configuring the Log to a Syslog Server action

Table 41-2 Discarding data from network incidents (continued)

Parameter Description

Discard Attachment Select All to discard all message attachments.

Select Attachments with no Violations to save only relevant message attachments, that is,
those that trigger a policy violation.
Note: You must select something other than None for this action option. If you leave None
selected and do not check the box next to Discard Original Message, the action has no effect.
Such a configuration duplicates the default incident data retention behavior for network
servers.

Configuring the Log to a Syslog Server action

The Log to a Syslog Server response rule action logs the incident to a syslog server.
These logs can be useful if you use a Security Information and Events Management
(SIEM) system.
See “About response rule actions” on page 802.
This response rule action is available for all types of detection servers.
See “Response rules for all detection servers” on page 803.
You must integrate the Enforce Server with the syslog server to implement this
response rule action.
See “Enabling a syslog server” on page 151.
To configure the Log to a Syslog Server response rule action
1 Configure a response rule at the Configure Response Rule screen.
See “Configuring response rules” on page 819.
2 Add the Log to a Syslog Server action type from the Actions list.
See “Configuring response rule actions” on page 821.
3 Enter the Host name of the syslog server.
4 Edit the Port for the syslog server, if necessary.
The default port is 514.
5 Enter the text of the Message to log on the syslog server.
6 Select the Level to apply to the log message from the drop-down list.
The following options are available:
■ 0 - Kernel panic
838 Response rule actions
Configuring the Send Email Notification action

■ 1 - Needs immediate attention

■ 2 - Critical condition
■ 3 - Error
■ 4 - Warning
■ 5 - May need attention
■ 6 - Informational
■ 7- Debugging

7 Save the response rule.

See “Manage response rules” on page 817.
See “Implementing response rules” on page 813.

Configuring the Send Email Notification action

The Send Email Notification action sends an email you compose to recipients you
specify.
See “About response rule actions” on page 802.
This response rule action is available for all types of detection servers.
See “Response rules for all detection servers” on page 803.
You must integrate the Enforce Server with an SMTP email server to implement
this response rule action.
See “Configuring the Enforce Server to send email alerts” on page 153.
To configure the Send Email Notification response rule action
1 Configure a response rule at the Configure Response Rule screen.
See “Configuring response rules” on page 819.
2 Add the All: Send Email Notification action type from the Actions list.
See “Configuring response rule actions” on page 821.
3 Configure the recipient(s), sender, format, incident inclusion, and messages
per day.
See Table 41-3 on page 839.
 Response rule actions 839
Configuring the Send Email Notification action

4 Configure the Notification Content of the email notification: language, subject,

body.
See Table 41-4 on page 839.
5 Click Save to save the configuration.
See “Manage response rules” on page 817.

Table 41-3 Sender and recipient information

Parameter Description

To: Sender Select this option to send the email notification to the email sender. This recipient only applies
to email message violations.

To: Data Owner Select this option to send email notification to the data owner that the system identifies by
email address in the incident.

See “Discover incident snapshots” on page 920.

To: Other Email This option can include any custom attributes designated as email addresses (such as
Address "manager@email"). For example, if you define a custom attribute that is an email address, or
retrieve one via a Lookup Plugin, that address will appear in the "To" field for selection, to the
right of "To: Sender" and "To: Data Owner."

See “Configuring custom attributes” on page 1007.

Custom To Enter one or more specific email addresses separated by commas.

CC Enter one or more specific email addresses separated by commas for people you want to copy
on the notification.

Custom From You can specify the sender of the message.

If this field is blank, the message appears to come from the system email address.

Notification Format Select either HTML or plain text format.

Include Original Select this option to include the message that generated the incident with the notification
Message email.

Max Per Day Enter a number to restrict the maximum number of notifications that the system sends in a
day.

Table 41-4 Notification content

Parameter Description

Language Select the language for the message from the drop-down menu.
840 Response rule actions
Configuring the Server FlexResponse action

Table 41-4 Notification content (continued)

Parameter Description

Add Language Click the icon to add multiple language(s) for the message.

See “About Endpoint Prevent response rules in different locales”

on page 1337.

Subject Enter a subject for the message that indicates what the message is about.

Body Enter the body of the message.

Insert You can add one or more variables to the subject or body of the email
Variables message by selecting the desired value(s) from the Insert Variables list.

Variables can be used to include the file name, policy name, recipients,
and sender in both the subject and the body of the email message. For
example, to include the policy and rules violated, you would insert the
following variables.

A message has violated the following rules in $POLICY$: $RULES$

See “Implementing response rules” on page 813.

Configuring the Server FlexResponse action

The All: Server FlexResponse action enables you to remediate any incident type
using a custom, server-side FlexResponse plug-in. You can configure a Server
FlexResponse response action for either automated response rules or smart
response rules.
The All: Server FlexResponse action is available only if you have licensed Network
Protect and you have deployed one or more Server FlexResponse plug-ins to
Symantec Data Loss Prevention.
See “Deploying a Server FlexResponse plug-in” on page 1166.
To configure a Server FlexResponse action
1 Log on to the Enforce Server administration console.
2 Create a new Response Rule for each custom Server FlexResponse plug-in.
Click Manage > Policies > Response Rules.
3 Click Add Response Rule.
4 Select either Automated Response or Smart Response. Click Next.
 Response rule actions 841
Configuring the Set Attribute action

5 Enter a name for the rule in the Rule Name field. (For Smart Response rules,
this name appears as the label on the button that incident responders select
during remediation.)
6 Enter an optional description for the rule in the Description field.
7 In the Actions (executed in the order shown) menu, select the action All:
Server FlexResponse.
8 Click Add Action.
9 In the FlexResponse Plugin menu, select a deployed Server FlexResponse
plug-in to execute with this Response Rule action.
The name that appears in this drop-down menu is the value specified in the
display-name property from either the configuration properties file or the
plug-in metadata class.
See “Deploying a Server FlexResponse plug-in” on page 1166.
10 Click Save.
11 Repeat this procedure, adding a Response Rule for any additional Server
FlexResponse plug-ins that you have deployed.

Configuring the Set Attribute action

The Set Attribute response rule action sets the incident status to the specified
value.
See “About response rule actions” on page 802.
This response rule action is available for all detection servers.
See “Response rules for all detection servers” on page 803.
The Set Attribute action is based on custom attributes you define at the System
> Incident Data > Attributes screen.
See “About custom attributes” on page 1004.
To configure the Set Attribute action
1 Configure a response rule at the Configure Response Rule screen.
See “Configuring response rules” on page 819.
2 Add the All: Sett Attribute action type from the Actions list.
See “Configuring response rule actions” on page 821.
3 Select the Attribute from the drop-down list (if more than one custom
attribute is defined).
842 Response rule actions
Configuring the Set Status action

4 Enter an incident status Value for the selected custom attribute.

5 Click Save to save the configuration.
See “Manage response rules” on page 817.
See “Implementing response rules” on page 813.

Configuring the Set Status action

The Set Status response rule action sets the incident status to the specified value.
See “About response rule actions” on page 802.
This response rule is available for all detection servers.
See “Response rules for all detection servers” on page 803.
This response rule action is based on the incident Status Values you configure at
the System > Incident Data > Attributes screen.
See “About incident status attributes” on page 997.
To configure the Set Status response rule action
1 Configure a response rule at the Configure Response Rule screen.
See “Configuring response rules” on page 819.
2 Add the All: Set Status action type from the Actions list.
3 See “Configuring response rule actions” on page 821.
4 Select the Status to assign to the incident from the list.
The following are some example incident statuses you might configure and
select from:
■ New
■ Escalated
■ Investigation
■ Resolved
■ Dismissed

5 Click Save to save the configuration.

See “Manage response rules” on page 817.
See “Implementing response rules” on page 813.
 Response rule actions 843
Configuring the Endpoint: FlexResponse action

Configuring the Endpoint: FlexResponse action

The Endpoint: FlexResponse response rule action lets you implement one or more
custom responses you have developed using the FlexResponse API.
See “About Endpoint FlexResponse” on page 1349.
This response rule is available for Endpoint Discover.
See “Response rules for Endpoint detection” on page 804.
To configure the Endpoint: FlexResponse response rule action
1 Configure a response rule at the Configure Response Rule screen.
See “Configuring response rules” on page 819.
2 Add the Endpoint: FlexResponse action type from the Actions list.
See “Configuring response rule actions” on page 821.
3 Enter the FlexResponse plugin Name and configure its Parameters.
See Table 41-5 on page 843.
4 Click Save to save the configuration.
See “Manage response rules” on page 817.

Table 41-5 Endpoint: FlexResponse response rule action parameters

Parameter Description

FlexResponse Enter the script module name with packages separated by a period (.)
Python Plugin

Plugin Click Add Parameter to add one or more parameters to the script.
parameters
Enter the Key/Value pair for each parameter.

Credentials You can add credentials for accessing the plugin.

You can add and store credentials at the System > Settings > Credentials screen.

See “About the credential store” on page 137.

See “Implementing response rules” on page 813.

844 Response rule actions
Configuring the Endpoint Discover: Quarantine File action

Configuring the Endpoint Discover: Quarantine File

action
The Endpoint Discover: Quarantine File response rule action removes a file
containing sensitive information from a non-secure location and places it in a
secure location.
See “About Endpoint Quarantine” on page 1330.
This response rule action is specific to Endpoint Discover incidents. This response
rule is not applicable to two-tiered detection methods requiring a Data Profile.
See “How to implement Endpoint Discover” on page 1327.
If you use multiple endpoint response rules in a single policy, make sure that you
understand the order of precedence for such rules.
See “About response rule action execution priority” on page 810.
To configure the Endpoint Discover: Quarantine File response rule action
1 Configure a response rule at the Configure Response Rule screen.
See “Configuring response rules” on page 819.
2 Add the Endpoint Discover: Quarantine File action type from the Actions
list.
See “Configuring response rule actions” on page 821.
3 Enter the Quarantine Path and the Marker File settings.
See Table 41-6 on page 844.
4 Click Save to save the configuration.
See “Manage response rules” on page 817.

Table 41-6 Endpoint Discover: Quarantine File response rule action parameters

Parameter Description

Quarantine Enter the path to the secured location where you want files to be placed. The secure location can
Path either be on the local drive of the endpoint computer, or can be on a remote file share. EFS folders
can also be used as the quarantine location.
 Response rule actions 845
Configuring the Endpoint Prevent: Block action

Table 41-6 Endpoint Discover: Quarantine File response rule action parameters
(continued)

Parameter Description

Access Mode If your secure location is on a remote file share, you must select how the Symantec DLP Agent
accesses that file share.
Select one of the following credential access types:

■ Anonymous Access
■ Use Saved Credentials

In anonymous mode, the Symantec DLP Agent runs as LocalSystem user to move the confidential
file. You can use anonymous mode to move files to a secure location on a local drive or to remote
share if it allows anonymous access.
Note: EFS folders cannot accept anonymous users.

A specified credential lets the Symantec DLP Agent impersonate the specified user to access the
secure location. The credentials must be in the following format:

domain\user

You must enter the specified credentials you want to use through the System Credentials page.

See “Configuring endpoint credentials” on page 138.

Marker File Select the Leave marker in place of the remediated file checkbox to create a placeholder file that
replaces the confidential file.

Marker Text Specify the text to appear in the marker file. If you selected the option to leave the marker file in
place of the remediated file, you can use variables in the marker text.

To specify the marker text, select the variable from the Insert Variable list.

For example, for Marker Text you might enter:

A message has violated the following rules in $POLICY$: $RULES

Or, you might enter:

$FILE_NAME$ has been moved to $QUARANTINE_PARENT_PATH$

See “About response rule actions” on page 802.

See “Response rules for Endpoint detection” on page 804.

Configuring the Endpoint Prevent: Block action

The Endpoint Prevent: Block response rule action blocks the movement of
confidential data on the endpoint computer and optionally displays an on-screen
notification to the endpoint user.
846 Response rule actions
Configuring the Endpoint Prevent: Block action

See “About response rule actions” on page 802.

This response rule action is specific to Endpoint Prevent incidents. This response
rule is not applicable to two-tiered detection methods requiring a Data Profile.
See “How to implement Endpoint Discover” on page 1327.
If you combine multiple endpoint response rules in a single policy, make sure that
you understand the order of precedence for such rules.
See “About response rule action execution priority” on page 810.

Note: The block action is not triggered for a copy of sensitive data to a local drive.

To configure the Endpoint Prevent: Block response rule action

1 Configure a response rule at the Configure Response Rule screen.
See “Configuring response rules” on page 819.
2 Add the Endpoint Prevent: Block action type from the Actions list.
3 See “Configuring response rule actions” on page 821.
4 Enter the Endpoint Notification Content settings.
See Table 41-7 on page 846.
5 Click Save to save the configuration.
See “Manage response rules” on page 817.

Table 41-7 Endpoint Prevent: Block response rule action parameters

Parameter Configuration

Language Select the language you want the response rule to execute on. Click Add Language to add more
than one language.

See “About Endpoint Prevent response rules in different locales” on page 1337.

See “Setting Endpoint Prevent response rules for different locales” on page 1338.

Display Alert This field is optional for Endpoint Block actions. Select an Endpoint Block action to display an
Box with this on-screen notification to the endpoint user when the system blocks an attempt to copy confidential
message data.

Enter the notification message in the text box. You can add variables to the message by selecting
the appropriate value(s) from the Insert Variable box.

Optionally, you can configure the on-screen notification to include user justifications as well as
an option for users to enter their own justification.
 Response rule actions 847
Configuring the Endpoint Prevent: Block action

Table 41-7 Endpoint Prevent: Block response rule action parameters (continued)

Parameter Configuration

Insert Variable Select the variables to include in the on-screen notification to the endpoint when the system blocks
an attempt to copy confidential data.
You can select variables based on the following types:

■ Application
■ Content Name
■ Content Type
■ Device Type
■ Policy Names
■ Protocol

Allow user to Select this option to display up to four user justifications in the on-screen notification. When the
choose notification appears on the endpoint computer, the user is required to choose one of the
explanation justifications. (If you select Allow user to enter text explanation, the user can enter a justification.)
Symantec Data Loss Prevention provides four default justifications, which you can modify or
remove as needed.
Justification:

■ User Education
■ Broken Business Process
■ Manager Approved
■ False positive
Each justification entry consists of the following options:

■ Check box
This option indicates whether to include the associated justification in the notification. To
remove a justification, clear the check box next to it. To include a justification, select the check
box next to it.
■ Justification
The system label for the justification. This value appears in reports (for ordering and filtering
purposes), but the user does not see it. You can select the desired option from the drop-down
list.
■ Option Presented to End User
The justification text the system displays in the notification. This value appears in reports with
the justification label. You can modify the default text as desired.
To add a new justification, select New Justification from the drop-down list. In the Enter new
justification text box that appears, enter the justification name. When you save the rule, Symantec
Data Loss Prevention includes it as an option (in alphabetical order) in all Justification drop-down
lists.
Note: You should be selective when adding new justifications. Deleting new justifications is not
currently supported.
848 Response rule actions
Configuring the Endpoint Prevent: Notify action

Table 41-7 Endpoint Prevent: Block response rule action parameters (continued)

Parameter Configuration

Allow user to Select this option to include a text box into which users can enter their own justification.
enter text
explanation

See “Response rules for Endpoint detection” on page 804.

Configuring the Endpoint Prevent: Notify action

The Endpoint Prevent: Notify response rule action displays an on-screen
notification to the endpoint user when the user attempts to copy or send a sensitive
file. You can provide a reason for the notification as well as options for the endpoint
user to give a justification for the action.
See “About response rule actions” on page 802.
This response rule action is available for Endpoint Prevent.
See “How to implement Endpoint Prevent” on page 1335.

Note: The notify action is not triggered for a copy of sensitive data to a local drive.

To configure the Endpoint Prevent: Notify action

1 Configure a response rule at the Configure Response Rule screen.
See “Configuring response rules” on page 819.
Add the Endpoint Prevent: Notify action type from the Actions list.
See “Configuring response rule actions” on page 821.
2 Configure the action parameters.
See Table 41-8 on page 849.
3 Click Save to save the configuration.
See “Manage response rules” on page 817.
 Response rule actions 849
Configuring the Endpoint Prevent: Notify action

Table 41-8 Endpoint Prevent: Notify response rule action parameters

Parameter Description

Language Select the language you want the response rule to execute on.

Click Add Language to add more than one language.

See “About Endpoint Prevent response rules in different locales” on page 1337.

See “Setting Endpoint Prevent response rules for different locales” on page 1338.

Display Alert Box This field is required for Endpoint Notify actions. Select this option to display an on-screen
with this message notification to the endpoint user.

Enter the notification message in the text box. You can add variables to the message by
selecting the appropriate value(s) from the Insert Variable box.

Optionally, you can configure the on-screen notification to include user justifications as well
as the option for users to enter their own justifications.

Insert Variable Select the variables that you want to include in the on-screen notification to the endpoint
user.
You can select variables based on the following types:

■ Application
■ Content Name
■ Content Type
■ Device Type
■ Policy Names
■ Protocol
850 Response rule actions
Configuring the Endpoint Prevent: Notify action

Table 41-8 Endpoint Prevent: Notify response rule action parameters

(continued)

Parameter Description

Allow user to choose Select this option to display up to four user justifications in the on-screen notification. When
explanation the notification appears on the endpoint computer, the user is required to choose one of the
justifications. (If you select Allow user to enter text explanation, the user can enter a
justification.) Symantec Data Loss Prevention provides four default justifications, which you
can modify or remove as needed.
Available Justifications:

■ Broken Business Process

■ False positive
■ Manager Approved
■ User Education
■ Custom (new justification)
Each justification entry consists of the following options:

■ Check box
This option indicates whether to include the associated justification in the notification.
To remove a justification, clear the check box next to it. To include a justification, select
the check box next to it.
■ Justification
The system label for the justification. This value appears in reports (for ordering and
filtering purposes), but the user does not see it. You can select the desired option from
the drop-down list.
■ Option Presented to End User
The justification text Symantec Data Loss Prevention displays in the notification. This
value appears in reports with the justification label. You can modify the default text as
desired.

To add a new justification, select New Justification from the appropriate drop-down list. In
the Enter new justification text box that appears, type the justification name. When you save
the rule, the system includes the new justification as an option (in alphabetical order) in all
Justification drop-down lists.
Note: You should be selective in adding new justifications. Deleting new justifications is not
currently supported.

Allow user to enter Select this option to include a text box into which users can enter their own justification.
text explanation

See “Response rules for Endpoint detection” on page 804.

 Response rule actions 851
Configuring the Endpoint Prevent: User Cancel action

Configuring the Endpoint Prevent: User Cancel action

The Endpoint Prevent: User Cancel response rule action displays a time-sensitive
notification to the user when a policy is violated.
See “About response rule actions” on page 802.
Users have a limited amount of time to decide to ignore the policy violation or
not. If the violation is ignored, the data transfer completes and an incident is
created. If the violation is not ignored, the data transfer is stopped and an incident
is created. If the user does not make a decision in the allotted time, the data
transfer is automatically blocked and an incident is created. You can provide a
reason for the notification as well as options for the endpoint user to enter a
justification for the action.
This response rule action is available for Endpoint Prevent.
See “How to implement Endpoint Prevent” on page 1335.
To configure the Endpoint Prevent: User Cancel action
1 Configure a response rule at the Configure Response Rule screen.
See “Configuring response rules” on page 819.
Add the Endpoint Prevent: User Cancel action type from the Actions list.
See “Configuring response rule actions” on page 821.
2 Configure the Endpoint Prevent: User Cancel parameters.
See Table 41-9 on page 851.
3 Click Save to save the configuration.
See “Manage response rules” on page 817.

Table 41-9 Endpoint Prevent: User Cancel parameters

Parameter Description

Language Select the language you want the response rule to execute on.

Click Add Language to add more than one language.

See “About Endpoint Prevent response rules in different locales” on page 1337.

See “Setting Endpoint Prevent response rules for different locales” on page 1338.

Pre-timeout warning This field is required to notify users that they have a limited amount of time to respond to
the incident.

Enter the notification message in the text box. You can add variables to the message by
selecting the appropriate value(s) from the Insert Variable box.
852 Response rule actions
Configuring the Endpoint Prevent: User Cancel action

Table 41-9 Endpoint Prevent: User Cancel parameters (continued)

Parameter Description

Post-timeout This field notifies users that the amount of time to override the policy has expired. The data
message transfer was blocked.

Enter the notification message in the text box. You can add variables to the message by
selecting the appropriate value(s) from the Insert Variable box.

Display Alert Box This field is required for Endpoint User Cancel actions. Select this option to display an
with this message on-screen notification to the endpoint user.

Enter the notification message in the text box. You can add variables to the message by
selecting the appropriate value(s) from the Insert Variable box.

Optionally, you can configure the on-screen notification to include user justifications as well
as the option for users to enter their own justifications.

Insert Variable Select the variables that you want to include in the on-screen notification to the endpoint
user.
You can select variables based on the following types:

■ Application
■ Content Name
■ Content Type
■ Device Type
■ Policy Name
■ Protocol
■ Timeout Counter

Note: You must use the Timeout Counter variable to display how much time remains before
blocking the data transfer.
 Response rule actions 853
Configuring the Endpoint Prevent: User Cancel action

Table 41-9 Endpoint Prevent: User Cancel parameters (continued)

Parameter Description

Allow user to choose Select this option to display up to four user justifications in the on-screen notification. When
explanation. the notification appears on the endpoint computer, the user is required to choose one of the
justifications. (If you select Allow user to enter text explanation, the user can enter a
justification.) Symantec Data Loss Prevention provides four default justifications, which you
can modify or remove as needed.
Available Justifications:

■ Broken Business Process

■ False positive
■ Manager Approved
■ User Education
■ Custom (new justification)
Each justification entry consists of the following options:

■ Check box
This option indicates whether to include the associated justification in the notification.
To remove a justification, clear the check box next to it. To include a justification, select
the check box next to it.
■ Justification
The system label for the justification. This value appears in reports (for ordering and
filtering purposes), but the user does not see it. You can select the desired option from the
drop-down list.
■ Option Presented to End User
The justification text Symantec Data Loss Prevention displays in the notification. This
value appears in reports with the justification label. You can modify the default text as
desired.

To add a new justification, select New Justification from the appropriate drop-down list. In
the Enter new justification text box that appears, type the justification name. When you save
the rule, the system includes the new justification as an option (in alphabetical order) in all
Justification drop-down lists.
Note: You should be selective in adding new justifications. Deleting new justifications is not
currently supported.

Allow user to enter Select this option to include a text box into which users can enter their own justification.
text explanation.

See “Implementing response rules” on page 813.

854 Response rule actions
Configuring the Network and Mobile Prevent for Web: Block FTP Request action

Configuring the Network and Mobile Prevent for Web:

Block FTP Request action
The Network and Mobile Prevent for Web: Block FTP Request response rule action
blocks any file transfer by FTP on your network or mobile device.
See “About response rule actions” on page 802.
This response rule is available only for Network Prevent for Web integrated with
a proxy server or Mobile Prevent for Web integrated with both a VPN server and
a proxy server.
See “Configuring Network Prevent for Web Server” on page 1095.
See “Implementing Mobile Prevent” on page 1429.
To configure the Network and Mobile Prevent for Web: Block FTP Request response
rule action
1 Configure a response rule at the Configure Response Rule screen.
See “Configuring response rules” on page 819.
2 Add the Network and Mobile Prevent for Web: Block FTP Request action
type from the Actions list.
The Block FTP Request response rule action does not require any further
configuration. Once the response rule is deployed to a policy, this action
blocks any FTP attempt.
See “Configuring response rule actions” on page 821.
3 Click Save to save the configuration.
See “Manage response rules” on page 817.
See “Implementing response rules” on page 813.

Configuring the Network and Mobile Prevent for Web:

Block HTTP/S action
The Network and Mobile Prevent for Web: Block HTTP/S response rule action
blocks the transmission of Web content that Network Prevent for Web or Mobile
Prevent for Web detects. This action also blocks Web-based email messages and
attachments.
See “About response rule actions” on page 802.
This response rule action blocks the transmission of Web content using the
Internet Content Adaptation Protocol (ICAP). To implement this response rule
 Response rule actions 855
Configuring the Network and Mobile Prevent for Web: Block HTTP/S action

action you must integrate the detection server with a Web proxy server. For Mobile
Prevent for Web, you must also integrate with a VPN server.
See “Configuring Network Prevent for Web Server” on page 1095.
See “Implementing Mobile Prevent” on page 1429.
To configure the Network Prevent: Block HTTP/S response rule action
1 Integrate Network Prevent for Web or Mobile Prevent for Web with a proxy
server and, if necessary, a VPN server.
See “Network Prevent for Web Server—basic configuration” on page 200.

2 Configure a response rule at the Configure Response Rule screen.

See “Configuring response rules” on page 819.
3 Add the Network and Mobile Prevent for Web: Block HTTP/S action type
from the Actions list.
See “Configuring response rule actions” on page 821.
4 Edit the Rejection Message, as necessary.
The system presents this message to the user's browser when the action
blocks content.
For example, you might include some HTML-coded text to display in a browser.

Note: If the requesting client does not expect an HTML response, the Rejection
Message may not be displayed in the client browser. For example, a client
expecting an XML response to a Web post may only indicate a Javascript
error.

5 Click Save to save the configuration of the response rule.

Certain applications may not provide an adequate response to the Network and
Mobile Prevent for Web: Block HTTP/S response action. This behavior has been
observed with the Yahoo! Mail application when a detection server blocks a file
upload. If a user tries to upload an email attachment and the attachment triggers
a Network and Mobile Prevent for Web: Block HTTP/S response action, Yahoo!
Mail does not respond or display an error message to indicate that the file is
blocked. Instead, Yahoo! Mail appears to continue uploading the selected file, but
the upload never completes. The user must manually cancel the upload at some
point by pressing Cancel.
Other applications may also exhibit this behavior, depending on how they handle
the block request. In these cases a detection server incident is created and the file
upload is blocked even though the application provides no such indication.
856 Response rule actions
Configuring the Network Prevent: Block SMTP Message action

See “Implementing response rules” on page 813.

Configuring the Network Prevent: Block SMTP

Message action
The Network Prevent: Block SMTP Message response rule action blocks SMTP
email messages that cause an incident on the Network Prevent (Email) detection
server.
See “About response rule actions” on page 802.
This response rule action is only available with Network Prevent for Email.
See “Response rules for Network and Mobile Prevent for Web detection”
on page 805.
You must integrate the Network Prevent for Email detection server with a Mail
Transfer Agent (MTA) to implement this response rule action. Refer to the
Symantec Data Loss Prevention MTA Integration Guide for Network Prevent (Email)
for details.
To configure the Block SMTP Message response rule action
1 Configure a response rule at the Configure Response Rule screen.
See “Configuring response rules” on page 819.
2 Add the Network Prevent: Block SMTP Message action type from the Actions
list.
See “Configuring response rule actions” on page 821.
3 Configure the Block SMTP Message action parameters.
See Table 41-10 on page 856.
4 Click Save to save the response rule.
See “Manage response rules” on page 817.

Table 41-10 Network Prevent: Block SMTP Message parameters

Parameter Description

Bounce Message to Sender Enter the text that you want to appear in the SMTP error that Network Prevent
(Email) returns to the MTA. Some MTAs display this text in the message that
is bounced to the sender.

If you leave this field blank, the message does not bounce to the sender but
the MTA sends its own message.
 Response rule actions 857
Configuring the Network Prevent: Modify SMTP Message action

Table 41-10 Network Prevent: Block SMTP Message parameters (continued)

Parameter Description

Redirect Message to this Address If you want to redirect blocked messages to a particular address (such as the
Symantec Data Loss Prevention administrator), enter that address in this
field.

If you leave this field blank, the bounced message goes to the sender only.

See “Implementing response rules” on page 813.

Configuring the Network Prevent: Modify SMTP

Message action
The Network Prevent: Modify SMTP Message response rule action lets you modify
a sensitive email. For example, you can use this action to change an email subject
header to include information about the policy violation type.
See “About response rule actions” on page 802.
This response rule action is only available for Network Prevent for Email.
See “Response rules for Network and Mobile Prevent for Web detection”
on page 805.
To configure the Network Prevent: Modify SMTP Message action
1 Configure a response rule at the Configure Response Rule screen.
See “Configuring response rules” on page 819.
2 Add the Network Prevent: Modify SMTP Message action type from the
Actions list.
See “Configuring response rule actions” on page 821.
3 Configure the action parameters.
See Table 41-11 on page 858.
4 Click Save to save the configuration.
See “Manage response rules” on page 817.
858 Response rule actions
Configuring the Network and Mobile Prevent for Web: Remove HTTP/S Content action

Table 41-11 Network Prevent: Modify SMTP Message parameters

Parameter Description

Subject Select the type of modification to make to the subject of the message from the following options:

■ Do not Modify – No text is changed in the subject.

■ Prepend – New text is added to the beginning of the subject.
■ Append – New text is added to the end of the subject.
■ Replace With – New text completely replaces the old subject text.

If the subject text is currently modified, specify the new text.

For example, if you want to prepend "VIOLATION" to the subject of the message, select Prepend
and enter VIOLATION in the text field.

Headers Enter a unique name and a value for each header you want to add to the message (up to three).

Enable Email Select this option to enable integration with Symantec Messaging Gateway. When this option is
Quarantine enabled, Symantec Data Loss Prevention adds preconfigured x-headers to the message that
Connect inform Symantec Messaging Gateway that the message should be quarantined.
(Requires
For more information, see the Symantec Data Loss Prevention Email Quarantine Connect
Symantec
FlexResponse Implementation Guide.
Messaging
Gateway)

See “Implementing response rules” on page 813.

Configuring the Network and Mobile Prevent for Web:

Remove HTTP/S Content action
The Network and Mobile Prevent for Web: Remove HTTP/S Content response
action removes confidential data that is posted to Web mail sites (such as Gmail),
blogs (such as Blogspot), and other sites. This action also removes confidential
data that is included in any files that users upload to Web sites or attach to Web
mail. This action only applies to HTTP/S POST commands; it does not apply to
GET commands.
See “About response rule actions” on page 802.
This response rule action is only available for Network Prevent for Web and Mobile
Prevent for Web.
See “Response rules for Network and Mobile Prevent for Web detection”
on page 805.
Symantec Data Loss Prevention recognizes Web form fields for selected Web mail,
blog, and social networking sites. If Network Prevent for Web or Mobile Prevent
 Response rule actions 859
Configuring the Network and Mobile Prevent for Web: Remove HTTP/S Content action

for Web cannot remove confidential data for a Web site it recognizes, it creates
a system event and performs a configured fallback option.

Note: Symantec Data Loss Prevention removes content for file uploads and, for
Network Prevent, Web mail attachments even for those sites that it does not
recognize for HTTP content removal.

To configure the Network and Mobile Prevent for Web: Remove HTTP/S Content
action
1 Configure a response rule at the Configure Response Rule screen.
See “Configuring response rules” on page 819.
2 Add the Network and Mobile Prevent for Web: Remove HTTP/S Content
action type from the Actions list.
See “Configuring response rule actions” on page 821.
3 Configure the action parameters.
See Table 41-12 on page 859.
4 Click Save to save the configuration.
See “Manage response rules” on page 817.

Table 41-12 Network and Mobile Prevent for Web: Remove HTTP/S Content
parameters

Field Description

Removal The message that appears in content (Web postings, Web mail, or files) from which the system has
Message removed confidential information. Only the recipient sees this message.

Fallback The action to take if Network Prevent for Web or Mobile Prevent for Web cannot remove confidential
option information that was detected in an HTTP or HTTPS post.

The available options are Block (the default) and Allow.

Note: Symantec Data Loss Prevention removes confidential data in file uploads and, for Network
Prevent, Web mail attachments, even for sites in which it does not perform content removal. The
Fallback option is taken only in cases where Symantec Data Loss Prevention detects confidential
content in a recognized Web form, but it cannot remove the content.

Rejection The message that Network Prevent or Mobile Prevent returns to a client when it blocks an HTTP
Message or HTTPS post. The client Web application may or may not display the rejection message, depending
on how the application handles error messages.

See “Implementing response rules” on page 813.

860 Response rule actions
Configuring the Network Protect: Copy File action

Configuring the Network Protect: Copy File action

The Network Protect: Copy File response rule action copies a sensitive file to the
local file system.
See “About response rule actions” on page 802.
This response rule action is only available for Network Discover that is configured
for Network Protect.
See “Response rules for Network and Mobile Prevent for Web detection”
on page 805.
To configure the Network Protect: Copy File response rule action
1 Configure a network file share and specify a location to copy files to.
See “Configuring Network Protect for file shares” on page 1195.
2 Configure a response rule at the Configure Response Rule screen.
See “Configuring response rules” on page 819.
3 Select the Network Protect: Copy File action type from the Actions list.
This action does not require you to configure any parameters.
See “Configuring response rule actions” on page 821.
4 Click Save to save the configuration.
See “Manage response rules” on page 817.
See “Implementing response rules” on page 813.

Configuring the Network Protect: Quarantine File

action
The Network Protect: Quarantine File response rule action quarantines a file that
the detection server identifies as sensitive or protected.
See “About response rule actions” on page 802.
This response rule action is only available for Network Discover that is configured
for Network Protect.
See “Response rules for Network and Mobile Prevent for Web detection”
on page 805.
 Response rule actions 861
Configuring the Network Protect: Quarantine File action

To configure the Network Protect: Quarantine File response rule action

1 Configure a response rule at the Configure Response Rule screen
See “Configuring response rules” on page 819.
2 Add the Network Protect: Quarantine File action type from the Actions list.
See “Configuring response rule actions” on page 821.
3 Configure the Network Protect: Quarantine File parameters.
See Table 41-13 on page 861.
4 Click Save to save the configuration.
See “Manage response rules” on page 817.

Table 41-13 Network Protect: Quarantine File configuration parameters

Parameter Description

Marker File Select this option to create a marker text file to replace the original file. This action notifies the user
what happened to the file instead of quarantining or deleting the file without any explanation.
Note: The marker file is the same type and has the same name as the original file, as long as it is a
text file. An example of such a file type is Microsoft Word. If the original file is a PDF or image file,
the system creates a plain text marker file. The system then gives the file the same name as the original
file with .txt appended to the end. For example, if the original file name is accounts.pdf, the marker
file name is accounts.pdf.txt.

Marker Text Specify the text to appear in the marker file. If you selected the option to leave the marker file in place
of the remediated file, you can use variables in the marker text.

To specify marker text, select the variable from the Insert Variable list.

For example, for Marker Text you might enter:

A message has violated the following rules in $POLICY$: $RULES

Or, you might enter:

$FILE_NAME$ has been moved to $QUARANTINE_PARENT_PATH$

See “Implementing response rules” on page 813.

862 Response rule actions
Configuring the Network Protect: Quarantine File action
 Section 6
Remediating and managing
incidents

■ Chapter 42. Remediating incidents

■ Chapter 43. Remediating Network incidents

■ Chapter 44. Remediating Endpoint incidents

■ Chapter 45. Remediating Mobile incidents

■ Chapter 46. Remediating Discover incidents

■ Chapter 47. Working with Classification incidents

■ Chapter 48. Managing and reporting incidents

■ Chapter 49. Archiving incidents

■ Chapter 50. Working with incident data

■ Chapter 51. Working with the User Risk Summary

■ Chapter 52. Implementing lookup plug-ins

864
 Chapter 42
Remediating incidents
This chapter includes the following topics:

■ About incident remediation

■ Remediating incidents

■ Executing Smart response rules

■ Incident remediation action commands

■ Response action variables

■ Monitor and Prevent incident variables

■ Mobile incident variables

■ Discover incident variables

About incident remediation

As incidents occur in your system, individuals in your organization must analyze
the incidents, determine why they occurred, identify trends, and remediate the
problems.
Symantec Data Loss Prevention provides a rich set of capabilities which can be
used to build an effective incident remediation process. Once you are ready to
take action, you can use a series of incident commands on the Incident Snapshot
and Incident List pages.
Since the Incident Snapshot page displays details about one specific incident,
you can select a command to perform an action on the displayed incident.
On the Incident List page, you can perform an action on multiple incidents at one
time. You can select more than one incident from the list and then choose the
desired command.
866 Remediating incidents
About incident remediation

Table 42-1 describes the options that are involved in incident remediation:

Table 42-1 Options involved in incident remediation

Remediation Description
options

Role-based access Access to incident information in the Symantec Data Loss

control Prevention system can be tightly controlled with role-based access
control. Roles control which incidents a particular remediator can
take action on, as well as what information within that incident is
available to the remediator. For example, access control can be
used to ensure that a given remediator can act only on incidents
originating within a particular business unit. In addition, it might
prevent that business unit's staff from ever seeing high-severity
incidents, instead routing those incidents to the security
department.

See “About role-based access control” on page 87.

Severity level Incident severity is a measure of the risk that is associated with a
assignment particular incident. For example, an email message containing 50
customer records can be considered more severe than a message
containing 50 violations of an acceptable use policy. Symantec
Data Loss Prevention lets you specify what constitutes a severe
incident by configuring it at the policy rule level. Symantec Data
Loss Prevention then uses the severity of the incident to drive
subsequent responses to the incident. This process lets you
prioritize incidents and devote your manual remediation resources
to the areas where they are needed most.

Custom attribute Custom attribute lookup is the process of collecting additional

lookup information about the incident from data sources outside of
Enforce and the incident itself. For example, a corporate LDAP
server can be queried for additional information about the message
sender, such as the sender's manager name or business unit.

See “About using custom attributes” on page 1006.

For example, you can use custom attributes as input to subsequent

automated responses to automatically notify the sender's manager
about the policy violation.

See “Setting the values of custom attributes manually” on page 1008.

 Remediating incidents 867
About incident remediation

Table 42-1 Options involved in incident remediation (continued)

Remediation Description
options

Automated incident A powerful feature of the Enforce Server is the ability to

responses automatically respond to incidents as they arise. For example, you
can configure the system to respond to a serious incident by
blocking the offending communication. You can send an email
message to the sender's manager. You can send an alert to a
security event management system. You can escalate the incident
to the security department. On the other hand, an acceptable use
incident might be dispensed with by sending an email message to
the sender. Then you can mark the incident as closed, requiring
no further work. Between these extremes, you can establish a policy
that automatically encrypts transmissions of confidential data to
a business partner. All of these scenarios can be handled
automatically without user intervention.

See “Configuring response rule actions” on page 821.

Smart Response Although the automated response is an important part of the

remediation process, SmartResponse is necessary at times,
particularly in the case of more serious incidents. Symantec Data
Loss Prevention provides a detailed Incident Snapshot with all of
the information necessary to determine the next steps in
remediation. You can use SmartResponse to manually update
incident severity, status, and custom attributes, add comments to
the incident. You can move the incident through the remediation
workflow to resolve it.

See “Configuring response rule actions” on page 821.

The following standard SmartResponse actions are available:

■ Add Note
■ Log to a Syslog Server
■ Send Email Notification
■ Set Status

See “Configuring the Server FlexResponse action” on page 840.

Distribution of You can create and automatically distribute aggregated incident

aggregated incident reports to data owners for remediation.
reports

The Enforce Server handles all of these steps, except for Smart Response. You
can handle incidents in an entirely automated way. You can reserve manual
intervention (Smart Response) for only the most serious incidents.
868 Remediating incidents
Remediating incidents

See “Network incident snapshot” on page 880.

See “Discover incident snapshots” on page 920.
See “Endpoint incident snapshot” on page 892.

Remediating incidents
When you remediate an incident, you can perform the following actions:
■ Set the incident’s status or severity.
■ Apply a Smart Response rule to the incident.
■ Set the incident’s custom attributes.
■ Add comments to the incident record.
■ Remediate incidents by going to an incident list or incident snapshot and
selecting actions to perform on one or more incidents.
■ Perform some combination of these actions.
You can import a solution pack during installation. Solution packs prepopulate
incident lists and incident snapshots with several remediation options and custom
attributes. For complete descriptions of all solution packs (including information
about all remediation options and custom attributes they contain), refer to the
documentation for each of the solution packs in the solutions packs directory in
the documentation.
To remediate incidents
1 Access an incident list or incident snapshot.
In incident lists, Symantec Data Loss Prevention displays available
remediation options in the Incident Actions drop-down menu. The menu
becomes active when you select one or more incidents in the list (with the
check box). In incident snapshots, Symantec Data Loss Prevention also
displays the available remediation options. You can set a Status or Severity
from the drop-down menus.
See “Viewing incidents” on page 947.
You can also edit the Attributes and provide related information.
2 Take either of the following actions:
■ When you view an incident list, select the incident(s) to be remediated
(check the box). You can select incidents individually or select all incidents
on the current screen. Then select the wanted action from the Incidents
Actions drop-down menu. For example, select Incident Actions > Set
Status > Escalated.
 Remediating incidents 869
Executing Smart response rules

You can perform as many actions as needed.

■ When you view an incident snapshot, you can set the Status and Severity
from the drop-down menus.
If a Smart Response has been previously set up, you can select a Smart
Response rule in the remediation bar.
See “About response rules” on page 802.
For example, if one of the Solution Packs was installed, you can select
DismissFalsePositive in the remediation bar. When the ExecuteResponse
Rule screen appears, click OK. This Smart Response rule changes the
incident status from New to Dismissed and sets the Dismissal Reason
attribute to False Positive.
You can perform as many remediation actions as needed.

Executing Smart response rules

When you execute a response rule that sends an email, you can manually compose
the contents of the email notification.

Note: Sending an email notification to the sender applies to SMTP incidents only.
Also, the notification addressees that are based on custom attributes (such as
"manager email") work correctly only if populated by the attribute lookup plug-in.

To compose an email notification response

1 Enter optional emails for copies in the CC field.
2 Select the language.
3 Compose or edit the subject and body of the email.
4 Insert variables for the fields in the incident. The supported variables appear
as links to the right of the editable fields.
For example, if you want to include the policy and rules violated, you might
enter:

A message has violated the following rules in $POLICY$:

$RULES$

5 Click OK to send the notification.

See “Adding a new response rule” on page 818.
See “About incident remediation” on page 865.
See “Response action variables” on page 871.
870 Remediating incidents
Incident remediation action commands

Incident remediation action commands

In an incident list, use the Incident Actions drop-down to select remediation
actions.
The following incident actions are available for an incident list:

Add Note Add a brief note to the selected incident(s). The

comment appears on the Incident History tab of the
Incident Snapshot page for each selected incident.

Archive Select one of the following archive actions to set the

archive state for the selected incidents:

■ Archive Incidents—Flags the selected incidents as

archived.
■ Restore Incidents—Restores the selected incidents
to the non-archived state.
■ Do Not Archive—Prevents the selected incidents
from being archived.
■ Allow Archive—Allows the selected incidents to be
archived.

See “About incident archiving” on page 993.

Delete Incidents Delete the selected incident(s) from the Symantec Data
Loss Prevention system.

Proceed cautiously when deleting incidents. All data

that is associated with the incident(s) is removed. This
operation cannot be reversed.

Export Selected: CSV Export the selected incident(s) to a comma-separated

(.csv) file.

Export Selected: XML Export the selected incident(s) to an XML file.

Lookup Attributes Use the configured lookup plug-ins to look up the

configured attributes.

Set Attributes Display the Set Attributes page so you can enter or
edit the attribute values for the selected incident(s).

Set Data Owner Set the following Data Owner attributes:

■ Name
■ Email Address

Set Severity Change the severity that is set for the selected
incident(s) to one of the options under Set Severity.
 Remediating incidents 871
Response action variables

Set Status Change the status of the selected incident(s) to one of

the options under Set Status. A system administrator
can customize the options that appear on this list on
the Incident Attributes page.

See “About incident status attributes” on page 997.

Run Smart Response Perform one of the listed responses on the selected
incident(s). When you click a response rule, the Execute
Response Rule page appears.

These manual response rules are available only if you

have permission to remediate.

See “About incident remediation” on page 865.

Response action variables

Response action variables can be used in response rules.
See “Executing Smart response rules” on page 869.
The response action variables are different for Network Monitor and Network
Prevent incidents than for Network Discover and Network Protect incidents.
See “Monitor and Prevent incident variables” on page 871.
See “Mobile incident variables” on page 872.
See “Discover incident variables” on page 873.

Monitor and Prevent incident variables

The following Network Monitor and Network Prevent variables are available:

$BLOCKED$ Indication of whether or not Symantec Data Loss

Prevention blocked the message (yes or no).

$DATAOWNER_NAME$ The person responsible for remediating the

incident. This field must be set manually, or with
one of the lookup plug-ins.

Reports can automatically be sent to the data

owner for remediation.

$DATAOWNER_EMAIL$ The email address of the person responsible for

remediating the incident. This field must be set
manually, or with one of the lookup plug-ins.
872 Remediating incidents
Mobile incident variables

$INCIDENT_ID$ The ID of the incident.

$INCIDENT_SNAPSHOT$ The fully qualified URL to the incident snapshot

page for the incident.

$MATCH_COUNT$ The incident match count.

$POLICY_NAME$ The name of the policy that was violated.

$POLICY_RULES$ A comma-separated list of one or more policy

rules that were violated.

$RECIPIENTS$ A comma-separated list of one or more message

recipients.

$SENDER$ The message sender.

$SEVERITY$ The severity that is assigned to incident.

$SUBJECT$ The subject of the message.

Mobile incident variables

The following Mobile Prevent for Web variables are available:

$BLOCKED$ Indication of whether or not Symantec Data Loss Prevention blocked the
message (yes or no).

$DATAOWNER_NAME$ The person responsible for remediating the incident. This field must be set
manually, or with one of the lookup plug-ins.

Reports can automatically be sent to the data owner for remediation.

$DATAOWNER_EMAIL$ The email address of the person responsible for remediating the incident.
This field must be set manually, or with one of the lookup plug-ins.

$DEVICE_INSTANCE_ID$ The specific ID of the mobile device that generated the violation.

$ENDPOINT_MACHINE$ The name of the endpoint machine that generated the violation.

$FILE_FULL_PATH$ The full path to the file in which the incident was found.

$FILE_NAME$ The name of the file in which the incident was found.

$FILE_PARENT_DIRECTORY_PATH$ The path to the parent directory of the file in which the incident was found.

$INCIDENT_SNAPSHOT$ The ID of the incident.

$INCIDENT_SNAPSHOT$ The fully qualified URL to the incident snapshot page for the incident.
 Remediating incidents 873
Discover incident variables

$MATCH_COUNT$ The incident match count.

$POLICY_NAME$ The name of the policy that was violated.

$POLICY_RULES$ A comma-separated list of one or more policy rules that were violated.

$PROTOCOL$ The protocol, device type, or target type that generated the violation.

$QUARANTINE_PARENT_DIRECTORY_PATH$ The path to the parent directory in which the file was quarantined.

$RECIPIENTS$ A comma-separated list of one or more message recipients.

$SCAN_DATE$ The date of the scan that found the incident.

$SENDER$ The message sender.

$SEVERITY$ The severity that is assigned to incident.

$SUBJECT$ The subject of the message.

$TARGET$ The name of the target in which the incident was found.

Discover incident variables

The following Network Discover and Network Protect incident variables are
available:

$DATAOWNER_NAME$ The person responsible for remediating the incident. This field must be set
manually, or with one of the lookup plug-ins.

Reports can automatically be sent to the data owner for remediation.

$DATAOWNER_EMAIL$ The email address of the person responsible for remediating the incident.
This field must be set manually, or with one of the lookup plug-ins.

$FILE_NAME$ The name of the file in which the incident was found.

$INCIDENT_ID$ The ID of the incident.

$MATCH_COUNT$ The incident match count.

$FILE_PARENT_DIRECTORY_PATH$ The path to the parent directory of the file in which the incident was found.

$FILE_FULL_PATH$ The full path to the file in which the incident was found.

$POLICY_NAME$ The name of the policy that was violated.

$POLICY_RULES$ A comma-separated list of one or more policy rules that were violated.

$QUARANTINE_PARENT_DIRECTORY_PATH$ The path to the parent directory in which the file was quarantined.
874 Remediating incidents
Discover incident variables

$SCAN_DATE$ The date of the scan that found the incident.

$SEVERITY$ The severity that is assigned to incident.

$TARGET$ The name of the target in which the incident was found.
 Chapter 43
Remediating Network
incidents
This chapter includes the following topics:

■ Network incident list

■ Network incident list—Actions

■ Network incident list—Columns

■ Network incident snapshot

■ Network incident snapshot—Heading and navigation

■ Network incident snapshot—General information

■ Network incident snapshot—Matches

■ Network incident snapshot—Attributes

■ Network summary report

Network incident list

A network incident list shows multiple network incident records with information
about the incident such as: the severity, associated policy, number of matches,
and status of the incident. Click a row of the incident list to view more details
about a specific incident. Select specific incidents (or groups of incidents) to modify
or remediate by clicking the check boxes at the left.
876 Remediating Network incidents
Network incident list

Note: Use caution when you click Select All. This action selects all incidents in
the report (not only those on the current page). Any incident command you
subsequently apply affects all incidents. To select only the incidents on the current
page, select the checkbox at top left of the incident list.

Incident information is divided into several columns. Click any column header to
sort alpha-numerically by that column's data. To sort in reverse order, click the
column header a second time. By default, Symantec Data Loss Prevention sorts
incidents by date.
The Type column shows the icons that indicate the type of network incident.
Table 43-1 describes the icons.

Table 43-1 Type of network incident

Icon Description

SMTP

The addition of the second icon indicates a

message attachment.

HTTP

Symantec Data Loss Prevention also detects

the Yahoo and MSN IM traffic that is
tunneled through HTTP.

The addition of the second icon indicates an

attachment to Web-based email.

HTTPS

FTP

NNTP

IM:MSN

IM:AIM

IM:Yahoo

TCP:custom_protocol
 Remediating Network incidents 877
Network incident list

This column also indicates whether the communication was blocked or altered.
Table 43-2 shows the possible values.

Table 43-2 Incident block or altered status

Icon Description

No icon. Blank if the communication was not blocked.

Indicates Symantec Data Loss Prevention

blocked the communication containing the
matched text.

Indicates Symantec Data Loss Prevention

removed confidential data from Web
postings or Web-based email messages. This
icon can also indicate that a file was
uploaded to a Web site or attached to a
Web-based email message.

Indicates that Symantec Data Loss

Prevention added or modified the headers
on the message that generated the incident.

Use the following links to learn more about the Network incident list page:

To learn more about See this section

Columns of the incident list table See “Network incident list—Columns”

on page 879.

Actions to perform on selected incidents See “Network incident list—Actions”

on page 878.

Details of a specific incident See “Network incident snapshot” on page 880.

Viewing a summary of all network incidents See “Network summary report” on page 885.

Common features of all Symantec Data Loss See “About incident reports” on page 938.
Prevention reports
See “Common incident report features”
on page 965.

See “Saving custom incident reports”

on page 951.
878 Remediating Network incidents
Network incident list—Actions

Network incident list—Actions

You can select one or more incidents and then remediate them using commands
in the Incident Actions drop-down list. The incident commands are as follows:

Action Description

Add Note Select to open a dialog box, type a comment,

and then click OK.

Archive Select one of the following archive actions

to set the archive state for the selected
incidents:

■ Archive Incidents—Flags the selected

incidents as archived.
■ Restore Incidents—Restores the selected
incidents to the non-archived state.
■ Do Not Archive—Prevents the selected
incidents from being archived.
■ Allow Archive—Allows the selected
incidents to be archived.

See “About incident archiving” on page 993.

Delete Incidents Select to delete specified incidents.

Export Selected: CSV Select to save specified incidents in a

comma-separated text (.csv) file or XML file,
Export Selected: XML
which can be displayed in several common
applications, such as Microsoft Excel.

Lookup Attributes Use lookup plug-ins to look up incident

custom attributes.

Run Smart Response Select to run a Smart Response rule that you
or your administrator configured. (To
configure a Smart Response rule, navigate
to Policy > Response Rules, click Add
Response Rule, and select Smart Response.

Set Attributes Select to set attributes for the selected

incidents.

Set Data Owner Set the data owner name or email address.
The data owner is the person responsible for
remediating the incident.

Reports can automatically be sent to the data

owner for remediation.
 Remediating Network incidents 879
Network incident list—Columns

Action Description

Set Severity Select to set severity.

Set Status Select to set status.

See “About incident remediation” on page 865.

See “Network incident list” on page 875.

Network incident list—Columns

Incident information is divided into several columns. Click any column header to
sort alpha-numerically by that column's data. To sort in reverse order, click the
column header a second time. By default, Symantec Data Loss Prevention lists
incidents by date.
The report includes the following columns:
■ Check boxes that let you select incidents to remediate.
You can select one or more incidents to which to apply commands from the
Incident drop-down menu at the top of the list. Click the checkbox at the top
of the column to select all incidents on the current page. (Note that you can
also click Select All at far right to select all incidents in the report.)
■ Type
The protocol over which the match was detected.
See “Network incident list” on page 875.
■ Subject/Sender/Recipient(s)
Message subject, sender email address or IP address, recipient email address(es),
or URL(s).
■ Sent
Date and time the message was sent.
■ ID/Policy
Symantec Data Loss Prevention incident ID number and the policy against
which the incident was logged.
■ Matches
Number of matches in the incident.
■ Sev
Incident severity as determined by the severity setting of the rule the incident
matched.
The possible values are as follows:
880 Remediating Network incidents
Network incident snapshot

Icon Description

High

Medium

Low

For information only

■ Status
Current incident status.
The possible values are as follows:
■ New
■ In Process
■ Escalated
■ False Positive
■ Configuration Errors
■ Resolved
You or your administrator can add new status designations on the Attribute
Setup page.
See “Network incident list” on page 875.

Network incident snapshot

An incident snapshot provides detailed information about a particular incident.
It displays general incident information, matches detected in the intercepted text,
and incident attributes. The snapshot also enables you to execute any Smart
Response rules that you have configured.
The incident snapshot is divided into three panes, with navigation and Smart
Response options. Click on a link to view more help about the incident snapshot:

To learn more about See the section

Navigation and Smart Response options See “Network incident snapshot—Heading

and navigation” on page 881.

General incident information (left-hand See “Network incident snapshot—General

pane) information” on page 881.
 Remediating Network incidents 881
Network incident snapshot—Heading and navigation

To learn more about See the section

Matches in incident (middle pane) See “Network incident snapshot—Matches”

on page 884.

Attributes (right-hand pane) See “Network incident snapshot—Attributes”

on page 885.

Network incident snapshot—Heading and navigation

The following page navigation tools appear near the top of the incident snapshot:

Previous Displays the previous incident in the source

report.

Next Displays the next incident in the source

report.

Returns to the source report (where you

clicked the link to get to this screen).

Updates the snapshot with any new data,

such as a new comment in the History
section or a modified status.

If you configured any Smart Response rules, Symantec Data Loss Prevention
displays the response options for executing the rules at the top of the page.
Depending on the number of Smart Response rules, a drop-down menu may also
appear.
See “Network incident snapshot” on page 880.

Network incident snapshot—General information

The left section of the snapshot displays general incident information. You can
click on many values to view an incident list that is filtered on that value. An icon
may appear next to the Status drop-down list to indicate whether the request that
generated the incident was blocked or altered.
See Table 43-2 on page 877.
The current status and severity of the incident appear to the right of the snapshot
heading. To change one of the current values, click on it and choose another value
from the drop-down list.
The remaining portion of the general information pane is divided into four tabs.
882 Remediating Network incidents
Network incident snapshot—General information

■ Key Info
■ History
■ Notes
■ Correlations
Information in this section is divided into the following categories (not all of which
appear for every incident type):
 Remediating Network incidents 883
Network incident snapshot—General information

Table 43-3 Incident general information tabs

Tab Name Description

Key Info The Key Info tab shows the policy that was violated in the
incident. It also shows the total number of matches for the
policy, as well as matches per policy rule. Click the policy
name to view a list of all incidents that violated the policy.
Click view policy to view a read-only version of the policy.

This section also lists other policies that the same file
violated. To view the snapshot of an incident that is
associated with a particular policy, click go to incident next
to the policy name. To view a list of all incidents that the
file created, click show all.

The Key Info tab also includes the following information:

■ The name of the detection server that recorded the

incident.
■ The date and time the message was sent
■ The sender email or IP address
■ The recipient email or IP address(es)
■ The SMTP heading or the NNTP subject heading
■ The Is Archived field displays the archived state of the
incident, whether or not the incident is archivable, and
allows you to toggle the Do Not Archive flag for the
incident.
■ Attachment file name(s). Click to open or save the file.
If a response rule tells Symantec Data Loss Prevention
to discard the original message, you cannot view the
attachment.
■ The person responsible for remediating the incident
(Data Owner Name). This field must be set manually, or
with a lookup plug-in. Reports can automatically be sent
to the data owner for remediation.
If you click on a hyperlinked Data Owner Name, a
filtered list of incidents by Data Owner Name is
displayed.
■ The email address of the person responsible for
remediating the incident (Data Owner Email Address).
This field must be set manually, or with a lookup plug-in.
If you click on the hyperlinked Data Owner Email
Address, a filtered list of incidents by Data Owner Email
Address is displayed.
884 Remediating Network incidents
Network incident snapshot—Matches

Table 43-3 Incident general information tabs (continued)

Tab Name Description

History View the actions that were performed on the incident. For
each action, Symantec Data Loss Prevention displays the
action date and time, the actor (a user or server), and the
action or the comment.

See “Executing Smart response rules” on page 869.

See “Manage response rules” on page 817.

Notes View any notes that you or others have added to the
incident. Click Add Note to add a note.

Correlations You can view a list of those incidents that share attributes
of the current incident. For example, you can view a list of
all incidents that a single account generated. The
Correlations tab shows a list of correlations that match
single attributes. Click on attribute values to view lists of
those incidents that are related to those values.

To search for other incidents with the same attributes, click

Find Similar. In the Find Similar Incidents dialog box that
appears, select the desired search attributes. Then click
Find Incidents.
Note: The list of correlated incidents does not display
related incidents that have been archived.

See “Network incident snapshot” on page 880.

See “About incident archiving” on page 993.

Network incident snapshot—Matches

Beneath the general information, Symantec Data Loss Prevention displays the
message content (if applicable) and the matches that caused the incident. Symantec
Data Loss Prevention displays the following types of message content, depending
on protocol type:

Protocol Message content

SMTP Message body

HTTP Name value pairs of the HTTP request

FTP Nothing shown

 Remediating Network incidents 885
Network incident snapshot—Attributes

Protocol Message content

NNTP Message body

IM (all providers) IM conversation

TCP Data that was transmitted through custom

protocol

Matches are highlighted in yellow and organized according to the message

component (such as header, body, or attachment) in which they were detected.
Symantec Data Loss Prevention displays the total relevant matches for each
message component. It shows matches by the order in which they appear in the
original text. To view the rule that triggered a match, click on the highlighted
match.
See “About the Similarity Threshold and Similarity Score” on page 480.
See “Network incident snapshot” on page 880.

Network incident snapshot—Attributes

Note: This section appears only if a system administrator has configured custom
attributes.

You can view a list of custom attributes and their values, if any have been specified.
Click on attribute values to view an incident list that is filtered on that value. To
add new values or edit existing ones, click Edit. In the Edit Attributes dialog box
that appears, type the new values and click Save.
See “Setting the values of custom attributes manually” on page 1008.
See “Network incident snapshot” on page 880.

Network summary report

The Network summary report provides summary information about the incidents
that are found on your network. You can organize the report by one or two
summary criteria. A single-summary report is organized by a single summary
criterion, such as the policy that is associated with each incident. A
double-summary report is organized by two criteria, such as policy and incident
status.
To view the primary criteria and the secondary summary criteria available for
the current report, click the Advanced Filters & Summarization bar. The bar is
886 Remediating Network incidents
Network summary report

near the top of the report. The Summarize By: listboxes show the primary criteria
and the secondary summary criteria. In each listbox, Symantec Data Loss
Prevention displays all out-of-the-box criteria in alphabetical order, followed by
any custom criteria that your system administrator has defined. Summary reports
take their name from the primary summary criterion (the value of the first listbox).
If you rerun a report with new criteria, the report name changes accordingly.
Summary entries are divided into several columns. Click any column header to
sort alpha-numerically by that column's data. To sort in reverse order, click the
column header a second time.

Table 43-4 Summary report columns

Column name Description

summary_criterion This column is named for the primary

summary criterion. It lists primary and (for
double summaries) secondary summary
items. In a Policy Summary, this column is
named Policy and it lists policies. Click on a
summary item to view a list of incidents that
are associated with that item.

Total The total number of incidents that are

associated with the summary item. In a
Policy Summary, this column gives the total
number of incidents that are associated with
each policy.

High Number of high-severity incidents that are

associated with the summary item. (The
severity setting of the rule that was matched
determines the incident severity.)

Med Number of medium-severity incidents that

are associated with the summary item.

Low Number of low-severity incidents that are

associated with the summary item.

Info The number of informational incidents that

are associated with the summary item.

Bar Chart A visual representation of the number of

incidents (of all severities) associated with
the summary item. The bar is broken into
proportional, colored sections to represent
the various severities.
 Remediating Network incidents 887
Network summary report

Table 43-4 Summary report columns (continued)

Column name Description

Matches Total number of matches associated with the

summary item.

If any of the severity columns contain totals, you can click on them to view a list
of incidents of the chosen severity.
See “Common incident report features” on page 965.
See “About dashboard reports and executive summaries” on page 940.
See “About incident reports” on page 938.
See “Saving custom incident reports” on page 951.
888 Remediating Network incidents
Network summary report
 Chapter 44
Remediating Endpoint
incidents
This chapter includes the following topics:

■ Endpoint incident lists

■ Endpoint incident snapshot

■ Reporting on Endpoint Prevent response rules

■ Endpoint incident destination or protocol-specific information

■ Endpoint incident summary reports

■ Configuring Endpoint Server file filters

Endpoint incident lists

An endpoint incident list shows endpoint incidents that contain basic information
such as protocol or destination, severity, associated policy, number of matches,
and status. Click on any incident to view a snapshot containing more incident
details. You can select specific incidents (or groups of incidents) to modify or
remediate.

Note: Endpoint reports show only the incidents that were captured by Endpoint
Prevent. Incidents that were captured by Endpoint Discover appear in Network
Discover reports.

Incident information is divided into several columns. Click any column header to
sort alpha-numerically by the data in that column. To sort in reverse order, click
890 Remediating Endpoint incidents
Endpoint incident lists

the column header a second time. By default, Symantec Data Loss Prevention lists
incidents by date.
The report includes the following columns:
■ Check boxes that let you select incidents to remediate
You can select one or more incidents to which to apply commands from the
Incident drop-down menu at the top of the list. Click the checkbox at the top of
the column to select all incidents on the current page. (You can click Select All
at far right to select all incidents in the report.)

Table 44-1 Type of endpoint incident

Graphic Type of incident

CD/DVD burner (for example, Windows

Media burner)

Removable media (for example, a USB flash

drive or SD card)

Fixed drive (for example, the C:\ drive)

Endpoint copy to network share

Email/SMTP

HTTP

HTTPS

FTP

IM:AIM

IM: MSN

IM: Yahoo

Print/Fax

Clipboard
 Remediating Endpoint incidents 891
Endpoint incident lists

Table 44-1 Type of endpoint incident (continued)

Graphic Type of incident

Application File Access

A response column that indicates whether Symantec Data Loss Prevention blocked
an attempted violation or notified the end user about the violation of confidential
data.
The possible values are as follows:
■ Blank if Symantec Data Loss Prevention did not block the violation or notify
the end user
■ A red icon indicates the violation was blocked by Symantec Data Loss
Prevention, by the user, or if the user cancel option time limit expired.
■ A notification icon indicates Symantec Data Loss Prevention notified the end
user about the violated confidential data policies. The notification icon also
appears if the user allowed the violating data transfer. The icon also appears
if the user cancel time limit option has expired and the default action is set to
allow data transfers.
The other columns of this section appear as follows:

Table 44-2 Endpoint incident columns

Column Definition

File Name/Machine/User/Subject/Recipient File name, computer, endpoint user (domain

and logon name), subject title (if Email/SMTP
violation), and recipient user that is
associated with the incident

Occurred On Date ■ Incident date and time

■ Reported On Date
■ Time and date that the incident was
reported. If the endpoint is disconnected
from the corporate network, incidents
are reported when the connection is
restored.

ID/Policy Symantec Data Loss Prevention incident ID

number and the policy against which the
incident was logged

Matches Number of matches in the incident

892 Remediating Endpoint incidents
Endpoint incident snapshot

Table 44-2 Endpoint incident columns (continued)

Column Definition

Severity Incident severity as determined by the

severity setting of the rule the incident
matched.

The possible values are as follows:

■ High
■ Medium
■ Low
■ For information only

Status Current incident status

The possible values are as follows:

■ New
■ In Process
■ Escalated
■ False positive
■ Configuration Errors
■ Resolved

You or your administrator can add new status designations on the Attribute Setup
page.
See “Endpoint incident snapshot” on page 892.
See “About incident remediation” on page 865.
See “About incident reports” on page 938.
See “Saving custom incident reports” on page 951.

Endpoint incident snapshot

An incident snapshot provides detailed information about a particular Endpoint
Prevent incident. It displays general incident information, matches detected in
the intercepted text, and details about attributes, incident history, and the violated
policy. You can also search for similar incidents in the Correlations area.

Note: Endpoint Discover incidents are captured in Network Discover reports.

See “Discover incident lists” on page 924.

 Remediating Endpoint incidents 893
Endpoint incident snapshot

Current status and severity appear under the snapshot heading. To change one
of the current values, click on it and choose another value from the drop-down
list. If any action icon is associated, it also appears here.
If you have configured any Smart Response rules, Symantec Data Loss Prevention
displays a Remediation bar (under the Status bar). The Remediation bar includes
options for executing the rules. Depending on the number of Smart Response
rules, a drop-down menu may also appear.
The top left section of the snapshot displays general incident information. You
can click most information values to view an incident list that is filtered on that
value. Information in this section is divided into the following categories (not all
of which appear for every incident type):

Table 44-3 Type of incident

Icon Incident type

CD/DVD burners (for example, Windows

Media burner)

Removable media (for example, a USB flash

drive or SD card)

Local drive

Network Share

Email/SMTP

HTTP

HTTPS/SSL

FTP

IM:AIM

IM: MSN

IM: Yahoo

Print/Fax
894 Remediating Endpoint incidents
Endpoint incident snapshot

Table 44-3 Type of incident (continued)

Icon Incident type

Clipboard

Application File Access

The following table contains the other informational sections:

Table 44-4 Incident sections

Section Description

Server Name of the Endpoint Server that detected

the incident for two-tier detection. Or, it is
the name of the Endpoint Server that
received the incident from the Symantec DLP
Agent.

Agent response The Endpoint Block, Endpoint Notify,

Endpoint Quarantine, Endpoint
FlexResponse, or User Cancel action, if any.
The possible values are as follows:

■ Blank or no icon if Symantec Data Loss

Prevention did not block the copy or
notify the end user.
■ A red circle icon indicates Symantec Data
Loss Prevention blocked confidential
data.
■ A message icon indicates Symantec Data
Loss Prevention notified the end user
that the data is confidential.

See Reporting on Endpoint Prevent Response

Rules.

Incident Occurred On Date and time the incident occurred.

Incident Reported On Date and time the Endpoint Server detected

the incident.

Is Archived Displays the archived state of the incident,

whether or not the incident is archivable,
and allows you to toggle the Do Not Archive
flag for the incident. See “About incident
archiving” on page 993.
 Remediating Endpoint incidents 895
Endpoint incident snapshot

Table 44-4 Incident sections (continued)

Section Description

User Endpoint user name (for example,

MYDOMAIN\bsmith).

User Justification The justification label precedes by the text

that is presented to the end user in the
on-screen notification (for example, Manager
Approved: "My manager approved the
transfer of this data.") Symantec Data Loss
Prevention uses the label for classification
and filtering purposes in reports, but the
endpoint user never sees it. Click the label
to view a list of incidents in which the end
user chose this justification.

Machine Name Computer on which the incident occurred.

Machine IP (Corporate) The IP address of the violating computer if

the computer was on the corporate network.

File name Name of the file that violated the policy. The
file name field appears only for fixed-drive
incidents.

Quarantine Result If you have Endpoint Discover: Quarantine

response rules configured, you may see one
of the following quarantine scenarios:
■ File Quarantined
■ Quarantine Failed
■ Quarantine Result Timeout

Quarantine Location Displays the file path of the secure location

where the file was moved.

Quarantine Details Displays the reason that the quarantine task

failed to move the confidential file. For
example, the action may fail because the
source file is missing, or the credentials to
access the secure location are incorrect.

The Quarantine Details file also displays

information if the status of the quarantined
file is unknown because of a Quarantine
Result Timeout event.
896 Remediating Endpoint incidents
Endpoint incident snapshot

Table 44-4 Incident sections (continued)

Section Description

Endpoint Location Indicates whether or not the endpoint

computer was connected to the corporate
network at the time the incident occurred.

Application Name The name of the application that caused the

incident.

Destination The destination location or file path for the

confidential data, depending on the device
or protocol.

Destination IP The destination IP address for the

confidential data. The Destination IP address
appears only for specific network incidents.

Source The original file or data for the violation.

The source primarily appears in file-transfer
incidents.

Sender The sender of the confidential data for

network violations.

Recipient The intended recipient of the confidential

data for network violations.

FTP User Name The originating user name for violating FTP
transfers.

Attachments The associated file(s) or attachments sent

(for network incidents). If your administrator
has configured Symantec Data Loss
Prevention to retain endpoint incident data,
you can click on a file name to view file
contents.

Data Owner The specified owner of the confidential data.

Data Owner Email Address The email address for the owner of the
confidential data.

Access information The available ACL information. Only

applicable to Endpoint Discover and
Endpoint Prevent local drive monitoring.

See “Incident snapshot access information

section” on page 971.
 Remediating Endpoint incidents 897
Reporting on Endpoint Prevent response rules

Other sections of the incident snapshot are common across all Symantec Data
Loss Prevention products. These common sections include:
■ Incident snapshot matches
See “Incident snapshot matches section” on page 970.
■ Incident snapshot policy section
See “Incident snapshot policy section” on page 970.
■ Incident snapshot correlations section
See “Incident snapshot correlations tab” on page 969.
■ Incident snapshot attributes section. (This section appears only if a system
administrator has configured custom attributes.)
See “Incident snapshot policy section” on page 970.
■ Incident snapshot history section
See “Incident snapshot history tab” on page 969.
The Endpoint incident snapshot also contains two sections that are not common
across other product lines. Those sections are:
■ Destination or protocol-specific information
See “Endpoint incident destination or protocol-specific information”
on page 899.
■ Reporting on Endpoint Prevent response rules
See “Reporting on Endpoint Prevent response rules” on page 897.

Reporting on Endpoint Prevent response rules

If user activity on the endpoint computer triggers more than one response rule,
Symantec Data Loss Prevention determines which policy to apply based on an
established order of precedence. Only the response rule that is associated with
the prevailing policy is executed. Symantec Data Loss Prevention creates incidents
for all policies that are violated. It indicates (in the relevant incident snapshots)
that the response rules were superseded.
See “Endpoint incident snapshot” on page 892.
By default, the following list is the main order of precedence for Endpoint Prevent
incidents:
■ Block
■ User Cancel
■ Endpoint FlexResponse
■ Notify
898 Remediating Endpoint incidents
Reporting on Endpoint Prevent response rules

Note: For Endpoint Discover, Quarantine incidents always take precedence over
Endpoint FlexResponse incidents.

Be aware of the following behavior regarding reporting of superseded incidents:

■ The snapshot of a superseded Endpoint Block or User Cancel incident still
displays the Blocked icon, because Symantec Data Loss Prevention did block
the content in question. The icon also indicates if the content was blocked
because the user elected to block the content. Alternately, the icon indicates
that the user cancel time limit was exceeded and the content was blocked.
■ The snapshot of a superseded Endpoint Notify incident does not include the
Notify icon. The Notify icon is not included because Symantec Data Loss
Prevention did not display the particular on-screen notification that was
configured in the policy.
■ The snapshot of a superseded Endpoint Quarantine incident displays the
Blocked icon because the data did not move out of the secured area. The icon
also indicates if the content was blocked because the user elected to block the
content. Alternately, the icon indicates that the user cancel time limit was
exceeded and the content was blocked. The History tab of the incident snapshot
always displays information on whether the Endpoint FlexResponse rule was
successful.
■ The snapshot of a superseded Endpoint FlexResponse incident displays the
Blocked icon because the data did not move out of the secured area. The icon
also indicates if an Endpoint Quarantine response rule was activated.
If you have configured Endpoint Prevent response rules to display on-screen
notifications prompting users to justify their actions, the following statements
are true:
■ Symantec Data Loss Prevention displays the user justification in the snapshots
of all the incidents that are generated by the policies that include the executed
response rule.
■ Symantec Data Loss Prevention displays the justification Superseded – Yes
in the snapshots of all superseded incidents that do not include the executed
response rule.
■ If there is no user to enter a justification, for example if a user accesses a
remote computer, the justification reads N/A.
See “Network incident snapshot” on page 880.
See “Configuring response rule conditions” on page 820.
See “About incident reports” on page 938.
See “Manage response rules” on page 817.
 Remediating Endpoint incidents 899
Endpoint incident destination or protocol-specific information

Endpoint incident destination or protocol-specific

information
Depending on the type of incident, additional information that is associated with
the incident snapshot is visible.

Table 44-5 Destination or protocol-specific information

Destination or protocol Description

URL For network incidents, denotes the URL

where the incident occurred.

Source IP and Port For network incidents, denotes the IP

address or port of the endpoint computer
that originated the incident. This
information is only shown if the incident is
created on this endpoint computer.

Destination IP and Port The IP address of the destination endpoint

computer that is associated with the
incident. This information is only shown if
the incident is created on this endpoint
computer.

Sender/Recipient Email For Email/SMTP and IM incidents, incidents

also contain the email addresses of the
sender and recipient. The sender or recipient
email address are only shown if the incident
occurs on them.

Subject The subject line of the Email/SMTP message

is displayed.

FTP user name at the FTP Destination For FTP incidents, the user name at the FTP
destination is displayed.

Server IP For FTP incidents, the server IP address is

shown.

File Name/Location For print/fax incidents, the name of the file

and the location of the file on the endpoint
computer is displayed.

Print Job Name For print/fax incidents, the print job name
is the file name of the printing job that
generated the incident.
900 Remediating Endpoint incidents
Endpoint incident summary reports

Table 44-5 Destination or protocol-specific information (continued)

Destination or protocol Description

Printer Name/Type For print/fax incidents, the printer name

and type are only displayed if the file cannot
be named through from the Print Job name.
Or, if the file was generated from an Internet
browser.

Application Window For clipboard incidents, the application

window is the application name from which
the contents of the clipboard were taken.

Title Bar For clipboard incidents, the title bar is the

window from which the data was copied.

See “Endpoint incident snapshot” on page 892.

Endpoint incident summary reports

Endpoint incident summary reports provide information about those Endpoint
incidents that has been summarized by specific criteria. You can summarize
incidents by one or more types of criteria. A single-summary report is organized
by a single summary criterion, such as the policy that is associated with each
incident. A double-summary report is organized by two or more criteria, such as
policy and incident status.

Note: Endpoint reports show only the incidents that are captured by Endpoint
Prevent. Incidents from Endpoint Discover appear in Network Discover reports.

To view the primary and the secondary summary criteria available for the report,
go to the Summarize By link. Click Edit. In the Primary and Secondary drop-down
menus, Symantec Data Loss Prevention displays all of the criteria in alphabetical
order, followed by custom criteria your system administrator defined. You can
select criteria from the Primary and Secondary drop-down menus and then click
Run Now to create a new summary report. Summary reports take their name from
the primary summary criterion. If you rerun a report with new criteria, the report
name changes accordingly.
See “About filters and summary options for reports” on page 972.
Summary entries are divided into several columns. Click any column header to
sort alpha-numerically by that column's data. To sort in reverse order, click the
column header a second time.
 Remediating Endpoint incidents 901
Configuring Endpoint Server file filters

Table 44-6 Endpoint incident summary report details

Field Description

Summary criteria This column contains the name of whichever

summery criteria you selected. If you select
a primary and a secondary summary criteria,
only the primary criteria is displayed.

Total Total number of the incidents that are

associated with the summary item. For
example, in a Policy Summary this column
gives the total number of incidents that are
associated with each policy.

High Number of high-severity incidents that are

associated with the summary item. (The
severity setting of the rule that was matched
determines the level of severity.)

Med Number of medium-severity incidents that

are associated with the summary item.

Low Number of low-severity incidents that are

associated with the summary item.

Info Number of the informational incidents that

are associated with the summary item.

Bar Chart A visual representation of the number of

incidents (of all severities) associated with
the summary item. The bar is broken into
proportional colored sections that represent
the various severities.

Matches Total number of matches associated with the

summary item.

If any of the severity columns contain totals,

you can click on them to view a list of
incidents of the chosen severity.

Configuring Endpoint Server file filters

You can configure the Endpoint Server monitors with the specific filters that
affect the type of content that is monitored. Endpoint Server filters only effect
file types. These filters do not exclude monitors.
The Endpoint Server filters page is divided into the following three sections:
902 Remediating Endpoint incidents
Configuring Endpoint Server file filters

■ Filter Action
■ Destination or Protocol
■ File Attributes
The Filter Action section lets you select whether you want the filter to monitor
the following attributes or not. You can include files to be monitored or exclude
files from the relevant protocol or destination.
You can select one of the following choices:
■ Monitor
■ Ignore (do not monitor)
The Endpoint Channel section lets you select the destinations, protocols, or
applications that you want to filter. You must select at least one option. The filter
applies to each destination, protocol, or application type that you select.
You can select the following options:
■ Removable Storage
■ CD/DVD
■ Local drive
■ Application File Access
■ Email Attachment
■ HTTP/HTTPS Attachment
■ IM File transfer
■ FTP transfer
■ Application File Access
The Application File Access option lets you monitor any applications that appear
on the Application Monitoring page.
See “About application monitoring” on page 1401.
The File Attributes section is where you specify the filters that you want to apply.
You can specify the following filter attributes:
■ Size
You can specify a minimum, maximum, or baseline size of the files you want
to scan.
■ Type
 Remediating Endpoint incidents 903
Configuring Endpoint Server file filters

Specify the exact file types that you want to filter. This section is pre-loaded with
common file types. If you specify any additional file types, enter each file type on
a separate line.
■ File Path on Destination
Specify the file-system path(s) to analyze, typing one per line. If you specify any
paths to include, Symantec Data Loss Prevention monitors only files in those
paths. If you leave this field blank, Symantec Data Loss Prevention monitors all
files except specific files that you may have specified elsewhere. This filter applies
to both local drive monitoring and application file access.
This section is only applicable to monitoring on local drives. If you do not have
local drive selected in the Destination or Protocol section, you cannot edit the File
Path on Destination attribute.
Endpoint monitor filters always run in the order that they appear. You can
rearrange the run order of the filters by re-numbering the Order field.
See “About agent configurations” on page 1341.
904 Remediating Endpoint incidents
Configuring Endpoint Server file filters
 Chapter 45
Remediating Mobile
incidents
This chapter includes the following topics:

■ Mobile incident reports

■ Mobile incident snapshot

■ Mobile incident list

■ Mobile Prevent incident list—Actions

■ Mobile incident list—Columns

■ Mobile incident snapshot—Heading and navigation

■ Mobile incident snapshot—General information

■ Mobile incident snapshot—Matches

■ Mobile incident snapshot—Attributes

■ Mobile summary report

Mobile incident reports

Use Mobile incident reports to monitor and respond to Mobile incidents. You can
save, send, export, or schedule Symantec Data Loss Prevention reports.
In the Enforce Server administration console, on the Incidents menu, click Mobile.
This incident report displays all incidents for any target that is a mobile device.
You can select the standard reports for all incidents, new incidents, policy
summary, status by policy, or high-risk senders.
906 Remediating Mobile incidents
Mobile incident snapshot

Summaries and filter options can select which incidents to display.

See “About filters and summary options for reports” on page 972.
You can create custom reports with combinations of filters and summaries to
identify the incidents to remediate.
See “About custom reports and dashboards” on page 948.
See “Mobile incident list” on page 906.

Mobile incident snapshot

An incident snapshot provides detailed information about a particular incident.
It displays general incident information, matches detected in the intercepted text,
and incident attributes. The snapshot also enables you to execute any Smart
Response rules that you have configured.
The incident snapshot is divided into three panes, with navigation and Smart
Response options. Click on a link to view more help about the incident snapshot:

To learn more about See the section

Navigation and Smart Response options See “Mobile incident snapshot—Heading and
navigation” on page 910.

General incident information (left-hand See “Mobile incident snapshot—General

pane) information” on page 911.

Matches in incident (middle pane) See “Mobile incident snapshot—Matches”

on page 913.

Attributes (right-hand pane) See “Mobile incident snapshot—Attributes”

on page 914.

Mobile incident list

A Mobile incident list shows multiple mobile incident records with information
about the incident such as: the severity, associated policy, number of matches,
and status of the incident. Click a row of the incident list to view more details
about a specific incident. Select specific incidents (or groups of incidents) to modify
or remediate by clicking the check boxes at the left.
 Remediating Mobile incidents 907
Mobile incident list

Note: Use caution when you click Select All. This action selects all incidents in
the report (not only those on the current page). Any incident command you
subsequently apply affects all incidents. To select only the incidents on the current
page, select the checkbox at top left of the incident list.

Incident information is divided into several columns. Click any column header to
sort alpha-numerically by that column's data. To sort in reverse order, click the
column header a second time. By default, Symantec Data Loss Prevention sorts
incidents by date.
The Type column shows the icons that indicate the type of mobile incident.
Table 45-1 describes the icons.

Table 45-1 Type of Mobile Prevent incident

Icon Description

HTTP

Symantec Data Loss Prevention also detects the Yahoo and MSN IM traffic
that is tunneled through HTTP.

The addition of the second icon indicates an attachment to Web-based email.

HTTPS

FTP

This column also indicates whether the communication was blocked or altered.
Table 45-2 shows the possible values.

Table 45-2 Mobile Prevent block or altered status

Icon Description

No icon. Blank if the communication was not blocked.

Indicates Symantec Data Loss Prevention blocked the communication

containing the matched text.

Indicates Symantec Data Loss Prevention removed confidential data from

Web postings or Web-based email messages. This icon can also indicate that
a file was uploaded to a Web site or attached to a Web-based email message.

Indicates that Symantec Data Loss Prevention has added or modified the
headers on the message that generated the incident.

Use the following links to learn more about the Mobile incident list page:
908 Remediating Mobile incidents
Mobile Prevent incident list—Actions

To learn more about See this section

Columns of the incident list table See “Mobile incident list—Columns” on page 909.

Actions to perform on selected See “Mobile Prevent incident list—Actions” on page 908.
incidents

Details of a specific incident See “Mobile incident snapshot” on page 906.

Viewing a summary of all mobile See “Mobile summary report” on page 914.
incidents

Features that are common to all See “About incident reports” on page 938.
Symantec Data Loss Prevention
See “Common incident report features” on page 965.
reports
See “Saving custom incident reports” on page 951.

Mobile Prevent incident list—Actions

You can select one or more incidents and then remediate them using commands
in the Incident Actions drop-down list.

Note: No remediation actions are available in Mobile Email Monitor.

The incident commands are as follows:

Action Description

Add Note Select to open a dialog box, type a comment,

and then click OK.

Archive Select one of the following archive actions

to set the archive state for the selected
incidents:

■ Archive Incidents—Flags the selected

incidents as archived.
■ Restore Incidents—Restores the selected
incidents to the non-archived state.
■ Do Not Archive—Prevents the selected
incidents from being archived.
■ Allow Archive—Allows the selected
incidents to be archived.

See “About incident archiving” on page 993.

Delete Incidents Select to delete specified incidents.

 Remediating Mobile incidents 909
Mobile incident list—Columns

Action Description

Export Selected: CSV Select to save specified incidents in a

comma-separated text (.csv) file or XML file,
Export Selected: XML
which can be displayed in common
applications, such as Microsoft Excel.

Lookup Attributes Use lookup plug-ins to look up incident

custom attributes.

Set Attributes Select to set attributes for the selected

incidents.

Set Severity Select to set severity.

Set Status Select to set status.

See “About incident remediation” on page 865.

See “Mobile incident snapshot” on page 906.

Mobile incident list—Columns

Incident information is divided into several columns. Click any column header to
sort alpha-numerically by that column's data. To sort in reverse order, click the
column header a second time. By default, Symantec Data Loss Prevention lists
incidents by date.
The report includes the following columns:
■ Checkboxes that let you select incidents to remediate.
You can select one or more incidents to which to apply commands from the
Incident drop-down menu at the top of the list. Click the checkbox at the top
of the column to select all incidents on the current page. You can also click
Select All at far right to select all incidents in the report.

Note: No remediation actions are available for Mobile Email Monitor.

■ Type
The protocol over which the match was detected.
■ Subject/Sender/Recipient(s)
Message subject, sender email address or IP address, recipient email address(es),
or URL(s).
■ Sent
910 Remediating Mobile incidents
Mobile incident snapshot—Heading and navigation

Date and time the message was sent.

■ ID/Policy
Symantec Data Loss Prevention incident ID number and the policy against
which the incident was logged.
■ Matches
Number of matches in the incident.
■ Severity
Incident severity as determined by the severity setting of the rule the incident
matched.
The possible values are as follows:

Icon Description

High

Medium

Low

For information only

■ Status
Current incident status.
The possible values are as follows:
■ New
■ In Process
■ Escalated
■ False Positive
■ Configuration Errors
■ Resolved
You or your administrator can add new status designations on the Attribute
Setup page.

Mobile incident snapshot—Heading and navigation

The following page navigation tools appear near the top of the incident snapshot:
 Remediating Mobile incidents 911
Mobile incident snapshot—General information

Previous Displays the previous incident in the source

report.

Next Displays the next incident in the source

report.

Returns to the source report (where you

clicked the link to get to this screen).

Updates the snapshot with any new data,

such as a new comment in the History
section or a modified status.

See “Mobile incident snapshot” on page 906.

Mobile incident snapshot—General information

The left section of the snapshot displays general incident information. You can
click on many values to view an incident list that is filtered on that value. An icon
may appear next to the Status drop-down list to indicate whether the request that
generated the incident was blocked or altered.
See Table 43-2 on page 877.
The current status and severity of the incident appear to the right of the snapshot
heading. To change one of the current values, click on it and choose another value
from the drop-down list.
The remaining portion of the general information pane is divided into four tabs.
■ Key Info
■ History
■ Notes
■ Correlations
Information in this section is divided into the following categories (not all of which
appear for every incident type):
912 Remediating Mobile incidents
Mobile incident snapshot—General information

Table 45-3 Incident general information tabs

Tab Name Description

Key Info The Key Info tab shows the policy that was violated in the
incident. It also shows the total number of matches for the
policy, as well as matches per policy rule. Click the policy name
to view a list of all incidents that violated the policy. Click
view policy to view a read-only version of the policy.

This section also lists other policies that the same file violated.
To view the snapshot of an incident that is associated with a
particular policy, click go to incident next to the policy name.
To view a list of all incidents that the file created, click show
all.

The Key Info tab also includes the following information:

■ The name of the detection server that recorded the

incident.
■ The date and time the message was sent.
■ The sender email or IP address.
■ The recipient email or IP address(es).
■ The SMTP heading or the NNTP subject heading.
■ Attachment file name(s). Click to open or save the file.
If a response rule tells Symantec Data Loss Prevention to
discard the original message, you cannot view the
attachment.
■ The person responsible for remediating the incident (Data
Owner Name). This field must be set manually. Reports
can automatically be sent to the data owner for
remediation.
If you click on a hyperlinked Data Owner Name, a filtered
list of incidents by Data Owner Name is displayed.
■ The email address of the person responsible for
remediating the incident (Data Owner Email Address).
This field must be set manually.
If you click on the hyperlinked Data Owner Email Address,
a filtered list of incidents by Data Owner Email Address is
displayed.

History View the actions that were performed on the incident. For
each action, Symantec Data Loss Prevention displays the
action date and time, the actor (a user or server), and the action
or the comment.

See “Executing Smart response rules” on page 869.

See “Manage response rules” on page 817.

 Remediating Mobile incidents 913
Mobile incident snapshot—Matches

Table 45-3 Incident general information tabs (continued)

Tab Name Description

Notes View any notes that you or others have added to the incident.
Click Add Note to add a note.

Correlations You can view a list of those incidents that share attributes of
the current incident. For example, you can view a list of all
incidents that a single account generated. Symantec Data Loss
Prevention shows a list of correlations that match single
attributes. Click on attribute values to view lists of those
incidents that are related to those values.

To search for other incidents with the same attributes, click

Find Similar. In the Find Similar Incidents dialog box that
appears, select the desired search attributes. Then click Find
Incidents.

See “Mobile incident snapshot” on page 906.

Mobile incident snapshot—Matches

Beneath the general information, Symantec Data Loss Prevention displays the
message content (if applicable) and the matches that caused the incident. Symantec
Data Loss Prevention displays the following types of message content, depending
on protocol type:

Protocol Message content

HTTP/S Name value pairs of the HTTP/S request

FTP Nothing shown

Matches are highlighted in yellow and organized according to the message

component (such as header, body, or attachment) in which they were detected.
Symantec Data Loss Prevention displays the total relevant matches for each
message component. It shows matches by the order in which they appear in the
original text. To view the rule that triggered a match, click on the highlighted
match.
See “About the Similarity Threshold and Similarity Score” on page 480.
See “Mobile incident snapshot” on page 906.
914 Remediating Mobile incidents
Mobile incident snapshot—Attributes

Mobile incident snapshot—Attributes

Note: This section appears only if a system administrator has configured custom
attributes.

You can view a list of custom attributes and their values, if any have been specified.
Click on attribute values to view an incident list that is filtered on that value. To
add new values or edit existing ones, click Edit. In the Edit Attributes dialog box
that appears, type the new values and click Save.
See “Setting the values of custom attributes manually” on page 1008.
See “Mobile incident snapshot” on page 906.

Mobile summary report

The Mobile summary report provides summary information about the incidents
that are generated on your mobile devices. You can organize the report by one or
two summary criteria. A single-summary report is organized by a single summary
criterion, such as the policy that is associated with each incident. A
double-summary report is organized by two criteria, such as policy and incident
status.
To view the primary criteria and the secondary summary criteria available for
the current report, click the Advanced Filters and Summarization bar. The bar
is near the top of the report. The Summarize By: listboxes show the primary
criteria and the secondary summary criteria. In each listbox, Symantec Data Loss
Prevention displays all detection criteria in alphabetical order, followed by any
custom criteria that your system administrator has defined. Summary reports
take their name from the primary summary criterion (the value of the first listbox).
If you rerun a report with new criteria, the report name changes accordingly.
Summary entries are divided into several columns. Click any column header to
sort alpha-numerically by that column's data. To sort in reverse order, click the
column header a second time.
 Remediating Mobile incidents 915
Mobile summary report

Table 45-4 Summary report columns

Column name Description

summary_criterion This column is named for the primary

summary criterion. It lists primary and (for
double summaries) secondary summary
items. In a Policy Summary, this column is
named Policy and it lists policies. Click on a
summary item to view a list of incidents that
are associated with that item.

Total The total number of incidents that are

associated with the summary item. In a
Policy Summary, this column gives the total
number of incidents that are associated with
each policy.

High Number of high-severity incidents that are

associated with the summary item. (The
severity setting of the rule that was matched
determines the incident severity.)

Med Number of medium-severity incidents that

are associated with the summary item.

Low Number of low-severity incidents that are

associated with the summary item.

Info The number of informational incidents that

are associated with the summary item.

Bar Chart A visual representation of the number of

incidents (of all severities) associated with
the summary item. The bar is broken into
proportional, colored sections to represent
the various severities.

Matches Total number of matches associated with the

summary item.

If any of the severity columns contain totals, you can click on them to view a list
of incidents of the chosen severity.
See “Common incident report features” on page 965.
See “About dashboard reports and executive summaries” on page 940.
See “About incident reports” on page 938.
See “Saving custom incident reports” on page 951.
916 Remediating Mobile incidents
Mobile summary report
 Chapter 46
Remediating Discover
incidents
This chapter includes the following topics:

■ About reports for Network Discover

■ About incident reports for Network Discover

■ Discover incident reports

■ Discover incident snapshots

■ Working around the issues with go to links in the Firefox browser

■ Discover incident lists

■ Network Discover incident actions

■ Network Discover incident entries

■ Discover summary reports

About reports for Network Discover

Symantec Data Loss Prevention has reports for incidents, Network Discover
targets, scan details, and scan history.
The Network Discover incident reports contain details about the confidential data
that is exposed.
See “About incident reports for Network Discover” on page 1160.
For information about Network Discover targets and scan history, go to Manage
> Discover Scanning > Discover Targets, then select one of the Discover targets
from the list. For information about Network Discover scan details, go to Manage
918 Remediating Discover incidents
About incident reports for Network Discover

> Discover Scanning > Scan History, then select one of the Discover scans from
the list.
See “Managing Network Discover target scans” on page 1139.
Table 46-1 lists the Network Discover reports.

Table 46-1 Network Discover Reports

Report Navigation

Network Discover This report is on the Enforce Server administration console,

Targets Manage menu, Discover Scanning > Discover Targets.

See “About the Network Discover scan target list” on page 1140.

Scan Status This report is on the Enforce Server administration console,

Manage menu, Discover Scanning > Discover Servers.

See “Viewing Network Discover server status” on page 1149.

Scan History (single This report is from the Enforce Server administration console,
target) Manage menu, Discover Scanning > Discover Targets. Click the
link in the Scan Status column to see the history of a particular
scan target.

See “About Network Discover scan histories” on page 1143.

Scan History (all This report is from the Enforce Server administration console,
targets) Manage menu, Discover Scanning > Scan History.

See “About Network Discover scan histories” on page 1143.

Scan Details This report is from the Enforce Server administration console,
Manage menu, Discover Scanning > Scan History. Click the link
in the Scan Status column to see the scan details.

See “About Network Discover scan details” on page 1145.

About incident reports for Network Discover

Use incident reports to track and respond to Network Discover incidents. You can
save, send, export, or schedule Symantec Data Loss Prevention reports.
See “About Symantec Data Loss Prevention reports” on page 935.
In the Enforce Server administration console, on the Incidents menu, click
Discover This incident report displays all incidents for all Discover targets. You
can select the standard reports for all incidents, new incidents, target summary,
policy by target, status by target, or top shares at risk.
Summaries and filter options can select which incidents to display.
 Remediating Discover incidents 919
Discover incident reports

See “About custom reports and dashboards” on page 948.

See “About filters and summary options for reports” on page 972.
You can create custom reports with combinations of filters and summaries to
identify the incidents to remediate.
For example you can create the following reports:
■ A summary report of the number of incidents in each remediation category.
Select the summary Protect Status.
■ A report of all the incidents that were remediated with copy or quarantine.
Select the filter Protect Status with values of File Copied and File Quarantined.
■ A report of the Network Discover incidents that have not been seen before (to
identify these incidents and notify the data owners to remediate them).
Select the filter Seen Before?. Set a value of No.
■ A report of the Network Discover incidents that are still present (to know
which incidents to escalate for remediation).
Select the filter Seen Before?. Set a value of Yes.
■ A report using the summary filters, such as months since first detected.
Select the summary Months Since First Detected.

Discover incident reports

Use Network Discover incident reports to monitor and respond to Network Discover
incidents. You can save, send, export, or schedule Symantec Data Loss Prevention
reports.
In the Enforce Server administration console, on the Incidents menu, click
Discover This incident report displays all incidents for all Discover targets. You
can select the standard reports for all incidents, new incidents, target summary,
policy by target, status by target, or top shares at risk.
Summaries and filter options can select which incidents to display.
See “Incident report filter and summary options” on page 966.
You can create custom reports with combinations of filters and summaries to
identify the incidents to remediate.
See “About custom reports and dashboards” on page 948.
Network Discover has the following types of reports:
■ Incident list
See “Discover incident lists” on page 924.
920 Remediating Discover incidents
Discover incident snapshots

■ Incident summary
See “Discover summary reports” on page 928.
■ Incident snapshot
See “Discover incident snapshots” on page 920.

Discover incident snapshots

An incident snapshot provides detailed information about a particular incident.
It displays general incident information, matches detected in the intercepted text,
and details about policy, attributes, and incident history. You can also search for
similar incidents in the Correlations area.
Current status and severity appear under the snapshot heading. To change one
of the current values, click it and choose another value from the drop-down list.
Use the icons at the top right to print the report, or send it as email. To send
reports, you or your administrator must first enable report distribution in system
settings.
See “Configuring the Enforce Server to send email alerts” on page 153.
If any Smart Response rules are set up, Symantec Data Loss Prevention displays
a remediation bar that includes buttons for executing the rules. Depending on the
number of Smart Response rules, a drop-down menu may also appear.
See “About incident remediation” on page 865.
Incident data is divided into the following sections:
■ Key Info tab
■ Policy Matches
See “Incident snapshot policy section” on page 970.
■ Incident Details
The following details are included:

Server Name of the Discover Server that detected the incident.

Remediation The latest remediation status of the file that generated the
Detection Status incident.

Target Network Discover target name.

Scan The date and time of the scan that registered the incident.

Detection Date The date and time that the incident was detected.
 Remediating Discover incidents 921
Discover incident snapshots

Seen Before No, if this incident was not previously detected. Yes, if this
incident was previously detected.

Subject Email subject for integrated Exchange scans.

Sender Email sender for integrated Exchange scans.

Recipient Email recipient for integrated Exchange scans.

File Location Location of the file, repository, or item.

Click go to file to view the item or file, or go to directory to

view the directory. If you view an Endpoint Discover incident,
you do not see the go to file or go to directory links.

In the Firefox browser, these links do not work without

additional setup.

See “Working around the issues with go to links in the Firefox

browser” on page 923.

Is Archived Displays the archived state of the incident, whether or not

the incident is archivable, and lets you toggle the Do Not
Archive flag for the incident. See “About incident archiving”
on page 993.

URL For SharePoint, this URL is the item on the SharePoint server.
Click this URL to go to the item on the SharePoint server.

Document Name File or item name(s)

File Owner Creator of the file or item.

For SharePoint and Exchange incident snapshots the File

Owner is listed as unknown because it is not applicable to
these target types.

Extraction Date Date custom target adapter was run (Applies to custom targets
only.)

Scanned Machine Host name of the scanned computer.

For SharePoint this name is the web application name.

Notes Database Name of the Lotus Notes database (Applies to Lotus Notes
only.)

File Created The date and time that the file or item was created.

Last Modified Date and time of last change to the file or item.
922 Remediating Discover incidents
Discover incident snapshots

Last Accessed Date and time of last user access to the file or item.

For SharePoint, this date is not valid.

Data Owner Name The person responsible for remediating the incident. This
field must be set manually, or with a lookup plug-in.

Reports can automatically be sent to the data owner for

remediation.

If you click on the hyperlinked Data Owner Name, a filtered

list of incidents by Data Owner Name is displayed.

Data Owner Email The email address of the person responsible for remediating
Address the incident. This field must be set manually, or with a lookup
plug-in.

If you click on the hyperlinked Data Owner Email Address,

a filtered list of incidents by Data Owner Email Address is
displayed.

■ Access Information
See “Incident snapshot access information section” on page 971.
For SharePoint incident snapshots, the permission levels show the
permissions from SharePoint, for example Contribute or Design. The list
in the incident snapshot shows only the first 50 entries. All the ACL entries
can be exported to a CSV file. The permissions are comma-separated. Users
or groups having Limited Access permission levels are not recorded or
shown.
■ Message Body
For a SharePoint list item, the message body shows the name and value
pairs in the list.

■ Matches and file content

See “Incident snapshot matches section” on page 970.
■ Attributes
See “Incident snapshot attributes section” on page 969.
■ History tab
See “Incident snapshot history tab” on page 969.
■ Notes tab
The notes tab displays any notes for this incident.
■ Correlations tab
See “Incident snapshot correlations tab” on page 969.
See “Discover incident reports” on page 919.
 Remediating Discover incidents 923
Working around the issues with go to links in the Firefox browser

Working around the issues with go to links in the

Firefox browser
In the Firefox browser, when you view file system incidents, the go to file and go
to directory links next to the File Location field do not work.
To go to the file or directory, take one of the following actions:
Right-click the go to file and go to directory link and select Copy Link Location.
Open a new browser window (or tab) and paste the URL into the address bar. Press
Enter. You must do this copy and paste each time you want to use these links.
Modify Firefox user preferences on the computer on which you use Firefox (not
on the Enforce Server host).
To modify Firefox user preferences
1 Go to the Firefox user preferences directory.
For Windows 7, Vista, this directory is
C:\Users\user_name\AppData\Roaming\Mozilla\Firefox\Profiles\xxxxxxx.default,
where user_name is your user name and xxxxxxxx is a random string of
characters.
For Windows XP, or 2000, this directory is C:\Documents and
Settings\user_name\Application
Data\Mozilla\Firefox\Profiles\xxxxxxx.default, where user_name is
your user name and xxxxxxxx is a random string of characters.
2 Look for the user.js file. If it does not exist, create it using a text editor. If
it does exist, open it. (Note that you can create or rename the file with a .txt
file extension, to edit it with a text editor.)
3 Add the following lines:

user_pref("capability.policy.policynames", "localfilelinks");
user_pref("capability.policy.localfilelinks.sites", "enforce_url");
user_pref("capability.policy.localfilelinks.checkloaduri.enabled",
"allAccess");

where enforce_url is the Enforce Server URL as it appears in your browser

address bar, up to but not including the first slash (for example,
https://enforce.server.name).

4 Save the file (renaming it with a .js file extension, if you changed it for editing
purposes), and restart Firefox.
924 Remediating Discover incidents
Discover incident lists

Discover incident lists

A Network Discover incident list shows the incidents that are reported during
Network Discover scans (including the incidents from Endpoint Discover).
Individual incident records contain information such as severity, associated policy,
number of matches, and status.
See “Network Discover incident entries” on page 925.
You can click on any incident to view a snapshot containing more details.
You can select specific incidents (or a group of incidents) to modify or remediate.
See “Network Discover incident actions” on page 924.
See “Discover incident reports” on page 919.

Network Discover incident actions

You can select one or more incidents and then remediate them using commands
in the Incident Actions drop-down list.
The incident commands are as follows:
■ Add Note
Select to open a dialog box, type a comment, and then click OK.
■ Archive
Select one of the following archive actions to set the archive state for the
selected incidents:
■ Archive Incidents—Flags the selected incidents as archived.
■ Restore Incidents—Restores the selected incidents to the non-archived
state.
■ Do Not Archive—Prevents the selected incidents from being archived.
■ Allow Archive—Allows the selected incidents to be archived.
See “About incident archiving” on page 993.
■ Delete Incidents
Select to delete specified incidents.
■ Set Attributes
Select to set attributes for the selected incidents.
■ Export Selected: CSV
Select to save specified incidents in a comma-separated text (.csv) file, which
can be displayed in several common applications, such as Microsoft Excel.
 Remediating Discover incidents 925
Network Discover incident entries

■ Export Selected: XML

Select to save specified incidents in an XML file, which can be displayed in
several common applications.
■ Lookup Attributes
Use the lookup plug-ins to look up incident custom attributes.
■ Set Data Owner
Set the data owner name or email address. The data owner is the person
responsible for remediating the incident.
Reports can automatically be sent to the data owner for remediation.

■ Set Severity
Select to set severity.
■ Set Status
Select to set status.
■ Run Smart Response
Select to run a Smart Response rule you or your administrator configured.
See “Discover incident lists” on page 924.

Network Discover incident entries

Incident information is divided into several columns.
Click any column header to sort alpha-numerically by that column's data. To sort
in reverse order, click the column header a second time.
The report includes the following columns:
■ Check boxes that let you select incidents to remediate.
You can select one or more incidents to which to apply commands from the
Incident Actions drop-down menu.
Click the checkbox at the top of the column to select all incidents on the current
page.
You can click Select All at far right to select all incidents in the report.
926 Remediating Discover incidents
Network Discover incident entries

Note: Use caution when you use Select All. This option selects all incidents in
the report (not only those on the current page), and any incident command
you subsequently apply affects all incidents. You may want to configure the
maximum-incident-batch-size property to limit the number of incidents that
a Server FlexResponse plug-in processes at one time.
See “Adding a Server FlexResponse plug-in to the plug-ins properties file”
on page 1167.

■ Type
Type of target in which the match was detected.
An icon represents each target type.
This column also displays a remediation icon, if any response rule applied.
The possible values are as follows:

Blank if no response rule applied

Copied

Quarantined

Remediation Error

When you use a Server FlexResponse action for an Automated or Smart

response rule, one of the following icons may appear:

This incident was successfully remediated using a Server FlexResponse

action.

The Server FlexResponse action is in process.

The Server FlexResponse action has an error.

These same icons may appear for other incident types as well, and you can
execute Server FlexResponse actions on those incidents.
See “Configuring the Server FlexResponse action” on page 840.
■ Location/Target/Scan
Repository or file location, target name, and date and time of most recent scan
■ File Owner
Username of file owner (for example, MYDOMAIN\Administrator)
■ ID/Policy
 Remediating Discover incidents 927
Network Discover incident entries

Symantec Data Loss Prevention incident number and the policy against which
the incident was logged
■ Matches
Number of matches in the incident
■ Severity
Incident severity as determined by the severity setting of the rule the incident
matched
The possible values are as follows:

High

Medium

Low

For information only

■ Status
Current incident status
The possible values are as follows:
■ New
■ In Process
■ Escalated
■ False Positive
■ Configuration Errors
■ Resolved
The following icon may be displayed near the status if this incident was seen
before:

This icon is displayed if this incident has an earlier connected incident.

You or your administrator can add new status designations on the attribute
setup page.
See “Configuring custom attributes” on page 1007.
See “Discover incident lists” on page 924.
928 Remediating Discover incidents
Discover summary reports

Discover summary reports

Discover Summary Reports provide summary information about the incidents
that are found during Discover scans.
If you are running Endpoint Discover, the Discover Summary Reports also include
Endpoint Discover incidents.
You can filter or summarize the options in the reports.
See “Incident report filter and summary options” on page 966.
You can extract the report information in selected formats.
You can click highlighted elements, such as the entries in the Totals column, to
drill down into details.
Icons provide navigation through long reports.
See “Page navigation in incident reports” on page 966.
See “Discover incident reports” on page 919.
 Chapter 47
Working with Classification
incidents
This chapter includes the following topics:

■ Classification incident list

■ Classification incident snapshot

Classification incident list

The Classification incident list applies only to deployments where the Symantec
Data Classification for Enterprise Vault solution is deployed. This solution uses
Symantec Data Loss Prevention to classify email messages and forward them to
Symantec Enterprise Vault for archiving or other actions. The solution is licensed
separately from Symantec Data Loss Prevention. Classification incidents display
in the Classification incident list only when a message violates a policy that is
configured with the Enable Classification Test Mode option enabled. Classification
test mode is used only to verify policy matches. During normal production
operations, Classification test mode should be disabled.
See “About implementing detection for Enterprise Vault Classification” on page 627.
Table 47-1 describes the columns that display in the Classification incident list.

Table 47-1 Classification incident list columns

Column Definition

Type The Type column displays icons that identify

the incident as a classification email
incident. An additional icon also displays
when the email has an attachment.
930 Working with Classification incidents
Classification incident snapshot

Table 47-1 Classification incident list columns (continued)

Column Definition

Subject/Sender/Recipient(s) Displays the sender, subject line, and

recipient list of the email.

Sent Displays the date and time the email was

sent.

ID/Policy Symantec Data Loss Prevention incident ID

number and the policy against which the
incident was logged.

Matches Number of matches in the incident.

Severity Incident severity as determined by the

severity setting of the rule the incident
matched.

The possible values are as follows:

■ High
■ Medium
■ Low
■ For information only

Status Current incident status

The possible values are as follows:

■ New
■ In Process
■ Escalated
■ False positive
■ Configuration Errors
■ Resolved

You or your administrator can add new

status designations on the Attribute Setup
page.

Classification incident snapshot

A Classification incident snapshot provides detailed information about a particular
incident. It displays general incident information, matches detected in the
intercepted text, and details about attributes, incident history, and the violated
policy. You can also search for similar incidents in the Correlations area.
 Working with Classification incidents 931
Classification incident snapshot

Classification test mode is used only to verify policy matches. During normal
production operations, Classification test mode should be disabled.
See “Classification incident list” on page 929.
Current status and severity appear under the snapshot heading. To change one
of the current values, click on it and choose another value from the drop-down
list. If any action icon is associated, it also appears here.
Table 47-2 describes incident information presented in the snapshot.

Table 47-2 Incident general information tabs

Tab Name Description

Key Info The Key Info tab shows the policy that was violated in the
incident. It also shows the total number of matches for the
policy, as well as matches per policy rule. Click the policy
name to view a list of all incidents that violated the policy.
Click view policy to view a read-only version of the policy.

This section also lists other policies that the same file
violated. To view the snapshot of an incident that is
associated with a particular policy, click go to incident next
to the policy name. To view a list of all incidents that the
file created, click show all.

The Key Info tab also includes the following information:

■ The name of the detection server that recorded the

incident.
■ The date and time the message was sent
■ The sender email or IP address
■ The recipient email or IP address(es)
■ The SMTP heading or the NNTP subject heading
■ The Is Archived field displays the archived state of the
incident, whether or not the incident is archivable, and
lets you toggle the Do Not Archive flag for the incident.
■ Attachment file name(s). Click to open or save the file.
If a response rule tells Symantec Data Loss Prevention
to discard the original message, you cannot view the
attachment.

History View the actions that were performed on the incident. For
each action, Symantec Data Loss Prevention displays the
action date and time, the actor (a user or server), and the
action or the comment.
932 Working with Classification incidents
Classification incident snapshot

Table 47-2 Incident general information tabs (continued)

Tab Name Description

Notes View any notes that you or others have added to the
incident. Click Add Note to add a note.

Correlations You can view a list of those incidents that share attributes
of the current incident. For example, you can view a list of
all incidents that a single account generated. The
Correlations tab shows a list of correlations that match
single attributes. Click on attribute values to view lists of
those incidents that are related to those values.

To search for other incidents with the same attributes, click

Find Similar. In the Find Similar Incidents dialog box that
appears, select the desired search attributes. Then click
Find Incidents.
Note: The list of correlated incidents does not display
related incidents that have been archived.

Beneath the general information, Symantec Data Loss Prevention displays the
message content (if applicable) and the matches that caused the incident.
Matches are highlighted in yellow and organized according to the message
component (such as header, body, or attachment) in which they were detected.
Symantec Data Loss Prevention displays the total relevant matches for each
message component. It shows matches by the order in which they appear in the
original text. To view the rule that triggered a match, click on the highlighted
match.
 Chapter 48
Managing and reporting
incidents
This chapter includes the following topics:

■ About Symantec Data Loss Prevention reports

■ About strategies for using reports

■ Setting report preferences

■ About incident reports

■ About dashboard reports and executive summaries

■ Viewing dashboards

■ Creating dashboard reports

■ Configuring dashboard reports

■ Choosing reports to include in a dashboard

■ About summary reports

■ Viewing summary reports

■ Creating summary reports

■ Viewing incidents

■ About custom reports and dashboards

■ Using IT Analytics to manage incidents

■ Filtering reports
934 Managing and reporting incidents

■ Saving custom incident reports

■ Scheduling custom incident reports

■ Delivery schedule options for incident and system reports

■ Delivery schedule options for dashboard reports

■ Using the date widget to schedule reports

■ Editing custom dashboards and reports

■ Exporting incident reports

■ Exported fields for Network Monitor

■ Exported fields for Network Discover

■ Exported fields for Mobile Prevent for Web

■ Exported fields for Endpoint Discover

■ Deleting incidents

■ Deleting custom dashboards and reports

■ Common incident report features

■ Page navigation in incident reports

■ Incident report filter and summary options

■ Sending incident reports by email

■ Printing incident reports

■ Incident snapshot history tab

■ Incident snapshot attributes section

■ Incident snapshot correlations tab

■ Incident snapshot policy section

■ Incident snapshot matches section

■ Incident snapshot access information section

■ Customizing incident snapshot pages

■ About filters and summary options for reports

■ General filters for reports

 Managing and reporting incidents 935
About Symantec Data Loss Prevention reports

■ Summary options for incident reports

■ Advanced filter options for reports

About Symantec Data Loss Prevention reports

Use incident reports to track and respond to incidents. Symantec Data Loss
Prevention reports an incident when it detects data that matches the detection
parameters of a policy rule.
Such data may include specific file content, an email sender or recipient,
attachment file properties, or many other types of information.
Each piece of data that matches detection parameters is called a match, and a
single incident may include any number of individual matches.
You can set an incident archive flag on an incident to indicate that the incident
has been archived. By default, archived incidents do not appear in incident reports,
but you can include them in incident reports by setting Advanced Filters on the
report. Including archived incidents in a report may slow down reporting activities.
See “About incident archiving” on page 993.
Symantec Data Loss Prevention tracks incidents for all detection servers. These
servers include Network Discover Server, Network Monitor Server, Network
Prevent for Email Server, Network Prevent for Web Server, Mobile Prevent for
Web Server, and Endpoint Server.
You can specify the reports Symantec Data Loss Prevention displays in the
navigation panel.
See “Setting report preferences” on page 937.
Symantec Data Loss Prevention provides the following types of incident reports:
■ Incident lists show the individual incident records that contain information
such as severity, associated policy, number of matches, and status. You can
click on any incident to see a snapshot containing more details. And you can
select specific incidents or groups of incidents to modify or remediate.
Symantec Data Loss Prevention provides separate reports for incidents by
selecting Network, Endpoint, Mobile, Discover, or User.
■ Summaries provide summary information about the incidents on your system.
They are organized with either one or two summary criteria. A single-summary
report is organized with a single summary criterion, such as the policy that is
associated with each incident. A double-summary report is organized with two
criteria, such as policy and incident status. By default, archived incidents do
not appear in the counts that display in summary reports, but you can set
936 Managing and reporting incidents
About strategies for using reports

Advanced Filters to include the archived incidents. (See “About incident

archiving” on page 993.)
■ Dashboards combine information from several reports. They include graphs
and incident totals representing the contents of various incident lists and
summaries. Graphs can sometimes contain lists of high-severity incidents or
lists of summary groups. You can click on report portlets (the individual tiles
that contain report data) to drill down to the detailed versions of the reports.
Symantec Data Loss Prevention ships with executive summaries for Network,
Endpoint, Mobile, and Discover incidents.
Executive summaries are very similar to dashboards. The difference between
them is that you can customize a dashboard, but you cannot customize an
executive summary.
You can create and save customized versions of all reports (except executive
summaries) for continued use.
See “About custom reports and dashboards” on page 948.
Symantec Data Loss Prevention displays reports in separate sections on the
Incident Reports screen as follows:
■ The Saved Reports section contains any shared reports that are associated
with your current role. This section appears only if you or other users in your
current role have created saved reports.
See “About custom reports and dashboards” on page 948.
■ The Network section contains Symantec-provided incident lists, summaries,
and dashboards for network incidents.
■ The Mobile section contains Symantec-provided incident lists, summaries,
and dashboards for mobile incidents.
■ The Endpoint section contains Symantec-provided incident lists, summaries,
and dashboards for endpoint incidents. Endpoint reports include the incidents
that Endpoint captures, such as Endpoint Block and Endpoint Notify incidents.
Incidents that Endpoint Discover captures appear in Discover reports.
■ The Discover section contains Symantec-provided incident lists, summaries,
and dashboards for Network Discover and Endpoint Discover incidents.
■ The Users section contains the user list and user risk summary, which displays
users and their associated Email and Endpoint incidents.

About strategies for using reports

Many companies configure their Symantec Data Loss Prevention reporting to
accommodate the following primary roles:
 Managing and reporting incidents 937
Setting report preferences

■ An executive responsible for overall risk reduction who monitors risk trends
and develops high-level initiatives to respond to those trends.
The executive monitors dashboards and summary reports (to get a general
picture of data loss trends in the organization). The executive also develops
programs and initiatives to reduce risk, and communicates this information
to policy authors and incident responders. The executive often monitors reports
through email or some other exported report format.
Symantec Data Loss Prevention dashboards and summary reports let you
monitor risk trends in your organization. These reports provide a high-level
overview of incidents. Executives and managers can quickly evaluate risk
trends and advise policy authors and incident responders how to address these
trends. You can view existing summary reports and dashboards and create
customized versions of these reports.
See “About dashboard reports and executive summaries” on page 940.
See “About summary reports” on page 945.
■ An incident responder, such as an InfoSec Analyst or InfoSec Manager, who
monitors and responds to particular incidents.
The responder monitors incident reports and snapshots to respond to the
incidents that are associated with a particular policy group, organizational
department, or geographic location. The responder may also author policies
to reduce risk. These policies can originate either at the direction of a risk
reduction manager or based on their own experience tracking incidents.
See “About incident remediation” on page 865.

Setting report preferences

You can specify the reports that Symantec Data Loss Prevention displays in the
navigation panel for each of the report types. You can also specify the report that
displays in the initial window.
You can specify which reports appear in the navigation panel at the left. You can
also specify the report that displays at logon for your current role.
To set reporting preferences
1 In the Enforce Server administration console, on the Incidents menu, click
Incident Reports.
2 On the Incident Reports screen that appears, click Edit Preferences.
The Edit Report Preferences screen lists any saved reports (for all your
assigned roles).
The screen also lists Network, Endpoint, Mobile, and Discover reports.
938 Managing and reporting incidents
About incident reports

3 To specify a default report for the current role, locate the Home Page for
current_role drop-down list and select a report. Symantec Data Loss
Prevention displays this report whenever you first log on under the current
role.
4 To display a report in the list, check the Show Report box for that report. To
remove a report from the list, clear Show Report for that report.
The selected list of reports displays in a left navigation panel for each of the
types of reports.
For example, to see the list of Network reports, on the Incidents menu, click
Network.
5 After changing your preferences, click Save.
See “About custom reports and dashboards” on page 948.

About incident reports

Use incident reports to track and respond to incidents on your network. Symantec
Data Loss Prevention reports an incident when it detects data that matches a
detection rule in an active policy. Such data may include specific file content, an
email sender or recipient, attachment file properties, or many other types of
information. Each piece of data that matches a detection rule is called a match,
and a single incident may include any number of individual matches.

Note: You can configure which reports appear in navigation panel. To do so, go
to All Reports and then click on Edit Preferences

Symantec Data Loss Prevention provides the following types of incident reports:

Incident lists These show individual incident records containing information such as
severity, associated policy, number of matches, and status. You can click
on any incident to view a snapshot containing more details. You can
select specific incidents or groups of incidents to modify or remediate.

Summaries These show incident totals organized by a specific incident attribute

such as status or associated policy. For example, a Policy Summary
includes rows for all policies that have associated incidents. Each row
includes a policy name, the total number of associated incidents, and
incident totals by severity. You can click on any severity total to view
the list of relevant incidents.
 Managing and reporting incidents 939
About incident reports

Double These show incident totals organized by two incident attributes. For
summaries example, a policy trend summary shows the total incidents by policy
and by week. Similar to the policy summary, each entry includes a policy
name, the total number of associated incidents, and incident totals by
severity. In addition, each entry includes a separate line for each week,
showing the week's incident totals and incidents by severity.

Dashboards and These are quick-reference dashboards that combine information from
executive several reports. They include graphs and incident totals representing
summaries the contents of various incident lists, summaries, and double summaries.
Graphs are sometimes beside lists of high-severity incidents or lists of
summary groups. You can click on constituent report names to drill
down to the reports that are represented on the dashboard.

Symantec Data Loss Prevention ships with executive summaries for

Network, Endpoint, and Discover reports, and these are not customizable.

You can create dashboards yourself, and customize them as desired.

Custom Lists the shared reports that are associated with your current role. (Such
reports appear only if you or other users in your current role have
created them.)

Network Lists the network incident reports.

Endpoint Lists the Endpoint incident reports. Endpoint reports include incidents
such as Endpoint Block and Endpoint Notify incidents.

Incidents from Endpoint Discover are included in Discover reports.

Discover Lists Network Discover and Endpoint Discover incident reports.

The folder risk report displays file share folders ranked by prioritized
risk. The risk score is based on the relevant information from the
Symantec Data Loss Prevention incidents plus the information from
the VML Management Server.

See the Symantec Data Loss Prevention Data Insight Implementation

Guide.

Mobile Lists Mobile Prevent for Web incident reports.

Users The User List lists the data users in your organization. The User Risk
Summary lists all users with their associated Email and Endpoint
incidents.

See “About custom reports and dashboards” on page 948.

See “Common incident report features” on page 965.
See “Network incident snapshot” on page 880.
940 Managing and reporting incidents
About dashboard reports and executive summaries

See “Discover incident snapshots” on page 920.

See “Endpoint incident snapshot” on page 892.
See “Mobile incident snapshot” on page 906.
See “Network incident list” on page 875.
See “Discover incident lists” on page 924.
See “Endpoint incident lists” on page 889.
See “Mobile incident variables” on page 872.

About dashboard reports and executive summaries

Dashboards and executive summaries are the quick-reference report screens that
present summary information from several incident reports.
Symantec Data Loss Prevention ships with one executive summary each for
Network, Endpoint, Mobile, and Discover incident reports.
See “About incident reports” on page 938.
Dashboards and executive summaries have two columns of reports. The left column
displays a pie chart or graph and an incident totals bar. The right column displays
the same types of information as in the left column. The right column also displays
either a list of the most significant incidents or a list of summary items with
associated incident totals. The most significant incidents are ranked using severity
and match count. You can click on a report to see the full report it represents.
Dashboards consist of up to six portlets, each providing a quick summary of a
report you specify.
Symantec Data Loss Prevention includes three executive summaries (which are
similar to dashboards): Executive Summary-Network, Executive
Summary-Endpoint, Executive Summary-Mobile, and Executive
Summary-Discover. (Dashboards and executive summaries share the same format,
but executive summaries are not customizable.)
You can create customized dashboards for users with specific security
responsibilities. If you choose to share a dashboard, the dashboard is accessible
to all users in the role under which you create it. (Note that the Administrator
user cannot create shared dashboards.)
Dashboards have two columns of report portlets (tiles that contain report data).
Portlets in the left column display a pie chart or graph and the totals bar. Portlets
in the right column display the same types of information as those in the left.
However, they also display either a list of the most significant incidents or a list
of summary criteria and associated incidents. The incidents are ranked using
 Managing and reporting incidents 941
Viewing dashboards

severity and match count. The summary criteria highlights any high-severity
incident totals. You can choose up to three reports to include in the left column
and up to three reports to include in the right column.
To create custom dashboards, click Incident Reports at the top of the navigation
panel and, in the Incident Reports screen that appears, click Create Dashboard.
The Administrator can create only private dashboards, but other users can decide
whether to share a new dashboard or keep it private.
See “About custom reports and dashboards” on page 948.
To edit the contents of any custom dashboard, go to the desired dashboard and
click Customize near the top of the screen.
See “Configuring dashboard reports” on page 943.
To display a custom dashboard at logon, specify it as the default logon report.
See “Setting report preferences” on page 937.

Viewing dashboards
This procedure shows you how to view a dashboard.
To view a dashboard
1 In the Enforce Server administration console, on the Incidents menu, click
Incident Reports. Under Reports, click the name of a dashboard.
Dashboards consist of up to six portlets that each provide a summary of a
particular report.
For example, the Executive Summary-Network dashboard consists of portlets
for the Network Policy Summary, High Risk Senders, Protocol Summary,
Top Recipient Domains, Status by Week, and Incidents - All.
2 To see the entire report for a portlet, click the portlet.
Symantec Data Loss Prevention displays the appropriate incident list or
summary report.
3 Browse through the incident list or summary report.
See “Viewing incidents” on page 947.
See “About summary reports” on page 945.

Creating dashboard reports

You can create custom dashboards and reports.
942 Managing and reporting incidents
Creating dashboard reports

If you are logged on as a user other than the administrator, Symantec Data Loss
Prevention lets you choose whether to share your dashboard or keep it private.
To create a dashboard
1 In the Enforce Server administration console, on the Incidents menu, click
Incident Reports.
2 On the Incident Reports screen that appears, click Create Dashboard.
The Configure Dashboard screen appears.
3 Choose whether to share your dashboard or keep it private.
If you choose to share a dashboard, the dashboard is accessible to all users
assigned the role under which you create it.
If you are logged on as Administrator, you do not see this choice.

Note: Symantec Data Loss Prevention automatically designates all dashboards

that the administrator creates as private.

Click Next.
4 In the General section, for Name, type a name for the dashboard.
5 For Description, type an optional description for the dashboard.
6 In the Delivery Schedule section, you can regenerate and send the dashboard
report to specified email accounts.
If SMTP is not set up on your Enforce Server, you do not see the Delivery
Schedule section.
If you have configured your system to send alerts and reports, you can set a
time to regenerate and send the dashboard report to specified email accounts.
See “Configuring the Enforce Server to send email alerts” on page 153.
If you have not configured Symantec Data Loss Prevention to send reports,
skip to the next step.
To set a schedule, locate the Delivery Schedule section and select an option
from the Schedule drop-down list. (You can alternatively select No Schedule.)
For example, select Send Weekly On.
Enter the data that is required for your Schedule choice. Required information
includes one or more email addresses (separated by commas). It may also
include calendar date, time of day, day of the week, day of the month, or last
date to send.
See “Delivery schedule options for dashboard reports” on page 956.
 Managing and reporting incidents 943
Configuring dashboard reports

7 For the Left Column, you can choose what to display in a pie chart or graph.
For the Right Column, you can also display a table of the information.
See “Choosing reports to include in a dashboard” on page 944.
Select a report from as many as three of the Left Column (Chart Only)
drop-down lists. Then select a report from as many as three of the Right
Column (Chart and Table) drop-down lists.
8 Click Save.
9 You can edit the dashboard later from the Edit Report Preferences screen.
To display a custom dashboard at logon, specify it as the default logon report
on the Edit Report Preferences screen.
See “Editing custom dashboards and reports” on page 958.

Configuring dashboard reports

You can create the custom dashboards that are tailored for users with specific
roles.
Dashboards consist of up to six portlets, each providing a quick summary of a
report you specify.
If you choose to share a dashboard, the dashboard is accessible to all users assigned
the role under which you create it.

Note: The Administrator user cannot create shared dashboards.

To configure a custom dashboard

1 In the General section, for Name, type a name for the dashboard.
2 For Description, type an optional description for the dashboard.
944 Managing and reporting incidents
Choosing reports to include in a dashboard

3 In the Delivery Schedule section, you can regenerate and send the dashboard
report to specified email accounts.
If SMTP is not set up on your Enforce Server, you do not see the Delivery
Schedule section.
If you have configured your system to send alerts and reports, you can set a
time to regenerate and send the dashboard report to specified email accounts.
See “Configuring the Enforce Server to send email alerts” on page 153.
If you have not configured Symantec Data Loss Prevention to send reports,
skip to the next step.
To set a schedule, locate the Delivery Schedule section and select an option
from the Schedule drop-down list. (You can alternatively select No Schedule.)
For example, select Send Weekly On.
Enter the data that is required for your Schedule choice. Required information
includes one or more email addresses (separated by commas). It may also
include calendar date, time of day, day of the week, day of the month, or last
date to send.
See “Delivery schedule options for dashboard reports” on page 956.
4 For the Left Column, you can choose what to display in a pie chart or graph.
For the Right Column, you can also display a table of the information.
See “Choosing reports to include in a dashboard” on page 944.
Select a report from as many as three of the Left Column (Chart Only)
drop-down lists. Then select a report from as many as three of the Right
Column (Chart and Table) drop-down lists.
5 Click Save.
6 You can edit the dashboard later from the Edit Report Preferences screen.
To display a custom dashboard at logon, specify it as the default logon report
on the Edit Report Preferences screen.
See “Editing custom dashboards and reports” on page 958.

Choosing reports to include in a dashboard

Dashboards have two columns of report portlets.
Portlets in the left column display a pie chart or graph.
Portlets in the right column display the same information as those in the left.
They also display either a list of the most significant incidents or a summary.
 Managing and reporting incidents 945
About summary reports

Incidents are ranked with severity and match count. You can display a list of
summary criteria and associated incidents that highlight any high-severity incident
totals.
You can choose up to three reports to include in the left column, and up to three
reports to include in the right column.
To choose reports to include
1 Choose a report from as many as three of the Left Column (Chart Only)
drop-down lists.
2 Choose a report from as many as three of the Right Column (Chart and Table)
drop-down lists.
3 After you configure the dashboard, click Save.
See “Configuring dashboard reports” on page 943.

About summary reports

Symantec Data Loss Prevention provides two types of summary reports: single
summaries and double summaries.
Single summaries show incident totals organized by a specific incident attribute
such as status or associated policy. For example, a policy summary includes a row
for each policy that has associated incidents. Each row includes a policy name,
the total number of associated incidents, and incident totals by severity.
Double summaries show incident totals organized by two incident attributes. For
example, a policy trend summary shows the total incidents which are organized
with policy and week. As in a policy summary, each entry includes a policy name,
the total number of associated incidents, and incident totals by severity. In
addition, each entry includes a separate line for each week, showing the week's
incident totals and incidents by severity.
See “Summary options for incident reports” on page 977.
You can create custom summary reports from any incident list.

Viewing summary reports

This procedure shows you how to view a summary report.
946 Managing and reporting incidents
Creating summary reports

To view a summary report

1 In the Enforce Server administration console, on the Incidents menu, select
one of the types of reports.
For example, select Network, and then click Policy Summary.
The report consists of summary entries (rows) that are divided into several
columns. The first column is named for the primary summary criterion. It
lists primary and (for double summaries) secondary summary items. For
example, in a Policy Summary this column is named Policy and it lists
policies. Each entry includes a column for total number of associated incidents.
It also includes columns showing the number of incidents of High, Medium,
Low, and Informational severity. Finally, it includes a bar chart that represents
the number of incidents by severity.
2 Optionally, you can sort the report alpha-numerically by a particular column's
data. To do so, click the wanted column heading. To sort in reverse order,
click the column heading a second time.
3 To identify areas of potential risk, click the High column heading to display
summary entries by number of high-severity incidents.
4 Click an entry to see a list of associated incidents. In any of the severity
columns, you can click the total to see a list of incidents of the chosen severity.
See “Viewing incidents” on page 947.

Creating summary reports

This procedure shows you how to create a summary report.
To create a summary report from an incident list
1 In the Enforce Server administration console, on the Incidents menu, select
one of the types of reports, and then click an incident list.
For example, select Discover, and then the report Incidents-All Scans.
2 Click the Advanced Filters & Summarization bar (near the top of the report).
In Summarize By for the primary listbox and secondary listbox that appear,
Symantec Data Loss Prevention displays all Symantec-provided criteria in
alphabetical order. The criteria precedes any custom criteria the administrator
has defined.
See “Summary options for incident reports” on page 977.
 Managing and reporting incidents 947
Viewing incidents

3 Select a criterion from the primary listbox, and an optional criterion from
the secondary listbox. For example, select Policy Group and then Policy.
(Note that options in the secondary listbox appear only after you choose an
option from the primary listbox.)
4 To create the summary report, click Apply.
Summary reports take their name from the primary summary criterion. If
you rerun a report with new criteria, the report name changes accordingly.
5 Save the report.
See “Saving custom incident reports” on page 951.

Viewing incidents
Symantec Data Loss Prevention incident lists display the individual incident
records with information about the incidents. You can click on any incident to
see a snapshot containing more details. You can select specific incidents or groups
of incidents to modify or remediate.
Symantec Data Loss Prevention provides incident lists for Network, Endpoint,
and Discover incidents.
To view incidents
1 In the Enforce Server administration console, on the Incidents menu, select
one of the types of reports.
For example, select Discover. In the left navigation panel, click Incidents-All
Scans.
The incident list displays the individual incident records that contain
information such as severity, associated policy, number of matches, and
status.
2 Optionally, use report filters to narrow down the incident list.
See “Filtering reports” on page 950.
3 To view more details of a particular incident, click the incident.
The incident snapshot appears, displaying general incident information,
matches detected in the intercepted text, and details about policy, attributes,
and incident history.
You can also search for similar incidents from the Correlations tab.
4 Optionally, click through the incident snapshot to view more information
about the incident.
948 Managing and reporting incidents
About custom reports and dashboards

The following list describes the ways you can access more information through
the snapshot:
■ You can find information about the policy that detected the incident. On
the Key Info tab, the Policy Matches section displays the policy name.
Click on the policy name to see a list of incidents that are associated with
that policy. Click view policy to see a read-only version of the policy.
This section also lists other violated policies with the same file or message.
When multiple policies are listed, you can see the snapshot of an incident
that is associated with a particular policy. Click go to incident next to the
policy name. To see a list of all incidents that the file or message created,
click show all.
■ You can view lists of the incidents that share various attributes with the
current incident. The Correlations tab shows a list of correlations that
match single attributes. Click on attribute values to see the lists of
incidents that are related to those values.
For example, the current network incident is triggered from a message
from a particular email account. You can bring up a list of all incidents
that this account created.
■ For most network incidents, you can access any attachments that are
associated with the network message. To do so, locate the Attachments
field in the Incident Details section of the snapshot and click the
attachment file name.
For a detailed description of incident snapshots and the actions you can
perform through them, see the online Help.
5 When you finish viewing incidents, you can exit the incident snapshot or
incident list, or you can choose one or more incidents to remediate.
See “Remediating incidents” on page 868.

About custom reports and dashboards

You can filter and summarize reports, and then save them for continued use.
When saving a customized report, you can configure Symantec Data Loss
Prevention to send the report according to a specific schedule.
Symantec Data Loss Prevention displays the titles of customized reports under
Incidents > Incident Reports.
The Incident Reports screen displays all out-of-the-box and custom reports
available to your assigned role(s). The list includes shared custom reports and the
dashboards that you or anyone else in your current role created. Several standard
reports are available with Symantec Data Loss Prevention.
 Managing and reporting incidents 949
About custom reports and dashboards

Symantec Data Loss Prevention displays each report's name, associated product,
and description. For custom reports, Symantec Data Loss Prevention indicates
whether the report is shared or private and displays the report generation and
delivery schedule.
You can modify existing reports and save them as custom reports, and you can
also create custom dashboards. Custom reports and dashboards are listed in the
Saved Reports section of the navigation panel.
You can click any report on the list to re-run it with current data.
You can view and run custom reports for reports created by users who have any
of the roles that are assigned to you. You can only edit or delete the custom reports
that are associated with the current role. The only custom reports visible to the
Administrator are the reports that the Administrator user created.
A set of tables lists all the options available for filtering and summarizing reports.
See “About summary reports” on page 945.
See “Summary options for incident reports” on page 977.
See “General filters for reports” on page 974.
See “Advanced filter options for reports” on page 983.

Create Dashboard Lets you create a custom dashboard that displays summary data from
several reports you specify. For users other than the Administrator,
this option leads to the Configure Dashboard screen, where you
specify whether the dashboard is private or shared. All Administrator
dashboards are private.

See “Creating dashboard reports” on page 941.

Edit Preferences Lets you specify the report that displays at logon, as well as the reports
that should appear in the navigation panel.

See “Editing custom dashboards and reports” on page 958.

Saved (custom) reports associated with your role appear near the top of the screen.
The following options are available for your current role's custom reports:

Click this icon next to a report to display the save report or configure
dashboard screen. You can change the name, description, or schedule,
or (for dashboards only) change the reports to include.

See “Saving custom incident reports” on page 951.

See “Configuring dashboard reports” on page 943.

950 Managing and reporting incidents
Using IT Analytics to manage incidents

Click this icon next to a report to display the screento change the
scheduling of this report. If this icon does not display, then this report
is not currently scheduled.

See “Saving custom incident reports” on page 951.

Click this icon next to a report to delete that report. A dialog prompts
you to confirm the deletion. When you delete a report, you cannot
retrieve it. Make sure that no other role members need the report
before you delete it.

Using IT Analytics to manage incidents

IT Analytics Solution is a Business Intelligence (BI) application that complements
and expands upon the reporting that is offered by Symantec Data Loss Prevention.
It provides multi-dimensional analysis and robust graphical reporting features
to Symantec Management Platform. This functionality lets you create on-the-fly
ad-hoc reports without advanced knowledge of databases or third-party reporting
tools. IT Analytics provides this powerful on-the-fly ad-hoc reporting with pivot
tables, precompiled aggregations for fast answers to typically long-running queries,
and easy export to .PDF, Excel, .CSV and .TIF files.
The IT Analytics Solution is supported for Symantec Data Loss Prevention version
10.5 and later.
For more information, see the Data Loss Prevention Pack for Altiris IT Analytics
Solution 7.1 SP2 from Symantec User Guide, available at the following URL:
http://www.symantec.com/business/support/index?page=content&id=DOC5526&key=56005

Filtering reports
You can filter an incident list or summary report.
To filter an incident list
1 In the Enforce Server administration console, on the Incidents menu, select
one of the types of reports.
For example, select Network, and then click Policy Summary.
2 In the Filter area, current filters are displayed, as well as options for adding
and running other filters.
 Managing and reporting incidents 951
Saving custom incident reports

3 Modify the default filters as wanted. For example, from the Status filter
drop-down lists, select Equals and New.
For Network, Mobile, and Endpoint reports, the default filters are Date and
Status. For Discover reports, default filters are Status, Scan, and Target ID.
4 To add a new filter, select filter options from the drop-down lists. Click
Advanced Filters & Summarization for additional options. Click Add Filter
on the right, for additional filter options.
Select the filter type and parameters from left to right as if writing a sentence.
For example, from the advanced filters, Add Filter options, select Policy and
Is Any Of, and then select one or more policies to view in the report. Hold
down Ctrl or Shift to select more than one item in the listbox.
5 Click Apply to update the report.
6 Save the report.
See “Saving custom incident reports” on page 951.

Saving custom incident reports

After you summarize or filter a report, you can save it for continued use. When
you save a customized report, Symantec Data Loss Prevention displays the report
title under Saved Reports in the Incident Reports section. If a user chooses to
share the report, Symantec Data Loss Prevention displays the report link only for
users who belong to the same role as the user who created the report.
See “About custom reports and dashboards” on page 948.
You can edit the report later on the Edit Preferences screen.
See “Editing custom dashboards and reports” on page 958.
Optionally, you can schedule the report to be run automatically on a regular basis.
See “Scheduling custom incident reports” on page 952.
To save a custom report
1 Set up a customized filter or summary report.
See “About custom reports and dashboards” on page 948.
Click Save > Save As.
2 Enter a unique report name and describe the report. The report name can
include up to 50 characters.
952 Managing and reporting incidents
Scheduling custom incident reports

3 In the Sharing section, users other than the administrator can share a custom
report.

Note: This section does not appear for the administrator.

The Sharing section lets you specify whether to keep the report private or
share it with other role members. Role members are other users who are
assigned to the same role. To share the report, select Share Report. All role
members now have access to this report, and all can edit or delete the report.
If your account is deleted from the system, shared reports remain in the
system. Shared reports are associated with the role, not with any specific
user account. If you do not share a report, you are the only user who can
access it. If your account is deleted from the system, your private reports are
deleted as well. If you log on with a different role, the report is visible on the
Incident Reports screen, but not accessible to you.
4 Click Save.

Scheduling custom incident reports

Optionally, you can schedule a saved report to be run automatically on a regular
basis.
You can also schedule the report to be emailed to specified addresses or to the
data owners on a regular schedule.
See the Symantec Data Loss Prevention Data Insight Implementation Guide.
 Managing and reporting incidents 953
Scheduling custom incident reports

To schedule a custom report

1 Click Send > Schedule Distribution.
If SMTP is not set up on your Enforce Server, you are not able to select the
Send menu item to send the report.
See “Configuring the Enforce Server to send email alerts” on page 153.
2 Specify the Delivery Details:

To: Select whether the report is sent to

specified email addresses or to the data
owners.

Manual - Sent to specified e-mail Enter the specific email addresses

addresses manually in the text box.

Auto - Send to incident data owners To send the report to the data owners, the
Send report data with emails setting must
be enabled for this option to appear.

See “Configuring the Enforce Server to

send email alerts” on page 153.

If you select to have the report sent to the

incident data owners, then the email
address in the incident attribute Data
Owner Email Address is the address
where the report is sent.

This Data Owner Email Address must be

set manually, or with a lookup plug-in.

See the Symantec Data Loss Prevention

Data Insight Implementation Guide.

A maximum of 10000 incidents can be

distributed per data owner.

CC: Enter the email addresses manually in the

text box.

Subject: Use the default subject or modify it.

Body: Enter the body of the email.

Response action variables can also be

entered in the body.

See “Response action variables”

on page 871.
954 Managing and reporting incidents
Delivery schedule options for incident and system reports

3 In the Schedule Delivery section, specify the delivery schedule.

See “Delivery schedule options for incident and system reports” on page 954.
4 In the Change Incident Status / Attributes section, you can implement
workflow.
The Auto - Send to incident data owners option must be set for this section
to appear.
See “Configuring the Enforce Server to send email alerts” on page 153.
5 After sending the report, you can change an incident's status to any of the
valid values. Select a status value from the drop-down list.
6 You can also enter new values for any custom attributes.
These attributes must be already set up.
See “About incident status attributes” on page 997.
7 Select one of the custom attributes from the drop-down list.
8 Click Add.
9 In the text box, enter the new value for this custom attribute.
After sending the report, the selected custom attributes set the new values
for those incidents that were sent in the report.
10 Click Next.
11 Enter the name and description of the saved report.
12 Click Save.

Delivery schedule options for incident and system

reports
The Schedule Delivery section lets you set up a schedule for the report.

Note: If your Enforce Server is not configured to send email, or you are not allowed
to send reports, the Schedule Delivery section does not appear.

When you make a selection from the list, additional fields appear.
To remove scheduling of a report that was previously scheduled, click the Remove
option.
The following table describes the additional fields available for each option on
the list.
 Managing and reporting incidents 955
Delivery schedule options for incident and system reports

Delivery Details Specify the following delivery details:

■ Send To
Specify Manual to specify the email addresses.
Specify Auto for automatic sending to data owners.
■ To
Enter one or more email addresses. Separate them with commas.
■ CC
Enter one or more email addresses. Separate them with commas.
■ Subject
Provide a subject for the email.
■ Body
Enter the body of the email. Use variables for items such as the
policy name.
See “Response action variables” on page 871.

One time Select One time to schedule the report to be run once at a future time,
and then specify the following details for that report:

■ Time
Select the time you want to generate the report.
■ Send Date
Enter the date you want to generate the report, or click the date
widget and select a date.

Daily Select Daily to schedule the report to be run every day, and then
specify the following details for that report:

■ Time
Select the time you want to generate the report.

■ Until

Enter the date you want to stop generating daily reports, click the
date widget and select a date, or select Indefinitely.

Weekly Select Weekly on to schedule the report to be run every week, and
then specify the following details for that report:

■ Time
Select the time you want to generate the report.
■ Days of Week
Click to check one or more check boxes to indicate the day(s) of
the week you want to generate the report.
■ Until
Enter the date you want to stop generating weekly reports, click
the date widget and select a date, or select Indefinitely.
956 Managing and reporting incidents
Delivery schedule options for dashboard reports

Monthly Select Monthly on to schedule the report to be run every month, and
then specify the following details for that report:

■ Time
Select the time you want to generate the report.
■ Day of Month
Enter the date on which you want to generate the report each
month.
■ Until
Enter the date you want to stop generating monthly reports, click
the date widget and select a date, or select Indefinitely.

See “Saving custom incident reports” on page 951.

See “ Working with saved system reports” on page 145.

Delivery schedule options for dashboard reports

The Delivery Schedule section lets you set up a schedule for the report.

Note: If your Enforce Server is not configured to send email, or you are not allowed
to send reports, the Delivery Schedule section does not appear.

When you make a selection from the Schedule drop-down list, additional fields
appear.
The following table describes the additional fields available for each option on
the list.

No Schedule Select No Schedule to save the report without a schedule.

Once Select Once to schedule the report to be run once at a future time, and
then specify the following details for that report:

■ On

Enter the date you want to generate the report, or click the date widget
and select a date.

■ At

Select the time you want to generate the report.

■ Send To

Enter one or more email addresses. Separate them with commas.

 Managing and reporting incidents 957
Delivery schedule options for dashboard reports

Send Every Day Select Send Every Day to schedule the report to be run every day, and
then specify the following details for that report:

■ At

Select the time you want to generate the report.

■ Until

Enter the date you want to stop generating daily reports, click the
date widget and select a date, or select Indefinitely.

■ Send To

Enter one or more email addresses. Separate them with commas.

Send Weekly On Select Send Weekly on to schedule the report to be run every week,
and then specify the following details for that report:

■ Day

Click to check one or more check boxes to indicate the day(s) of the
week you want to generate the report.

■ At

Select the time you want to generate the report.

■ Until

Enter the date you want to stop generating weekly reports, click the
date widget and select a date, or select Indefinitely.

■ Send To

Enter one or more email addresses. Separate them with commas.

Send Monthly On Select Send Monthly on to schedule the report to be run every month,
and then specify the following details for that report:

■ Day of each month

Enter the date on which you want to generate the report each month.

■ At

Select the time you want to generate the report.

■ Until

Enter the date you want to stop generating monthly reports, click the
date widget and select a date, or select Indefinitely.

■ Send To

Enter one or more email addresses. Separate them with commas.

See “Configuring dashboard reports” on page 943.

958 Managing and reporting incidents
Using the date widget to schedule reports

Using the date widget to schedule reports

The date widget specifies dates for reports.
The date widget enters the date for you. You can click Today to enter the current
date.
To use the date widget
1 Click the date widget.
2 Click the left arrow or the right arrow on either side of the month to change
the month.
3 Click the left arrow or the right arrow on either side of the year to change the
year.
4 Click the desired date on the calendar.

Editing custom dashboards and reports

You can edit any custom report or dashboard that you create.
To edit a custom dashboard or report
1 In the Enforce Server administration console, on the Incidents menu, select
Incident Reports.
The Incident Reports dashboard appears and displays Saved Reports near
the top.
2 Click the edit icon next to the report or dashboard to edit.
The Save Report screen or the Save Dashboard screen appears. You can edit
the name, description, and schedule of any custom report or dashboard, and
you can select different component reports for a custom dashboard.
See “Saving custom incident reports” on page 951.
3 When you finish editing, click Save.

Exporting incident reports

A report can be exported to a comma-separated text (.csv) file or to an XML file.
You can set up a CSV delimiter other than a comma. You can specify which fields
are exported to XML. These options must be set in your profile before you export
a report.
See “Editing a user profile” on page 60.
 Managing and reporting incidents 959
Exported fields for Network Monitor

To export a report
1 Click Incidents, and select a type of report.
2 Navigate to the report that you want to export. Filter or summarize the
incidents in the report, as desired.
See “Common incident report features” on page 965.
3 Check the boxes on the left side of the incidents to select the incidents to
export.
4 In the Export drop-down, select Export All: CSV or Export All: XML

Note: The XML schema files for exported reports are located in the
c:\Vontu\Protect\tomcat\webapps\ProtectManager\WEB-INF\lib\
reportingapi-schema.jar file.

See the Reporting API Developers Guide for a description of individual XML
elements.

5 Click Open or Save. If you selected Save, a Save As dialog box opens, and you
can specify the location and the file name.
See “Exported fields for Network Monitor” on page 959.
See “Exported fields for Endpoint Discover” on page 962.
See “Exported fields for Network Discover” on page 960.
See “Exported fields for Mobile Prevent for Web” on page 961.
See “Printing incident reports” on page 968.
See “Sending incident reports by email” on page 967.

Exported fields for Network Monitor

The following fields are exported for Network Monitor:

Type Incident type (for example SMTP, HTTP, or FTP).

Message Status of this incident message.

Status

Severity Severity of this incident (High, Medium, or Low).

Sent Date and time the message was sent.

ID Unique identifier for this incident.

960 Managing and reporting incidents
Exported fields for Network Discover

Policy Name of the policy that triggered this incident.

Matches The number of times that this item matches the detection parameters of a
policy rule.

Subject Subject of the message.

Recipient(s) Recipient of the message.

Status Status of this incident (New, Escalated, Dismissed, or Closed).

Has Indicates if this message has an attachment.

Attachment

Data Owner The person responsible for remediating the incident. This field must be set
Name manually, or with one of the lookup plug-ins.

Reports can automatically be sent to the data owner for remediation.

Data Owner The email address of the person responsible for remediating the incident.
Email This field must be set manually, or with one of the lookup plug-ins.

Custom attributes are also exported.

Exported fields for Network Discover

The following fields are exported for Network Discover:

Type Target type (for example file system, Lotus Notes, or SQL Database).

Message Status of this incident message.

Status

Severity Severity of this incident (High, Medium, or Low).

Detection Date that an incident was detected.

Date

Seen Before Was this incident previously seen? The value is Yes or No.

Subject Email subject for integrated Exchange scans.

Sender Email sender for integrated Exchange scans.

Recipient Email recipient for integrated Exchange scans.

ID Unique identifier for this incident.

Policy Name of the policy that triggered this incident.

 Managing and reporting incidents 961
Exported fields for Mobile Prevent for Web

Matches The number of times that this item matches the detection parameters of a
policy rule.

Location Location (path) of this item.

Status Status of this incident (New, Escalated, Dismissed, or Closed).

Target Name of the scan target.

Scan Date and time when the file was scanned.

File Owner Owner of the file.

Last Date and time when the item was last modified.
Modified
Date

File Create Date and time when the item was created.
Date

Last Access Date and time when the item was last accessed.
Date

Data Owner The person responsible for remediating the incident. This field must be set
Name manually, or with one of the lookup plug-ins.

Reports can automatically be sent to the data owner for remediation.

Data Owner The email address of the person responsible for remediating the incident.
Email This field must be set manually, or with one of the lookup plug-ins.

Custom attributes are also exported.

Exported fields for Mobile Prevent for Web

The following fields are exported for Mobile Prevent for Web:

Type Incident type (for example HTTP/S or FTP).

Message Status of this incident message.

Status

Severity Severity of this incident (High, Medium, or Low).

Sent Date and time the message was sent.

ID Unique identifier for this incident.

Policy Name of the policy that triggered this incident.

962 Managing and reporting incidents
Exported fields for Endpoint Discover

Matches The number of times that this item matches the detection parameters of a
policy rule.

Subject Subject of the message.

Recipient(s) Recipient of the message.

Status Status of this incident (New, Escalated, Dismissed, or Closed).

Has Indicates if this message has an attachment.

Attachment

Data Owner The person responsible for remediating the incident. This field must be set
Name manually, or with one of the lookup plug-ins.

Reports can automatically be sent to the data owner for remediation.

Data Owner The email address of the person responsible for remediating the incident.
Email This field must be set manually, or with one of the lookup plug-ins.

Exported fields for Endpoint Discover

The following fields are exported for Endpoint Discover:

Type Target type (for example Removable Storage).

Severity Severity of this incident (High, Medium, or Low).

Occurred On Date that an incident was detected.

ID Unique identifier for this incident.

Policy Name of the policy that triggered this incident.

Matches The number of times that this item matches the detection parameters of a
policy rule.

Status Status of this incident (New, Escalated, Dismissed, or Closed).

File Name Name of the file that violated the policy.

File Path Path of the file.

Note: The file location appears only for fixed drive incidents.

Machine Computer on which the incident occurred.

User Endpoint user name.

 Managing and reporting incidents 963
Deleting incidents

Prevention Status from Endpoint (for example Action Blocked).

Status

Subject Subject of the message.

Recipient(s) Recipient of the message.

Has Indicates if this message has an attachment.

Attachment

Data Owner The person responsible for remediating the incident. This field must be set
Name manually, or with one of the lookup plug-ins.

Reports can automatically be sent to the data owner for remediation.

Data Owner The email address of the person responsible for remediating the incident.
Email This field must be set manually, or with one of the lookup plug-ins.

Custom attributes are also exported.

Deleting incidents
You can delete incidents, but you cannot recover the incidents that you have
deleted. Because deletion is permanent, Symantec Data Loss Prevention offers
options for deleting only certain parts of the data that triggered the incident.
964 Managing and reporting incidents
Deleting custom dashboards and reports

To delete an incident
1 Select from the following delete options:

Delete incident Permanently deletes the incident(s) and all associated data (for
completely example, any emails and attachments). Note that you cannot
recover the incidents that have been deleted.

Retain incident, Retains the actual incident(s) but discards the Symantec Data
butdeletemessage Loss Prevention copy of the data that triggered the incident(s).
data You have the option of deleting only certain parts of the
associated data. The rest of the data is preserved.

Delete Original Deletes the message content (for example, the email message or
Message HTML post). This option applies only to Network incidents.

Delete This option refers to files (for Endpoint and Discover incidents)
Attachments/Files or email or posting attachments (for Network incidents). The
options are All, which deletes all attachments, and Attachments
with no violations. For example, choose this option to delete files
(for Endpoint and Discover incidents) or email attachments (for
Network incidents).

This option deletes only those attachments in which Symantec

Data Loss Prevention found no matches. For example, choose
this option when you have incidents with individual files taken
from a compressed file (Endpoint and Discover incidents) or
several email attachments (Network incidents).

2 Click Cancel or Delete.

Delete permanently deletes the selected incident.

Deleting custom dashboards and reports

You can delete any custom report or dashboard that you create.
To delete a custom dashboard or report
1 In the Enforce Server administration console, on the Incidents menu, select
Incident Reports.
The Incident Reports dashboard appears and displays Saved Reports near
the top.
2 Click the delete icon next to the report or dashboard to delete it.
 Managing and reporting incidents 965
Common incident report features

3 Click OK to confirm.
4 Symantec Data Loss Prevention deletes the report, and removes it from the
Incident Reports screen.

Common incident report features

The following options are common to incident report lists:
■ Icons to perform the following tasks for a report:
■ Save
You can save the current report as a custom saved report.
See “Saving custom incident reports” on page 951.
■ Send
You can email the report or schedule the report distribution.
See “Saving custom incident reports” on page 951.
■ Export
You can export the current report as CSV or XML.
See “Exporting incident reports” on page 958.
■ Delete Report
If this report is not a saved report, then the Delete Report option does not
appear.

■ Report filters and summary options

See “Incident report filter and summary options” on page 966.
■ Page navigation icons
See “Page navigation in incident reports” on page 966.
The following summary reports are available for the types of incidents:
■ Network
See “Network summary report” on page 885.
■ Endpoint
See “Endpoint incident summary reports” on page 900.
■ Discover
See “Discover summary reports” on page 928.
■ Mobile
See “Mobile summary report” on page 914.
966 Managing and reporting incidents
Page navigation in incident reports

Page navigation in incident reports

All reports except executive summaries include page navigation options. Symantec
Data Loss Prevention displays the number of currently visible incidents out of
total report incidents (for example, 1-19 of 19 or 1-50 of 315).
Reports with more than 50 incidents have the following options:

Displays the first page of the report.

Displays the previous page.

Displays the next page.

Displays the last page.

Show All Displays all items on one single page.

Use the Show All link on an Incident List with caution when the
system contains more than 500 incidents. Browser performance
degrades drastically if more than 500 incidents are displayed on the
Incident List page.

Select All Selects all incidents on all pages, so you can update them all at once.
(Available only on Incident Lists.) Click Unselect All to cancel.
Note: Use caution when you choose Select All. This option selects all
the incidents in the report (not only those on the current page). Any
incident command that you subsequently apply affects all the
incidents.

To select only the incidents on the current page, select the checkbox
at top left of the incident list.

See “Common incident report features” on page 965.

Incident report filter and summary options

Filters are separated into commonly used filters, and advanced filters and
summarizations.
The common filters include the following options:

Status Select Equals, Is Any Of, or Is None Of. Then select status
values. Hold down Ctrl and click to select more than one
separate status value. Hold down Shift and click to select a
range.
 Managing and reporting incidents 967
Sending incident reports by email

Date Use the drop-down menu to select a date range, such as Last
Week or Last Month. The default is All Dates.
Network and Endpoint
reports

Severity Check the boxes to select the severity values.

Scan For Discover reports, select the scan to report. You can select
the most recent scan, the initial scan, or a scan in progress.
Discover reports
All Scans is the default.

Target ID For Discover reports, select the name of the target to report.
All Targets is the default.

Click the Advanced Filters & Summarization bar to expand the section with filter
and summary options.
Click Add Filter to add an advanced filter.
Select a primary and optional secondary option for summarization. A
single-summary report is organized with a single summary criterion, such as the
policy that is associated with each incident. A double-summary report is organized
with two criteria, such as policy and incident status.

Note: If you select a condition in which you enter the content to be matched in
the text field, your entire entry must match exactly. For example, if you enter
"apples and oranges", that exact text must appear in the specified component for
it to be considered a match. The sentence "Bring me the apples and the oranges"
is not considered a match.

For a complete list of the report filter and summary options, see the Symantec
Data Loss Prevention Administration Guide.
See “Common incident report features” on page 965.

Sending incident reports by email

You can send a copy of the current report to any email address.
To send reports, your system administrator must configure an SMTP server. The
Administrator must specify a report distribution option on the System > Settings
page. You must also specify an email address for your user account.
See “Configuring the Enforce Server to send email alerts” on page 153.
968 Managing and reporting incidents
Printing incident reports

To send a report
1 Click Incidents, and select a type of report.
2 Navigate to the report that you want to export. Filter or summarize the
incidents in the report, as desired.
See “Common incident report features” on page 965.
3 Click Send in the upper right corner.
Alternatively, you can use the Send menu (above the filters).
See “Saving custom incident reports” on page 951.
4 In the Send Report dialog box, specify the following options:

To Enter one or more email addresses (comma-separated).

Subject Enter a subject for the message.

Message Enter the message.

5 Click Send or Cancel.

See “Printing incident reports” on page 968.
See “Exporting incident reports” on page 958.

Printing incident reports

You can print a report to any available printer.
To print a report
1 Click Incidents, and select a type of report.
2 Navigate to the report that you want to export. Filter or summarize the
incidents in the report, as desired.
See “Common incident report features” on page 965.
3 Click Print in the upper right corner.
4 An image of the report appears in a browser window.
5 The printer selection dialog box appears, and you can select a printer.
See “Sending incident reports by email” on page 967.
See “Exporting incident reports” on page 958.
 Managing and reporting incidents 969
Incident snapshot history tab

Incident snapshot history tab

You can view the actions that were performed on the incident. For each action,
the History tab displays the action date and time, the actor (a user or server), and
the action or the comment. Click Add Comment to add a comment.
See “Discover incident snapshots” on page 920.
See “Network incident snapshot” on page 880.
See “Endpoint incident snapshot” on page 892.
See “Mobile incident snapshot” on page 906.

Incident snapshot attributes section

You can view a list of custom attributes and their values, if any have been specified.
Click on attribute values to view an incident list that is filtered on that value. To
add new values or edit existing ones, click Edit. In the Edit Attributes dialog box
that appears, type the new values and click Save. Archived incidents are not
displayed in the filtered list.

Note: This section appears only if a system administrator has configured custom
attributes.

See “Discover incident snapshots” on page 920.

See “Endpoint incident snapshot” on page 892.
See “Network incident snapshot” on page 880.
See “Mobile incident snapshot” on page 906.

Incident snapshot correlations tab

You can view lists of the incidents that share various attributes of the current
incident.
For example, if the copying of a file triggered the current incident, you can bring
up a list of all the incidents that are related to the copying of this file. The
Correlations tab shows a list of correlations that are matched to single attributes.
Click on attribute values to view lists of the incidents that are related to those
values.
To search for other incidents with the same attributes, click Find Similar. In the
Find Similar Incidents dialog box that appears, select the desired search attributes.
970 Managing and reporting incidents
Incident snapshot policy section

Then click Find Incidents. Archived incidents are not displayed when you search
for similar incidents.
See “Discover incident snapshots” on page 920.
See “Endpoint incident snapshot” on page 892.
See “Network incident snapshot” on page 880.
See “Mobile incident snapshot” on page 906.

Incident snapshot policy section

The Policy area shows the policy that was violated in the incident and indicates
if the policy blocked a move or notified the user. It also shows the total number
of matches for the policy, as well as matches per policy rule. Click the policy name
to view a list of all incidents that violated the policy. Click view policy to view a
read-only version of the policy.
You see the icons that describe the following information:
■ Symantec Data Loss Prevention blocked a copy of the sensitive information.
■ Symantec Data Loss Prevention notified the user about the copy of confidential
data.
This section also lists other policies that are violated from the same file. To view
the snapshot of an incident that is associated with a particular policy, click the
Go to Incident link next to the policy name. To view a list of all incidents that are
related to the file, click show all.
See “Discover incident snapshots” on page 920.
See “Endpoint incident snapshot” on page 892.
See “Network incident snapshot” on page 880.
See “Mobile incident snapshot” on page 906.

Incident snapshot matches section

In the Matches section, Symantec Data Loss Prevention displays the content (if
applicable) and the matches that caused the incident.
Matches are highlighted in yellow. This section shows the match total and displays
the matches in the order in which they appear in the original content. To view
the rule that triggered a match, click on the highlighted match.
See “Discover incident snapshots” on page 920.
See “Endpoint incident snapshot” on page 892.
 Managing and reporting incidents 971
Incident snapshot access information section

See “Network incident snapshot” on page 880.

See “Mobile incident snapshot” on page 906.
See “About the Similarity Threshold and Similarity Score” on page 480.

Incident snapshot access information section

The Access Information section of an incident snapshot shows the Access Control
Lists for that object.
Access Control Lists (ACL) are lists of the permissions that are attached to an
object or piece of data. The list contains information about all users who have
read and write permissions for the file. Use the list to view which users have access
to the file as well as which actions each user can perform. The permissions for
each user or group are not set through Symantec Data Loss Prevention.
Administrators set the permissions for each file using other types of programs
on the endpoint computer. Permissions are generally set at the time that the file
is created.
For example, User 1 has permission to access the file Example1.doc. User 1 can
view and edit the file. User 2 also has access to the file Example1.doc. However,
User 2 can only view the file. User 2 does not have permission to make changes
to the file. In the ACL, both User 1 and User 2 are listed with the permissions that
have been granted to them.
Table 48-1 shows the combinations.

Table 48-1 Access control list example

Name Permission

User 1 GRANT READ

User 1 GRANT WRITE

User 2 GRANT READ

The ACL contains a new line for each permission granted. The ACL only contains
one line for User 2 because User 2 only has one permission, to read the file. User
2 cannot make any changes to the file. User 1 has two entries because User 1 has
two permissions: reading the file and editing it.
You can view ACL information only on Discover and Endpoint local drive incident
snapshots. You cannot view ACL information on any other type of incidents.
The Access Information section appears on the Key Info tab of the incident
snapshot.
972 Managing and reporting incidents
Customizing incident snapshot pages

See “Discover incident snapshots” on page 920.

See “Endpoint incident snapshot” on page 892.
See “Network incident snapshot” on page 880.
See “Mobile incident snapshot” on page 906.

Customizing incident snapshot pages

You can customize the appearance of the incident snapshot page.
To customize the appearance of the incident snapshot page
1 From an incident snapshot, click Customize Layout (in the upper-right
corner).
2 Select the information to appear on each of the tabs in the incident snapshots.
Tab 1 always contains the Key Info, and cannot be changed.
3 For each of the areas on the incident snapshot screen, select the information
that appears.
4 Click Save.

About filters and summary options for reports

You can set a number of filters and summaries for Symantec Data Loss Prevention
incident reports.
These filters let you see the incidents and incident data in different ways.
The set of filters apply separately to Network, Endpoint, Mobile, and Storage
events.
Figure 48-1 shows the locations of the options to filter and summarize reports.
 Managing and reporting incidents 973
About filters and summary options for reports

Figure 48-1 Filter and summary options

General filters

Advanced filters

Summary options

Current filters and

summary options

The filters and summary options are in the following sections:

General filters The general filter options are See “General filters for
the most commonly used. reports” on page 974.
They are always visible in the
incident list report.

Advanced filters The advanced filters provide See “Advanced filter options
many additional filter for reports” on page 983.
options. You must click the
Advanced Filters &
Summarization bar, and
then click Add Filter to view
these filter options.
974 Managing and reporting incidents
General filters for reports

Summary options The summary options See “Summary options for

provide ways to summarize incident reports” on page 977.
the incidents in the list. You
must click the Advanced
Filters & Summarization bar
to view these summary
options.

Symantec Data Loss Prevention contains many standard reports. You can also
create custom reports or save report summary and filter options for reuse.
See “About Symantec Data Loss Prevention reports” on page 935.

General filters for reports

General filters for reports include a set of a few common filters.
Most of these filters are applicable for all the products. Network Discover contains
some general filters that relate to scans of storage. For example, you can filter
the incidents that are in a particular scan. These filters are not applicable to
Network Prevent or Endpoint Prevent.
Table 48-2 lists the general filter options for report status values.
You can also create custom status values.
See “About incident status attributes” on page 997.
These status filters are available for Network, Endpoint, Mobile, and Discover
incidents.

Table 48-2 General filters for status values

Name Description

Equals The status is equal to the field that is selected in the next
drop-down.

Is Any Of The status can be any of the fields that are selected in the next
drop-down. Shift-click to select multiple fields.

Is None Of The status is none of the fields that are selected in the next
drop-down. Shift-click to select multiple fields.

Table 48-3 lists the general filter options by date.

These date filters are available for Network, Mobile, and Endpoint incidents.
 Managing and reporting incidents 975
General filters for reports

Table 48-3 General filters by date

Name Description

All Dates All of the dates that contain incidents.

Current Month to Date All of the incidents that were reported for the current month up
to today's date.

Current Quarter to All of the incidents that were reported for the current quarter
Date up to today's date.

Current Week to Date All of the incidents that were reported for the current week.

Current Year to Date All of the incidents that have been reported for the current year
up to today's date.

Custom A custom time frame. Select the dates that you want to view from
the calendar menu.

Last 7 Days All of the incidents that were reported in the previous seven
days.

Last 30 Days All of the incidents that were reported in the previous 30 days.

Last Month All of the incidents that were reported during the previous
calendar month.

Last Week All of the incidents that were reported during the previous
calendar week.

Last Quarter All of the incidents that were reported during the previous
quarter.

Last Year All of the incidents that were reported during the last calendar
year.

Today All of the incidents that were reported today.

Yesterday All of the incidents that were reported yesterday.

Table 48-4 lists the general filter options by severity. Check the box to select the
severities to include in the filter.
These severity filters are available for Network, Endpoint, Mobile, and Discover
incidents.
976 Managing and reporting incidents
General filters for reports

Table 48-4 General filters for severity values

Name Description

High Lists only the high-severity incidents. Displays how many

high-severity incidents are in the incident list.

Info Lists only the incidents that are informational only.

Informational incidents are not assigned any other severity.
Displays how many informational incidents are in the incident
list.

Low Lists only the low-severity incidents. Displays how many

low-severity incidents are in the incident list.

Medium Lists only the medium-severity incidents. Displays how many

medium-severity incidents are in the incident list.

Table 48-5 lists the general filter options for Network Discover scans. This filter
is only available for Discover incidents.

Table 48-5 General filters for scans

Name Description

All Scans All of the incidents that have been reported in all of the scans
that have been run.

Initial Scan All of the incidents that were reported in the initial scan.

In Process All of the incidents that have been reported in the scans that are
currently in progress.

Last Completed Scan All of the incidents that were reported in the last complete scan.

You can filter Discover incidents by Target ID. This filter is only available for
Discover incidents.
Select the target, or select All Targets. Shift-click to select multiple fields.
Table 48-6 lists the general filter options by detection date for Discover incidents.

Table 48-6 General filters by date

Name Description

All Dates All of the dates that contain incidents.

Current Month to Date All of the incidents that were reported for the current month up
to today's date.
 Managing and reporting incidents 977
Summary options for incident reports

Table 48-6 General filters by date (continued)

Name Description

Current Quarter to All of the incidents that were reported for the current quarter
Date up to today's date.

Current Week to Date All of the incidents that were reported for the current week.

Current Year to Date All of the incidents that have been reported for the current year
up to today's date.

Custom A custom time frame. Select the dates that you want to view from
the calendar menu.

Custom Since The Symantec DLP Agents that have connected to the Endpoint
Server from a specific date to the present date. Select the date
where you want the filter to begin.

Custom Before The Symantec DLP Agents that have connected to an Endpoint
Server before a specific date. Select the final date for the filter.

Last 7 Days All of the incidents that were reported in the previous seven
days.

Last 30 Days All of the incidents that were reported in the previous 30 days.

Last Month All of the incidents that were reported during the previous
calendar month.

Last Week All of the incidents that were reported during the previous
calendar week.

Last Quarter All of the incidents that were reported during the previous
quarter.

Last Year All of the incidents that were reported during the last calendar
year.

Today All of the incidents that were reported today.

Yesterday All of the incidents that were reported yesterday.

Summary options for incident reports

Incident report summaries provide options for a summary of the information that
is contained within the incidents. For example, you can summarize incidents by
the status or the policy.
978 Managing and reporting incidents
Summary options for incident reports

Note: Archived incidents are not included in report summaries unless the Advanced
filter option for the Is Archived filter is set to Show Archived and non-Archived
incidents.
See “About incident archiving” on page 993.

Table 48-7 lists the summary options for incident reports.

Table 48-7 Summary filters

Name Description Applicable products

Agent Configuration Summarize the agents and Endpoint

incidents by the associated agent
configuration entity. If you have
more than one agent configuration
entity configured, you can
summarize or filter by a specific
entity drop down menu. If the
default agent configuration entity
is the only entity configured, you
will not see the drop down menu.

Agent Response Summarize incidents by how the Endpoint

agent has responded to the
incident.

Content Root Summarize the incidents by the Discover

content root path.

Data Owner Email The email address of the person Network

Address responsible for remediating the
Endpoint
incident. This field must be set
manually, or with a lookup plug-in. Discover

Data Owner Name The person responsible for Network

remediating the incident. This field
Endpoint
must be set manually, or with a
lookup plug-in. Discover

Reports can automatically be sent Mobile

to the data owner for remediation.

Destination IP Summarize the incidents by the Network

destination IP address.
Endpoint
 Managing and reporting incidents 979
Summary options for incident reports

Table 48-7 Summary filters (continued)

Name Description Applicable products

Detection Month Summarize the incidents by the Discover

month in which they were
detected.

Detection Quarter Summarize the incidents by the Discover

calendar quarter in which they
were detected.

Detection Week Summarize the incidents by the Discover

week in which they were detected.

Detection Year Summarize the incidents by the Discover

year in which they were detected.

Device Instance ID Summarize the incidents by the Endpoint

specific device that created the
violation.

Domain Summarize the incidents by the Network

domain name.

Email Summarize the incidents by the Mobile

email associated with the violation.

Endpoint Location Summarize the incidents by the Endpoint

location of the endpoint.
The location can be one of the
following:

■ On the Corporate Network

■ Off the Corporate Network

File Name Summarize the incidents by the file Endpoint

name that is associated with the
incident.

File Owner Summarize the incidents by the Discover

owner of the file.

Investigating State Summarize the agents by the Endpoint

current status.
Discover

Location Summarize the incidents by their Discover

location.
980 Managing and reporting incidents
Summary options for incident reports

Table 48-7 Summary filters (continued)

Name Description Applicable products

Log Level Summarize the agents by their Endpoint

configured log levels.

Machine IP (Corporate) Summarize the incidents by the IP Endpoint

address of a machine on the
corporate network.

Machine Name Summarize the incident by the Endpoint

computer name on which the
incidents were created.

Month Summarize the incidents by the Network

month in which they were created.
Endpoint

Mobile

Months Since First Summarize the incidents by how Discover

Detected many months have passed since
the incident was first detected.

Network Prevention Summarize the incidents by the Network

Action action from Network Prevent.

No primary summary Placeholder selection to denote Network

selected that no primary summary has been
Endpoint
selected.
Discover

No secondary summary Placeholder selection to denote Network

selected that no summary has been
Endpoint
selected.
Discover

Policy Summarize the incidents by the Network

policy from which they were
Endpoint
created.
Discover

Mobile

Policy Group Summarize the incidents by the Network

policy group to which they belong.
Discover

Mobile
 Managing and reporting incidents 981
Summary options for incident reports

Table 48-7 Summary filters (continued)

Name Description Applicable products

Policy rule Summarize the incidents by the Mobile

policy rule which generated the
violation.

Protect Status Summarize the incidents by the Discover

Network status of the incidents.

Protocol Summarize the incidents by the Network

protocol that generated the
Mobile
incident.

Protocol or Endpoint Summarize the incidents by the Endpoint

Destination protocol or the endpoint
destination where the incidents
were created.

Remediation Detection Summarize the incidents by their Discover

Status remediation detection status.

Quarantine Failure Summarize the incidents by the Endpoint

Reason reason that the quarantine
Discover
response action failed.

Quarter Summarize the incidents by the Network

quarter in which they were created.
Endpoint
Mobile

Quarters Since First Summarize the incidents by how Discover

Detected many quarters have passed since
the incident was first detected.

Recipient Summarize the incidents by the Discover

recipient.

Scan Summarize the incidents by which Discover

scan was used to find the incidents.

Scanned Machine Summarize the incidents by the Discover

computers that have been scanned.

Sender Summarize the incidents by the Network

sender.
Endpoint

Discover
982 Managing and reporting incidents
Summary options for incident reports

Table 48-7 Summary filters (continued)

Name Description Applicable products

Server Summarize the incidents by the Network

server on which they were created.
Endpoint

Mobile

Source IP Summarize the incidents by the Network

source IP address from which they
Endpoint
were created.
Mobile

Source File Summarize the incidents by the Endpoint

source file that violated the policy.

Status Summarize the incidents by the Network

incident status.
Endpoint

Discover

Mobile

Subject Summarize the incidents by the Discover

subject.

Mobile Prevent Action Summarize the incidents by the Mobile

response rule action that was
taken.

Target ID Summarize the incidents by the Discover

target scan ID.

Target Type Summarize the incidents by the Discover

type of target on which the
incident was generated.

User Justification Summarize the incidents by the Endpoint

justification that was input by the
user.

User Name Summarize the incidents by the Endpoint

user who generated the incident.

Week Summarize the incidents by the Network

week in which they were created.
Endpoint

Mobile
 Managing and reporting incidents 983
Advanced filter options for reports

Table 48-7 Summary filters (continued)

Name Description Applicable products

Weeks Since First Summarize the incidents by how Discover

Detected many weeks have passed since the
incident was first detected.

Year Summarize the incidents by the Network

year in which they were created.
Endpoint

Mobile

Years Since First Summarize the incident by how Discover

Detected many years have passed since the
incident was first detected.

Advanced filter options for reports

Advanced report filters let you filter incidents related to specific actions or text
strings. For example, you can filter the incidents that relate to a specific keyword.
Or, you can filter out the incidents that relate to a certain action. These filters
combine a set of chooser fields or text boxes to create the advanced filter.
Table 48-8, Table 48-9, and Table 48-10 list the advanced filter options for reports.

Table 48-8 Advanced filters, first field

Name Description Applicable

products

Agent Configuration Summarize the agents and incidents by the Endpoint

associated agent configuration entity. If you
have more than one agent configuration entity
configured, you can summarize or filter by a
specific entity drop down menu. If the default
agent configuration entity is the only entity
configured, you will not see the drop down
menu.
984 Managing and reporting incidents
Advanced filter options for reports

Table 48-8 Advanced filters, first field (continued)

Name Description Applicable

products

Agent Configuration Status Summarize the agent by the status of the Endpoint
configuration entity.

Depending on whether you are implementing

the agent configuration models through the
Enforce administration console or the
Symantec Management Platform (SMP)
console, the Agent Configuration Status results
vary.

The following results are applicable if you

deploy the entities through the Enforce console:

■ Current Configuration
The configuration on the agent is the same
as the configuration on the Endpoint Server.
■ Outdated Configuration
The configuration on the agent is different
than the configuration on the Endpoint
Server.
■ Unknown/deleted Configuration
The agents either cannot report which
configuration is installed, or the
configuration on the agent has been deleted
from the Endpoint Server.

The following results are applicable if you

deploy the entities through SMP:

■ Current Configuration
The named configuration on the Endpoint
Server has not changed since it was sent to
the agent.
■ Outdated Configuration
The named configuration on the Endpoint
Server has changed since it was sent to the
agent.
■ Unknown/deleted Configuration
The agents either cannot report which
configuration is installed, or the named
configuration has been deleted from the
system.
 Managing and reporting incidents 985
Advanced filter options for reports

Table 48-8 Advanced filters, first field (continued)

Name Description Applicable

products

Agent Response Filter incidents by how the agent has responded Endpoint
to the incident.

Application Name Filter the incidents by the name of the Endpoint

application where the incident was generated.

Application Window Title Filter the incidents by a string in the title of Endpoint
the window where the incident was generated.

Attachment File Name Filter incidents by the file name of the Network
attachment that is associated with the incident.
Mobile

Attachment File Size Filter incidents by the size of the attachment Network
that is associated with the incident.
Mobile

Content Root Filter the incidents by the content root path. Discover

Data Owner Email Address The email address of the person responsible Network
for remediating the incident. This field must
Endpoint
be set manually, or with a lookup plug-in.
Discover

Mobile

Data Owner Name The person responsible for remediating the Network
incident. This field must be set manually, or
Endpoint
with a lookup plug-in.
Discover
Reports can automatically be sent to the data
owner for remediation. Mobile

Destination IP Filter the incidents by the destination IP Network

address for the message that generated the
Endpoint
incident.
Mobile

Detection Date Filter the incidents by the date that the incident Discover
was detected.

Device Instance ID Summarize the incidents by the specific device Endpoint

that created the violation.

Document Name Filter the incidents by the name of the violating Discover
document.
986 Managing and reporting incidents
Advanced filter options for reports

Table 48-8 Advanced filters, first field (continued)

Name Description Applicable

products

Domain Filter the incidents by the domain name that Network

is associated with the incident.

Email Filter the incidents by the email address to Mobile

which they are associated.

Endpoint Location Filter the incidents by the endpoint location. Endpoint

The location can be one of the following:

■ On the Corporate Network

■ Off the Corporate Network

File Last Modified Date Filter the incidents by the last date when the Endpoint
file was modified.
Discover

File Location Filter the incidents by the location of the Endpoint

violating file.

File Name Filter the incidents by the name of the violating Endpoint
file. No wildcards, but you can specify a partial
Discover
match, for example .pdf.

File Owner Filter the incidents by the owner of the Discover

violating files.

File Size Filter the incidents by the size of the violating Endpoint
file.
Discover

Incident History Issuer Filter the incidents by the user responsible for Network
issuing the history of the incident.
Endpoint

Discover

Mobile

Incident ID Filter the incidents by the ID of the incidents. Network

Endpoint

Discover

Mobile
 Managing and reporting incidents 987
Advanced filter options for reports

Table 48-8 Advanced filters, first field (continued)

Name Description Applicable

products

Incident Match Count Filter the incidents by the number of incident Network
matches.
Endpoint

Discover

Mobile

Incident Notes Filter the incidents by a string in the incident Network

notes.
Endpoint

Discover

Mobile

Incident Reported On Filter the incidents by the date that the incident Endpoint
was reported.

Investigating State Filter the agents by the investigation state. You Discover
can select one of the following:
Endpoint
■ Investigating
■ Not Investigating

Is Archived Filters archived incidents. You can select one Network

of the following:
Endpoint
■ Show Archived and non-Archived
Discover
Incidents
■ Show Archived Mobile

See “About incident archiving” on page 993. Classification

Is Archive Allowed Filters the incidents based on the state of the Network
Is Archived Allowed flag. Select the Is Any Of
Endpoint
operator from the second field, then select
either the Allow Archive or Do Not Archive Discover
option from the third field. Mobile
See “About incident archiving” on page 993. Classification

Last Connection Time Filter agents according to the last time each Endpoint
agent connected to the Endpoint Server.

Location Filter the incidents by their location. Location Discover

can include the server where the incidents were
generated.
988 Managing and reporting incidents
Advanced filter options for reports

Table 48-8 Advanced filters, first field (continued)

Name Description Applicable

products

Machine IP (Corporate) Filter the incidents by the IP address of the Endpoint

computer on which the incidents were created.

Machine Name Filter the incidents by the computer name on Endpoint

which the incidents were created.

Minimum Similarity Score Filter the incidents by how similar the Mobile
violations are to each other.

Network Prevent Action Filter the incidents by the action from Network Network
Prevent.

Policy Filter the incidents by the policy from which Network

they were created.
Endpoint

Discover

Mobile

Policy Group Filter the incidents by the policy group to which Network
they belong.
Endpoint

Discover

Mobile

Policy Rule Filter the incidents by the policy rule that Network
generated the incidents.
Endpoint

Discover

Mobile

Protect Status Filter the incidents by the Network Protect Discover

status of the incidents.

Protocol Filter the incidents by the protocol to which Network

they belong.
Mobile

Protocol or Endpoint Destination Filter the incidents by the protocol or the Endpoint
endpoint destination that generated the
incident.

Read ACL: File Filter the incidents by the File access control Endpoint
list.
Discover
 Managing and reporting incidents 989
Advanced filter options for reports

Table 48-8 Advanced filters, first field (continued)

Name Description Applicable

products

Read ACL: Share Filter the incidents by the Share access control Discover
list.

Recipient Filter the incidents by the name of the recipient Network

of the message that generated the incident.
Endpoint

Discover

Remediation Detection Status Filter the incidents by their remediation Discover

detection status.

Scanned Machine Filter the incidents by the computers that have Discover
been scanned.

Seen Before Filter the incidents on whether an earlier Discover, but not
connected incident exists. for SQL Database
incidents (where
Seen Before is
always false)

Sender Filter the incidents by the sender. Network

Endpoint

Discover

Server Filter the incidents by the server on which they Network

were created.
Endpoint

Discover

Mobile

SharePoint ACL: Permission Level Filter the incidents on the permission level of Discover
the SharePoint access control list.

SharePoint ACL: User/Group Filter the incidents on the user or group in the Discover
SharePoint access control list.

Source IP Filter the incidents by the source IP address Network

from which they were created.
Mobile

Subject Filter incidents by the subject line of the Network

message that generated the incident.
Discover
990 Managing and reporting incidents
Advanced filter options for reports

Table 48-8 Advanced filters, first field (continued)

Name Description Applicable

products

Superseded Filter the incidents by the incident responses Discover

have been superseded by other responses.
Endpoint

Mobile Prevent Action Filter the incidents by the response rule action Mobile
that was taken.

Target Type Filter the incidents by the type of target that Discover
is associated with the incidents.

Time Since First Detected Filter the incidents by how much time has Discover, but not
passed since the incident was first detected. for SQL Database
incidents

URL Filter the incidents by the URL where the Discover

violations occurred.

User Justification Filter the incidents by the justification that was Endpoint
input by the user.

User Name Filter the incidents by the user who generated Endpoint
the incident.

The second field in the advanced filters lets you select the match type in the filter.

Table 48-9 Advanced filters, second field

Name Description

Contains Any Of Lets you modify the filter to include any words in the text string,
or lets you choose from a list in the third field.

Contains Ignore Case Lets you modify the filter to ignore a specific text string.

Does Not Contain Ignore Lets you modify the filter to filter out the ignored text string.
Case

Does Not Match Exactly Lets you modify the filter to match on any combination of the
text string.

Ends with Ignore Case Lets you modify the filter so that only the incidents that end
with the ignored text string appear.

Is Any Of Lets you modify the filter so that the results include any of the
text string, or lets you choose from a list in the third field.
 Managing and reporting incidents 991
Advanced filter options for reports

Table 48-9 Advanced filters, second field (continued)

Name Description

Is Between Lets you modify the filter so that the numerical results are
between a range of specified numbers.

Is Greater Than Lets you modify the filter so that the numerical results are
greater than a specified number.

Is Less Than Lets you modify the filter so that the numerical results are less
than a specified number.

Is None Of Lets you modify the filter so that the results do not include any
of the text string, or lets you choose from a list in the third field.

Matches Exactly Lets you modify the filter to match exactly the text string.

Matches Exactly Ignore Lets you modify the filter so that the filter must match the
Case ignored text string exactly.

Starts with Ignore Case Lets you modify the filter so that only the incidents that start
with the ignored text string appear.

The third field in the advanced filters lets you select from a list of items, or provides
an empty box to enter a string.
This third field varies depending on the selections in the first and second fields.
For a list of items, use Shift-click to select multiple items.
For strings, wildcards are not allowed, but you can enter a partial string.
For example, you can enter .pdf to select any PDF file.
If you do not know what text to enter, use the summary options to view the list
of possible text values. You can also see a summary of how many incidents are in
each category.
See “Summary options for incident reports” on page 977.
Table 48-10 lists some of the options in the third field.

Table 48-10 Advanced filters, third field

Name Description

Blocked The user was blocked from performing the action that cause
the incident.

Content Removed The content in violation was removed.

992 Managing and reporting incidents
Advanced filter options for reports

Table 48-10 Advanced filters, third field (continued)

Name Description

No Remediation No incident remediation has occurred for this incident.

None No action was taken regarding the violation that caused the
incident.

Protect File Copied The file in violation was copied to another location.

Protect File The file in violation was quarantined to another location.

Quarantined

User Notified The user was notified that a violation had occurred.
 Chapter 49
Archiving incidents
This chapter includes the following topics:

■ About incident archiving

■ Archiving incidents

■ Restoring archived incidents

■ Preventing incidents from being archived

■ Deleting archived incidents

About incident archiving

Incident archiving lets you flag specified incidents as "archived." Because these
archived incidents are excluded from normal incident reporting, you can improve
the reporting performance of your Symantec Data Loss Prevention deployment
by archiving any incidents that are no longer relevant. The archived incidents
remain in the database; they are not moved to another table, database, or other
type of offline storage.
You can set filters on incident reports in the Enforce Server administration console
to display only archived incidents or to display both archived and non-archived
incidents. Using these reports, you can flag one or more incidents as archived by
using the Archive options that are available when you select one or more incidents
and click the Incident Actions button. The Archive options are:
■ Archive Incidents—Flags the selected incidents as archived.
■ Restore Incidents—Restores the selected incidents to the non-archived state.
■ Do Not Archive—Prevents the selected incidents from being archived.
■ Allow Archive—Allows the selected incidents to be archived.
994 Archiving incidents
Archiving incidents

The archive state of an incident displays in the incident snapshot screen in the
Enforce Server administration console. The History tab of the incident snapshot
includes an entry for each time the Do Not Archive or Allow Archive flags are
set for the incident.
See “Filtering reports” on page 950.
Access to archiving functionality is controlled by roles. You can set the following
user privileges on a role to control access:
■ Archive Incidents—Grants permission for a user to archive incidents.
■ Restore Archive Incidents—Grants permission for a user to restore archived
incidents.
■ Remediate Incidents—Grants permission for a user to set the Do Not Archive
or Allow Archive flags.
See “About role-based access control” on page 87.
See “Archiving incidents ” on page 994.
See “Restoring archived incidents ” on page 994.
See “Preventing incidents from being archived” on page 995.

Archiving incidents
To archive incidents
1 Open the Enforce Server administration console and navigate to an incident
report.
2 Select the incidents you want to archive, either by selecting the incidents
manually or by setting filters or advanced filters to return the set of incidents
that you want to archive.
3 Click the Incident Actions button and select Archive > Archive Incidents.
The selected incidents are archived.

Restoring archived incidents

To restore archived incidents
1 Open the Enforce Server administration console and navigate to an incident
report.
2 Select the Advanced Filters & Summarization link.
3 Click the Add filter button.
 Archiving incidents 995
Preventing incidents from being archived

4 Select Is Archived in the first drop-down list.

5 Select Show Archived from the second drop-down list.
6 Select the incidents you want to restore, either by selecting incidents manually
or by setting filters or advanced filters to return the set of incidents you want
to restore.
The selected incidents are restored.

Preventing incidents from being archived

You can prevent incidents from being archived using either an incident report or
an incident snapshot.
To prevent incidents from being archived using an incident report
1 Open the Enforce Server administration console and navigate to an incident
report.
2 Select the incidents you want to prevent from being archived. You can select
incidents manually or by setting filters or advanced filters to return the set
of incidents you want to prevent from being archived.
3 Click the Incident Actions button and select Archive > Do Not Archive.
The selected incidents are prevented from being archived.

Note: You can allow incidents to be archived that you have prevented from
being archived by selecting the incidents and then selecting Archive > Allow
Archive from the Incident Actions button.

To prevent an incident from being archived using the incident snapshot

1 Open the Enforce Server administration console and navigate to an incident
report.
2 Click on an incident to open the incident snapshot.
3 On the Key Info tab, in the Incident Details section, click Do Not Archive.

Note: You can allow an incident to be archived that you have prevented from
being archived by opening the incident snapshot and then clicking Allow
Archive in the Incident Details section.
996 Archiving incidents
Deleting archived incidents

Deleting archived incidents

To delete archived incidents
1 Open the Enforce Server administration console and navigate to an incident
report.
2 Click the Advanced Filters & Summarization link.
3 Click Add filter.
4 Select Is Archived in the first drop-down list.
5 Select Show Archived from the second drop-down list.
6 Select the incidents you want to delete. You can select the incidents manually
or you can set filters or advanced filters that return the set of incidents you
want to delete.
7 Click the Incident Actions button and select Delete incidents.
8 Select one of the following delete options:

Delete incident Permanently deletes the incident(s) and all associated data (for
completely example, any emails and attachments). Note that you cannot
recover the incidents that have been deleted.

Retain incident, Retains the actual incident(s) but discards the Symantec Data
butdeletemessage Loss Prevention copy of the data that triggered the incident(s).
data You have the option of deleting only certain parts of the
associated data. The rest of the data is preserved.

Delete Original Deletes the message content (for example, the email message or
Message HTML post). This option applies only to Network incidents.

Delete This option refers to files (for Endpoint and Discover incidents)
Attachments/Files or email or posting attachments (for Network incidents). The
options are All, which deletes all attachments, and Attachments
with no violations. For example, choose this option to delete files
(for Endpoint and Discover incidents) or email attachments (for
Network incidents).

This option deletes only those attachments in which Symantec

Data Loss Prevention found no matches. For example, choose
this option when you have incidents with individual files taken
from a compressed file (Endpoint and Discover incidents) or
several email attachments (Network incidents).

9 Click the Delete button.

 Chapter 50
Working with incident data
This chapter includes the following topics:

■ About incident status attributes

■ Configuring status attributes and values

■ Configuring status groups

■ Export web archive

■ Export web archive—Create Archive

■ Export web archive—All Recent Events

■ About custom attributes

■ About using custom attributes

■ How custom attributes are populated

■ Configuring custom attributes

■ Setting the values of custom attributes manually

About incident status attributes

Incident status attributes are specified and configured from the Attributes screen
(System > Incident Data > Attributes).
Any status attribute listed on this screen can be assigned to any given incident
by selecting it from the incident snapshot Status drop-down menu.
The system attributes page contains the following attributes to assist in incident
remediation:
■ Status Values
998 Working with incident data
About incident status attributes

The Status Values section lists the current incident status attributes that can
be assigned to a given incident. Use this section to create new status attributes,
modify them, and change the order that each attribute appears in drop-down
menus.
See “Configuring status attributes and values” on page 999.
■ Status Groups
The Status Groups section lists the current incident status groups and their
composition. Use this section to create new status groups, modify them, and
change the group order they appear in drop-down menus.
See “Configuring status groups” on page 1000.
■ Custom Attributes on the Custom Attributes tab
The Custom Attributes tab provides a list of all of the currently defined custom
incident attributes. Custom attributes provide information about the incident
or associated with the incident. For example, the email address of the person
who caused the incident, that person's manager, why the incident was
dismissed, and so on. Use this tab to add, configure, delete, and order custom
incident attributes.
See “About custom attributes” on page 1004.
The process for handling incidents goes through several stages from discovery
to resolution. Each stage is identified by a different status attribute such as "New,"
"Investigation," "Escalated," and "Resolved." This lets you track the progress of
the incident through the workflow, and filter lists and reports by incident status.
The solution pack you installed when you installed Symantec Data Loss Prevention
provides an initial default set of status attributes and status attribute groups. You
can create new status attributes, or modify existing ones. The status attribute
values and status groups you use should be based on the workflow your
organization uses to process incidents. For example, you might assign all new
incidents a status of "New." Later, you might change the status to "Assigned,"
"Investigation," or "Escalated." Eventually, most incidents will be marked as
"Resolved" or as "Dismissed."
For list and report filtering, you can also create status groups.
Based on the preferences of your organization and the commonly used terminology
in your industry, you can:
■ Customize the names of the status attributes and add new status attributes.
■ Customize the names of the status groups and add new status groups.
■ Set the order in which status attributes appear on the Status drop-down list
of an incident.
 Working with incident data 999
Configuring status attributes and values

■ Specify the default status attribute that is automatically assigned to new

incidents.
See “Configuring status attributes and values” on page 999.
See “About incident reports” on page 938.
See “About incident remediation” on page 865.
See “About custom attributes” on page 1004.

Configuring status attributes and values

As incidents are processed from discovery to resolution, each stage can be marked
with a different status. The status lets you track the progress of the incident
through your workflow. Based on the preferences of your organization and the
commonly used terminology in your industry, you can define the different statuses
that you want to use for workflow tracking.
The Status Values section lists the available incident status attributes that can
be assigned to a given incident. The order in which status attributes appear in
this list determines the order they appear in drop-down menus used to set the
status of an incident. You can perform the following actions from the Status
Values section:

Action Procedure

Create a new incident status attribute. Click the Add button.

Delete an incident status attribute. Click the attribute's red X and then confirm your
decision.

Change an incident status attribute. Click on the attribute you want to change, enter
a new name, and click Save.

To change the name of an existing status, click

on the pencil icon for that status, enter the new
name, and click Save.

Make an incident status attribute the Click [set as default] for an attribute to make it
default. the default status for all new incidents.

Change an incident status attribute's ■ Click [up] to move an attribute up in the order.
order in drop-down menus. ■ Click [down] to move an attribute down in the
order.
1000 Working with incident data
Configuring status groups

To create a new incident status attribute

1 Go to the Attributes screen (System > Incident Data > Attributes) screen.
Click the Status tab.
2 Click the Add button in the Status Values section.
3 Enter a name for the new status attribute.
4 Click Save.
See “Configuring status groups” on page 1000.
See “About incident status attributes” on page 997.

Configuring status groups

Incident status attributes can be assigned to status groups that match the workflow
of your organization. For example, an Open status group might include the status
attributes of New, Investigation, and Escalated. You can then filter incident lists
and reports based on their status group. For example, you can list all incidents
with status attributes that belong to the Open status group.
System > Incident Data > Attributes brings you to Status Groups.
For your convenience, you can group incident statuses to match the workflow of
your organization. You use Status Groups to add or modify the name of a status
group, and specify which status values to include in the group.
The Status Groups section lists the available incident status groups that can be
used to filter incidents. For each group, the status attributes included in the group
are listed. You can perform the following actions from the Status Values section:

Action Procedure

Create a new incident status group. Click the Add Status Group button.

Delete an incident status group. Click the group's red X and then confirm your
decision.

Change the name or incident status Click on the group you want to change.Click the
attributes of a group. pencil icon. Change the name, check or uncheck
attributes, and click Save.

Change a status group's order in ■ Click [up] to move a group up in the order.
drop-down menus. ■ Click [down] to move a group down in the
order.
 Working with incident data 1001
Export web archive

To define a new status group

1 Go to the Attributes screen (System > Incident Data > Attributes) screen.
Click the Status tab.
2 Click the Add Status Group button in the Status Groups section.
3 Enter a name for the new status group.
4 Click the check boxes for the status attributes that you want to include in
this group.
Status attributes are defined with the Add button in the Status Values section.
See “Configuring status attributes and values” on page 999.
5 Click Save.
See “Configuring status attributes and values” on page 999.
See “About incident status attributes” on page 997.

Export web archive

Use this screen to save an incident list report as an archive of HTML pages. An
archive allows personnel without direct access to Symantec Data Loss Prevention
to study incident data, drilling down into individual incidents as needed.
When you export incidents as a Web Archive, the archive is placed in directory
\SymantecDLP\Protect\archive\webarchive.

Note: You cannot archive summary reports or dashboards.

When exporting incidents, please note the following considerations:

■ An archive cannot be summarized like a normal report.
■ An archive contains no filters, so it may be difficult to locate a specific incident
in an archive containing a large number of incidents.
■ Exporting an archive of incidents does not remove the incidents from the
administration console.
■ You can export only one archive at a time.
Export Web Archive is a user privilege that must be assigned to a role. You can
export web archives only if your role provides access to this feature. Since role
access also determines what information is contained in incident reports, it also
applies to archiving those incident reports. The information that is contained in
1002 Working with incident data
Export web archive—Create Archive

the archive you create is the same information contained in the original incident
report.
See “About configuring roles and users” on page 92.
The Export web archive screen is divided into two sections:
See “Export web archive—Create Archive” on page 1002.
See “Export web archive—All Recent Events” on page 1004.

Export web archive—Create Archive

In the Create Archive section, complete the following information:

Field Description

Archive Name Specify a name for the archive you are

creating using normal Windows naming
conventions.
 Working with incident data 1003
Export web archive—Create Archive

Field Description

Report to Export From the drop-down list, select the report

that you want to archive. Any reports you
created are available along with default
report options.
The Network options are as follows:

■ Incidents - Week, Current—Network

incidents from the current week.
■ Incidents - All—All network incidents.
■ Incidents - New—Network incidents with
status of New.
The Endpoint options are as follows:

■ Incidents - Week, Current—Endpoint

incidents from the current week.
■ Incidents - All—All endpoints incidents.
■ Incidents-New—Only endpoint incidents
with status of New.
The Discover options are as follows:

■ Incidents - Last Scan—Discover incidents

from the last completed scan. (Incidents
from a currently active scan are not
included.)
■ Incidents - Scan in Process—Discover
incidents from the current scan.
■ Incidents - All Scans—All Discover
incidents.
■ Incidents - New—Discover incidents with
status of New.
The Mobile options are as follows:

■ Incidents - Week, Current—Network

incidents from the current week.
■ Incidents - All—All network incidents.
■ Incidents - New—Network incidents with
status of New.
The Classification options are as follows:

■ Events - All

After you complete the fields, click Create to compile the archive.
See “Export web archive” on page 1001.
1004 Working with incident data
Export web archive—All Recent Events

Export web archive—All Recent Events

The All Recent Events section displays a list of events related to this archive.
(The list appears only after you click Create to create the archive.) Event entries
show the following information:
■ The event type (Error, Warning, or System Information).
■ The event date and time
■ A brief description of the event
To see the details of any event, click on the event entry in the list. To see the full
Events Report for this archive, click show all.
See “Export web archive” on page 1001.

About custom attributes

"Custom attributes" are incident data fields that provide a way to capture and
store supplemental incident information. The additional data that is contained
in custom attributes can be:
■ Used to drive workflow.
■ Execute incident response actions.
■ Used in report metrics.
■ Enable Incident Response Teams to act faster on incidents.
■ Enable increased remediation and report automation.
You create the custom attributes that you need for these purposes. Custom
attributes provide information about an incident or associated with an incident;
for example, the email address of the person who caused the incident, that person's
manager, why the incident was dismissed, and so on.
The Custom Attributes tab of the Attributes screen (System > Incident Data >
Attributes) is used for working with custom attributes. The Attributes screen
contains the following tabs:
■ Status. The Status tab provides a list of all of the currently defined incident
status attributes and status attribute groups.Use this tab to add, configure,
delete, and order incident status attributes and incident status groups.
See “About incident status attributes” on page 997.
■ Custom Attributes. The Custom Attributes tab provides a list of all of the
currently defined custom incident attributes. Use this tab to add, configure,
delete, and order custom incident attributes.
 Working with incident data 1005
About custom attributes

The solution pack you loaded when you installed Symantec Data Loss Prevention
provides an initial default set of custom attributes. The Custom Attributes tab
provides a list of all of the currently defined custom attributes that may be applied
to any incident. This tab is for creating, modifying, and deleting custom attributes
for your installation as a whole. Applying any of these custom attributes, or
attribute values, to an individual incident is done from the incident snapshot, or
by using a lookup plug-in.
On the Custom Attributes tab, you can perform the following functions:

Action Procedure

Create a new custom attribute. Click the Add button.

Delete a custom attribute. Click the attribute's red "X" and then confirm your
decision.

Note that you cannot delete a custom attribute

that is currently assigned to one or more
incidents. You must assign a different attribute
to the affected incident(s) before you can delete
the custom attribute successfully.

Change the name, email status, or Click on the attribute you want to change, change
attribute group of an attribute. its parameters, and Click Save.

Change the attributes order in 1 Click [up] to move an attribute up in the

drop-down menus. order.

2 Click [down] to move an attribute down in

the order.

Reload Lookup Plugins Click Reload Lookup Plug-ins to reload any

custom attribute plug-ins that have been unloaded
by the system.

Reloading look-up plugins affects all incidents.

You may need to reload lookup plug-ins if any of
the following are true:

■ A plug-in was problematic and the system

unloaded it, but now the problem is fixed.
■ The network was down or disconnected for
some reason, but it is functioning properly
now.
■ A plug-in stores data in a cache, and you want
to update the cache manually.

See “About incident status attributes” on page 997.

1006 Working with incident data
About using custom attributes

See “Configuring custom attributes” on page 1007.

See “Setting the values of custom attributes manually” on page 1008.

About using custom attributes

When an incident is created, the Enforce Server retrieves data regarding that
incident. Some of that data is in the form of "attributes." See the Symantec Data
Loss Prevention Administration Guide for more information about incident
attributes.
"Custom attributes" are a particular kind of attribute that is used to capture and
store supplemental data. This data is related to the incident such as the name of
a relevant manager or department. You create the custom attributes that you
need.
The additional data that is contained in custom attributes can be used for:
■ Enabling a workflow
■ Executing incident response actions
■ Including in report metrics
■ Enabling incident response teams to act faster on incidents
■ Enabling increased remediation and report automation

How custom attributes are populated

For each incident, custom attributes can be populated (their values can be set in
the incident data) in the following ways:
■ Automatically when the incident is detected by means of a lookup plug-in, as
described in this guide
■ Automatically when the incident is detected by means of an automated response
rule
■ Automatically when a user executes a Smart Response Rule
■ Manually (through data entry) by specific users after detection
Custom attributes can also be re-populated automatically by clicking on the Lookup
option in the Attribute section of the Incident Snapshot screen. This action
replaces the existing values that are stored in the custom attribute fields with the
values returned by the new lookup.
 Working with incident data 1007
Configuring custom attributes

Note: If the new lookup returns null or empty values for any custom attribute
fields, those empty values overwrite the existing values.

Configuring custom attributes

Use the Configure Custom Attribute screen to add or modify the a custom
attribute.
Custom attributes can be grouped into attribute groups, similar to how statuses
are grouped into status groups, to organize the information in a useful way.
Examples of common attribute groups include Employee Information, Manager
Information, and Remediation Information. All custom attributes are available
for all incidents.
To create custom attributes and add them to a group
1 On the Enforce Server, click System > Incident Data > Attributes > Custom
Attributes. Note that a number of custom attributes were defined and loaded
for you by the Solution Pack that you selected during installation. All existing
custom attributes are listed in the Custom Attributes window.
2 To create a new custom attribute, click the Add option.
3 Type a name for the custom attribute in the Name box. If appropriate, check
the Is Email Address box.
The name you give to a custom attribute does not matter. But a custom
attribute you create must be structured the same as the corresponding
external data source. For example, suppose an external source stores
department information as separate geographic location and department
name. In this case, you must create corresponding location and department
name custom attributes. You cannot create a single department ID custom
attribute combining both the location and the department name.
4 Select an attribute group from the Attribute Group drop-down list. If
necessary, create a new attribute group. Select Create New Attribute Group
from the drop-down list, and type the new group name in the text box that
appears.
5 Click the Save option.
6 Generate a new incident, or view an existing incident, and verify that it
contains the new custom attribute.
Once you define your custom attributes, they become available to every incident.
Each incident receives its own set of custom attributes (though some name-value
pairs may be empty depending on circumstances). The custom attribute values
for an incident can be populated and changed independently of other incidents.
1008 Working with incident data
Setting the values of custom attributes manually

You can edit the custom attribute values if you have been assigned to a role that
includes edit access for custom attributes. If you want to update a group of
incidents, you can select those incidents on the incident list page. You can then
select the Set Attributes command from the Incident Actions menu. You can
select Lookup Attributes, to look up the values of custom attributes. Note that
the Set Attributes command and Attributes section on the Incident Snapshot
page are available only if at least one custom attribute is defined.
See “Configuring custom attributes” on page 1007.
See “About incident status attributes” on page 997.
See “Configuring status groups” on page 1000.
See “Configuring status attributes and values” on page 999.

Setting the values of custom attributes manually

You can manually specify incident remediation status or workflow progress with
values in custom attributes.

Note: To auto-populate custom attribute values, use one or more lookup plugins.
See “About lookup plug-ins” on page 1019.

To set the value of custom attributes

1 Display an incident snapshot.
2 Click the Edit option in the Attributes section of the incident snapshot.
3 To set a value for a custom attribute, enter the value in the appropriate
attributes field.
4 When you are finished setting values, click Save.
 Chapter 51
Working with the User Risk
Summary
This chapter includes the following topics:

■ About user risk

■ About user data sources

■ Viewing the user list

■ Viewing user details

■ Working with the user risk summary

About user risk

The user risk summary gives you insight into the behavior of specific individuals
in your organization by associating users with email and endpoint incidents. This
information helps you focus your data loss prevention efforts on those users
posing the highest risk to the security of your data.
Creating and working with user risk summary reports involves these steps:
1010 Working with the User Risk Summary
About user risk

Table 51-1
Step Action Description

1 Create custom user attributes You can create custom attributes for filtering and
working with user risk summary reports. For
example, you can create an attribute named
Employment Status to track the employment status
of each of your users. You can then import that
information in a file that is exported from your
enterprise resource planning system, such as
PeopleSoft.

See “Defining custom attributes for user data”

on page 1012.

2 Import user data You can import user data from an Active Directory
connection or from a data file. Incidents are
associated with specific users by email address and
login credentials. You can also upload files with
your custom attributes, such as information from
your enterprise resource planning system.
Symantec Data Loss Prevention provides a CSV
template file that you can use to format any data
you want to upload.

See “Bringing in user data” on page 1013.

3 View the User List The User List is a list of all users in your system,
including their email address, domain, and login
name.

See “Viewing the user list” on page 1017.

You can view details for specific users in the user

snapshot.

See “Viewing user details” on page 1017.

4 View the User Risk Summary The User Risk Summary displays your users and
their associated Endpoint and Network incidents.
Use the User Risk Summary to drill into your
user-centric incident data to help you find the
highest-risk users. You can sort and filter this list
by policies, custom attributes, incident status,
incident severity, number of incidents, date, and
user name.

See “Working with the user risk summary”

on page 1018.
 Working with the User Risk Summary 1011
About user data sources

Using the information that is provided in the user risk summary, you can see who
the high-risk users are and determine the appropriate course of action to take.
Such actions might include:
■ Determining whether or not a user poses an active threat to your data security.
■ Applying additional policies to monitor a user's behavior more closely.
■ Applying additional response rules to block actions or send alerts.
■ Escalating a user's behavior to their manager or other responsible party.
To work with user risk data, a Symantec Data Loss Prevention user must have the
User Reporting privilege. Be aware that users with this privilege are automatically
able to view and access all incidents and incident types in Symantec Data Loss
Prevention. The user risk summary is intended for use by high-level remediators
or information security officers. This privilege is not part of any pre-defined role.
See “Configuring roles” on page 95.

About user data sources

You can bring in data about your users in .csv file format or through an Active
Directory connection.
User data is information about people in your organization who may have access
to data that you want to keep secure. To track user risk, you must provide the
user's first and last name, their email address (to track network incidents) and
login information (to track Endpoint incidents). You can also provide additional
standard directory attribute information, such as the user's address and phone
number, as well as custom attributes such as the user's employment status.
Standard user data includes the following attributes:

Table 51-2
Attribute Required or optional Description

FIRST_NAME Required The user's given name.

LAST_NAME Required The user's surname.

EMAIL Required if no login The user's email address.

information is included

LOGIN Required if no email address The user's login information,

is included in DOMAIN\LOGIN format

TELEPHONE_NUMBER Optional The user's telephone number.

1012 Working with the User Risk Summary
About user data sources

Table 51-2 (continued)

Attribute Required or optional Description

EMPLOYEE_ID Optional The user's employee

identification number.

TITLE Optional The user's job title.

DEPARTMENT Optional The user's job department.

STREET_ADDRESS Optional The user's street address

STATE_OR_PROVINCE Optional The state or province in

which the user resides.

COUNTRY Optional The country in which the

user resides.

POSTAL_CODE Optional The postal code for the user's

address.

See “Defining custom attributes for user data” on page 1012.

See “Bringing in user data” on page 1013.

Defining custom attributes for user data

You can create custom attributes to improve relevance while filtering and working
with user risk summary reports. Useful custom attributes might include
employment status, the name of the user's manager, the user's job function, and
other information that might be stored in your enterprise resource planning
system or additional user data source.
You must create custom attributes before entering any user data. Each custom
attribute is assigned a unique identification number as it is created. You must add
these custom attribute identification numbers to your data file before you import
it to Symantec Data Loss Prevention.
See “Adding a file-based user data source” on page 1014.
To define custom attributes for user data
1 In the Enforce Server administration console, go to System > Users >
Attributes.
2 Click Add. The User Attribute dialog box appears.
 Working with the User Risk Summary 1013
About user data sources

3 Enter the custom attribute in the Name field. The custom attribute can be a
maximum of 60 characters.
4 Click Submit.
To view and edit user custom attributes
1 In the Enforce Server administration console, go to System > Users >
Attributes.
2 The custom attributes appear in the User Custom Attributes list. You can
take these actions:
■ To filter the User Custom Attributes list, click Filters, then use the text
fields for ID or Attribute Name to enter a filter value.
■ To edit a custom attribute, click the attribute name or click the edit icon
in the Actions column, then edit the attribute in the User Attribute dialog
box.
■ To delete a custom attribute, click the delete icon in the Actions column.

Bringing in user data

You can bring in user data from a file or an Active Directory connection.
See “Adding a file-based user data source” on page 1014.
See “Adding an Active Directory user data source” on page 1015.
After you have added your user data sources, you can schedule Symantec Data
Loss Prevention to regularly import data from those data sources to ensure that
your user data is always up to date.
To schedule import of a user data source.
1 In the Enforce Server administration console, go to System > Users > Data
Sources.
2 On the Data Source Management page, click the Schedule icon for your
desired data source.
3 Choose one of these options for scheduling:
■ Once: Specify a single day and time for user data import.
■ Daily: Specify a time for daily import of the user data source.
■ Weekly: Specify a day and time for weekly import of the user data source.
■ Monthly: Specify a day and time for monthly import of the user data
source.

4 Click Submit.
1014 Working with the User Risk Summary
About user data sources

Adding a file-based user data source

You can bring in user data from a .csv file. For your convenience, Symantec Data
Loss Prevention provides an annotated .csv template that you can use to ensure
that your data is formatted correctly. The template includes all the standard user
attributes, as well as formatting examples and instructions for adding custom
attributes. The template also includes headers for any custom attributes that you
have defined at the time you download the template.
To create a user data file from a template
1 In the Enforce Server administration console, go to System > Users > Data
Sources.
2 On the Data Sources page, click Download CSV Template on the right-hand
side of the page.
3 Open the template file and provide the information for the standard user-data
attributes.
See “About user data sources” on page 1011.
4 The template file includes column headers for any custom attributes you
have defined.
To add custom attributes manually, create a new column for each attribute,
then populate the rows as appropriate.
You must enter the column headers in this format: ID[Attribute Name]. For
example, 1[Employment Status].
See “Defining custom attributes for user data” on page 1012.
5 Save the file (in .csv format) to a location on your Enforce Server.
To add a file-based user data source
1 In the Enforce Server administration console, go to System > Users > Data
Sources.
2 On the Data Source Management page, click Add > CSV User Source. The
Add CSV User Source dialog box appears.
3 In the Add CSV User Source dialog box, enter the following information:
■ Name: Specify a name for the data source.
■ File Path: Specify the path to the user data file. This file must be on the
Enforce Server.
■ Delimited by: Specify the delimiter for the file. Valid delimiters are comma,
pipe, semicolon, and tab.
■ Encoded by: Specify the character encoding format.
 Working with the User Risk Summary 1015
About user data sources

■ Error Threshold Percentage: Specify the percentage of user records that

can be invalid before the file is rejected and the import process fails. Note
that inconsistent records, such as those with duplicate email addresses,
cause immediate import failure regardless of this setting.

4 Click Submit.

Adding an Active Directory user data source

You can use an existing Active Directory connection to bring in user data. To add
custom attributes for users that are added from an Active Directory source, create
and import a data user file that includes the users' first and last names, email or
login information, and the custom attributes you want to use. Symantec Data Loss
Prevention automatically associates the file-based user data with the existing
user records brought in from your Active Directory source.
Symantec Data Loss Prevention uses this Active Directory filter to retrieve user
data (line breaks added for readability):

(&
(objectClass=user)
(objectCategory=person)
(sAMAccountType=805306368)
(!
(|
(&
(sAMAccountType=805306368)
(sAMAccountName=-*)
)
(&
(sAMAccountType=805306368)
(sAMAccountName=_*)
)
)
)
)

Your Active Directory credentials must have permission to access the following
user attributes:

FIRST_NAME givenName
LAST_NAME sn
EMAIL mail
LOGIN_NAME sAMAccountName
1016 Working with the User Risk Summary
About user data sources

TELEPHONE telephoneNumber
TITLE title
COUNTRY co
DEPARTMENT department
EMPLOYEE_ID employeeId
STREET_ADDRESS streetAddress
LOCALITY_NAME l
POSTAL_CODE postalCode
STATE_OR_PROVINCE st
OBJECT_DISINGUISHED_NAME distinguishedName

Your Active Directory credentials must also have permission to acces the RootDSE
record. Symantec Data Loss Prevention reads these attributes from RootDSE:

namingContexts
defaultNamingContext
rootDomainNamingContext
configurationNamingContext
schemaNamingContext
isGlobalCatalogReady
highestCommittedUSN

See “Configuring directory server connections” on page 132.

See “Defining custom attributes for user data” on page 1012.
See “Adding a file-based user data source” on page 1014.
To add an Active Directory user data source
1 In the Enforce Server administration console, go to System > Users > Data
Sources.
2 On the Data Source Management page, click Add > AD User Source. The
Add AD User Source dialog box appears.
3 In the Add > AD User Source dialog box, enter the following information:
■ Name: Specify a name for the data source.
■ Directory Connection: Select an existing Active Directory connection.
■ Advanced Options > AD Custom Filter: Specify an optional filter for your
Active Directory user data source, such as a workgroup. For example:

(&(region=North America)(!systemAccount=true))

4 Click Submit.
 Working with the User Risk Summary 1017
Viewing the user list

Note: Best practices suggest that you should refer to directory connection objects
with baseDNs in the user section of your directory tree. For example:
ou=Users,dc=corp,dc=company,dc=com .

Viewing the user list

The user list displays all users that you have entered in Symantec Data Loss
Prevention. In the user list, you can view the names, email addresses, and domain
and login information for each user. You can sort the list first or last name, and
you can search the list by name, email address, domain, or login. Clicking on an
individual user's name takes you to the user detail view.
See “Viewing user details” on page 1017.
The user list does not display incident data, only user data.
To view the user list
1 In the Enforce Server administration console, go to Incidents > Users > User
List.
2 To sort the user list by first or last name, click one of the sort icons in the
appropriate column.
3 To search the user list, enter your search term in the search field at the
upper-right corner of the list. You can search on the user's first and last name,
login, and email address. Only one search term is handled at a time.

Viewing user details

The user snapshot shows all user information and incidents for a specific user.
You reach the user detail view by clicking a user's name on the user list.
See “Viewing the user list” on page 1017.
To view user details
1 In the Enforce Server administration console, go to Incidents > Users > User
List.
2 Click the name of the user for whom you want to view details.
3 On the User page, you can view a list of incidents, as well as user information,
standard attributes, and custom attributes.
1018 Working with the User Risk Summary
Working with the user risk summary

Working with the user risk summary

The user risk summary displays all users who have incidents associated with
them. You can sort and filter the user risk summary to gain insight into the user
risk in your organization. For example, you can view incidents that are associated
with specific policies, or with custom attributes that you have entered, such as
job function or employment status. If you want to return to a particular view of
the user risk summary, you can save the URL and bookmark it in your Web browser.
To view the user risk summary
1 In the Enforce Server administration console, go to Incidents > Users > User
Risk Summary.
2 To sort the list, click one of the sort icons in one of the columns.
3 To filter the list, select your filter values using the buttons above the user
risk summary list:

Filter Default value Description

Policies All Select a policy or policies by expanding the policy

group and checking the appropriate box or boxes.

Attributes None (0) Enter up to two custom attributes to filter the list.
Select the attribute from the drop-down list, then
specify an include or exclude condition and enter
your desired values. To add a second attribute
filter, click Add Attribute Filter.

Status All Filter the list by incident status.

Date Last 7 Days Filter the list by date or date range.

Severity All Filter the list by incident severity. You must select
at least one severity level.

4 After you have selected your filter values, click Apply.

5 To save a particular filter configuration, click Get Link and copy the provided
URL to your Web browser bookmarks.
 Chapter 52
Implementing lookup
plug-ins
This chapter includes the following topics:

■ About lookup plug-ins

■ Implementing and testing lookup plug-ins

■ Configuring the CSV Lookup Plug-In

■ Configuring LDAP Lookup Plug-Ins

■ Configuring Script Lookup Plug-Ins

■ Configuring migrated Custom (Legacy) Lookup Plug-Ins

About lookup plug-ins

A lookup plug-in lets you connect the Enforce Server to an external system to
retrieve supplemental data related to an incident. The data is stored as attributes.
Lookup plug-ins let you add additional context to incidents to facilitate remediation
workflow. For example, consider an email message that triggers an incident. A
lookup plug-in can be used to retrieve and display the name and the email address
of the sender's manager from a directory server based on the email sender's
address.
Lookup plug-ins use incident attributes and custom attributes in coordination
with each other. The system generates incident attributes when a policy rule is
violated. You define custom attributes for custom incident data. Continuing the
example, on detection of the incident, the system generates the incident attribute
"sender-email" and populates it with the email address of the sender. The lookup
plug-in uses this key-value pair to look up the values for custom attributes
1020 Implementing lookup plug-ins
About lookup plug-ins

"Manager Name" and "Manager Email" from an LDAP server. The plug-in populates
the custom attributes and displays them in the Incident Snapshot.
See “About custom attributes” on page 1004.
See “About using custom attributes” on page 1006.
See “How custom attributes are populated” on page 1006.

Types of lookup plug-ins

Symantec Data Loss Prevention provides several types of lookup plug-ins, including
CSV, LDAP, Script, Data Insight, and Custom (Legacy). The following table describes
each type of lookup plug-in in more detail.
See “About lookup plug-ins” on page 1019.

Table 52-1 Types of lookup plug-ins

Type Description

CSV The CSV Lookup Plug-in lets you retrieve incident data from a comma-separated values (CSV)
file uploaded to the Enforce Server. You can configure one CSV Lookup Plug-in per Enforce
Server instance.

See “About the CSV Lookup Plug-In ” on page 1021.

LDAP The LDAP Lookup Plug-in lets you retrieve incident data from a directory server, such as Microsoft
Active Directory, Novell LDAP, Oracle Directory Server (formerly Sun ONE), or IBM LDAP. You
can configure multiple instances of the LDAP Lookup Plug-in.
See “About LDAP Lookup Plug-Ins” on page 1021.

Script The Script Lookup Plug-in lets you write a script to retrieve incident data from any external
resource. For example, you can use a Script Lookup Plug-in to retrieve incident data from external
resources such as proxy log files or DNS systems. You can configure multiple instances of the
Script Lookup Plug-in.

See “About Script Lookup Plug-Ins” on page 1022.

Data Insight The Data Insight Lookup Plug-in lets you retrieve incident data from Symantec Data Insight so
that you can locate and manage data at risk. You can configure one Data Insight Lookup Plug-in
per Enforce Server instance.

See “About the Data Insight Lookup Plug-In” on page 1022.

 Implementing lookup plug-ins 1021
About lookup plug-ins

Table 52-1 Types of lookup plug-ins (continued)

Type Description

Custom (Legacy) The Custom (Legacy) Lookup Plug-in lets you use Java code to retrieve incident data from any
external resource.

See “About Custom (Legacy) Lookup Plug-Ins” on page 1022.

Note: As the name indicates, the Custom (Legacy) Lookup Plug-in is reserved for legacy Java
plug-ins. For new custom plug-in development, you must use one of the other types of lookup
plug-ins.

About the CSV Lookup Plug-In

The CSV Lookup Plug-In extracts data from a comma-separated values (CSV) file
stored on the Enforce Server. The plug-in uses data from the CSV file to populate
custom attributes for an incident at the time the incident is generated.
The CSV Lookup Plug-In receives a group of lookup parameters that contain data
about an incident from the Enforce Server. One or more of the lookup parameters
in the group is mapped to column heads in a CSV file. For example, the
sender-email lookup parameter might be mapped to the Email column in the
CSV file. The value in the lookup parameter is used as a key to find a matching
value in the corresponding CSV column. When a match is found, the CSV row that
contains the matching value provides the data that is returned to the Enforce
Server. The Enforce Server uses the data in that row to populate the custom
attributes for that incident. For example, if the sender-email lookup parameter
contains the value mary.smith@mycompany.com, the plug-in searches the Email
column for a row that contains mary.smith@mycompany.com. That row is then
used to provide the data to populate the custom attributes for the incident.
The CSV Lookup Plug-In uses an in-memory database to process large files.
See “Configuring the CSV Lookup Plug-In” on page 1040.

About LDAP Lookup Plug-Ins

The LDAP Lookup Plug-In pulls data from a live LDAP system (such as Microsoft
Active Directory, Novell LDAP, Oracle LDAP, or IBM LDAP). It then uses that data
to populate custom attributes for an incident at the time the incident is generated.
The LDAP Lookup Plug-In receives a group of lookup parameters that contain
data about an incident from the Enforce Server. These lookup parameters are
then used in LDAP queries to pull data out of an existing LDAP directory. For
example, the value of the sender-email lookup parameter might be compared to
the values in the email attribute of the directory. If the sender-email lookup
1022 Implementing lookup plug-ins
About lookup plug-ins

parameter contains mary.smith@mycompany.com, a query can be constructed to

search for a record whose email attribute contains mary.smith@mycompany.com.
Data in the record that the search returns is inserted into the custom attributes
for the incident.
See “Configuring LDAP Lookup Plug-Ins” on page 1049.

About Script Lookup Plug-Ins

You can write one or more Script Lookup Plug-ins to query data repositories for
attribute values. For example, you can write a script that queries a DNS server
for information about a sender that is involved in an incident. A Script Lookup
Plug-In can use the output from such scripts to populate custom attributes in
incident records.
Unlike the CSV or LDAP Lookup Plug-ins, the Script Lookup Plug-In does not use
in-line attribute maps to specify how to look up parameter keys. Instead, you write
this functionality into each script as needed.
To implement a Script Lookup Plug-In , you can use any scripting language that
reads standard input (stdin) and writes standard output (stdout). The examples
in the user interface and in this documentation use Python version 2.6.
See “Configuring advanced plug-in properties” on page 1038.

About the Data Insight Lookup Plug-In

The Symantec Data Insight Lookup Plug-In retrieves data from a Symantec Data
Insight Management Server and uses it to populate attributes for a Network
Discover incident at the time the incident is generated. The Data Insight Lookup
Plug-In connects Symantec Data Loss Prevention with Symantec Data Insight to
retrieve attribute values. Data Insight can be used to provide granular context to
incidents, including up-to-date data owner information. The values for incident
attributes are viewed and populated at the Incident Snapshot screen.
The Data Insight Lookup Plug-In requires a Data Insight license separate from
Symantec Data Loss Prevention licensing. If your system is not licensed for Data
Insight, the Data Insight Lookup Plug-In is not available. If you are licensed for
Data Insight, refer to the Symantec Data Loss Prevention Data Insight
Implementation Guide for details on integrating with Data Insight.

About Custom (Legacy) Lookup Plug-Ins

You can use a Custom (Legacy) Lookup Plug-In to migrate legacy Custom Java
Lookup Plug-Ins to the Enforce Server administration console. Because Custom
Java Lookup Plug-Ins are no longer the preferred way to create new plug-ins, the
 Implementing lookup plug-ins 1023
About lookup plug-ins

information presented here is provided to support organizations using legacy

plug-ins but upgrading to Data Loss Prevention version 12. As an alternative to
migrating legacy Custom Java Lookup Plug-Ins, consider rewriting such plug-ins
using a Script Lookup Plug-In or one of the other supported lookup plug-ins, such
as CSV or LDAP.
See “Types of lookup plug-ins” on page 1020.

Note: Custom (Legacy) Lookup Plug-Ins should only be used for migrating legacy
lookup plug-ins implemented using the Java Lookup API. Support for new Custom
Java Lookup Plug-Ins are not supported.

See “Configuring migrated Custom (Legacy) Lookup Plug-Ins” on page 1065.

About lookup parameters

When an incident is created, the Enforce Server generates incident attributes and
populates them with data it captures from the incident. You use one or more
incident attributes as lookup parameter keys to retrieve external data and populate
custom attributes with values that have been retrieved from the external system.
You choose which lookup parameters to use for your lookup plug-ins at the Lookup
Parameters screen. At least one lookup parameter must be present in the external
data source for the lookup to be performed.
While some attributes are created for all incident types, others are specific to the
incident type. For example, the incident attribute sender-email is specific to SMTP
incidents. Attributes specific to Endpoint and Discover incidents are prefaced by
an identifier, such as discover-name and endpoint-machine-name. For
administrative convenience, lookup parameters are organized into groups. An
incident exposes all of the lookup parameters in each lookup parameter group
that is enabled. On lookup, some of the name-value pairs in that group may be
valueless depending on the type of incident. For example, the attribute value of
the sender-email parameter is null for Discover incidents (sender-email=null).
Lookup plug-ins do not change the system-defined values of lookup parameters.
The plug-in only uses these parameters as keys to perform the lookup and populate
custom attributes. For example, if a lookup plug-in uses the subject lookup
parameter, the value of this attribute is not changed by a value for this attribute
in the external data source; the Enforce Server ignores the value after the lookup
is made. There are two exceptions, however: data-owner-name and
data-owner-email. These system-defined incident attributes function like custom
attributes and their values are populated by retrieved values.
1024 Implementing lookup plug-ins
About lookup plug-ins

When you map the keys to your data source, the plug-in searches the keys in order
until it finds the first matching value. When a matching value is located, the
plug-in stops searching for the keys. The plug-in uses the data in the row that
contains the first matching value to populate the relevant custom attributes.
Therefore, key values are not used in combination, but rather the first value that
is found is the key. Because the plug-in stops searching after it finds the first
matching value, the order in which you list the keys in your attribute mapping is
significant. Refer to the individual attribute mapping topics and examples for
nuances among the lookup plug-in attribute mapping syntax.
To perform a lookup, you must map at least one lookup parameter key to a field
in your external data source. Each lookup parameter group that you enable is a
separate database query for the Enforce Server to perform. All database queries
are executed for each incident before lookup. To avoid the performance impact
of unnecessary database queries, you should only enable attribute groups that
your lookup plug-ins require.
Because the plug-in stops searching after it finds the first matching lookup
parameter key-value pair, the order in which you list the keys in your attribute
map is significant. Refer to the attribute mapping examples for the specific type
of plug-in you are implementing.
See “Selecting lookup parameters” on page 1030.

About plug-in deployment

A lookup plug-in is deployed by enabling it through the user interface. Each lookup
plug-in must be enabled, even if there is only one. If multiple plug-ins are enabled,
you chain them together and specify their order of execution.
The selected lookup parameter keys apply globally to all deployed lookup plug-ins.
If plug-ins are reloaded, all deployed plug-ins are reloaded.
You can only deploy one CSV Lookup Plug-in and one Data Insight Lookup Plug-in
per Enforce Server instance.
See “Enabling lookup plug-ins” on page 1034.

About plug-in chaining

When you create a lookup plug-in, you map the lookup parameter keys and custom
attributes to fields in the external data source. All deployed lookup plug-ins receive
a reference to the same attribute map. This allows plug-ins to be chained together
and executed in sequence.
In a lookup plug-in chain, the first plug-in uses the lookup parameters that are
passed to it by the Enforce Server to look up attribute values. The second plug-in
 Implementing lookup plug-ins 1025
About lookup plug-ins

uses data that is passed to it by the first plug-in including the lookup parameters
and any variables created by the previous lookup. This continues in sequence or
all plug-ins in the chain.
A plug-in chain is useful when information must be pulled from different sources
to populate custom attributes for an incident. A chain is also useful when there
are differences or dependencies between the “keys” needed to unlock the correct
data.
For example, consider the following plug-in chain:
1. A Script Lookup Plug-in performs a DNS lookup using one or more parameters.
2. A CSV Lookup Plug-in uses the result of the script look up to retrieve incident
data from a CSV file that is an extract from an asset management system.
3. An LDAP Lookup Plug-in uses the result of the CSV lookup to obtain data from
a corporate LDAP directory.
See “Chaining lookup plug-ins” on page 1035.
See “Chaining multiple Script Lookup Plug-Ins” on page 1061.

About upgrading lookup plug-ins

Prior to Symantec Data Loss Prevention version 11.6, lookup plug-ins were
implemented manually using property files; there was no user interface for
configuring lookup plug-ins. The lookup plug-in user interface was introduced in
version 11.6.
If you are upgrading to version 12.0, existing lookup plug-ins are automatically
upgraded to the new framework and added to the user interface for configuration
and deployment. In addition, the plug-in state will be preserved after the upgrade,
that is, if a plug-in was enabled before the upgrade it should be turned on in the
user interface after the upgrade.
If the upgrade of a lookup plug-in does not succeed, the system displays the
following error message:

INFO: IN PROCESS: Errors detected in lookup plugin configuration.

Your lookup plugins may require manual configuration after the upgrade.

In this case, check the plug-in at the System > Lookup Plugins screen and manually
configure it following the instructions provided with this documentation. Refer
to the Symantec Data Loss Prevention Release Notes for version 12.0 for known
issues related to the upgrade of lookup plug-ins.
1026 Implementing lookup plug-ins
Implementing and testing lookup plug-ins

Implementing and testing lookup plug-ins

The following table describes the workflow for implementing and testing lookup
plug-ins. Linked sections explain these steps in more detail.

Table 52-2 Implementing and testing lookup plug-ins

Step Description

1 Decide what external data you want to extract and load into incidents as custom attributes.

See “About using custom attributes” on page 1006.

2 Identify the sources from which custom attribute data is to be obtained and the appropriate
lookup plug-in for retrieving this information.

See “Types of lookup plug-ins” on page 1020.

3 Create a custom attribute for each individual piece of external data that you want to include
in incident snapshots and reports.

See “Configuring custom attributes” on page 1007.

4 Determine which lookup parameter groups include the specific lookup parameters you need
to extract the relevant data from the external sources.

See “About lookup parameters” on page 1023.

5 Configure the plug-in to extract data from the external data source and populate the custom
attributes.

See “Configuring the CSV Lookup Plug-In” on page 1040.

See “Configuring LDAP Lookup Plug-Ins” on page 1049.

See “Configuring Script Lookup Plug-Ins” on page 1054.

See “Configuring migrated Custom (Legacy) Lookup Plug-Ins” on page 1065.

6 Enable the plug-in on the Enforce Server.

See “Enabling lookup plug-ins” on page 1034.

7 Set the execution order for multiple plug-ins.

See “Chaining lookup plug-ins” on page 1035.

8 Verify privileges. The end user must have Lookup Attirbute privileges to use a lookup plug-in
to look up attribute values.

See “Configuring roles” on page 95.

 Implementing lookup plug-ins 1027
Implementing and testing lookup plug-ins

Table 52-2 Implementing and testing lookup plug-ins (continued)

Step Description

9 Generate an incident. The incident must be of the type that exposes one or more incident
attributes that you have designated as parameter keys.

See “Configuring policies” on page 370.

10 View the incident details. For the incident you generated, go to the Incident Snapshot screen.
In the Attributes section, you should see the custom attributes you created. Note that they
are unpopulated (have no value). If you do not see the custom attributes, verify the privileges
and that the custom attributes were created.

11 If the lookup plug-in is properly implemented, you see the Lookup button available in the
Attributes section of the Incident Snapshot. Once you click Lookup you see that the value
for each custom attribute is populated. After the initial lookup, the connection is maintained
and subsequent incidents will have their custom attributes automatically populated by that
lookup plug-in; the remediator does not need to click Lookup for subsequent incidents. If
necessary you can reload the plug-ins.

See “Troubleshooting lookup plug-ins” on page 1036.

See “Reloading lookup plug-ins” on page 1035.

Managing and configuring lookup plug-ins

The System > Incident Data > Lookup Plugins screen is the home page for creating,
configuring, and managing lookup plug-ins. Lookup plug-ins are used for
remediation to retrieve incident-related data from an external data source and
populate incident attributes.
See “About lookup plug-ins” on page 1019.
You create and configure lookup plug-ins at the Lookup Plugins List Page.

Table 52-3 Creating and configuring lookup plug-ins

Action Description

New Plugin Select this option to create a new plug-in.

See “Creating new lookup plug-ins” on page 1029.

Modify Plugin Chain Select this option to enable (deploy) plug-ins and to set the order of lookup for
multiple plug-ins.

See “Enabling lookup plug-ins” on page 1034.

1028 Implementing lookup plug-ins
Implementing and testing lookup plug-ins

Table 52-3 Creating and configuring lookup plug-ins (continued)

Action Description

Lookup Parameters Select this option to choose which lookup parameter groups to use as keys to
populate attribute fields from external data sources.

See “Selecting lookup parameters” on page 1030.

Reload Plugins Select this option to refresh the system after making changes to enabled plug-ins
or if the external data is updated. This action automatically performs the enabled
lookups in order and populates the incidents as they are created.

See “Reloading lookup plug-ins” on page 1035.

For each configured lookup plug-in, the system displays the following information
at the Lookup Plugins List Page. You use this information to manage lookup
plug-ins.

Table 52-4 Managing lookup plug-ins

Display field Description

Execution Sequence This field displays the order in which the system executes lookup plug-ins.

See “Enabling lookup plug-ins” on page 1034.

Name This field displays the user-defined name of each lookup plug-in.

Click the Name link to edit that plug-in.

See “Creating new lookup plug-ins” on page 1029.

Type The field displays the type of lookup plug-in. You can configure one CSV and one
Data Insight Lookup Plug-in per Enforce Server instance. You can configure
multiple instances of the LDAP, Script, and Custom (Legacy) lookup plug-ins.

See “Types of lookup plug-ins” on page 1020.

Description This field displays the user-defined description of each lookup plug-in.

See “Implementing and testing lookup plug-ins” on page 1026.

Status The field displays the state of each lookup plug-in, either On (green) or Off (red).
To edit the state of a plug-in, click Modify Plugin Chain.

See “Enabling lookup plug-ins” on page 1034.

For each configured lookup plug-in, you can perform the following management
functions at the Lookup Plugins List Page.
 Implementing lookup plug-ins 1029
Implementing and testing lookup plug-ins

Table 52-5 Sorting and grouping lookup plug-ins

Action Description

Edit Click the pencil icon in the Actions column to edit the plug-in.

Delete Click the X icon in the Actions column to delete the plug-in. You must confirm or
cancel the action to execute it.

Sort Sort the selected display column in ascending or descending order.

Group Group the plug-ins according to the selected display column. For example, where
you have multiple plug-ins, it may be useful to group them by Type or by Status.

Creating new lookup plug-ins

You must have Server Administration privileges to create and configure lookup
plug-ins.
See “Configuring roles” on page 95.
To create new lookup plug-in
1 Navigate to System > Incident Data > Lookup Plugins in the Enforce Server
administration console.
2 Click New Plugin at the Lookup Plugins List Page screen.
3 Select the type of lookup plug-in you want to create and configure it.

CSV

See “Configuring the CSV Lookup Plug-In” on page 1040.

LDAP

See “Configuring LDAP Lookup Plug-Ins” on page 1049.

Script

See “Configuring Script Lookup Plug-Ins” on page 1054.

Data Insight

Custom (Legacy)

See “Configuring migrated Custom (Legacy) Lookup Plug-Ins” on page 1065.

1030 Implementing lookup plug-ins
Implementing and testing lookup plug-ins

4 Click Save to apply the lookup plug-in configuration.

The system displays a success (green) message if the plug-in was successfully
saved or an error (red) message if the plug-in is misconfigured and could not
be saved.
See “Troubleshooting lookup plug-ins” on page 1036.
5 Click Modify Plugin Chain and enable the lookup plug-in and chain multiple
plug-ins.
See “Enabling lookup plug-ins” on page 1034.
See “Chaining lookup plug-ins” on page 1035.

Selecting lookup parameters

The System > Lookup Plugins > Edit Lookup Plugin Parameters page lists the
Lookup Parameter Keys that you select to trigger the look up of attribute values.
Lookup parameter keys are organized into attribute groups. Selections made at
this screen apply to all lookup plug-ins deployed on the Enforce Server.
To perform a lookup, you must map at least one lookup parameter key to a field
in your external data source. Each lookup parameter group that you enable is a
separate database query for the Enforce Server to perform. All database queries
are executed for each incident before lookup. To avoid the performance impact
of unnecessary database queries, you should only enable attribute groups that
your lookup plug-ins require.
Because the plug-in stops searching after it finds the first matching lookup
parameter key-value pair, the order in which you list the keys in your attribute
map is significant. Refer to the attribute mapping examples for the specific type
of plug-in you are implementing for details.
See “About lookup parameters” on page 1023.
To enable one or more lookup parameter keys
1 Navigate to System > Lookup Plugins in the Enforce Server administration
console.
2 Click Lookup Parameters at the Lookup Plugins List Page.
3 Select (check) one or more attribute groups at the Edit Lookup Plugin
Parameters page.
Click View Properties to view all of the keys for that attribute group.
■ Attachment Table 52-6
■ Incident Table 52-7
 Implementing lookup plug-ins 1031
Implementing and testing lookup plug-ins

■ Message Table 52-8

■ Policy Table 52-9
■ Recipient Table 52-10
■ Sender Table 52-11
■ Server Table 52-12
■ Monitor Table 52-13
■ Status Table 52-14
■ ACL Table 52-15

4 Save the configuration.

Verify the success message indicating that all enabled plug-ins were reloaded.

Table 52-6 Attachment lookup parameters

Lookup parameter key Description and comments

attachment-nameX Name of the attached file, where X is the unique index to distinguish between
multiple attachments, for example: attachment-name1, attachment-size1;
attachment-name2, attachment-size2; etc.

attachment-sizeX Original size of the attached file, where X is the unique index to distinguish
between multiple attachments. See above example.

Table 52-7 Incident lookup parameters

Lookup parameter key Description

date-detected Date and time when the incident was detected, for example:
date-detected=Tue May 15 15:08:23 PDT 2012.

incident-id The incident ID assigned by Enforce Server. The same ID can be seen in the
incident report. For example: incident-id=35.

protocol The name of the network protocol that was used to transfer the violating
message, such as SMTP and HTTP. For example: protocol=Email/SMTP.

data-owner-name The person responsible for remediating the incident. This attribute is not
populated by the system. Instead, it is set manually in the Incident Details
section of the Incident Snapshot screen, or automatically using a lookup plug-in.

Reports based on this attribute can automatically be sent to the data owner for
remediation.
1032 Implementing lookup plug-ins
Implementing and testing lookup plug-ins

Table 52-7 Incident lookup parameters (continued)

Lookup parameter key Description

data-owner-email The email address of the person responsible for remediating the incident. This
attribute is not populated by the system. Instead, it is set manually in the
Incident Details section of the Incident Snapshot screen, or automatically
using a lookup plug-in.

Table 52-8 Message lookup parameters

Lookup parameter key Description

date-sent Date and time when the message was sent if it is an email. For example:
date-sent=Mon Aug 15 11:46:55 PDT 2011.

subject Subject of the message if it is an email incident.

file-create-date Date that the file was created in its current location, whether it was originally
created there, or copied from another location. Retrieved from the operating
system.

file-access-date Date that the file was examined.

file-created-by User who placed the file on endpoint computer.

file-modified-by Fully-qualified user credential for the computer where the violating copy action
took place.

file-owner The name of the user or the computer where the violating file is located.

discover-content-root-path Root of path of the file which caused a Discover incident.

discover-location Full path of the file that caused a Discover incident.

discover-name The name of the violating file.

discover-extraction-date Date a subfile was extracted from an encapsulated file during Discover scanning.

discover-server The name of repository to be scanned.

discover-notes-database Specific attribute for Discover scan of Lotus Notes repository.

discover-notes-url Specific attribute for Discover scan of Lotus Notes repository.

endpoint-volume-name The name of the local drive where an endpoint incident occurred.

endpoint-dos-volume-name The Windows name of the local drive where an endpoint incident occurred.

endpoint-application-name Name of application most recently used to open (or create) the violating file.
 Implementing lookup plug-ins 1033
Implementing and testing lookup plug-ins

Table 52-8 Message lookup parameters (continued)

Lookup parameter key Description

endpoint-application-path Path of the application that was used to create or open the violating file.

endpoint-file-name The name of the violating file.

endpoint-file-path Location the file was copied to.

Table 52-9 Policy lookup parameter

Lookup parameter key Description and comments

policy-name The name of the policy that was violated, for example: policy-name=Keyword
Policy.

Table 52-10 Recipient lookup parameters

Lookup parameter key Description

recipient-emailX The email address of the recipient, where X is the unique index to distinguish
between multiple recipients; for example: recipient-email1,
recipient-ip1, recipient-url1; recipient-email2, recipient-ip2,
recipient-url2; etc.

recipient-ipX The IP address of the recipient, where X is the unique index to distinguish
between multiple recipients. See above example.

recipient-urlX The URL of the recipient, where X is the unique index to distinguish between
multiple recipients. See above example.

Table 52-11 Sender lookup parameters

Lookup parameter key Description

sender-email The email address of the sender for Network Prevent for Email (SMTP)
incidents.

sender-ip The IP address of the sender for Endpoint and Network incidents on protocols
other than SMTP.

sender-port The port of the sender for Network incidents on protocols other than SMTP.

endpoint-user-name The user who was logged on to the endpoint computer when the violation
occurred.

endpoint-machine-name Name of the endpoint computer where the violating file resides.
1034 Implementing lookup plug-ins
Implementing and testing lookup plug-ins

Table 52-12 Server lookup parameters

Lookup parameter key Description and comments

server-name The name of the detection server that reported the incident. This name is
user-defined and entered when the detection server is deployed. For example:
server-name=My Network Monitor.

Table 52-13 Monitor lookup parameters

Lookup parameter key Description

monitor-name The name of the detection server that reported the incident. This name is
user-defined and entered when the detection server is deployed. For example:
server-name=My Network Monitor.

monitor-host The IP address of the detection server that reported the incident. For example:
monitor-host=127.0.0.1

monitor-id The system-defined numeric identifier of the detection server. For example:
monitor-id=1.

Table 52-14 Status lookup parameter

Lookup parameter key Description and comments

incident-status Current status of the incident. For example:

incident-status=incident.status.New.

Table 52-15 ACL lookup parameters

Lookup parameter key Description

acl-principalX A string that indicates the user or group to whom the ACL applies.

acl-typeX A string that indicates whether the ACL applies to the file or to the share.

acl-grant-or-denyX A string that indicates whether the ACL grants or denies the permission.

acl-permissionX A string that indicates whether the ACL denotes read or write access.

Enabling lookup plug-ins

To enable a lookup plug-in you have to change its status from Off, which is the
initial status of a plug-in after it is configured, to On. The System > Incident Data
> Lookup Plugins > Modify Plugin Chain is where you enable lookup plug-ins.
See “About plug-in deployment” on page 1024.
 Implementing lookup plug-ins 1035
Implementing and testing lookup plug-ins

To enable a lookup plug-in

1 Navigate to System > Incident Data > Lookup Plugins in the Enforce Server
administration console.
2 Click Modify Plugin Chain at the Lookup Plugins List Page.
3 In the Dedicated Actions field, select (check) the On option.
4 Click Save to apply the configuration.
If the plug-in cannot be loaded the system will report an error and the plug-in
state will remain Off. In this case, check the latest Tomcat log file for the
error.
See “Troubleshooting lookup plug-ins” on page 1036.

Chaining lookup plug-ins

The System > Incident Data > Lookup Plugins > Modify Lookup Plugin Execution
Chain is where you enable lookup plug-ins and specify the execution order when
multiple lookup plug-ins are deployed.
See “Enabling lookup plug-ins” on page 1034.
If you enable multiple lookup plug-ins you must specify their order of execution.
When plug-ins are chained together, input from a previous plug-in is used as
attributes by subsequent lookup plug-ins.
See “About plug-in deployment” on page 1024.
To chain multiple lookup plug-ins
1 Navigate to System > Incident Data > Lookup Plugins in the Enforce Server
administration console.
2 Click Modify Plugin Chain at the Lookup Plugins List Page.
3 In the Execution Sequence field, select the execution order from the
drop-down menu.
4 Click Save to apply the chaining configuration.

Reloading lookup plug-ins

If you have changed the configuration of a lookup plug-in, or the external data
has changed, you need to reload the lookup plug-ins. Reloading plug-ins refreshes
the system and automatically performs the enabled lookups in order and populates
the incident attributes as incidents are detected.
In addition to reloading plug-ins if changes are made, you may need to reload
lookup plug-ins if any of the following are true:
1036 Implementing lookup plug-ins
Implementing and testing lookup plug-ins

■ A plug-in was problematic and the system unloaded it, but now the problem
is fixed.
■ The network was down or disconnected for some reason, but it is functioning
properly now.
■ A plug-in stores data in a cache, and you want to update the cache manually.
To reload lookup plug-ins
1 Navigate to System > Incident Data > Lookup Plugins in the Enforce Server
administration console.
2 Click Reload Plugins to reload all enabled plug-ins.

Note: Administrators can also reload lookup plug-ins from the Custom
Attributes tab of the System > Incident Data > Attributes screen.

Troubleshooting lookup plug-ins

Symantec Data Loss Prevention provides logging and error messages specific to
lookup plug-ins. The most common errors involve the failure of a plug-in to load
due to one or more misconfigurations. If a lookup plug-in fails to load, the
exception is logged as a warning at the system events screen and in the Tomcat
log. In addition, the attribute map and plug-in execution chain is logged in the
Tomcat log.
To troubleshoot lookup plug-in errors
1 Navigate to the System > Servers > Overview screen and look for any
warnings in the Recent Error and Warning Events table at the bottom of
the page.
2 On the Enforce Server host, open the log file
\SymantecDLP\protect\Enforce\logs\tomcat\localhost.<date>.log.

3 Troubleshoot errors that appear in the Tomcat localhost log file.

Table 52-16
 Implementing lookup plug-ins 1037
Implementing and testing lookup plug-ins

4 Configure detailed logging for lookup plug-ins if the plug-in fails but errors
are not logged.
See “Configuring detailed logging for lookup plug-ins” on page 1037.
5 Refer to the troubleshooting topics for specific plug-ins.
See “Testing and troubleshooting the CSV Lookup Plug-In ” on page 1046.
See “Testing and troubleshooting LDAP Lookup Plug-ins” on page 1052.
See “Script Lookup Plug-In tutorial” on page 1061.

Table 52-16 Troubleshooting lookup plug-ins

Problem Solution

Lookup plug-in fails to load If the plug-in failed to load, search for a message in the log file similar to the
following:

SEVERE
[com.vontu.enforce.workflow.attributes.AttributeLookupLoader]
Error loading plugin [<Plugin_Name>]

Note the "Cause" section that follows this type of error message. Any such entries
will explain why the plug-in failed to load.

Attributes are not populated If the plug-in loads but attributes are not populated, look in the log for the attribute
by the lookup map. Verify that values are being populated, including for the lookup parameters
that you enabled. To do this, search for a lookup parameter key that you have
enabled, such as sender-email.

Configuring detailed logging for lookup plug-ins

The system provides detailed logging configuration for lookup plug-ins. You can
configure the logging levels for lookup plug-ins in the System > Logs >
Configuration tab. Configuring the logs for lookup plug-ins provides more detailed
log messages in the Tomcat localhost log.
See “Troubleshooting lookup plug-ins” on page 1036.
To configure and collect the logs for lookup plug-ins
1 Navigate to the System > Servers > Logs screen.
2 Select the Configuration tab.
3 For the Enforce Server, select the Custom Attribute Lookup Logging entry
from the Diagnostic Logging Setting drop-down menu.
4 Click Configure Logs.
1038 Implementing lookup plug-ins
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5 In the Collection tab, select the following Debug and Trace Logs for the
Enforce Server.
6 Click Collect Logs.
7 At the bottom of the page, click Download to download the logs. Use the
Refresh button to refresh the page. The logs are packaged in a ZIP file.
8 Open the ZIP file or save it to the file system and extract it.
9 Navigate to directory \SymantecDLPLogs.zip\Enforce\logs\tomcat.
10 Open the file localhost.<date>.log using a text editor. Open the file with
the most recent date.
11 Search for the name of the lookup plug-in. You should see several messages.
12 If necessary, verify the lookup plug-in logging properties in file
\Protect\config\ManagerLogging.properties.

com.vontu.logging.ServletLogHandler.level=FINEST
com.vontu.enforce.workflow.attributes.CustomAttributeLookup.level=FINEST
com.vontu.lookup.level=FINEST

Configuring advanced plug-in properties

The file SymantecDLP\protect\config\Plugins.properties contains several
advanced properties for configuring lookup plug-ins. Generally these properties
do not need to be modified unless necessary according to the following
descriptions.
 Implementing lookup plug-ins 1039
Implementing and testing lookup plug-ins

Table 52-17 Advanced properties for lookup plug-ins

Property Default Description

AttributeLookup. data-owner-name, The Attribute Lookup Output Parameters property is a

data-owner-email comma-separated list that specifies which parameters can be
output.parameters
modified by lookup plug-ins. Generally, the values for lookup
parameter keys are set by the system when an incident is
created. Because these parameters are used to look up custom
attribute values, they are not modified by the looked up values
if they are different from the system-defined values.

However, this property lets you modify the output of the Data
Owner Name and Data Owner Email attributes based on
retrieved values. These parameters are specified in lookup
plug-in configurations and scripts using the same syntax as
custom attributes. Both attributes are enabled by selecting the
Incident attribute group.

You can disable this feature by removing one or both of the

entries. If removed, the output for either parameter is not
changed by a looked up value.

AttributeLookup.timeout 60000 To avoid a system freeze due to unanticipated lookup problems,

the Enforce Server limits the amount of time given to each
lookup plug-in. This timeout is configured in the
com.vontu.api.incident.attributes.AttributeLookup.timeout
property in the Plug-ins.properties file.

If a lookup exceeds the 60-second default timeout, the incident

attribute framework unloads the associated plug-in. If there is
a runaway lookup the Enforce Server cannot execute that
particular lookup for any subsequent incidents. If the plug-in
times out frequently, you can extend the timeout by modifying
the period (in milliseconds).
Note: Note that increasing this value may result in slower
incident processing times because of slow attribute lookups.

AttributeLookup.auto true The automatic lookup property specifies whether the lookup
should be triggered automatically when a new incident is
detected. This property automatically populates incident
attributes using the deployed lookup plug-ins after the initial
lookup is executed.

You can disable auto-lookup by changing the property value to

false. If this property is disabled, remediators must click Lookup
for every incident.
1040 Implementing lookup plug-ins
Configuring the CSV Lookup Plug-In

Table 52-17 Advanced properties for lookup plug-ins (continued)

Property Default Description

AttributeLookup.reload false The automatic plug-in reload property specifies whether all
plug-ins should be automatically reloaded each day at 3:00 A.M.
Change to true to enable.

Configuring the CSV Lookup Plug-In

You can only configure one CSV Lookup Plug-In per Enforce Server instance.
See “About the CSV Lookup Plug-In ” on page 1021.

Table 52-18 Configuring the CSV Lookup Plug-In

Step Action Description

1 Create custom attributes. Define the custom attributes for the information you want to look up.

See “Setting the values of custom attributes manually” on page 1008.

2 Create the CSV data source file. The CSV file that contains the data to be used to populate custom
attributes for incident remediation.

See “Requirements for creating the CSV file” on page 1041.

3 Create a new CSV plug-in. See “Creating new lookup plug-ins” on page 1029.

4 Name and describe the plug-in. The name string limited to 100 characters. It is recommended that you
enter a description for the lookup plug-in.

5 Specify the file path. Provide the path to the CSV file. The CSV file must be local to the Enforce
Server.

See “Specifying the CSV file path” on page 1042.

6 Choose the File Delimiter. Specify the delimiter that is used in the CSV file. The pipe delimiter [|]
is recommended.

See “Choosing the CSV file delimiter” on page 1043.

7 Choose the File Encoding. For example: UTF-8

See “Selecting the CSV file character set” on page 1043.

 Implementing lookup plug-ins 1041
Configuring the CSV Lookup Plug-In

Table 52-18 Configuring the CSV Lookup Plug-In (continued)

Step Action Description

8 Map the attributes. Map the system and the custom attributes to the CSV file column heads
and define the keys to use to extract custom attribute data. Keys map
to column heads, not custom attributes.

The syntax is as follows:

attr.attribute_name=column_head

keys=column_head_first:column_head_next:column_head_3rd

See “Mapping attributes and parameter keys to CSV fields” on page 1043.

9 Save the plug-in. Verify that the correct save message for the plug-in is displayed.

9 Select the Lookup Parameter Define the keys which are used to extract custom attribute data.
Keys.
See “Selecting lookup parameters” on page 1030.

10 Enable the lookup plug-in. The CSV Lookup Plug-In must be enabled on the Enforce Server.

See “Enabling lookup plug-ins” on page 1034.

11 Troubleshoot the plug-in. See “Testing and troubleshooting the CSV Lookup Plug-In ” on page 1046.

11 Test the lookup plug-in.

Requirements for creating the CSV file

The CSV Lookup Plug-In requires a CSV file that is stored on the Enforce Server.
When creating a CSV file, keep in mind the following requirements:
■ The first data row of the CSV file must contain column headers.
■ Column header fields cannot be blank.
■ Make sure that there are no white spaces at the end of the column header
fields.
■ Make sure that all rows have the same number of columns.
■ Each row of the file must be on a single, non-breaking line.
■ One or more columns in the file are used as key-fields for data lookups. You
specify in the attribute mapping which column heads are to be used as key
fields. You also specify the key field search order. Common key fields typically
include email address, Domain\UserName (for Endpoint incidents), and user
name (for Storage incidents).
1042 Implementing lookup plug-ins
Configuring the CSV Lookup Plug-In

■ The data values in the key field columns must be unique. If multiple columns
are used as key fields (for example, EMP_EMAIL and USER_NAME), the combination
of values in each row must be unique.
■ Fields in data rows (other than the column header row) can be empty, but at
least one key field in each row should contain data.
■ The same type of delimiter must be used for all values in the column header
and data rows.
■ If the CSV file is read-only, make sure that the CSV file has a new line at the
end of the file. The system will attempt to add a new line to the file on execution
of the plug-in, but if the file is read-only the system cannot do this and the
plug-in will not load.
■ For Discover scan incidents, the file-owner lookup parameter does not include
a domain. To use file-owner as the key, the CSV file column that corresponds
to file-owner should be in the format owner. The format DOMAIN\owner
does not result in a successful lookup. This restriction only applies to Discover
incidents, other kinds of incidents can include a domain.
For example, the column-header row and a data-row of a pipe-delimited CSV
file might look like:

email|first_name|last_name|domain_user_name|user_name|department|manager|manager_email
jsmith@acme.com|John|Smith|CORP\jsmith1|jsmith1|Accounting|Mei Wong|mwong@acme.com

■ If more than 10% of the rows in the CSV file violate any of these requirements,
the Plugin does not load.
■ For accuracy in the lookup, the CSV file needs to be kept up to date.
See “About the CSV Lookup Plug-In ” on page 1021.

Specifying the CSV file path

To configure the CSV Lookup Plug-In you must specify the CSV File Path property
for the location of the CSV file. The CSV file must be stored locally on the Enforce
Server.
You can enter either an absolute file path or a relative file path. For example:
■ ../../../../symantecDLP_csv_lookup_file/senders2.csv

■ C:/SymantecDLP_csv_lookup_file/senders2.csv

On Windows you can use either forward or backward slashes. For example:
C:/SymantecDLP/Protect/plugins/employees.csv or
C:\SymantecDLP\Protect\plugins\employees.csv. On Linux you can only use
forward slashes.
 Implementing lookup plug-ins 1043
Configuring the CSV Lookup Plug-In

The system validates the file path when you save the configuration. If the system
cannot locate the file it reports and error and does not let you save the
configuration. Make sure that the CSV file is not open and is stored locally to the
Enforce Server.

Choosing the CSV file delimiter

Use the Delimiter property to specify the CSV file delimiter.
The following delimiters are supported:
■ Comma
■ Pipe
■ Tab
■ Semicolon
The recommended practice is to use the pipe character (“|”) as the delimiter. Use
of the comma delimiter is discouraged because commas are often included in data
fields as part of the data. For example, a street address might contain a comma.

Selecting the CSV file character set

You must specify the character set for the CSV file. The default is UTF-8.
All supported character sets are listed in the drop-down menu.

Mapping attributes and parameter keys to CSV fields

To configure the CSV Lookup Plug-In , you enter the execution code in the
Attribute Mapping field. This code maps the lookup parameter keys and custom
attributes to column headers in the CSV file. One or more attribute=column pairs
is used to map the incident attributes to the column heads. The keys property in
the attribute map identifies which columns to use for the lookup.
Here is an example CSV file attribute mapping:

attr.Store-ID=store-id
attr.Store\ Address=store_address
attr.incident-id=incident-id-key
attr.sender-email=sender-email-key
keys=sender-email-key:incident-id-key

With this example in mind, adhere to the following syntactical rules when mapping
the attributes to CSV file data.
1044 Implementing lookup plug-ins
Configuring the CSV Lookup Plug-In

Table 52-19 Attribute mapping syntax for CSV files

Example and syntax Description

Attributes map to column header names in

attr.Store-ID=store-id attribute-column pairs.

attr.attribute_name=column_head Here, Store-ID is a custom attribute and store-id

is a column header name in the CSV file.

Spaces are allowed before and after the = sign

attr.Store\ Address=store_address (except for the LDAP Lookup Plugin).

attr.attribute\ name=column\ head Blank spaces in attribute and column names

must be preceded by a backslash.

Here, the custom attribute is named Store

Address.

Each attribute-column pair is entered on a

attr.Store-ID=store-id separate line.
attr.Store\ Address=store_address

attr.attribute_name=column_head

attr.attribute_name=column_head

All syntax is case sensitive.

attr.Store\ Address=STORE_ADDRESS
The identifier attr. must be lower case.

Incident attributes must match the

system-definition string precisely.

System attributes are mapped to column header

attr.incident-id=incident-id-key names. The column name does not have to match
attr.sender-email=sender-email-key the system attribute, nor does it require the word
"key".
attr.attribute_name=column_head

Keys map the column name headers to the

keys=sender-email-key:incident-id-key incident attribute keys you want to use to look
up the attribute values. The keys map to the
keys=<column_name_1st>:column_name_2nd column header names, not to the incident
attribute names. The order of appearance
determines priority. Once the first incident is
located in the CSV file, the other attributes are
populated.

CSV attribute mapping example

Consider another mapping example for the CSV Lookup Plug-In .
 Implementing lookup plug-ins 1045
Configuring the CSV Lookup Plug-In

attr.sender-email = Email
attr.endpoint-user-name = Username
attr.file-owner = File-owner
attr.sender-ip = IP

attr.First\ Name = FIRST_NAME

attr.Last\ Name = LAST_NAME
attr.Business\ Unit = Org
attr.Manager\ Email = Mgr_email
attr.Employee\ ID = EMPLOYEE_NUMBER
attr.Phone\ Number = Phone
attr.Manager\ Last\ Name = Mgr_lastname
attr.Manager\ First\ Name = Mgr_firstname
attr.Employee\ Email = Emp_email

keys = Email:Username:File-owner:IP

Note the following about this example:

■ The first four lines map lookup parameters to column headers.
■ The remaining nine lines map custom attributes to column headers.
■ A backslash is prepended before each instance of a white-space character in
a attribute or column name. In this example, attr.Employee\ Email =
Emp_email maps the Employee Email custom attribute to the emp_email
column head.
■ The keys property identifies and sequences the keys that are used to extract
custom attribute data. Each key is separated with a colon. The order in which
you list the keys determines the search sequence. In this example (keys =
Email:Username:File-owner:IP), the plug-in first searches the Email column
for a value that matches the lookup parameter value of the sender-email
which has been passed to the plug-in. If no matching value is found, the plug-in
then searches the Username column for a value that matches the
endpoint-user-name lookup parameter. If no matching value is found in that
column, it then goes on to search the next key (File-owner), and so on.
■ The plug-in stops searching after it finds the first matching parameter
key-value pair. As a result, the order in which you list the keys column heads
is significant.
1046 Implementing lookup plug-ins
Configuring the CSV Lookup Plug-In

Testing and troubleshooting the CSV Lookup Plug-In

If the plug-in does not load, or if the plug-in loads but fails to populate the custom
attributes with looked up values, troubleshoot as follows:
To test and troubleshoot the CSV Lookup Plug-In
1 Verify that the CSV file conforms to the requirements. If more than 10% of
the rows in the CSV file violate any of the CSV file requirements, the lookup
plug-in does not load.
See “Requirements for creating the CSV file” on page 1041.
2 Verify that the delimiter you selected is the one used in the CSV file. Note
that the system defaults to comma, whereas the recommendation is pipe.
See “Choosing the CSV file delimiter” on page 1043.
3 Check the attribute mapping. There is no system-provided validation for the
attribute map. Make sure that your attribute map adheres to the syntax.
Common syntactical errors include:
■ Every entry in the attribute mapping field is case sensitive.
■ Spaces in attribute and column names must be identified by a backslash.
■ For every attribute=column pair, the data to the right of the equals sign
(=) must be a column head name.
■ Keys are column header names, not incident attributes.

4 If the plug-in fails to load, or the plug-in fails to return looked up values,
check the file
\SymantecDLP\Protect\logs\tomcat\localhost.<latest-date>.log.

■ Check that the database and table are created and that the CSV file is
loaded into the table. To verify, look for lines similar to the following:

INFO [com.vontu.lookup.csv.CsvLookup]
creating database
create table using SQL
importing data from file into table LOOKUP having columns
 Implementing lookup plug-ins 1047
Configuring the CSV Lookup Plug-In

Note: To process large files, the CSV Lookup Plug-In uses an in-memory
database (Apache Derby). Only one instance of Derby can be running per
Enforce Server. If a previous instance is running, the CSV Lookup Plug-In
does not load. If the database and table are not created, restart the Vontu
Manager service and reload the plug-in.

5 If the plug-in fails to return looked up values, check the file

\SymantecDLP\Protect\logs\tomcat\localhost.<latest-date>.log.

Look for a warning message indicating that "SQL query did not return any
results." In this case, make sure that the attribute mapping matches the CSV
column heads and reload the plug-in if changes were made.
See “Troubleshooting lookup plug-ins” on page 1036.

CSV Lookup Plug-In tutorial

This tutorial provides instructions for implementing a simple CSV Lookup Plug-In
. The purpose of this tutorial is to introduce you to the lookup plug-in feature
from a hands-on approach. If you have experience generating incidents, creating
custom attributes, and implementing lookup plug-ins this tutorial may be too
basic.
See “About the CSV Lookup Plug-In ” on page 1021.
To implement a simple CSV Lookup Plug-In
1 Create the following custom attributes at System > Attributes > Custom
Attributes:
■ Manager
■ Deparment
■ Email Address

2 Create a pipe delimited CSV file containing the following data.

SENDER|MGR|DEPT|EMAIL
emp@company.com|Merle Manager|Engineering|rmanager@company.com

3 Save the CSV file to the same volume drive where the Enforce Server is
installed.
For example:
C:\SymantecDLP\Protect\plugins\lookup\csv_lookup_file.csv.
1048 Implementing lookup plug-ins
Configuring the CSV Lookup Plug-In

4 Create a basic keyword policy.

See “Configuring policies” on page 370.
5 Generate an email incident.
To trigger the lookup for this example, the incident should be an SMTP
incident with the sender of the email being the address emp@company.com.
Change the value of sender in the CSV to match the actual value of the email
sender.
6 Create a new CSV Lookup Plug-In at System > Incident Data > Lookup Plugins
> New Plugin.
7 Configure the lookup plug-in as follows:
■ Name: CSV Lookp Plug-in
■ Description: Look up manager of email sender from CSV file.
■ CSV File Path: C:\SymantecDLP\Protect\plugins\lookup\csv_lookup_file.csv
■ Delimiter: Pipe [|]
■ File Encoding: UTF-8
■ Attribute Mapping
Map the system-defined attributes, custom attributes, and lookup
parameter keys on separate lines as follows:

attr.sender-email=SENDER
attr.Manager=MGR
attr.Department=DEPT
attr.Email\ Address=EMAIL
keys=SENDER

attr.sender-email = SENDER This is a lookup parameter key from the Sender group. It is mapped to
the corresponding column header in the CSV file.

attr.Manager = MGR This is a custom attribute defined in Step 1. It is mapped to the

corresponding column header in the CSV file.

attr.Department = DEPT This is a custom attribute defined in Step 1. It is mapped to the

corresponding column header in the CSV file.

attr.Email\ Address = EMAIL This is a space delimited custom attribute defines in Step 1. It is mapped
to the corresponding column head in the CSV file.

keys = SENDER This line declares one key to perform the lookup. The lookup ceases
once the first key is located, and the attribute values are populated.
 Implementing lookup plug-ins 1049
Configuring LDAP Lookup Plug-Ins

8 Save the plug-in configuration.

9 Select System > Lookup Plugins > Lookup Parameters and select the following
lookup parameter key group:

Sender This group contains the sender-email key.

10 Select System > Lookup Plugins > Modify Plugin Chain and enable the
plug-in.
11 Open the Incident Snapshot for the incident generated in the Step 4.
12 Verify that the unpopulated custom attributes you created in Step 1 appear
in the Attributes pane to the right of the screen.
If they do not, complete Step 1.
13 Verify that the "Lookup" button appears in the Attributes pane above the
custom attributes.
If it does not, verify that the Lookup Attributes privilege is granted to the
user.
Click Reload Plugin after making any changes.
14 Click the Lookup button.
The custom attributes should be populated with values looked up and retrieved
from the CSV file.
15 Troubleshoot the plug-in as necessary.
See “Testing and troubleshooting the CSV Lookup Plug-In ” on page 1046.

Configuring LDAP Lookup Plug-Ins

To configure one or more LDAP Lookup Plug-ins, complete these tasks.

Table 52-20 Configuring LDAP Lookup Plug-ins

Step Action Description

1 Create custom attributes. See “Configuring custom attributes” on page 1007.

1050 Implementing lookup plug-ins
Configuring LDAP Lookup Plug-Ins

Table 52-20 Configuring LDAP Lookup Plug-ins (continued)

Step Action Description

2 Configure a connection A functioning connection to an LDAP server must be available.

to the LDAP server.
See “Requirements for LDAP server connections” on page 1050.

The connection to the LDAP server can be configured from the link in the
LDAP Lookup Plug-In .

See “Configuring directory server connections” on page 132.

3 Create a new LDAP See “Creating new lookup plug-ins” on page 1029.
Lookup Plug-In .

4 Map the attributes. Map the attributes to the corresponding LDAP directory fields. The syntax is
as follows:

attr.CustomAttributeName = search_base:
(search_filter=$variable$):
ldapAttribute

See “Mapping attributes to LDAP data” on page 1051.

See “Attribute mapping examples for LDAP” on page 1052.

5 Save and enable the The LDAP Lookup Plug-In must be enabled on the Enforce Server.
plug-in.
See “Enabling lookup plug-ins” on page 1034.

6 Test and troubleshoot See “Troubleshooting lookup plug-ins” on page 1036.

the LDAP Lookup Plug-In
.

Requirements for LDAP server connections

The following conditions must be met for Symantec Data Loss Prevention to
establish a connection with an LDAP directory:
■ The LDAP directory must be running on a host that is accessible to the Enforce
Server.
■ There must be an LDAP account that the Symantec Data Loss Prevention can
use. This account must have read-only access. You must know the user name
and password of the account.
■ You must know the Fully Qualified Domain Name (FQN) of the LDAP server
(the IP address cannot be used).
■ You must know the port on the LDAP server which the Enforce Server uses to
communicate with the LDAP server. The default is 389.
 Implementing lookup plug-ins 1051
Configuring LDAP Lookup Plug-Ins

You can use an LDAP lookup tool such as Softerra LDAP Browser to confirm that
you have the correct credentials to connect to the LDAP server. Also confirm that
you have the right fields defined to populate your custom attributes.
See “About LDAP Lookup Plug-Ins” on page 1021.

Mapping attributes to LDAP data

You map system and custom attributes to LDAP data in the Attribute Mapping
field. Each mapping is entered on a separate line. The order in which these mapping
entries appear does not matter.
The attribute mapping syntax for LDAP Lookup Plug-ins is as follows:

attr.CustomAttributeName = search_base:
(search_filter=$variable$):
ldapAttribute

The following table describes this syntax in more detail.

Table 52-21 LDAP mapping syntax details

Element Description

CustomAttributeName The name of the custom attribute as it is defined in the Enforce Server.
Note: If the name of the attribute contains white-space characters, you must
precede each instance of the white space with a backslash. A white-space
character is a space or a tab. For example, you need to enter the Business Unit
custom attribute as: attr.Business\ Unit

See “Configuring custom attributes” on page 1007.

search_base Identifies the LDAP directory.

search_filter The name of the LDAP attribute (field) that corresponds to the lookup parameter
(or other variable) passed to the plug-in from the Enforce Server.

variable The name of the lookup parameter that contains the value to be used as a key to
locate the correct data in the LDAP directory.

In cases where multiple plug-ins are chained together, the parameter might be
a variable that is passed to the LDAP Lookup Plug-In by a previous plug-in.

ldapAttribute The LDAP attribute whose data value is returned to the Enforce Server. This
value is used to populate the custom attribute that is specified in the first element
of the entry.

See “About LDAP Lookup Plug-Ins” on page 1021.

1052 Implementing lookup plug-ins
Configuring LDAP Lookup Plug-Ins

Attribute mapping examples for LDAP

The following mappings provide additional attribute mapping examples for LDAP
Lookup Plug-ins.
The following example attribute mapping searches the hr.corp LDAP directory
for a record with an attribute for mail whose value matches the value of the
sender-email lookup parameter. It returns to the Enforce Server the value of the
givenName attribute for that record.

attr.First\ Name = dc=corp,dc=hr:(mail=$sender-email$):givenName

In the following attribute mapping example, a separate line is entered for each
custom attribute that is to be populated. In addition, note the use of the
TempDeptCode temporary variable. The department code is needed to obtain the
department name from the LDAP hierarchy. But only the department name needs
to be stored as a custom attribute. The TempDeptCode variable is created for this
purpose.

attr.First\ Name = cn=users:(mail=$sender-email$):firstName

attr.Last\ Name = cn=users:(mail=$sender-email$):lastName
attr.TempDeptCode = cn=users:(mail=$sender-email$):deptCode
attr.Department = cn=departments:(deptCode=$TempDeptCode$):name
attr.Manager = cn=users:(mail=$sender-email$):manager

Testing and troubleshooting LDAP Lookup Plug-ins

Complete these steps to troubleshoot LDAP Lookup Plug-In implementations.
See “About LDAP Lookup Plug-Ins” on page 1021.
To troubleshoot an LDAP Lookup plug-in
1 If the plug-in does not save correctly, verify the configuration.
Before using the LDAP Lookup Plug-In you should test the connection to the
LDAP server. You can use a lookup tool such as the Softerra LDAP Browser
to help confirm that you have the correct fields defined.
See “Configuring directory server connections” on page 132.
2 Make sure that the plug-in is enabled.
3 Make sure that you created the Custom Attribute definitions.
In particular, check the attribute mapping. The attribute names must be
identical.
 Implementing lookup plug-ins 1053
Configuring LDAP Lookup Plug-Ins

4 If you made changes, or edited the lookup parameter keys, reload the plug-in.
See “Reloading lookup plug-ins” on page 1035.
5 Select Incidents > All Incidents for the detection server you are using to
detect the incident.
6 Select (check) several incidents and select Lookup Attributes from the
Incident Actions drop-down menu. (This action looks up attribute values for
all incidents for that form of detection.
7 Check the Incident Snapshot screen for an incident. Verify that the Lookup
Custom Attributes are filled with entries retrieved from the LDAP lookup.
8 If the correct values are not populated, or there is no value in a custom
attribute you have defined, make sure that there are no connection errors
are recorded in the Incident History tab.
9 Check the Tomcat log file.
See “Troubleshooting lookup plug-ins” on page 1036.

LDAP Lookup Plug-In tutorial

This tutorial provides steps for implementing a simple LDAP Lookup Plug-In .
To implement an LDAP Lookup Plug-In
1 Create the following custom attributes at System > Attributes > Custom
Attributes:
LDAP givenName
LDAP telephoneNumber
2 Create a directory connection for the Active Directory server at System >
Settings > Directory Connections.
For example:
■ Hostname: enforce.dlp.company.com
■ Port: 389
■ Base DN: dc=enforce,dc=dlp,dc=com
■ Encryption: None
■ Authentication: Authenticated
■ username: userName
■ password: password

3 Test the connection. The system indicates if the connection is successful.

1054 Implementing lookup plug-ins
Configuring Script Lookup Plug-Ins

4 Create a new LDAP plug-in at System > Lookup Plugins > New Plugin > LDAP.
Name: LDAP Lookup Plug-in
Description: Description for the LDAP Plug-in.
5 Select the directory connection created in Step 2.
6 Map the attributes to LDAP metadata.

attr.LDAP\ givenName = cn=users:(|(givenName=$endpoint-user-name$)(mail=$sender-email$)

(streetAddress=$discoverserver$)):givenName
attr.LDAP\ telephoneNumber = cn=users:(|(givenName=$endpoint-user-name$)(mail=$sender-email$)
(streetAddress=$discoverserver$)):telephoneNumber

7 Save the plug-in. Verify that the correct save message for the plug-in is
displayed.
8 Enable the following keys at the System > Lookup Plugins > Lookup
Parameters page.
■ Incident
■ Message
■ Sender

9 Create an incident that generates one of the lookup parameters. For example,
an email incident exposes the sender-email attribute. There must be some
corresponding information in the Active Directory server.
10 Open the Incident Snapshot for the incident.
11 Click the Lookup button and verify the custom attributes created in the Step
1 are populated in the right panel.

Configuring Script Lookup Plug-Ins

Complete these steps to implement one or more Script Lookup Plug-Ins to look
up external information.
See “Writing scripts for Script Lookup Plug-Ins” on page 1055.

Table 52-22 Configuring a Script Lookup Plug-In

Step Action Description

1 Create custom See “Configuring custom attributes” on page 1007.

attributes.
 Implementing lookup plug-ins 1055
Configuring Script Lookup Plug-Ins

Table 52-22 Configuring a Script Lookup Plug-In (continued)

Step Action Description

2 Create the script. See “Writing scripts for Script Lookup Plug-Ins” on page 1055.

3 Define the Lookup Select the keys to use to extract custom attribute data.
Parameter Keys.
See “Selecting lookup parameters” on page 1030.

4 Create a new Script See “Creating new lookup plug-ins” on page 1029.
Plugin.

5 Enter the Script This value is the local path to the script engine executable on the Enforce Server
Command. host.

See “Specifying the Script Command” on page 1056.

6 Specify the Arguments. This value is the path to the Python script file to use for attribute lookup and
any command line arguments. Begin the script path with the -u argument to
improve lookup performance.

See “Specifying the Arguments” on page 1057.

7 Enable the stdin and Enable both options to help prevent script injection attacks.
stout options.
See “Enabling the stdin and stdout options” on page 1057.

8 Optionally, enable You can specify the incident types by protocol for passing attribute values to
protocol filtering. look up scripts.

See “Enabling incident protocol filtering for scripts” on page 1058.

9 Optionally, enable and You can encrypt and pass credentials required by the script to connect to
encrypt credentials. external systems.

See “Enabling and encrypting script credentials” on page 1059.

9 Save the plugin. Verify that the correct save message for the plugin is displayed.

See “Creating new lookup plug-ins” on page 1029.

10 Enable the lookup You can chain scripts together and chain scripts with other lookup plugins.
plugin.

11 Test the lookup plugin. Test the lookup plugin.

See “Troubleshooting lookup plug-ins” on page 1036.

Writing scripts for Script Lookup Plug-Ins

If you are using the Script Lookup Plug-In , you must write a script to extract data
and populate the custom attributes of each incident. The Script Lookup Plug-In
1056 Implementing lookup plug-ins
Configuring Script Lookup Plug-Ins

passes attributes to scripts as key-value pairs. In return, scripts must output a

set of key-value pairs to standard out (stdout). The plugin uses these key-value
pairs to populate custom attributes.
When writing scripts for use with the Script Lookup Plug-In , adhere to the
following syntax requirements and calling conventions, including how a script
plugin passes arguments to scripts and the required format for script output.

Table 52-23 Script plugin calling conventions

Convention Syntax Description

Input attribute_name=attribute_value The Script Lookup Plug-In passes attributes to scripts as

command-line parameters in the form key=value.

Output stdout To work with the plugin and populate attributes, scripts
must output a set of key-value pairs to standard out
(stdout).

Newline characters must separate output key-value pairs.

For example:

host-name=mycomputer.company.corp
username=DOMAIN\bsmith

exit code 0 Scripts must exit with an exit code of ‘0.’ If scripts exit
with any other code, the Enforce Server assumes that an
error has occurred in script execution and terminates the
attribute lookup.

error handling stderr to a file Scripts cannot print out error or debug information.
Redirect stderr to a file. In Python this would be:

fsock = open("C:\error.log", "a") sys.stderr = fsock

See “Example script” on page 1063.

Specifying the Script Command

The Script Command field specifies the path to the script engine for executing
the script. These instructions are specific to Python.
To specify the script command
1 Download and install version 2.6 of Python on the Enforce Server host, if you
have not already done so.
2 Enter the local path to the python.exe executable file.
 Implementing lookup plug-ins 1057
Configuring Script Lookup Plug-Ins

For example:
■ Windows: c:\python26\python.exe
■ Linux: /usr/local/bin/python

3 Enter the Arguments.

See “Specifying the Arguments” on page 1057.

Specifying the Arguments

The Arugments field specifies the path to the script and any additional command
line arguments. These instructions are specific to Python.
To specify the Arguments
1 After writing a script, copy it to the Enforce Server host, or to a file share
that is accessible by the Enforce Server.
2 Make sure that permissions are set correctly on the directory and the script
file.
Both the directory and file must be readable and executable by the protect
user.
3 Enter the -u argument in the Argument field.
This command forces stdin, stdout, and stderr to be totally unbuffered,
which improves lookup performance.
4 Enter the fully qualified path to the script file.
For example:
■ Windows: -u,c:\python26\scripts\ip-lookup.py
■ Linux: -u,/opt/python26/scripts/ip-lookup.py

Note: The system does not validate the file location.

5 Save the plugin configuration.

Enabling the stdin and stdout options

When you configure a Script Lookup Plug-In you can choose to Enable stdin and
Enable stdout. If these options are enabled, the system checks the script input
and output for unsafe characters such as command delimiters and logical operators
that could be exploited by a UNIX or Windows shell.
1058 Implementing lookup plug-ins
Configuring Script Lookup Plug-Ins

Because you are running the script on the host where the Enforcer Server is
installed, you should enable both options, unless you are certain that your script
is safe. If enabled, the logs will indicate invalid and unescaped characters.
See Table 52-24 on page 1058.

Table 52-24 Invalid characters for attribute names

Invalid character Description

Empty string Empty strings are not allowed.

@ Attributes containing these characters will be ignored during processing if the stdin
and stdout options are enabled.
.

$ Attributes containing the $ and % characters are allowed if these characters are properly
escaped by a backslash.
%

Enabling incident protocol filtering for scripts

Optionally, you can specify the incident types (by protocol) for passing attribute
values to look up scripts. If you do not enable protocol filtering, your Script Lookup
Plug-In will apply to all incidents.
For example, you can limit the passing of attribute values to those incidents that
are detected over HTTP. When you filter by protocol, Enforce Server still captures
the incidents that are detected over other protocols. But it does not use the Script
Lookup Plug-In to populate those incidents with attribute values.
 Implementing lookup plug-ins 1059
Configuring Script Lookup Plug-Ins

To enable protocol filtering

1 Navigate to the System > Lookup Plugins > Edit Script Lookup Plugin screen
in the Enforce Server administration console.
See “Configuring Script Lookup Plug-Ins” on page 1054.
2 At the Script Lookup Plugin screen, select (check) the Enable protocol
filtering option.
This action displays all the protocols that are available for filtering. Note that
protocols are detection server-specific.

Note: Network and Mobile protocols are configured at the System > Settings
> Protocols screen. Endpoint protocols are configured at the System > Agents
> Agent Configuration screen. Discover protocols are configured at the
Policies > Discover Scanning > Discover Targets. And, once an incident is
generated, the protocol value for the incident is displayed at the top of the
Incident Snapshot screen.

3 Specify the protocols you want to include in the lookup.

If you enable protocol filtering, you must select at least one protocol on which
to filter.
4 Save the plug-in configuration.

Enabling and encrypting script credentials

If your script is connecting to an external system that requires credentials, you
can enable credentials for your script. If you enable credentials through the user
interface option, you must encrypt them. Symantec Data Loss Prevention provides
the Credential Utility, which lets you encrypt credentials and use them to
authenticate to an external data source.
When the Enforce Server invokes the Script Lookup Plug-In , the plug-in decrypts
any credentials at runtime and passes them to the script as attributes. The
credentials are then available for use within the script. The Credential Utility uses
the same platform encryption keys that are used to protect user accounts and
incident information within the Symantec Data Loss Prevention system.
See Table 52-25 on page 1060.
If you choose to use credentials in clear text, you must hard code them into your
script. In this case, the Enforce Server passes the values you exported to the
clear-text credential file. These values are passed in the following format:
key=value.
1060 Implementing lookup plug-ins
Configuring Script Lookup Plug-Ins

Table 52-25 Enabling and encrypting credentials

Step Action Description

1 Create a text file that contains the The format of this file is key=value, where key is the name
credentials that are needed by the script of the credential.
to access the appropriate external
For example:
systems.
username=msantos password=esperanza9

2 Save this credential file to the file The file needs to be saved to the Enforce Server temporarily.
system local to the Enforce Server.
For example: C:\temp\MyCredentials.txt.

3 On the Enforce Server, open a shell or This directory on the Enforce Server contains the Credential
command prompt and change Generator Utility.
directories to
\SymantecDLP_home\Protect\bin.

4 Issue a command to generate an The command syntax is as follows:

encrypted credential file.
CredentialGenerator.bat
in-cleartext-filepath out-encrypted-filepath

For example on Windows you would issue the following:

CredentialGenerator.bat C:\temp\MyCredentials.txt
C:\temp\MyCredentialsEncrypted.txt

You can open this file in a text editor to verify that it is

encrypted.

5 Select Enable Credentials. At the System > Lookup Plugins > Edit Script Lookup
Plugin page, select (check) the Enable Credentials option.

6 Enter the Credentials File Path. Enter the fully qualified path to the encrypted credentials
file. For example:

C:\temp\MyCredentialsEncrypted.txt.

7 Save the plug-in. You can now use the encrypted credentials to authenticate
to an external system.

8 Secure the clear-text credentials file. If you want to save the clear-text credentials file, move it
to a secure location. It can be useful to save the file if you
plan to update and re-encrypt it later. If you do not want
to save the file, delete it now.

9 Reload the lookup plug-in. See “Managing and configuring lookup plug-ins”
on page 1027.
 Implementing lookup plug-ins 1061
Configuring Script Lookup Plug-Ins

Chaining multiple Script Lookup Plug-Ins

All lookup plug-ins receive a reference to the same attribute map. This reference
enables you to chain lookup plug-ins. Whether plug-in chaining is necessary to
populate your custom attributes varies according to circumstances. Consider the
following example scenarios.
Getting the right key for Network email incidents is usually straightforward. The
email address of the message sender is automatically captured as the sender-email
lookup parameter. That lookup parameter can be used as a key to unlock the
information about the sender that is stored in an external source. In this instance,
it is not necessary to chain multiple plug-ins.
For Web or FTP incidents, a plug-in chain might be necessary. The lookup
parameter that is captured for these kinds of incidents is the IP addresses of the
originating hosts. But IP addresses usually are not static identifiers like email
addresses. Therefore, you may need to do successive lookups to get to a static
identifier that can be used as an information key.
You can write a script to pass the sender-ip lookup parameter to a DNS server
to get the host name. You can then write another script to pass that host name to
an asset management system. From the asset management system you can obtain
the user name or email of the person using that computer. That user name or
email can then be used as the “key” to unlock the rest of the data. This plug-in
chain would have three links:
1. The Script Lookup Plug-In that uses the IP address to return the host name.
2. The Script Lookup Plug-In that uses the host name to return the user name or
email.
3. The CSV Lookup Plug-In that uses the user name or email to return the rest of
the custom attribute data.
In this example, you must create a new Host_Name temporary variable to store
the host name information. This temporary variable and its value are then available
to the second script and subsequent plugins.

Script Lookup Plug-In tutorial

Complete the following tutorial to implement a Script Lookup Plug-In . This tutorial
assumes basic hands-on familiarity with implementing lookup plugins. To obtain
this familiarity, complete the "CSV Lookup Plug-In tutorial."
See “CSV Lookup Plug-In tutorial” on page 1047.
1062 Implementing lookup plug-ins
Configuring Script Lookup Plug-Ins

To implement a Script Lookup Plug-In

1 Download and install Python 2.6 on the system where the Enforce Server is
installed.
For example: C:\python26.
2 Copy the "Example script" provided in this chapter to a text file and save it
to a directory on the Enforce Server host as Script-Plug-In.py.
For example: C:\python26\scripts\Script-Plug-In.py.
See “Example script” on page 1063.
3 Open this script in a Python IDE such as the Wing IDE (available at
http://www.wingware.com/).
4 Review the comments in this script and run it.
■ Comment out line 18.
■ Run the script. It returns "Script-attribute=script value".
■ Uncomment line 18 so it is not processed.

5 Create the following custom attribute: Script-attribute.

6 Select New Plugin > Script to create a new Script Lookup Plug-In .
See “Creating new lookup plug-ins” on page 1029.
7 Configure the Script Lookup Plug-In.
Use the following parameters:
■ Script Command: C:\python26\python.exe
■ Arguments: -u,C:\python26\scripts\Script-Plugin.py

8 Save the plugin and ensure that the plugin loads successfully as indicated by
the system message.
9 Enable the following lookup parameters: Incident, Message, and Sender.
10 Generate an incident that passes the date-sent attribute.
11 Go to the Incident Snapshot for the new incident and click Lookup.
12 Verify that the Script-attribute custom attribute is populated with the
value of script value.
 Implementing lookup plug-ins 1063
Configuring Script Lookup Plug-Ins

13 If the custom attribute is not populated, check the log file

C:\SymantecDLP\Protect\logs\tomcat\localhost.<latest_date>.log.

If Script-attribute=null check the script. Review the comments in the

provided script and ensure that there is no space between the attribute=value
pair.
See “Troubleshooting lookup plug-ins” on page 1036.
14 Explore enabling optional properties for the Script Lookup Plug-In , including
stdin/stdout, protocol filtering, and credentials.
See “Enabling the stdin and stdout options” on page 1057.
See “Enabling incident protocol filtering for scripts” on page 1058.
See “Chaining multiple Script Lookup Plug-Ins” on page 1061.

Example script
The following script is provided as an example for the Script Lookup Plug-In . It
is written in Python 2.6. The purpose of this script is to provide a basic working
example for writing scripts in Python that can be used for Script Lookup Plugins.
This script contains the date-sent lookup parameter key and returns the "script
value" for the custom attribute Script-attribute.
See “Script Lookup Plug-In tutorial” on page 1061.

Note: Because Python is strict about indentation requirements, if you copy/paste

this example script you will likely need to reformat it so that it appears exactly
as displayed here.
1064 Implementing lookup plug-ins
Configuring Script Lookup Plug-Ins

__name__="__main__"

import sys, os, traceback

import commands

# Switch this to 0 when in production mode.

debugMode = 1

def main(args):

try:

attributeMap = parseInput(args)

# This is the lookup parameter key.

# Comment-out this line for testing the script standalone.
dateSent = attributeMap["date-sent"]

# "Script-attribute" is the custom attribute.

# "script value" is the return value.
# You cannot have a space between the custom attribute and the
# attribute value. For example, "Script-attribute = script value"
# Does not work for Script Lookup Plugins.
print "Script-attribute=script value"
return

except:
error()
print "something went wrong!"
return "something went wrong!"

def parseInput(args):

# Input data is a list of key value pairs seperated by carraige return

# Create a python dictionary to create the attribute map
attributeMap = {}
delimiter = "="
for item in args:
if delimiter in item:
tuple = item.split(delimiter)
attributeMap[tuple[0]] = tuple[1]
return attributeMap

def error():
# "SCRIPT PROCESSING ERROR"
if(debugMode):
 Implementing lookup plug-ins 1065
Configuring migrated Custom (Legacy) Lookup Plug-Ins

#print "Script Processing Error"

traceback.print_exc(file=sys.stdout)
return ""

#-----------------------------------------------------------------
# DOS-style shells (for DOS, NT, OS/2):
#-----------------------------------------------------------------
def getstatusoutput(cmd):
""" Return (status, output) of executing cmd in a
shell."""

pipe = os.popen(cmd + ' 2>&1', 'r')

text = pipe.read()
sts = pipe.close()
if sts is None: sts = 0
if text[-1:] == '\n': text = text[:-1]
return sts, text

#-----------------------------------------------------------------
# Entry Point
#-----------------------------------------------------------------

if __name__ == "__main__":

if(len(sys.argv) == 0):
error()
else:
main(sys.argv)

Configuring migrated Custom (Legacy) Lookup

Plug-Ins
These steps presume that you have existing Custom Java Lookup Plug-Ins deployed
to a pre-12.0 version of Symantec Data Loss Prevention and that you have upgraded
the system to Symantec Data Loss Prevention version 12.0. In this case a Custom
Java Lookup Plug-In will be migrated to a Custom (Legacy) Lookup Plug-In and
will appear in the user interface for verification and testing.
See “About Custom (Legacy) Lookup Plug-Ins” on page 1022.
1066 Implementing lookup plug-ins
Configuring migrated Custom (Legacy) Lookup Plug-Ins

Table 52-26 Implementing Custom (Legacy) Lookup Plugins

Step Action Description

1 Create custom attributes. Create the custom attributes that your Custom (Legacy)
Lookup Plugin will retrieve the values for.

See “About using custom attributes” on page 1006.

2 Edit the Custom (Legacy) Plugin. Successful upgrade should import the Custom (Legacy)
Lookup Plugin to the user interface where you can enable
it.

You can update the name and description if necessary.

See “Creating new lookup plug-ins” on page 1029.

3 Verify the Plugin Class. After upgrade, the class name should be populated from
the Plugins.properties file.

4 Verify the Required JARs. After upgrade, the JAR files previously copied to the
Enforce Server should appear in this field.

5 Enable the plug-in. Turn the plug-in On.

See “Enabling lookup plug-ins” on page 1034.

6 Enable parameter lookup keys. Select the keys to trigger attribute lookup.

See “Selecting lookup parameters” on page 1030.

7 Create a policy and generate an incident of For example, create a keyword policy and generate an SMTP
the type expected by the plug-in. network incident that passes the sender-name attribute.

8 Verify that the custom attributes are Check the Incident Snapshot for the populated attributes.
updated.
See “Troubleshooting lookup plug-ins” on page 1036.
 Section 7
Monitoring and preventing
data loss in the network

■ Chapter 53. Implementing Network Monitor

■ Chapter 54. Implementing Network Prevent for Email

■ Chapter 55. Implementing Network Prevent for Web

1068
 Chapter 53
Implementing Network
Monitor
This chapter includes the following topics:

■ Implementing Network Monitor

■ Choosing a network packet capture method

■ About packet capture software installation and configuration

■ Configuring the Network Monitor Server

■ Enabling GET processing with Network Monitor

■ Creating a policy for Network Monitor

■ Testing Network Monitor

Implementing Network Monitor

Network Monitor captures and analyzes traffic on your network, detecting
confidential data, and significant traffic metadata over protocols you specify. For
example, SMTP, FTP, HTTP, and various IM protocols. You can configure a Network
Monitor Server to monitor custom protocols and to use a variety of filters (per
protocol) to filter out low-risk traffic.
To monitor network traffic, a Network Monitor Server requires:
■ A network Switch Port Analyzer (SPAN) or network tap to acquire traffic on
the target network.
■ A card on the Network Monitor Server host to capture the network traffic that
is acquired from the SPAN or tap. Either a network interface card (NIC) or
high-speed packet capture adapter (Endace or Napatech) can be used. (Note
1070 Implementing Network Monitor
Implementing Network Monitor

that in addition to this traffic-capturing card, a separate NIC is required for

communication between the Network Monitor Server and the Enforce Server.
WinPcap is required for this purpose.)
■ Packet capture software. When you use a NIC for packet capture, packet capture
software must be installed on the Network Monitor Server host. When you use
a high-speed packet capture adapter card (Endace or Napatech), the card must
use the correct driver.
See “Choosing a network packet capture method” on page 1071.

Figure 53-1 A basic Network Monitor setup

To implement packet capture and set up a Network Monitor, perform the following
high-level tasks:
1 Install and set up the network tap or SPAN that captures network traffic.
2 Choose a method of capturing network traffic.
See “Choosing a network packet capture method” on page 1071.
3 Install the necessary NIC or high-speed packet capture adapter (Endace or
Napatech) on the Network Monitor as described by the card documentation.
Also use the appropriate Symantec Data Loss Prevention Installation Guide
(Windows or Linux). This NIC or high-speed packet capture adapter (Endace
or Napatech) must operate in promiscuous mode so that all inbound and
outbound traffic is relayed through this port.
See the Symantec Data Loss Prevention System Requirements and Compatibility
Guide for information about supported NICs and high-speed packet capture
adapters.
4 On a Windows platform, install WinPcap if it is not already installed.
See “Installing WinPcap on a Windows platform” on page 1073.
 Implementing Network Monitor 1071
Choosing a network packet capture method

5 If necessary, update the driver for the high-speed packet capture adapter.
See “Updating the Endace card driver” on page 1073.
See “Installing and updating the Napatech network adapter and driver
software” on page 1073.
6 Disable checksum offloading for the NIC that is used to monitor network
traffic. For Linux platforms, use the following commands to disable checksum
offloading for both receiving and transmitted data on the eth0 interface:

ethtool -K eth0 tx off

ethtool -K eth0 rx off

To see the current status of checksum offloading, use the ethtool -k eth0
command.

Note: Certain checksum algorithms work by modifying network packets and

adding empty checksums. Empty checksums can cause network capture
drivers to drop the packets, in which case they are not evaluated by Network
Monitor.

7 Use a protocol analyzer such as Wireshark to validate traffic on the tap or

SPAN that feeds into your NIC or high-speed packet capture adapter (Endace
or Napatech).
8 Configure the Network Monitor Server.
See “Configuring the Network Monitor Server” on page 1075.
9 Create and deploy a test policy for Network Monitor.
See “Creating a policy for Network Monitor” on page 1077.
10 Test the system by generating an incident against your test policy.
See “Testing Network Monitor” on page 1078.

Choosing a network packet capture method

You can use three different methods to capture the network traffic that is acquired
by a SPAN or tap:
■ NIC on a Windows platform. Windows platforms using a NIC for packet capture
require a WinPcap library on the Network Monitor Server host. If WinPcap is
not already on the Network Monitor Server host, you must install it. See the
Symantec Data Loss Prevention System Requirements and Compatibility Guide
for information about the supported version of the WinPcap library.
1072 Implementing Network Monitor
About packet capture software installation and configuration

See “Installing WinPcap on a Windows platform” on page 1073.

■ NIC on a Linux platform. Linux platforms using a NIC use native Linux packet
capture which requires PACKET_MMAP support in the kernel. Support for
PACKET_MMAP is included by default in supported Linux kernels.
■ High-speed packet capture adapter on either Windows or Linux platforms. An
Endace DAG network measurement card can be used on Linux 64-bit platforms
to provide network packet capture in high-traffic environments. Alternatively,
a Napatech network adapter can be used to provide network packet capture.
See the Symantec Data Loss Prevention System Requirements and Compatibility
Guide for information about supported high-speed packet capture adapters
and drivers.

Table 53-1 Packet capture alternatives

Packet capture type Platform Software

NIC Windows WinPcap

Linux Native

High-speed packet capture Windows 64-bit Napatech

adapter

Linux 64-bit Endace

Napatech

About packet capture software installation and

configuration
Consider the following requirements when installing and configuring packet
capture software:
■ On Windows platforms, packet capture requires the WinPcap software which
may need to be installed if it is not already present.
■ On Linux platforms, PACKET_MMAP performs packet capture. PACKET_MMAP is a
standard Linux component and should not need to be installed or modified.
However, you also require apr-util, apr, expat, and other third-party packages
to run a Network Monitor Server on Linux. See the Symantec Data Loss
Prevention System Requirements and Compatibility Guide for more information.
■ If you use a high-speed packet capture adapter (Endace or Napatech), you will
need to install or update the adpater driver software.
See “Installing WinPcap on a Windows platform” on page 1073.
 Implementing Network Monitor 1073
About packet capture software installation and configuration

See “Updating the Endace card driver” on page 1073.

See “Installing and updating the Napatech network adapter and driver software”
on page 1073.

Installing WinPcap on a Windows platform

If WinPcap software is not already present on a Windows platform, you must
install it. See the Symantec Data Loss Prevention System Requirements and
Compatibility Guide for information about the supported version of the WinPcap
library. Additional details can be found in the Symantec Data Loss Prevention
Installation Guide.
See “About managing Symantec Data Loss Prevention servers” on page 190.
To install WinPcap on the Network Monitor detection server:
1 Copy the WinPcap files to a local drive.
2 Run the WinPcap executable and follow the installation instructions.
3 Reset the Windows registry settings by running pcapstart.reg and follow
the instructions that are displayed.

Updating the Endace card driver

If you upgrade a Network Monitor Server to the current version, you may need
to update the Endace card driver. See the Symantec Data Loss Prevention System
Requirements and Compatibility Guide for information about supported Endace
cards and drivers.
Updating an Endace Driver
1 Install the new driver as described by Endace documentation.
2 Reconfigure the Network Monitor to use the new driver.
See “Configuring the Network Monitor Server” on page 1075.

Installing and updating the Napatech network adapter and driver

software
This topic provides instructions for installing the Napatech high-speed packet
capture adapter. Refer to the Symantec Data Loss Prevention System Requirements
and Compatibility Guide for information about the supported Napatech card and
driver versions.
1074 Implementing Network Monitor
About packet capture software installation and configuration

Table 53-2 Installing and updating the Napatech network adapter

Step Action Description

1 Install the supported Refer to the Symantec Data Loss Prevention System Requirements and Compatibility
Napatech Guide for the supported Napatech card version.
high-speed packet
capture adapter.

2 Install the Napatech For supported versions of the Napatech driver, see the Symantec Data Loss Prevention
driver. System Requirements and Compatibility Guide.

3 Verify Napatech For Windows:

installation.
■ Make sure that the Napatech library file CommonLib.dll is present in directory
\<windows_installation_drive>\Windows\System32\.
For Linux:

■ The Napatech driver has to be compiled from source as a part of installing

Napatech software package (see step 2 above).
■ The Napatech driver has to be loaded using the script
/opt/napatech/bin/load_driver.sh once for each computer bootstrap
before capturing packets. Note for RHEL Linux, edit the file
/etc/rc.d/rc.local to append /opt/napatech/bin/load_driver.sh
and restart the system.
■ Verify that the Napatech library file libntcommoninterface.so is present in
directory /<nt_installation_directory>/lib/.

4 Configure the Deploy a Network Monitor detection server and configure the Advanced Server
Network Monitor settings:
detection server.
■ Enable Napatech packet capture by setting the following flag to true:
PacketCapture.IS_NAPATECH_ENABLED.
■ Update the value to the path to the Napatech driver tools directory by entering
the path in the field for the following entry:
PacketCapture.NAPATECH_TOOLS_PATH.
■ For example, on Windows Napatech tools binaries are included as part of the
Napatech software package:
\ntcap_package_windows_<version>\tools\nt_tools_windows_<version>.zip\tools\binary\Tools\<architecture>\
■ For Linux, Napatech tools are compiled from source as part of Napatech
software package installation process:
/<nt_installation_directory>/bin/

See “Advanced server settings” on page 215.

 Implementing Network Monitor 1075
Configuring the Network Monitor Server

Configuring the Network Monitor Server

You configure the Network Monitor Server by selecting the network interface
(NIC, Napatech, or Endace card) to use for traffic capture. You must also select
which protocols to monitor.
To configure a Network Monitor Server
1 In the Enforce Server administration console, go to System > Servers >
Overview and click the Network Monitor Server. The Server Detail screen
appears.
If you do not use a high-speed packet capture adapter (Endace or Napatech)
for traffic capture, skip to step 6.
2 If you use a high-speed packet capture adapter (Endace or Napatech), click
Server Settings.
3 For Endace cards, enter the appropriate values in the following fields:

PacketCapture.ENDACE_BIN_PATH Type the path to the Endace \bin

directory.

By default, this directory is located at

endace_home\dag-version\bin. Note
that you cannot use variables (such as
%ENDACE_HOME%) in any of the fields
that are listed here.

PacketCapture.ENDACE_LIB_PATH Type the path to the Endace \lib

directory

PacketCapture.ENDACE_XILINX_PATH Type the path to the Endace \xilinx

directory.

PacketCapture.IS_ENDACE_ENABLED Change the value to true.

4 For Napatech cards, enter the appropriate values in the following fields:

PacketCapture.IS_NAPATECH_ENABLED Change the value to true.

PacketCapture.NAPATECH_TOOLS_PATH Type the path to the Napatech \tools

directory.

5 Stop and restart the Network Monitor Server. Symantec Data Loss Prevention
displays the Endace card in the Network Interfaces field of the Configure
Server screen for the Network Monitor Server.
1076 Implementing Network Monitor
Enabling GET processing with Network Monitor

6 Go to System > Servers > Overview and again click on the Network Monitor
Server.
7 On the Server Detail screen, click Configure. You can verify or modify settings
in the general section at top and on the Packet Capture tab, as described in
subsequent steps.
8 Leave the Source Folder Override field blank to accept the default directory
for buffering network streams before the Network Monitor Server processes
them. (This setting is the recommended setting.) To specify a custom buffer
directory, type the full path to the directory.
9 Leave the Archive Folder field blank.
10 Select one or more Network Interfaces (NICs, Napatech cards, or Endace
cards) through which the Network Monitor Server should capture traffic.
11 In the Protocol section, select one or more protocols to monitor. For example,
select the check boxes for SMTP, HTTP, and FTP. For a protocol to appear in
this section, it must already be configured on the global Protocols screen in
the Enforce Server.
See the online Help associated with the Configure Server screen.
Symantec Data Loss Prevention has standard settings for each protocol in
the list. To modify a protocol’s settings, click the Pencil icon next to the
appropriate protocol. For details on modifying protocol settings, see the
online Help.
12 Click Save.
13 Stop and restart the Network Monitor Server. Click Recycle next to the Status
entry in the Server Detail screen.

After selecting a network interface and choosing protocols, you may want to create
a test policy to test your deployment.
See “Testing Network Monitor” on page 1078.
See “Enabling GET processing with Network Monitor” on page 1076.
See “Creating a policy for Network Monitor” on page 1077.

Enabling GET processing with Network Monitor

By default, Network Monitor does not process HTTP GET commands. GET
processing is disabled because it involves high traffic volume, and because sensitive
data is rarely lost in GET commands. If you require GET processing and the
Network Monitor Server can handle the increased load, follow this procedure to
configure Network Monitor to process GET commands.
 Implementing Network Monitor 1077
Creating a policy for Network Monitor

To enable GET processing

1 Ensure that the L7.processGets advanced server setting on the Network
Monitor Server true (which is the default).
2 Change the PacketCapture.DISCARD_HTTP_GET advanced server setting
on the Network Monitor Server from the default setting of true to false.
3 Reduce the size of the L7.minSizeofGetURL advanced server setting on the
Network Monitor Server from the default of 100. Reduce it to a number of
bytes smaller than the length of the shortest URL from which you want to
process GET commands. A minimum URL size of 10 should cover all cases.
Note, however, that reducing the minimum size of GETs increases the number
of requests that have to be processed, which increases the server's traffic
load.
See “Enabling GET processing for Network Prevent for Web” on page 1102.

Creating a policy for Network Monitor

For Network Monitor, you can create the policies that include any of the standard
response rules. To set up a response rule action, go to Manage > Policies >
Response Rules and click Add Response Rules.
See “Workflow for implementing policies” on page 337.
To create a test policy for Network Monitor
1 In the Enforce Server administration console, create a response rule that
includes one of the actions that applies to Network Monitor. For example,
create a response rule that includes the All: Set Status action.
See “Configuring response rules” on page 819.
2 Create a policy that incorporates the response rule you configured in the
previous step.
For example, create a policy called Test Policy as follows:
■ Include a Content Matches Keyword detection rule that matches on the
keyword test_dlp_secret_keyword.
■ Include an All: Set Status response rule.
■ Associate it with the Default policy group.
See “Adding a new policy or policy template” on page 369.
See “Configuring policies” on page 370.
1078 Implementing Network Monitor
Testing Network Monitor

Testing Network Monitor

You can test Network Monitor by sending an email that violates your test policy.
To test your system
1 Access an email account that routes messages through the MTA.
2 Send an email that contains confidential data. For example, send an email
that contains the keyword test_dlp_secret_keyword.
3 In the Enforce Server administration console, go to Incidents > Network and
click Incidents - New. Look for the resulting incident. For example, search
for an incident entry that includes the appropriate timestamp and policy
name.
4 Click on the relevant incident entry to see the complete incident snapshot.
See “About Symantec Data Loss Prevention reports” on page 935.
See “Configuring the Network Monitor Server” on page 1075.
See “Creating a policy for Network Monitor” on page 1077.
 Chapter 54
Implementing Network
Prevent for Email
This chapter includes the following topics:

■ Implementing Network Prevent for Email

■ About Mail Transfer Agent (MTA) integration

■ Configuring Network Prevent for Email Server for reflecting or forwarding

mode

■ Specifying one or more upstream mail transfer agents (MTAs)

■ Creating a policy for Network Prevent for Email

■ About policy violation data headers

■ Enabling policy violation data headers

■ Testing Network Prevent for Email

Implementing Network Prevent for Email

Network Prevent for Email monitors and analyzes outbound email traffic in-line
and (optionally) blocks, redirects, or modifies email messages as specified in your
policies. Network Prevent for Email integrates with industry-standard mail transfer
agents (MTAs) and hosted email services to let you monitor and stop data loss
incidents over SMTP. Policies that are deployed on the Network Prevent for Email
Server direct the Prevent-integrated MTA or hosted email server. The
Prevent-integrated mail server blocks, reroutes, and alters email messages based
on specific content or other message attributes.
1080 Implementing Network Prevent for Email
Implementing Network Prevent for Email

Note: Review the Symantec Data Loss Prevention MTA Integration Guide for
Network Prevent for Email to determine your preferred integration architecture
before you continue with the implementation.

Figure 54-1 shows an integration of Network Prevent for Email Server with a
next-hop MTA that you manage in the network. As an alternative, you can integrate
Network Prevent for Email Server with a hosted email server that resides outside
the firewall.

Figure 54-1 A basic Network Prevent for Email setup

First, you need to know the high-level steps that are required for implementing
Network Prevent for Email. You can check the cross-referenced sections for more
details.
 Implementing Network Prevent for Email 1081
About Mail Transfer Agent (MTA) integration

To implement Network Prevent for Email

1 Choose an integration architecture and configure your Mail Transfer Agent
(MTA) to work with the Network Prevent for Email Server.
See “About Mail Transfer Agent (MTA) integration” on page 1081.
2 Configure the Network Prevent for Email Server to work within your chosen
integration architecture.
See “Configuring Network Prevent for Email Server for reflecting or
forwarding mode” on page 1082.
3 If you plan to encrypt or quarantine email messages, configure the necessary
third-party encryption server(s) or archiving servers. For details, see your
product’s documentation.
4 Create and deploy a policy for Network Prevent for Email.
See “Creating a policy for Network Prevent for Email” on page 1088.
5 Test the system by generating an incident against your test policy.
See “Testing Network Prevent for Email” on page 1091.

About Mail Transfer Agent (MTA) integration

Choose an integration architecture and configure your Mail Transfer Agent (MTA)
to work with the Network Prevent for Email Server.
Review the Symantec Data Loss Prevention MTA Integration Guide for Network
Prevent for Email. Familiarize yourself with the compatible integration
architectures.
The Network Prevent for Email Server can operate with your MTA in either
reflecting or forwarding modes:
■ Reflecting mode. In reflecting mode, the Network Prevent for Email Server
receives messages from an MTA. It analyzes them, and then returns them to
the same MTA (with instructions to block the messages or process them
downstream). In essence, the server returns messages to the same IP address
from which they arrived.
■ Forwarding mode. In forwarding mode, the Network Prevent for Email Server
receives messages from an upstream MTA. It analyzes them, and then sends
them on to a downstream MTA or hosted email service provider. You can
specify a list of IP addresses or hostnames for the next-hop mail server in the
Network Prevent for Email Server configuration.
You can also configure a single Network Prevent for Email Server to work with
multiple MTAs.
1082 Implementing Network Prevent for Email
Configuring Network Prevent for Email Server for reflecting or forwarding mode

See “Specifying one or more upstream mail transfer agents (MTAs)” on page 1087.

Configuring Network Prevent for Email Server for

reflecting or forwarding mode
Use the following instructions to configure Network Prevent for Email Server to
operate either in reflecting or forwarding mode.
To configure the Network Prevent for Email Server
1 Log on to the Enforce Server administration console for the Symantec Data
Loss Prevention system you want to configure.
2 Select System > Servers > Overview to display the list of configured servers.
3 Click the name of the Network Prevent for Email Server that you want to
configure.
4 Click Configure.
5 Deselect Trial Mode to enable blocking of email messages that are found to
violate Symantec Data Loss Prevention policies.
 Implementing Network Prevent for Email 1083
Configuring Network Prevent for Email Server for reflecting or forwarding mode

6 Configure reflecting mode or forwarding mode by modifying the following

fields:

Field Description

Next Hop Configuration Select Reflect to operate Network Prevent

for Email Server in reflecting mode. Select
Forward to operate in forwarding mode.
Note: If you select Forward you must also
select Enable MX Lookup or Disable MX
Lookup to configure the method used to
determine the next-hop MTA.

Enable MX Lookup This option applies only to forwarding

mode configurations.

Select Enable MX Lookup to perform a

DNS query on a domain name to obtain
the mail exchange (MX) records for the
server. Network Prevent for Email Server
uses the returned MX records to select the
address of the next hop mail server.

If you select Enable MX Lookup, also add

one or more domain names in the Enter
Domains text box. For example:

companyname.com

Network Prevent for Email Server

performs MX record queries for the
domain names that you specify.
Note: You must include at least one valid
entry in the Enter Domains text box to
successfully configure forwarding mode
behavior.
1084 Implementing Network Prevent for Email
Configuring Network Prevent for Email Server for reflecting or forwarding mode

Field Description

Disable MX Lookup This field applies only to forwarding mode

configurations.

Select Disable MX Lookup if you want to

specify the exact hostname or IP address
of one or more next-hop MTAs. Network
Prevent for Email Server uses the
hostnames or addresses that you specify
and does not perform an MX record
lookup.

If you select Disable MX Lookup, also add

one or more hostnames or IP addresses
for next-hop MTAs in the Enter
Hostnames text box. You can specify
multiple entries by placing each entry on
a separate line. For example:

smtp1.companyname.com
smtp2.companyname.com
smtp3.companyname.com

Network Prevent for Email Server always

tries to proxy to the first MTA that you
specify in the list. If that MTA is not
available, Network Prevent for Email
Server tries the next available entry in the
list.
Note: You must include at least one valid
entry in the Enter Hostnames text box to
successfully configure forwarding mode
behavior.

7 Click Save.
 Implementing Network Prevent for Email 1085
Configuring Network Prevent for Email Server for reflecting or forwarding mode

8 Click Server Settings to verify or configure these advanced settings:

Field Description

RequestProcessor.ServerSocketPort Ensure that this value matches the

number of the SMTP Listener port to
which the upstream MTA sends email
messages. The default is 10025.
Note: Many Linux systems restrict ports
below 1024 to root access. Network
Prevent for Email cannot bind to these
restricted ports. If the computer receives
mail for inspection on a restricted port
(for example, port 25), reconfigure the
computer to route traffic from the
restricted port to the non-restricted
Network Prevent for Email port (port
10025 by default).

See “Configuring Linux IP tables to

reroute traffic from a restricted port”
on page 1086.

RequestProcessor.MTAResubmitPort Ensure that this value matches the

number of the SMTP Listener port on the
upstream MTA to which the Network
Prevent for Email Server returns mail. The
default is 10026.

RequestProcessor.AddDefaultHeader By default, Network Prevent for Email

Server uses a header to identify all email
messages that it has processed. The
header and value are specified in the
RequestProcessor.DefaultPassHeader
field.

Change the value of this field to false if

you do not want to add a header to each
message.
1086 Implementing Network Prevent for Email
Configuring Network Prevent for Email Server for reflecting or forwarding mode

Field Description

RequestProcessor.AddDefaultPassHeader This field specifies the header and value

that Network Prevent for Email Server
adds to each email message that it
processes. The default header and value
is X-CFilter-Loop: Reflected.
Change the value of this field if you want
to add a different header to each
processed message.

If you do not want to add a header to each

email message, set the
AddDefaultPassHeader field to False.

Note: Always configure both RequestProcessor.ServerSocketPort and

RequestProcessor.MTAResubmitPort, whether you implement reflecting
or forwarding mode. With forwarding mode,
RequestProcessor.ServerSocketPort specifies the SMTP Listener port on
the detection server to which the upstream MTA sends email messages.
RequestProcessor.MTAResubmitPort is the SMTP Listener port on the
downstream MTA to which the detection server sends email messages.

9 Click Save.
10 Click Done.
11 If your email delivery system uses TLS communication in forwarding mode,
each next-hop mail server in the proxy chain must support TLS and must
authenticate itself to the previous hop. This means that Network Prevent for
Email Server must authenticate itself to the upstream MTA, and the next-hop
MTA must authenticate itself to Network Prevent for Email Server. Proper
authentication requires that each mail server stores the public key certificate
for the next hop mail server in its local keystore file.

See “Specifying one or more upstream mail transfer agents (MTAs)” on page 1087.
See “Creating a policy for Network Prevent for Email” on page 1088.
See “Testing Network Prevent for Email” on page 1091.

Configuring Linux IP tables to reroute traffic from a restricted port

Many Linux systems restrict ports below 1024 to root access. Network Prevent
for Email cannot bind to these restricted ports.
 Implementing Network Prevent for Email 1087
Specifying one or more upstream mail transfer agents (MTAs)

If the computer receives mail for inspection on a restricted port (for example,
port 25), use the iptables command to route that traffic to a non-restricted port,
such as the Network Prevent for Email default port 10025. Then ensure that
Network Prevent for Email listens on the non-restricted port to inspect email.
Use the following instructions to configure a Linux system to route from port 25
to port 10025. If you use a different restricted port or Network Prevent for Email
port, enter the correct values in the iptables commands.
To configure route traffic from port 25 to port 10025
1 Configure Network Prevent for Email to use the default port 10025 if
necessary.
See “Configuring Network Prevent for Email Server for reflecting or
forwarding mode” on page 1082.
2 In a terminal window on the Network Prevent for Email computer, enter the
following commands to reroute traffic from port 25 to port 10025:

iptables -N Vontu-INPUT
iptables -A Vontu-INPUT -s 0/0 -p tcp --dport 25 -j ACCEPT
iptables -I INPUT 1 -s 0/0 -p tcp -j Vontu-INPUT
iptables -t nat -I PREROUTING -p tcp --destination-port 25 -j REDIRECT --to-ports=10025
iptables-save > /etc/sysconfig/iptables

Note: If you only want to test local IP routing between the ports with Telnet,
use the command: iptables -t nat -I OUTPUT -o lo -p tcp
--destination-port 25 -j REDIRECT --to-ports=10025

If later you decide to delete the IP tables entry, use the command:

iptables -t nat -D OUTPUT -o lo -p tcp --destination-port 25 -j REDIRECT --to-ports=10025

Specifying one or more upstream mail transfer agents

(MTAs)
By default, Network Prevent for Email Server can accept connections to the ESMTP
service port from any system on the network. You can restrict Network Prevent
for Email Server ESMTP communication to a designated set of mail transfer agents
(MTAs) for security reasons. Create a “whitelist” of authorized systems. If you
whitelist one or more systems, other systems that are not on the whitelist cannot
connect to the Network Prevent for Email Server ESMTP service port.
1088 Implementing Network Prevent for Email
Creating a policy for Network Prevent for Email

Note that an MTA whitelist might be affected by the

RequestProcessor.BindAddress setting. By default, the
RequestProcessor.BindAddress setting is 0.0.0.0, and the listener binds to all
available addresses. If RequestProcessor.BindAddress instructs the listener to
bind to a specific IP, a white listed MTA must also be able to reach the listener
address.
To create a whitelist of systems allowed to communicate with the Network Prevent
for Email Server:
1 Go to System > Servers > Overview and click on the wanted Network Prevent
for Email Server.
2 On the Server Detail screen that appears, click Server Settings.
3 Scroll down to the RequestProcessor.AllowHosts field.
By default, RequestProcessor.AllowHosts is set to any, meaning that all
other systems on the network can communicate with this Network Prevent
for Email Server.
4 You can limit the systems that are allowed to connect with this Network
Prevent for Email Server. Delete any and enter the IP addresses or FQDN of
the systems you want to authorize. Separate multiple addresses with commas.
For example:
“123.14.251.31,smtp_1.corp.mycompany.com,123.14.223.111.” Separate
addresses only with commas; do not include spaces.
5 Click Save.
Changes to this setting do not take effect until you restart the server.

Creating a policy for Network Prevent for Email

You can create the policies that include any of the standard response rules. For
example, Add Comment, Limit Incident Data Retention, Log to a Syslog Server,
Send Email Notification, and Set Status.
See “Workflow for implementing policies” on page 337.
You can also incorporate the following rules, which are specific to Network Prevent
for Email:
■ Network: Block SMTP Message
Blocks the email messages that contain confidential data or significant
metadata (as defined in your policies). You can configure Symantec Data Loss
Prevention to bounce the message or redirect the message to a specified
address.
 Implementing Network Prevent for Email 1089
Creating a policy for Network Prevent for Email

The redirect feature is typically used to reroute messages to the address of a

mailbox or mail list. Administrators and managers use the mailbox or list to
review and release messages. Such mailboxes are outside the Symantec Data
Loss Prevention system.
■ Network: Modify SMTP Message
Modifies the email messages that contain confidential data or significant
metadata (as defined in your policies). You can use this action to modify the
message subject or add specific RFC-2822 message headers to trigger further
downstream processing. For example, message encryption, message quarantine,
or message archiving.
For details on setting up any response rule action, open the online Help. Go to
Manage > Policies > Response Rules and click Add Response Rule.
For details on using the Network: Modify SMTP Message action to trigger
downstream processes (such as message encryption), see the Symantec Data Loss
Prevention MTA Integration Guide for Network Prevent.
Even if you do not incorporate response rules into your policy, Network Prevent
for Email captures incidents as long as your policies contain detection rules. This
feature can be useful if you want to review the types of incidents Symantec Data
Loss Prevention captures and to then refine your policies.
To create a test policy for Network Prevent for Email
1 In the Enforce Server administration console, create a response rule that
includes one of the actions specific to Network Prevent for Email. For example,
create a response rule that includes the Network: Block SMTP Message
action.
See “Configuring response rules” on page 819.
2 Create a policy that incorporates the response rule you configured in the
previous step.
For example, create a policy called Test Policy as follows:
■ Include a Content Matches Keyword detection rule that matches on the
keyword secret.
■ Include a Network: Block SMTP Message response rule.
■ Associate it with the Default policy group.
See “Configuring policies” on page 370.
See “About policy violation data headers” on page 1090.
1090 Implementing Network Prevent for Email
About policy violation data headers

About policy violation data headers

A message might violate more than one policy. You can add special headers to the
outgoing messages that report the number and severity of policies the message
violates. Three different kinds of violation-data headers are available:
■ Number of violated policies—a header can be added reporting the total number
of different policies that the message violates.
■ Highest severity—a header can be added reporting the single highest severity
level among all policies that the message violates (High, Medium, Low, or Info).
■ Cumulative severity score—a header can be added reporting a total severity
score which is the numeric sum of all policy violations. For this purpose,
severity levels are assigned numeric values: High=4, Medium=3, Low=2, and
Info=1. Thus, a message that violates both a Low (2) and Medium (3) severity
policy has a total severity score of 5.
You can use headers to trigger downstream responses that are based on the number
of violations or the severity of violations. For example:
■ Messages that violate a single policy can be routed to one quarantine mailbox.
Messages that violate multiple policies can be routed to a second mailbox.
Messages that violate over a specified number of policies can be routed to a
third mailbox.
■ Messages that violate multiple policies can be handled differently according
to the severity level of the most serious violation.
■ Messages that violate multiple policies can be handled differently according
to the total severity score of the message.
See “Enabling policy violation data headers” on page 1090.

Enabling policy violation data headers

Three multiple-policy headers can be used in combination.
To enable policy violation message headers:
1 Go to System > Servers > Overview and click on the wanted Network Prevent
for Email Server.
2 On the Server Detail screen that appears, click Server Settings.
3 Scroll down to one of the three following RequestProcessor settings. By
default, the value for these settings is false.
4 Change the value to true.
5 Click Save.
 Implementing Network Prevent for Email 1091
Testing Network Prevent for Email

Changes to these settings do not take effect until you restart the server.
Three RequestProcessor advanced settings enable different kinds of
multiple-policy-violation message headers:
■ RequestProcessor.TagPolicyCount.
When the setting is set to true, Network Prevent adds a header reporting the
total number of policies that the message violates. For example, if the message
violates 3 policies a header reading: “X-DLP-Policy-Count: 3” is added.
■ RequestProcessor.TagHighestSeverity.
When the setting is set to true, Network Prevent adds a header reporting the
highest severity among the violated policies. For example, if a message violates
three policies, one with a severity of “Medium” and two with a severity of
“Low” a header reading: “X-DLP-Max-Severity: MEDIUM” is added.
■ RequestProcessor.TagScore.
When the setting is set to true, Network Prevent adds a header reporting the
total cumulative score of all the violated policies. Scores are calculated using
the formula: High=4, Medium=3, Low=2, and Info=1. For example, if a message
violates three policies, one with a severity of “medium” and two with a severity
of “low” a header reading: “X-DLP-Score: 7” is added.
Setting a value to “true” causes the corresponding header to be automatically
added to every outgoing message that is processed. This occurs even if the message
violates only a single policy.
See “About policy violation data headers” on page 1090.

Testing Network Prevent for Email

You can test Network Prevent for Email by sending an email that violates your
test policy.
To test your system
1 Access an email account that routes messages through an MTA that is
integrated with your Network Prevent for Email Server.
2 Send an email that contains confidential data. For example, send an email
that contains the word Secret.
3 In the Enforce Server administration console, go to Incident > Network and
click Incidents - All. Look for the resulting incident. For example, search for
an incident entry that includes the appropriate timestamp and policy name.
4 Click on the relevant incident entry to see the complete incident snapshot.
See “About Symantec Data Loss Prevention reports” on page 935.
1092 Implementing Network Prevent for Email
Testing Network Prevent for Email
 Chapter 55
Implementing Network
Prevent for Web
This chapter includes the following topics:

■ Implementing Network Prevent for Web

■ Configuring Network Prevent for Web Server

■ About proxy server configuration

■ Specifying one or more proxy servers

■ Enabling GET processing for Network Prevent for Web

■ Creating policies for Network Prevent for Web

■ Testing Network Prevent for Web

■ Troubleshooting information for Network Prevent for Web Server

Implementing Network Prevent for Web

The Network Prevent for Web Server integrates with an HTTP, HTTPS, or FTP
proxy server using ICAP for in-line active Web request management. If it detects
confidential data in Web content, it causes the proxy to reject requests or remove
HTML content as specified in your policies.
1094 Implementing Network Prevent for Web
Implementing Network Prevent for Web

Figure 55-1 A basic Network Prevent for Web setup

First, you need to know the high-level steps that are required for implementing
Network Prevent for Web. You can check the cross-referenced sections for more
details.
To implement Network Prevent for Web
1 Make sure the Network Prevent for Web Server is configured to communicate
with your HTTP proxy server. Optionally, configure the detection server to
filter traffic as wanted.
See “Configuring Network Prevent for Web Server” on page 1095.
2 Configure your HTTP proxy server to work with the Network Prevent for Web
Server.
See “About proxy server configuration” on page 1098.
3 Create and deploy a policy for Network Prevent for Web.
See “Creating policies for Network Prevent for Web” on page 1103.
 Implementing Network Prevent for Web 1095
Configuring Network Prevent for Web Server

4 Test the system by generating an incident against your test policy.

See “Testing Network Prevent for Web” on page 1104.
5 If required, troubleshoot the implementation.
See “Troubleshooting information for Network Prevent for Web Server”
on page 1105.

Licensing Network Prevent

There are different deployment scenarios for Network Prevent. You can deploy
Network Preventas a standalone product, or you can deploy it in conjunction with
Mobile Prevent for Web.
Depending on the license that you purchase, the user interface of Symantec Data
Loss Prevention changes. What you see on your screen may differ slightly from
what is described in the Symantec Data Loss Prevention documentation. The
documentation assumes that you are deploying Mobile Prevent and Network
Prevent together.
For example, you create a response rule to block sensitive information from
transferring over an HTTP protocol. If you have deployed Network Prevent as a
standalone product, the Block HTTP/HTTPS response rule action appears under
the heading Network Prevent. If you have Mobile Prevent and Network Prevent
deployed together, the response rule action appears under the heading Network
and Mobile Prevent for Web.
See “Implementing Mobile Prevent” on page 1429.

Configuring Network Prevent for Web Server

You can use a number of configuration options for Network Prevent for Web
Server. For example, you can configure the server to:
■ Ignore small HTTP requests or responses.
■ Ignore requests to, or responses, from a particular host or domain (such as the
domain of a business subsidiary).
■ Ignore user search engine queries.
1096 Implementing Network Prevent for Web
Configuring Network Prevent for Web Server

To modify your Network Prevent for Web server configuration

1 Go to System > Servers > Overview and click the Network Prevent for Web
Server.
2 On the Server Detail screen that appears, click Configure.
You can verify or modify settings on the ICAP tab as described in subsequent
steps. The tab is divided into several sections: Request Filtering, Response
Filtering, and Connection.
3 Verify or change the Trial Mode setting. Trial Mode lets you test prevention
without blocking requests in real time. If you select Trial Mode, Symantec
Data Loss Prevention detects incidents and indicates that it has blocked an
HTTP communication, but it does not block the communication.
4 Verify or modify the filter options for requests from HTTP clients (user
agents). The options in the Request Filtering section are as follows:

Ignore Requests Smaller Than Specifies the minimum body size of HTTP
requests to inspect. (The default is 4096
bytes.) For example, search-strings typed
in to search engines such as Yahoo or
Google are usually short. By adjusting this
value, you can exclude those searches
from inspection.

Ignore Requests without Attachments Causes the server to inspect only the
requests that contain attachments. This
option can be useful if you are mainly
concerned with requests intended to post
sensitive files.

Ignore Requests to Hosts or Domains Causes the server to ignore requests to

the hosts or domains you specify. This
option can be useful if you expect a lot of
HTTP traffic between the domains of your
corporate headquarters and branch
offices. You can type one or more host or
domain names (for example,
www.company.com), each on its own line.

Ignore Requests from User Agents Causes the server to ignore requests from
user agents (HTTP clients) you specify.
This option can be useful if your
organization uses a program or language
(such as Java) that makes frequent HTTP
requests. You can type one or more user
agent values, each on its own line.
 Implementing Network Prevent for Web 1097
Configuring Network Prevent for Web Server

5 Verify or modify the filter options for responses from Web servers. The
options in the Response Filtering section are as follows:

Ignore Responses Smaller Than Specifies the minimum size of the body of
HTTP responses that are inspected by this
server. (Default is 4096 bytes.)

Inspect Content Type Specifies the MIME content types that

Symantec Data Loss Prevention should
monitor in responses. By default, this field
contains content-type values for Microsoft
Office, PDF, and plain text formats. To add
others, type one MIME content type per
line. For example, type
application/word2013 to have
Symantec Data Loss Prevention analyze
Microsoft Word 2013 files.

Note that it is generally more efficient to

specify MIME content types at the Web
proxy level.

IgnoreResponsesfromHostsorDomains Causes the server to ignore responses

from the hosts or domains you specify.
You can type one or more host or domain
names (for example, www.company.com),
each on its own line.

Ignore Responses to User Agents Causes the server to ignore responses to

user agents (HTTP clients) you specify.
You can type one or more user agent
values, each on its own line.
1098 Implementing Network Prevent for Web
About proxy server configuration

6 Verify or modify settings for the ICAP connection between the HTTP proxy
server and the Web Prevent Server. The Connection options are as follows:

TCP Port Specifies the TCP port number over which

this server listens for ICAP requests. This
number must match the value that is
configured on the HTTP proxy that sends
ICAP requests to this server. The
recommended value is 1344.

Maximum Number of Requests Specifies the maximum number of

simultaneous ICAP request connections
from the HTTP proxy or proxies. The
default is 25.

Maximum Number of Responses Specifies the maximum number of

simultaneous ICAP response connections
from the HTTP proxy or proxies. The
default is 25.

Connection Backlog Specifies the number of waiting

connections allowed. A waiting connection
is a user waiting for an HTTP response
from the browser. The minimum value is
1. If the HTTP proxy gets too many
requests (or responses), the proxy handles
them according to your proxy
configuration. You can configure the
HTTP proxy to block any requests (or
responses) greater than this number.

7 Click Save to exit the Configure Server screen and then click Done to exit
the Server Detail screen.

About proxy server configuration

You must configure at least one HTTP proxy server to forward Web requests or
responses to the Mobile Prevent for Web Server. The HTTP proxy acts as an ICAP
client to the Network Prevent for Web Server. Symantec Data Loss Prevention
supports both the request modification (REQMOD) and response modification
(RESPMOD) modes of ICAP. If you want to analyze requests as well as responses,
use one Network Prevent for Web Server to analyze requests. Use a second Network
Prevent for Web Server to analyze responses.
 Implementing Network Prevent for Web 1099
About proxy server configuration

Note that most proxy servers provide methods of filtering what is forwarded to
the Network Prevent for Web Server in both REQMOD mode and RESPMOD modes.
Consult the proxy server's documentation for details.
See “Specifying one or more proxy servers” on page 1101.
See “Proxy server compatibility with Network Prevent for Web” on page 1099.
See “Configuring request and response mode services” on page 1100.

Proxy server compatibility with Network Prevent for Web

Network Prevent for Web Servers used the ICAP protocol and can operate with
the following proxies:

Table 55-1 Network Prevent for Web supported proxy servers

Proxy Supported protocols Configuration information

Blue Coat ProxySG version 4.2.1, HTTP, HTTPS, FTP over HTTP, or FTP Blue Coat product documentation
5.2.4.8, 5.5.2.1, 5.5.3.1, and 6.2.12.1 proxy
for Network Prevent for Web

Blue Coat ProxySG version 5.5.3.1 for

Mobile Prevent

Cisco IronPort S-Series version 6.0, HTTP, HTTPS, FTP over HTTP Cisco IronPort product
7.1.2 documentation

Microsoft TMG 2010 (without service HTTP, HTTPS, limited FTP over See the Symantec Data Loss
pack, or with SP1 or SP2) on Microsoft HTTP/S Prevention Integration Guide for
Windows 2008 R2 SP1 Enterprise or Microsoft Threat Management
Standard Edition Gateway

Secure Computing Secure Web HTTP, HTTPS, FTP over HTTP, or FTP Secure Web documentation
(Webwasher) versions 6.8.x and 6.9.1 proxy (particularly the chapter that
describes setting up Secure Web with
a DLP Solution)

McAfee Web Gateway versions 6.9 HTTP, HTTPS, FTP over HTTP, or FTP McAfee product documentation.
and 7.2 proxy

Squid Web Proxy version 3.1.19 HTTP See the Symantec Data Loss
(Linux only) Prevention Integration Guide for Squid
Web Proxy

Symantec Web Gateway versions 5.0 HTTP, HTTPS See the Symantec Web Gateway 5.0
and 5.0.2.8 Implementation Guide
1100 Implementing Network Prevent for Web
About proxy server configuration

Table 55-1 Network Prevent for Web supported proxy servers (continued)

Proxy Supported protocols Configuration information

Websense Appliance V5000 and HTTP, HTTPS Does not support redaction.
V10000, with Websense Web Security
Only supports "Block HTTP/HTTPS".
version 7.6.0
RESPMOD is not supported.

Websense blocks the traffic only when

the size of the Symantec Data Loss
Prevention rejection message (in the
response rule) is larger than 512
bytes. If the rejection messages is less
than 512 bytes, an incident is
generated but the network traffic is
not blocked.

See “Specifying one or more proxy servers” on page 1101.

See “About proxy server configuration” on page 1098.

Configuring request and response mode services

For details on configuring the proxy server, refer to your proxy server product
documentation, or contact your proxy server administrator.
To configure a proxy server:
1 REQMOD. On your proxy server, create an ICAP REQMOD service that
forwards requests to the Mobile Prevent for Web Server. If your proxy server
supports different protocols, configure it to handle the wanted protocols.
For REQMOD mode, an ICAP service on the proxy server should look like:

icap://ip_address|FQDN[:port]/reqmod

2 RESPMOD. On your proxy server, create an ICAP RESPMOD service that

forwards responses to the Mobile Prevent for Web Server. If your proxy server
supports different protocols, configure it to handle the wanted protocols.
For RESPMOD mode, an ICAP service on the proxy server should look like:

icap://ip_address|FQND[:port]/respmod

Where:
■ ip_address|FQDN identifies the Mobile Prevent for Web Server using either
an IP address or fully qualified domain name.
 Implementing Network Prevent for Web 1101
Specifying one or more proxy servers

■ Port is the port number to which Mobile Prevent for Web Server listens.
Specifying the port number is optional when the default ICAP port (1344) is
used.
■ /reqmod is required for correct functionality in REQMOD mode.

■ /respmod is required for correct functionality in RESPMOD mode.

Examples:

icap://10.66.194.45/reqmod
icap://10.66.194.45:1344/reqmod
icap://netmonitor1.company.com/reqmod
icap://10.66.194.45/respmod
icap://10.66.194.45:1344/respmod
icap://netmonitor1.company.com/respmod

Note that the port that is specified in the ICAP service definition on the proxy
must match the port on which Mobile Prevent for Web Server listens.
See “Proxy server compatibility with Network Prevent for Web” on page 1099.
See “About proxy server configuration” on page 1098.

Specifying one or more proxy servers

By default, Network Prevent for Web Server can accept connections to the ICAP
service port from any system on the network. For security reasons, you can limit
ICAP connections to only those systems that you designate (or “whitelist”). Once
you whitelist one or more systems, systems not on the whitelist cannot connect
to the Network Prevent for Web Server ICAP service port.
Note that a proxy server whitelist can be affected by the Icap.BindAddress setting.
By default, the Icap.BindAddress settings is 0.0.0.0, and the listener binds to all
available addresses. If Icap.BindAddress instructs the listener to bind to a specific
IP, a white listed proxy must also be able to reach the listener address.
To create a whitelist of systems allowed to make a connection to the Network
Prevent for Web server ICAP service port:
1 Go to System > Servers > Overview and click on the wanted Network Prevent
for Web Server.
2 On the Server Detail screen that appears, click Server Settings.
3 Scroll down to the Icap.AllowHosts setting.
By default, Icap.AllowHosts is set to any, meaning that all other systems on
the network can communicate with this Network Prevent for Web Server.
1102 Implementing Network Prevent for Web
Enabling GET processing for Network Prevent for Web

4 You can limit the systems that are allowed to connect with this Network
Prevent for Web Server. Delete any and enter the IP addresses or
Fully-Qualified Domain Name (FQDN) of the systems you want to authorize.
Separate multiple addresses with commas. For example:
123.14.251.31,webcache.corp.mycompany.com,123.14.223.111. Use only
commas to separate multiple entries; do not include spaces.
5 Click Save.
Changes to this setting do not take effect until you restart the server.
See “Proxy server compatibility with Network Prevent for Web” on page 1099.
See “About proxy server configuration” on page 1098.

Enabling GET processing for Network Prevent for Web

By default, Mobile Prevent for Web does not process HTTP GET commands because
of the high traffic volume. Follow this procedure to enable the server to process
GET commands.
To enable GET processing with Network Prevent for Web
1 Configure the Web proxy server to forward GET requests to the Network
Monitor Server as described in your proxy server documentation.
2 Ensure that the L7.processGets advanced server setting on the Network
Monitor Server must be “true” (which is the default).
3 Reduce the size of the L7.minSizeofGetURL Advanced setting on the Network
Monitor server. Reduce from the default of 100 to a number of bytes smaller
than the length of the shortest Web site URL from which you want to process
GET commands. A minimum URL size to 10 should cover all cases. Note,
however, that reducing the minimum size of GETs increases the number of
requests that have to be processed, which increases the server traffic load.
4 Adjust the Ignore Requests Smaller Than setting in the ICAP section of the
Network Prevent for Web Server Detail page. Reduce it from the default of
4096 bytes to a lower value that would enable the request to undergo DLP
inspection. Note, however, that lowering the value increases the server traffic
load.
See “Enabling GET processing with Network Monitor” on page 1076.
 Implementing Network Prevent for Web 1103
Creating policies for Network Prevent for Web

Creating policies for Network Prevent for Web

You can create the policies that include any of the standard response rules. For
example, Add Comment, Limit Incident Data Retention, Log to a Syslog Server,
Send Email Notification, and Set Status.
See “About Symantec Data Loss Prevention reports” on page 935.
You can also incorporate the rules that are specific to Network Prevent for Web
Server as follows:
■ Network Prevent: Block HTTP/HTTPS
Blocks posts that contain confidential data (as defined in your policies). This
includes Web postings, Web-based email messages, and files that are uploaded
to Web sites or attached to Web-based email messages.

Note: Certain applications may not provide an adequate response to the

Network Prevent: Block HTTP/HTTPS response action. This behavior has
been observed with the Yahoo! Mail application when a detection server blocks
a file upload. If a user tries to upload an email attachment and the attachment
triggers a Network Prevent: Block HTTP/HTTPS response action, Yahoo! Mail
does not respond or display an error message to indicate that the file is blocked.
Instead, Yahoo! Mail appears to continue uploading the selected file, but the
upload never completes. The user must manually cancel the upload at some
point by pressing Cancel.
Other applications may also exhibit this behavior, depending on how they
handle the block request. In these cases a detection server incident is created
and the file upload is blocked even though the application provides no such
indication.

■ Network Prevent: Remove HTTP/HTTPS Content

Removes confidential data from posts that contain confidential data (as defined
in your policies). This includes Web-based email messages and files that are
uploaded to Web sites or attached to Web-based email messages. Note that
the Remove HTTP/HTTPS Content action works only on requests.
■ Network Prevent: Block FTP Request
Blocks FTP transfers that contain confidential data (as defined in your policies).
For details on setting up any response rule action, open the online Help. Go to
Manage > Policies > Response Rules and click Add Response Rule.
Even if you do not incorporate response rules into your policy, Network Prevent
for Web captures incidents as long as your policies contain detection rules. You
1104 Implementing Network Prevent for Web
Testing Network Prevent for Web

can set up such policies to monitor Web and FTP activity on your network before
implementing the policies that block or remove content.
If you have configured your proxy to forward both HTTP/HTTPS requests and
responses, your policies work on both. For example, policies are applied to both
an upload to a Web site and a download from a Web site.
To create a test policy for Network Prevent for Web
1 In the Enforce Server administration console, create a response rule that
includes one of the actions specific to Network Prevent for Web. For example,
create a response rule that includes the Network Prevent: Block HTTP/HTTPS
action.
See “Configuring response rules” on page 819.
2 Create a policy that incorporates the response rule you configured in the
previous step.
For example, create a policy called Test Policy as follows:
■ Include a Content Matches Keyword detection rule that matches on the
keyword secret.
■ Include a Network Prevent: Block HTTP/HTTPS response rule.
■ Associate it with the Default policy group.
See “Configuring policies” on page 370.

Testing Network Prevent for Web

You can test Network Prevent for Web by sending a Web email that violates your
test policy.
To test your system
1 Open a browser that accesses the Internet through your HTTP proxy server.
2 In the browser, access a test Web email account and send an email with an
attachment containing confidential data. For example, access an account in
Hotmail and send an email with an attachment containing the word Secret
and paragraphs of other text.
3 In the Enforce Server administration console, go to Incidents > Network and
click Incidents - All. Look for the resulting incident. For example, search for
an incident entry that includes the appropriate timestamp and policy name.
4 Click on the relevant incident entry to see the complete incident snapshot.
See “About strategies for using reports” on page 936.
 Implementing Network Prevent for Web 1105
Troubleshooting information for Network Prevent for Web Server

Troubleshooting information for Network Prevent for

Web Server
The following table describes a common problem when using Network Prevent
for Web Server and suggests a possible solution.

Table 55-2 Troubleshooting

Problem Possible Solution

Incidents appear in Network reports, but This is expected behavior when the Network
Symantec Data Loss Prevention does not Prevent for Web Server is running in trial
perform the action specified in the relevant mode (the default setting). If you do not want
response rule. to run in trial mode, change the setting.

See “Configuring Network Prevent for Web

Server” on page 1095.
1106 Implementing Network Prevent for Web
Troubleshooting information for Network Prevent for Web Server
 Section 8
Discovering where
confidential data is stored

■ Chapter 56. About Network Discover

■ Chapter 57. Setting up and configuring Network Discover

■ Chapter 58. Network Discover scan target configuration options

■ Chapter 59. Managing Network Discover target scans

■ Chapter 60. Managing Network Discover incident reports

■ Chapter 61. Using Server FlexResponse plug-ins to remediate incidents

■ Chapter 62. Setting up scans of file shares

■ Chapter 63. Setting up scans of Lotus Notes databases

■ Chapter 64. Setting up scans of SQL databases

■ Chapter 65. Setting up scans of SharePoint servers

■ Chapter 66. Setting up scans of Exchange servers

■ Chapter 67. About Network Discover scanners

■ Chapter 68. Setting up scanning of file systems

1108

■ Chapter 69. Setting up scanning of Web servers

■ Chapter 70. Setting up scanning of Documentum repositories

■ Chapter 71. Setting up scanning of Livelink repositories

■ Chapter 72. Setting up Web Services for custom scan targets

 Chapter 56
About Network Discover
This chapter includes the following topics:

■ About Network Discover

■ How Network Discover works

About Network Discover

Network Discover locates the exposed confidential data by scanning a broad range
of enterprise data repositories. These data repositories include file servers,
databases, Microsoft SharePoint, Lotus Notes, Documentum, Livelink, Microsoft
Exchange, Web servers, and other data repositories.
Network Discover can scan the following data sources:
■ Network file shares (CIFS, NFS, or DFS)
See “Setting up server scans of file systems” on page 1177.
■ Local file systems on Windows desktops and laptops
Local file systems on Windows, Linux, AIX, and Solaris servers
See “Setting up remote scanning of file systems” on page 1256.
■ Lotus Notes Databases
See “Setting up server scans of Lotus Notes databases” on page 1199.
■ SQL Databases
See “Setting up server scans of SQL databases” on page 1205.
■ SharePoint 2007 and 2010 servers
See “Setting up server scans of SharePoint servers” on page 1213.
■ Microsoft Exchange Servers
See “Setting up server scans of Exchange 2003 and 2007 repositories using
the Exchange Web Store connector” on page 1226.
1110 About Network Discover
About Network Discover

See “Setting up server scans of Exchange 2007 SP2 and 2010 repositories using
Exchange Web Services” on page 1235.
■ Documentum
See “Setting up remote scanning of Documentum repositories” on page 1281.
■ Livelink
See “Setting up remote scanning of Livelink repositories” on page 1291.
■ Web servers (Web sites and Web-based applications)
See “Setting up remote scanning of Web servers” on page 1269.
■ Web services
Web services expose a custom integration point. You can write custom code
to scan any repository. The custom code crawls the repository and feeds the
content to a Network Discover Server for scanning. Custom applications and
repositories can be scanned with Web services.
See “Setting up Web Services for custom scan targets” on page 1299.
■ Custom
Custom applications can be written that extract content and metadata from a
repository and feed them to Network Discover. The recommended Network
Discover interface for custom integration is Web services.
Endpoint Discover can scan file systems on Windows desktop or laptop computers.
Endpoint Discover includes an agent on the Windows desktop or laptop computer
that scans the local file system.
See “About Endpoint Discover and Endpoint Prevent” on page 1307.
During incident remediation, Symantec Data Insight helps organizations solve
the problem of identifying data owners and responsible parties for information
due to incomplete or inaccurate metadata or tracking information.
With Symantec Data Insight, users can monitor file access to automatically identify
the data user of a file based on the access history. The usage information then
automatically feeds into the incident detail of files that violate Symantec Data
Loss Prevention policies. This method enables users to identify sensitive data
along with the responsible users to enable more efficient remediation and data
management.
See the Symantec Data Loss Prevention Data Insight Implementation Guide.
The FlexResponse Platform enables the creation of comprehensive custom
remediation actions for the files that are discovered using Symantec Data Loss
Prevention Network Discover. FlexResponse supports Symantec and third-party
file security solutions including Enterprise Digital Rights Management and
encryption. FlexResponse is an extension of the Network Protect product, and
the Network Protect product is required for FlexResponse functionality.
 About Network Discover 1111
How Network Discover works

See the Symantec Data Loss Prevention FlexResponse Developers Guide, or contact
Symantec Data Loss Prevention Professional Services for a list of available plug-ins.
During incident remediation, you can use the installed FlexResponse plug-ins to
remediate incidents.
See “Using Server FlexResponse custom plug-ins to remediate incidents”
on page 1165.

How Network Discover works

The Network Discover Server locates a wide range of exposed confidential data.
It communicates with the Enforce Server to obtain information about policies and
scan targets. It sends information about the exposed confidential data that it finds
to the Enforce Server for reporting and remediation.
Figure 56-1 shows the Network Discover Server securely inside the corporate
LAN.
The Network Discover Server is connected to the Enforce Server and each server
performs the tasks that are related to locating exposed confidential data.
Multiple Network Discover Servers can be set up to spread out the work.
See “Adding a detection server” on page 207.
The Network Discover Server scans the selected targets, reads the files or
repositories, and detects whether confidential information is present.
The Enforce Server contains the user interface where the following tasks are done:
■ Setting up target scans.
■ Selecting target repositories.
■ Defining filters for the scans.
■ Scheduling scans.
See “Adding a new Network Discover target” on page 1117.
The Enforce Server also manages the scans running on the Network Discover
Servers and displays the status of the scans in the user interface.
See “Managing Network Discover target scans” on page 1139.
After a scan is complete, you can display the reports of the exposed confidential
data on the Enforce Server.
See “About reports for Network Discover” on page 1159.
1112 About Network Discover
How Network Discover works

Figure 56-1 Network Discover

Storage Management Network

Network
Discover Network
Monitor
Network
Protect Enforce
Platform

Endpoint

Network
Endpoint Prevent
Discover

Endpoint Oracle database

Prevent

Secured Corporate LAN DMZ

 Chapter 57
Setting up and configuring
Network Discover
This chapter includes the following topics:

■ Setting up and configuring Network Discover

■ Modifying the Network Discover Server configuration

■ About Linux Network Discover Servers

■ Adding a new Network Discover target

■ Editing an existing Network Discover target

Setting up and configuring Network Discover

Setting up a Network Discover scan target involves several steps. Each of these
steps is necessary to correctly implement Network Discover target scanning.

Table 57-1 Setting up and Configuring Network Discover

Step Action Details

1 Modify the Network See “Modifying the Network Discover Server

Discover Server configuration” on page 1114.
configuration, if
needed.
1114 Setting up and configuring Network Discover
Modifying the Network Discover Server configuration

Table 57-1 Setting up and Configuring Network Discover (continued)

Step Action Details

2 Create a policy group. Go to System > Servers > Policy Groups.

On the Policy Group List screen that appears, click

Add Policy Group.

See “Creating and modifying policy groups”

on page 392.

3 Create a policy. Go to Manage > Policies > Policy List on the Enforce
Server.

Select Add a blank policy.

Add a rule to the policy.

See “Configuring policies” on page 370.

4 Before using Network See “About response rules” on page 802.

Protect for a file share
Discover target, create
a response rule. Using
Network Protect is
optional.

5 Create a Network Go to Manage > Discover Scanning > Discover Targets

Discover Target. on the Enforce Server.

Click New Target, and use the pull-down menu to

select the specific target type.

See “Adding a new Network Discover target”

on page 1117.

6 Set options for the See “Network Discover scan target configuration
target. options” on page 1121.

7 Set up reports. See “About Symantec Data Loss Prevention reports”

on page 935.

Modifying the Network Discover Server configuration

After you have installed your Network Discover Servers and registered them with
the Enforce Server, you can modify the Network Discover Server configuration.
If your Network Discover Server is installed on a Linux system, note the differences
from a Network Discover Server on a Windows system.
See “About Linux Network Discover Servers” on page 1116.
 Setting up and configuring Network Discover 1115
Modifying the Network Discover Server configuration

The Network Discover Server can be installed on a virtual machine. For the
supported virtual machines types, see the Symantec Data Loss Prevention System
Requirements and Compatibility Guide.
If you have configured incremental scanning, the incremental scan index is
automatically distributed to all Discover Servers, including any new Discover
Servers.
See “About incremental scans” on page 1153.
To modify a Network Discover Server configuration
1 In the Enforce Server administration console, go to System > Servers >
Overview. Then click the server to modify.
The appropriate Server Detail screen appears and displays general server
information, configuration information, deployed indexes, and recent server
events.
2 Click Configure.
The Configure Server screen appears and displays configuration options for
the server type.
3 Modify the server configuration.
The following configuration options are on the General tab:
■ Name
The name of the detection server (used for displays in the Enforce Server
administration console). Changing this setting for an existing detection
server affects your filter options in Symantec Data Loss Prevention reports.
Network Discover Servers are detection servers.
■ Host
The detection server host name or IP address on which the detection
server listens for connections to the Enforce Server. You might need to
modify this setting when you replace a Network Discover Server host
computer.
■ Port
The detection server uses the port number to accept connections from
the Enforce Server. This value must be greater than 1024. It must also
match the value of the listenPort property in the detection server’s
Communication.properties file. This file is located in
SymantecDLP\Protect\config. If you change this setting, restart the
detection server after modifying the listenPort value in the
Communication.properties file. You should not need to change this
setting after a successful installation.
1116 Setting up and configuring Network Discover
About Linux Network Discover Servers

See “Server controls” on page 192.

4 The configuration for parallel scanning is on the Discover tab. Enter the
number of parallel scans to run on this Network Discover Server. The default
is 1.
The maximum count can be increased at any time. After it is increased, then
any queued scans that are eligible to run on this Network Discover Server
are started.
The count can be decreased only if the Network Discover Server has no
running scans. Before you reduce the count, pause or stop all scans on the
Network Discover Server.
Parallel scans of server and scanner target types are supported. Parallel
scanning of Endpoint file systems is not supported.
See “Configuring parallel scanning of Network Discover targets” on page 1156.
5 When you finish modifying a server configuration, click Save to exit the
Configure Server screen and then click Done to exit the Server Detail screen.
6 To view the active scans on this Network Discover Server, go to Policies >
Discover Scanning > Discover Servers.
See “Managing Network Discover target scans” on page 1139.

About Linux Network Discover Servers

If your Network Discover Server is installed on a Linux system, note the following
differences from a Network Discover Server on a Windows system:
■ The date Last Accessed of a file cannot be reset after it is scanned.
■ The Owner and date Last Accessed of the violating file cannot be retrieved.
The Access Control Lists (ACLs) are retrieved correctly.
■ You cannot scan Microsoft Outlook Personal Folders (.pst) files.
■ SFTP scanning is not supported.
■ A Network Discover Server on Linux uses jCIFS which is limited to a
single-thread. Scans may be slower than on a Windows Network Discover
Server.
See “Setting up and configuring Network Discover” on page 1113.
 Setting up and configuring Network Discover 1117
Adding a new Network Discover target

Adding a new Network Discover target

Before adding a Network Discover target, you must complete the Network Discover
Server setup.
See “Setting up and configuring Network Discover” on page 1113.
To add a Network Discover target
1 In the Enforce Server administration console, go to Manage > Discover
Scanning > Discover Targets.
2 Click New Target, and use the pull-down menu to select the specific target
type.
3 On the General tab, enter the name of this Network Discover target. This
name displays for management of scans.
See “Managing Network Discover target scans” on page 1139.
4 Enter the remaining required parameters. Enter the policy group. Enter the
Network Discover Server.
See “Configuring the required fields for Network Discover targets” on page 1123.
1118 Setting up and configuring Network Discover
Editing an existing Network Discover target

5 Continue the addition of a new target, with the entries specific to that target
type.

Network file servers and shares (CIFS, See “Setting up server scans of file
NFS, DFS) systems” on page 1177.

Lotus Notes databases See “Setting up server scans of Lotus

Notes databases” on page 1199.

SQL databases See “Setting up server scans of SQL

databases” on page 1205.

Local file systems on Windows desktops See “Setting up remote scanning of file
and laptops systems” on page 1256.

Local file systems on Windows, Linux,

AIX, and Solaris servers

Microsoft Exchange See “Setting up server scans of Exchange

2003 and 2007 repositories using the
Exchange Web Store connector”
on page 1226.

See “Setting up server scans of Exchange

2007 SP2 and 2010 repositories using
Exchange Web Services” on page 1235.

SharePoint See “Setting up server scans of SharePoint

servers” on page 1213.

Documentum See “Setting up remote scanning of

Documentum repositories” on page 1281.

Livelink See “Setting up remote scanning of

Livelink repositories” on page 1291.

Web servers (Web sites and Web-based See “Setting up remote scanning of Web
applications) servers” on page 1269.

6 Configure optional Network Discover target parameters.

See “Network Discover scan target configuration options” on page 1121.

Editing an existing Network Discover target

To set various configuration options, edit the configuration of a Network Discover
target.
You can also add a new Network Discover target, and set options at that time.
 Setting up and configuring Network Discover 1119
Editing an existing Network Discover target

See “Adding a new Network Discover target” on page 1117.

To edit a Network Discover target
1 In the Enforce Server administration console, go to Manage > Discover
Scanning > Discover Targets.
2 Click one of the scan targets from the list to open the target for editing.
3 Edit the desired option.
See “Network Discover scan target configuration options” on page 1121.
1120 Setting up and configuring Network Discover
Editing an existing Network Discover target
 Chapter 58
Network Discover scan
target configuration options
This chapter includes the following topics:

■ Network Discover scan target configuration options

■ Configuring the required fields for Network Discover targets

■ Scheduling Network Discover scans

■ Providing the password authentication for Network Discover scanned content

■ Encrypting passwords in configuration files

■ Setting up Discover filters to include or exclude items from the scan

■ Filtering Discover targets by item size

■ Filtering Discover targets by date last accessed or modified

■ Optimizing resources with Network Discover scan throttling

■ Creating an inventory of the locations of unprotected sensitive data

Network Discover scan target configuration options

Use the General, Scanned Content, Filters, and Advanced tabs to configure a
Network Discover scan target.
The General tab is available for all types of targets.
The Scanned Content, Filters, and Advanced tabs are only available for some
types of targets.
See “Editing an existing Network Discover target” on page 1118.
1122 Network Discover scan target configuration options
Network Discover scan target configuration options

For the additional configuration information that is specific to one type of target,
refer to the section for that target type.
Note that all filters are combined with “and” if a value is provided. Consider all
filter values when adding or modifying scan filters, to avoid unintentionally
including or excluding everything from the scan.
For configuration when adding or editing a target, select from the following
options:

Optional tasks Tab in scan Description of task

target

Configure required fields. General See “Configuring the required

fields for Network Discover
These required fields should be set
targets” on page 1123.
when a new target is added.

Schedule Network Discover scans. General See “Scheduling Network

Discover scans” on page 1124.

Configure incremental scans. General See “Scanning new or modified

items with incremental scans”
on page 1154.

Provide authentication, and set up ScannedContent See “Providing the password

credentials. authentication for Network
Discover scanned content”
on page 1126.

Include, or exclude, repositories from Filters See “Setting up Discover filters

a scan. to include or exclude items from
the scan” on page 1128.

Filter targets by file size. Filters See “Filtering Discover targets

by item size” on page 1130.

Filter targets by date last accessed or Filters See “Filtering Discover targets
modified. by date last accessed or
modified” on page 1131.

Optimize your resources with scan Advanced See “Optimizing resources with
throttling. Network Discover scan
throttling” on page 1134.

Create an inventory of the locations Advanced See “Creating an inventory of

of unprotected sensitive data. the locations of unprotected
sensitive data” on page 1135.
 Network Discover scan target configuration options 1123
Configuring the required fields for Network Discover targets

Optional tasks Tab in scan Description of task

target

Specify options for automatically Advanced See “Configuring and running

tracking remediation status for scans of file systems”
network file system incidents. on page 1191.

Move or quarantine files in network Protect See “Configuring Network

file shares with Network Protect. Protect for file shares”
on page 1195.

Configuring the required fields for Network Discover

targets
For a new target, enter the name of the target, the policy group, and the Discover
Server where the scans can run.
These required fields should be set when a new target is added.
To enter the required fields for a target
1 In the Enforce Server administration console, go to Manage > Discover
Scanning > Discover Targets.
2 Click New Target, and use the pull-down menu to select the specific target
type.
3 On the General tab, enter the Name of this Discover target.
Enter a unique name for the target, or edit the existing name, up to 255
characters.
4 Select the Policy Group.
If no other policy group has been selected, the Default Policy group is used.
To apply a policy group, select the policy group to use for this target. You can
assign multiple policy groups to a target.
The administrator defines policy groups on the Policy Group List page. If
the policy group you want to use does not appear on the list, contact your
Symantec Data Loss Prevention administrator.
1124 Network Discover scan target configuration options
Scheduling Network Discover scans

5 Select the Discover Server (or multiple Discover Servers) where you want to
allow the scan to run.
If you select more than one server, Symantec Data Loss Prevention
automatically selects one of the servers when the scan starts.
Only the detection servers that were configured as Discover Servers appear
on the list. If there is only one Discover Server on your network, the name of
that server is automatically specified. You should configure your Discover
Servers before you configure targets. You must specify at least one server
before you can run a scan for this target.
6 On the Scanned Content tab, you must enter the item to be scanned. Refer
to the documentation about each type of target for additional information
about this entry.
See “About Network Discover” on page 1109.
7 You can configure other options for this target.
See “Network Discover scan target configuration options” on page 1121.

Scheduling Network Discover scans

Network Discover scans can be set up to run on a regular schedule, for example
during nights or weekends. Scans can also be set to pause during specified times,
for example when resources are normally busy with other tasks.
For file shares, Lotus Notes, or SQL databases, the scan schedule can be completely
specified with the Scan Schedule parameters.
For the scanner targets (such as SharePoint or Exchange), the scan must also be
scheduled from the computer where the scanner is installed. You must manually
manage the scan schedule between the Discover target and the scanner application.
The scanners are installed, configured, and run outside of the Enforce Server and
Network Discover Server. For example, the scanner can be scheduled to run
automatically using the host’s native scheduling. You can create a UNIX cron job,
or add the scanner to the Windows scheduler. The scanner should be scheduled
to run before the scheduled Network Discover scan, so that the Network Discover
scan has information to consume.
If you select a specific time for starting or pausing a scan, the time zone of the
Enforce Server is used.
You can configure other options for this target.
See “Network Discover scan target configuration options” on page 1121.
 Network Discover scan target configuration options 1125
Scheduling Network Discover scans

To set up a scan schedule

1 In the Enforce Server administration console, go to Manage > Discover
Scanning > Discover Targets.
2 Click the name of the scan that you want to schedule.
3 Click the General tab.
4 Select the item Submit Scan Job on Schedule.
When you select this check box to set up a schedule for scanning the specified
target, the Schedule drop-down list becomes available. After you select an
option from the Schedule drop-down list, additional fields appear.
5 Select one of the following additional fields:

No Regular Schedule Save the target without a schedule.

Scan Once Run the scan one time, at the specified

time and date.

Scan Daily Scan the target daily, at the specified start

time. Check Until to stop the daily scan
after a certain date.

Scan Weekly Scan the target every week. Check Until

to stop the weekly scan after a certain
date.

Scan Monthly Scan the target every month. Check Until

to stop the monthly scan after a certain
date.

6 Click Save.
To pause a scan during specified times
1 In the Enforce Server administration console, go to Manage > Discover
Scanning > Discover Targets.
2 Click the name of the scan that you want to pause during specified times.
3 Click the General tab.
4 Select the item Pause Scan between these times.
1126 Network Discover scan target configuration options
Providing the password authentication for Network Discover scanned content

5 Select the pause options.

This option automatically pauses scans during the specified time interval.
You can override a target’s pause window by going to the Discover Targets
screen and clicking the start icon for the target entry. The pause window
remains intact, and any future scans that run up against the scan window
pause as specified. You can also restart a paused scan by clicking the continue
icon in the target entry.

Note: If the target configuration is modified while it is paused, then the

modified configuration does not apply to items that were already scanned.
When a scan is paused and restarted, the scan is restarted from a checkpoint
that is created when the scan is paused. The modified configuration is used
for the items that are scanned from that checkpoint.

6 Click Save.

Providing the password authentication for Network

Discover scanned content
On the Scanned Content tab, enter the configuration options for authentication.
Avoid special characters in the authentication credentials. Authentication
credentials must not contain any of the following characters, or the scan fails:
■ Pipe character
■ Ampersand character
■ Quotation marks (single or double)
To provide password authentication for scanned content
1 In the Enforce Server administration console, go to Manage > Discover
Scanning > Discover Targets.
2 Click the name of the scan to provide the password authentication.
3 Click the Scanned Content tab.
4 You can enter authentication information in several ways:
■ Use a stored credential.
If a stored credential is available, select a named credential from the
drop-down in Use Saved Credentials.
■ A global scan credential can be provided for all shares in this target.
 Network Discover scan target configuration options 1127
Encrypting passwords in configuration files

Enter the user name and password in Use These Credentials.

■ Separate authentication credentials can be provided for each share in a
list.
A separate credential supersedes the global scan credential, if one was
provided.
Click Add or Edit to provide credentials for each share in a list.
In the Add box, enter the share and credentials with the following syntax:
path[, [username, password][, [depth][, remediation-username,
remediation-password]]]
For omitted items, provide a null entry with consecutive commas.

5 The format of the credentials depends on the type of scan. For the specific
format and examples of credentials for each target type, see the topic for that
target type.
See “About Network Discover” on page 1109.
6 You can set other options on the Scanned Content tab.
See “Network Discover scan target configuration options” on page 1121.
Remediation credentials can be set on the Protect tab.
See “Configuring Network Protect for file shares” on page 1195.

Encrypting passwords in configuration files

Encrypt passwords in the configuration files with the utility EncryptPassword.exe.
To encrypt passwords in configuration files
1 Navigate to the bin directory of the scanner installation on the scanner
computer.
See “Scanner installation directory structure” on page 1249.
2 Run the utility EncryptPassword.exe.
This utility encrypts the password that is provided in the scanner
configuration files.
3 When the utility requires you to enter a password, enter a password.
4 Click the encrypt option.
5 Place the encrypted password into the Password= setting in the
Vontuscanner_typeScanner.cfg file.

See “Configuration options for Web server scanners” on page 1274.

See “Configuration options for Documentum scanners” on page 1286.
1128 Network Discover scan target configuration options
Setting up Discover filters to include or exclude items from the scan

See “Configuration options for Livelink scanners” on page 1297.

Setting up Discover filters to include or exclude items

from the scan
Exclude and include filters reduce the number of items or repositories to scan.
Use the Include Filters field to specify the items that Symantec Data Loss
Prevention should process. If you leave the Include Filters field empty, Symantec
Data Loss Prevention performs matching on all items in the selected target. If you
enter any values in the field, Symantec Data Loss Prevention scans only those
items that match your filter.
Use the Exclude Filters field to specify the items that Symantec Data Loss
Prevention should not process. If you leave the Exclude Filters field empty,
Symantec Data Loss Prevention performs matching on all items in the selected
target. If you enter any values in the field, Symantec Data Loss Prevention scans
only those items that do not match your filter.
To optimize scanning, you can break up scans using include and exclude filters.
For example, you can exclude binary items. Binary items are less likely to contain
policy violations.
See “About Network Discover scan optimization” on page 1150.
Note that all filters are combined with “and” if a value is provided. Consider all
filter values (for example size and date) when adding or modifying scan filters.
Avoid unintentionally including everything, or excluding everything from the
scan.
When both include filters and exclude filters are present, exclude filters take
precedence.
You can configure other options for this target.
See “Network Discover scan target configuration options” on page 1121.
To set up include filters or exclude filters
1 In the Enforce Server administration console, go to Manage > Discover
Scanning > Discover Targets.
2 Click the name of the scan where you want to add include filters or exclude
filters.
3 Click the Filters tab.
 Network Discover scan target configuration options 1129
Setting up Discover filters to include or exclude items from the scan

4 Enter file names or paths into the Include Filters and the Exclude Filters to
select a subset of items that Symantec Data Loss Prevention should process.
Delimit entries with a comma, but no spaces. The path filter is case-sensitive.
When both include filters and exclude filters are present, exclude filters take
precedence.
The Include Filter and Exclude Filter file names are relative to the file system
root. Specify full paths or subdirectories, as needed. Some wildcards are
allowed.
Table 58-1 shows the syntax for the filters.
If the Exclude Filter entry exceeds the 1024-character limit, you can create
an exclude file with the file names to be excluded.
5 Click Save.
To create an exclude file
1 Create a directory named excludeFiles in the Symantec Data Loss Prevention
configuration directory, for example
\SymantecDLP\Protect\config\excludeFiles\. For a configuration with
multiple Discover servers, a copy of this directory and file must be present
on each Discover server.
2 In this directory create one text file for each set of items to exclude. For
example, you can create one file for each UNIX system to be scanned. Name
the files hostname.txt, where hostname is the name of the system to be
scanned, as provided in the target configuration. The hostname in this text
file must match exactly the name that is in the Discover Target.
3 In each file, list the paths (each path on a separate line) that you want to
exclude from the scan. The paths can be files, directories, symbolic links, or
mounted directories. The paths must each begin with a delimiter of “/” or “\”
followed by the share name, directory name, and file name. For example, a
valid path is \excludeshare\excludedir\excludefile.
Table 58-1 shows the syntax for the filters.

Table 58-1 Syntax for the Include Filters and Exclude Filters

* (asterisk) Use this wildcard to match any sequence of characters, including

null.

? (question mark) Use this wildcard to match any one character in the place where
it appears.

, (comma) Represents a logical OR. Delimit entries with a comma, but do not
use any spaces.
1130 Network Discover scan target configuration options
Filtering Discover targets by item size

Table 58-1 Syntax for the Include Filters and Exclude Filters (continued)

The forward slash (/) These characters are equivalent. They usually represent directory
and backslash (\) separators, although on Linux the backslash is a valid character
characters in a file name.

White space at the White space is ignored at the beginning and end of the pattern.
beginning and end of Do not use spaces before or after the commas that delimit entries.
the pattern

Escape characters The matching process does not support escape characters, so
there is no way to match a question mark, a comma, or an asterisk
explicitly. In general, special characters in filter items are not
supported.

The following example of an Include Filter matches only files or documents with
the .txt or .doc extensions, ignoring everything else:

*.txt,*.doc

The following example of an Include Filter matches only files or documents with
a single-character extension. This example matches files such as hello.1 and
hello.2, but not hello.doc or hello.html:

*.?

You can also use filters to match on specific subdirectories of a file share. For
example, to match only those files that are contained in the two subdirectories
that are called documentation and specs, enter the following include filter:

*/documentation/*,*/specs/*

Syntax and examples for SQL Database scanning are in the SQL Database section.
See “Configuring and running SQL database scans” on page 1206.
Syntax and examples for SharePoint scanning are in the SharePoint section.
See “Configuring and running SharePoint server scans” on page 1217.
Syntax and examples for Endpoint Discover scanning are in the Endpoint section.
See “How to implement Endpoint Discover” on page 1327.

Filtering Discover targets by item size

Use size filters to exclude items from the matching process that are based on their
size.
 Network Discover scan target configuration options 1131
Filtering Discover targets by date last accessed or modified

Size filters are only available for files on file shares, Endpoint files, Lotus Notes
documents, SharePoint items, and Exchange items.
You can configure other options for this target.
See “Network Discover scan target configuration options” on page 1121.
To exclude items based on item size
1 In the Enforce Server administration console, go to Manage > Discover
Scanning > Discover Targets.
2 Click the name of the scan that you want to filter based on item size.
3 Click the Filters tab.
4 Enter optional values under the item size filters.
Symantec Data Loss Prevention includes only the items that match your
specified size filters. If you leave this field empty, Symantec Data Loss
Prevention performs matching on items of all sizes.
Note that all filters are combined with “and” if a value is provided. Consider
all filter values (for example include, exclude, and date) when adding or
modifying scan filters. Avoid unintentionally including everything, or
excluding everything from the scan.
5 To exclude items smaller than a particular size, enter a number in the field
next to Ignore Smaller Than. Then select the appropriate unit of measure
(Bytes, KB, or MB) from the drop-down list next to it.
6 To exclude items larger than a particular size, enter a number in the field
next to Ignore Larger Than. Then select the appropriate unit of measure
(Bytes, KB, or MB) from the drop-down list next to it.
7 Click Save to save all updates to this target.

Filtering Discover targets by date last accessed or

modified
Specify date filters to exclude items from the matching process based on their
dates. Only the items that match the specified date filters are included.
Date Filters are available for files on file shares, Endpoint files, Lotus Notes
documents, and Microsoft SharePoint and Exchange documents.
Incremental scanning and differential scanning are available for some Network
Discover target types.
See “Scanning new or modified items with incremental scans” on page 1154.
1132 Network Discover scan target configuration options
Filtering Discover targets by date last accessed or modified

See “Scanning new or modified items with differential scans” on page 1155.
You can configure other options for this target.
See “Network Discover scan target configuration options” on page 1121.
Note that all filters are combined with “and” if a value is provided. Consider all
filter values (for example include, exclude, and size) when adding or modifying
scan filters. Avoid unintentionally including everything, or excluding everything
from the scan.
To exclude items based on the date last accessed or modified
1 In the Enforce Server administration console, go to Manage > Discover
Scanning > Discover Targets.
2 Click the Filters tab.
3 Enter optional values under File Date Filters.
4 Select Only Scan files added or modified since the last full scan for a
differential scan.
See “Scanning new or modified items with differential scans” on page 1155.
This option scans only the items that have been added or modified (whichever
is newer) since the last full scan.
If you do not select this option, Symantec Data Loss Prevention uses no date
filter. It performs matching on items of all dates in the specified target.
The first scan has to be a full scan. A full scan occurs if you select this option
before Symantec Data Loss Prevention scans this target for the first time.
When you select this option, you can also select the option Make next scan
a full scan. When you select this option, the date filters for Only scan files
added or modified and for Only scan files last accessed are disabled. The
next scan is a full scan (if no previous full scans have completed). Subsequent
scans cover only those items that have been added or modified since the full
scan. After Symantec Data Loss Prevention performs the full scan, this check
box is automatically deselected.
This option is not available for the target for a file system (file share). Use
incremental scanning, instead.
See “About incremental scans” on page 1153.
See “About the difference between incremental scans and differential scans”
on page 1152.
5 Select Only scan files added or modified to include files based on the added
or modified date.
 Network Discover scan target configuration options 1133
Filtering Discover targets by date last accessed or modified

Symantec Data Loss Prevention only scans items after the specified After
date, before the specified Before date, or between the dates you specify.
Note that if the After date is later than the Before date, then no items are
scanned. If the Before date and the After date are the same, then no items
are scanned. No items are scanned because the assumed time of the Before
parameter is at zero hours, and After is at 24 hours.
When you select this option, you can also select from the following options:
■ After
To include the items that are created or modified (whichever is newer)
after a particular date, type the date. You can also click the date widget
and select a date.
■ Before
To include the items that are created or modified (whichever is older)
before a particular date, type the date. You can also click the date widget
and select a date.

6 Select Only scan files last accessed to include files based on the last accessed
date.
Symantec Data Loss Prevention only scans items after the specified After
date, before the specified Before date, or between the dates you specify.
The last-accessed feature is only supported for Windows Network Discover
Server scanning of CIFS shares.
Note that if the After date is later than the Before date, then no items are
scanned. If the Before date and After date are the same, then no items are
scanned. No items are scanned because the assumed time of the Before
parameter is at zero hours, and After is at 24 hours.
When you select this option, you can also select from the following options:
■ After
To include the items that are accessed after a particular date, enter the
date. You can also click the date widget and select a date.
■ Before
To include the items that are accessed before a particular date, enter the
date. You can also click the date widget and select a date.
1134 Network Discover scan target configuration options
Optimizing resources with Network Discover scan throttling

Note: The default mount process uses the CIFS client. If the default mount
does not work, the mount task can use the java-based CIFS client by setting
filesystemcrawler.use.jcifs=true in the properties file Crawler.properties.

7 Click Save to save all updates to this target.

Optimizing resources with Network Discover scan

throttling
You can set throttling options on the Advanced tab of the target for the following
scan targets:
■ File shares
■ Endpoint files
■ Lotus Notes documents
■ SQL Databases
For the scanners, throttling must be set by editing the configuration file on the
scanner computer.

Note: Use of item throttling significantly reduces the scan rate. Expect the scan
rate to reduce to half the original scan rate or less.

You can also set other options to optimize scans.

See “About Network Discover scan optimization” on page 1150.
To set scan throttling for file shares, Lotus Notes documents, or SQL Databases
1 In the Enforce Server administration console, go to Manage > Discover
Scanning > Discover Targets.
2 Click the scan target name to open the target for editing.
 Network Discover scan target configuration options 1135
Creating an inventory of the locations of unprotected sensitive data

3 On the Advanced tab, set the throttling options.

4 Enter the maximum number of files or rows to be processed per minute, or
the maximum number of bytes to be processed per minute.
If you select both options, then the scan rate is slower than both options.

File Throttling Specify the maximum number of files,

documents (in Lotus Notes), or rows (in
SQL Databases) to be processed per
minute.

Byte Throttling Specify the maximum number of bytes to

be processed per minute.

Specify the unit of measurement from the

drop-down list. The options are bytes, KB
(kilobytes), or MB (megabytes).

To set item throttling for the scanners

1 Locate the scanner configuration file (scanner-type.cfg) on the computer
where the scanner was installed.
2 In the scanner configuration file, modify the ImportPoliteness parameter
and the BatchSize parameter.
When you set item throttling, the scanner fetches BatchSize items to local
storage and then waits for ImportPoliteness milliseconds between processing
each item fetched.
Byte throttling is not supported for any of the scanners.
3 To achieve item throttling from the repository, make the BatchSize parameter
a small value. Then the ImportPoliteness value has more effect. Setting
BatchSize=1 achieves the most throttling in fetching the documents.

For example, if you set BatchSize=25, and ImportPoliteness=5000 (5

seconds), the scanner downloads the 25 documents. Then it pauses 5 seconds
between processing each document.

Creating an inventory of the locations of unprotected

sensitive data
To audit whether confidential data exists on a target, without scanning all of it,
use Inventory Mode scanning. Inventory Mode is useful when the existence of
incidents is important, not the number of them in each location.
1136 Network Discover scan target configuration options
Creating an inventory of the locations of unprotected sensitive data

Running a scan in Inventory Mode can also improve the performance of scanning
large numbers of computers or large amounts of data. Setting incident thresholds
can improve the performance of scanning by skipping to the next content root to
scan, rather than scanning everything. A content root is one line (a file share,
Domino server, or SQL database) specified on the Scanned Content tab.
You can set a maximum number of incidents for a scan item. The scan item can
be a file share or a physical computer.
After the incident threshold has been reached, the scanning of this content root
is stopped, and scanning proceeds to the next content root. Because the process
is asynchronous, a few more incidents may be created than specified in the incident
threshold.
Inventory Mode scanning is supported for the following server-based scan targets:
■ File shares
For file shares, you can also specify whether to count incidents by content
root, or by computer. The content root is one file share on the list that is
specified on the Scanned Content tab. The selection is specified in the field
Count Incidents By.

■ Lotus Notes databases

The incident threshold is counted per content root (Domino server from the
list on the Scanned Content tab).
■ SQL databases
The incident threshold is counted per content root (SQL database from the list
on the Scanned Content tab).
Inventory Mode can be set with the incident threshold parameter. You can set it
when you add a new target, or when you edit an existing target.
After you locate the sensitive data, you can set other options to run the complete
scans that target those locations.
See “Network Discover scan target configuration options” on page 1121.
To create an inventory of sensitive data
1 In the Enforce Server administration console, go to Manage > Discover
Scanning > Discover Targets.
2 Click the scan target name to open the target for editing.
3 On the Advanced tab, you can optimize scanning with Inventory Mode
scanning.
 Network Discover scan target configuration options 1137
Creating an inventory of the locations of unprotected sensitive data

4 Set the Incident Threshold.

Enter the number of incidents to produce before moving on to the next content
root (specified on the Scanned Content tab).
5 Set the Count Incidents By option.
For file shares you can also choose the following methods to count the
incidents:
■ Content root (the default)
The content root is one file share from the list on the Scanned Content
tab.
After the incident threshold is reached, the scan moves to the next file
share.
■ Machine
Select this option to count by computer (from the specified shares on a
computer).
When the incident threshold is reached, the scan moves to the next content
root on the list to scan. If that content root is on the same physical
computer as the previous item, it is skipped.
Note that the computer name must be literally the same, for the content
root to be skipped. For example, \\localhost\myfiles and
\\127.0.0.1\myfiles are treated as different computers, even though
they are logically the same.
1138 Network Discover scan target configuration options
Creating an inventory of the locations of unprotected sensitive data
 Chapter 59
Managing Network Discover
target scans
This chapter includes the following topics:

■ Managing Network Discover target scans

■ Managing Network Discover Targets

■ Managing Network Discover scan histories

■ Managing Network Discover Servers

■ About Network Discover scan optimization

■ About the difference between incremental scans and differential scans

■ About incremental scans

■ Scanning new or modified items with incremental scans

■ About managing incremental scans

■ Scanning new or modified items with differential scans

■ Configuring parallel scanning of Network Discover targets

Managing Network Discover target scans

Management tasks for your Network Discover target scans fall into four broad
categories: managing Network Discover targets, managing Network Discover scan
histories, managing Network Discover servers, and optimizing scans.
See “Managing Network Discover Targets” on page 1140.
See “Managing Network Discover scan histories ” on page 1142.
1140 Managing Network Discover target scans
Managing Network Discover Targets

See “Managing Network Discover Servers” on page 1149.

See “About Network Discover scan optimization” on page 1150.

Managing Network Discover Targets

To manage your Discover scan targets, you can:
■ Start, stop, and pause target scans.
■ Monitor status as target scans run.
■ Select targets to view details about them.
■ Edit or delete targets.
■ Manage multiple targets.
■ Sort and filter targets for easier target management.
■ Specify the number of targets to display.
See “About the Network Discover scan target list” on page 1140.
See “Working with Network Discover scan targets” on page 1141.
See “Removing Network Discover scan targets” on page 1142.

About the Network Discover scan target list

You can manage your Network Discover scan targets on the Discover Targets
screen. The toolbar above the target list includes a drop-down menu for creating
new scan targets; buttons for starting, stopping, and pausing scans; and an icon
for filtering the items in the list. You can apply actions to multiple targets.
You can click most column headers to sort the list by the data in that column.
You can select the number of entries to display in the Discover Target list using
the drop-down menu above the Actions column.
See “Managing Network Discover target scans” on page 1139.
Table 59-1 lists the columns for each target scan.

Table 59-1 Discover Targets

Target Description
Information

Target Name Name of the target scan.

Target Type Type of target for the scan (such as File System or SharePoint).
 Managing Network Discover target scans 1141
Managing Network Discover Targets

Table 59-1 Discover Targets (continued)

Target Description
Information

Policy Groups Lists the policy groups to which the target is assigned.

Servers Lists the servers assigned to this target.

Last Modified Specifies the date and time that the target was last modified.

Scan Status Displays the status of the scan. Click the link in this column to view a
filtered scan history page for this target.

Next Scan Displays the next scheduled scan for the target, if applicable.

Actions Click the Edit Target icon to edit the target definition.

Click the Delete icon to delete the target.

To filter the Discover Target list

1 In the Enforce Server administration console, go to Manage > Discover
Scanning > Discover Targets.
2 Click Filter. A text field or drop-down list appears in each column header in
the Discover Target list.
3 Apply one of these filters to the list:
■ Target Name: Type the name of the target into the text field.
■ Target Type: Select the target type from the drop-down list.
■ Policy Groups: Type the name of the policy group into the text field.
■ Servers: Type the name of the server into the text field.
■ Last Modified: Select a range from the drop-down list.
■ Scan Status: Select a scan status from the drop-down list.
■ Next Scan: Select a range from the drop-down list.

4 To clear a filter, clear the value from the relevant text field or drop-down list,
or click Filter.

Working with Network Discover scan targets

You can perform the following tasks with your scan targets:
1142 Managing Network Discover target scans
Managing Network Discover scan histories

To start, stop, and pause Network Discover scans

1 In the Enforce Server administration console, go to Manage > Discover
Scanning > Discover Targets.
2 Select the scan target or targets you want to start, stop, or pause.
3 Click the Start, Stop, or Pause button on the target list toolbar.
To edit a Network Discover scan target
1 In the Enforce Server administration console, go to Manage > Discover
Scanning > Discover Targets.
2 Click the Edit Target button for the target you want to edit.
3 Make your desired changes on the Edit Target page.
See “Network Discover scan target configuration options” on page 1121.

Removing Network Discover scan targets

Check the scans that are running or queued before removing a scan target.
See “Managing Network Discover target scans” on page 1139.
To remove scan targets, perform these actions:
■ Remove the scan target from the Enforce Server.
■ Uninstall the scanner from the computer where it is installed, if applicable.
To remove a scan target
1 In the Enforce Server administration console, go to Manage > Discover
Scanning > Discover Targets.
2 Click Delete icon for the target you want to remove.

Managing Network Discover scan histories

To manage your Network Discover scan histories, you can:
■ View statistics about running or completed scans.
■ Download scan history information in comma-separated value (CSV) format.
■ View scan details.
■ View incident reports.
■ Delete scan histories.
■ Manage multiple scan histories.
 Managing Network Discover target scans 1143
Managing Network Discover scan histories

■ Sort and filter scan histories for easier management.

■ Specify the number of scan histories to display.
See “About Network Discover scan histories” on page 1143.
See “Working with Network Discover scan histories” on page 1144.
See “Deleting Network Discover scans” on page 1145.
See “About Network Discover scan details” on page 1145.
See “Working with Network Discover scan details” on page 1148.

About Network Discover scan histories

You can manage your Network Discover scan histories on the Scan History screen.
To view a scan history list for all Discover targets, in the Enforce Server
administrative console, go to Manage > Discover Scanning > Scan History.
You can click any column header to sort the list alpha-numerically by the data in
that column.
You can select the number of entries to display in the Discover Target list using
the drop-down menu above the Actions column.
For more details about a scan, click the link in the Scan Status column to display
the Scan Detail screen.
See “About Network Discover scan details” on page 1145.
See “Managing Network Discover target scans” on page 1139.
Table 59-2 lists the fields that are displayed for each scan.

Table 59-2 Scan History

Scan Description
History

Target Name of the target scan.

Name

Target Type Type of target for the scan (such as File System or SharePoint).

ScanStarted Date and time the scan started.

Scan Status Current status of the scan: Running, Paused, Completed, Stopped.

Scan Type Scan type: Incremental, Differential, or Full.

Incident Number of incidents found in the scan.

Count
1144 Managing Network Discover target scans
Managing Network Discover scan histories

Table 59-2 Scan History (continued)

Scan Description
History

Run Time Elapsed time of the scan in dd:hh:mm:ss format.

Bytes/Items Number of bytes scanned in the target, as well as the number of items
Scanned scanned.

Errors Number of errors during the scan.

Actions Click the View Incidents icon to view an incident summary report for the
scan.

See “About incident reports for Network Discover” on page 1160.

See “Discover incident reports” on page 919.

Click the Delete icon to delete the scan. Make sure to first delete differential
scans before you delete the base scan.

See “Deleting Network Discover scans” on page 1145.

To filter the Scan History list

1 In the Enforce Server administration console, go to Manage > Discover
Scanning > Scan History.
2 Click Filter. A text field or drop-down list appears in the column header in
the Scan History list.
3 Apply one of these filters to the list:
■ Target Name: Type the name of the target into the text field.
■ Target Type: Select the target type from the drop-down list.
■ Scan Started: Select a range from the drop-down list.
■ Scan Status: Select a scan status from the drop-down list.
■ Scan Type: Select a scan type from the drop-down list.

4 To clear a filter, clear the value from the relevant text field or drop-down list,
or click Filter.

Working with Network Discover scan histories

You can perform the following tasks with your scan histories:
 Managing Network Discover target scans 1145
Managing Network Discover scan histories

To export Network Discover scan histories

1 In the Enforce Server administration console, go to Manage > Discover
Scanning > Scan History.
2 Select the scan or scans you want to export.
3 Click Export. The File Download dialog box appears.
4 Click Open to view the exported data, or click Save to save the file.
5 To cancel the export operation, click Cancel.
To view incidents for a specific scan
1 In the Enforce Server administration console, go to Manage > Discover
Scanning > Scan History.
2 Click the View Incidents icon for the scan you want to view. The Discover
Incidents screen appears.

Deleting Network Discover scans

You can delete specific scans from your scan history.
To delete a scan
1 In the Enforce Server administration console, go to Manage > Discover
Scanning > Scan History.
2 Delete any differential scans before you delete the base full scan for that
target.
This step is not necessary for incremental scans.
3 Select the scan to be deleted, then click the delete icon in the Actions column.
To delete multiple scans, mark the checkboxes for the scans you want to
delete, then click Delete on the toolbar.

About Network Discover scan details

You can view detailed information about each Network Discover scan, including
general scan information, scan statistics, recent errors, and scan activity. You
can also download reports in CSV format for scan statistics, recent errors, and
scan activity.
To view scan details, go to Manage > Discover Scanning > Scan History. Select
the scan, then click the link in the Status column.
See “Managing Network Discover target scans” on page 1139.
Table 59-3 shows the General section which displays information about the scan.
1146 Managing Network Discover target scans
Managing Network Discover scan histories

Table 59-3 General Scan Detail

General Description
Scan
Detail

Target The type and icon of the target that was scanned.
Type

Target Name of the target.

Name

Status Status of the scan.

If the scan is running, the name of the Network Discover Server where this
scan is running is displayed.

Scan Type Scan type, such as incremental or full.

Start Time The date and time the scan began.

End Time The date and time the scan finished.

Table 59-4 shows the Scan Statistics section, which provides detailed information
about the scan.

Table 59-4 Scan Statistics

Scan Description
Statistics

Processed Number of items that have been scanned. If the scan is still running, this
field provides a benchmark of scan progress.

Run Time Amount of time that the scan took to complete. If the scan is still running,
(dd:hh:mm:ss) the amount of time that it has been running. The total does not include
any time during which the scan was paused.

Items Number of items scanned.

Scanned

Bytes Number of bytes scanned.

Scanned

Errors Number of errors that occurred during the scan. A list of the errors is
available in the Recent Scan Errors section.
 Managing Network Discover target scans 1147
Managing Network Discover scan histories

Table 59-4 Scan Statistics (continued)

Scan Description
Statistics

Total Total number of incidents that were detected during the current scan.
Detected
Incident
Count

Current Number of incidents that were detected during the current scan, less any
Incident deleted incidents. You can click this number to see an incident list for this
Count scan.

The Recent Scan Errors section is a listing of the errors that occurred during the
scan.
If a scan has many errors, the Scan Detail screen does not display them all. To
see a complete list of errors that occurred during the scan, click Download Full
Error Report.
Table 59-5 shows the information in the Recent Scan Errors report, which provides
information about each error.

Table 59-5 Recent Scan Errors

Recent Description
Scan Error
Details

Date The date and time of the error during the scan.

Path The directory path to the location of the file with the error during the scan.

Error The error message.

Recent Scan Activity displays the most recent log entries of the notable events
that occurred during the scan.
If a scan has many activity messages, the Scan Detail screen does not display
them all. To see a complete list of scan activity messages, click Download Full
Activity Report.
Table 59-6 shows the Recent Scan Activity report, which provides information
about each activity.
1148 Managing Network Discover target scans
Managing Network Discover scan histories

Table 59-6 Recent Scan Activity

Recent Scan Description

Activity
Details

Date/Time The date and time when the logged event occurred.

Level The severity of the event.

Message The message that was logged about the event.

Table 59-7 explains the options on the Scan Detail screen.

Table 59-7 Options on the Scan Detail screen

Scan Detail Description

options

Download Full Download a report with all scan statistics in CSV format.
Statistics
Report

Download Full Download a report with all scan errors in CSV format.
Error Report

Download Full Download a report with all scan activity in CSV format.
Activity
Report

Working with Network Discover scan details

You can perform the following tasks with scan details:
To view scan details
1 In the Enforce Server administration console, click Manage > Discover
Scanning > Scan History.
2 On the Scan History page, click the link in the Scan Status column for the
scan for which you want to view details.
To export scan details to a CSV file
1 In the Enforce Server administration console, go to Manage > Discover
Scanning > Scan History.
2 On the Scan History page, click the link in the Scan Status column for the
scan for which you want to view details.
3 On the Scan Details page, click one of the following buttons:
 Managing Network Discover target scans 1149
Managing Network Discover Servers

■ Download Full Statistics Report

■ Download Full Error Report
■ Download Full Activity Report

Managing Network Discover Servers

You can view the status and scan details of Network Discover scans for each
Discover server.
See “Viewing Network Discover server status” on page 1149.

Viewing Network Discover server status

The Discover Servers screen lists the detection servers for Network Discover or
Endpoint Discover that are configured on your network. This screen shows details
about the scans on each detection server.
To view your Discover servers, in the Enforce Server administration console, go
to Manage > Discover Scanning > Discover Servers.
See “Managing Network Discover target scans” on page 1139.
Table 59-8 lists the information for each server.

Table 59-8 Discover Servers

Server Information Description

Server Name The name of the server. In parentheses is the type of detection
server, either Discover or Endpoint.

Running Scans A list of the scans that are currently running on this server.

Queued Scans A list of the scans that are queued to run on this server.

Scheduled Scans A list of scans that are scheduled to run in the future on this server.

Paused Scans A list of the paused scans on this server.

To view scan details from a Network Discover server

1 In the Enforce Server administration console, go to Manage > Discover
Scanning > Discover Servers
2 On the Discover Servers page, click the name of the scan for which you want
to view details.
See “About Network Discover scan details” on page 1145.
1150 Managing Network Discover target scans
About Network Discover scan optimization

About Network Discover scan optimization

Network Discover Target scans can take hours or days to complete, depending on
the type of scan and the amount and format of the data to be scanned, as well as
hardware and network speed. To optimize your scans of large amounts of
information for better performance, follow the suggestions in this section.
To help optimize your Network Discover scans, consider using some of the
following methods:
■ Begin by scanning only the file shares or repositories that are the most accessed
and most widely available (for example, guest or public access). Start small,
and confirm the accuracy of your scans before increasing the volume of
information in a scan. After you have achieved satisfactory performance with
your initial scans, add scanning for the business units that handle your
confidential data.
■ Install multiple Network Discover Servers on the network.
■ Break large scans into multiple smaller scans. Create separate scan targets
and use filters to break up the set to scan.
You can break up scans with include, exclude, size, and date filters.
See “Setting up Discover filters to include or exclude items from the scan”
on page 1128.
See “Filtering Discover targets by item size” on page 1130.
See “Filtering Discover targets by date last accessed or modified” on page 1131.
■ Scan non-binary files first. Binary files are less likely to contain policy
violations.
For example, you can set the Exclude Filter to the following list to scan
non-binary files:

*.exe,*.lib,*.bin,*.dll,*.cab,*.dat

*.au,*.avi,*.mid,*.mov,*.mp,*.mp3,*.mp4,*.mpeg,*.wav,*.wma

To scan the rest of the files, use this filter as the Include Filter of a different
scan target.
See “Setting up Discover filters to include or exclude items from the scan”
on page 1128.
■ For File System targets, you can configure incremental scans to check only
those files that have not yet been scanned.
See “Scanning new or modified items with incremental scans” on page 1154.
See “About the difference between incremental scans and differential scans”
on page 1152.
 Managing Network Discover target scans 1151
About Network Discover scan optimization

■ Scan new or recently modified items in one scan target, and older ones in a
second scan target.
Use the date filter to break up scans by date values, by files older than, or files
newer than.
See “Filtering Discover targets by date last accessed or modified” on page 1131.
■ After the initial scan, run differential scans to check only those items that
were added or modified since the last complete scan.
See “Scanning new or modified items with differential scans” on page 1155.
See “About the difference between incremental scans and differential scans”
on page 1152.
■ Scan small files in one scan target and large files in another. Scanning many
small files carries more overhead than fewer large files.
Use the size filter to break up scans by size.
See “Filtering Discover targets by item size” on page 1130.
■ Scan compressed files in a separate scan target.
Use the Include Filter to scan compressed files. For example, use the following
list:

*.zip,*.gzip

To scan the rest of the files, use this filter as the Exclude Filter of a different
scan target.
See “Setting up Discover filters to include or exclude items from the scan”
on page 1128.
■ Scan database or spreadsheet files in a separate scan target.
Use the SQL Database target to scan database files.
See “Configuring and running SQL database scans” on page 1206.
Use the Include filter to scan spreadsheet files:

*.xls

Set up a separate scan target and use the Exclude Filter to scan everything
else.
See “Setting up Discover filters to include or exclude items from the scan”
on page 1128.
■ Exclude the folders internal to applications. For example, in the scan of a DFS
share, exclude the internal DfsrPrivate folder. In the scan of a share on a
NetApp filer, exclude the .snapshot folder.
See “Excluding internal DFS folders” on page 1189.
See “Configuring and running scans of file systems” on page 1191.
1152 Managing Network Discover target scans
About the difference between incremental scans and differential scans

■ Use Inventory Mode scanning to move to the next scan item after an incident
threshold is reached. Inventory Mode scanning can audit where confidential
data is stored without scanning all of it.
See “Creating an inventory of the locations of unprotected sensitive data”
on page 1135.
■ Dedicate as much hardware as possible to the scans. For example, suspend or
quit any other programs that run on the server.
■ Use Scan Pausing to automatically suspend scanning during work hours.
■ Run scans in parallel.
See “Configuring parallel scanning of Network Discover targets” on page 1156.
■ Use throttling to reduce network load.
See “Optimizing resources with Network Discover scan throttling” on page 1134.
■ Update the server hardware.
You can use up to 12 GB of memory, quad CPUs, ultra-fast hard drives, and
network cards to address any bottlenecks in the hardware.

About the difference between incremental scans and

differential scans
Incremental and differential scans let you optimize scan performance by scanning
only new or modified items. Incremental scans resume from whatever point they
left off, whether or not the first scan was a full scan. Differential scans only scan
items added or modified after the last full scan: you must run at least one full scan
on your scan target before you can use differential scanning.
See “About incremental scans” on page 1153.
See “Scanning new or modified items with incremental scans” on page 1154.
See “Scanning new or modified items with differential scans” on page 1155.
Table 59-9 compares incremental scans and differential scans.

Table 59-9 Differences between incremental scans and differential scans

Incremental scans Differential scans

Incremental scans are Differential scans are supported for the following targets:
supported for the following
■ Server > Lotus Notes
targets:
■ Server > Exchange
■ Server > File System ■ Endpoint > File System
■ Server > SharePoint
 Managing Network Discover target scans 1153
About incremental scans

Table 59-9 Differences between incremental scans and differential scans

(continued)

Incremental scans Differential scans

Partial scans retain the Differential scans begin with a full scan of the Discover
information about the items target. This full scan is called the base scan.
that have been scanned.
Partial scans cannot be used as a base scan.
If files, shares, or other items
are missed because they are
inaccessible, the next
incremental scan
automatically covers the
missed items.

Subsequent runs scan all Subsequent runs scan all items that have been added or
items that have not modified since the date of the most recent full (base) scan
previously been scanned, completed.
including new or modified
items.

An incremental scan index The most recent complete base scan serves as the
keeps track of which items comparison for which items to scan, based on the date of
have already been scanned. the base scan.

About incremental scans

Incremental scans let you optimize scan performance by scanning only new or
modified items. Incremental scans resume from whatever point they left off,
whether or not the first scan was a full scan
See “About Network Discover scan optimization” on page 1150.
Incremental scanning is only supported for some targets types.
See “About the difference between incremental scans and differential scans”
on page 1152.
Incremental scans retain the information about the items that have been scanned.
Some files may be skipped during a scan, for example, because they are locked or
in use. A scan may not complete because the data cannot be accessed, such as
when a server or device is offline. These missed files are scanned during subsequent
scans of this target.
An incremental scan index keeps track of which items have been scanned
previously. This index is synchronized between multiple Discover Servers.
1154 Managing Network Discover target scans
Scanning new or modified items with incremental scans

For information about sizing requirements for the incremental scan index, see
the Symantec Data Loss Prevention System Requirements and Compatibility Guide.

Scanning new or modified items with incremental

scans
An incremental scan lets you resume a Network Discover scan from where you
left off. An incremental scan only scans the items that have not been scanned
previously.
See “About the difference between incremental scans and differential scans”
on page 1152.
To set up an incremental scan
1 Go to Manage > Discover Scanning > Discover Targets.
2 Click the drop-down New Target, and select the File System or SharePoint
target type, or select one of the file system or SharePoint scan targets in the
list to edit it.
3 Click the General tab.
4 Under Scan Type, select Scan only new or modified items (incremental scan).
This option is the default for new targets.
If you have changed the policy or other definitions in an existing scan, you
may want to set up the next scan as a full scan to ensure complete policy
coverage. Select the following option:
Scan all items for the next scan. Subsequent scans will be incremental.
If you always want to scan all items in this target, select the following option:
Always scan all items (full scan)
5 Complete the other steps to set up or modify a Discover target and run the
scan.
See “Configuring the required fields for Network Discover targets” on page 1123.
See “Network Discover scan target configuration options” on page 1121.
See “Setting up server scans of file systems” on page 1177.
6 To manage incremental scanning and diagnose issues, refer to the following
topic:
See “About managing incremental scans” on page 1155.
 Managing Network Discover target scans 1155
About managing incremental scans

About managing incremental scans

Note the following when running incremental scans:
■ If your installation has multiple Discover Servers, the incremental scan index
is automatically synchronized to all the other Discover Servers for that target.
■ When you change the incremental scan setting from Scan only new or modified
items (incremental scan) to Scan all items for the next scan. Subsequent scans
will be incremental, then the incremental scan index for that target is cleared
before the scan starts. Subsequent scans are incremental.
■ To scan all items, set Always scan all items (full scan) for the Discover target.
■ If the setting Always scan all items (full scan) is selected, then any previous
index entries for that target are cleared before the scan starts. The index is
not repopulated during the scan.
If you want to scan all items and then continue incremental scanning, select
the option Scan all items for the next scan. Subsequent scans will be
incremental.
■ When a Discover target is deleted, the incremental scan index is not
automatically removed.

Scanning new or modified items with differential

scans
To save resources, differential scans only scan the items that have been added or
modified since the last full scan.
For information about how a target that is configured for differential scanning
is upgraded during a version upgrade, see the Symantec Data Loss Prevention
Upgrade Guide.
See “About the difference between incremental scans and differential scans”
on page 1152.
To set up a differential scan
1 Go to Manage > Discover Scanning > Discover Targets.
2 Click the drop-down New Target, and select the target type, or select one of
the scan targets in the list to edit it.
3 Click the Filters tab.
4 Select the date option for a differential scan.
See “Filtering Discover targets by date last accessed or modified” on page 1131.
1156 Managing Network Discover target scans
Configuring parallel scanning of Network Discover targets

5 Run a full scan. The initial scan must be a full scan.

6 After the initial scan has completed, the next scan only scans the items that
are added or modified since the last full scan.

Configuring parallel scanning of Network Discover

targets
Multiple scans of different targets can be run simultaneously on the same Network
Discover Server.
Parallel scans of server and scanner target types are supported. Parallel scanning
of Endpoint file systems is not supported. Parallel scanning of the same CIFS
server or share with different credentials, and from the same Network Discover
Server is not supported.
The scan can be controlled (paused, resumed, or stopped) independent of other
scans that are on the Network Discover Server. The state of each scan is maintained
and reported separately.
When a scan is started and multiple Network Discover Servers are selected, one
is selected for this scan. The scan is assigned to run on the server with the fewest
number of scans that are running. The server is chosen from the server set
specified in the target.
After a scan starts, it continues to run on the same server until the scan completes,
is aborted, or paused. On resumption the scan may be assigned to run on a different
server.
Automated load balancing is not supported. If a Network Discover Server completes
running all its scans, scans from other servers do not migrate to the unloaded
server. However, a scan can be migrated manually, by pausing and restarting the
scan.
To run multiple scanner targets on the same Network Discover Server, separate
ports must be configured for each scanner. The default port for a new scanner is
a value not already used by any scan targets.
See “Troubleshooting scanners” on page 1247.
To configure parallel scanning
1 In the Enforce Server administration console, go to System > Servers >
Overview.
2 Select a Network Discover Server to configure, and click the server name.
3 Click the Configure option at the top.
 Managing Network Discover target scans 1157
Configuring parallel scanning of Network Discover targets

4 Then select the Discover tab.

5 Set the maximum number of parallel scans to run on this Network Discover
Server.
The default value for Maximum Parallel Scans is 1. The maximum count can
be increased at any time. After it is increased, then any queued scans that
are eligible to run on the Network Discover Server are started. The count can
be decreased only if the Network Discover Server has no running scans. Before
you reduce the count, pause or stop all scans on the Network Discover Server.
6 Click Save.
7 Click Done.
8 You can view the scans that are actively running, queued, scheduled, or paused
on each Network Discover Server. In the Enforce Server administration
console, go to Manage > Discover Scanning > Discover Servers.
See “Managing Network Discover target scans” on page 1139.
1158 Managing Network Discover target scans
Configuring parallel scanning of Network Discover targets
 Chapter 60
Managing Network Discover
incident reports
This chapter includes the following topics:

■ About reports for Network Discover

■ About incident reports for Network Discover

About reports for Network Discover

Symantec Data Loss Prevention has reports for incidents, Network Discover
targets, scan details, and scan history.
The Network Discover incident reports contain details about the confidential data
that is exposed.
See “About incident reports for Network Discover” on page 1160.
For information about Network Discover targets and scan history, go to Manage
> Discover Scanning > Discover Targets, then select one of the Discover targets
from the list. For information about Network Discover scan details, go to Manage
> Discover Scanning > Scan History, then select one of the Discover scans from
the list.
See “Managing Network Discover target scans” on page 1139.
Table 46-1 lists the Network Discover reports.
1160 Managing Network Discover incident reports
About incident reports for Network Discover

Table 60-1 Network Discover Reports

Report Navigation

Network Discover This report is on the Enforce Server administration console,

Targets Manage menu, Discover Scanning > Discover Targets.

See “About the Network Discover scan target list” on page 1140.

Scan Status This report is on the Enforce Server administration console,

Manage menu, Discover Scanning > Discover Servers.

See “Viewing Network Discover server status” on page 1149.

Scan History (single This report is from the Enforce Server administration console,
target) Manage menu, Discover Scanning > Discover Targets. Click the
link in the Scan Status column to see the history of a particular
scan target.

See “About Network Discover scan histories” on page 1143.

Scan History (all This report is from the Enforce Server administration console,
targets) Manage menu, Discover Scanning > Scan History.

See “About Network Discover scan histories” on page 1143.

Scan Details This report is from the Enforce Server administration console,
Manage menu, Discover Scanning > Scan History. Click the link
in the Scan Status column to see the scan details.

See “About Network Discover scan details” on page 1145.

About incident reports for Network Discover

Use incident reports to track and respond to Network Discover incidents. You can
save, send, export, or schedule Symantec Data Loss Prevention reports.
See “About Symantec Data Loss Prevention reports” on page 935.
In the Enforce Server administration console, on the Incidents menu, click
Discover This incident report displays all incidents for all Discover targets. You
can select the standard reports for all incidents, new incidents, target summary,
policy by target, status by target, or top shares at risk.
Summaries and filter options can select which incidents to display.
See “About custom reports and dashboards” on page 948.
See “About filters and summary options for reports” on page 972.
You can create custom reports with combinations of filters and summaries to
identify the incidents to remediate.
 Managing Network Discover incident reports 1161
About incident reports for Network Discover

For example you can create the following reports:

■ A summary report of the number of incidents in each remediation category.
Select the summary Protect Status.
■ A report of all the incidents that were remediated with copy or quarantine.
Select the filter Protect Status with values of File Copied and File Quarantined.
■ A report of the Network Discover incidents that have not been seen before (to
identify these incidents and notify the data owners to remediate them).
Select the filter Seen Before?. Set a value of No.
■ A report of the Network Discover incidents that are still present (to know
which incidents to escalate for remediation).
Select the filter Seen Before?. Set a value of Yes.
■ A report using the summary filters, such as months since first detected.
Select the summary Months Since First Detected.
1162 Managing Network Discover incident reports
About incident reports for Network Discover
 Chapter 61
Using Server FlexResponse
plug-ins to remediate
incidents
This chapter includes the following topics:

■ About the Server FlexResponse platform

■ Using Server FlexResponse custom plug-ins to remediate incidents

■ Deploying a Server FlexResponse plug-in

■ Locating incidents for manual remediation

■ Using the action of a Server FlexResponse plug-in to remediate an incident

manually

■ Verifying the results of an incident response action

■ Troubleshooting a Server FlexResponse plug-in

About the Server FlexResponse platform

The Server FlexResponse application programming interface (API) provides a
flexible platform for incident remediation. It enables Symantec Data Loss
Prevention users to protect data by automatically or manually invoking custom
Server FlexResponse actions.
Symantec provides a set of Server FlexResponse plug-ins that perform various
remediations such as quarantining sensitive data, copying files, and applying
digital rights protection or encryption. Independent developers can also write
Server FlexResponse plug-ins to perform custom incident remediation using this
1164 Using Server FlexResponse plug-ins to remediate incidents
About the Server FlexResponse platform

API and the Java programming language. The Server FlexResponse API enables
developers to build a plug-in that can be used to implement incident responses
for use in Automated and Smart Response rules.
The following are example Network Protect actions that you can implement by
developing a Server FlexResponse plug-in:
■ Change Access Control Lists (ACL) on files. For example, you can remove guest
access to selected files.
■ Apply Digital Rights Management (DRM). For example, you can apply digital
rights to documents so external parties are restricted in their access to sensitive
material. These digital rights can include “do not forward” or “do not print.”
■ Encrypt files.
■ Migrate files to SharePoint. The custom protect action can move files from
shares to a SharePoint repository, and then apply DRM and ACLs.
■ Perform workflow and automation of remediation responses.
■ Use the Symantec Workflow business process automation workflow.
The following steps are involved in building, deploying, and using a Server
FlexResponse plug-in:
■ Developing a plug-in using the Java API. This stage involves designing and
coding the plug-in and remediation action.

■ Configuring plug-in parameters by creating the configuration properties file

for your plug-in.
See “Creating a properties file to configure a Server FlexResponse plug-in”
on page 1168.
■ Adding your plug-ins to the plug-ins configuration properties file.
See “Adding a Server FlexResponse plug-in to the plug-ins properties file”
on page 1167.
■ Deploying your custom plug-in on the Enforce Server.
See “Deploying a Server FlexResponse plug-in” on page 1166.
■ Loading the plug-in, including the plug-in metadata.
■ Creating response rules for incident Smart Response actions.

■ Using the plug-in action to remediate an incident.

See “Using the action of a Server FlexResponse plug-in to remediate an incident
manually” on page 1172.
■ Verifying the results of the Server FlexResponse plug-in action.
See “Verifying the results of an incident response action” on page 1173.
 Using Server FlexResponse plug-ins to remediate incidents 1165
Using Server FlexResponse custom plug-ins to remediate incidents

Note: Server FlexResponse plug-ins that were created for Symantec Data Loss
Prevention versions 10 and 11 are compatible with Symantec Data Loss Prevention
version 12.

The sections that follow describe how to deploy and configure pre-made
FlexResponse plug-ins, as well as how to use custom plug-in actions in Symantec
Data Loss Prevention policies. You can obtain some Server FlexResponse plug-ins
directly from Symantec. You can also develop your own custom plug-ins using
the Server FlexResponse API. For information about developing plug-ins using
the Java API, See the Symantec Data Loss Prevention Server FlexResponse Platform
Developers Guide.

Using Server FlexResponse custom plug-ins to

remediate incidents
You can use Server FlexResponse plug-in actions to automatically or manually
remediate Network Discover incidents.
To develop a custom remediation action, see the Symantec Data Loss Prevention
Server FlexResponse Platform Developers Guide.
To automatically or manually remediate incidents with a custom Server
FlexResponse plug-in, you must perform the following steps:

Table 61-1
Step Action Description

1 Deploy a Server FlexResponse plug-in to the Each Server FlexResponse plug-in must be deployed to
Enforce Server computer. the Enforce Server computer before you can use the
plug-in actions in Symantec Data Loss Prevention policies.

See “Deploying a Server FlexResponse plug-in” on page 1166.

2 Create a response rule that uses a custom See “Configuring the Server FlexResponse action”
Server FlexResponse incident response on page 840.
action.
1166 Using Server FlexResponse plug-ins to remediate incidents
Deploying a Server FlexResponse plug-in

Table 61-1 (continued)

Step Action Description

3 (Optional) Use the Server FlexResponse If you are using a Server FlexResponse plug-in action in
plug-in to manually remediate incidents. a smart response rule, you must manually locate an
incident and execute the FlexResponse action.

See “Locating incidents for manual remediation”

on page 1171.

See “Using the action of a Server FlexResponse plug-in to

remediate an incident manually” on page 1172.

This step is not necessary if you configure an automated

response rule to execute a Server FlexResponse action.
With automated response rules, the creation of an incident
that triggers the automated response rule also executes
the configured FlexResponse action.

4 Verify the results. See “Verifying the results of an incident response action”
on page 1173.

Deploying a Server FlexResponse plug-in

Enable a plug-in for the Server FlexResponse API.
To deploy a Server FlexResponse plug-in
1 Copy the completed Server FlexResponse plug-in JAR file to the plug-ins
directory:

SymantecDLP\Protect\plugins\

2 Configure the plug-in with a properties file.

See “Creating a properties file to configure a Server FlexResponse plug-in”
on page 1168.
3 Copy the properties file for each plug-in into the directory where you placed
your JAR file:

SymantecDLP\Protect\plugins\

4 In the file SymantecDLP\Protect\config\Plugins.properties, add the

plug-in to the list, and enter the properties for your plug-in.
See “Adding a Server FlexResponse plug-in to the plug-ins properties file”
on page 1167.
 Using Server FlexResponse plug-ins to remediate incidents 1167
Deploying a Server FlexResponse plug-in

5 Make sure that the Symantec Data Loss Prevention protect user has read and
execute access to both the plug-in JAR file and the plug-in properties file.
6 To load the plug-in, stop the Vontu Incident Persister and Vontu Manager
services, and then restart them.

Adding a Server FlexResponse plug-in to the plug-ins properties file

Add a Server FlexResponse plug-in to the Plugins.properties file. Also, modify
any parameters that are necessary for the plug-in.
To add a Server FlexResponse plug-in to the properties file
1 Edit the Plugins.properties file.
General values are in this file for all plug-ins, plus a list of all the plug-ins
that are implemented.
See Table 61-2 on page 1168.
This file is in the following directory:

SymantecDLP\Protect\config

2 Locate the following line in the file, which specifies the JAR files of the plug-ins
to construct at load time:

# Incident Response Action configuration parameters.

com.symantec.dlpx.flexresponse.Plugin.plugins =
plugin1.jar,plugin2.jar

Remove the comment mark from the beginning of the line, if necessary, and
replace plugin1.jar,plugin2.jar with the names of the plug-in JAR files
you want to deploy. Separate multiple JAR files with commas.
3 Edit any additional parameters in this file.
Table 61-2 describes the additional properties for the Server FlexResponse
API in the Plugins.properties file.
4 Stop the Vontu Incident Persister and Vontu Manager services, and then
restart them. This loads the new plug-in and the other parameters in this file.
If you later change the Plugins.properties file, you must restart both the
Vontu Incident Persister and Vontu Manager services to apply the change.
In Table 61-2 plugin-id is a unique identifier of the plugin within this properties
file, for example test1.
1168 Using Server FlexResponse plug-ins to remediate incidents
Deploying a Server FlexResponse plug-in

Table 61-2 Parameters in the Plugins.properties file

Property name Description

protect.plugins.directory The directory under which all Symantec Data Loss Prevention
plug-ins are installed.

com.symantec.dlpx.flexresponse.Plugin.plugins A comma-separated list of JAR files (or JAR titles) to be loaded in

the Server FlexResponse plug-in container.

Each plug-in in this list will correspond to a response rule action

in the Enforce Server administration console.

The container in which your JAR file is deployed includes all of

the public JRE classes provided by the JVM installed with
Symantec Data Loss Prevention. The container also includes all
of the FlexResponse API classes described in this document
(classes in the com.symantec.dlpx package hierarchy). Your
FlexResponse plug-in code may have dependencies on other JAR
files that are not provided by the plug-in container. Place any
external JAR files that you require in the \plugins directory of
the Enforce Server where the FlexResponse plug-in is deployed.
Then reference the JAR in this property.

com.vontu.enforce.incidentresponseaction. The maximum number of incidents that can be selected from the
incident list report for one Server FlexResponse Smart Response
IncidentResponseActionInvocationService.
rule invocation.
maximum-incident-batch-size
The default is 100.

In this release, the maximum value of this parameter cannot

exceed 1000.

com.vontu.enforce.incidentresponseaction. Do not change the value of this parameter. This parameter is

reserved for development and debugging.
IncidentResponseActionInvocationService.
Use the timeout property in the individual plug-in properties
keep-alive-time
file to set the timeout for the execution threads for your plug-in.

com.vontu.enforce.incidentresponseaction. The execution thread timeout for the serial thread executor
(global).
IncidentResponseActionInvocationService.
See the is-serialized property in the individual plug-in
serial-timeout
property file for details.

Creating a properties file to configure a Server FlexResponse plug-in

Specific information and parameters for each Server FlexResponse plug-in are in
the plug-in-name.properties file.
Each plug-in must have a separate properties file.
 Using Server FlexResponse plug-ins to remediate incidents 1169
Deploying a Server FlexResponse plug-in

An individual plug-in properties file is not necessary if the plug-in satisfies the
following conditions:
■ Does not need custom properties.
■ Provides the display name and the plug-in identifier in the implementation of
the plug-in metadata class.
■ Does not need a stored credential.
To configure a Server FlexResponse plug-in
1 Create a text file that contains the properties for each Server FlexResponse
plug-in.
Each JAR file has an optional associated properties file with the same base
name as the JAR file. These files are located in the
SymantecDLP\Protect\plugins directory.

For example, if you have a plugin1.jar file, you should create a

plugin1.properties file.

2 In this file, enter the keys and values of all the parameters for the plug-in:

display-name=plugin 1
plugin-identifier=IncidentResponseAction1

To update the properties, you must stop the Vontu Manager and Vontu
Incident Persister services, and then restart them to load in the new values.
See Table 61-3 on page 1170.
3 Make sure that the Symantec Data Loss Prevention protect user has read and
execute access to the plug-in properties file.
Table 61-3 describes the properties in the plug-in-name.properties file.
1170 Using Server FlexResponse plug-ins to remediate incidents
Deploying a Server FlexResponse plug-in

Table 61-3 Parameters in the custom plug-in properties file

Property name Description

display-name The name of this plug-in.

This name is displayed in the choose a plugin drop-down menu when you select
an All: Server FlexResponse action in a Smart Response rule or an automated
response rule.

A best practice is to define this property in the plug-in properties file.

If you change the value of this name in the properties file after the plug-in is loaded,
you must restart the Vontu Incident Persister and Vontu Manager services to load
in the new name.

Alternatively, this value can be specified in the metadata class.

This value is mandatory and it must be specified in at least one place, either in the
configuration properties file, or the plug-in metadata class.

For international environments, this display name can be in the local language.

plugin-identifier The identifier for this plug-in. This identifier should be unique for all Server
FlexResponse plug-ins on this Enforce Server.

A best practice is to define this property in the plug-in properties file.

Alternatively, this value can be specified in the metadata class.

This value is mandatory and it must be specified in at least one place, either in the
configuration properties file, or the plug-in metadata class.

If any response rule is assigned to this Server FlexResponse plug-in, do not change
this identifier in your properties file.

credential-reference.credential Specifies a reference to a named credential to authenticate access, for example to

an inventory database. The value of this property must refer to a named credential
that was defined on the Enforce Server. The credential-reference in the property
name provides a method to differentiate between multiple credentials in the
properties file.

inventory-credential.credential=
InventoryDB1

custom name These optional custom parameters are required to pass information to your plug-in.
These parameters are passed to each invocation of the plug-in and can optionally
Example:
be made available at the time this plug-in is constructed.
test1.value.1

test1.value.2
 Using Server FlexResponse plug-ins to remediate incidents 1171
Locating incidents for manual remediation

Table 61-3 Parameters in the custom plug-in properties file (continued)

Property name Description

timeout Optional parameter with the timeout in milliseconds for the execution threads for
this plug-in.

The default is 60000 (one minute).

If the timeout value is reached, the user interface shows the Server FlexResponse
plug-in status as failed, and the incident history is updated with a timeout message.

If you change the value of this property in the properties file after the plug-in is
loaded, you must stop the Vontu Incident Persister and Vontu Manager services,
and then restart them.

maximum-thread-count Optional parameter with the number of parallel threads available for execution of
this plug-in. This parameter is ignored if is-serialized is set.

The default is 2.

If you change the value of this property in the properties file after the plug-in is
loaded, you must stop the Vontu Incident Persister and Vontu Manager services,
and then restart them.

is-serialized The value of this parameter can be true or false. Set this optional parameter to
true if this plug-in execution must be serialized (one thread at a time). All serialized
plug-ins share a single execution thread. If this parameter is set, then timeout
and maximum-thread-count are ignored.

The default is false.

If you change the value of this property in the properties file after the plug-in is
loaded, you must stop the Vontu Incident Persister and Vontu Manager services,
and then restart them.

Locating incidents for manual remediation

To manually execute the plug-in action configured in a Smart Response Rule, use
the reports on the Enforce Server to select incidents for remediation.
To locate incidents for manual remediation
1 Log on to the Enforce Server administration console.
2 Click Incidents > Discover.
3 Select an incident (or multiple incidents) for remediation. You can use the
standard reports or report filters to narrow the list of incidents.
4 You can select either a group of incidents, or one incident for remediation:
1172 Using Server FlexResponse plug-ins to remediate incidents
Using the action of a Server FlexResponse plug-in to remediate an incident manually

■ From the list of incidents, check the box to the left of each incident to
select that incident for remediation. You can select multiple incidents.
■ From the list of incidents, select all incidents on this page by clicking the
check box on the left of the report header.
■ From the list of incidents, select all incidents in the report by clicking the
Select All option on the upper-right side of the report.
■ Click one incident to display the Incident Detail, and select that one
incident for possible remediation.
After you have selected the incidents for remediation, you can manually
remediate them.
See “Using the action of a Server FlexResponse plug-in to remediate an
incident manually” on page 1172.

Using the action of a Server FlexResponse plug-in to

remediate an incident manually
After you have selected an incident, or group of incidents to remediate, you can
invoke the action of a Smart Response rule. This action uses your custom Server
FlexResponse plug-in to remediate the incidents manually.
To remediate a single incident
1 Be familiar with the response rules that are available to manually remediate
an incident.
Click Policies > Response Rules.
The Conditions column indicates which rules can be executed manually.
2 Select a single incident, and display the Incident Detail.
See “Locating incidents for manual remediation” on page 1171.
3 In the Incident Detail screen above the incident number, your remediation
options display. These options show the names of your response rules.
4 Click a Server FlexResponse plug-in remediation button to perform the
remediation action.
 Using Server FlexResponse plug-ins to remediate incidents 1173
Verifying the results of an incident response action

5 View the remediation action. Click OK.

6 Verify that the remediation is complete. Some remediation actions may take
a long time, for example encryption of a large file. To see user interface
updates, click the refresh icon in the upper-right corner of the report. Refresh
the page until you see the green success or red failure icon in the incident
details.
See “Verifying the results of an incident response action” on page 1173.
To remediate a selected group of incidents
1 Select incidents from an incident list report. Check the box at the left of the
selected incidents.
Alternatively, you can select all incidents on a page or on a report.
See “Locating incidents for manual remediation” on page 1171.
2 Incident Actions becomes a drop-down menu.
3 From the Incident Actions drop-down menu, select Run Smart Response
and then select your custom Server FlexResponse.
4 View the remediation action. Click OK.
5 Verify that the remediation is complete. Some remediation actions may take
a long time, particularly if several incidents were selected. To see user
interface updates, click the refresh icon in the upper-right corner of the
report. Refresh the page until you see the green success or red failure icon
in the incident details.
See “Verifying the results of an incident response action” on page 1173.

Verifying the results of an incident response action

You can verify that a remediation action has been completed by using the History
tab of an incident.
To verify the results of an incident response action for a single incident
1 Log on to the Enforce Server administration console.
2 Click Incidents > Discover.
Look for the green success or red failure icons in the incident report.
3 For additional information about the results, click one incident to display the
Incident Detail.
1174 Using Server FlexResponse plug-ins to remediate incidents
Troubleshooting a Server FlexResponse plug-in

4 Click the History tab.

5 View the remediation messages from your plug-in. A message that your
plug-in was invoked, and another message with the success or failure should
display. Other messages may also display, with the status result or remediation
result.
To verify the results of an incident response action for a group of incidents
1 Log on to the Enforce Server administration console.
2 Click Incidents > Discover.
3 Use report filters and summaries to display the protect or prevent status of
the incidents.
See “Viewing incidents” on page 947.
Custom reports can also be created to show the protect or prevent status, or
the values of custom attributes.
See “About custom reports and dashboards” on page 948.

Troubleshooting a Server FlexResponse plug-in

Table 61-4 has troubleshooting issues and suggestions for diagnosing Server
FlexResponse problems.
 Using Server FlexResponse plug-ins to remediate incidents 1175
Troubleshooting a Server FlexResponse plug-in

Table 61-4 Troubleshooting suggestions

Issue Suggestions

During creation of a Smart Response This issue happens because your plug-in did not
Rule, the drop-down menu does not load.
display the action All: Server
At the end of the file Plugins.properties,
FlexResponse.
enter the name of your plug-in JAR file on the list
During creation of an automated of plug-ins. Make sure that this line is not
Response Rule, the drop-down menu commented out.
does not display the action All: Server
Restart both the Vontu Incident Persister and
FlexResponse.
Vontu Manager services to load your plug-in.
If you have multiple plug-ins, your
Your plug-in properties file and plug-in code may
plug-in name does not display in the
not match appropriately. Look at the Tomcat log
All: Server FlexResponse drop-down
for errors.
menu.
The log file is localhost.date.log. This log
file is in SymantecDLP\Protect\logs\tomcat.

To verify that your plug-in is loaded, look for

Enforce system event (2122). This event lists all
the plug-ins that are loaded.

Your plug-in does not execute Check the incident snapshot history for messages
successfully. from your plug-in and the plug-in framework.

For Smart Responses, look at the Tomcat log for

errors. This log is in
SymantecDLP\Protect\logs\tomcat. The log
file is localhost.date.log.

For automated responses, look at the

VontuIncidentPersister.log debug log file.
1176 Using Server FlexResponse plug-ins to remediate incidents
Troubleshooting a Server FlexResponse plug-in
 Chapter 62
Setting up scans of file
shares
This chapter includes the following topics:

■ Setting up server scans of file systems

■ Supported file system targets

■ Automatically discovering servers and shares before configuring a file system

target

■ Automatically discovering open file shares

■ About automatically tracking incident remediation status

■ Excluding internal DFS folders

■ Configuring scans of Microsoft Outlook Personal Folders (.pst files)

■ Configuring and running scans of file systems

■ Optimizing file system target scanning

■ Configuring Network Protect for file shares

Setting up server scans of file systems

Network Discover scans network file servers and shared resources ("shares") such
as disk drives or directories to discover confidential data. Network Discover
supports CIFS-compliant file servers, and file shares using CIFS, NFS, DFS, or any
other client. Network Discover can also scan Microsoft Outlook Personal Folders
(.pst files) on network file shares.
To set up scanning of file systems, complete the following process:
1178 Setting up scans of file shares
Supported file system targets

Table 62-1 Setting up a network file system scan

Step Action Description

1 Verify that your network file system is on the list of supported targets. See “Supported file system
targets” on page 1178.

2 Optional: Run a Content Root Enumeration scan to automatically See “Automatically discovering
discover file system content roots within your domain. servers and shares before
configuring a file system target”
on page 1179.

3 Go to Manage > Discover Scanning > Discover Targets to create a new See “Configuring and running
target for a file system and to configure scanning of file systems. scans of file systems” on page 1191.

4 Set any additional scan target configuration options. See “Network Discover scan target
configuration options” on page 1121.
For scanning of Microsoft Outlook Personal Folders, verify that the
option is set. See “Configuring scans of
Microsoft Outlook Personal
Folders (.pst files)” on page 1190.

5 To automatically move or quarantine files, configure Network Protect. See “Configuring Network Protect
for file shares” on page 1195.

6 Start the file system scan. Select the scan target from the
target list, then click the Start
Go to Manage > Discover Scanning > Discover Targets.
icon.

7 Verify that the scan is running successfully. See “About the Network Discover
scan target list” on page 1140.

Supported file system targets

The File System target supports scanning of the following network file systems.
Supported file servers:
■ CIFS Servers only
Supported file shares:
■ CIFS on Windows
■ NFS on Linux
■ DFS scanning on Windows 2003 and 2008.

Note: DFS is not supported with Network Protect.

 Setting up scans of file shares 1179
Automatically discovering servers and shares before configuring a file system target

In addition, the File System target supports scanning of the following file types:
■ Microsoft Outlook Personal Folders (.pst files) created with Outlook 1997-2002,
2003, 2007, and 2010.
The Network Discover Server scanning this target must be running a Windows
operating system, and Outlook 2003 SP3 or later must be installed on that
system.
See “Configuring scans of Microsoft Outlook Personal Folders (.pst files)”
on page 1190.
■ File systems on UNIX systems, even if they are not exposed as CIFS or NFS
shares.
Use the SFTP protocol to provide a method similar to the scans of file shares.
You can also scan the local file system on a Linux Network Discover Server by
listing the path name in the content root. For example, you can enter
/home/myfiles.

Automatically discovering servers and shares before

configuring a file system target
Auto-discovery of servers and shares (Content Root Enumeration) enables you to
locate servers and shares within a domain and filter them by IP range or server
name. Share discovery works only for CIFS-compliant file servers, including those
with DFS file shares. Content Root Enumeration scans produce a list of servers
and shares that you can use directly in file system targets for Discover scanning,
or export to a CSV file. A Content Root Enumeration scan does not scan the content
of the servers and shares it discovers, but it enables you to find servers and shares
in your domain and configure automated scanning of them.
Content Root Enumeration scans require an LDAP directory server connection.
Also, the Enforce Server must have access to all servers and shares you wish to
scan.
See “Configuring directory server connections” on page 132.
See “Configuring and running scans of file systems” on page 1191.

Working with Content Root Enumeration scans

Follow these procedures to create, start, and stop Content Root Enumeration
scans, and to view discovered content roots.
1180 Setting up scans of file shares
Automatically discovering servers and shares before configuring a file system target

To create a Content Root Enumeration scan

1 Configure your LDAP directory server connection. Ensure that your directory
credentials have read and list privileges for all computer objects you wish to
scan.
See “Configuring directory server connections” on page 132.
2 In the Enforce Server administration console, go to Manage > Discover
Scanning > Content Root Enumeration.
3 Click Add Scan. The Content Root Enumeration Scan Configuration page
appears.
4 In the General section, enter a name for your scan in the Name field.
5 Select a directory connection.
6 Specify your Enumerate shares preference:
■ To list servers and file shares, click Yes.
■ To list only servers, click No, only enumerate servers.

7 In the Filters section, select at least one filter for your scan:
■ IP Range: Specify an IP range to scan for content roots.
■ Server Names: Specify one or more server name filters. Use the drop-down
menu to refine your filter.

8 Click Save.
To start or stop a Content Root Enumeration scan
1 In the Enforce Server administration console, go to Manage > Discover
Scanning > Content Root Enumeration.
2 Select the scan or scans you want to start or stop.
3 Do one of the following:
■ To start a scan, click Start.
■ To stop a running scan, click Stop.
 Setting up scans of file shares 1181
Automatically discovering servers and shares before configuring a file system target

To view discovered content roots

1 In the Enforce Server administration console, go to Manage > Discover
Scanning > Content Root Enumeration.
2 Click the link in the Content Roots column of your desired scan to see a list
of content roots.
3 To export the list of content roots in .csv format, click Export to CSV in the
Content Roots dialog box.
You can use the exported .csv file to populate a Discover File System target.
See “Configuring and running scans of file systems” on page 1191.

Configuration options for Content Root Enumeration scans

You can find configuration options for Content Root Enumeration scans in the
Manager.properties file in the configuration directory:
\SymantecDLP\Protect\config on Microsoft Windows platforms,
/opt/SymantecDLP/Protect/config on Linux platforms. These default settings
should perform well in most cases.

Table 62-2
Configuration property Default value Description

content_root_enumeration.scanResultThreshold 10000 The maximum

number of content
roots to be
discovered in a
Content Root
Enumeration scan.
If the number of
content roots in the
scan exceeds the
result threshold,
Symantec Data Loss
Prevention displays
an error. This
threshold prevents
your Content Root
Enumeration scans
from returning an
excessive number of
content roots for
use in a Discover
File System target.
1182 Setting up scans of file shares
Automatically discovering servers and shares before configuring a file system target

Table 62-2 (continued)

Configuration property Default value Description

content_root_enumeration.maximumParallelScanCount 5 The maximum

number of Content
Root Enumeration
scans that
Symantec Data Loss
Prevention can run
in parallel. If the
maximum parallel
scan count is
reached, additional
scans are queued.

content_root_enumeration.scan_log.location Windows: The location of the

\SymantecDLP\Protect\logs Content Root
Enumeration scan
Linux:
detail log files.
/opt/SymantecDLP/Protect/logs

content_root_enumeration.scan_log.limit 5000000 The maximum size,

in bytes, of each
scan detail log file.

content_root_enumeration.scan_log.count 15 The maximum

number of scan
detail log files in use
at any given time.

content_root_enumeration.scan_log.append true The Boolean value

that specifies
whether or not
Symantec Data Loss
Prevention appends
log results to the
end of each scan
detail log file.

content_root_enumeration.scan_log.encoding UTF-8 The character set

Symantec Data Loss
Prevention uses
when writing to the
scan detail log file.
 Setting up scans of file shares 1183
Automatically discovering open file shares

Troubleshooting Content Root Enumeration scans

You can view both scan warnings and log files for Content Root Enumeration
scans. These warnings and logs can be useful for troubleshooting your Content
Root Enumeration scans.
Content Root Enumeration scan warnings are non-terminal errors, such as
connection timeouts or DNS issues, that occur during the scan. If such errors
occur during a Content Root Enumeration scan, a link appears in the Alerts column
on the Manage > Discover Scanning > Content Root Enumeration page for that
scan. You can view these warnings by following this procedure:
To view Content Root Enumeration scan warnings
1 In the Enforce Server administration console, go to Manage > Discover
Scanning > Content Root Enumeration.
2 Click the link in the Alerts column for the scan warnings you want to view.
The Scan Warnings dialog box appears.
3 To export the list of scan warnings to a .csv file, click Export to CSV in the
Scan Warnings dialog box.
Log files are available in the logs directory: \SymantecDLP\Protect\logs on
Microsoft Windows platforms, /opt/SymantecDLP/Protect/logs on Linux
platforms. Content Root Enumeration logs are named using this format:
ContentRootEnumerationScanDetail-scan name0.log. Content Root Enumeration
log files list every discovered content root, as well as all warnings and errors
occurring during the scan.

Automatically discovering open file shares

Symantec Data Loss Prevention can automatically discover open shares on a
specified CIFS server. You specify the UNC path or SMB URL and Symantec Data
Loss Prevention automatically finds and scans open file shares on that server.
See “To set up a new file system target” on page 1191.
You can automatically discover administrative shares corresponding to logical
drives such as C$ or D$.
1184 Setting up scans of file shares
About automatically tracking incident remediation status

To discover administrative shares automatically

1 In the Enforce Server administration console, go to Manage > Discover
Scanning > Discover Targets.
2 Create or select a File System Server target.
3 On the Advanced tab of the Edit File System Target page, select Scan
Administrative Shares.

About automatically tracking incident remediation

status
You can configure Network Discover to automatically track the remediation status
of file system target incidents.
During the first Network Discover scan for a given file system target, incident
metadata (resource name, policies violated, and so on) is added to a new Discover
incident remediation tracking catalog. If during a subsequent scan an incident
stored in the catalog does not appear in the scan results, Network Discover marks
the incident as remediated with one of the following status indicators:
■ Item modified. The item has been modified and no longer violates a policy. In
the case where both the item and policy have changed, the incident will be
remediated as Item modified. This option is off by default.
■ Policy modified. The policy that the incident violated has changed. In the case
where both the item and policy have changed, the incident will be remediated
as Item modified. This option is off by default.
■ Item no longer exists. The item has been moved, deleted, or renamed. This
option is on by default.
To prevent incidents from being automatically remediated in error, Network
Discover will not mark an incident as remediated if it is excluded from a scan due
to:
■ Incremental scanning
■ Date filtering
■ Size filtering
■ Include or Exclude filters
The incident remediation catalog is contained in an Apache Derby database
running under the BoxMonitor process. The master catalog is stored on the Enforce
Server, and each detection server has its own local version of the catalog. The
 Setting up scans of file shares 1185
About automatically tracking incident remediation status

catalogs are synchronized to ensure that the Enforce Server and all Network
Discover detection servers track incident remediation status correctly.
You can set your incident remediation tracking preferences on the Advanced tab
of your file system target.
See “Configuring and running scans of file systems” on page 1191.
You can configure options for automated incident remediation tracking, such as
the location of the catalog files, expiration period of temporary files, and so on.
See “Configuration options for Automated Incident Remediation Tracking”
on page 1186.
You can view the latest remediation status of an incident in the incident snapshot.
See “Discover incident snapshots” on page 920.
You can also filter and summarize Network Discover reports by incident
remediation status.
See “About filters and summary options for reports” on page 972.

Troubleshooting automated incident remediation tracking

Automated incident remediation tracking does not work if you have enabled
incident thresholding. If you have enabled automated incident remediation
tracking for a file system target but do not see any tracking information, ensure
that you have disabled incident thresholding.
See “Creating an inventory of the locations of unprotected sensitive data”
on page 1135.
You can view a log file for the incident remediation catalog on the detection server
at this location:
SymantecDLP/Protect/logs/debug/DetectionServerDatabase%g.log, where
%g is an integer starting at 0. Logs for incidents tracked with this feature are sent
to the FileReader%.log and IncidentPersister%.log.
You can set the incident remediation catalog log level in the
SymantecDLP/Protect/config/DetectionServerDatabaseLogging.properties
file:

Table 62-3 Remediation tracking database logging options

Log Level Description

FINE The Detection Server database heartbeats

are logged at the FINE level.
1186 Setting up scans of file shares
About automatically tracking incident remediation status

Table 62-3 Remediation tracking database logging options (continued)

Log Level Description

INFO Database start and stop messages are logged

at the INFO level.

SEVERE All unexpected database behavior throws an

exception and appears in the log at the
SEVERE level.

Configuration options for Automated Incident Remediation Tracking

You can set the following configuration options for Automated Incident
Remediation Tracking in the SymantecDLP/Protect/config/protect.properties
file. If you have a multi-tier installation, there will be separate files for the Enforce
Server and Network Discover Server.

Table 62-4
Property Default value Description

com.vontu.discover.detectionserver. 15000 The maximum

remediation.detection. number of files
comm.maxfiles stored in the
Network Discover
Server remediation
tracking catalog
directory before
synchronization
with the master
catalog on the
Enforce Server. If
the number of
catalog files
exceeds this limit,
Network Discover
creates no new
catalog entries
until at least one
file is
synchronized.
 Setting up scans of file shares 1187
About automatically tracking incident remediation status

Table 62-4 (continued)

Property Default value Description

com.vontu.discover.enforce. 15000 The maximum

remediation.detection. number of files
comm.maxfiles stored in the
Enforce Server
remediation
tracking master
catalog directory
before
synchronization
with the local
catalog on the
Network Discover
Server. If the
number of catalog
files exceeds this
limit, Network
Discover creates no
new master catalog
entries until at
least one file is
synchronized.

com.vontu.discover.detectionserver. 10000 The frequency, in

remediation.detection. milliseconds, with
catalogfolder.checkperiod which the Network
Discover Server
checks the
remediation
tracking catalog
directory for the
number of catalog
files queued for
synchronization
with the master
catalog on the
Enforce Server.
1188 Setting up scans of file shares
About automatically tracking incident remediation status

Table 62-4 (continued)

Property Default value Description

com.vontu.discover.enforce. 10000 The frequency, in

remediation.detection. milliseconds, with
catalogfolder.checkperiod which the Enforce
Server checks the
remediation
tracking master
catalog directory
for the number of
catalog files queued
for
synchronization
with the catalog on
the Network
Discover Server.

com.vontu.discover.detectionserver. 24 The expiration

remediation.detection. period, in hours, of
catalog.tempfile.expirationhours temporary files in
the remediation
tracking catalog
directory.

com.vontu.discover.enforce. 24 The expiration

remediation.detection. period, in hours, of
catalog.tempfile.expirationhours temporary files in
the remediation
tracking master
catalog directory.

com.vontu.discover.detectionserver. C:/SymantecDLP/Protect/ The directory

remediation.detection. scan/catalog containing the
catalog.folder Network Discover
Server remediation
tracking catalog
files.

com.vontu.discover.enforce. C:/SymantecDLP/Protect/ The directory

remediation.detection. scan/catalog containing the
catalog.folder Enforce Server
remediation
tracking master
catalog files.
 Setting up scans of file shares 1189
Excluding internal DFS folders

Table 62-4 (continued)

Property Default value Description

com.vontu.discover.detectionserver. 5 The size of the

remediation.detection. threadpool used for
threadpoolsize automated incident
remediation
tracking on the
Network Discover
Server.

com.vontu.discover.enforce. 5 The size of the

remediation.detection. threadpool used for
threadpoolsize automated incident
remediation
tracking on the
Enforce Server.

com.vontu.detectionserver. C:/SymantecDLP/Protect/ The directory

database.home scan/catalog containing the
Network Discover
Server remediation
tracking database.

com.vontu.detectionserver. 1527 The port used by

database.port the Network
Discover Server
remediation
tracking database.

com.vontu.manager.incidents.dir ./incidents The directory

containing offline
incidents on the
Enforce Server.

Excluding internal DFS folders

By default, DFS file share scans include the dynamic internal DFS folders. Because
these folders do not contain your organization's confidential information you can
safely exclude them from your scans.
1190 Setting up scans of file shares
Configuring scans of Microsoft Outlook Personal Folders (.pst files)

To exclude DFS internal folders

1 In the Enforce Server administration console, go to Manage > Discover
Scanning > Discover Targets.
2 Click the name of the scan where you want to add the exclude filter for the
DFS internal folders.
3 Click the Scanned Content tab.
4 In the Exclude Filters field, type /DfsrPrivate/*.
5 Click Save.

Configuring scans of Microsoft Outlook Personal

Folders (.pst files)
You can scan Microsoft Outlook Personal Folders (.pst files) on file shares. The
scan supports Microsoft Outlook Personal Folders (.pst files) that were created
with Outlook 1997-2002, 2003, 2007, and 2010.
See “Configuring and running scans of file systems” on page 1191.
The following notes pertain to scanning .pst files:
■ The Network Discover Server scanning this target must be running a 64-bit
Windows operating system, and 64-bit Outlook 2003 SP3 or later must be
installed on that system.
■ Outlook must be the default email client on the Network Discover Server
scanning this target.
■ Network Protect is not supported for .pst files, even if the files are on CIFS
shares.
■ After the initial base scan, incremental scanning scans the entire .pst file if
the last modified date changes.
■ The date filter and size filter apply to the entire .pst file, not to individual
emails or other items within the file.
■ The .pst files cannot be scanned in parallel. If the scans that run in parallel
start scanning .pst files, then the scans are serialized.
 Setting up scans of file shares 1191
Configuring and running scans of file systems

To configure scanning of Microsoft Outlook Personal Folders

1 In the Enforce Server administration console, go to Manage > Discover
Scanning > Discover Targets.
2 Set up scanning of the file share containing the Microsoft Outlook Personal
Folders.
See “Configuring and running scans of file systems” on page 1191.
3 On the Advanced tab, check the box Scan PST files. (The box is checked by
default.)

Configuring and running scans of file systems

Before you run a scan, you must set up a target using the following procedure.
To set up a new file system target
1 In the Enforce Server administration console, go to Manage > Discover
Scanning > Discover Targets.
2 Click New Target, and use the pull-down menu to select the specific target
type.
3 On the General tab, type the Name of this Discover target.
Type a unique name for the target, up to 255 characters.
4 Select the Policy Group.
If no other policy group has been selected, the Default Policy group is used.
To apply a policy group, select the policy group to use for this target. You can
assign multiple policy groups to a target.
You can define policy groups on the Policy Group List page.
5 Select the Discover Server (or multiple Discover Servers) where you want to
run the scan.
If you select more than one server, Symantec Data Loss Prevention
automatically selects one of the servers when the scan starts.
Only the detection servers that were configured as Discover Servers appear
on the list. If there is only one Discover Server on your network, the name of
that server is automatically specified. You should configure your Discover
Servers before you configure targets. You must specify at least one server
before you can run a scan for this target.
6 Under Scan Type, select Scan only new or modified items (incremental scan).
This option is the default for new targets.
1192 Setting up scans of file shares
Configuring and running scans of file systems

■ If you have changed the policy or other definitions in an existing scan,

you can set up the next scan as a full scan. Select the following option:
Scan all items for the next scan. Subsequent scans will be incremental.
■ If you always want to scan all items in this target, select the following
option:
Always scan all items (full scan)

7 Specify scheduling options.

Choose Submit Scan Job on Schedule to set up a schedule for scanning the
specified target. Select an option from the schedule drop-down list to display
additional fields. Choose Pause Scan between these times to automatically
pause scans during the specified time interval. You can override the pause
window of a scan target by going to the Discover Targets screen and clicking
the start icon for the target entry. The pause window remains intact, and any
future scans that run up against the window can pause as specified. You can
also restart a paused scan by clicking the continue icon for the target entry.
8 On the Scanned Content tab, select or type the credentials.
The credentials you provide must have both Read permission and Write
Attributes permission on the scan target. Write Attributes permission is
required to update the "last accessed" date.
You can specify a default user name to use for access to all file systems.
The password must not contain the quotation mark character. If any of your
passwords contain a quotation mark character, those file systems are not
mounted for scanning.
If you need to use quotation mark characters in passwords, you can use JCIFS.
The default mount process uses the CIFS client. If the default mount does not
work, the mount task can use the Java-based CIFS client by setting
filesystemcrawler.use.jcifs=true in the properties file
Crawler.properties.

9 Under Content Roots, enter the item to be scanned.

Select one of the following methods of entering file systems:
■ Scan Content Roots from an uploaded file
Create and save a plain text file (.txt or .csv) listing the servers you want
to scan. Then click Browse to locate the list and Upload File to import it.
Create a file using an ASCII text editor and type one file server or share
per line. Do not include a user name and password. By default, Symantec
Data Loss Prevention interprets these as Server Message Block (SMB)
paths. If you want to specify NFS paths, include nfs in the paths.
 Setting up scans of file shares 1193
Configuring and running scans of file systems

\\server\marketing
nfs:\\share\marketing
//server/engineering/documentation
/home/protect/mnt/server/share/marketing
c:\share\engineering

■ Specify content roots

■ Select Add Content Roots > By Direct Entry to use a line editor to
specify the servers or shares you want to scan. Information that is
entered here takes precedence over the default values and applies only
to the path specified.

\\server\share
\\server.company.com
smb://server.company.com
\\10.66.23.34

■ Select Add Content Roots > From a Content Root Enumeration scan
to import content roots from a Content Root Enumeration scan. Select
the scan to import in the Import Content Root Enumeration scan
results dialog box.

If your content root list includes a large number of content roots, you can
filter the list to include only those content roots that are relevant to your
Discover Target scan. In the Content Roots section, click Filters, then enter
your filter text. For example, to see only shares on a server named my_company,
enter \\my_company in the Filters text field.
To delete content roots from your target, select the content roots from the
list and click Delete.
10 On the Filters tab, specify include and exclude filters, size filters, and date
filters.
■ Use Include Filters and Exclude Filters to specify the files that Symantec
Data Loss Prevention should process or skip. Note that you must specify
absolute paths. If the field is empty, Symantec Data Loss Prevention
performs matching on all files in the file share. If you enter any values
for the Include Filters, Symantec Data Loss Prevention scans only those
files or documents that match your filter. Delimit entries with a comma,
but do not use any spaces. When both Include Filters and Exclude Filters
are present, Exclude Filters take precedence.
See “Setting up Discover filters to include or exclude items from the scan”
on page 1128.
When scanning DFS shares, exclude the internal DFS folder.
1194 Setting up scans of file shares
Optimizing file system target scanning

See “Excluding internal DFS folders” on page 1189.

When scanning shares on a NetApp filer with the Snapshot application,
exclude the .snapshot folder. This folder is usually at the base of the file
system or network share; for example, \\myshare\.snapshot.
■ Specify size filters.
The size filters let you exclude files from the matching process based on
their size. Symantec Data Loss Prevention includes only the files that
match your specified size filters. If you leave these fields empty, Symantec
Data Loss Prevention performs matching on files or documents of all sizes.
■ Specify date filters.
The date filters let you include files from the matching process based on
their dates. Any files that match the specified date filters are scanned.

11 On the Advanced tab, specify your Remediation Detection preferences to

automatically detect incident remediation status:
■ Item Modified: Automatically detect if an incident has been remediated
by modifying the offending file.
■ Policy Modified: Automatically detect if an incident has been remediated
by a change in your policy.
■ Item No Longer Exists: Automatically detect if an incident has been
remediated by deletion or removal.
See “About automatically tracking incident remediation status” on page 1184.
12 On the Advanced tab, select options to optimize scanning.
See “Optimizing file system target scanning” on page 1194.

Optimizing file system target scanning

To optimize scans of your File System scan target, you can configure throttling
options, set an incident threshold for scanning (Inventory Scanning), omit or
select Outlook .pst files, and enable or disable scans of administrative shares.
To throttle a file system target scan
1 Go to the Advanced tab of your target definition.
2 In the File Throttling field, type the maximum number of files to be processed
per minute.
3 In the Byte Throttling field, type the maximum amount of data to be processed
per minute. Select bytes, kilobytes (KB), or megabytes (MB) from the
drop-down list.
 Setting up scans of file shares 1195
Configuring Network Protect for file shares

To set an incident threshold

1 Go to the Advanced tab of your target definition.
2 In the Incident Threshold field type the maximum number of incidents to
be created from a single file share (Content Root) or server (Machine).
3 Select Count Incidents By: Content Root or Machine.
A Content Root is one file share on the list from the Scanned Content tab.
When the incident threshold is reached, the scan moves to the next file share.
A Machine is a physical computer. When the incident threshold is reached,
the scan moves to the next item on the list to scan. If that item is on the same
physical computer as the previous item, it is skipped. The physical computer
name must be exactly identical in the list of items to scan for Network Discover
to recognize that it is the same computer. For example, \\localhost\myfiles
and \\127.0.0.1\myfiles are treated as different computers, even though
they are logically the same.
If you use autodiscovery to scan open shares on a specified file server, the
content root and machine are the same thing.
To scan administrative shares
1 Go to the Advanced tab of your target definition.
2 In the Administrative Shares Scanning section, select Scan Administrative
Shares.
You can also set up scanning of Outlook .pst files.
See “Configuring scans of Microsoft Outlook Personal Folders (.pst files)”
on page 1190.

Configuring Network Protect for file shares

Use Network Protect to automatically copy or quarantine to a secure location the
confidential files that are found on public shares.
Network Protect is only available for server-based scanning of CIFS shares.
Network Protect is not supported for .pst files.
With Network Protect enabled, a tab appears on the Add File System Target page
that contains the Network Protect remediation options. To use Network Protect,
you must have both a policy and a response rule configured in the Enforce Server
administration console. Also, the scan credentials (user name and password) must
be present on the Scanned Content tab for this target.
The following procedure provides an overview of the process.
1196 Setting up scans of file shares
Configuring Network Protect for file shares

To set up Network Protect for file shares

1 Create a policy with a response rule. Go to Manage > Policies > Response
Rules and click Add Response Rule.
See “About response rules” on page 802.
2 Select Automated Response.
3 Click Next.
4 For the Action, select either Network Protect: Copy File or Network Protect:
Quarantine File.
For the Quarantine File action, you can optionally leave a marker file in place
of the file that was removed by checking the Marker File check box. Type the
marker text in the Marker Text box. The marker file is a text file. The marker
text can contain substitution variables. Click inside the Marker Text box to
see a list of insertion variables.
If the original file was of some other file type, the original file is moved to
the quarantine area. The marker file has the original file name plus a .txt
extension. The default file extensions that are retained are listed in the
properties file ProtectRemediation.properties. The retained file extensions
include txt, doc, xls, ppt, java, c, cpp, h, and js. For example, a file that is
named myfile.pdf would have a marker file name of myfile.pdf.txt.
You can create a new subdirectory for the quarantined files from each scan
(the default). You can change the default and append the scan information
to the file name (versioning) in one quarantine directory. Edit the properties
file ProtectRemediation.properties to change the default.
5 Click Save.
6 Add a new policy, or edit an existing policy.
See “Configuring policies” on page 370.
7 Click the Response tab.
8 In the pull-down menu, select one of the response rules that you previously
created.
9 Click Add Response Rule.
This response rule then specifies the automated response when this policy
triggers an incident during the scanning of a file.
Several response rules with different conditions can exist for a policy.
10 Create a new file system Network Discover target, or edit an existing target.
See “Configuring and running scans of file systems” on page 1191.
 Setting up scans of file shares 1197
Configuring Network Protect for file shares

11 With Network Protect enabled in the license, a Protect tab appears on the
File System target page that contains the Network Protect remediation
options.
Under Allowed Protect Remediation, choose whether the file should be
copied or quarantined (moved) to protect the information.
This selection must match the Action selection from the response rule.
Also, a response rule with that action (copy or quarantine) should exist within
one of the policies that are selected for this file system target.
12 Under Copy/Quarantine Share, specify the share where files are quarantined
or copied.
Optionally, you can select a named credential from the credential store in
the Use Saved Credentials drop-down menu.
13 Under Protect Credential, specify the write-access credential for the location
of the file that was scanned.
To move the files for quarantine during remediation, the Network Discover
target definition must have write access for both the quarantine location and
the original file location. Specify the path (location) where the files are copied
or quarantined. Type the write-access user name and password for that
location.
Normally, scanned shares require only read-access credentials (for example,
if the Copy option was selected).
Specify the share write-access credential, if it is different from the read-access
credential.
Optionally, you can select a named credential from the credential store in
the Use Saved Credentials drop-down menu.
1198 Setting up scans of file shares
Configuring Network Protect for file shares
 Chapter 63
Setting up scans of Lotus
Notes databases
This chapter includes the following topics:

■ Setting up server scans of Lotus Notes databases

■ Supported Lotus Notes targets

■ Configuring and running Lotus Notes scans

■ Configuring Lotus Notes DIIOP mode configuration scan options

Setting up server scans of Lotus Notes databases

You can configure scans of Lotus Notes repositories. Symantec Data Loss
Prevention supports DIIOP mode scanning only.
See “Configuring and running Lotus Notes scans” on page 1200.
To set up scanning of Lotus Notes databases, complete the following process:

Table 63-1 Setting up a Lotus Notes database scan

Step Action Description

1 Verify that your Lotus Notes database is on the list of See “Supported Lotus Notes targets”
supported targets. on page 1200.

2 Configure the scan for Lotus Notes DIIOP mode. See “Configuring Lotus Notes DIIOP mode
configuration scan options” on page 1203.

3 Click Manage > Discover Scanning > Discover Targets to See “Configuring and running Lotus Notes
create a Lotus Notes target and to configure scans of Lotus scans” on page 1200.
Notes databases.
1200 Setting up scans of Lotus Notes databases
Supported Lotus Notes targets

Table 63-1 Setting up a Lotus Notes database scan (continued)

Step Action Description

4 Set any additional scan options for the Lotus Notes target. See “Network Discover scan target
configuration options” on page 1121.

5 Start the Lotus Notes database scan. Select the scan target from the list, then click
the Start icon.
Click Manage > Discover Scanning > Discover Targets.

6 Verify that the scan is running successfully. See “Managing Network Discover target
scans” on page 1139.

Supported Lotus Notes targets

The Lotus Notes target supports scanning of the following versions:
■ Lotus Notes 6.5
■ Lotus Notes 7.0
■ Lotus Notes 8.0
■ Lotus Notes 8.5.1
■ Lotus Notes 8.5.3
The files Notes.jar and NCSO.jar are in the Lotus Notes client installation
directory. The manifest version number of these files depend on the Domino
server version.
■ Version 7 has a manifest version in the JAR file of 1.4.2
■ Version 8 has a manifest version in the JAR file of 1.5.0

Configuring and running Lotus Notes scans

Before you run a scan, you must set up a target.
To set up a new target for the scan of Lotus Notes databases
1 Specify the content root for a Lotus Notes scan as either one Domino server,
or a list of Domino servers.
Specify the databases to scan as follows:
■ Individual
 Setting up scans of Lotus Notes databases 1201
Configuring and running Lotus Notes scans

Click Add to specify the servers you want to scan. Server credential
information that is entered here takes precedence over the default values
and applies only to the server specified.

[hostname,username,password]

For a native mode configuration, you can use the name "local" in the list
of Domino servers. Specifying "local" includes the local databases visible
to the client only to be scanned. For example, instead of the URI enter the
following text:

local

■ Upload Servers List

Create and save a plain text file (.txt) with the servers you want to scan.
The server credential cannot be specified in this text file. The user name
and password from the Scanned Content tab of the Add Lotus Notes
Target page are used .
Example of the first few Domino servers in the list:

dominoserver1.company.com
dominoserver2.company.com
dominoserver3.company.com

2 On the Filters tab, select path filters.

Use the Include Filters and Exclude Filters fields to specify the Lotus Notes
database names that Symantec Data Loss Prevention should target. The filters
match the full path of the database URI. If the field is empty, Symantec Data
Loss Prevention scans all databases in all specified Domino Servers. Delimit
entries with commas. If a database URI matches both an include and an
exclude filter, the exclude filter takes precedence, and the database is not
scanned.
See “Setting up Discover filters to include or exclude items from the scan”
on page 1128.
3 On the Filters tab, select date filters.
Specify the date filters to exclude Lotus Notes documents from the scan based
on their dates. Only the documents that match the specified date filters are
included.
1202 Setting up scans of Lotus Notes databases
Configuring and running Lotus Notes scans

4 On the Filters tab, select a Differential scan (optional).

Select Only Scan files added or modified since the last full scan to have
Symantec Data Loss Prevention scan only the items or the documents that
have been added or modified since the last full scan. The first scan has to be
a full (initial base) scan. A full scan occurs if you select this option before
Symantec Data Loss Prevention scans this target for the first time.
5 On the Filters tab, select a Differential scan (optional).
Select Only Scan files added or modified since the last full scan to have
Symantec Data Loss Prevention scan the documents that have been added
or modified since the last scan. If you select this option before Symantec Data
Loss Prevention scans this target for the first time, the first scan runs as a
full scan.
6 On the General tab, select scheduling options.
Choose Submit Scan Job on Schedule to set up a schedule for scanning the
specified target. Select an option from the Schedule drop-down list to display
additional fields. Choose Pause Scan between these times to automatically
pause scans during the specified time interval. You can override a target’s
pause window by going to the Discover Targets screen and clicking the start
icon for the target entry. The pause window remains intact, and any future
scans that run up against the window can pause as specified. You can also
restart a paused scan by clicking the continue icon for the target entry.
7 Select Size Filters.
Specify the size filters to exclude documents from the target based on their
size. Symantec Data Loss Prevention includes only the documents that match
your specified size filters. If you leave this field empty, Symantec Data Loss
Prevention includes all documents.
8 Enter Credentials (default and overriding).
You can specify a default user name and password to access all Domino servers
that are specified in the target. Credentials can be overridden for a server by
editing a single entry in the list of Domino servers. Credentials for a single
entry are possible only if the list is created with individually entered server
names. Credentials for a single entry are not possible in an uploaded text file
that contains the list of servers.
9 Select the Advanced tab for options to optimize scanning. On the Advanced
tab, you can configure throttling options or Inventory Mode for scanning.
■ Throttling Options
Enter the maximum number of documents to be processed per minute or
the maximum number of bytes to be processed per minute. For bytes,
 Setting up scans of Lotus Notes databases 1203
Configuring Lotus Notes DIIOP mode configuration scan options

specify the unit of measurement from the drop-down list. The options are
bytes, KB (kilobytes), or MB (megabytes).
■ Inventory Scanning
Enter the number of incidents to produce before moving on to the next
Domino server that is specified in the Scanned Content tab. To audit
whether confidential data exists on a target, without scanning all of it,
set up Inventory Mode for scanning. Setting incident thresholds can
improve the performance of scanning by skipping to the next server to
scan, rather than scanning everything.
See “Creating an inventory of the locations of unprotected sensitive data”
on page 1135.

Configuring Lotus Notes DIIOP mode configuration

scan options
In the file Crawler.properties, when lotusnotescrawler.use.diiop is set to
true, DIIOP (CORBA) is used to scan a Domino server. The scanner connects directly
to the Domino server with HTTP and DIIOP.
To configure a Lotus Notes DIIOP mode configuration for scanning
1 Copy the Lotus Notes Java library files Notes.jar and NCSO.jar to the
SymantecDLP/Protect/plugins directory.

They can be found in the installation directories of a Lotus Notes client, and
a Lotus Domino server with the Domino Designer installed.
The Notes.jar file is in the following Lotus Notes client default installation
directories:
■ Lotus Notes 8

C:\Program Files\IBM\lotus\notes\jvm\lib\ext\Notes.jar

■ Lotus Notes 7

C:\Program Files\lotus\notes\jvm\lib\ext\Notes.jar

■ Lotus Notes 6.5

C:\Program Files\lotus\notes\Notes.jar

Use the version of the JAR file corresponding to the version of the Lotus Notes
client.
1204 Setting up scans of Lotus Notes databases
Configuring Lotus Notes DIIOP mode configuration scan options

See “Supported Lotus Notes targets” on page 1200.

The NCSO.jar file is in the following Lotus Domino server default installation
directories, when the Domino Designer is installed:
■ Lotus Notes 8

C:\Program Files\IBM\lotus\Notes\Data\domino\java\NCSO.jar

■ Lotus Notes 7

C:\Program Files\lotus\notes\data\domino\java\NCSO.jar

■ Lotus Notes 6.5

C:\Program Files\lotus\notes\data\domino\java\NCSO.jar

2 In the file Crawler.properties, set the following property:

lotusnotescrawler.use.diiop = true

3 Start the HTTP service on the Domino server.

4 Start the DIIOP service on the Domino server.
5 On the Domino server, set the Allow HTTP connections to browse databases
setting to true.
6 When creating targets, enter the credentials of a user who has an Internet
password.
 Chapter 64
Setting up scans of SQL
databases
This chapter includes the following topics:

■ Setting up server scans of SQL databases

■ Supported SQL database targets

■ Configuring and running SQL database scans

■ Installing the JDBC driver for SQL database targets

■ SQL database scan configuration properties

Setting up server scans of SQL databases

You can configure scanning of Oracle, SQL Server, or DB2 databases.
See “Configuring and running SQL database scans” on page 1206.
To set up scanning of SQL databases, complete the following process:

Table 64-1 Setting up an SQL database scan

Step Action Description

1 Verify that your SQL database is on the list of supported See “Supported SQL
targets. database targets”
on page 1206.

2 Click Manage > Discover Scanning > Discover Targets See “Configuring and
to create an SQL database target and to configure scans running SQL database
of SQL databases. scans” on page 1206.
1206 Setting up scans of SQL databases
Supported SQL database targets

Table 64-1 Setting up an SQL database scan (continued)

Step Action Description

3 Set any additional scan options for the SQL database See “Network Discover
target. scan target configuration
options” on page 1121.

4 Install the JDBC driver for the SQL database, if needed. See “Installing the JDBC
driver for SQL database
targets” on page 1209.

5 Start the SQL database scan. Select the scan target from
the target list, then click
Click Manage > Discover Scanning > Discover Targets.
the Start icon.

6 Verify that the scan is running successfully. See “Managing Network

Discover target scans”
on page 1139.

Supported SQL database targets

The following SQL Databases were tested with Network Discover Target scans:
■ Oracle 10g (the vendor_name is oracle)
■ SQL Server 2005 (the vendor_name is sqlserver)
■ DB2 9 (the vendor_name is db2)
Contact Symantec Data Loss Prevention support for information about scanning
any other SQL databases.

Configuring and running SQL database scans

You can configure and run scans on SQL databases to identify which databases
contain confidential data, or to locate the inappropriate presence of confidential
data.
Scanning of SQL databases occurs for a specific set of column data types. The SQL
Database scan extracts data of the following Java Database Connectivity (JDBC)
types: CLOB, BLOB, BIGINT, CHAR, LONGVARCHAR, VARCHAR, TINYINT,
SMALLINT, INTEGER, REAL, DOUBLE, FLOAT, DECIMAL, NUMERIC, DATE, TIME,
and TIMESTAMP. The mapping between these column types and those of a specific
database depends on the implementation of the JDBC driver for the scan.
 Setting up scans of SQL databases 1207
Configuring and running SQL database scans

To set up a scan for an SQL Database

1 Select one of the following methods for entering the databases:
■ Upload a file with the list of databases
Create and save a plain text file (.txt) with the servers you want to scan.
Click Browse to locate the list and Upload to import it. The user name
and password that is specified on the Scanned Content tab of the Add
SQL Database Target page is used.
Enter the databases using the following syntax. The vendor name can be
oracle, db2, or sqlserver. The data source is the subname of the JDBC
connection string for that driver and database. The documentation for
the JDBC driver describes this subname. You can optionally enter the
maximum rows to scan per table in the database.

vendor_name:datasource[, maximum-rows-to-scan]

For example:

oracle:@//oracleserver.company.com:1521/mydatabase
db2://db2server.company.com:50000/mydatabase,300

For some SQL Servers, you must also specify the SQL instance name, as
in the following example:

sqlserver://sqlserver.company.com:1433/mydatabase;
instance=myinstance

■ Manually enter the databases into the user interface

Click the Add option to use a line editor to specify the databases you want
to scan. SQL Database information that is entered here takes precedence
over the default values and applies only to the database specified. You
can optionally enter the maximum rows to scan per table in the database.
Use the following syntax:
1208 Setting up scans of SQL databases
Configuring and running SQL database scans

vendor-name:datasource[, [username, password]

[, maximum-rows-to-scan]]

2 On the Filters tab, enter the optional Include and Exclude filters.
Use the Include Filters and Exclude Filters to specify SQL databases and the
tables that Symantec Data Loss Prevention should process or skip.
When both Include Filters and Exclude Filters are used, the Exclude Filters
take precedence. Any table that matches the Include Filters is scanned, unless
it also matches the Exclude Filters, in which case it is not scanned.
If the Include Filters field is empty, Symantec Data Loss Prevention performs
matching on all tables. These tables are returned from the table query of the
target SQL databases. If you enter any values in the field, Symantec Data Loss
Prevention scans only those databases and tables that match your filter.
The syntax is a pattern for the database, a vertical bar, and a pattern for the
table name. Multiple patterns can be separated with commas. Standard pattern
matching applies. For example, “?” matches a single character.
Because the table name matching is not case-sensitive for many databases,
upper case conversion occurs. The table name in the pattern and the table
name it is matched against are converted to upper case before the match.
The following example would match the employee table in all databases.

*|employee

The following example would match all tables in all Oracle databases.

oracle:*|*

For SQL Server 2005 and DB2, the default table query returns table names in
the format schema_name.table_name. Include Filters and Exclude Filters for
SQL Server and DB2 should match this format.
See the following examples:

sqlserver:*|HRschema.employee
sqlserver:*|*.employee
 Setting up scans of SQL databases 1209
Installing the JDBC driver for SQL database targets

3 On the General tab, select scheduling options.

Choose Submit Scan Job on Schedule to set up a schedule for scanning the
specified target. Select an option from the Schedule drop-down list to display
additional fields. Choose Pause Scan between these times to automatically
pause scans during the specified time interval. You can override a target’s
pause window by going to the Discover Targets screen and clicking the start
icon for the target entry. The pause window remains intact, and any future
scans that run up against the window can pause as specified. You can also
restart a paused scan by clicking the continue icon in the target entry.
4 Select the Advanced tab for options to optimize scanning. On the Advanced
tab, you can configure throttling options or Inventory Mode for scanning.
■ Throttling Options
Enter the maximum number of rows to be processed per minute or the
maximum number of bytes to be processed per minute. If you select both
options, then the scan rate is slower than both options. The scan rate is
slower than the specified number of rows per minute and the specified
number of bytes per minute. For bytes, specify the unit of measurement
from the drop-down list. The options are bytes, KB (kilobytes), or MB
(megabytes).
■ Inventory Scanning
Enter the number of incidents to produce before moving on to the next
item to scan. The next item is the next database from the list in the
Scanned Content tab. To audit whether confidential data exists on a target,
without scanning all of it, set up Inventory Mode for scanning. Setting
incident thresholds can improve the performance of scanning by skipping
to the next item to scan, rather than scanning everything.
See “Creating an inventory of the locations of unprotected sensitive data”
on page 1135.

Installing the JDBC driver for SQL database targets

A JDBC driver must be installed for each database type to be scanned.
To install the JDBC driver
1 Obtain the relevant JDBC driver.
■ The Oracle driver is already installed with the Network Discover Server,
in the default SQL drivers directory Protect/lib/jdbc.
The JDBC driver is Oracle JDBC driver version 10.2.0.3.0.
■ For Microsoft SQL Server, the open source driver jTDS, can be obtained
from Source Forge at http://jtds.sourceforge.net/.
1210 Setting up scans of SQL databases
SQL database scan configuration properties

The jTDS JDBC driver version 1.2.2 was tested with Network Discover.
■ For DB2, the IBM driver JAR files are in the IBM DB2 distribution, under
the java folder. They can be obtained from IBM at
http://www.ibm.com/db2.
The IBM JDBC driver version 1.4.2 was tested with Network Discover.

2 Copy the driver files to the default SQL drivers directory Protect/lib/jdbc.
3 Change the permissions of the JDBC driver files so that the Protect user has
at least read permission.
4 The sqldatabasecrawler.properties file may also need to be modified to
specify the correct JAR names for the selected drivers.
See “SQL database scan configuration properties” on page 1210.

SQL database scan configuration properties

The following configuration properties can be edited in the
sqldatabasecrawler.properties configuration file on the Network Discover
Server:
■ driver_class.vendor_name
Specifies the class name of the JDBC driver to use. The JAR file for this driver
must be included in the directory that is named in sqldrivers.dir and must
be named as driver_jar.vendor_name.
Example:

driver_class.sqlserver = net.sourceforge.jtds.jdbc.Driver

■ driver_subprotocol.vendor_name
Specifies the subprotocol portion of the JDBC connection string.
Example:

driver_subprotocol.sqlserver = jtds:sqlserver

■ driver_jar.vendor_name
Specifies the list of JAR files that the driver requires. The JAR files are stored
in the directory that is named in sqldrivers.dir.
See “Installing the JDBC driver for SQL database targets” on page 1209.
Examples:

driver_jar.sqlserver = jtds-1.2.2.jar
driver_jar.db2 = db2jcc.jar, db2jcc_license_cu.jar
 Setting up scans of SQL databases 1211
SQL database scan configuration properties

■ driver_table_query.vendor_name
Specifies the query to execute to return a list of tables to scan. Typically, the
query should return all user tables in the database. Note that the database
account that issues this query needs appropriate rights to be granted to it by
the database administrator.
You must use an account to scan that can make the driver_table_query in
sqldatabasecrawler.properties and return results. You can test the scan
configuration by using sqlplus to log on as the scan user, and to run the query.
If you get results, you have the permissions to complete the scan. If you do
not get results, then you either have to change the query, or change the
privileges for the scan user.
Example:

driver_table_query.sqlserver = SELECT table_schema

+ '.' + table_name FROM information_schema.tables

■ driver_row_selector.vendor_name
Specifies the format of the query to use to select the rows from the table. This
vendor name varies, depending on the database. Examples are included in the
sqldatabasecrawler.properties configuration file for the most common
databases.
The following substitution variables are used in the query:

0=TABLENAME
1=COLUMNS
2=ROWNUM

Example:

driver_row_selector.sqlserver = SELECT TOP {2} {1} FROM {0}

■ quote_table_names.vendor_name
Specifies whether table names are quoted before the row selection query is
created. Enabling this feature allows tables with numeric names to be scanned.
For example, Payroll.1 becomes “Payroll”.“1” when the name is quoted.
Example:

quote_table_names.sqlserver=true

■ sqldrivers.dir
Specifies the location of the directory in which the JDBC driver JAR files are
placed.
1212 Setting up scans of SQL databases
SQL database scan configuration properties
 Chapter 65
Setting up scans of
SharePoint servers
This chapter includes the following topics:

■ Setting up server scans of SharePoint servers

■ About scans of SharePoint servers

■ Supported SharePoint server targets

■ Access privileges for SharePoint 2007 and 2010 scans

■ About Alternate Access Mapping Collections

■ Configuring and running SharePoint server scans

■ Installing the SharePoint solution on the Web Front Ends in a farm

■ Setting up SharePoint scans to use Kerberos authentication

■ Troubleshooting SharePoint scans

Setting up server scans of SharePoint servers

To set up scanning of SharePoint servers, complete the following process:

Table 65-1 Setting up a SharePoint server scan

Step Action Description

1 Verify that your SharePoint server is on the list See “Supported SharePoint
of supported targets. server targets” on page 1216.
1214 Setting up scans of SharePoint servers
About scans of SharePoint servers

Table 65-1 Setting up a SharePoint server scan (continued)

Step Action Description

2 Verify that you have sufficient permissions to See “Access privileges for
install the SharePoint solution on the Web Front SharePoint 2007 and 2010
Ends in a Farm. scans” on page 1216.

Also verify that the scan user has the See “Installing the SharePoint
permissions to run the scan of the SharePoint solution on the Web Front Ends
server. in a farm” on page 1220.

See “Configuring and running

SharePoint server scans”
on page 1217.

3 Install the SharePoint solution on the Web Front See “Installing the SharePoint
Ends in a Farm. solution on the Web Front Ends
in a farm” on page 1220.

4 Click Manage > Discover Scanning > Discover See “Configuring and running
Targets to create a SharePoint target and to SharePoint server scans”
configure scans of SharePoint servers. on page 1217.

5 Set any additional scan options for the See “Network Discover scan
SharePoint target. target configuration options”
on page 1121.

6 Start the SharePoint server scan. Click Manage > Discover

Scanning > Discover Targets.

Select the scan target from the

target list, then click the Start
icon.

7 Verify that the scan is running successfully. See “Managing Network

Discover target scans”
on page 1139.

About scans of SharePoint servers

The Network Discover Server locates a wide range of exposed confidential data
on SharePoint servers. It communicates with the Enforce Server to obtain
information about policies and scan targets. It sends information about the exposed
confidential data that it finds to the Enforce Server for reporting and remediation.
The following types of SharePoint items are scanned:
■ Wiki pages
 Setting up scans of SharePoint servers 1215
About scans of SharePoint servers

■ Blogs
■ Calendar entries
■ Tasks
■ Project tasks
■ Discussion entries
■ Contact lists
■ Announcements
■ Links
■ Surveys
■ Issue tracking
■ Custom lists
■ Documents in the document library

Note: Only the latest version of a document is scanned.

The communication between the Discover Server and the SharePoint Web Front
End (WFE) is SOAP-based.
Communication is secure when the SharePoint Web sites are configured to use
SSL.
For HTTPS, validation of the server SSL certificate is not the default. To enable
validation of the server SSL certificate, turn on the advanced setting
Discover.ValidateSSLCertificates. Then import the server SSL certificate to
the Discover Server.
See “Advanced server settings” on page 215.
See “Importing SSL certificates to Enforce or Discover servers” on page 209.
If the specified SharePoint site is configured to be on a port that is not the default
(80), ensure that the SharePoint server allows the Discover Server to communicate
on the required port.
The SharePoint solution uses Windows SharePoint Services (WSS) application
programming interfaces. User access to the content is based on the rights for the
specified user in SharePoint. Enter the user credentials to specify this user when
you configure a SharePoint scan.
See “Configuring and running SharePoint server scans” on page 1217.
1216 Setting up scans of SharePoint servers
Supported SharePoint server targets

Figure 65-1 SharePoint communication with the Discover Server

SharePoint
Web Front
Network End
Enforce
Discover Windows
Server
Server

Windows Windows SharePoint

or Linux or Linux solution
SOAP
methods

Supported SharePoint server targets

The following SharePoint server targets are supported:
■ Microsoft Office SharePoint Server 2003 on Windows Server 2003, 32-bit
SharePoint 2003 is supported only with the SharePoint scanner
■ Microsoft Office SharePoint Server 2007, on Windows Server 2003, 32-bit
■ Microsoft Office SharePoint Server 2007, on Windows Server 2003, 32-bit or
64-bit, or Windows Server 2008 R1, 32-bit or 64-bit
■ Microsoft Office SharePoint Server 2010, on Windows Server 2008 R2, 64-bit

Access privileges for SharePoint 2007 and 2010 scans

To perform the SharePoint scan, the user accounts should have sufficient rights
to access and browse the SharePoint site content. The user account must also
have permission to invoke Web services and permission to obtain the access
control list (ACL).
These rights correspond to the lower-level SharePoint permissions “Browse
Directories,” “Use Remote Interfaces,” and “Enumerate Permissions.” Refer to
the Microsoft SharePoint documentation for more information on SharePoint
permissions and permission levels. If the user account does not have the
“Enumerate Permissions” right, then the ACL is not obtained for the SharePoint
content.
The following permission levels in SharePoint already have these permissions
defined:
■ Full Control (includes Browse Directories, Use Remote Interfaces, and
Enumerate permissions)
 Setting up scans of SharePoint servers 1217
About Alternate Access Mapping Collections

■ Design (includes Browse Directories and Use Remote Interfaces permissions)

■ Contribute (includes Browse Directories and Use Remote Interfaces
permissions)

About Alternate Access Mapping Collections

SharePoint requires all URLs used to access a web application to be defined in
Central Administration as internal or public, and the Symantec SharePoint solution
expects the user to provide one of those defined URLs as a scan target. Use
SharePoint's Alternate Access Mapping Collection to define the web application
URLs you use for scanning. For information about configuring Alternate Access
Mapping Collections, see
http://technet.microsoft.com/en-us/library/cc288609%28office.12%29.aspx.

Configuring and running SharePoint server scans

Before you run a scan, you must set up a target using the following procedure.
The SharePoint solution must be installed on the Web Front End in a farm.
See “Installing the SharePoint solution on the Web Front Ends in a farm”
on page 1220.
To set up a new target for the scan of a SharePoint server
1 Click Manage > Discover Scanning > Discover Targets > New Target > Server
> SharePoint.
2 On the General tab, enter the name of this scan target.
3 Select the policy groups that contain the policies for this target scan.
4 Select the Discover Servers where this target scan can run.
5 Select Scheduling options.
Choose Submit Scan Job on Schedule to set up a schedule for scanning the
specified target. Select an option from the schedule drop-down list to display
additional fields.
Choose Pause Scan between these times to automatically pause scans during
the specified time interval. You can override a target’s pause window by going
to the Discover Targets screen and clicking the start icon for the target entry.
The pause window remains intact, and any future scans that run up against
the window can pause as specified. You can also restart a paused scan by
clicking the continue icon for the target entry.
See “Scheduling Network Discover scans” on page 1124.
1218 Setting up scans of SharePoint servers
Configuring and running SharePoint server scans

6 On the Scanned Content tab, enter the credentials for this scan.
You can specify a default user name for access to all SharePoint sites, except
those specified using the Add editor.
If you specify SharePoint sites with the Add editor, you can specify separate
credentials for each site.
The user accounts should have "Browse Directories" permissions in SharePoint
to perform the scan. To retrieve permissions, the user account needs the
"Enumerate Permissions" SharePoint permission level.
See “Access privileges for SharePoint 2007 and 2010 scans” on page 1216.
7 Specify the SharePoint sites to scan.
For each site, enter a target URL to the SharePoint Web application or site
collection or site to be scanned. All the items in its child sites and sub sites
are scanned.
For a Web application, specify for example: http://www.sharepoint.com:2020
For a site collection, specify for example:
http://www.sharepoint.com:2020/Sites/collection

For a site or sub-site, specify for example:

http://www.sharepoint.com:2020/Sites/mysharepoint/sub/mysite

For the SharePoint site, use the public URL instead of the internal URL.
The Following syntax applies for the URL and credentials on each line.

URL,[username,password]

Select one of the following methods of entering the location for the SharePoint
server:
■ Uploaded file
Select Scan Sites From an Uploaded File. Create and save a plain text file
(.txt) listing the servers you want to scan. Create the file using an ASCII
text editor and enter one URL per line. Then click Browse to locate the
file with the list. Click Upload Now to import it.
■ Individual entries
Select Scan Sites. Click Add to use a line editor to specify the servers you
want to scan. Server information that is entered here takes precedence
over the default values and applies only to the path specified.
 Setting up scans of SharePoint servers 1219
Configuring and running SharePoint server scans

8 Under Scan Type, select Scan only new or modified items (incremental scan).
This option is the default for new targets.
If you have changed the policy or other definitions in an existing scan, you
can set up the next scan as a full scan. Select the following option:
Scan all items for the next scan. Subsequent scans will be incremental.
If you always want to scan all items in this target, select the following option:
Always scan all items (full scan)
9 On the Filters tab, select path filters.
Use the Include Filter and Exclude Filter to specify the items that Symantec
Data Loss Prevention should process or skip. If the field is empty, Symantec
Data Loss Prevention performs matching on all items. If you enter any values
for the Include Filter, Symantec Data Loss Prevention scans only those items
that match your filter. Delimit entries with a comma, but do not use any
spaces.
You can provide filters using regular expressions, or paths relative to the
location of the SharePoint site. Filters can include a site collection, site, sub
site, folder, file name, or file extension. Path filters are not applied on
attachments of an item, such as a .doc attachment to a list item.
All path filters are case-sensitive.
For the Include Filter, regular expression matching is applied to files, but
not to folders.
For the Exclude Filter, regular expression matching is applied to both files
and folders.
Only the path until the first "?" or "*" is considered when a folder or file is
matched.
When all the specified path filters are relative, the matching folder is skipped,
and the scan statistics do not include the items in the skipped folders.
See “Setting up Discover filters to include or exclude items from the scan”
on page 1128.
10 On the Filters tab, select date filters.
The date filters let you include items from the matching process based on
their dates. Any items that match the specified date filters are scanned.
See “Filtering Discover targets by date last accessed or modified” on page 1131.
1220 Setting up scans of SharePoint servers
Installing the SharePoint solution on the Web Front Ends in a farm

11 On the Filters tab, select size filters.

The size filters let you exclude items from the matching process based on
their size. Symantec Data Loss Prevention includes only the items that match
your specified size filters. If you leave this field empty, Symantec Data Loss
Prevention performs matching on items or documents of all sizes.
See “Filtering Discover targets by item size” on page 1130.
12 Select the Advanced tab for options to optimize scanning. On the Advanced
tab, you can configure throttling options and set Inventory Mode for scanning.
■ Throttling Options
Specify the maximum number of items to be processed per minute, or
specify the maximum number of bytes to be processed per minute. For
bytes, specify the unit of measurement from the drop-down list. The
options are bytes, KB (kilobytes), or MB (megabytes).

Note: Byte throttling is only applied after the fetch of each item. Therefore,
actual network traffic may not exactly match the byte throttling that is
set.

■ Inventory Scanning
Enter the number of incidents to produce before moving on to the next
site to scan (a URL from the Scanned Content tab). To audit whether
confidential data exists on a target, without scanning all of it, set up
Inventory Mode for scanning. Setting incident thresholds can improve
the performance of scanning by skipping to the next site to scan, rather
than scanning everything.
After the incident threshold has been reached, the scanning of this site
is stopped, and scanning proceeds to the next site. Because the process is
asynchronous, a few more incidents may be created than specified in the
incident threshold.

Installing the SharePoint solution on the Web Front

Ends in a farm
To scan a SharePoint target using Network Discover, you must install the Symantec
SharePoint solution on the Web Front Ends in a farm.
The SharePoint target running on Network Discover communicates with the
SharePoint solution and fetches content after the target is authenticated with
 Setting up scans of SharePoint servers 1221
Installing the SharePoint solution on the Web Front Ends in a farm

SharePoint. You can configure the application to use SSL if secure data transfer
is required between the Network Discover and SharePoint servers.
Specific permissions are required for the SharePoint solution installation process.
See “Access privileges for SharePoint 2007 and 2010 scans” on page 1216.
The Symantec SharePoint solution is versioned, and is not backward-compatible.
If you are upgrading from Symantec Data Loss Prevention version 11.5 or earlier,
you must upgrade your SharePoint solution. Table 65-2 lists the SharePoint
Solution version that is compatible with your version of Symantec Data Loss
Prevention.

Table 65-2 Symantec SharePoint Solution version compatibility

Symantec SharePoint Solution version Compatible Symantec Data Loss

Prevention versions

No version number 11.0 through 11.5

11.5.1 11.5.1

11.6 11.6, 11.6.1, 11.6.2

12.0 12.0

To install the Symantec SharePoint solution

1 Copy the SharePoint solution installer Symantec_DLP_Solution.exe to a
temporary directory on the SharePoint Web Front End. This file is located in
the DLP_Home\Symantec_DLP_12_Win\Third_Party\SharePoint or
DLP_Home/Symantec_DLP_12_Lin/Third_Party/SharePoint directory, where
DLP_Home is the name of the directory in which you unzipped the Symantec
Data Loss Prevention software.
2 Start the Windows SharePoint Services Administration service on the
SharePoint server. On the SharePoint server, click Start > All Programs >
Administrative Tools > SharePoint Central Administration.
3 Double-click the Symantec_DLP_Solution.exe file. The Symantec Data Loss
Prevention solution installation program starts.
4 Click Next, and the installation program performs a number of preliminary
checks.
If one of these checks fail, correct the problem and restart the installation
program.
Click Next.
5 Accept the Symantec License Agreement , and click Next.
1222 Setting up scans of SharePoint servers
Setting up SharePoint scans to use Kerberos authentication

6 The installation program copies the files and deploys the solution to all Web
Applications in the SharePoint farm.
7 After installation, verify that the SharePoint solution has been correctly
deployed to the server or server farm.
8 Connect to SharePoint Central Administration. On the SharePoint server,
go to Start > All Programs > Administrative Tools > SharePoint Central
Administration.
9 For SharePoint 2007, click the Operations tab. In the Global Configuration
section, select Solution management.
10 For SharePoint 2010, click System Settings. Then select Manage Farm
Solutions.
11 Verify the deployment. If the solution is installed correctly, the list includes
symantec_dlp_solution.wsp.
12 If the solution must be removed, use the SharePoint retract and undeploy
features.

Setting up SharePoint scans to use Kerberos

authentication
A SharePoint scan can optionally use Kerberos authentication.
SharePoint must already be set up to work with Kerberos authentication.
The Discover Server must then be configured to communicate with the Key
Distribution Center (KDC) and the SharePoint server.
To configure the Discover Server for Kerberos authentication
1 Create a file named krb5.conf which contains the realm and the KDC
information. On Windows, this file is usually named krb5.ini. A sample file
is in the folder C:\SymantecDLP\Protect\config (in a Windows default
Symantec Data Loss Prevention installation).
See “Creating the configuration file for Active Directory integration”
on page 110.
2 Copy this file to the Discover Server into the folder
C:/SymantecDLP/jre/lib/security/ (in a Windows default Symantec Data
Loss Prevention installation).
 Setting up scans of SharePoint servers 1223
Troubleshooting SharePoint scans

3 Update the default realm and directory server parameters (realms) in this
file.

[libdefaults]
default_realm = ENG.COMPANY.COM

[realms]
ENG.COMPANY.COM = {
kdc = engADserver.emg.company.com
}
MARK.COMPANY.COM = {
kdc = markADserver.emg.company.com
}

See “Creating the configuration file for Active Directory integration”

on page 110.
4 On the Discover Server, update the Protect.properties file in the folder
C:\SymantecDLP\Protect\config (in a Windows default Symantec Data Loss
Prevention installation). Update the property that points to the updated
krb5.ini file.

# Kerberos Configuration Information

java.security.krb5.conf=C:/SymantecDLP/jre/lib/security/krb5.ini

Troubleshooting SharePoint scans

Table 65-3 provides suggestions for troubleshooting issues with SharePoint scans.

Table 65-3 Troubleshooting SharePoint scans

Issue Recommended steps

If an internal Specify the public URL for the SharePoint site. All the site
SharePoint URL is collections are scanned.
specified, only the
default site collection
is scanned.
1224 Setting up scans of SharePoint servers
Troubleshooting SharePoint scans

Table 65-3 Troubleshooting SharePoint scans (continued)

Issue Recommended steps

No site collections, or Specify the site collection/site/web application URL with a fully
only the default site qualified domain name.
collection, are scanned
To validate the access from the Discover Server, try to access the
when the Discover
SharePoint URL from a browser. If a short name does not work,
Server and SharePoint
try to use the fully qualified domain name.
site are in different
domains. Only the default site collection is scanned if the web application
URL does not contain fully qualified domain name.

The bytes reported as To improve performance, the scan statistics do not include items
scanned does not in the folders that are skipped (filtered out).
match the number of
Dynamic content, such as .aspx files, can change size.
bytes in the content.
You can set the Advanced Server setting
Discover.countAllFilteredItems to get more accurate
scan statistics.

See “Advanced server settings” on page 215.

 Chapter 66
Setting up scans of
Exchange servers
This chapter includes the following topics:

■ Setting up server scans of Exchange 2003 and 2007 repositories using the
Exchange Web Store connector

■ About scans of Exchange 2003 and 2007 servers

■ Supported Exchange Server Web Store connector targets

■ Providing access rights to scan all mailboxes and public folders

■ Configuring Exchange 2003 and 2007 server scans

■ Example configurations and use cases for Exchange 2003 and 2007 scans

■ Troubleshooting Exchange 2003 and 2007 scans

■ Setting up server scans of Exchange 2007 SP2 and 2010 repositories using
Exchange Web Services

■ About scans of Exchange 2007 SP2 and 2010 servers

■ Supported Exchange Server Web Services connector targets

■ Configuring Exchange 2007 SP2 and 2010 Server scans

■ Example configurations and use cases for Exchange 2007 SP2 and 2010 scans

■ Troubleshooting Exchange 2007 SP2 and 2010 scans

1226 Setting up scans of Exchange servers
Setting up server scans of Exchange 2003 and 2007 repositories using the Exchange Web Store connector

Setting up server scans of Exchange 2003 and 2007

repositories using the Exchange Web Store connector
You can scan Exchange 2003 and 2007 (all versions) servers using the Exchange
Web Store connector. To set up scanning of Exchange 2003 and 2007 servers using
the Exchange Web Store connector, complete the following process:

Table 66-1 Setting up an Exchange server scan

Step Action Description

1 Verify that your Exchange server provides

Outlook Web Access and enable WebDAV.

2 If you need secure access between the Discover See “Configuring Exchange 2003 and 2007 server scans”
Server and your Exchange server or LDAP on page 1229.
server, set up HTTPS and LDAPS.

3 If you want to scan all mailboxes and public See “Providing access rights to scan all mailboxes and
folders, make sure to grant access rights for the public folders” on page 1228.
specific user. The user also needs access to the
domain controller.

4 Go to Manage > Discover Scanning > Discover See “Configuring Exchange 2003 and 2007 server scans”
Targets to create an Exchange target and to on page 1229.
configure scans of Exchange servers.

5 Set any additional scan options for the See “Network Discover scan target configuration options”
Exchange target. on page 1121.

6 Start the Exchange server scan. Go to Manage > Discover Scanning > Discover Targets.

Select the scan target from the target list, then click the
Start icon.

7 Verify that the scan is running successfully. See “Managing Network Discover target scans”
on page 1139.

About scans of Exchange 2003 and 2007 servers

The Network Discover Server locates a range of exposed confidential data on
Exchange servers, including email messages, calendar items, contacts, journal,
and flagged items.
Communication is secure when the Exchange server is configured to use SSL
(HTTPS). Communication with the LDAP server is secure when it is configured to
use LDAPS.
 Setting up scans of Exchange servers 1227
Supported Exchange Server Web Store connector targets

For HTTPS, validation of the server SSL certificate is not the default. To enable
validation of the server SSL certificate, turn on the advanced setting
Discover.ValidateSSLCertificates. Then import the server SSL certificate to
the Discover Server.
See “Advanced server settings” on page 215.
See “Importing SSL certificates to Enforce or Discover servers” on page 209.

Figure 66-1 Exchange scan configuration

Exchange
Server

Network HTTP or Outlook

Enforce
Discover HTTPS Web
Server
Server Access

Windows Windows
or Linux or Linux
LDAP or
LDAPS Domain
Controller

Active
DIrectory

Supported Exchange Server Web Store connector

targets
The Exchange Web Store connector supports the following Exchange Server
targets:
■ Microsoft Exchange Server 2003
■ Microsoft Exchange Server 2007
For Exchange 2007 SP2 servers, you can either use the Exchange Web Store
connector or Exchange Web Services connector.
To use the Exchange Web Store connector, Outlook Web Access must be configured,
and WebDAV must be enabled.
The Exchange scan includes email message text and email file attachments from
the user’s mailbox.
1228 Setting up scans of Exchange servers
Providing access rights to scan all mailboxes and public folders

You can scan the data objects that are stored within Public Folders, such as:
■ Email messages
■ Message attachments
■ Microsoft Word documents
■ Excel spreadsheets
The Exchange scan does not target mail stored in Personal Folders (.pst files) or
offline folders (.ost files) that are not on the Exchange server. To scan .pst files
on a file share, use the shared file system target.
See “Configuring scans of Microsoft Outlook Personal Folders (.pst files)”
on page 1190.

Providing access rights to scan all mailboxes and

public folders
If you want to scan all mailboxes and public folders, make sure to grant access
rights for the specific user.
Basic, NTML, and form-based authentication is supported. Kerberos is also
supported, if it is installed.
For Exchange 2007, set up access rights to all mailboxes and public folders
1 In the Exchange console, run the following to enable access to all mailboxes:

Get-Mailbox | Add-MailboxPermission -User specific_user

-Accessright Fullaccess -InheritanceType All

2 The access to public folders should be enabled by default. Verify the access.
3 Restart the Microsoft Exchange Information Store service to propagate the
changes immediately.

Note: The changes propagate automatically, but may take 15 minutes or

longer.
 Setting up scans of Exchange servers 1229
Configuring Exchange 2003 and 2007 server scans

For Exchange 2003, set up access rights to all mailboxes and public folders
1 Open the Exchange Server Manager.
2 Select Servers > server_name, and make sure that access rights for the specific
user are allowed. Look under the Security tab in the Properties dialog box
for each Mailbox store and Public Folder store. Usually, all access rights are
granted except Receive As and Send As.
3 Add the Receive As and Send As access rights.
4 Restart the Microsoft Exchange Information Store service to propagate the
changes.

Note: The changes propagate automatically, but may take 15 minutes or

longer.

Configuring Exchange 2003 and 2007 server scans

Before you run a scan, you must set up a target using the following procedure.
If you want secure access from the Discover Server to the Exchange server, then
set up the Exchange server for HTTPS. If you want secure access from the Discover
Server to the Domain Server, then set up the Domain Server for LDAPS. Use the
same procedure for the Enforce Server, and for each Discover Server that scans
an Exchange Server.
See “Importing SSL certificates to Enforce or Discover servers” on page 209.

Note: The "eml" string is special for Exchange server scanning because the files
in Exchange have an .eml extension. Review your policies, such as file matching,
and avoid using "eml" in the matching for Exchange scans. Also avoid this string
in the include or exclude filters of the Exchange scans.

To set up a new target for the scan of an Exchange server

1 Go to Manage > Discover Scanning > Discover Targets > New Target > Server
> Exchange.
2 On the General tab, enter the name of this scan target.
3 Select the policy groups that contain the policies for this target scan.
4 Select the Network Discover Servers where this target scan can run.
1230 Setting up scans of Exchange servers
Configuring Exchange 2003 and 2007 server scans

5 Select Scheduling options.

Choose Submit Scan Job on Schedule to set up a schedule for scanning the
specified target. Select an option from the schedule drop-down list to display
additional fields.
Choose Pause Scan between these times to automatically pause scans during
the specified time interval. You can override a target’s pause window by going
to the Discover Targets screen and clicking the start icon for the target entry.
The pause window remains intact, and any future scans that run up against
the window can pause as specified. You can also restart a paused scan by
clicking the continue icon for the target entry.
See “Scheduling Network Discover scans” on page 1124.
6 On the Scanned Content tab, enter the credentials for this scan.
All Exchange user names must include the domain name, for example:

DOMAIN_NAME\user_name

You can specify a default user name for access to the Exchange site.
See “Providing the password authentication for Network Discover scanned
content” on page 1126.
7 Enter a target URL for the Exchange server to be scanned.

Note: Only one Exchange server can be specified per Discover target.

Select one of the following methods of entering the items to scan on the
Exchange server:
■ All users on Directory Server
To use this option, select a Directory Server connection you have already
specified, or click the Create new Directory Connection link to configure
a new directory connection.
See “Configuring directory server connections” on page 132.
■ Directory groups and users
If directory user groups are available, then select the groups to include in
this target.
To use this option, directory groups must be established. If no directory
groups are set up, click the link Create new User Group to jump to the
page to configure the directory user groups.
See “Creating or modifying a User Group” on page 601.
■ Specify User Mailboxes to include in this Target
 Setting up scans of Exchange servers 1231
Configuring Exchange 2003 and 2007 server scans

Enter specific mailboxes. Alphanumeric characters and the following

special characters are allowed in mailbox names:

! # $ ' - ^ _ ` { }

You can combine this option with directory groups and users. No directory
groups are needed for the user mailboxes option.
■ Public folders
Select this option to scan all public folders on the Exchange server. The
user of the credentials that are specified must have access to these public
folders.
You can select this option in addition to All users on a Directory Server
or Directory groups and users.
1232 Setting up scans of Exchange servers
Configuring Exchange 2003 and 2007 server scans

8 On the Filters tab, select path filters.

Use the Include Filter and Exclude Filter to specify the items that Symantec
Data Loss Prevention should process or skip. If the field is empty, Symantec
Data Loss Prevention performs matching on all items. If you enter any values
for the Include Filter, Symantec Data Loss Prevention scans only those items
that match your filter. Delimit entries with a comma, but do not use any
spaces.
You can provide filters using regular expressions, or paths relative to the
location of the Exchange site. Filters can include a folder name or file name.
All path filters are case-sensitive .
Exchange may append an email identifier to the end of the path. To match
the filter, add a wildcard to the end. For example to filter for “sample public
folder item” use the following filter:

*/folder/*/*sample public folder item*

You can provide filters using regular expressions, or paths relative to the
location of the Exchange site. Filters can include a site collection, site, sub
site, folder, file name, or file extension. All path filters are case-sensitive .
For the Include Filter, regular expression matching is applied to files, but not
to folders.
For the Exclude Filter, regular expression matching is applied to both files
and folders.
Only the path until the first "?" or "*" is considered when a folder or file is
matched.
When all the specified path filters are relative, the matching folder is skipped,
and the scan statistics do not include the items in the skipped folders.
See “Setting up Discover filters to include or exclude items from the scan”
on page 1128.
9 On the Filters tab, select size filters.
The size filters let you exclude items from the matching process based on
their size. Symantec Data Loss Prevention includes only the items that match
your specified size filters. If you leave this field empty, Symantec Data Loss
Prevention performs matching on items of all sizes.
See “Filtering Discover targets by item size” on page 1130.
 Setting up scans of Exchange servers 1233
Example configurations and use cases for Exchange 2003 and 2007 scans

10 On the Filters tab, select a Differential scan (optional).

Select Only Scan files added or modified since the last full scan to have
Symantec Data Loss Prevention scan only the items or the documents that
have been added or modified since the last full scan. The first scan has to be
a full (initial base) scan. A full scan occurs if you select this option before
Symantec Data Loss Prevention scans this target for the first time.
11 Select Date Filters.
The date filters let you include items from the matching process based on
their dates. Any items that match the specified date filters are scanned.
See “Filtering Discover targets by date last accessed or modified” on page 1131.
12 Select the Advanced tab for options to optimize scanning. On the Advanced
tab, you can configure throttling options and set Inventory Mode for scanning.
■ Throttling Options
Specify the maximum number of items to be processed per minute, or
specify the maximum number of bytes to be processed per minute. For
bytes, specify the unit of measurement from the drop-down list. The
options are bytes, KB (kilobytes), or MB (megabytes).
■ Inventory Scanning
Enter the number of incidents to produce before completing this scan. To
audit whether confidential data exists on a target, without scanning all
of it, set up Inventory Mode for scanning.
After the incident threshold has been reached, the scanning is stopped.
Because the process is asynchronous, a few more incidents may be created
than specified in the incident threshold.

Example configurations and use cases for Exchange

2003 and 2007 scans
Table 66-2 lists the options to select on the Scanned Content tab during the
configuration of an Exchange target.
1234 Setting up scans of Exchange servers
Example configurations and use cases for Exchange 2003 and 2007 scans

Table 66-2 Exchange 2003 and 2007 scan use cases

Use case Description

Scan all user mailboxes and Select the following options in the user interface:
public folders.
■ All users on Directory Server
■ Public folders

The credentials must include a user who has access to the mailboxes, and also access
to the domain controller (to retrieve the list of users).

See “Providing access rights to scan all mailboxes and public folders” on page 1228.

Scan all users mailboxes Select the option All users on Directory Server in the user interface.
(but not public folders).
The credentials must include a user who has access to the mailboxes, and also access
to the domain controller (to retrieve the list of users).

See “Providing access rights to scan all mailboxes and public folders” on page 1228.

Scan all public folders. Select the Public folders option in the user interface.

The credentials must include a user who has access to the public folders.

Scan all user mailboxes Select the Directory groups and users option in the user interface.
belonging to a specified
Then select the Directory Group from the groups in the list. All user mailboxes in the
group.
group are scanned.

The credentials must include a user who has access to the mailboxes, and also access
to the domain controller (to retrieve the list of users).

See “Providing access rights to scan all mailboxes and public folders” on page 1228.

Scan an individual user Select the Directory groups and users option in the user interface.
mailbox.
Then enter the individual user mailbox name.

The credentials must include access for the specified user mailbox.

Scan the user mailboxes On the Exchange server, the user mailboxes may be in a different store than the default.
that are not on the default
Specify the Exchange URL containing the path to the alternate store, credentials with
store for Exchange.
access to the mailboxes, and the mailboxes to scan using any of the methods in this
table.

Scan the public folders that On the Exchange server, the public folders may be in a different store than the default.
are not on the default store
Specify the Exchange URL containing the path to the public folders and credentials
for Exchange.
with access to the public folders.

Select the Public folders option in the user interface.

 Setting up scans of Exchange servers 1235
Troubleshooting Exchange 2003 and 2007 scans

Troubleshooting Exchange 2003 and 2007 scans

Table 66-3 provides suggestions for troubleshooting issues with Exchange scans.

Table 66-3 Troubleshooting Exchange 2003 and 2007 scans

Issue Recommended steps

A mailbox is created, but Log on to the mailbox. Then the mailbox is scanned.
never logged on. The
mailbox is not scanned.

In the Exchange logs, the This log entry indicates the last user to use the mailbox, which may be the user that
user that scanned the scanned it.
Exchange server is reported
as "Last Logged on By" in
the user activity.

The bytes reported as To improve performance, the scan statistics do not include items in the folders that
scanned do not match the are skipped (filtered out).
number of bytes in the
You can set Discover.countAllFilteredItems in Server Detail > Advanced
content.
Server Settings to get more accurate scan statistics.

See “Advanced server settings” on page 215.

The connection to the The default value for the timeout of the connection to the Exchange server is five
Exchange server times out, minutes (300000 milliseconds).
and no items are scanned.
To increase the value, add and set the property in the configuration file
crawler.properties. For example, to set the timeout to 10 minutes, add or modify
the following line:

crawler.exchange.serverTimeout = 600000

All items trigger incidents Remove Outlook Express from the file type detection rule.
if the file type detection
rule is set to detect Outlook
Express items in the policy
for an Exchange scan.

Setting up server scans of Exchange 2007 SP2 and

2010 repositories using Exchange Web Services
You can crawl Exchange 2007 SP2 (and later) and 2010 Servers using Exchange
Web Services.
1236 Setting up scans of Exchange servers
About scans of Exchange 2007 SP2 and 2010 servers

Table 66-4 Setting up an Exchange server scan

Step Action Description

1 Verify that Exchange Web Services and the For information about Exchange Web Services and
Autodiscover Service are enabled on your Exchange the Autodiscover service, see your Microsoft Exchange
server and are accessible from the Network Discover documentation.
server.

2 If you need secure access between the Discover Server By default, Symantec Data Loss Prevention only allows
and Exchange Web Services or your Active Directory HTTPS connections to the Active Directory server
server, set up HTTPS and LDAPS. and Exchange Web Services. To allow HTTP
connections, set the
Discover.Exchange.UseSecureHttpConnections
setting in Server Detail > Advanced Server Settings
to false.

See “Advanced server settings” on page 215.

3 Ensure that your Exchange user credentials can For information about enabling impersonation for
impersonate any mailbox you want to scan. your user credentials, see your Microsoft Exchange
documentation.

4 Go to Manage > Discover Scanning > Discover See “Configuring Exchange 2007 SP2 and 2010 Server
Targets to create an Exchange target and to configure scans” on page 1238.
scans of Exchange servers.

5 Set any additional scan options for the Exchange See “Network Discover scan target configuration
target. options” on page 1121.

6 Start the Exchange server scan. Go to Manage > Discover Scanning > Discover
Targets.

Select the scan target from the target list, then click
the Start icon.

7 Verify that the scan is running successfully. See “Managing Network Discover target scans”
on page 1139.

About scans of Exchange 2007 SP2 and 2010 servers

You can scan Exchange 2007 SP2 (and later) and 2010 servers using the Exchange
Web Services connector. For Exchange 2007 SP2 servers, you can either use the
Exchange Web Store connector or the Exchange Web Services connector. The
Exchange Web Services connector does not require an agent on the Exchange
server, and it does not search every Exchange server. Using the Exchange
Autodiscover feature, it fetches Exchange server and mailbox information from
Active Directory, and pulls data directly from the appropriate Exchange servers
 Setting up scans of Exchange servers 1237
Supported Exchange Server Web Services connector targets

using the Simple Object Access Protocol (SOAP). For more information on the
Exchange Autodiscover feature, see
http://technet.microsoft.com/en-us/library/bb124251.aspx.
The Network Discover Server locates a range of exposed confidential data on
Exchange servers, including email messages, calendar items, contacts, journal,
and flagged items.
Communication is secure when the Exchange server is configured to use SSL
(HTTPS). Communication with the Active Directory server is secure when it is
configured to use LDAPS.
For HTTPS, validation of the server SSL certificate is not the default. To enable
validation of the server SSL certificate, turn on the advanced setting
Discover.ValidateSSLCertificates. Then import the server SSL certificate to
the Discover Server.
By default, Network Discover uses secure connections to the Exchange and Active
Directory servers. You can disable secure access to Exchange and Active Directory
by setting the Discover.Exchange.UseSecureHttpConnections setting in Server
Detail > Advanced Server Settings to false.
See “Advanced server settings” on page 215.
See “Importing SSL certificates to Enforce or Discover servers” on page 209.

Note: Network Discover does not support scans of Exchange targets using Dynamic
Distribution Groups.

Supported Exchange Server Web Services connector

targets
The Exchange Web Services connector supports the following Exchange Server
targets:
■ Microsoft Exchange Server 2007 SP2 or later
For Exchange 2007 SP2 servers, you can either use the Exchange Web Services
connector or the Exchange Web Store connector.
■ Microsoft Exchange Server 2010
To use the Exchange Web Services connector, Exchange Web Services and the
Autodiscover Service must be enabled on your Exchange server and are accessible
to the Network Discover server.
You can scan the data objects that are stored within Public Folders, such as:
1238 Setting up scans of Exchange servers
Configuring Exchange 2007 SP2 and 2010 Server scans

■ Email messages
■ Message attachments
■ Microsoft Word documents
■ Excel spreadsheets
The Exchange scan also targets mail stored in Exchange 2010 Personal Archives.

Configuring Exchange 2007 SP2 and 2010 Server

scans
Before you run a scan, you must set up a target using the following procedure.
To set up a new target for the scan of an Exchange server using Exchange Web
Services
1 Go to Manage > Discover Scanning > Discover Targets > New Target > Server
> Exchange.
2 On the General tab, enter the name of this scan target.
3 Select the policy groups that contain the policies for this target scan.
4 Select the Network Discover Servers where this target scan can run.
5 Select Scheduling options.
Choose Submit Scan Job on Schedule to set up a schedule for scanning the
specified target. Select an option from the schedule drop-down list to display
additional fields.
Choose Pause Scan between these times to automatically pause scans during
the specified time interval. You can override a target’s pause window by going
to the Discover Targets screen and clicking the start icon for the target entry.
The pause window remains intact, and any future scans that run up against
the window can pause as specified. You can also restart a paused scan by
clicking the continue icon for the target entry.
See “Scheduling Network Discover scans” on page 1124.
 Setting up scans of Exchange servers 1239
Configuring Exchange 2007 SP2 and 2010 Server scans

6 On the Scanned Content tab, enter the credentials for this scan.
All Exchange user names must include the domain name, for example:

DOMAIN_NAME\user_name

Ensure that the user credentials you provide can impersonate all mailboxes
you want to scan. For information about configuring Exchange Impersonation,
see
http://msdn.microsoft.com/en-us/library/bb204095%28v=exchg.80%29.aspx.
See “Providing the password authentication for Network Discover scanned
content” on page 1126.
7 Enter a target URL for the Microsoft Active Directory server. For example,
ldaps://dc.domain.com:636.

Note: Only one Active Directory server can be specified per Discover target.

8 Select Public folders to scan all public folders on the Exchange server. The
user of the credentials that are specified must have access to these public
folders.

Note: In mixed Exchange environments where both Exchange 2007 and 2010
servers are deployed, Network Discover only scans the public folders from
the version specified by the credentials you entered in the Exchange Network
Discover target. To scan public folders across both versions 2007 and 2010
in mixed environments, create a separate Network Discover target for each
version.

You can select this option in addition to All users on a Directory Server or
Directory groups and users.
9 Select Mailboxes to scan user mailboxes on your Exchange servers. Select
one of the following methods of entering the items to scan on the Exchange
server:
■ All users on Directory Server
If a directory server is available, then select the Directory Server from
the drop-down list.
To use this option, select the Directory Server connection you have already
specified, or click the Create new Directory Connection link to configure
another directory connection.
See “Configuring directory server connections” on page 132.
1240 Setting up scans of Exchange servers
Configuring Exchange 2007 SP2 and 2010 Server scans

■ Directory groups and users

If directory user groups are available, then select the groups to include in
this target.
To use this option, directory groups must be established. If no directory
groups are set up, click the link Create new User Group to jump to the
page to configure the directory user groups.
See “Creating or modifying a User Group” on page 601.
■ Specify User Mailboxes to include in this Target
Enter specific mailboxes. Alphanumeric characters and the following
special characters are allowed in mailbox names:

! # $ ' - ^ _ ` { }

You can combine this option with directory groups and users. No directory
groups are needed for the user mailboxes option.
■ Personal Archives
Select this option to scan Exchange 2010 Personal Archive mailboxes for
the users you have specified.
 Setting up scans of Exchange servers 1241
Configuring Exchange 2007 SP2 and 2010 Server scans

10 On the Filters tab, select path filters.

Use Include Filters and Exclude Filters to specify the items that Symantec
Data Loss Prevention should process or skip. If the field is empty, Symantec
Data Loss Prevention performs matching on all items. If you enter any values
for the Include Filter, Symantec Data Loss Prevention scans only those items
that match your filter. Delimit entries with a comma, but do not use any
spaces.
You can provide filters using regular expressions, or paths relative to the
location of the Exchange site. Filters can include a folder name or file name.
All path filters are case-sensitive .
Exchange may append an email identifier to the end of the path. To match
the filter, add a wildcard to the end. For example to filter for “sample public
folder item” use the following filter:

*/folder/*/*sample public folder item*

You can provide filters using regular expressions, or paths relative to the
location of the Exchange site. Filters can include a site collection, site, sub
site, folder, file name, or file extension. All path filters are case-sensitive .
For Include Filters, regular expression matching is applied to files, but not
to folders.
For Exclude Filters, regular expression matching is applied to both files and
folders.
Only the path until the first "?" or "*" is considered when a folder or file is
matched.
When all the specified path filters are relative, the matching folder is skipped,
and the scan statistics do not include the items in the skipped folders.
See “Setting up Discover filters to include or exclude items from the scan”
on page 1128.
11 On the Filters tab, select size filters.
The size filters let you exclude items from the matching process based on
their size. Symantec Data Loss Prevention includes only the items that match
your specified size filters. If you leave this field empty, Symantec Data Loss
Prevention performs matching on items of all sizes.
See “Filtering Discover targets by item size” on page 1130.
1242 Setting up scans of Exchange servers
Example configurations and use cases for Exchange 2007 SP2 and 2010 scans

12 On the Filters tab, select a differential scan (optional).

Select Only Scan files added or modified since the last full scan to have
Symantec Data Loss Prevention scan only the items or the documents that
have been added or modified since the last full scan. The first scan has to be
a full (initial base) scan. A full scan occurs if you select this option before
Symantec Data Loss Prevention scans this target for the first time.
13 Select Date Filters.
The date filters let you include items from the matching process based on
their dates. Any items that match the specified date filters are scanned.
See “Filtering Discover targets by date last accessed or modified” on page 1131.
14 Select the Advanced tab for options to optimize scanning. On the Advanced
tab, you can configure throttling options and set Inventory Mode for scanning.
■ Throttling Options
You can use throttling to limit the bandwidth consumed by your scan, or
to limit the load on your Exchange server. Specify the maximum number
of items to be processed per minute, or specify the maximum number of
bytes to be processed per minute. For bytes, specify the unit of
measurement from the drop-down list. The options are bytes, KB
(kilobytes), or MB (megabytes).
■ Inventory Scanning
Enter the number of incidents to produce before completing this scan. To
audit whether confidential data exists on a target, without scanning all
of it, set up inventory mode for scanning.
After the incident threshold has been reached, the scanning is stopped.
Because the process is asynchronous, a few more incidents may be created
than specified in the incident threshold.

Example configurations and use cases for Exchange

2007 SP2 and 2010 scans
Table 66-5 lists the options to select on the Scanned Content tab during the
configuration of an Exchange target.
Ensure that the user credentials you provide can impersonate all mailboxes you
want to scan. For information about configuring Exchange Impersonation, see
http://msdn.microsoft.com/en-us/library/bb204095%28v=exchg.80%29.aspx.
 Setting up scans of Exchange servers 1243
Troubleshooting Exchange 2007 SP2 and 2010 scans

Table 66-5 Exchange 2007 SP2 and 2010 scan use cases

Use case Description

Scan all user mailboxes and Select the following options in the user interface:
public folders.
■ Public folders
■ Mailboxes > All users on Directory Server

The credentials must have permission to impersonate all mailboxes you want to scan.

Scan all user mailboxes (but Select Mailboxes > All users on Directory Server in the user interface.
not public folders).
The credentials must have permission to impersonate all mailboxes you want to scan.

Scan all public folders. Select Public folders in the user interface.

Scan specific groups or Select Mailboxes > Directory groups and users in the user interface.
users.
To scan a Directory Group, select the Directory Group from the groups in the list. All
user mailboxes in the group are scanned. You can click Create new User Group to
create a new Directory Group.

To scan for specific users, enter a comma-separated list of user mailbox names.

The credentials must have permission to impersonate all mailboxes you want to scan.

Scan an Exchange 2010 Select Mailboxes > All users on Directory Server > Personal Archives or Mailboxes
Personal Archive. > Directory groups and users > Personal Archives in the user interface. If necessary,
specify which mailboxes to scan. Network Discover scans the Personal Archives
associated with the specified mailboxes.

Troubleshooting Exchange 2007 SP2 and 2010 scans

If you experience problems with Exchange 2007 SP2 and 2010 scans, you can look
for more information here:
■ FileReader0.log: This file logs all SOAP requests and responses between
Network Discover and Exchange Web Services.
To configure the file reader log to list SOAP requests, edit the
FileReaderSettings.properties file as follows:

java.util.logging.FileHandler.level = FINEST
org.apache.cxf.interceptor.LoggingInInterceptor.level = FINEST
net.entropysoft.eci.exchangewebservices.schema.SchemaHelper.level = WARNING
net.entropysoft.eci.exchangewebservices.schema.PropertyManagersReader.level = WARNING
org.apache.commons.beanutils.converters.level = WARNING
net.entropysoft.eci.exchangewebservices.AutodiscoverHelper.level = FINEST
1244 Setting up scans of Exchange servers
Troubleshooting Exchange 2007 SP2 and 2010 scans

net.entropysoft.eci.exchangewebservices.ExchangeWebServicesHelper= FINEST
net.entropysoft.eci.exchangewebservices.level = FINE

See “Operational log files” on page 268.

■ Exchange logs: You might find useful troubleshooting information in the logs
created by your Microsoft Exchange Server.
 Chapter 67
About Network Discover
scanners
This chapter includes the following topics:

■ Setting up scanning of Microsoft Exchange Servers

■ How Network Discover scanners work

■ Troubleshooting scanners

■ Scanner processes

■ Scanner installation directory structure

■ Scanner configuration files

■ Scanner controller configuration options

Setting up scanning of Microsoft Exchange Servers

The Exchange Scanner is a stand-alone utility that lets you extract data from
Microsoft Exchange and send the data to Network Discover for content processing.
The Exchange scanner accesses client mailboxes on the Exchange server using a
connected Outlook client.
The Exchange scanner lets you specify which MAPI profile should be used to
extract data from the Exchange structure. The Exchange scanner uses Profiles to
connect to the Exchange Server through the MAPI interface. It then posts the
files to Discover.
You can use the Exchange Scanner to perform the following tasks:
■ Scan public folders using a specific account to find the confidential data.
1246 About Network Discover scanners
How Network Discover scanners work

■ Scan all the mailboxes using an Administrator account that can access all the
mailboxes.
■ Scan a particular user's mailbox using the Administrator account.
■ Scan a single user's mailbox, with the user name and password known.
To set up scanning of Microsoft Exchange Servers , complete the following process:

Table 67-1 Setting up an Exchange scanner

Step Action Description

1 Verify that your Exchange server is either

version 2003 or 2007.

2 Install the Exchange scanner on any computer

that has Microsoft Outlook 2003 or 2007 installed
and a valid Outlook profile configured.

3 Configure the ProfileName, and the setting for

DNMailbox.

4 Perform any manual configurations by editing

the configuration files and properties files.

5 On the Enforce Server, add a new Exchange See “Adding a new Network
target. Discover target” on page 1117.

6 Start the Exchange scan. See “Starting file system scans”

on page 1260.
Start the scanner on the scanner computer, and
also start the scan on the Enforce Server.

7 Verify that the scan is running successfully. See “Troubleshooting scanners”

on page 1247.

How Network Discover scanners work

Scanners are the standalone applications that collect content and metadata from
a repository and send them to Network Discover for processing.
For example, in a two-tier configuration you might have an Enforce Server and a
Network Discover Server that is connected to a Documentum server with a scanner
installed.
You can perform the following tasks on the computers in this configuration:
■ On the Enforce Server, define the scan target (in this example, Documentum).
 About Network Discover scanners 1247
Troubleshooting scanners

■ On the Documentum server, install the Documentum scanner, configure the

scanner to post content to the Network Discover Server, and start (or stop) a
scanner.
■ On the Enforce Server, start or stop a target scan (with the Start icon), and
view the incident reports.
The scanner system communicates with the Network Discover Server using the
HTTP protocol.
When the scanner runs, it performs following tasks:
■ Natively connects to the repository, and crawls the repository to read the
content and metadata.
■ Extracts the text and some metadata.
■ Posts this extracted information to the Network Discover Server.
■ Network Discover consumes the text and metadata and applies detection.
See “About Network Discover” on page 1109.

Troubleshooting scanners
After a scan is started, it extracts content and metadata from the repository. Then
it passes this content to the Scan Controller and the Network Discover Server.
See “How Network Discover scanners work” on page 1246.
If a scanner does not seem to be processing items, use the following suggestions:

Table 67-2 Scanner troubleshooting suggestions

Issue Suggestions

Scanner does not seem to Verify that the scanner was installed properly.
be running.
On the system where the scanner is installed, make sure that the scanner processes
are running.

See “Scanner processes” on page 1249.

Incidents do not appear in Verify that the scan target is set up properly. Scanners can only send content to a
the reports. target of the same type. Multiple scanners of the same type can feed content to a
Network Discover scan of that type.

Check that the scan is not stalled.

1248 About Network Discover scanners
Troubleshooting scanners

Table 67-2 Scanner troubleshooting suggestions (continued)

Issue Suggestions

The scan does not seem to Look in the outgoing folder.

start.
See “Scanner installation directory structure” on page 1249.

If a given scanner cannot send content to Network Discover, that content queues up
in the outgoing folder.

Items that appear and disappear from this folder indicate normal progress.

The scan appears stalled. If a scanner cannot send content to Network Discover, the scanner content queues up
on the scanner system. The scanner system must have access to the Network Discover
Server. System warnings such as low disk space or down services should be in place
on both systems before installation.

To verify received content on the Network Discover Server, view the scan statistics
page of the scan. To view scan statistics, click on the running scan in the target scan
list.

Verify that scan information moves through the scan process by checking the logs
and temporary directories.

See “Scanner installation directory structure” on page 1249.

If the scan appears stalled, check the following locations on the scanner computer to
diagnose the problem:

■ The /logs folder

The /scanner_typeScanner/logs folder has the scanner start, stop, and
connection status to Network Discover. Similar information is in the Console
Window.
Check the log files to verify that a scanner is running successfully.
■ The /failed folder
Items that appear in the /failed folder indicate a mismatch of the scanner types,
between the New Target and the scanner. For example if an Exchange scanner is
specified in the New Target, but the scanner is SharePoint, then items appear in
the /failed folder.
■ The /outgoing folder
Items that appear and disappear from this folder indicate normal progress. If items
linger in this folder and are not consumed (do not disappear), a problem in extracting
text and metadata is indicated.
If a given scanner cannot send content to Network Discover, that content queues
up in the /outgoing folder.
■ The /scanner_typeScanner/scanner directory has the scanner connection
status to the repository, repository crawling information, and fetched data.
 About Network Discover scanners 1249
Scanner processes

Scanner processes
Table 67-3 provides the information about Network Discover scanner processes
on a Windows operating system.

Table 67-3 Discover processes

Processes Executable Description

ScannerController scanner_typeScanner_Console.exe Process that

configures and
or
controls the connector,
scanner_typeScanner_Service.exe sends content to the
Network Discover
Server, and sends
end-of-scan message
to Network Discover.

Connector scanner_typeScanner.exe Process that extracts

documents and
metadata from the
repository.

ImportModule ImportSlave.exe Process that extracts

text and metadata
from the documents
that the connector
downloaded.

KeyView KVoop.exe The KeyView process

does the text
extraction and
metadata extraction
from known document
types.

Binslave BinSlave.exe Process that attempts

to extract text from
unknown document
types.

Scanner installation directory structure

Table 67-4 describes the directory structure for Network Discover scanner
configuration files.
1250 About Network Discover scanners
Scanner installation directory structure

Table 67-4 Installation directory structure

Path Description

/scanner_typeScanner

..../bin Files to run the scanner, start, and

stop it.

......../Clean.exe Cleans all temp files and logs under

the /scanner directory.

......../EncryptPassword.exe Can be used to encrypt the user

names and passwords that are put in
the scanner_typeScanner.cfg
file.

......../scanner_typeScanner_Console.exe Launches the scanner as a console

application (with a window). Type
CTRL+C to stop the scanner.

......../scanner_typeScanner_Service.exe Launches the scanner as an

application without a window.
Typically, this launch is only used
when the scanner is registered and
run as a Windows or UNIX service.

..../config Configuration files are in this

directory.

......../ScannerController.properties Configuration file for the

ScannerController.

......../ScannerControllerLogging.properties Properties file for the Scanner

logging.

......../scanner_typeScanner.cfg The configuration file for the

connector. This file is copied to the
/scanner directory before the child
process is launched.

..../logs Contains the log files for the

ScannerController process.

..../outgoing XML files that contain content and

metadata are queued in this folder
before they are sent to the Network
Discover Server.
 About Network Discover scanners 1251
Scanner configuration files

Table 67-4 Installation directory structure (continued)

Path Description

..../scanner Binaries, the log files, and the temp

files are under this directory.

......../outgoing Some connectors (for example

Exchange and SharePoint2003)
cannot be configured to write the
.idx files to the ./outgoing folder.
Instead, they write them to
./scanner/outgoing folder and
the ScannerController moves
them to the ./outgoing directory
so that they can be sent to the
Network Discover Server.

......../failed If the Network Discover Server

cannot parse the XML and returns a
500 error code, the
ScannerController moves the
offending XML document to the
./failed folder.

Scanner configuration files

Configuration options can be edited after installation and before you start a scan
by editing the following files on the scanner system.

File name Configuration Tasks

ScannerController.properties In the ScannerController.properties file,

you can configure the following options:

■ Define Network Discover Server connection

information.
■ Provide content compression to reduce
network load.
■ Turn on and off incremental scanning.
Additional configuration may be required in
the Vontuscanner_typeScanner.cfg
file.

See “Scanner controller configuration options”

on page 1252.
1252 About Network Discover scanners
Scanner controller configuration options

File name Configuration Tasks

ScannerControllerLogging.properties In the
ScannerControllerLogging.properties
file, you can configure the following options:

■ Specify the logging levels from .level =

INFO to .level = FINEST.

Vontuscanner_typeScanner.cfg In the Vontuscanner_typeScanner.cfg file,

you can configure the following options:

■ Specify multiple jobs (run sequentially).

■ Define access credentials.
See “Encrypting passwords in configuration
files” on page 1127.
■ Define filters.
■ Define throttling.
■ Specific settings are also available for each
scanner type.

Scanner controller configuration options

Initial scanner configuration occurs during installation. Following installation,
you can modify or specify additional scan settings.
Table 67-5 provides an explanation of commonly modified parameters in the
ScannerController.properties file.

Table 67-5 Commonly modified parameters in ScannerController.properties

Parameter Default Description

discover.host localhost The host name or IP address of the Network Discover Server
the scanner routes content to. Before you configure this
value, the Network Discover Server should be added to the
Enforce Server, and access to it from the scanner verified.

discover.port 8090 The Network Discover port to which the scanner routes data.

discover.compress true Specify whether or not to compress content before routing

it to the Network Discover Server. Compression reduces
network load, but consumes extra CPU on the scanner
computer and on the Network Discover Server.
 About Network Discover scanners 1253
Scanner controller configuration options

Table 67-5 Commonly modified parameters in ScannerController.properties

(continued)

Parameter Default Description

discover.retry.interval 1000 Milliseconds the scanner should wait before it retries to

connect to the Network Discover Server after a disconnect
or previous failure.

scanner.send.endofscanmarker true If this parameter is set to false, the scanner runs until it is
stopped manually in the Enforce Server console. The scan
restarts from the beginning after it reaches the end of the
scan list.

scanner.incremental false When true, the scanner only scans documents with created
or modified dates after the last complete scan. When false,
all files are scanned each time the scan is run.

dre.fake.port disabled Used only by certain scanners to prevent content from being
misdirected to an incorrect process. Must also be modified
http://localhost:19821
with values for DREHost and ACIPort in the
scanner_typeScanner.cfg file.

The dre.fake.port specifies the port that the

ScannerController binds to. It makes sure that the
connector does not attempt to send content to some other
process.

queue.folder.path disabled Used only for certain scanners to bridge a difference in

location between where .idx files are written and where
./scanner/outgoing
they are expected. This parameter is for the Exchange and
SharePoint 2003 scanners.
1254 About Network Discover scanners
Scanner controller configuration options
 Chapter 68
Setting up scanning of file
systems
This chapter includes the following topics:

■ Setting up remote scanning of file systems

■ Supported file system scanner targets

■ Installing file system scanners

■ Starting file system scans

■ Installing file system scanners silently from the command line

■ Configuration options for file system scanners

■ Example configuration for scanning the C drive on a Windows computer

■ Example configuration for scanning the /usr directory on UNIX

■ Example configuration for scanning with include filters

■ Example configuration for scanning with exclude filters

■ Example configuration for scanning with include and exclude filters

■ Example configuration for scanning with date filtering

■ Example configuration for scanning with file size filtering

■ Example configuration for scanning that skips symbolic links on UNIX systems
1256 Setting up scanning of file systems
Setting up remote scanning of file systems

Setting up remote scanning of file systems

Scanning the file systems that are not file shares or servers is accomplished with
a multiple computer installation. On the computer with the file system, scanning
software sends data to the Network Discover Server for processing.
See “How Network Discover scanners work” on page 1246.
For file shares, use the server file system target.
See “Setting up server scans of file systems” on page 1177.
To set up scanning of file systems, complete the following process:

Table 68-1 Setting up a file system scanner

Step Action Description

1 Verify that your file system is on the list of See “Supported file system
supported targets. scanner targets” on page 1257.

The file system scanner can scan local file

systems on remote Windows, Linux, AIX, and
Solaris servers.

2 On the server that contains the file system, See “Installing file system
install the file system scanner. scanners” on page 1257.

The setup for scanning file systems requires See “Installing file system
installation of the scanner software on the scanners silently from the
computer where the file system is located. command line” on page 1261.
On Linux, AIX, and Solaris, the root user must
install the scanner.

3 Perform any manual configurations by editing See “Configuration options for

the configuration files and properties files. file system scanners”
on page 1262.

4 On the Enforce Server, add a new Scanner File See “Adding a new Network
System target. Discover target” on page 1117.

5 Start the file system scan. See “Starting file system scans”
on page 1260.
Start the scanner on the scanner computer, and
also start the scan on the Enforce Server.

6 Verify that the scan is running successfully. See “Troubleshooting scanners”

on page 1247.
 Setting up scanning of file systems 1257
Supported file system scanner targets

Supported file system scanner targets

The following remote Windows systems can be scanned:
■ Windows 2000
■ Windows 2003, 32-bit
■ Windows XP, 32-bit
The following Linux file systems can be scanned:
■ x86 32-bit, Red Hat Enterprise Linux AS 4 U5
■ x86 64-bit, Red Hat Enterprise Linux 5 U4
The following AIX file systems can be scanned:
■ AIX 5.3
■ AIX 6.1
AIX requires the following C run time libraries, as well as Java 1.5 and Java 7 JRE:
■ xlC.aix50.rte (v8.0.0.0+)

■ xlC.rte (v8.0.0.0+)

The following 32-bit Solaris file systems can be scanned (64-bit systems are not
supported):
■ Solaris 8 (SPARC platform)
■ Solaris 9 (SPARC platform)
■ Solaris 10 (SPARC platform)
Solaris requires the following patch levels for the scanner:
■ Solaris 8, 111308-05
http://sunsolve.sun.com/search/document.do?assetkey=1-21-111308-05-1
■ Solaris 9, 115697-01
http://sunsolve.sun.com/search/document.do?assetkey=1-21-115697-02-1
File systems on UNIX systems can also be scanned using the SFTP protocol. This
protocol provides a method similar to share-based file scanning, instead of using
the File System Scanner. Contact Symantec Professional Services for details.

Installing file system scanners

The File System Scanner must be installed on the computer with the file system
you want to scan.
1258 Setting up scanning of file systems
Installing file system scanners

On Linux, AIX, and Solaris, the root user must install the scanner.
If a user other than the one who installed the scanner wants to run it, permissions
must be changed. On Linux, AIX, and Solaris, appropriate permissions must be
given to the directories and files.
To install the file system scanner
1 On the computer with the file system to scan, download or copy (as binary)
the relevant installation file to a temporary directory. The file is located in
the DLP_Home\Symantec_DLP_12_Win\Scanners or
DLP_Home/Symantec_DLP_12_Lin/Scanners directory, where DLP_Home is the
name of the directory in which you unzipped the Symantec Data Loss
Prevention software.
The file is one of the following file names:
■ SymantecDLPScanners_windows_x32_12.0.exe

■ SymantecDLPScanners_Aix_12.0.sh

■ SymantecDLPScanners_Unix_x32_12.0.sh (for 32-bit Linux systems)

■ SymantecDLPScanners_Unix_x64_12.0.sh (for 64-bit Linux systems)

Note: You can install either the 32-bit or 64-bit scanner on 64-bit Linux
systems. We recommend the 64-bit version.

■ SymantecDLPScanners_Solaris_12.0.sh

2 Start the scanner installation program.

Use the -c flag to install a scanner with a console command (rather than with
a GUI).
Windows GUI:

SymantecDLPScanners_windows_x32_12.0.exe

32-bit Linux GUI:

./SymantecDLPScanners_Unix_12.0_x32_12.0.sh

32-bit Linux console:

./SymantecDLPScanners_Unix_12.0_x32_12.0.sh -c

3 If applicable, confirm the version of the scanner you want to install (32-bit
or 64-bit).
 Setting up scanning of file systems 1259
Installing file system scanners

4 Confirm the license ageement.

5 Select File System Scanner.
6 Select the installation Destination Directory (the directory where you want
the SymantecDLP File System Scanner installed).
7 For Windows, select the Start Menu Folder (shortcut in the Start menu). The
default is SymantecDLP FileSystem Scanner.
8 Enter the following connection information for the Network Discover Server:
■ Discover Host (IP or host name of the Network Discover Server)
■ Discover Port

9 Configure the File System Scanner by entering the following information:

■ Scan Directory
List of directories to scan. Delimit with a comma (no space).
■ Path Include Filter
Only the paths that include all the string(s) specified here are scanned.
Delimit with a comma (no space).
■ Path Exclude Filter
Everything but the directories that contain the string(s) specified here
are scanned. Delimit entries with a comma, but do not use any spaces.
Note that the Include Filter and Exclude Filter file names are relative to
the file system root. Specify full paths or subdirectories, as needed.

10 The scanner installs.

11 Select the Startup Mode.
While you initially test or verify that the scanner runs successfully, do not
select either of these options, but start the scanner manually.
You can select one (or none) of the following options:
■ Install as a service on a Windows system.
■ Start after installation.

12 The File Scanner installation is complete on the scanner computer.

13 Perform any manual configurations by editing the configuration files and
properties files.
See “Configuration options for file system scanners” on page 1262.
See “Scanner installation directory structure” on page 1249.
See “Scanner configuration files” on page 1251.
1260 Setting up scanning of file systems
Starting file system scans

14 On the Enforce Server, create a New Target for the scanner File System type.
15 Start the scan on both the scanner computer and the Enforce Server.
See “Starting file system scans” on page 1260.

Starting file system scans

Make sure that the scanner is installed and configured on the target computer,
and a new target is added on the Enforce Server.
See “Installing file system scanners” on page 1257.
Then, you can start the scan.
The procedures are different for each of the following scenarios:
■ One scanner per target (first procedure).
■ Multiple scanners for one target (second procedure).
To start a file system scan with one scanner for one target
1 Log on to the Enforce Server.
Go to Manage > Discover Scanning > Discover Targets to navigate to the list
of targets.
2 Select the scan target from the target list, then click the Start icon.
3 On the scanner computer, start the File System scanner.
On Windows, select Start > Vontu FileSystem Scanner > Vontu FileSystem
Scanner Console.
On UNIX, enter the following command:

/opt/FileSystemScanner/bin/FileSystemScanner_Console

4 The scanner starts the process of scanning data.

See “How Network Discover scanners work” on page 1246.
5 If the scan does not progress normally, you can troubleshoot it.
See “Troubleshooting scanners” on page 1247.
6 Stop and restart the scanner whenever you make changes to the configuration
file. To stop the scanner, type the control-C character in the console window.
 Setting up scanning of file systems 1261
Installing file system scanners silently from the command line

To start a file system scan with multiple scanners for one target
1 On each of the scanner computers, start the File System scanner on that
computer.
On Windows, select Start > Vontu FileSystem Scanner > Vontu FileSystem
Scanner Console.
On UNIX, enter the following command:

/opt/FileSystemScanner/bin/FileSystemScanner_Console

Make sure that each of the scanners has started, and has posted information.
Check the outgoing folder on each of the computers.
See “Scanner installation directory structure” on page 1249.
2 Log on to the Enforce Server.
Go to Manage > Discover Scanning > Discover Targets to navigate to the list
of targets.
3 Select the scan target from the target list, then click the Start icon.
4 The scanner starts the process of scanning data.
See “How Network Discover scanners work” on page 1246.
5 If the scan does not progress normally, you can troubleshoot it.
See “Troubleshooting scanners” on page 1247.
6 Stop and restart the scanner whenever you make changes to the configuration
file. To stop the scanner, type the control-C character in the console window.

Installing file system scanners silently from the

command line
To automate installation, you can preconfigure a text file varfile with your
installation choices, and then launch the installation from a command line.
Another method of installing a scanner is with an interactive installation.
See “Installing file system scanners” on page 1257.
1262 Setting up scanning of file systems
Configuration options for file system scanners

To automate file scanner installation

1 Create a text file, for example FileSystemScanner.varfile.
2 Enter your specific parameters, and save the file to the same location as the
relevant shell script for your scanner installation.

sys.programGroup.allUsers$Boolean=true
discover.host=test-server.test.lab
discover.port=8090
sys.service.selected.417$Boolean=true
job.0.excludeFilters=
sys.languageId=en
sys.programGroup.linkDir=/usr/local/bin
installService$Boolean=false
sys.installationDir=/opt/FileSystemScanner
sys.programGroup.enabled$Boolean=true
job.0.includeFilters=
job.0.directory=/home/text_files/text_scan/text
sys.service.startupType.417=auto
startAfterInstall$Boolean=false

3 To run the installation with the varfile, type the following command (for
Linux):

# ./FileSystemScanner_Unix_11.6.sh
-varfile FileSystemScanner.varfile -q

The parameter -q performs a silent installation.

Configuration options for file system scanners

Table 68-2 provides a description of the primary parameters in the
VontuFileSystemScanner.cfg file.

Table 68-2 Parameters in the VontuFileSystemScanner.cfg file

Type Parameter Description

Scanned Content DirectoryPathCSVs Comma-separated list of

directories to scan.
 Setting up scanning of file systems 1263
Example configuration for scanning the C drive on a Windows computer

Table 68-2 Parameters in the VontuFileSystemScanner.cfg file (continued)

Type Parameter Description

Scanned Content DirectoryCantHaveCSVs Exclude filters of the paths.

Delimit entries with a comma, but
do not use any spaces.

Scanned Content DirectoryMustHaveCSVs Include filters of the paths.

Delimit entries with a comma, but
do not use any spaces.

Scanned Content DirectoryAfterDate Date filter (in days relative to

today).

Scanned Content DirectoryBeforeDate Date filter (in days relative to

today).

Scanned Content DirectoryFileMatch For scanning files without an

extension on Solaris or Linux
systems, set this parameter to the
following value:

DirectoryFileMatch=*

Scanned Content ImportPreImportMinLength Minimum size of files.

Scanned Content ImportPreImportMaxLength Maximum size of files.

Throttling ImportPoliteness Specify the amount of time (in

milliseconds) that the import
module should wait between
documents.

Throttling PollingMaxNumber The number of files that are

aggregated before they are
imported into each XML file that
is sent to Network Discover.

See “Optimizing resources with

Network Discover scan throttling”
on page 1134.

Example configuration for scanning the C drive on a

Windows computer
Scan the C drive on a Windows computer.
1264 Setting up scanning of file systems
Example configuration for scanning the /usr directory on UNIX

This configuration is in the file VontuFileSystemScanner.cfg.

See “Configuration options for file system scanners” on page 1262.

DirectoryPathCSVs=C:\
DirectoryMustHaveCSVs=
DirectoryCantHaveCSVs=

Example configuration for scanning the /usr directory

on UNIX
Scan the /usr directory on a UNIX computer.
This configuration is in the file VontuFileSystemScanner.cfg.
See “Configuration options for file system scanners” on page 1262.

DirectoryPathCSVs=/usr
DirectoryMustHaveCSVs=
DirectoryCantHaveCSVs=

Example configuration for scanning with include

filters
Scan selected files and directories using the include filters.
This configuration is in the file VontuFileSystemScanner.cfg.
See “Configuration options for file system scanners” on page 1262.
Include only the files that have temp in the path under the directory C:\Windows.

DirectoryPathCSVs=C:\Windows
DirectoryMustHaveCSVs=*/temp/*
DirectoryCantHaveCSVs=

Include only the files that end with extension tmp or the directory name has xml
in the path.

DirectoryPathCSVs=C:\Windows
DirectoryMustHaveCSVs=*/xml/*,*.tmp
DirectoryCantHaveCSVs=

Include only the files that end with the extension txt under the UNIX directory
/home/data.
 Setting up scanning of file systems 1265
Example configuration for scanning with exclude filters

DirectoryPathCSVs=/home/data
DirectoryMustHaveCSVs=*.txt
DirectoryCantHaveCSVs=

Example configuration for scanning with exclude

filters
Scan selected files and directories using the exclude filters.
This configuration is in the file VontuFileSystemScanner.cfg.
See “Configuration options for file system scanners” on page 1262.
Exclude all the files with extension exe in the directory C:\Windows.

DirectoryPathCSVs=C:\Windows
DirectoryMustHaveCSVs=
DirectoryCantHaveCSVs=*.exe

Exclude all files that end with extension tmp or if the directory name contains bin
under the UNIX directory /home/data.

DirectoryPathCSVs=/home/data
DirectoryMustHaveCSVs=
DirectoryCantHaveCSVs=*/bin/*,*.tmp

Example configuration for scanning with include and

exclude filters
Scan selected files and directories using both the include and exclude filters.
This configuration is in the file VontuFileSystemScanner.cfg.
See “Configuration options for file system scanners” on page 1262.
Scan all directories with temp in the path or ending with pdf. Exclude files under
the bin directory or ending with tmp under the directory C:\data.

DirectoryPathCSVs=C:\data
DirectoryMustHaveCSVs=*/temp/*,*.pdf
DirectoryCantHaveCSVs=*/bin/*,*.tmp
1266 Setting up scanning of file systems
Example configuration for scanning with date filtering

Example configuration for scanning with date filtering

The parameters DirectoryBeforeDate and DirectoryAfterDate let you specify
a date range within which documents must be modified for the scanner to process
them.
Use the parameter DirectoryAfterDate to enter a number of days relative to the
current date after which the page must be modified. A negative number specifies
a date in the past.
User the parameter DirectoryBeforeDate to enter a number of days relative to
the current date before which the page must be modified.
In the examples, both DirectoryBeforeDate and DirectoryAfterDate are
required.
This configuration is in the file VontuFileSystemScanner.cfg.
See “Configuration options for file system scanners” on page 1262.
Scan all the pdf files that have been modified in the last six months.

DirectoryMustHaveCSVs=*.pdf
DirectoryAfterDate=-180
DirectoryBeforeDate=0

Scan all files that have been modified between 60 days and 360 days in the past.

DirectoryAfterDate=-360
DirectoryBeforeDate=-60

Example configuration for scanning with file size

filtering
Scan files using file size filtering to limit what is scanned.
This configuration is in the file VontuFileSystemScanner.cfg.
See “Configuration options for file system scanners” on page 1262.
Scan all the files in the size range of 3000 bytes to 4000 bytes. Do not import any
files that fall outside the size range.

ImportPreImportMinLength=3000
ImportPreImportMaxLength=4000
ImportEmptyFiles=false

Scan all doc files greater than 4 KB.

 Setting up scanning of file systems 1267
Example configuration for scanning that skips symbolic links on UNIX systems

DirectoryMustHaveCSVs=*.doc
ImportPreImportMinLength=4096
ImportEmptyFiles=false

Example configuration for scanning that skips

symbolic links on UNIX systems
Scan a UNIX system, but skip all the symbolic links.
Specify a file which contains all the files that the scanner should scan. Only those
files are scanned during the run. Place this file outside the scanner installation
directory. In the example, this file is named /opt/test/filenames.txt.
This configuration is in the file VontuFileSystemScanner.cfg.
See “Configuration options for file system scanners” on page 1262.
Make sure that the DirectoryPathCSVs and related parameters are commented
out. Also, make sure that the parameter PollingMethod is present only once in
the configuration file.

PollingMethod=1
FilePollFilename=/opt/test/filenames.txt
1268 Setting up scanning of file systems
Example configuration for scanning that skips symbolic links on UNIX systems
 Chapter 69
Setting up scanning of Web
servers
This chapter includes the following topics:

■ Setting up remote scanning of Web servers

■ Supported Web server (scanner) targets

■ Installing Web server scanners

■ Starting Web server scans

■ Configuration options for Web server scanners

■ Example configuration for a Web site scan with no authentication

■ Example configuration for a Web site scan with basic authentication

■ Example configuration for a Web site scan with form-based authentication

■ Example configuration for a Web site scan with NTLM

■ Example of URL filtering for a Web site scan

■ Example of date filtering for a Web site scan

Setting up remote scanning of Web servers

The Web server scanner can retrieve Web site documents.
The Web server scanner uses crawlers to find Web pages and to process the Web
pages for content and links to other Web sites. After a crawler has finished
retrieving documents from the Web site, the Web server scanner imports the
content that the crawler has retrieved into index file format (IDX). The scanner
1270 Setting up scanning of Web servers
Supported Web server (scanner) targets

then posts the IDX files to Network Discover for content processing. The Web
server scanner can retrieve content from various document types, including Web
documents, Word, Excel, and PDF files.
The Web server scanner crawls Web pages for links and content. The crawler
processes the page content and either accepts or rejects the page for retrieval. If
the page is accepted, the crawler looks for links from the page, filters the links
and queues the accepted links for the crawler process. If the page is rejected, the
crawler looks for links only if you have configured it to follow links on rejected
pages. The links are filtered before they are added to the crawler queue. The
crawler then retrieves the page content of accepted pages. The crawler requests
the next link in its queue, and the process repeats.
To set up scanning of Web servers, complete the following process:

Table 69-1 Setting up a Web server scanner

Step Action Description

1 The Web server scanner can scan Web sites. See “Supported Web server
(scanner) targets” on page 1270.
It has been tested with IIS and Apache Web
servers.

2 On the server with read access to the Web site, See “Installing Web server
install the Web server scanner. scanners” on page 1271.

3 Perform any manual configurations by editing See “Configuration options for

the configuration files and properties files. Web server scanners”
on page 1274.

4 On the Enforce Server, add a new Scanner File See “Adding a new Network
System target. Discover target” on page 1117.

5 Start the file system scan. See “Starting Web server scans”
on page 1273.
Start the scanner on the scanner computer, and
also start the scan on the Enforce Server.

6 Verify that the scan is running successfully. See “Troubleshooting scanners”

on page 1247.

Supported Web server (scanner) targets

The Web server scanner supports scanning of a static HTTP Web site.
 Setting up scanning of Web servers 1271
Installing Web server scanners

Installing Web server scanners

The Web server scanner must be installed on the computer that has access to the
Web sites that you want to scan.
To install the Web server scanner
1 On the computer with the file system to scan, download or copy (as binary)
the relevant installation file to a temporary directory. The file is located in
the DLP_Home\Symantec_DLP_12_Win\Scanners or
DLP_Home/Symantec_DLP_12_Lin/Scanners directory, where DLP_Home is the
name of the directory in which you unzipped the Symantec Data Loss
Prevention software.
The file is one of the following file names:
■ SymantecDLPScanners_windows_x32_12.0.exe

■ SymantecDLPScanners_Unix_12.0_x32.sh (for 32-bit Linux systems)

2 Start the scanner installation program.

Use the -c flag to install a scanner with a console command (rather than with
a GUI).
Windows GUI:

SymantecDLPScanners_windows_x32_12.0.exe

Linux GUI:

./SymantecDLPScanners_Unix_x32_12.0.sh

Linux console:

./SymantecDLPScanners_Unix_12.0.sh -c

3 Confirm the version of the scanner you want to install (32-bit or 64-bit).
4 Confirm the license ageement.
5 Select Web Server Scanner.
6 Select the installation Destination Directory (the directory where you want
the Web server scanner installed).
Click Next.
7 Select the Start Menu Folder (shortcut in the Start menu). The default is
Symantec DLP WebServer Scanner.
Click Next.
1272 Setting up scanning of Web servers
Installing Web server scanners

8 Enter the following connection information for the Network Discover Server:
■ Discover Host (IP or host name of the Network Discover Server)
■ Discover Port
Click Next.
9 Configure the Web server scanner by entering the following information:
■ Start URL
Enter the URL where the scan starts.
■ Include Filter
Only the paths that include all the strings specified here are scanned.
Delimit entries with a comma, but do not use any spaces. Wildcards are
supported.
■ Path Exclude Filter
Everything but the paths that contain the strings specified here are
scanned. Delimit entries with a comma, but do not use any spaces.
Wildcards are supported.
Click Next.
10 The scanner installs.
11 Select the Startup Mode.
While you initially test or verify that the scanner runs successfully, do not
select either of these options, but start the scanner manually.
You can select one (or none) of the following options:
■ Install as a service on a Windows system.
■ Start after installation.
Click Next.
Click Finish.
12 The Web server scanner installation is complete on the scanner computer.
13 Perform any manual configurations by editing the configuration files and
properties files.
See “Configuration options for Web server scanners” on page 1274.
See “Scanner installation directory structure” on page 1249.
See “Scanner configuration files” on page 1251.
 Setting up scanning of Web servers 1273
Starting Web server scans

14 On the Enforce Server, create a New Target for the scanner Web server type.
15 Start the scan on both the scanner computer and the Enforce Server.
See “Starting Web server scans” on page 1273.

Starting Web server scans

Make sure that the scanner is installed and configured on the target computer,
and a new target is added on the Enforce Server.
See “Installing Web server scanners” on page 1271.
Then, you can start the scan.
The procedures are different for each of the following scenarios:
■ One scanner per target (first procedure).
■ Multiple scanners for one target (second procedure).
To start a Web server scan with one scanner for one target
1 Log on to the Enforce Server.
Go to Manage > Discover Scanning > Discover Targets to navigate to the list
of targets.
2 Select the scan target from the target list, then click the Start icon.
3 On the scanner computer, start the Web server scanner.
Click Start>VontuWebServerScanner>VontuWebServerScannerConsole.
4 The scanner starts the process of scanning data.
See “How Network Discover scanners work” on page 1246.
5 If the scan does not progress normally, you can troubleshoot it.
See “Troubleshooting scanners” on page 1247.
6 Stop and restart the scanner whenever you make changes to the configuration
file. To stop the scanner, type the control-C character in the console window.
1274 Setting up scanning of Web servers
Configuration options for Web server scanners

To start a Web server scan with multiple scanners for one target
1 On each of the scanner computers, start the Web server scanner.
Click Start>VontuWebServerScanner>VontuWebServerScannerConsole.
Make sure that each of the scanners has started, and has posted information.
Check the outgoing folder on each of the computers.
See “Scanner installation directory structure” on page 1249.
2 Log on to the Enforce Server.
Go to Manage > Discover Scanning > Discover Targets to navigate to the list
of targets.
3 Select the scan target from the target list, then click the Start icon.
4 The scanner starts the process of scanning data.
See “How Network Discover scanners work” on page 1246.
5 If the scan does not progress normally, you can troubleshoot it.
See “Troubleshooting scanners” on page 1247.
6 Stop and restart the scanner whenever you make changes to the configuration
file. To stop the scanner, type the control-C character in the console window.

Configuration options for Web server scanners

Table 69-2 provides an explanation of the VontuWebServerScanner.cfg file.

Table 69-2 Parameters in the VontuWebServerScanner.cfg file

Type Parameter Description

Scanned Content URL A valid URL at which the crawler starts. If

you want more than one page to be
retrieved, the starting Web page must
contain links to other Web pages. You must
include the initial http:// in the
configuration parameter.
 Setting up scanning of Web servers 1275
Configuration options for Web server scanners

Table 69-2 Parameters in the VontuWebServerScanner.cfg file (continued)

Type Parameter Description

Scanned Content NavDirAllowCSVs The list with include filters for paths. This
list contains the strings that the URL of a
page must contain for the scanner to
process the page. Use the parameter
NavDirCheck to specify how and when the
scanner checks for these strings.

Use * for wildcard. Delimit entries with a

comma, but do not use any spaces.

Scanned Content NavDirDisallowCSVs The list with exclude filters for paths. This
list contains the strings that the URL of a
page must not contain for the scanner to
process the page. Use the parameter
NavDirCheck to specify how and when the
scanner checks for these strings.

Use * for wildcard. Delimit entries with a

comma, but do not use any spaces.

Scanned Content NavDirCheck A bitwise mask number that is used to

determine where and how the scanner
checks for the NavDirAllowCSVs strings
and NavDirDisallowCSVs strings. If the
URL of a page does not contain one of the
NavDirAllowCSVs strings or does contain
one of the NavDirDisallowCSVs strings,
the scanner does not process the page.

See “Example of URL filtering for a Web site

scan” on page 1279.

Scanned Content Extensions Enter file extensions to restrict the

document types the scanner can crawler.
To enter multiple extensions, separate them
with commas . Use * for wildcard. No spaces
before or after commas.

Example to only fetch the documents that

have .doc or .html as extensions:

Extensions=*.doc,*.html*
1276 Setting up scanning of Web servers
Configuration options for Web server scanners

Table 69-2 Parameters in the VontuWebServerScanner.cfg file (continued)

Type Parameter Description

Scanned Content MaxLinksPerPage The maximum number of links a page can

have. Pages with many links are often
navigation pages and this parameter can be
used to filter them out.

Scanned Content StayOnSite You can configure the crawler to stay on the
Web site on which it starts, or allow it to
follow links to external Web sites in
domains different from the starting Web
site. By default, the crawler stays on the
starting Web site domain.

Scanned Content AfterDate Number of days after which a page must be

modified before it is saved. Enter the
number of days relative to the current date.
A negative number specifies a date in the
past.

Scanned Content BeforeDate Number of days before which a page must

be modified before it is saved. Enter the
number of days relative to the current date.
A negative number specifies a date in the
past.

Authentication LoginMethod The authentication method for the site. The

value must be AUTHENTICATE, FORMPOST,
or FORMGET.

See “Example configuration for a Web site

scan with basic authentication” on page 1278.

See “Example configuration for a Web site

scan with form-based authentication”
on page 1278.

Authentication LoginURL The page that contains the logon form.

Authentication LoginUserValue The user name to use for authentication

(plain text or encrypted).

Authentication LoginPassValue The password to use for authentication.

Encrypt this password.

See “Encrypting passwords in configuration

files” on page 1127.
 Setting up scanning of Web servers 1277
Example configuration for a Web site scan with no authentication

Table 69-2 Parameters in the VontuWebServerScanner.cfg file (continued)

Type Parameter Description

Authentication LoginUserField The name of the user name form field (for
FORMPOST or FORMGET logon methods).

Authentication LoginPassField The name of the password form field (for

FORMPOST or FORMGET logon methods).
Encrypt this password.

See “Encrypting passwords in configuration

files” on page 1127.

Proxies ProxyHost The host name or IP address of the proxy

server.

Proxies ProxyPort The port number of the proxy server.

Proxies ProxyUsername The user name (plain text or encrypted) for

the proxy server.

Proxies ProxyPassword The password for the proxy server. Encrypt

this password.

See “Encrypting passwords in configuration

files” on page 1127.

Throttling PageDelay Number of seconds between downloading a

page and requesting the next page.

Throttling BatchSize The number of files that are aggregated into

each XML file that is sent to Network
Discover.

Example configuration for a Web site scan with no

authentication
Scan a Web site with no authentication.
This configuration is in the file VontuWebServerScanner.cfg.
See “Configuration options for Web server scanners” on page 1274.

//##########################################################
//# Jobs
//##########################################################
URL=http://www.cnn.com
1278 Setting up scanning of Web servers
Example configuration for a Web site scan with basic authentication

Example configuration for a Web site scan with basic

authentication
Scan a Web site that is protected with standard authentication.
This configuration is in the file VontuWebServerScanner.cfg.
See “Configuration options for Web server scanners” on page 1274.

//##########################################################
//# Jobs
//##########################################################
URL=http://site.domain.com
LoginURL=http://domain.server.com/login.html
LoginMethod=AUTHENTICATE
LoginUserValue=some_user
LoginPassValue=9sfIy8vw

Example configuration for a Web site scan with

form-based authentication
Scan a Web site that is protected with form-based authentication.
This configuration is in the file VontuWebServerScanner.cfg.
See “Configuration options for Web server scanners” on page 1274.

//##########################################################
//# Jobs
//##########################################################
URL= http://wiki.symantec.corp/dashboard.action

LoginMethod=FORMPOST
LoginURL=http://wiki.symantec.corp/login.action

LoginUserField=os_username
LoginUserValue=some_user

LoginPassField=os_password
LoginPassValue=9sfIy8vw
 Setting up scanning of Web servers 1279
Example configuration for a Web site scan with NTLM

Example configuration for a Web site scan with NTLM

Scan a Web site that is protected with NTLM.
Make sure the NTLMUsername is in the format of Domain\user name.
This configuration is in the file VontuWebServerScanner.cfg.
See “Configuration options for Web server scanners” on page 1274.

//##########################################################
//# Jobs
//##########################################################
URL=http://some_site
NTLMUsername=Some_Domain\some_domain_user
NTLMPassword=9sfIy8vw

Example of URL filtering for a Web site scan

Use the parameter NavDirCheck to determine where and how the scanner checks
for the NavDirAllowCSVs strings and NavDirDisallowCSVs strings.
Create the NavDirCheck number by adding together some of the following numbers:

Parameter Value Description

URL 1 You must enter 1 to enable the scanner to check whether

the URL of a page contains any of the strings that are
specified in the parameter NavDirAllowCSVs or
NavDirDisallowCSVs.

Case insensitive 64 If you add 64 to the URL value, the scanner checks the
URL of a page for a match for the strings that are specified
in the parameter NavDirAllowCSVs or
NavDirDisallowCSVs. This match is not case-sensitive
.

Before download 128 If you add 128 to the URL value, the scanner checks
whether the URL has any NavDirAllowCSVs or
NavDirDisallowCSVs strings before the page is
downloaded.
1280 Setting up scanning of Web servers
Example of date filtering for a Web site scan

Parameter Value Description

Valid site structure 512 If you add 512 to the URL value, the scanner rechecks the
NavDirAllowCSVs and NavDirDisallowCSVs values
for the site to ensure that the site is still valid before it
updates it. If you do not include this setting, then changes
to these values are never checked. If the site is not valid,
it is not downloaded.

In the following example, the scanner checks the URLs for matches for the strings
"archive" or "test." This match is not case-sensitive , and part of a word or a whole
word is matched. If the URL contains one of these strings, the page is not processed.

NavDirDisallowCSVs=*archive*,*test*
NavDirCheck=65

In the following example, the scanner checks the URLs for matches for the strings
"news" or "home." This match is not case-sensitive , and part of a word or a whole
word is matched. If the URL does not contain one of these strings, the page is not
processed.

NavDirAllowCSVs=*news*,*home*
NavDirCheck=65

Example of date filtering for a Web site scan

The following example retrieves the documents that were modified 365 days
before the current date and 7 days after the current date.

AfterDate=-365
BeforeDate=7
 Chapter 70
Setting up scanning of
Documentum repositories
This chapter includes the following topics:

■ Setting up remote scanning of Documentum repositories

■ Supported Documentum (scanner) targets

■ Installing Documentum scanners

■ Starting Documentum scans

■ Configuration options for Documentum scanners

■ Example configuration for scanning all documents in a Documentum repository

Setting up remote scanning of Documentum

repositories
The Documentum scanner scans Documentum repositories.
To set up scanning of Documentum repositories, complete the following process:

Table 70-1 Setting up a Documentum scanner

Step Action Description

1 Verify that your Documentum repository is on See “Supported Documentum

the list of supported targets. (scanner) targets” on page 1282.
1282 Setting up scanning of Documentum repositories
Supported Documentum (scanner) targets

Table 70-1 Setting up a Documentum scanner (continued)

Step Action Description

2 The Documentum scanner can be installed on See “Installing Documentum

any computer that has network connectivity to scanners” on page 1282.
the computer that hosts the Documentum
Document Broker.

3 Perform any manual configurations by editing See “Configuration options for

the configuration files and properties files. Documentum scanners”
on page 1286.

4 On the Enforce Server, add a new Scanner See “Adding a new Network
Documentum target. Discover target” on page 1117.

5 Start the Documentum scan. See “Starting Documentum

scans” on page 1285.
Start the scanner on the scanner computer, and
also start the scan on the Enforce Server.

6 Verify that the scan is running successfully. See “Troubleshooting scanners”

on page 1247.

Supported Documentum (scanner) targets

The Documentum scanner supports scanning a Documentum Content Server 5.3.x
or 6.6.x repository.

Installing Documentum scanners

The Documentum scanner can be installed on any computer that has network
connectivity to the computer that hosts the Documentum Document Broker.
 Setting up scanning of Documentum repositories 1283
Installing Documentum scanners

To install and deploy the Documentum scanner

1 On the computer that has network connectivity to the computer that hosts
the Documentum Document Broker, download the installation file. Download
or copy (as binary) the SymantecDLPScanners_windows_x32_12.0.exe file
to a temporary directory. The file is located in the
DLP_Home\Symantec_DLP_12_Win\Scanners where DLP_Home is the name of
the directory in which you unzipped the Symantec Data Loss Prevention
software.
2 Start the scanner installation program on this computer.

SymantecDLPScanners_windows_x32_12.0.exe

Note: This scanner should only be installed on 32-bit Windows servers.

3 Confirm the version of the scanner you want to install (32-bit).

4 Confirm the license ageement.
5 Select Documentum Scanner.
6 Select the installation Destination Directory, the folder where you want the
Documentum Scanner to be installed.
The default is c:\Program Files\DocumentumScanner\.
Click Next.
7 Select the Start Menu Folder (shortcut in the Start menu).
The default is SymantecDLP Documentum Scanner.
Click Next.
8 Enter the following connection information for the Network Discover Server:
■ Discover Host (IP or host name of the Network Discover Server)
■ Discover Port

9 Click Next.
1284 Setting up scanning of Documentum repositories
Installing Documentum scanners

10 Enter the following Documentum configuration values for the scanner:

Doc Broker The name of the server where the repository for the DocBase is
Host stored.

Doc Base The name of the repository you want the Documentum scanner to
retrieve.

User Name Specify an account with full access rights to the Documentum files
you want to scan.

Password Password for the account. This password is plain text in the
configuration file.

WebTop Host The host name of the Web interface to the Documentum content
repository.

WebTop Port The port number for the Web interface.

11 Click Next.
12 The scanner installs.
13 Select the Startup Mode.
While you initially test or verify that the scanner runs successfully, do not
select either of these options, but start the scanner manually.
You can select one (or none) of the following options:
■ Install as a service on a Windows system.
■ Start after installation.
The default is to start the scanner manually.
14 The Documentum scanner installation is complete on the scanner computer.
15 Perform any manual configurations by editing the configuration files and
properties files.
See “Configuration options for Documentum scanners” on page 1286.
See “Scanner installation directory structure” on page 1249.
See “Scanner configuration files” on page 1251.
16 After installing the Documentum scanner, copy the dmcl40.dll file from
your Documentum installation bin directory, to the
\DocumentumScanner\scanner folder in the scanner installation directory.

See “Scanner installation directory structure” on page 1249.

 Setting up scanning of Documentum repositories 1285
Starting Documentum scans

17 On the Enforce Server, create a New Target for the scanner Documentum
type.
18 Start the scan on both the scanner computer and the Enforce Server.
See “Starting Documentum scans” on page 1285.

Starting Documentum scans

Make sure that the scanner is installed and configured on the target computer,
and a new target is added on the Enforce Server.
See “Installing Documentum scanners” on page 1282.
Then, you can start the scan.
The procedures are different for each of the following scenarios:
■ One scanner per target (first procedure).
■ Multiple scanners for one target (second procedure).
To start a Documentum scan with one scanner for one target
1 Log on to the Enforce Server.
Go to Manage > Discover Scanning > Discover Targets to navigate to the list
of targets.
2 Select the scan target from the target list, then click the Start icon.
3 On the scanner computer, start the Documentum scanner.
Click Start > Vontu Documentum Scanner > Vontu Documentum Scanner
Console.
4 The scanner starts the process of scanning data.
See “How Network Discover scanners work” on page 1246.
5 If the scan does not progress normally, you can troubleshoot it.
See “Troubleshooting scanners” on page 1247.
6 Stop and restart the scanner whenever you make changes to the configuration
file. To stop the scanner, type the control-C character in the console window.
1286 Setting up scanning of Documentum repositories
Configuration options for Documentum scanners

To start a Documentum scan with multiple scanners for one target

1 On each of the scanner computers, start the Documentum scanner.
Click Start > Vontu Documentum Scanner > Vontu Documentum Scanner
Console.
Make sure that each of the scanners has started, and has posted information.
Check the outgoing folder on each of the computers.
See “Scanner installation directory structure” on page 1249.
2 Log on to the Enforce Server.
Go to Manage > Discover Scanning > Discover Targets to navigate to the list
of targets.
3 Select the scan target from the target list, then click the Start icon.
4 The scanner starts the process of scanning data.
See “How Network Discover scanners work” on page 1246.
5 If the scan does not progress normally, you can troubleshoot it.
See “Troubleshooting scanners” on page 1247.
6 Stop and restart the scanner whenever you make changes to the configuration
file. To stop the scanner, type the control-C character in the console window.

Configuration options for Documentum scanners

Table 70-2 provides an explanation of the VontuDocumentumScanner.cfg file.

Table 70-2 Parameters in the VontuDocumentumScanner.cfg file

Parameter Description

DocBase The name of the repository you want Documentum

to retrieve.

UserName Specify an account with access rights to the

Documentum files you want to scan.

Password Password for the account that is specified in

UserName. Encrypt this password.

See “Encrypting passwords in configuration files”

on page 1127.
 Setting up scanning of Documentum repositories 1287
Configuration options for Documentum scanners

Table 70-2 Parameters in the VontuDocumentumScanner.cfg file (continued)

Parameter Description

ExtensionCSVs List of file types to scan (Include Filter), for example:

ExtensionCSVs=*.doc,*.htm,*.ppt,*.xls

Delimit with a comma (no space).

ImportRefReplaceWithCSVs Comma-separated list of one or two values that are

used to construct the URL of the scanned documents.

first_value,second_value

If the Documentum interface client is a Windows

desktop or desktop client, then the first-value is
concatenated to the left of the document-id. The
second string is concatenated to the right, for
example:

first_valuedocument_idsecond_value

If the Documentum Webtop (Web-based) interface is

your client interface, only one value is necessary; for
example:

ImportRefReplaceWithCSVs=
http://documentum-server.mycompany.com:8080/
webtop/component/drl?objectId=

AfterDate A maximum age for documents to be scanned. For

example, if you set AfterDate to five days, only
documents that are no more than five days old are
scanned. AfterDate looks at the last modified date.

You can enter one of the following values:

N hours

N days

N weeks

N months

The Documentum scanner does not support automatic

incremental scanning, but you can manually perform
incremental scans, by setting the AfterDate and
BeforeDate parameters.
1288 Setting up scanning of Documentum repositories
Example configuration for scanning all documents in a Documentum repository

Table 70-2 Parameters in the VontuDocumentumScanner.cfg file (continued)

Parameter Description

BeforeDate A minimum age for documents to be scanned. For

example, if you set AfterDate to five days, only
documents that are no more than five days old are
scanned. AfterDate looks at the last modified date.

You can enter one of the following values:

N hours

N days

N weeks

N months

FolderCSVs Specify the repository folders from which to fetch

documents. All entries must begin with a slash but
cannot consist of a slash alone. Leave the entry blank
to specify all folders. Cabinets are treated as folders.
For example:

FolderCSVs=/support,/clients,/marketing,/finance

Table 70-3 shows the host parameter in the dmcl.ini file.

[DOCBROKER_PRIMARY]
host = documentum-server.mycompany.com

During installation of the Symantec Data Loss Prevention scanner, the host
parameter is set in the dmcl.ini file. If the Documentum Document Broker (server)
later changes, this file must be edited to point to the new server.

Table 70-3 dmcl.ini file

Parameter Description

host The computer that hosts the Documentum Document Broker (server).

Example configuration for scanning all documents in

a Documentum repository
Scan all documents in the repository.
The configuration is in the file VontuDocumentumScanner.cfg.
 Setting up scanning of Documentum repositories 1289
Example configuration for scanning all documents in a Documentum repository

See “Configuration options for Documentum scanners” on page 1286.

//##########################################################
//# Jobs
//##########################################################
[JOBS]
NUMBER=1
0=Job0
[Job0]
DocBase=Vontu_1
UserName=Administrator
Password=mypassword
ImportRefReplaceWithCSVs=
http://documentum-server.mycompany.com:8080/webtop/
component/drl?objectId=
LogFile = Job0.log
1290 Setting up scanning of Documentum repositories
Example configuration for scanning all documents in a Documentum repository
 Chapter 71
Setting up scanning of
Livelink repositories
This chapter includes the following topics:

■ Setting up remote scanning of Livelink repositories

■ Supported Livelink scanner targets

■ Creating an ODBC data source for SQL Server

■ Installing Livelink scanners

■ Starting Livelink scans

■ Configuration options for Livelink scanners

■ Example configuration for scanning a Livelink database

Setting up remote scanning of Livelink repositories

The Livelink scanner can scan a Livelink database.
To set up scanning of Livelink repositories, complete the following process:

Table 71-1 Setting up a Livelink scanner

Step Action Description

1 Verify that your Livelink repository is on the list See “Supported Livelink scanner
of supported targets. targets” on page 1292.
1292 Setting up scanning of Livelink repositories
Supported Livelink scanner targets

Table 71-1 Setting up a Livelink scanner (continued)

Step Action Description

2 Create an ODBC data source for SQL Server. See “Creating an ODBC data
source for SQL Server”
Install the Livelink scanner.
on page 1292.

See “Installing Livelink

scanners” on page 1293.

3 Perform any manual configurations by editing See “Configuration options for

the configuration files and properties files. Livelink scanners” on page 1297.

4 On the Enforce Server, add a new Scanner See “Adding a new Network
Livelink target. Discover target” on page 1117.

5 Start the Livelink scan. See “Starting Livelink scans”

on page 1295.
Start the scanner on the scanner computer, and
also start the scan on the Enforce Server.

6 Verify that the scan is running successfully. See “Troubleshooting scanners”

on page 1247.

Supported Livelink scanner targets

The Livelink scanner supports scanning of Livelink Server 9.x targets.

Creating an ODBC data source for SQL Server

This procedure assumes that the Livelink database is an SQL Server database. If
you have an Oracle Livelink database contact Symantec Data Loss Prevention
support for specific instructions.
To create an ODBC data source for SQL Server
1 Go to Control Panel > Administrative Tools > Data Sources (ODBC).
2 Click the System DSN tab.
3 Click Add.
4 Select SQL Server.
5 Give it a name (for example, “Livelink”). This name is referenced in the
VontuLiveLinkScanner.cfg file.

6 Click Next.
 Setting up scanning of Livelink repositories 1293
Installing Livelink scanners

7 Select With SQL Server authentication using a login ID and password entered
by the user.
8 Check the option for Connect to SQL Server to obtain default settings for
additional configuration options and enter the SQL Server credentials.
9 Click Next. Accept the defaults.
10 Click Next. Accept the defaults.
11 Click Finish.

Installing Livelink scanners

Install the Livelink scanner on a computer that has access to the Livelink database.
To install a Livelink scanner
1 Create an ODBC data source for SQL Server.
See “Creating an ODBC data source for SQL Server” on page 1292.
2 On the computer that has access to the Livelink database, download the
installation file. Download or copy (as binary) the
SymantecDLPScanners_windows_x32_12.0.exe file to a temporary directory.
The file is located in the DLP_Home\Symantec_DLP_12_Win\Scanners where
DLP_Home is the name of the directory in which you unzipped the Symantec
Data Loss Prevention software.
3 Start the scanner installation program on this computer.

SymantecDLPScanners_windows_x32_12.0.exe

Note: This scanner should only be installed on 32-bit Windows servers.

4 Confirm the version of the scanner you want to install (32-bit).

5 Confirm the license ageement.
6 Select Livelink Scanner.
7 Select the installation Destination Directory, the folder where you want the
Livelink Scanner to be installed.
The default is c:\Program Files\LivelinkScanner\.
Click Next.
1294 Setting up scanning of Livelink repositories
Installing Livelink scanners

8 Select the Start Menu Folder (shortcut in the Start menu).

The default is SymantecDLP Livelink Scanner.
Click Next.
9 Enter the following connection information for the Network Discover Server:
■ Discover Host (IP or host name of the Network Discover Server)
■ Discover Port
Click Next.
10 Enter the following Livelink configuration values for the scanner:

LiveLink Host The host name or IP address of the Livelink server.

LiveLink Port The HTTP port of the Livelink server.

LiveLink User Name The user name to use when you scan.

LiveLink Password The password to use when you scan.

Encrypt this password.

See “Encrypting passwords in configuration files”

on page 1127.

LiveLink Connection The Livelink API connection name. This name is the
Name dbconnection in the opentext.ini file on the Livelink
server.

LiveLink API Port This port should be 2099 unless it has been changed in the
opentext.ini file on the Livelink server. The default is
2099.

ODBC DSN The name of the ODBC data source on the computer running
the Livelink scanner.

SQL User Name User name to use to connect to the ODBC data source.

SQL Password Password to use to connect to the ODBC data source.

Encrypt this password.

See “Encrypting passwords in configuration files”

on page 1127.

Click Next.
11 The scanner installs.
12 Select the Startup Mode.
 Setting up scanning of Livelink repositories 1295
Starting Livelink scans

While you initially test or verify that the scanner runs successfully, do not
select either of these options, but start the scanner manually.
You can select one (or none) of the following options:
■ Install as a service on a Windows system.
■ Start after installation.
The default is to start the scanner manually.
13 The Livelink scanner installation is complete on the scanner computer.
14 Perform any manual configurations by editing the configuration files and
properties files.
See “Configuration options for Livelink scanners” on page 1297.
See “Scanner installation directory structure” on page 1249.
See “Scanner configuration files” on page 1251.
15 Copy the following files from the Livelink installation to the
\LivelinkScanner\scanner folder:

■ LAPI_ATTRIBUTES.dll

■ LAPI_BASE.dll

■ LAPI_DOCUMENTS.dll

■ LAPI_USERS.dll

■ LLKERNEL.dll

16 Create an ODBC data source for the database instance that Livelink uses. This
data source is referenced in the VontuLivelinkScanner.cfg file.
See “Creating an ODBC data source for SQL Server” on page 1292.
17 On the Enforce Server, create a New Target for the scanner Livelink type.
18 Start the scan on both the scanner computer and the Enforce Server.
See “Starting Livelink scans” on page 1295.

Starting Livelink scans

Make sure that the scanner is installed and configured on the target computer,
and a new target is added on the Enforce Server.
See “Installing Livelink scanners” on page 1293.
Then, you can start the scan.
1296 Setting up scanning of Livelink repositories
Starting Livelink scans

The procedures are different for each of the following scenarios:

■ One scanner per target (first procedure).
■ Multiple scanners for one target (second procedure).
To start a Livelink scan with one scanner for one target
1 Log on to the Enforce Server.
Go to Manage > Discover Scanning > Discover Targets to navigate to the list
of targets.
2 Select the scan target from the target list, then click the Start icon.
3 On the scanner computer, start the Livelink scanner.
Click Start > Vontu Livelink Scanner > Vontu Livelink Scanner Console.
4 The scanner starts the process of scanning data.
See “How Network Discover scanners work” on page 1246.
5 If the scan does not progress normally, you can troubleshoot it.
See “Troubleshooting scanners” on page 1247.
6 Stop and restart the scanner whenever you make changes to the configuration
file. To stop the scanner, type the control-C character in the console window.
To start a Livelink scan with multiple scanners for one target
1 On each of the scanner computers, start the Livelink scanner.
Click Start > Vontu Livelink Scanner > Vontu Livelink Scanner Console.
Make sure that each of the scanners has started, and has posted information.
Check the outgoing folder on each of the computers.
See “Scanner installation directory structure” on page 1249.
2 Log on to the Enforce Server.
Go to Manage > Discover Scanning > Discover Targets to navigate to the list
of targets.
3 Select the scan target from the target list, then click the Start icon.
4 The scanner starts the process of scanning data.
See “How Network Discover scanners work” on page 1246.
5 If the scan does not progress normally, you can troubleshoot it.
See “Troubleshooting scanners” on page 1247.
6 Stop and restart the scanner whenever you make changes to the configuration
file. To stop the scanner, type the control-C character in the console window.
 Setting up scanning of Livelink repositories 1297
Configuration options for Livelink scanners

Configuration options for Livelink scanners

Table 71-2 provides an explanation of the VontuLiveLinkScanner.cfg file.

Table 71-2 Parameters in the VontuLiveLinkScanner.cfg file

Type Parameter Description

Connectivity OpenTextServer The host name or IP address of the Livelink

server.

Connectivity OpenTextPort The HTTP port of the Livelink server.

Connectivity OpenTextUsername The user name to use when you scan.

Connectivity OpenTextPassword The password to use when you scan.

Encrypt this password.

See “Encrypting passwords in configuration

files” on page 1127.

Connectivity LLConnection The Livelink API connection name. This

parameter is the name of the
dbconnection in the opentext.ini file
on the Livelink server.

Connectivity LLApiPort This value should be 2099 unless it has been

changed in the opentext.ini file on the
Livelink server.

Connectivity DSN The name of the ODBC data source on the

computer that runs the Livelink scanner.

Connectivity SQLUserName User name to use to connect to the ODBC

data source.

Connectivity SQLPassWord Password to use to connect to the ODBC

data source. Encrypt this password.

See “Encrypting passwords in configuration

files” on page 1127.

Throttling BatchSize The number of files that are aggregated

before they are imported into each XML file
that is sent to Network Discover.

See “Optimizing resources with Network

Discover scan throttling” on page 1134.
1298 Setting up scanning of Livelink repositories
Example configuration for scanning a Livelink database

Example configuration for scanning a Livelink

database
Scan everything in the Livelink database.
The configuration is in the file VontuLiveLinkScanner.cfg.
See “Configuration options for Livelink scanners” on page 1297.

//##########################################################
//# Jobs
//##########################################################
[JOBS]
Number=1
0=Job0
[Job0]
OpenTextServer=mydatabase-livelink.test.lab
OpenTextPort=80
OpenTextUsername=Admin
OpenTextPassword=livelink
LLConnection=LivelinkDB
LLApiPort=2099
DSN=livelink
SQLUserName=lldbuser
SQLPassWord=livelink
 Chapter 72
Setting up Web Services for
custom scan targets
This chapter includes the following topics:

■ Setting up Web Services for custom scan targets

■ About setting up the Web Services Definition Language (WSDL)

■ Example of a Web Services Java client

■ Sample Java code for the Web Services example

Setting up Web Services for custom scan targets

The Web Services target type enables customers to write custom scanners. These
custom scanners send content and metadata to Network Discover as Simple Object
Access Protocol (SOAP) requests. The Network Discover Server becomes a Web
Service host.
See “About setting up the Web Services Definition Language (WSDL)” on page 1300.
An example of a Java SOAP client is available.
See “Example of a Web Services Java client” on page 1300.
To set up custom Web Services for Network Discover, complete the following
process:

Table 72-1 Setting up a custom scan target

Step Action Description

1 Add a Web Services target type. See “Adding a new Network

Discover target” on page 1117.
1300 Setting up Web Services for custom scan targets
About setting up the Web Services Definition Language (WSDL)

Table 72-1 Setting up a custom scan target (continued)

Step Action Description

2 Start the scan. Select the scan target from the

target list, then click the Start
icon.

See “Managing Network

Discover target scans”
on page 1139.

3 Save and modify the WSDL, and a create a client See “About setting up the Web
(such as a Java client), or SOAP request. Services Definition Language
(WSDL)” on page 1300.

An example Java client is

available.

See “Example of a Web Services

Java client” on page 1300.

4 Run the client, and verify the results. See “Example of a Web Services
Java client” on page 1300.

About setting up the Web Services Definition

Language (WSDL)
The concrete Web Service Definition Language (WSDL) can be downloaded from
the following URL when a Web Services target is running. The following port is
the default. Enter the location of your Network Discover Server and port number.
http://discover_server:8090/?wsdl

See the online Help for a Web Services sample WSDL and for a Web Services
sample SOAP request.

Example of a Web Services Java client

The following procedure and code provide an example of Web Services. This
example sends content and metadata of all the files in a folder to the Network
Discover Server.
 Setting up Web Services for custom scan targets 1301
Example of a Web Services Java client

To create and run a Web Services Java client

1 Log into the Enforce Server and create a Network Discover Web Services
target type.
See “Adding a new Network Discover target” on page 1117.
Use the default settings. Note the scanner port number; the default is 8090.
2 Start the scan.
3 Browse to the following URL:
http://discover_server:8090/?wsdl

Save the page as a WSDL file named DiscoverSOAPTarget.wsdl in a folder

(for example sample_folder).
Edit the URL to replace port number 8090 if the scanner port number is
different in step 1.
4 Install the Java Development Kit (JDK), if it is not available on your system.
5 Set the Java home to the folder where you installed the JDK.

JAVA_HOME=jdk_install_dir

6 Install Apache CXF, an open source service framework.

See http://cxf.apache.org/
7 Transform the WSDL to Java code.

apache-cxf-installdir\bin\wsdl2java
-client sample_folder\DiscoverSOAPTarget.wsdl

Java source files are automatically created under packages

com.vontu.discover and com.vontu.wsdl.discoversoaptarget.

8 Edit a file named DiscoverSOAPClient.java in the sample_folder and insert

the Java code. Place the new code at the beginning of this file. Change the
constants as needed.
See “Sample Java code for the Web Services example” on page 1302.
9 Compile the Java code with the following command:

javac DiscoverSOAPClient.java
1302 Setting up Web Services for custom scan targets
Sample Java code for the Web Services example

10 Run the program using the following command:

java DiscoverSOAPClient

11 On the Enforce Server, verify that the expected number of items are reported
for the Network Discover target that is created in step 1.

Sample Java code for the Web Services example

Enter the following source code at the beginning of the file named
DiscoverSOAPClient.java.

See “Example of a Web Services Java client” on page 1300.

import javax.xml.datatype.DatatypeFactory;
import javax.xml.namespace.QName;
import java.io.ByteArrayOutputStream;
import java.io.File;
import java.io.FileInputStream;
import java.net.URL;
import java.util.Date;

import com.vontu.discover.ComponentContentType;
import com.vontu.discover.ComponentType;
import com.vontu.discover.DocumentType;
import com.vontu.discover.ProcessDocumentsType;
import com.vontu.wsdl.discoversoaptarget.DiscoverSOAPTargetPortType;
import com.vontu.wsdl.discoversoaptarget.DiscoverSOAPTargetService;
import com.sun.org.apache.xerces.internal.impl.dv.util.Base6

public class DiscoverSOAPClient

{
private static final QName SERVICE_NAME = new QName(
"http://www.vontu.com/wsdl/DiscoverSOAPTarget.wsdl",
"DiscoverSOAPTarget_Service");
private static final String OWNER = "DiscoverSOAPClient";
private static final String BODY = "This is the body";
private static final String TYPE = "Text";
private static final String ENCODING = "base64";

//Change this value according to your needs

private static final String TEST_FOLDER_NAME = "c:\\temp\\data";
 Setting up Web Services for custom scan targets 1303
Sample Java code for the Web Services example

//Change this based on your discover host name and scanner port
private static final String WSDL_PATH =
"http://localhost:8090/?wsdl";

public static void main(String []args)

{
try
{
URL wsdl = new URL(WSDL_PATH);
File folder = new File(TEST_FOLDER_NAME);
DiscoverSOAPTargetService service =
new DiscoverSOAPTargetService(wsdl, SERVICE_NAME);
DiscoverSOAPTargetPortType client = service.getDiscoverPort();
for(File file : folder.listFiles())
{
if(file.isDirectory())
{
//only files in the test folder are sent to Discover
continue;
}
System.out.println(file);
ProcessDocumentsType processDocumentsType =
new ProcessDocumentsType();
DocumentType documentType = new DocumentType();
processDocumentsType.getDocument().add(documentType);
documentType.setOwner(OWNER);
documentType.setURI(file.toString());
GregorianCalendar time = new GregorianCalendar();
time.setTime(new Date(file.lastModified()));
documentType.setLastModifiedDate(
DatatypeFactory.newInstance().
newXMLGregorianCalendar(time));
documentType.setLastModifiedDate(
DatatypeFactory.newInstance().
newXMLGregorianCalendar(time));

//create a component
ComponentType body = new ComponentType();
documentType.setComponent(body);
body.setName(file.getName());

//add body
ComponentContentType bodyContent =
1304 Setting up Web Services for custom scan targets
Sample Java code for the Web Services example

new ComponentContentType();
body.setComponentContent(bodyContent);
bodyContent.setType(TYPE);
bodyContent.setContent(BODY);

ComponentType attachment = new ComponentType();

body.getComponent().add(attachment);
attachment.setName(file.getName());

//add some content to the component

ComponentContentType attachmentContent =
new ComponentContentType();
attachment.setComponentContent(attachmentContent);
attachmentContent.setType(ENCODING);

ByteArrayOutputStream bytes =
new ByteArrayOutputStream();
FileInputStream in = new FileInputStream(file);
byte[] buf = new byte[1024];

for(;;)
{
int len = in.read(buf);
if(len == -1)
{
break;
}
bytes.write(buf,0,len);
}

attachmentContent.setContent(
Base64.encode(bytes.toByteArray()));

//make the SOAP call

client.processDocuments(processDocumentsType);
}

}catch(Exception e)
{
}
}
}
 Section 9
Discovering and preventing
data loss on endpoint
computers

■ Chapter 73. Using Endpoint Discover and Endpoint Prevent

■ Chapter 74. Implementing Endpoint Discover

■ Chapter 75. Implementing Endpoint Prevent

■ Chapter 76. Working with agent configurations

■ Chapter 77. Working with Endpoint FlexResponse

■ Chapter 78. Implementing Symantec DLP Agents

■ Chapter 79. Managing Symantec DLP Agents

■ Chapter 80. About application monitoring

■ Chapter 81. Using Endpoint Server tools

1306
 Chapter 73
Using Endpoint Discover
and Endpoint Prevent
This chapter includes the following topics:

■ About Endpoint Discover and Endpoint Prevent

■ About Endpoint Prevent monitoring

■ About Endpoint Discover monitoring

■ About policies for endpoints

■ About policy creation for Endpoint Prevent

■ About rules results caching (RRC)

■ About Endpoint reports

About Endpoint Discover and Endpoint Prevent

Endpoint Discover and Endpoint Prevent are related products that operate directly
on an endpoint computer. Endpoint Prevent can also be used to protect sensitive
data on supported virtual desktops. Endpoint Discover and Endpoint Prevent both
apply Data Loss Prevention policies to protect your sensitive or at-risk data.
Sensitive or at-risk data can include credit card numbers or names, addresses,
identification numbers. The type of data that can be considered sensitive is
unlimited. You must define the type of sensitive information through a series of
policies.
See “Workflow for implementing policies” on page 337.
Endpoint Discover scans endpoint computers to find the information that you
have defined as at risk or sensitive. Endpoint Prevent stops sensitive data from
1308 Using Endpoint Discover and Endpoint Prevent
About Endpoint Discover and Endpoint Prevent

moving off endpoint computers and supported virtual desktops. For example,
Endpoint Prevent stops a file that contains credit card numbers from being
transferred to eSATA, USB, or FireWire connected media. Endpoint Prevent also
stops sensitive files from being transferred to network shares using Windows
Explorer. Endpoint Discover, however, examines the local fixed drives of an
endpoint computer and locates every file that contains those credit card numbers
that match a policy. Both of these products are configured to recognize files which
contain sensitive data and protect that data.
Endpoint Discover and Prevent are deployed using Symantec Data Loss Prevention
agents and Endpoint Servers.

Figure 73-1 Secured Corporate LAN

How Endpoint Discover works

Endpoint Discover lets you examine a local drive in your organization for any
data that is a potential risk. Endpoint Discover notifies you when it finds a file
that violates your policies and it identifies where the file is located on the endpoint
system. Endpoint Discover can scan any local drive that is connected to the
endpoint computer. It cannot scan CD/DVD drives or removable media devices
such as eSATA drives, USB flash drives, or SD cards.
See “About Endpoint Discover monitoring” on page 1317.
 Using Endpoint Discover and Endpoint Prevent 1309
About Endpoint Discover and Endpoint Prevent

How Endpoint Prevent works

Endpoint Prevent policies are associated with policy groups that examine different
routes out of your endpoint computer or supported virtual desktop. The Endpoint
Server either pushes policies to Symantec DLP Agents or applies policies directly
to files that are sent from the Symantec DLP Agents. Depending on the type of
policy that you create, the policy is applied either by the Symantec DLP Agents
directly or by the Endpoint Server. When Symantec DLP Agents or Endpoint
Servers detect an activity that violates a policy rule, an incident is generated. The
incident appears in the endpoint incident list which lets you view the incident
details as well as remediate the incident.

Note: Policy groups that are assigned to an Endpoint Server apply equally to all
connected agents.

Endpoint Prevent can detect violations at the endpoint in a variety of ways

including:
■ Application Monitoring
■ CD/DVD events
■ Clipboard events
■ eSATA events (writing to eSATA removable drives)
■ Network events (HTTP/HTTPS, instant messaging , Email, FTP)
■ Network share events (copying or saving sensitive files to a network share
using Windows Explorer)
■ Print/Fax events
■ USB events (flash cards, SD cards)
See “About Endpoint Prevent monitoring” on page 1311.
See “About the Symantec DLP Agent” on page 1311.
See “Workflow for implementing policies” on page 337.

About virtual desktop support with Endpoint Prevent

Endpoint Prevent can be used to monitor virtual desktops and prevent remote
users from copying sensitive data that is accessible through a virtual desktop. A
Symantec DLP Agent can be installed in each virtual desktop. By running a DLP
Agent in the virtual host, you can prevent a user from copying confidential data
that is accessible from the hosted virtual desktop to a remote computer or device
that may not be secure. The Symantec DLP Agent can be configured to monitor
1310 Using Endpoint Discover and Endpoint Prevent
About Endpoint Discover and Endpoint Prevent

storage volumes, print and fax requests, clipboards, and network activity on the
virtual desktop.
Endpoint Prevent can monitor virtual desktops hosted by any of the following
virtualization software:
■ Microsoft Hyper-V virtualization server
■ Microsoft Remote Desktop Services
■ VMware View virtualization server
Endpoint Prevent can also be used to monitor virtual Windows desktops and
Windows applications that are hosted through Citrix XenDesktop and Citrix
XenApp/Application servers. Symantec supports deploying the Symantec DLP
Agent software directly on Citrix XenApp/Application servers or Citrix XenDesktop
virtual machines to prevent clients from extracting confidential data from Citrix
published applications or desktops to the client computer. Symantec Data Loss
Prevention provides this functionality by monitoring volumes, print/fax requests,
clipboards, and network activity on the Citrix server to detect when confidential
data would be sent to a client computer. A Symantec DLP Agent does not need to
be installed on each individual Citrix client to support this functionality. A single
Symantec DLP Agent monitors all of the Citrix clients. All Citrix clients that are
protected by the agent monitor need to have a valid Endpoint Prevent license.
The license is required whether a Symantec DLP Agent is installed on the client
or not.

Note: All incidents that are generated on Citrix drives by the Symantec DLP Agent
software appear as Removable Storage Device incidents. In the Enforce Server
administration console, you cannot deselect the Removable Storage event for
Citrix drives because this event is always monitored by agents that are deployed
to Citrix servers.

See “How Endpoint Prevent works” on page 1309.

About the Endpoint Server

The Endpoint Server connects all of the Symantec DLP Agents that are deployed
on your endpoint computers to the Enforce Server. The Endpoint Server also
contains the detection policies for Endpoint Discover.
The Endpoint Server connects both Endpoint Discover and Endpoint Prevent.
Depending on your license, not every topic that is discussed in this guide may be
applicable to your needs. For example, if you have licensed Endpoint Prevent,
then you must configure the Endpoint Server to allow for monitoring and prevent
 Using Endpoint Discover and Endpoint Prevent 1311
About Endpoint Prevent monitoring

capabilities. However, if you have only licensed Endpoint Discover, you do not
need to configure network capabilities.
See “About Endpoint Discover and Endpoint Prevent” on page 1307.

About the Symantec DLP Agent

You deploy the Symantec DLP Agent on each endpoint computer or supported
virtual desktop that you want to scan. An Enforce Server controls the Symantec
DLP Agent and applies the policies and rules of that Endpoint Server. You cannot
make individual changes to the Symantec DLP Agents.
The Symantec DLP Agent contains an encrypted data store, called the Agent Store.
It acts as a buffer or holding space for the incidents and files that the Symantec
DLP Agent sends to the Endpoint Server. If the Symantec DLP Agent is
disconnected from the Endpoint Server, the Agent Store holds the incidents and
files until connection is re-established. The Agent Store is limited in size (the
default is 5% of disk space). If the maximum size is reached, the Symantec DLP
Agent evicts files and incidents from the Agent Store. Eviction policies target the
oldest files first, and then the oldest incidents. Files are targeted first because the
file may or may not contain the sensitive data that the Endpoint Server must
analyze. However, an incident is a direct violation of policies and a record of that
violation must be retained if at all possible.
See the Symantec Data Loss Prevention System Requirements and Compatibility
Guide for information about the endpoint computer operating systems on which
you can install the Symantec DLP Agent.
See “About preinstallation steps for Symantec DLP Agents” on page 1369.

About Endpoint Prevent monitoring

You can perform many different types of monitoring with Endpoint Prevent.
Taken together, the different types of monitoring create the Endpoint Prevent
product. The following table provides references to the types of monitoring you
can perform.

Table 73-1 Endpoint Prevent Monitoring

Type of Monitoring

About removable storage monitoring

About Endpoint network monitoring

About CD/DVD monitoring

1312 Using Endpoint Discover and Endpoint Prevent
About Endpoint Prevent monitoring

Table 73-1 Endpoint Prevent Monitoring (continued)

Type of Monitoring

About print/fax monitoring

About network share monitoring

About clipboard monitoring

About application monitoring

Endpoint Prevent monitors the activity on an endpoint computer regardless if it

is connected to an Endpoint Server. If an endpoint computer is disconnected from
the network and cannot connect to an Endpoint Server, Endpoint Prevent continues
to monitor the endpoint computer. All incidents are stored in the Agent Store
until the computer is re-connected to the Endpoint Server. If the Agent Store
exceeds the specified size limit, older files are ejected until the size limits are
reached. Endpoint Prevent does not stop monitoring the endpoint computer.
See “About the Symantec DLP Agent” on page 1311.

About removable storage monitoring

Endpoint Prevent lets you block data transferring from your hard drive to a
removable media device. Removable media includes the following devices:
■ Compact flash card
■ eSATA removable drives
■ FireWire connected device
■ SD card
■ USB flash drive
When the Symantec DLP Agent detects that a violation has occurred, the data is
not transferred. An incident is created and sent to the Endpoint Server. When a
violation occurs, the Symantec DLP Agent displays a pop-up notification to the
user that informs the user that the violation has occurred. The notification also
requires a justification for the file transfer. This justification appears in the
incident snapshot.
See “Setting report preferences” on page 937.
For example, User 1 copies a Microsoft Word file that contains medical records
from an endpoint computer to a USB flash drive. The Symantec DLP Agent blocks
this file from being transferred to the flash drive. When the file is blocked, a
pop-up notification appears on the user’s screen, stating that the file transfer is
 Using Endpoint Discover and Endpoint Prevent 1313
About Endpoint Prevent monitoring

in violation of a specific policy. The pop-up notification also contains a justification

component that allows the users to justify moving the file to the flash drive. The
justification that the user enters into the pop-up window is visible on the incident
snapshot for this incident.
See “About Endpoint Prevent monitoring” on page 1311.

About CD/DVD monitoring

CD/DVD monitoring is compatible with all major CD/DVD burning applications
that run on Windows Server 2003, XP, Vista, and Windows 7 32- and 64-bit
operating systems.
Endpoint CD/DVD monitoring is designed to monitor specific file types.
Performance filters are available in the agent configuration section. Use them to
specify the file types that Endpoint Prevent monitors. You can also control the
effect of the monitoring on the CD/DVD burning application.
To enable CD/DVD protection, you must select the CD/DVD toggle in the Agent
Monitoring tab of the Endpoint Server configuration page. You can also create a
policy for the files that are copied to a CD/DVD burner. Create a Protocol or
Endpoint Destination rule with the CD/DVD as the destination. You must specify
the content criteria for the policy. Policies can be created using AND/OR Boolean
conditions. Specify the content criteria only using the AND condition in the policy
builder.
For example, you want to create a policy that prevents files with the keyword
Farallon from being burned to a DVD. Your DVD burning application is Roxio 9.
Create a blank policy with a protocol or a device type rule. Select the CD/DVD
device type and also match a Content Matches Keyword rule. Enter Farallon as
the keyword. Finish creating the rule with an Endpoint Block response rule. After
you save the policy, the Symantec DLP Agent blocks any file that contains the
keyword Farallon from being burned to a DVD.
By selecting the CD/DVD device type, you have specified that the policy affects
only files burned to a CD/DVD. Endpoint hard drives and USB connected media
are not affected. By combining the device type and keyword match rules, you
guarantee that Symantec DLP Agents block only files with the specified keyword.
The agents do not block all of the files that are sent to the CD/DVD application.
If you create the CD/DVD block rule without the conjoined keyword rule, the policy
blocks every file that is sent to the burning application. Or, it would block the files
that contain the keyword at the endpoint hard drive and USB connected media
as well.
1314 Using Endpoint Discover and Endpoint Prevent
About Endpoint Prevent monitoring

Note: Depending on the CD/DVD burning application you use, a file that contains
confidential information is blocked or redacted. The redacted file contains no
sensitive data. If the redacted file is written to the disk, that specific CD or DVD
cannot be reused.

Note: Small files of less than 64 bytes are not detected when read by CD/DVD
monitoring. Files over 64 bytes in size are detected normally.

See “About policies for endpoints” on page 1319.

See “About Endpoint Prevent monitoring” on page 1311.

About print/fax monitoring

Endpoint Prevent lets you monitor and prevent sensitive information from being
either printed or faxed to a recipient. In Microsoft Windows, the mechanism for
printing and faxing information is identical; therefore, the Endpoint Prevent
mechanism is also identical.
Files are sent to the printer or the fax machine in pages and each page is then
printed or faxed. Endpoint Prevent analyzes each page as it is sent to the printer
or the fax machine. This means that some initial pages of the file may be printed
or faxed if a violation is found in the middle of the file. For example, a user sends
a 10-page document to a printer. The file is sent, page by page, to the printer.
Endpoint Prevent finds a violation on page three and stops the file from being
printed at that point. Pages one and two have already printed. Pages three through
ten are not printed. Endpoint Prevent sends an incident to the Endpoint Server
containing file information and the matching text.

Note: Endpoint Prevent does not monitor the text in the cover page of a fax.

The incident snapshot contains information regarding which endpoint computer

sent the violating file, the violating file, and the printer name and the printer
type. The printer type is a locally connected printer, a shared printer, or a network
printer, or the Print to file option has been selected.
See “Setting report preferences” on page 937.
See “About Endpoint Prevent monitoring” on page 1311.
 Using Endpoint Discover and Endpoint Prevent 1315
About Endpoint Prevent monitoring

About clipboard monitoring

Endpoint Prevent stops users from copying and pasting sensitive data from one
application to another by the Windows Clipboard. Endpoint Prevent only works
on the Windows Clipboard and cannot prevent the Clipboard from transferring
sensitive data between the same application.
For example, if a user copies sensitive information from a Word document and
paste it in an IM message, Endpoint Prevent blocks the transfer. The blocking
occurs because copy and paste functions use the Windows Clipboard. The user
receives a pop-up notification that states the reason why the transfer was blocked.
In the Endpoint Report, the incident snapshot contains an incident and the text
of the information pasted into the email message. Incidents are created at the
time of the cut or copy action, not at the paste action.
See “Setting report preferences” on page 937.
See “About Endpoint Prevent monitoring” on page 1311.

About application monitoring

Application monitoring lets you monitor third-party applications for IM, email,
or HTTP/S clients. By default, Symantec Data Loss Prevention only monitors
first-party applications such as AIM, Microsoft Outlook, or Mozilla Firefox.
Examples of third-party applications include Skype, Mozilla Thunderbird, or
Google Chrome. Any application that is not specifically monitored by Symantec
Data Loss Prevention must be added to the Application Monitoring page before
Symantec Data Loss Prevention can begin monitoring. For example, if your
company uses Mozilla Thunderbird, you must to add Thunderbird to the
Application Monitoring page. You need to add the application because Mozilla
Thunderbird is not monitored by default. After Mozilla Thunderbird is added,
Symantec Data Loss Prevention monitors the application as it sends email
messages through the network.
Additionally, you can configure global changes to default applications. You can
associate blacklist or whitelist metadata to network monitoring, CD/DVD
applications, and the applications that use print/fax or Clipboard functions. You
can also specify if you do not want Symantec Data Loss Prevention to monitor
applications for network, print/fax, Clipboard, or file system activities. For
example, you may want to exclude Clipboard activities on Microsoft Outlook. You
would edit the settings for Microsoft Outlook to exclude Clipboard activity on the
application fingerprinting page. The applications on this page are only the
applications that you want to modify for network, print/fax, Clipboard, or file
system monitoring.
See “About application monitoring” on page 1401.
1316 Using Endpoint Discover and Endpoint Prevent
About Endpoint Prevent monitoring

About network share monitoring

Network share monitoring lets you prevent sensitive files from transferring
between a network share and an endpoint.
For example, you have a local drive labeled c: drive. You also have a remote network
share labeled g: drive. You can create a policy that blocks sensitive data from being
copied from the c: drive to the g: drive. You can also prevent sensitive data
transerring from the g: drive to the c: drive. Any Endpoint response rule is
applicable to network share monitoring. For network share monitoring, Endpoint
Protect only prevents sensitive data that transfers directly through Windows
Explorer. Other types of network share access are not monitored. Other types of
network share access include: FTP transfers, third-party applications, or copy/paste
applications. These other types of network file share access are monitored by
other detection features of Symantec Data Loss Prevention.
See “About Endpoint Prevent monitoring” on page 1311.

About Endpoint network monitoring

Endpoint Prevent lets you monitor or block various types of network events. These
events include the following:
■ HTTP/HTTPS
■ Email/SMTP
■ FTP
■ IM
Endpoint Prevent lets you block network violations regardless of whether the
endpoint is connected to the corporate network or not. For example, a user takes
a laptop out of the office and accesses a wireless Internet connection in a coffee
shop. The Symantec DLP Agent can still detect, remove, or block any file, text, or
email from transferring over the unsecured network. Incidents that are generated
when the endpoint is not connected to the Endpoint Server are stored in a
temporary database. The incidents remain in the database until the connection
is re-established. After the connection to the Endpoint Server is re-established,
the incidents are sent to the Endpoint Server.
Symantec DLP Agents can monitor HTTP or HTTPS Web pages and applications.
For example, it can monitor and prevent sensitive information from transferring
through Microsoft Internet Explorer, Mozilla Firefox, or any other HTTP
application. HTTPS monitoring lets you monitor or prevent any files from being
transferred through an encrypted HTTPS site accessible through Internet Explorer
or Firefox Web browsers. HTTP and HTTPS prevention also allow blocking of
 Using Endpoint Discover and Endpoint Prevent 1317
About Endpoint Discover monitoring

email messages and attachments from being transferred through Web email
applications. Incidents include destination IP, URL, and message information.
Endpoint Prevent monitors the most common email applications, Microsoft
Outlook, and Lotus Notes. It can monitor and prevent any information transferring
from these applications regardless of the email protocol. Attachments as well as
content in the subject, body, and footer of the message are analyzed. Incidents
include information about the sender, recipient, and the email message.
FTP monitoring prevents files from transferring to an outside file repository over
the FTP protocol. For example, a user attempts to send a file that violates a policy
to a remote file repository using the FTP application Mozilla Filezilla. Endpoint
Prevent prevents the file from transferring to the FTP location. An incident is
created for the violation and appears in the Endpoint reporting section of the
Enforce Server. The incident snapshot contains information about which users
attempted to send the file through FTP. It displays the violating file as well as the
IP address of the destination FTP server.
Instant messaging applications such as AIM, MSN, and Yahoo Messenger are
monitored. IM monitoring analyzes outgoing messages both on an individual
message basis as well as on a session basis. For example, if a user opens a chat
session with another person through IM. Endpoint Prevent analyzes each message
that the user sends for sensitive information. Each of these messages is analyzed
individually. At the same time, Endpoint Prevent analyzes the entire conversation
for the sensitive information that may not be apparent from the individual
messages. IM messages and files can also be blocked. An IM incident contains
information regarding sender, recipient, and the content of the session.

Note: Some network types do not match on the file name monitoring condition.
These network events do not contain file names and so cannot match on this
condition. The network monitoring types that cannot match the file name condition
include HTTP/HTTPS, IM message body and text, and Outlook message body and
text.

All incidents are reported under the Endpoint Prevent in the Reports section.
See “About Endpoint Prevent monitoring” on page 1311.

About Endpoint Discover monitoring

Endpoint Discover scans the local drive of endpoint computers to find any
currently existing files that violate your policies. Endpoint Discover scans all local
drives on your endpoint computers. For example, if your computer has two physical
local drives installed, Endpoint Discover scans both local drives for any files that
1318 Using Endpoint Discover and Endpoint Prevent
About Endpoint Discover monitoring

violate your policies. Endpoint Discover does not scan those drives that are
mounted through a network or removable media such as eSATA drives, flash
drives, or SD cards.
The Symantec DLP Agent can only perform DCM scans locally for Endpoint
Discover. For all other types of scans, the Symantec DLP Agent sends the text of
the files to the Endpoint Server for analysis. This design means that EDM and
IDM detection must be done on the Endpoint Server.
For example, you set up an Endpoint Discover scan to examine all of the local
drives of all of your endpoint computers. The policy that is associated with the
scan contains DCM content (keywords) as well as IDM components (credit card
numbers). As the Endpoint Discovers examines the local drive, it automatically
analyzes each file for the keywords. If it detects a file that potentially matches
the indexed list of credit card numbers, it sends the file to the Endpoint Server
for analysis.
To start or stop a scan that is configured for a single Endpoint Server, the Symantec
DLP Agent must be connected to the Endpoint Server. If the Symantec DLP Agent
is not connected to the Endpoint Server, the scan starts when it reconnects to the
Endpoint Server. A scan is only complete when all of the endpoint computers have
completed the scan. If one endpoint computer is disconnected from the Endpoint
Server, the scan cannot complete until that endpoint computer reconnects. If an
endpoint computer is disconnected after a scan has started, the endpoint computer
continues the scan after it reconnects to the Endpoint Server. If the endpoint
computer remains disconnected and exceeds a configured timeout period, the
scan reports a timeout status.
An Endpoint Discover scan can be configured to include multiple Endpoint Servers.
This feature lets you create one Endpoint Discover scan that includes a primary
Endpoint Server and any backup Endpoint Servers that might be configured. Scans
that include backup Endpoint Servers allow DLP Agents to be scanned if they
connect to a backup Endpoint Server during an active scan. The ability to scan a
Symantec DLP Agent when it connects to a backup Endpoint Server improves the
ability of a scan to successfully complete. It also improves the performance of
Endpoint Discover in a load-balanced environment.
All incidents are stored in the Agent Store until the computer is reconnected to
the Endpoint Server. If the Agent Store exceeds the specified size limit, the scan
waits until the Agent Store size is reduced. The scan waits until the endpoint
computer reconnects to the Endpoint Server and the Agent Store is cleared.
See “About the Symantec DLP Agent” on page 1311.
By default, the Symantec DLP Agent scans most of the files on the endpoint
computer while the computer is active. Any file that requires a large amount of
bandwidth to scan is not scanned until the endpoint computer is idle. By waiting
 Using Endpoint Discover and Endpoint Prevent 1319
About policies for endpoints

until the endpoint computer is idle, the Symantec DLP Agent uses less CPU
bandwidth while users are active on the computer. You can configure how the
Symantec DLP Agent defines the endpoint computer as idle. You can configure
the Symantec DLP Agent so that it does not scan the endpoint computer at all
while the computer is active.
See “Advanced agent settings” on page 247.
Incidents that are created for Endpoint Discover violations appear under the
Discover tab of the Incidents section. Incidents are marked with an
Endpoint-specific icon. You cannot automatically remediate Endpoint Discover
incidents. You must manually remediate the incidents.
See “About Endpoint reports” on page 1325.

About targeted Endpoint Discover scans

You can target all of the endpoint computers that are connected to the Endpoint
Servers that are defined in an Endpoint Discover scan. You can also target
individual endpoint computers. You can also configure a set of filters for an
Endpoint Discover scan to specify which individual Symantec DLP Agents should
be scanned. When the Endpoint Server begins the scan, the scan information is
distributed to all of the associated Symantec DLP Agents. The Symantec DLP
Agents analyze the scan with the scan filters.
If a Symantec DLP Agent is excluded from the scan it sends a “Not participating”
status to the Endpoint Server.
There can be only one Endpoint Discover scan running on an Endpoint Server at
a time. If you exclude Symantec DLP Agents based on the scan filters, those
Symantec DLP Agents cannot be scanned until the first scan is complete.
See “Setting up scanning of an Endpoint Discover target” on page 1330.

About policies for endpoints

Symantec Data Loss Prevention uses a two-tiered detection architecture to analyze
activity on endpoints. It performs detection directly on Symantec DLP Agents or
detection occurs on the Endpoint Servers as required. Endpoint Servers can
perform all types of detection, such as Exact Data Matching (EDM), Indexed
Document Matching (IDM), and Directory Group Matching (DGM). Agents can
perform Described Content Matching (DCM) only. Symantec Data Loss Prevention
can detect locally on keywords, regular expressions, and data identifiers. It must
send input content to the Endpoint Server to detect on exact data fingerprints or
indexed document fingerprints.
1320 Using Endpoint Discover and Endpoint Prevent
About policies for endpoints

Two-tiered detection has implications for the kinds of detection rules and response
rules you can combine in a policy and use on endpoints. It also has implications
for the optimization of system usage and performance of Symantec Data Loss
Prevention on endpoints. As you create the policies that apply to endpoints, the
following guidelines are recommended.
Do not create a policy that combines a server-side detection rule with an Endpoint
Prevent response rule. For example, do not combine an EDM, IDM, or DGM rule
with an Endpoint Block or Endpoint Notify response rule. If a server-side detection
rule triggers an Endpoint Prevent response rule, Symantec Data Loss Prevention
cannot execute the Endpoint Prevent response rule.
When creating an endpoint policy that includes a server-side detection rule,
combine that detection rule with an agent-side detection rule in one compound
rule. This practice helps Symantec Data Loss Prevention perform detection on
the endpoint without sending the content to the Endpoint Server. Symantec Data
Loss Prevention saves network bandwidth and improves performance by
performing detection on the endpoint.
For example, you can couple an EDM detection rule with a Sender detection rule
in one compound rule. In a compound rule, all conditions must be met before
Symantec Data Loss Prevention registers a match. Conversely, if one condition
is not met, Symantec Data Loss Prevention determines there is no match without
having to check the second condition. For example, to register a match the content
must meet the first condition AND all other conditions. When you set up the
compound rule in this way, the Symantec DLP Agent checks the input content
against the agent-side rule first. If there is no match, Symantec Data Loss
Prevention does not need to send the content to the Endpoint Server. However,
if you create a compound rule that involves a DCM or an EDM policy, the content
is still sent to the Endpoint Server.
Before you combine a server-side detection rule (for example, an EDM, IDM, or
DGM rule) with an All: Limit Incident Data Retention response rule that retains
original files for endpoint incidents, consider the bandwidth implications of
retaining original files. When it sends content to an Endpoint Server for analysis,
the Symantec DLP Agent sends either text data or binary data according to
detection requirements. Whenever possible, Symantec DLP Agents send text to
cut down on bandwidth use. By default, Symantec Data Loss Prevention discards
original files for endpoint incidents. If a response rule retains original files for
endpoint incidents, Symantec DLP Agents must send binary data to the Endpoint
Server. In this case, make sure that your network can handle the increased traffic
between Symantec DLP Agents and Endpoint Servers without degrading
performance.
Combine agent-side detection rules (for example, DCM) with an Endpoint Prevent
response rule in the same policy. Symantec Data Loss Prevention can execute an
 Using Endpoint Discover and Endpoint Prevent 1321
About policy creation for Endpoint Prevent

Endpoint Prevent response rule only when a Symantec DLP Agent detection rule
triggers the response.
See Table 73-2 on page 1321.

Table 73-2 Incompatible detection rules and response rules

Do not combine these server-based ...with these Endpoint Prevent response

detection rules... rules.

■ Content Matches Exact Data (EDM) ■ Endpoint: Block

■ Content Matches Document Signature ■ Endpoint: Notify
(IDM) ■ Endpoint: User Cancel
■ Sender/User Matches Directory (DGM)
■ Recipient Matches Directory (DGM)

About policy creation for Endpoint Prevent

Policies for Endpoint Prevent differ from Network Prevent policies.
An Endpoint Prevent policy contains a response rule that creates a real-time user
interaction. The user interaction either blocks a file transfer or notifies the user
of a policy violation. These notifications are then attached to the incident.
Endpoint policies also differ as to where the detection occurs. Detection for IDM,
EDM, and DGM policies is performed on the Endpoint Server. Detection for DCM
policies is performed directly by the Symantec DLP Agent.
The response rules Block, Notify, and User Cancel are performed only on the
Symantec DLP Agent.
Because detection for IDM, EDM, and DGM policies is performed on the Endpoint
Server, the detection takes more time and uses more bandwidth. Extra time and
bandwidth are required because files are sent to the Endpoint Server for detection.
When an agent performs Detection for a DCM policy, it sends only incidents to
the Endpoint Server.
See “About policies for endpoints” on page 1319.
See “How to implement Endpoint Prevent” on page 1335.

About monitoring policies with response rules for Endpoint Servers

Endpoint-specific response rules include Endpoint Block, Endpoint Notify,
Endpoint Quarantine, and User Cancel. Endpoint Block stops the movement of
data that violate policies. Endpoint Notify educates the user about the violation
that has occurred, but does not block or stop movement of the data. Endpoint
1322 Using Endpoint Discover and Endpoint Prevent
About policy creation for Endpoint Prevent

Quarantine moves a file with sensitive information from the local drive to a secure
location. Endpoint Quarantine is only applicable for Endpoint Discover. User
Cancel lets the endpoint user decide whether or not to allow the data to transfer.
All rules create a pop-up display window that contains information about the
violated policy. Each rule requests that the user provide a justification for the
action. Endpoint Block and Endpoint Notify, and User Cancel are applicable to all
Endpoint Prevent detection policies that are performed on the endpoint computer.
For example, HTTP/HTTPS, Email/STMP, FTP, CD/DVD, eSATA, Print/Fax, and
USB monitoring all use Endpoint Block or Endpoint Notify rules.
The Endpoint Notify and Block and User Cancel response rules are not applicable
to:
■ Violations that are found through Endpoint Discover
■ Violations on local drive monitoring
See “Workflow for implementing policies” on page 337.
See “How to implement Endpoint Prevent” on page 1335.

About Endpoint Block

You can create a policy to restrict any data from transferring from the endpoint.
For example, you want to stop any text, email, or file that contains the keyword
Farallon from transferring from the computer. You can create a keyword match
policy with the word Farallon as the violation keyword.
See “Workflow for implementing policies” on page 337.
You want to ensure that this policy is used across all endpoints. In the response
rules section, select Endpoint Block as the response rule. This response rule is
only applicable to the endpoint. If a file is transferred from the hard drive to a
CD/DVD drive, a pop-up notification appears on that specific endpoint. The
notification states that the action is in violation of the Farallon keyword policy.
The Endpoint Block response rule prevents the file from being moved. However,
you also want to have a record of why the violation occurred. In the response rule,
you can create a series of justifications. These justifications allow the endpoint
user who committed the violation to explain why the violation occurred. These
justifications can include user education, a manager-approved file move, or others.
See “How to implement Endpoint Prevent” on page 1335.

About Endpoint Notify

You can create a policy and a response rule that educates endpoint users by using
the Endpoint Notify response rule. The Endpoint Notify response rule displays a
 Using Endpoint Discover and Endpoint Prevent 1323
About policy creation for Endpoint Prevent

pop-up message describing the violation and educates the endpoint user on the
appropriate policy.
For example, an endpoint user sends an email that contains the word Farallon in
the body of the email. Endpoint Notify generates an incident that is sent to the
Endpoint Server and displays a pop-up notification on the endpoint. The
notification states the policy that was violated and that the endpoint action is
now monitored. The endpoint user enters a reason for the violation, accepts the
notification, and the email proceeds normally. Endpoint Notify does not prevent
data movement, it only notifies users of policy violations. The endpoint user’s
justification for the violation becomes part of the incident report that is sent to
the Enforce Server.
Not all policy groups and policies are applicable with Endpoint response rules. If
you try to create a policy with incompatible rules and responses, you will receive
an error message. The error states that the policy is incompatible with the Endpoint
response rules.
Response rules can distinguish between those incidents that are created on the
corporate network and those created off of the corporate network. This condition
lets you specify whether the rule operates at all times or only when the endpoint
is connected or disconnected from the corporate network.
See “About policies for endpoints” on page 1319.
See “How to implement Endpoint Prevent” on page 1335.

About Endpoint User Cancel

You can create a response rule that lets endpoint users decide whether or not to
allow sensitive data to transfer from their computers. You can use the User Cancel
response rule to educate your endpoint users on proper business policies. For
example, if an endpoint user sends sensitive information through email and
receives the User Cancel popup notification, they can cancel the data transfer.
They are now educated on your company's policies. Additionally, if there is a
legitimate need for the endpoint user to transfer sensitive data, they can allow
the action. If they allow the action, the data is transferred normally.
In both cases, the Symantec DLP Agent generates an incident that is sent to the
Enforce Server.
Endpoint users are only allowed a specific amount of time to decide whether or
not to override the policy. If the specified amount of time is exceeded, the policy
automatically blocks the data transfer and generates an incident. By default, the
time is limited to 60 seconds. That option is applied to all violations of that policy
that occur in the following 10 seconds.
1324 Using Endpoint Discover and Endpoint Prevent
About rules results caching (RRC)

If multiple violations of the same policy are blocked, the endpoint user must only
enter the justification once. The justification appears in the incident snapshot of
the incident. The incident snapshot also contains the action that was taken. The
incident snapshot contains one of the following actions:
■ User Notified, Action: Allowed
■ User notified, Action: Canceled
■ User Notified, Action: Timeout Canceled
■ User Notified, Action: Timeout Allowed

Note: You can specify whether or not to allow the default action of a timeout to
block the data transfer or allow it.

See “Configuring the Endpoint Prevent: User Cancel action” on page 851.
See “About policies for endpoints” on page 1319.
See “How to implement Endpoint Prevent” on page 1335.

About rules results caching (RRC)

Rules results caching (RRC) is a form of pre-detection on the DLP Agent. By caching
information about any content that does not match a rule, the DLP Agent can
ignore that content. RRC speeds detection because it allows the DLP Agent to only
perform detection on new or recently changed content.
Only Described Content Matching (DMC) rule results can be cached in the DLP
Agent. Other types of detection, Exact Data Matching (EDM), File Properties Type
(FPT), and Indexed Data Matching (IDM) are not applicable to RRC. Additionally,
RRC is not applicable to protocol or to group detection rules.
See “Detecting data loss” on page 339.
Any time that the policies that are associated to the DLP Agent change, the RRC
cache is deleted. Previous RRC results are cleared and you must scan all of your
content again. However, after the initial scan is complete, subsequent scans are
much quicker to complete.
By default, RRC is active. If you do not want RRC, go to the advanced agent settings
and set it to Off.
 Using Endpoint Discover and Endpoint Prevent 1325
About Endpoint reports

About Endpoint reports

Use incident reports to track and remediate incidents on your endpoints. Symantec
Data Loss Prevention reports an incident when it detects data that matches the
detection parameters of a policy rule. Such data may include specific file content,
an email sender or recipient, attachment file properties, or many other types of
information. Each piece of data that matches detection parameters is called a
match, and a single incident may include any number of individual matches.
Reporting for Endpoint Discover is found under the Discover Reporting section.
Endpoint Discover incidents are marked to distinguish them from other types of
Discover incidents.
Reporting for Endpoint Prevent is found in the Reports tab of the Enforce Server.
You can view the following reports:
■ Exec. Summary - Endpoint
■ Incidents - All
■ Incidents - New
■ Policy Summary
■ Status Summary
■ Highest Offenders
If an incident is created that includes user justifications, those justifications are
included in the report in the Incident snapshot section. For example, if a violation
occurs that requires the user to enter the response User error, the incident report
includes the text SPECIAL: User typed response: "User error".
If the user selects a pre-generated justification, the justification appears in the
report. Justifications appear in the detailed report under the header Justifications.
Justifications and notifications are not compatible with Endpoint Discover,
therefore no justifications appear in Endpoint Discover reports.
You can also create customized reports for Endpoint Discover and Prevent.
However, if the user is not on the network at the time the justification is entered,
the justification section of the incident snapshot remains empty.
See “About Symantec Data Loss Prevention reports” on page 935.
See “How to implement Endpoint Prevent” on page 1335.
See “How to implement Endpoint Discover” on page 1327.
1326 Using Endpoint Discover and Endpoint Prevent
About Endpoint reports
 Chapter 74
Implementing Endpoint
Discover
This chapter includes the following topics:

■ How to implement Endpoint Discover

How to implement Endpoint Discover

To implement Endpoint Discover, you must follow a specific set of tasks. These
tasks are similar to Network Discover, but not identical. Complete the following
configuration tasks:

Table 74-1 Implementing Endpoint Discover

Phase Action Description

Step 1 Install the Symantec Management See “About the Symantec Management
Console (Optional). Console” on page 1361.

Step 2 Set the Endpoint Location. See “Setting the endpoint location”
on page 1336.

Step 3 Modify the Endpoint Server See “Server configuration—basic”

configuration. on page 193.

Step 4 Create a policy group. See “Creating a policy group for Endpoint
Discover” on page 1328.

Step 5 Create a policy. See “Creating a policy for Endpoint

Discover” on page 1328.

Step 6 Create an Endpoint Discover See “Setting up scanning of an Endpoint

target. Discover target” on page 1330.
1328 Implementing Endpoint Discover
How to implement Endpoint Discover

Table 74-1 Implementing Endpoint Discover (continued)

Phase Action Description

Step 7 Install the Symantec DLP Agent. See “About Symantec DLP Agent
Installation” on page 1367.

Step 8 Configure reports. See “About Symantec Data Loss Prevention

reports” on page 935.

For more information on any subject of implementing Endpoint Discover, see the
online Help.

Creating a policy group for Endpoint Discover

Creating a policy group for Endpoint Discover is exactly like creating a policy
group for Network Discover. Instead of deploying these policy groups on different
nodes in your system, the policy groups are deployed through the Symantec DLP
Agents. After you have created the policy group, you can assign specific policies
to the policy group.
To create a policy group
1 Go to Administration > Settings > Policy Groups.
2 On the Policy Group List screen that appears, click Add Policy Group.
3 Enter a policy-group name (of up to 256 characters) and a description. Choose
an informative name because other users must access it when choosing which
policy group(s) to associate with roles, policies, and Endpoint Discover targets.
4 Choose the detection server to assign to this policy group. You can assign the
policy group to all detection server or to individual servers. Note that
Symantec Data Loss Prevention automatically assigns all policy groups to all
Endpoint Discover servers.
5 Click Save.
See “How to implement Endpoint Discover” on page 1327.

Creating a policy for Endpoint Discover

Symantec Data Loss Prevention uses two-tiered detection methods for Endpoint
detection. Detection for Endpoint Discover occurs on the Endpoint Server. The
Symantec DLP Agent sends files to the Endpoint Server for analysis. IDM, EDM,
and DGM policies are all performed on the Endpoint Server. The Symantec DLP
Agent sends the opened files from the endpoint computer to the Endpoint Server
for analysis.
 Implementing Endpoint Discover 1329
How to implement Endpoint Discover

See “About policies for endpoints” on page 1319.

You can set the status of the policy as either Active or Suspend. By default, policies
are set to Active status. If you select Suspend, the policy is not applied to the
Symantec DLP Agents.
The following instructions apply to creating a blank policy. You can also create
policies based on pre-existing templates. The following instructions use sample
data and specific instructions to illustrate how to create a policy.
For example, assume that you want to create an Endpoint Discover policy to find
files with any identification numbers that begin with 1357. You have a list of all
of the numbers that can start with 1357. The list was uploaded to the Symantec
Data Loss Prevention system under the name EDM_m1. Symantec Data Loss
Prevention creates a policy that discovers any files on the endpoint that contain
any of this sensitive data.
To create a policy for Endpoint Discover
1 Go to Policy > Policy List on the Enforce Server.
2 Click New Policy.
3 Select Add a blank policy.
4 Enter 1357 identifier in the Name field.
5 Add Discover any identifiers starting with 1357 in the Description field of
the new policy.
6 Select the policy group you want associated with this policy from the
drop-down menu.
For this example, use EP eDAR.
After you create the policy, you must add rules to the policy.
See “Adding a rule for Endpoint Discover” on page 1329.
See “How to implement Endpoint Discover” on page 1327.

Adding a rule for Endpoint Discover

After you have created a policy for Endpoint Discover, you must add rules to the
policy. You can add one or more rules to the policy. You must add at least one rule
to the policy.
See “Creating a policy for Endpoint Discover” on page 1328.
To add a rule to a policy
1 Under the Detection tab, click Add Rule to add a rule for the policy.
2 Select the Content Matches Exact Data from radio option.
1330 Implementing Endpoint Discover
How to implement Endpoint Discover

3 Select EDM m1 from the drop-down menu.

This procedure links the previously created list to the rule.
4 Click Next.
See “How to implement Endpoint Discover” on page 1327.

About Endpoint Quarantine

You can create an automated response rule that allows Endpoint Discover to
remove files from a local drive and place them in a secure location. If an Endpoint
Discover scan finds a file containing sensitive data, the file is quarantined and
removed from the non-secure location. The secure location can be either on the
local drive or it can be a secure location on the corporate network. You can create
marker files that replace the confidential data. The marker files alert endpoint
computer users that the file contained confidential information and was
quarantined. You can include variables in the marker text that describe aspects
of the incident such as the file name, the violated policy, and the location of the
secure folder.
Endpoint quarantine response rules are only applicable to Endpoint Discover.
The quarantine location can be either a secured folder on the local drive or a folder
on a remote file share that is accessible by the endpoint computer through the
corporate network. You can choose if you want to enable credentials on the secure
location or allow any anonymous user to access the location.

Note: Encrypting File Service (EFS) folders cannot support anonymous access.

Not all policy groups and policies are applicable with Endpoint response rules. If
you try to create a policy with incompatible rules and responses, you will receive
an error message. The error states that the policy is incompatible with the Endpoint
response rules.
See “About policies for endpoints” on page 1319.
See “How to implement Endpoint Prevent” on page 1335.
See “Configuring the Endpoint Discover: Quarantine File action” on page 844.

Setting up scanning of an Endpoint Discover target

Endpoint Discover targets are used to configure the location where the Symantec
Data Loss Prevention Agent scans. They correspond to the target local drives,
folders, or endpoint computers that Endpoint Discover examines to find violations
of your policies. For example, the fixed drive or the My Documents folder in
 Implementing Endpoint Discover 1331
How to implement Endpoint Discover

Windows can be configured as a target. Endpoint Discover can scan any fixed
drive that is associated with the endpoint computer. Endpoint Discover cannot
scan removable drives. You can also specify filters to determine which endpoint
computers you monitor. This filtering is called targeted Endpoint Discover
scanning. Use the following steps to create an Endpoint Discover target.

Table 74-2 Setting up an Endpoint Discover target

Step Description Action

Step 1 Click Manage > Discover See “Adding a new Network

Scanning > Discover Targets Discover target” on page 1117.
to configure a new Endpoint
Discover target.

Step 2 Perform any additional filter See “Configuration options

configurations for targeted for Endpoint Discover
Endpoint Discover scanning. targets” on page 1332.

Step 3 Click the Advanced tab to See “Configuring Endpoint

configure the Scan Idle Discover scan timeout
Timeout and Max Scan settings” on page 1333.
Duration settings.

Note: You cannot schedule Endpoint Discover targeted scans. Each scan must be
started manually. You must also manually stop the scan, allow it to complete, or
allow it to timeout. You cannot pause an Endpoint Discover scan.

See “How to implement Endpoint Discover” on page 1327.

About Endpoint Discover target filters

Endpoint Discover target filters affect how Endpoint Discover interacts with your
endpoint computers. Endpoint Discover target filters let you specify the following:
■ Thy type of files you scan.
■ The areas within the target you want to scan.
■ The subset of endpoint computers you want to scan.
■ The size of the files you want to scan.
Endpoint Discover targets are dedicated to a specific local system. Unlike Network
Discover, endpoint targets do not need defined root systems or network shares.
See “Setting up scanning of an Endpoint Discover target” on page 1330.
See “Configuration options for Endpoint Discover targets” on page 1332.
1332 Implementing Endpoint Discover
How to implement Endpoint Discover

See “How to implement Endpoint Discover” on page 1327.

Configuration options for Endpoint Discover targets

Endpoint Discover targets are associated with Symantec Data Loss Prevention
Agents where each agent is dedicated to a specific Endpoint Server. Endpoint
Discover scans all of the Symantec Data Loss Prevention Agents that are configured
to the Endpoint Servers that are configured in the scan. An Endpoint Server can
only run one Endpoint Discover scan at a time.
You can specify filters to include or exclude endpoint computers you want to
monitor. This filtering is called Targeted Endpoint Discover scanning. Any
endpoint computers that the Targeted Endpoint Discover scan excludes are
displayed as Not Participating.
The following table provides a summary of the settings that are available for
configuring an Endpoint Discover target.

Name See “Configuring the required fields for

Network Discover targets” on page 1123.
Policy Groups

Servers

Include Filters See “Setting up Discover filters to include or

exclude items from the scan” on page 1128.

Exclude Filters See “Setting up Discover filters to include or

exclude items from the scan” on page 1128.

Size Filters See “Filtering Discover targets by item size”

on page 1130.

Date Filters See “Filtering Discover targets by date last

accessed or modified” on page 1131.

Scan Timeout Settings See “Configuring Endpoint Discover scan

timeout settings” on page 1333.

The include and exclude filters are designed so that you can filter the following:
■ Files
■ File folders
■ IP addresses
■ Computer names
■ WINS names
 Implementing Endpoint Discover 1333
How to implement Endpoint Discover

For example, you can include the following filters under the Include filters sections:
*.doc, $Documents$, >*.symantec.com, >192.168.32.0/8, >EDT*

The targeted Endpoint Discover scan monitors:

■ All .doc documents on all fixed drives that are associated with the scan
■ All files in the \My Documents\ file path
■ All endpoint computers in the .symantec.com domain
■ All computers on the 192.168.32.0/8 network
■ Any endpoint computers with the WINS name EDT
Separate multiple filters with commas.
Endpoint Discover uses a common syntax to describe IP address ranges. This
format is similar to the standard Classless Inter-Domain Routing (CIDR) format.
The Endpoint Discover IP address range filter format includes a main network
address, a following “/” character, and the number of mask bits. For example, the
IP address range description 192.64.110.0/24 has a mask bit count of 24. This
means that all IP addresses from 192.64.110.0 – 192.64.110.255 match the filter.
Likewise, 128.0.0.0/8 represents the IP address range 128.0.0.0 – 128.255.255.255.
Structurally, the filters are Boolean in that similar filters are applied using the
OR expression and then combined with other filters using the AND expression.
Using the example, the Symantec Data Loss Prevention Agent scans
*.doc OR $Documents$* AND >*.symantec.com OR >192.168.32.0/8.

The *.doc and $Documents$ filters use the OR expression because they are file or
file path filters. The >.symantec.com and > 192.168.32.0/8 filters use the OR
expression because they are IP filters and are similar to each other. The two sets
of similar filters combine using the AND expression.

Configuring Endpoint Discover scan timeout settings

An Endpoint Discover scan might not complete due to one or more Endpoint
computers remaining disconnected from the Endpoint Server. The Scan Idle
Timeout setting can be configured to stop the Endpoint Discover scan if an
Endpoint computer remains offline for a specified amount of time.
You can also configure the Max Scan Duration to define the maximum time
duration for an Endpoint Discover scan to run. When an Endpoint Discover scan
exceeds the Max Scan Duration, the Endpoint Discover scan stops.
The Endpoint Discover scan history will report the Timeout scan status. To access
the scan history, select Manage > Scan History from the Enforce Server
administration console.
1334 Implementing Endpoint Discover
How to implement Endpoint Discover

Configuring the Scan Idle Timeout setting

1 Locate Scan Idle Timeout from the Advanced settings tab.
2 Enter the amount of time and select Minutes or Hours.

Note: To disable Scan Idle Timeout, select Indefinite for the duration of time.

3 Click Save to save the settings.

Configuring the Max Scan Duration setting
1 Locate Max Scan Duration from the Advanced settings tab.
2 Enter the amount of time and select Minutes, Hours, or Days.

Note: To disable Max Scan Duration, select Indefinite for the duration of
time.

3 Click Save to save the settings.

 Chapter 75
Implementing Endpoint
Prevent
This chapter includes the following topics:

■ How to implement Endpoint Prevent

How to implement Endpoint Prevent

Endpoint Prevent monitors each endpoint for data that is moved from one place
to another. If Endpoint Prevent detects a violation, it blocks the data from being
transferred. Or, it notifies the user of the violation and can require a justification
from the user. Implementing Endpoint Prevent requires that you complete the
following processes in order.

Table 75-1 Implementation steps

Step Action Action

Step 1 Install the Symantec Management See “About the

Console (Optional) Symantec Management
Console” on page 1361.

Step 2 Install the Symantec DLP Agent See “About Symantec

DLP Agent Installation”
on page 1367.

Step 3 Set the Endpoint Location See “Setting the

endpoint location”
on page 1336.
1336 Implementing Endpoint Prevent
How to implement Endpoint Prevent

Table 75-1 Implementation steps (continued)

Step Action Action

Step 4 Create endpoint agent configurations See “About agent

configurations”
on page 1341.

Step 5 Add an Endpoint Server See “Adding a detection

server” on page 207.

Step 6 Create an Endpoint policy See “Workflow for

implementing policies”
on page 337.

Step 7 Create Endpoint response rules See “About policy

creation for Endpoint
Prevent” on page 1321.

Step 8 Configure reports See “About Symantec

Data Loss Prevention
reports” on page 935.

Each of these steps are necessary to correctly implement Endpoint Prevent. For
more information on any subject of implementing Endpoint Prevent, please see
the online Help.
See “About synchronized Directory Group Matching (DGM)” on page 599.

Setting the endpoint location

The endpoint location is used to define how Symantec Data Loss Prevention
determines whether or not the endpoint computer is connected to the corporate
network. You can specify if you want the Endpoint Server to automatically detect
if the endpoint computer is on the corporate network. Or, you can specify a list
of domain names or IP addresses to use to determine if the endpoint computer is
connected to the network.
With automatic endpoint location determination, a computer is considered
connected to the network if the Symantec DLP Agent can connect to the Endpoint
Server. If the Symantec DLP Agent cannot connect to the Endpoint Server, the
endpoint computer is judged to be disconnected from the corporate network. With
manual endpoint location determination, you must first input a range of domain
names or IP addresses. The Symantec DLP Agent then uses this information to
determine if the endpoint computer is connected to the corporate network. If a
range of domain names is configured, the Symantec DLP Agent performs a reverse
DNS lookup on the host IP address. It then matches the retrieved DNS host names
 Implementing Endpoint Prevent 1337
How to implement Endpoint Prevent

with the configured domain names in the list. If a range of IP addresses is

configured, the Symantec DLP Agent matches the host IP address against the list
of configured IP addresses. Each individual host IP address must be on the
corporate network for the endpoint computer to be considered connected to the
corporate network.
Domain names must not contain wildcard characters and should be simple suffixes;
for example, symantec.com.
IP addresses may contain wildcard characters in place of a single block. For
example, 192.168.*.*.
See “About Endpoint Prevent monitoring” on page 1311.
To set the Endpoint Location setting
1 Go to System > Agent > Endpoint Location. The current endpoint location
settings are displayed. By default, the endpoint location determination is set
to Automatic.
2 Click Configure.
3 Select Automatically or Manually to specify the determination method.
4 If you select Manually, enter a list of domain names or IP addresses in the
correct field. Enter only one domain name or IP address per line.
5 Click Save.
The changes take effect immediately.
See “How to implement Endpoint Prevent” on page 1335.
See “Endpoint Server—basic configuration” on page 204.

About Endpoint Prevent response rules in different locales

You can create different endpoint response rule notifications that are specific to
the locale of an endpoint. A locale refers to the system locale setting in the
operating system of the endpoint.
For example, you create response rule notifications in English, French, or Japanese.
If a user's locale is specified as Japanese, the Japanese-language version of the
notification appears on the user's screen. If a different user with a French locale
violates the same policy, the French-language version of the notification appears.
The Enforce Server lets you specify multiple user notifications. However, the first
language that is specified is the default language. You cannot delete the default
language response notification. You can add or delete any notification or language
that is not specified as the default language. At installation, the default language
is set to whichever language is set as the Enforce Server language. If the language
1338 Implementing Endpoint Prevent
How to implement Endpoint Prevent

you want is unsupported, the Enforce Server tries to display the English-language
notification.
For example, you have a Japanese-locale endpoint and a Vietnamese-locale
endpoint. The Vietnamese locale is not a supported locale. If a violation occurs
on the Japanese-locale computer, the Enforce Server displays the Japanese
notification. If no Japanese notification is available, the Enforce Server displays
the default-language notification. If the Vietnamese-locale computer violates a
policy, the Enforce Server displays the English notification because no Vietnamese
notification is possible. If the English notification is unavailable, the Enforce
Server displays the default-language notification.
If the first language you add is not supported on the endpoint, that language
cannot be considered the default language. The endpoint must contain the specific
language details to consider a language as the default language. Although the text
of the notification appears in the unsupported language, the notification window
buttons and title bar appear in the default locale of the Enforce Server.
If you want to define an unsupported language as the default language, you must
select Other as the first language. This Other label removes all other languages
in the list. Use the Endpoint configuration options to modify the text of the pop-up
window labels. You cannot specify other language responses if you select the
Other option. The Other setting displays that language notification on every
endpoint, regardless of the system locale of the endpoints.
See “Advanced agent settings” on page 247.

Note: All English locales default to the English (United States) setting. All French
locales default to the French setting. For example, the French (France) setting
supports all types of French such as French (Canada) and French (France).

See “Setting Endpoint Prevent response rules for different locales” on page 1338.

Setting Endpoint Prevent response rules for different locales

You can set different response rules for different locales. The first locale that you
designate becomes your default locale. You cannot delete this locale, although
you can delete additional locals.
See “About Endpoint Prevent response rules in different locales” on page 1337.
Setting a localized response rule
1 Create the response rule normally.
See “Configuring response rules” on page 819.
2 Click the Add Language link.
 Implementing Endpoint Prevent 1339
How to implement Endpoint Prevent

3 Select the language that you want to use.

If you want to specify an unsupported language as the default language, select
Other.
4 Enter text in the display fields and the justification fields using the designated
language.
5 Click Save.
1340 Implementing Endpoint Prevent
How to implement Endpoint Prevent
 Chapter 76
Working with agent
configurations
This chapter includes the following topics:

■ About agent configurations

■ Adding agent configurations

■ Applying agent configurations to an Endpoint Server

About agent configurations

The Agent Configuration page on the Enforce Server administration console lets
you create configurations that you can apply to Endpoint Servers.
You can apply these configurations to individual Symantec DLP Agents through
the Symantec Management Console (SMC).
Each configuration contains configuration options for your Endpoint Servers or
agents. These configuration options determine the types of detection that occurs
on the endpoint. You can also specify filters and resource consumption limits
using agent configurations. You can create as many different agent configurations
as you want. However, you cannot delete the default agent configuration. Symantec
Data Loss Prevention endpoint protection must contain at least one agent
configuration. You can modify the default configuration as many times as you
want.
See “Adding agent configurations” on page 1342.
Endpoint Servers can only use one configuration at a time. You cannot associate
more than one configuration to an Endpoint Server at a time.
You can assign agent configurations either through the Symantec Management
Console (SMC) or through the Enforce Server administration console. You cannot
1342 Working with agent configurations
Adding agent configurations

use the SMC to create new agent configurations. You can only create configurations
in the Enforce Server administration console. If you assign the agent configurations
through the SMC, you can assign the configurations directly to the agents. If you
assign the agents through the Enforce Server, you can only assign the agent
configurations to Endpoint Servers.
You can also clone agent configurations.
See “About cloning agent configurations” on page 1342.
See “Applying agent configurations to an Endpoint Server” on page 1347.

About cloning agent configurations

You can clone agent configurations. Cloned configurations are identical to the
configurations from which they were cloned. Clone agent configurations when
you want to keep most of the entity details the same, but need to make small
changes. Click the clone icon next to the edit icon to clone a configuration. When
you clone a configuration, you see an editable version of that cloned configuration.
You must rename the cloned configuration so that you can distinguish between
the original and the clone.
The agent configuration page contains information about all of the available agent
configurations.
Click Add Configuration to create new agent configurations.

Adding agent configurations

You can add or edit agent configurations by going to System > Agents > Agent
Configuration and clicking the Add Configuration button.
Create or edit an agent configuration by modifying the following tabs:
■ Agent Monitoring
■ Agent Configuration
■ Advanced Agent Settings
Agent Monitoring tab.
Use this tab to select which aspects of the endpoint items you want to monitor.
The Agent Monitoring tab is divided into three sections.
■ Enable Monitoring section. Select the Endpoint applications and destinations
to monitor.
 Working with agent configurations 1343
Adding agent configurations

Field Description

Destinations Select the destinations to be monitored. Destinations

are physical aspects of the endpoint such as CD/DVD
drives, USB-connected devices, printers, and so on.

Email Select email applications to be monitored.

Web Select Web applications to be monitored. HTTPS

monitoring is only supported for Firefox and Internet
Explorer browsers.

Instant Messaging Select instant messaging applications to be monitored.

Applications Select to add application file access monitoring.

See “About application monitoring” on page 1401.

Network Shares Select to monitor network shares. You can monitor files
that are transferred to or from your local drive and a
network share.

■ Filter by File Properties section. Create and edit monitoring filters. Based on
the filters you set, the Symantec DLP Agent monitors or ignores data based
on protocol, destination, file size, file type, or file path. Existing filters are
listed in this section. The filters run in the order they appear in the list as
determined by the Order column.

Note: When filtering by file path, the drive letter is ignored and the specified
path for every local drive on the agent is filtered. For example, entering c:\temp
will cause c:\temp and d:\temp to be filtered on an agent with two local drives.

■ To create a new filter, click Add Monitoring Filter.

■ To modify an existing filter, click on the filter in the list.
■ To delete an existing filter, click on that filter's red "X."
■ To change the order in which a filter is applied, click the filter number in
the Order column. Then select the execution order for that filter in the
drop-down list. Changes are only applied after you click Save at the top of
the screen.
See “Configuring Endpoint Server file filters” on page 901.
■ Default File Filter Action section. Choose either Monitor or Ignore to specify
what to do with the files that do not match any of the filters.
1344 Working with agent configurations
Adding agent configurations

■ Filter by Network Properties section. Create network-related filters that make

the agent monitor or ignore network traffic based on IP address or domain.
Enter the IP addresses, HTTP domains, and HTTPS domains that you want to
filter on in the appropriate box.
For filtering IP addresses, use the following rules:

Enter any IP-based filters that you want to use. If you leave this field blank, Symantec
Data Loss Prevention inspects all packets. The format of the IP protocol filters (found
in the protocol definitions and protocol filter definitions) is:

ip_protocol_filter := protocol_filter_multiple_entries [; *]
protocol_filter_multiple_entries := protocol_filter_entry
[; protocol_filter_multiple_entries]
protocol_filter_entry := +|-, destination_subnet_description,
source_subnet_description
destination_subnet_description := subnet_description
source_subnet_description := subnet_description
subnet_description := network_ip_address / bitmask
| *

Each stream is evaluated in order against the filter entries until an entry matches the
IP parameters of the stream.

A minus sign (-) at the start of the entry indicates that the stream is dropped. A plus
sign (+) at the start of the entry indicates that the stream is kept.

A subnet network description of * means that any packet matches this entry.

A subnet bitmask size of 32 means that the entry must match the exact network address.
For example, a filter of +,10.67.0.0/16,*;-,*,* matches all streams going to network
10.67.x.x but does not match any other traffic.
Note: The more specific you are when you define the recognition characteristics, the
more specific your results. For example, if you define only one specific IP address, only
incidents involved that IP address are captured. If you do not define any IP addresses,
or if you define a wide range of IP addresses, you achieve broader results. Include at
least one plus sign (+) clause and one minus sign (-) clause to be explicit about what is
included and what is excluded.

Note: The Domain filters need to be applied separately for HTTP and HTTPS.
To add filters for any Web site that supports HTTP and HTTPS, add individual
filters for HTTP and HTTPS in the respective text boxes. The IP address filter
works with all other network protocols.

For filtering HTTP/HTTPS domain names, use the following rules:

 Working with agent configurations 1345
Adding agent configurations

You can use filters to include (inspect) or exclude (ignore) messages from specific
senders. You can also use filters to include or exclude specific recipients. The specific
filter syntax depends on the protocol.

The following is an example of domain filters

Domain Filter := <Domain Filter Entry> [,<Domain Filter Entry>]

Domain Filter Entry := {*|{-|+}<metadata value>}

You can use the following symbols:

■ You can use the wildcard symbol (*) in the domain entry.
For example, *symantec.com would match www.symantec.com, www.dlp.symantec
.com, and all domains that end with symantec.com.
■ A minus sign (-) at the start of the entry indicates that the URL is ignored.
■ A plus sign (+) at the start of the entry indicates that the URL is inspected.
■ If you add an asterisk (*) to the end of the filter expression, any URL domain not
explicitly matching any of the filter masks is ignored.

These filters are executed is from left to right until the first match occurs or the agent
reaches the end of the filter entries.

For example, if the filter is:

-sales.symantec.com,+*symantec.com,*

HTTP requests to sales.symantec.com are ignored, and all of the requests that are sent
to any other symantec.com domain are inspected. The last asterisk in the filter filters
out all other domains like www.xyz.com.
Note: If you leave the HTTP/HTTPS filter empty, all the URLs are inspected.

The filters that you specify with this screen only apply to the individual Endpoint
Server where these filters are configured. If you have more than one Endpoint
Server, you must individually configure the file filters for each server.
Agent Configuration tab.
The Agent Configuration tab is divided into the following sections:
■ Server Communication section. Set the maximum amount of bandwidth (in
megabits or kilobits per second) that a Symantec DLP Agent can use to send
data to the Endpoint Server. The default setting of the consumption throttle
is 5 Mbps. To change the bandwidth throttle, select either Mbps or Kbps and
then enter a number the box for the maximum per second.
■ Resource Consumption on the Endpoint Host section. Use this section to set
the maximum disk space that is used by the Agent Store on each Endpoint
system for storing incidents. You can specify a percentage of the hard drive,
or a particular size in the specified unit of measure (Bytes, KB, MB, or GB).
1346 Working with agent configurations
Adding agent configurations

Click the appropriate radio button to choose either a percentage of disk space
or an absolute storage limit. Then enter the amount in the corresponding box.
For absolute size, choose the unit of measurement from the drop-down list.
See “About the Symantec DLP Agent” on page 1311.
■ Resource Consumption for Endpoint Discover Scans section. Use this section
to limit the effect of Discover scans on Endpoint systems:

Field Description

Long-Term Average CPU Usage Specify the maximum average

percent of CPU resources that
can be used for Discover scans
over a length of time. If the
Symantec DLP Agent exceeds
this maximum CPU limit,
Endpoint Discover detection
terminates, but Endpoint
Protect detection continues as
normal.
Note: Any changes you make
to the CPU resources
threshold should take effect
immediately. If you make a
change during a scan, the
change takes effect after the
agent resumes scanning.

Minimum Battery Life Remaining Specify a minimum amount of

the battery that is needed to
run your agents. If battery
power falls under this
minimum, Endpoint Discover
detection stops, but Endpoint
Protect detection functions
normally.

■ File Recovery Area Location section. Specify file recovery parameters. File
recovery location is where copies of the sensitive data that the Symantec DLP
Agent blocked from transfer are stored. These copies are kept until recovered
by the user, or automatically deleted after a period of time.
 Working with agent configurations 1347
Applying agent configurations to an Endpoint Server

Field Description

File Recovery Area Location Specify the path to the file

recovery directory. The
default is
%TMP\RecoveredFiles.

Time To Expiration Specify the amount of time

before files are automatically
deleted from the file recovery
folder.

See “About Symantec Data Loss Prevention administration” on page 55.

See “Server configuration—basic” on page 193.
See “Server controls” on page 192.
Advanced Agent Settings tab.
You can also specify advanced settings for the agents. These settings affect how
the Symantec DLP Agent process information, detect violations, and performs on
your endpoints.
Use caution when modifying advanced agent settings. Contact Symantec Support
before changing any of the advanced settings.
See “Advanced agent settings” on page 247.
Consult Symantec Data Loss Prevention online Help for information about
advanced agent settings.

Note: If you modify an existing agent configuration, clicking the Save and Apply
button applies the changes to all of the Endpoint Servers associated with the
configuration. If you create a new configuration, the configuration is saved and
you can apply it on the Edit agent configuration page.

See “About agent configurations” on page 1341.

See “Applying agent configurations to an Endpoint Server” on page 1347.

Applying agent configurations to an Endpoint Server

You can apply any agent configuration to any Endpoint Server connected to the
Enforce Server administration console. You can assign only one agent
configuration to an Endpoint Server at a time. However, you can assign different
configurations to multiple Endpoint Servers at one time. Use the Apply
1348 Working with agent configurations
Applying agent configurations to an Endpoint Server

Configuration page to assign agent configuration entities to all of your Endpoint

Servers at one time.
If you use the Symantec Management Console to apply agent configuration, you
can apply your configurations directly to your agents. After the agents receive
the configurations, they are associated with specific Endpoint Servers.
See the Symantec Management Console online help for more information.
See “About agent configurations” on page 1341.
Applying an agent configuration to an Endpoint Server
1 Click the Apply Configuration button from the main Agent configuration
page.
2 Select the Endpoint Servers that you want.
3 Select the agent configuration you want from the drop-down menu.
4 Click Apply and Update.
If you want to make edits to your agent configuration entities and apply those
changes immediately to your associated Endpoint Servers, you can. Click the Save
and Apply button from the Editing Configuration page.

Note: The Save and Apply button does not activate if you use the Symantec
Management Console to configure agents.

See “Adding agent configurations” on page 1342.

 Chapter 77
Working with Endpoint
FlexResponse
This chapter includes the following topics:

■ About Endpoint FlexResponse

■ Deploying Endpoint FlexResponse

■ About deploying Endpoint FlexResponse plug-ins on endpoint computers

■ Deploying Endpoint FlexResponse plug-ins using a silent installation process

■ About the Endpoint FlexResponse utility

■ Deploying an Endpoint FlexResponse plug-in using the Endpoint FlexResponse

utility

■ Enabling Endpoint FlexResponse on the Enforce Server

■ Uninstalling an Endpoint FlexResponse plug-in using the Endpoint

FlexResponse utility

■ Retrieving an Endpoint FlexResponse plug-in from a specific endpoint computer

■ Retrieving a list of Endpoint FlexResponse plug-ins from an endpoint computer

About Endpoint FlexResponse

Symantec Data Loss Prevention provides a set of response rule actions that you
can specify to remediate an incident. These provided actions include logging,
sending an email, blocking an end-user action, notifying a user, and other
responses.
1350 Working with Endpoint FlexResponse
About Endpoint FlexResponse

You can also use Endpoint FlexResponse plug-ins to provide additional response
actions. These plug-ins contain custom instructions for remediation actions that
are executed on endpoint computers. Endpoint FlexResponse rules are only
applicable to Automated Response rules. You cannot create Endpoint FlexResponse
rule actions for Smart Response rules.
Symantec Data Loss Prevention customers can contact Symantec or Symantec
partners to obtain Endpoint FlexResponse plug-ins. In addition, developers with
a knowledge of the Python programming language can create custom Endpoint
FlexResponse plug-in scripts using a Symantec-provided API. These custom
remediation actions can include encryption, applying Digital Rights Management
(DRM), or redacting confidential information.
You use the Endpoint FlexResponse utility to deploy Endpoint FlexResponse
plug-ins on endpoint computers in your Symantec Data Loss Prevention
deployment where you require Endpoint FlexResponse actions. You can deploy
the plug-ins manually using the Endpoint FlexResponse utility, or you can use
system management software (SMS) to distribute the utility and deploy the
plug-ins. After you deploy an Endpoint FlexResponse plug-in on an endpoint
computer, you use the Enforce Server administration console to add an Endpoint:
FlexResponse action to a response rule, and then you add the response rule to an
active policy.
Figure 77-1 shows the sequence of activities that result in an Endpoint
FlexResponse action.
 Working with Endpoint FlexResponse 1351
Deploying Endpoint FlexResponse

Figure 77-1 Endpoint FlexResponse plug-in process

Symantec DLP Agent

Python
Policy plug-in
script
Response
rule
The plug-in process calls
Detection the getMetadata()
rules and Execute() methods
Endpoint
defined in the Python
Flex-
End-user script and performs the
Response
violates a custom remediation on
action
policy the endpoint computer.

The Detection server The plug-in process

sends an incident and reports the result of
the remediation status the remediation to
to the Enforce Server. the detection server.
Enforce Server Detection server Local disk

You can use Endpoint FlexResponse rules on the following types of endpoint
destinations and protocols:
■ Endpoint Discover
■ Local drive monitoring
■ Removable storage devices
■ SMTP
■ HTTP(S)

Deploying Endpoint FlexResponse

Follow the steps provided here to deploy Endpoint FlexResponse plug-ins.
1352 Working with Endpoint FlexResponse
About deploying Endpoint FlexResponse plug-ins on endpoint computers

Table 77-1 Deploying Endpoint FlexResponse

Step Action Description

Step 1 Obtain (or create) an Endpoint Contact a Symantec partner or

FlexResponse plug-in zip file. Symantec sales representative.

Endpoint FlexResponse plug-ins are

not available with the default
Symantec Data Loss Prevention
installation.

Step 2 Configure any Endpoint credentials See “Configuring endpoint

on the Enforce Server. credentials” on page 138.

This step is optional.

Step 3 Deploy the plug-in to your endpoint See “About deploying Endpoint
computers using the Endpoint FlexResponse plug-ins on endpoint
FlexResponse utility and third-party computers” on page 1352.
systems management software (SMS).

Step 4 Enable Endpoint FlexResponse See “Enabling Endpoint FlexResponse

actions on your Enforce Server. on the Enforce Server” on page 1357.

Step 5 Add Endpoint FlexResponse actions See “Adding a new response rule”
to your response rules. on page 818.

About deploying Endpoint FlexResponse plug-ins on

endpoint computers
You must install Symantec DLP Agents on the endpoint computers before
deploying Endpoint FlexResponse plug-ins. The Agents must be connected to an
active Endpoint Server.
See the Symantec Data Loss Prevention Installation Guide for information on how
to install the agents.
You must deploy Endpoint FlexResponse plug-ins on each endpoint computer
where you require Endpoint FlexResponse actions. You can use a manual
installation or a silent installation method to deploy the plug-in. Silent installation
methods involve using systems management software (SMS), to distribute and
install software on all of your endpoint computers. You may need to create SMS
scripts to access the installation folder.
This section assumes that you have created or otherwise obtained an Endpoint
FlexResponse plug-in that is packaged as a ZIP file.
 Working with Endpoint FlexResponse 1353
Deploying Endpoint FlexResponse plug-ins using a silent installation process

Deploying an Endpoint FlexResponse plug-in on endpoint computers requires the

following steps:

Step 1 Copy the Endpoint FlexResponse utility to your endpoint computers.

See “About the Endpoint FlexResponse utility” on page 1354.

Step 2 Copy any third-party Python modules that your plug-in requires to
your endpoint computers.

Step 3 Enable Endpoint FlexResponse on the Enforce Server. See “Enabling

Endpoint FlexResponse on the Enforce Server” on page 1357.

Step 4 Deploy the Endpoint FlexResponse plug-in using the Endpoint

FlexResponse utility. (flrinst.exe). Use one of the following
options:

■ Deploy your plug-in manually on a single endpoint computer. This

option is most useful when you are developing or testing an
Endpoint FlexResponse plug-in.
See “Deploying an Endpoint FlexResponse plug-in using the
Endpoint FlexResponse utility” on page 1356.
■ Deploy your plug-in using a silent installation process and SMS
software. This option is most useful when you are deploying a
production-ready Endpoint FlexResponse plug-in.
See “Deploying Endpoint FlexResponse plug-ins using a silent
installation process ” on page 1353.

Step 5 Create response rules that use Endpoint: FlexResponse actions that
reference the plug-in, and add these rules to an active policy.

See "Implementing policy detection" in the Symantec Data Loss

Prevention System Administration Guide.

Deploying Endpoint FlexResponse plug-ins using a

silent installation process
You can use system management software (SMS) to deploy Endpoint FlexResponse
plug-ins on multiple endpoint computers. Although the details of creating
installation scripts for SMS software are beyond the scope of this document, note
the following requirements:
■ You must install Symantec DLP Agents on the endpoint computers before
deploying Endpoint FlexResponse plug-ins. The Agents must be connected to
an active Endpoint Server.
1354 Working with Endpoint FlexResponse
About the Endpoint FlexResponse utility

■ You must install the Endpoint FlexResponse utility (flrinst.exe) on each

endpoint computer where you will deploy Endpoint FlexResponse plug-ins.
■ You must make the Endpoint FlexResponse package ( a .zip file) available to
each endpoint computer. You can copy the package to each endpoint computer,
or you can make the package available on a network drive that is accessible
by all endpoint computers.
■ To deploy your plug-in, use the command-line options of the Endpoint
FlexResponse utility when creating your installation scripts. See Table 77-3
on page 1355.
■ Remove the Endpoint FlexResponse utility after deploying your plug-in. If you
leave the utility installed on the endpoint computers, a malicious user could
use the utility to uninstall or alter your Endpoint FlexResponse plug-in.
See “About the Endpoint FlexResponse utility” on page 1354.
See your individual SMS application documentation for more information on how
to deploy using SMS.
The Endpoint FlexResponse utility is only available through Symantec and
Symantec partners. It is not included with the Symantec Data Loss Prevention
distribution.

About the Endpoint FlexResponse utility

You use the Endpoint FlexResponse utility to manage Endpoint FlexResponse
plug-ins. The Endpoint FlexResponse utility is not part of the default Symantec
Data Loss Prevention download and is only available through Symantec or
Symantec partners.
Before you run the utility, package your Python scripts into a single ZIP file.

Table 77-2 Endpoint FlexResponse utility actions

Action Description

Deploy (Install) plug-ins Use the install option to deploy plug-ins

on an endpoint computer.

Uninstall plug-ins Use the uninstall option to uninstall

plug-ins from an endpoint computer.

Retrieve deployed plug-ins Use the retrieve option to retrieve a

specific plug-in that has already been
deployed on an endpoint computer.
 Working with Endpoint FlexResponse 1355
About the Endpoint FlexResponse utility

Table 77-2 Endpoint FlexResponse utility actions (continued)

Action Description

See a list of deployed plug-ins Use the list option to retrieve a list of all
plug-ins that are deployed on a specific
endpoint computer. The list contains the
names of the deployed plug-ins.

The Endpoint FlexResponse utility must be run from the folder where the Symantec
DLP Agent is deployed. The location of this folder is configurable. By default, the
directory is located at:
c:\Program Files\Manufacturer\Endpoint Agent\

The name of the utility is flrinst.exe. The utility uses the following syntax:
flrinst.exe -op=install|uninstall|retrieve|list
-package=<package_name> -p=<Tools_password>

Table 77-3 Endpoint FlexResponse Utility options

Option Description

-op=install|uninstall|retrieve|list Use one of the following arguments:

■ install—deploys a plug-in
■ uninstall—removes a plug-in
■ list—displays a list of deployed plug-ins
■ retrieve—retrieves a plug-in and saves
it as an editable text file. The text file is
contained in a ZIP file that is saved in the
directory where the utility was run.

-package=<package_name> When you specify the -op=install option,

specifies the path to the package (a ZIP file)
that contains the Endpoint FlexResponse
plug-in. The package name is case sensitive.

When you specify either the -op=retrieve

or -op=uninstall option, specifies the
name of the package.
1356 Working with Endpoint FlexResponse
Deploying an Endpoint FlexResponse plug-in using the Endpoint FlexResponse utility

Table 77-3 Endpoint FlexResponse Utility options (continued)

Option Description

-p=<tools_password> Specify the Tools password that has been

configured for your Symantec Data Loss
Prevention deployment.

If a Tools password has not been configured,

use the default password, "VontuStop".
Note: As of Symantec Data Loss Prevention
version 11.1.1, the password is no longer
optional.

If you have created a Tools password for your Symantec Data Loss Prevention
deployment, pass this password to the Endpoint FlexResponse utility with the -p
option. This password is required to install and uninstall a plug-in. You configure
a Tools password during Symantec Data Loss Prevention installation, or you can
use the endpointkeytool utility to configure a Tools password. See “About
endpointkeytool utility” on page 1406. For more information, see the Symantec Data
Loss Prevention Administration Guide.
If you have not configured a Tools password, an end user can retrieve and modify
previously-installed plug-ins using the default password, VontuStop. Symantec
recommends that you configure a Tools password to prevent such tampering.
Alternately, you can set your SMS application to remove the Endpoint
FlexResponse Utility after you have used it. Removing the utility prevents any
unauthorized modification or uninstallation of your plug-ins.

Deploying an Endpoint FlexResponse plug-in using

the Endpoint FlexResponse utility
You use the Endpoint FlexResponse utility to deploy Endpoint FlexResponse
plug-ins. The plug-ins must be in a .zip package format.
To deploy an Endpoint FlexResponse plug-in
1 On an endpoint computer, open a command window and navigate to the
Symantec DLP Agent installation tools directory. The default location of this
directory is c:\Program Files\Manufacturer\Endpoint Agent\
2 Enter the following command:
 Working with Endpoint FlexResponse 1357
Enabling Endpoint FlexResponse on the Enforce Server

flrinst.exe -op=install
-package=<path_to_plug-in>
-p=<myToolsPassword>

Where:
■ <myToolsPassword> is the Tools password for your Symantec Data Loss
Prevention deployment. If you have not specified a Tools password, use
the default password: VontuStop.
■ <path_to_plug-in name> is the full path to the plug-in .zip file.

For example:
flrinst -op=install -package=c:\installs\myFlexResponse_plugin.zip
-p=myToolsPassword

See “Deploying Endpoint FlexResponse” on page 1351.

See “About the Endpoint FlexResponse utility” on page 1354.

Enabling Endpoint FlexResponse on the Enforce

Server
Before you can use Endpoint FlexResponse plug-ins in your response rules, you
must enable Endpoint FlexResponse functionality through the Enforce Server.
By default, Endpoint FlexResponse functionality is not enabled. You enable
Endpoint FlexResponse functionality through the Advanced Agent Settings.
To enable Endpoint FlexResponse functionality
1 Open the Enforce Server administration console and navigate to: System >
Agents > Agent Configuration and open the Agent configuration that is
currently applied to the Endpoint Server that is connected to the Agents
where you are deploying the Endpoint FlexResponse plug-in.
2 Click the Advanced Agents Settings tab.
3 Find the PostProcessor.ENABLE_FLEXRESPONSE.int setting.
4 Change the setting to 1.
5 Click Save and Apply.
See “Adding a new response rule” on page 818.
See “Deploying Endpoint FlexResponse” on page 1351.
See “About deploying Endpoint FlexResponse plug-ins on endpoint computers”
on page 1352.
1358 Working with Endpoint FlexResponse
Uninstalling an Endpoint FlexResponse plug-in using the Endpoint FlexResponse utility

Uninstalling an Endpoint FlexResponse plug-in using

the Endpoint FlexResponse utility
To uninstall an Endpoint FlexResponse plug-in from an endpoint computer
1 On an endpoint computer, open a command window and navigate to the
Symantec DLP Agent installation directory. The default location of this
directory is: c:\Program Files\Manufacturer\Endpoint Agent.
2 Enter the following command:

flrinst.exe -op=uninstall
-package=<Plug-in name>
-p=<myToolsPassword>

Where:
■ <Plug-in name> is the name of the plug-in package .zip file.

■ <myToolsPassword> is the Tools password for your Symantec Data Loss

Prevention deployment. If you have not specified a Tools password, use
the default password: VontuStop.
For example:

flrinst -op=uninstall -package=myFlexResponse_plugin.zip

-p=myToolsPassword

Retrieving an Endpoint FlexResponse plug-in from a

specific endpoint computer
Use the following procedure to retrieve a specific plug-in from an endpoint
computer. You can only use the retrieve function on a single endpoint computer
at a time. The plug-in appears in the Symantec DLP Agent installation directory
as a .zip file. The plug-in script is a plain-text file that has a .py extension and
is located inside a .zip file.
You can edit the plug-in by editing the .py file. If you make edits, you must
re-package the ZIP file and re-deploy the plug-in to the endpoint computer before
the edits take effect. Modified plug-ins only affect the individual endpoint
computers where they were modified.
 Working with Endpoint FlexResponse 1359
Retrieving a list of Endpoint FlexResponse plug-ins from an endpoint computer

To retrieve an Endpoint FlexResponse plug-in from a specific endpoint computer

1 On the endpoint computer, open a command prompt window and navigate
to the Symantec DLP Agent installation directory:
The default location of this directory is c:\Program
Files\Manufacturer\Endpoint Agent\

2 Enter the following command:

flrinst -op=retrieve -package=<Plug-in name> -p=<myToolsPassword>

Where:
■ <myToolsPassword> is the tools password for your Symantec Data Loss
Prevention deployment. If you have not specified a Tools password, use
the default password: VontuStop.
■ <plug-in name> is the name of the plug-in .zip file.

For example:
flrinst -op=retrieve -package=myFlexResponse_plugin.zip
-p=myToolsPassword

Retrieving a list of Endpoint FlexResponse plug-ins

from an endpoint computer
Use the following procedure to retrieve a list of plug-ins that have been deployed
on a specific endpoint computer. You can only use the list function on individual
endpoint computers. You cannot use the list function on a set of endpoint
computers.
The list of plug-ins contains only the name of the plug-in package. The list does
not contain any type of description about the plug-ins. Symantec recommends
that you use descriptive names for your plug-ins so that you can recognize them
within the list.
1360 Working with Endpoint FlexResponse
Retrieving a list of Endpoint FlexResponse plug-ins from an endpoint computer

To retrieve the list of Endpoint FlexResponse plug-ins from an endpoint computer

1 On an endpoint computer, open a command window and navigate to the
Symantec DLP Agent installation tools directory. The default location of this
directory is c:\Program Files\Manufacturer\Endpoint Agent\.
2 Enter the following command:
flrinst.exe -op=list -p=<myToolsPassword>

Where: <myToolsPassword> is the Tools password for your Symantec Data

Loss Prevention deployment. If you have not specified a Tools password, use
the default password: VontuStop.
For example:
flrinst -op=list -p=myToolsPassword

The list of deployed Endpoint FlexResponse plug-ins displays in the command

window.
 Chapter 78
Implementing Symantec
DLP Agents
This chapter includes the following topics:

■ About the Symantec Management Console

■ About Symantec DLP Agent Installation

About the Symantec Management Console

A Symantec Data Loss Prevention installation that includes Endpoint Discover
or Endpoint Prevent can optionally use the Symantec Management Console for
endpoint management. The Symantec Management Console (SMC) is part of the
Symantec Management Platform, and it provides a centralized way for you to
manage your Symantec DLP Agent installations, upgrades, and uninstallations.
Using SMC, you can find all of the endpoint computers in your organization and
add them to the SMC for management. You can also create your own organizational
structure or use a predefined structure such as Active Directory (AD). The
Symantec Management Console contains troubleshooting tools that let you
investigate your Symantec DLP Agents in case there is a problem.

Note: The SMC will not be available for use with a future release of Symantec Data
Loss Prevention. You can use new features in the Enforce Server administration
console to replace many of those found in the SMC.

Symantec Management Console uses single sign-on (SSO) technology. You do not
have to maintain separate credentials for Symantec Data Loss Prevention and
Symantec Management Console.
For additional information about the SMC, refer to the following documentation:
1362 Implementing Symantec DLP Agents
About the Symantec Management Console

■ “Installing the Symantec Management Platform Products,” available on

SymWISE at http://www.symantec.com/docs/HOWTO9795. This article
provides an overview and steps for installing the Symantec Installation
Manager (SIM) and the Symantec Management Platform (SMP).
■ The Symantec Management Platform Installation Guide is available at
http://go.symantec.com/sim_doc. It contains information about installing the
infrastructure that enables the installation of the Data Loss Prevention
Integration Component.
■ The Symantec Management Platform User’s Guide contains information about
configuring the infrastructure components, for example, setting roles and
privileges. After installation, you can refer to the help within the Symantec
Management Platform.
See “How to implement Endpoint Prevent” on page 1335.
See “How to implement Endpoint Discover” on page 1327.
See “About Symantec Management Console agent tasks” on page 1365.

Cloning advertisements and programs

If you have more than one Endpoint Server, clone your advertisements and
programs. This procedure lets you install, upgrade, or uninstall the Symantec
DLP Agent and the Symantec Management Agent across each of your Endpoint
Servers. Cloning advertisements and programs let you copy your specific
installation parameters for each Endpoint Server. Name the cloned advertisements
in a similar fashion as your programs.
For example, you create a program and advertisement to install the Symantec
DLP Agent on an Endpoint Server named EndpointServer1. You also have an
Endpoint Server named EndpointServer2. You should clone the program and
advertisement that you used for EndpointServer1 and rename the clones as
EndpointServer2. All of the installation parameters you specified for
EndpointServer1 are maintained for EndpointServer2. You must change the
destination directory for your second Endpoint Server.
Cloning advertisements and programs
1 In the Symantec Management Console, find the advertisement or program
that you want to clone.
2 Right-click the advertisement and then select Clone.
3 Enter the name for the cloned advertisement or Program.
4 Click OK.
5 Adjust the destination settings and any other parameters that you want.
 Implementing Symantec DLP Agents 1363
About the Symantec Management Console

For more information about the Symantec Management Console and what you
can do with it, see the Symantec Management Platform Administration Guide.
See “About the Symantec Management Console” on page 1361.

Using computer discovery

Computer discovery lets you find and register all of your endpoint computers with
Symantec Management Console. This feature lets you see how many endpoint
computers you have on your network and how many Symantec DLP Agents you
need to install. You can use either Active Directory to add endpoint computers,
or you can browse through different domains to specify the network that you
want. Any endpoint computers in the network that you specify are eligible for
installation. You can also manually add computers to your network.
Using computer discovery
1 Under the System section of the DLP Portal page, click the Discover
Computers link.
2 Select either the Active Directory Import option or the Domain Browse
option.
3 For Domain Browse, add the domain you want either by entering the domain
name or browsing for it in the Domain Picker. Select the schedule that you
want the discover computer tool to update the list of endpoint computers and
click Save Changes.
4 For Active Directory Import, select the resource import rules that you want
to use to discover your endpoint computers and select a directory
synchronization schedule. Click Save Changes.
See “About the Symantec Management Console” on page 1361.

Installing the Symantec Management Agent

You must install the Symantec Management Agent before you install the Symantec
DLP Agent. The Symantec Management Agent and the Symantec DLP Agent run
concurrently on your endpoint computers. The Symantec Management Agent lets
you deploy the Symantec DLP Agent. It also lets you use a number of
troubleshooting agent tasks.

Note: In Symantec Data Loss Prevention v11.x, SMP v7.0 and SMP v7.1 are
supported.
1364 Implementing Symantec DLP Agents
About the Symantec Management Console

Installing the Symantec Management Agent

1 From the DLP Portal page click the Install Symantec Management Agent
link.
2 Click the Select Computers option and select the specific endpoint computers
where you want the Symantec Management Agent installed.
3 Click the Install Symantec Management Agent option.
4 Click Proceed with Install. The installation starts immediately.

Note: If you want to set the installation on a schedule, click Installation

Settings and modify the settings in the pop-up window.

After you have installed the Symantec Management Agent, you can install the
Symantec DLP Agent.

About Symantec Management Console reporting

You can view reports and "Gets" status about the installation updates and
deployment updates for both agents. The reports are contained on the portal page
of the Symantec Management Console application. View the reports by going to:
Reports > DLP IC in the left-hand navigation pane.
The reports display:
■ The number of endpoint computers in your network that are installed with
the Symantec DLP Agent.
■ Status updates for how many endpoint computers remain without the Symantec
DLP Agent.
■ The number of endpoint computer that have the Symantec DLP Agent installed,
but not registered with the Symantec Management Console.
■ The percentage of the endpoint computers that are in each state.
■ The status of the DLP print screen states on the endpoint computers.
This status indicates whether or not the print screen functionality is disabled.
■ The details of Symantec DLP Agent configuration statuses.
This report indicates details about the agents and current configurations that
are assigned to those agents.
Depending on the type of report you want, you can add filters to the report to see
specific information.
 Implementing Symantec DLP Agents 1365
About the Symantec Management Console

System administrators can create their own reports through the Symantec
Management Console.
For more information on reporting in the Symantec Management Console, see
the Symantec Management Platform User's Guide.
You can also see different jobs and the status of those jobs that the Symantec
Management Agent performs. The jobs and their status are divided into the
following sections:
■ Description
■ Start Time
■ Status
You can group these Symantec Management Agent jobs by status and you can
search for specific jobs.
For more information, see the Symantec Management Platform User’s Guide.
See “About the Symantec Management Console” on page 1361.

About Symantec Management Console agent tasks

The Symantec Management Console comes with a number of tasks that let you
troubleshoot the Symantec DLP Agent if there is a problem. The agent tasks consist
of the following:
■ Start Agents
Selecting the Start agents task manually starts specific Symantec DLP Agents
in your network.
■ Stop Agents
Selecting the Stop agents task stops specific Symantec DLP Agents in your
network.
■ Restart Agents
Selecting the Restart Agents task restarts specific stopped Symantec DLP
Agents in your network.
■ Kill Agents
Lets you kill the Symantec DLP Agent.
■ Change Endpoint Server
Lets you set specify the hostname and IP address of the current Endpoint
Server. Also, you can specify secondary Endpoint Servers in case the primary
one fails..
■ Set DLP Agent Configuration
Assigns Endpoint configurations to Symantec DLP Agents.
1366 Implementing Symantec DLP Agents
About the Symantec Management Console

See “About agent configurations” on page 1341.

■ Get Agent Configuration
Selecting the Get configuration task collects the configuration for the Symantec
Management Agent. This information is stored in the path that is specified in
the DLP IC Configuration page.

■ Toggle Print Screen

Turns print screen functionality on or off.
■ Pull agent logs
Selecting the Pull agent logs task collects the activity logs for a specific
Symantec DLP Agent in your network.

■ Set log level to info

Selecting the Set log level task lets you set the log level of certain logs to Info
only. You can also set individual target agent components.
■ Set log level to finest
Selecting the Set log level to finest lets you set the log level of certain logs to
the finest detail possible. You can also set individual target agent components.

For more information, see the Symantec Management Platform User's Guide.

Creating user tasks

You can create tasks in addition to the predefined tasks on the portal page of the
Symantec Management Console. For example, you can create a new task that lets
you modify the log level on a non-default logger. The task automatically appears
in the task list on the Symantec Management Console portal page. You can delete
any tasks that you create from the task list. You cannot delete any predefined
tasks.
See “About Symantec Management Console agent tasks” on page 1365.
Creating your own tasks
1 At the top menu, go to Manage > Jobs and Tasks.
2 Click the Create a Task link.
3 Select the task type from the available tree.
4 Enter the name of your task.
5 Edit the information to create the specifics of the task.
6 Set the task server details for which servers you want to associate with this
task.
7 Click OK.
 Implementing Symantec DLP Agents 1367
About Symantec DLP Agent Installation

For more on creating your own tasks, see the Symantec Management Platform
User’s Guide.
See “About the Symantec Management Console” on page 1361.

About Symantec DLP Agent Installation

You can install the agent software using either automated methods or you can
install the agent software manually.
Before you begin, make sure that you have installed and configured an Endpoint
Server.
See “How to implement Endpoint Discover” on page 1327.
See “How to implement Endpoint Prevent” on page 1335.

What gets installed for Symantec DLP Agents

When the DLP Agent is installed onto an endpoint computer, a number of
components are also installed. Do not disable or modify any of these components
or the DLP Agent may not function correctly.

Table 78-1 Installed components

Component Description

Driver (vfsmfd.sys) Detects any activity in the endpoint file

system and relays the information to the
DLP Agent service.

This driver is installed at

Windows_dir\System32\drivers. For
example,
c:\windows\System32\drivers. All
other agent files are installed into the agent
installation directory.
1368 Implementing Symantec DLP Agents
About Symantec DLP Agent Installation

Table 78-1 Installed components (continued)

Component Description

Driver (tdifd12.sys) Intercepts network traffic (HTTP, FTP, and

IM protocols) on the endpoint computer.
After the Symantec Data Loss Prevention
Agent analyzes the content, the
tdifd12.sys driver allows or blocks the
data transfer over the network.

This driver is installed at

Windows_dir\System32\drivers. For
example,
c:\windows\System32\drivers. All
other agent files are installed into the agent
installation directory.

Driver (vrtam.sys) Monitors the process creation and

destruction and send notifications to the DLP
Agent. The driver monitors the applications
that are configured as part of the Endpoint
Application Control; for example, CD/DVD
applications.

This driver is installed at

Windows_dir\System32\drivers. For
example,
c:\windows\System32\drivers. All
other agent files are installed into the agent
installation directory.

Driver (SFsCtrx12.sys) Monitors activity on Citrix XenApp and

XenDesktop.

This driver is installed at

Windows_dir\System32\drivers. For
example,
c:\windows\System32\drivers. All
other agent files are installed into the agent
installation directory.

Symantec DLP Agent service Receives all information from the driver and
relays it to the Endpoint Server. During
installation, the DLP Agent is listed under
the task manager as edpa.exe.

Users are prevented from stopping or

deleting this service on their workstation.
 Implementing Symantec DLP Agents 1369
About Symantec DLP Agent Installation

Table 78-1 Installed components (continued)

Component Description

Watchdog service Automatically checks to see if the DLP Agent

is running. If the DLP Agent has been
stopped, the watchdog service restarts the
DLP Agent. This relationship is reciprocal.

Users are prevented from stopping or

deleting this service on their workstation.

The DLP Agent service creates the following files:

■ Two log files (edpa.log and edpa_ext0.log), created in the installation
directory.
■ Each DLP Agent maintains an encrypted database at the endpoint. The database
stores incident information and the original file that triggered the incident,
if needed. Depending on the detection methods used, the DLP Agent either
analyzes the content locally or sends it to the Endpoint Server for analysis.
■ A database named rrc.ead is installed to maintain and contain non-matching
entries for rules results caching (RRC). See “About rules results caching (RRC)”
on page 1324.
See “How to implement Endpoint Discover” on page 1327.
See “How to implement Endpoint Prevent” on page 1335.

About preinstallation steps for Symantec DLP Agents

Before you install the Symantec DLP Agent, identify all security applications that
run on your endpoint computers. Then configure those applications to allow the
Symantec DLP Agents to function fully. Some applications generate alerts when
they detect the installation or initial launch of a Symantec DLP Agent. Such alerts
reveal the presence of Symantec DLP Agents and they sometimes let users block
the Symantec DLP Agent entirely.
Check the following applications:
■ Antivirus software
■ Firewall software
Make sure that your antivirus software and firewall software recognize the
Symantec DLP Agents as legitimate programs.
See “How to implement Endpoint Discover” on page 1327.
See “How to implement Endpoint Prevent” on page 1335.
1370 Implementing Symantec DLP Agents
About Symantec DLP Agent Installation

Using the Elevated Command Prompt with Windows Vista and

Windows 7
If you install agents on an endpoint computer that runs Windows Vista or Windows
7, you must run the command prompt in Elevated Command Prompt mode. This
step is required because of the nature of the Windows Vista operating system.
You cannot install the agent using the install_agent.bat script without first using
the Elevated Command Prompt mode.
To initiate the Elevated Command Prompt mode on Windows Vista
1 Right-click the command prompt icon in the Windows Start menu.
2 Select Run as Administrator.
The command prompt starts in Elevated Command Prompt mode. You can
now install the Symantec DLP Agents on the endpoint computer.
If you install on Windows 7, the procedure for using the Elevated Command Prompt
mode follows.
To initiate the Elevated Command Prompt mode on Windows 7
1 Click the Start menu.
2 In the Search programs and files field, type command prompt.
The Command Prompt program appears in the results list.
3 Hold the Shift key and right-click the Command Prompt entry in the results
list. Select either Run as Administrator or Run as different user.
4 If you selected Run as different user, enter the credentials for a user that
has administrator privileges.
5 The command prompt starts in Elevated Command Prompt mode. Install the
Symantec DLP Agents on the endpoint computer using this command prompt.
See “How to implement Endpoint Discover” on page 1327.
See “How to implement Endpoint Prevent” on page 1335.

About Symantec DLP Agent security

Symantec Data Loss Prevention uses Advanced Encryption Standard (AES)
technology to secure communications between the Endpoint Server and the
Symantec DLP Agent. Symantec Data Loss Prevention also uses AES to secure the
Symantec DLP Agent database file.
AES is a symmetric-key encryption technology that supports key sizes of 128,
192, and 256 bits.
Symantec Data Loss Prevention uses the following sets of AES keys:
 Implementing Symantec DLP Agents 1371
About Symantec DLP Agent Installation

■ One to secure the agent database file

■ One to authenticate the Endpoint Server to the Symantec DLP Agent
■ One to encrypt traffic between the Endpoint Server and Symantec DLP Agent
The database file key is only used at the Symantec DLP Agent. However, the
authentication key and the traffic encryption keys must be shared between the
Endpoint Server and Symantec DLP Agent. By default, Symantec Data Loss
Prevention uses the predefined 128-bit database and authentication keys. The
traffic encryption key is a randomly generated session key that is negotiated every
time the Symantec DLP Agent connects to the Endpoint Server.
Although the information in Symantec Data Loss Prevention is secure, you should
change the default keys. You can change the database key, the authentication key,
and the AES key size (128, 192, 256). You should change these default settings
(either change them to use unique keys or change the key size) before you deploy
the Symantec DLP Agents. Symantec Data Loss Prevention includes the
endpointkeytool utility to generate the authentication key. The endpointkeytool
utility also lets you create a tools-password that you need to access the other
endpoint tools.
See “About Endpoint tools” on page 1405.
See “About endpointkeytool utility” on page 1406.
See “Running the endpointkeytool utility” on page 1407.
A new traffic encryption key is randomly generated each time a Symantec DLP
Agent connects to the Endpoint Server. The key is discarded as soon as the
connection session between server and agent ends. The traffic encryption key is
always unique for each Symantec DLP Agent connection session. The
authentication key is shared in common by the Endpoint Server with all Symantec
DLP Agents.
By default, Symantec Data Loss Prevention is configured to use the 128-bit key
size to protect communication between the Endpoint Server and Symantec DLP
Agents. However, the bit size of the authentication key can be increased to enhance
encryption. If the bit size for the authentication key is increased, the bit size of
the traffic encryption key is automatically increased. In this way, the two
encryption keys always have matching bit-sizes. The bit size of the authentication
key can only be changed before you install Symantec DLP Agents.
See “How to implement Endpoint Discover” on page 1327.
See “How to implement Endpoint Prevent” on page 1335.
1372 Implementing Symantec DLP Agents
About Symantec DLP Agent Installation

About the authentication key

All Symantec Data Loss Prevention customers are provided with a default 128-bit
authentication key that is hard-coded into the product. This authentication key
works well for many customers, but you have the option to generate a new
authentication key. Several factors need to be considered before you replace an
authentication key.
The benefits of generating a new authentication key are as follows:
■ A new AES key isolates you from other Symantec customers that use the default
key. The default configuration is to use the authentication key that is
hard-coded into Symantec Data Loss Prevention. All Symantec Data Loss
Prevention customers use the same authentication key unless the key is
changed.
■ The encryption security for data traffic can be enhanced by increasing the size
of the authentication key to 192- or 256-bit. The greater bit size makes
compromising data security even more difficult.
The drawbacks to generating a new authentication key are as follows:
■ Advance planning is required before the Symantec DLP Agents are installed.
You cannot change the authentication key after the Agents are installed.
■ The United States government regulates the use of 192-bit and 256-bit AES
keys. Export laws highly restrict the use of these keys outside of the United
States. System performance may also suffer by using larger key sizes.
You can change the authentication key with the endpointkeytool utility.
See “About endpointkeytool utility” on page 1406.
See “Running the endpointkeytool utility” on page 1407.
See “About Endpoint tools” on page 1405.
See “How to implement Endpoint Discover” on page 1327.
See “How to implement Endpoint Prevent” on page 1335.

About the watchdog service

The watchdog service is deployed with the DLP Agent. The watchdog is a service
that ensures that the DLP Agent is running and active. This relationship is
reciprocal. If the DLP Agent does not receive regular requests from the watchdog
service, it automatically restarts the watchdog service. This reciprocal relationship
ensures that the DLP Agent is always running and active.
 Implementing Symantec DLP Agents 1373
About Symantec DLP Agent Installation

Users cannot stop the watchdog service on their workstations. Preventing users
from stopping the watchdog service allows the DLP agent to remain active on
their workstation.
See “How to implement Endpoint Discover” on page 1327.
See “How to implement Endpoint Prevent” on page 1335.

About Endpoint Server redundancy

You can configure the Symantec DLP Agent to connect to multiple Endpoint
Servers. Multiple Endpoint Servers enable incidents and events to be sent to the
Enforce Server in a timely way if an Endpoint Server becomes unavailable. For
example, assume that an Endpoint Server becomes unavailable because of a
network partition. The Symantec DLP Agent, after a specified amount of time,
connects to another Endpoint Server to transmit the incidents and events that it
has stored. The Symantec DLP Agent makes a best effort to fail over to a different
Endpoint Server only when the current Endpoint Server is unavailable. If the
original Endpoint Server is unavailable, the Agent attempts to connect to another
Endpoint Server in the configured list. By default, the Symantec DLP Agent tries
to reconnect to the original Endpoint Server for 60 minutes before it connects to
another Endpoint Server.
When a Symantec DLP Agent connects to a new Endpoint Server, it downloads
the policies from that Endpoint Server. It then immediately begins to apply the
new policies. To ensure consistent incident detection after a failover, maintain
the same policies on all Endpoint Servers to which the Symantec DLP Agent may
connect.
For Endpoint Discover monitoring, if a failover occurs during a scan, the old
Endpoint Discover scan is aborted. The Symantec DLP Agent downloads the new
Endpoint Discover scan configuration and policies from the new Endpoint Server
and immediately runs a new scan. The new scan runs only if there is an active
Endpoint Discover scan configured on the new Endpoint Server.
You must specify the list of Endpoint Servers when you install the Symantec DLP
Agents. The procedure for adding a list of Endpoint Servers appears under each
method of installation. You can specify either IP addresses or host names with
the associated port numbers. If you specify a host name, the Symantec DLP Agent
performs a DNS lookup to get a set of IP addresses. It then connects to each IP
address. Using host names and DNS lookup lets you make dynamic configuration
changes instead of relying on a static install-time list of stated IP addresses.
See “How to implement Endpoint Discover” on page 1327.
See “How to implement Endpoint Prevent” on page 1335.
1374 Implementing Symantec DLP Agents
About Symantec DLP Agent Installation

About the AgentInstall.msi package

You install configure, or upgrade Symantec DLP Agents using
theAgentInstall.msi or the AgentInstall64.msi (for 64-bit platform) package.
You can use systems management software (SMS) to execute the package in Silent
Mode using the Windows msiexec installer. You can also run the package installer
interactively on an endpoint computer by executing the AgentInstall.msi package
itself.
The AgentInstall.msi package accepts various configuration properties
regardless of which method you choose to install the Symantec DLP Agents.
Table 78-2 describes the required properties and optional properties for
AgentInstall.msi and AgentInstall64.msi.

Table 78-2 AgentInstall.msi and AgentInstall64.msi Properties

Property Name Description Required or Default Value

Optional

ENDPOINTSERVER Specifies the host name or IP address of one or more Required None
Endpoint Servers. Multiple Endpoint Servers can be
entered by separating each server with a semicolon.
An optional port number can follow each host name
or IP address. If no port number is specified, the default
port number 8000 is used.

For example:

ENDPOINTSERVER="epserver.company.com;
10.67.20.36:8002"

KEY The authentication key that the Symantec DLP Agent Optional None (A
and Endpoint Server use to establish a secure common
connection. Agents include a default authentication default key is
key, but you can create your own key using the used.)
endpointkeytool utility. To use your own key,
specify it with the KEY parameter during deployment
and installation. If you decide to specify the key after
installing Symantec DLP Agents, you must reinstall
the Symantec DLP Agents to specify the key.

See “About endpointkeytool utility” on page 1406.

SERVICENAME Specifies the Symantec DLP Agent service name that Optional EDPA
appears in the service list of the endpoint computer.
The Symantec DLP Agent appears as edpa.exe on the
computer’s task list.
 Implementing Symantec DLP Agents 1375
About Symantec DLP Agent Installation

Table 78-2 AgentInstall.msi and AgentInstall64.msi Properties (continued)

Property Name Description Required or Default Value

Optional

STARTSERVICE Determines whether the Symantec DLP Agent and Optional Yes
watchdog service are started on the endpoint computer
after installation. Set this property to No to disable
starting the services after installation.

WATCHDOGNAME Specifies the watchdog service name that appears in Optional WDP
the service list on the endpoint computer. The
watchdog appears as wdp.exe in the Task Manager.

The msiexec installer also has several public properties that are commonly used
when you install the AgentInstall.msi package. These properties include:
■ ARPSYSTEMCOMPONENT
This property can prevent the Symantec DLP Agent from appearing in the
endpoint computer’s Add or Remove Programs (ARP) list. If you set this
property to 1, the Symantec DLP Agent does not appear in the list. By default,
the property is set to 0, which allows the Symantec DLP Agents to appear in
the ARP list.
■ INSTALLDIR
This property specifies the installation directory. The default installation
directory is install_dir\Manufacturer\Endpoint Agent. For example,
c:\Program Files\Manufacturer\Endpoint Agent.

See “How to implement Endpoint Discover” on page 1327.

See “How to implement Endpoint Prevent” on page 1335.

About uninstallation passwords

The uninstallation password prevents unauthorized users from removing the
Symantec DLP Agent from an endpoint computer. If an unauthorized user tries
to remove the agent without the password, the agent cannot be removed.
When you create or assign the password during agent installation, it cannot be
changed unless the agent is removed and then reinstalled. When you want to
remove an agent from an endpoint computer, the uninstallation password
parameter pop-up window requests the uninstallation password. If you remove
agents from a large number of endpoint computers using an agent management
system, the password must be included in the uninstallation command line.
1376 Implementing Symantec DLP Agents
About Symantec DLP Agent Installation

By default, there is a limit to how many times an administrator can enter the
wrong password. If the limit is exceeded, the uninstallation process quits and the
process must be restarted.
You generate a secure uninstallation password by using the
UninstallPwdKeyGenerator.exe tool.
You can generate more than one password if you want to assign different
passwords to different groups of endpoint computers.
See “Creating passwords with the password generation tool” on page 1413.
See “Adding uninstallation passwords to agents” on page 1376.
See “Upgrading agents and uninstallation passwords” on page 1377.
See “Using uninstallation passwords” on page 1377.

Adding uninstallation passwords to agents

Uninstallation passwords prevent unauthorized users from removing the Symantec
DLP Agent from an endpoint computer.
Passwords can only be added to Symantec DLP Agents during agent installation
or upgrade. If you have existing agents you want to protect, you must remove the
agent and then reinstall the agent with the password.
Passwords are generated using the UninstallPwdKeyGenerator.exe tool.
See “Creating passwords with the password generation tool” on page 1413.
You can add the uninstallation password by including the password parameter
in the agent installation command line. You can use either Symantec Management
Platform (SMP) or a software management system (SMS) program to install the
agents with the uninstallation password.
See “About Symantec DLP Agent Installation” on page 1367.
You cannot add the uninstallation password to agents through the installation
wizard.
To add the uninstallation password to an agent installation
◆ Add the uninstallation password parameter in the agent installation command
line
UNINSTALLPASSWORDKEY="<password key>"

where <password key> is the password that you created with the password
generation tool.
A sample agent installation command line might look like the following example:
 Implementing Symantec DLP Agents 1377
About Symantec DLP Agent Installation

msiexec /i AgentInstall.msi /q
INSTALLDIR="%ProgramFiles%\Manufacturer\Endpoint Agent\"
ENDPOINTSERVER="hostname" PORT="8000" KEY="" UNINSTALLPASSWORDKEY=
"<password key>" SMC="hostname" SERVICENAME="EDPA" WATCHDOGNAME="WDP"

See “Using uninstallation passwords” on page 1377.

Using uninstallation passwords

When you want to uninstall a Symantec DLP Agent that is password protected,
you must enter the correct password before the uninstallation continues. If you
uninstall your agents manually, a pop-up window appears on the endpoint
computer that requests the password. You must enter the password in this window.
If you are using a software management system, include the password parameter
in the command string.
If you want to uninstall a group of agents, specify the uninstallation password in
the agent uninstallation command line.
To enter the uninstallation password using a command line
◆ Enter the following parameter in the uninstallation command line;
UNINSTALLPASSWORD="<password>"

where <password> is the password that you specified in the password

generator.
An agent command line looks like the following example:
msiexec /uninstall <product code> /q UNINSTALLPASSWORD="<password>"

See “Creating passwords with the password generation tool” on page 1413.
See “About uninstallation passwords” on page 1375.

Upgrading agents and uninstallation passwords

You can upgrade any agents which are protected by uninstallation passwords
without affecting the password. If you do not want to change the password, do
not include the password parameter to the upgrade command line. The pre-existing
uninstallation password is included in the upgraded agent automatically. Only
include the password parameter if you want to change the password or if you
want to add a new password to an agent.
1378 Implementing Symantec DLP Agents
About Symantec DLP Agent Installation

To add or change a password while upgrading an agent

◆ Add the following password parameter to the upgrade command line:
UNINSTALLPASSWORDKEY=<password key>

where <password key> is the password key that you created using the
password generation tool.
See “Creating passwords with the password generation tool” on page 1413.
See “About uninstallation passwords” on page 1375.

Installing Symantec DLP Agents with the Symantec Management

Console
You can use Symantec Management Console (SMC) to install Symantec DLP Agents.
The SMC installs Symantec DLP Agent components semi-automatically onto your
endpoint computers.

Note: The SMC will not be available for use with a future release of Symantec Data
Loss Prevention. You can use new features in the Enforce Server administration
console to replace many of those found in the SMC.

Note: To install the Symantec DLP Agents with the Symantec Management Console,
you must have previously used the Computer Discovery feature of the Symantec
Management Console. You must first install the Symantec Management Agent.
See “About Symantec Management Console reporting” on page 1364.

The SMC uses a system of packages, programs, and advertisements to install the
Symantec DLP Agent. Packages contain the reference information to the
installation directory. Programs are the installation files themselves and contain
the installation parameters. You must specify the Endpoint Server(s) that you
associated with the Symantec DLP Agent in the command line in the installation
program. Advertisements let you specify on which endpoint computers you want
to install the Symantec DLP Agent and when you want that installation to occur.
You must always install the AgentInstall.msi or AgentINstall64.msi package
from a local directory. If you do not install from a local directory, some functions
of the Symantec DLP Agent are disabled.
 Implementing Symantec DLP Agents 1379
About Symantec DLP Agent Installation

Note: Symantec Data Loss Prevention supports installing the DLP Agent on 32-bit
and 64-bit operating systems. Symantec DLP Agent links that are marked with
(x86) install or modify Symantec DLP Agents for 32-bit systems. Symantec DLP
Agent links that are marked with (x64) install or modify Symantec DLP Agents
for 64-bit systems.

To install the Symantec DLP Agent with the Symantec Management Console
1 On the DLP Portal page, click the Install Symantec DLP agent (bit
information) link where (bit information) is the operating system you want.
2 In the right-hand pane, click the drop-down menu next to the red Off icon
and select the green On icon.
3 Make sure that the Program name field is set to Install DLP Agent.
4 Under the Applied to section, select the Apply to > Computers menu option.
Add filter rules as necessary to select a subset of endpoint computers.
The Symantec DLP Agent is installed only on the computers listed.
5 Click OK.
6 If you want to schedule the installation for a later time, specify those settings
in the Schedule section.
7 Click Save changes.
After you have saved the changes for the installation, view the status of the
installation on the DLP Portal page.

Installing Symantec DLP Agents silently

You can use a silent installation process by using systems management software
(SMS) to install Symantec DLP Agents to endpoint computers. You must always
install the AgentInstall.msi package from a local directory. If you do not install
from a local directory, some functions of the Symantec DLP Agent are disabled.
To perform an unattended installation
1 In your systems management software package, specify the AgentInstall.msi
or AgentInstall64.msi package.
2 Specify the AgentInstall.msi installation properties.
See “About the AgentInstall.msi package” on page 1374.
1380 Implementing Symantec DLP Agents
About Symantec DLP Agent Installation

3 Specify the msiexec properties.

Optional properties for the msiexec utility.
See “About the AgentInstall.msi package” on page 1374.
4 Specify any optional properties for the msiexec utility.
See “About the AgentInstall.msi package” on page 1374.
For details on entering this information into your particular systems management
software, see the software product documentation.
When you install the Symantec DLP Agent, your systems management software
issues a command to the specified endpoints. The following is an example of what
the command might look like:

msiexec /i AgentInstall.msi /q INSTALLDIR="C:\Program

Files\Manufacturer\Symantec DLP Agent\" ARPSYSTEMCOMPONENT="1"

ENDPOINTSERVER="epserver:8001"

SERVICENAME="ENDPOINT" WATCHDOGNAME="WATCHDOG"

The following table outlines each command and what it does.

Table 78-3
Command Description

msiexec The Windows command for executing MSI packages.

/i Specifies the name of the package.

/q Specifies a silent install.

ARPSYSTEMCOMPONENT Optional properties to msiexec.

ENDPOINTSERVER, SMC, Properties for the AgentInstall.msi package.

SERVICENAME,
INSTALLDIR, and
WATCHDOGNAME

You can find additional installation command examples in

DLPDownloadHome\DLP\12.0\Endpoint\x64\install_agent.bat or
DLPDownloadHome\DLP\12.0\Endpoint\x86\install_agent.bat.

After you install the agents, the Symantec DLP Agent service automatically starts
on each endpoint computer. Log on to the Enforce Server and go to System >
Agents > Overview. Verify that the newly installed or upgraded agents are
registered (that the services appear in the list).
 Implementing Symantec DLP Agents 1381
About Symantec DLP Agent Installation

Note: Do not rename the Agentinstall.msi file for any reason. If you rename this
file, your systems management software cannot recognize the file and the
installation fails.

Note: Some aspects of the Symantec DLP Agent installation may require you to
restart the endpoint computer.

See “How to implement Endpoint Discover” on page 1327.

See “How to implement Endpoint Prevent” on page 1335.

Installing Symantec DLP Agents manually

You can install Symantec DLP Agents manually on your endpoints by using the
AgentInstall.msi or AgentInstall64.msi (for Windows 7 64-bit platforms) package.
To install Symantec DLP Agent manually
1 Log on to the endpoint computer as an administrator.
2 Copy the AgentInstall.msi or AgentInstall64.msi file to the endpoint computer
and double-click the file.
The Symantec DLP Agent installation wizard starts up, displaying the
Symantec DLP Agent setup panel.
3 Click Next to accept the copyright agreement.
4 Click Next to accept the license agreement.

Note: If your computer is not already running Windows Installer 3.1, the
Symantec DLP Agent installer initiates the installation of that program. In
this case, you are prompted to restart the computer after the Windows
Installer installation. Upon restart, the Symantec DLP Agent installer resumes.

5 Type the appropriate values in the following fields:

■ Endpoint Servers (required)
Enter the host name or IP address of at least one Endpoint Server. For
example, server.company.com. This value must be consistent with the
Agent Listener > Bind Address (Host/IP) value you set for the Endpoint
Server on the Symantec Data Loss Prevention Enforce Server > Configure
Server page. If you use a non-default port number, specify it after the
server name. For example, server.company.com:8001.
1382 Implementing Symantec DLP Agents
About Symantec DLP Agent Installation

Note: You can specify more than four Endpoint Servers. To do so, use any
of the four available text fields to enter a list of host names or IP addresses
separated by semicolons. For example, “epserver1.company.com;
epserver2.company.com; epserver3.company.com;
epserver4.company.com; 10.67.20.36:8002.”

■ Encryption Key (optional)

You may enter a custom authentication key that the Symantec DLP Agents
and Endpoint Server use to establish a secure connection. Agents include
a default authentication key, but you can also create your own key using
the endpointkeytool utility. To use your own key, specify it with the KEY
parameter during deployment and installation. If you decide to use a
custom key after installing Symantec DLP Agents, you must reinstall the
Symantec DLP Agents to specify the key.
■ DLP Agent Service Name (optional)
You may edit the Symantec DLP Agent service name that appears in the
service list of the endpoint computer.
■ DLP Watchdog Service Name (optional)
You may edit the watchdog service name that appears in the service list
of the endpoint computer.

6 Click Next.
7 Accept the default installation directory or enter a new one, and then click
Next.
The default is c:\Program Files\Manufacturer\Endpoint Agent.
8 On the Confirm Installation screen that appears, click Install.
The installation takes a few moments. When it finishes, the Installation
Complete screen appears.
9 Click Finish.
10 Go to Start > Control Panel > Administrative Tools, and then double-click
Services. Find the Symantec DLP Agent service (listed under the name you
typed in the Service Name field during installation). Make sure that it is
running.
The Symantec DLP Agent now monitors the endpoint.
11 Log on to the Enforce Server and go to System > Agents > Overview, and
click OK.
12 Verify that the Symantec DLP Agent is registered (appears in the list).
 Implementing Symantec DLP Agents 1383
About Symantec DLP Agent Installation

See “How to implement Endpoint Discover” on page 1327.

See “How to implement Endpoint Prevent” on page 1335.
1384 Implementing Symantec DLP Agents
About Symantec DLP Agent Installation
 Chapter 79
Managing Symantec DLP
Agents
This chapter includes the following topics:

■ About Symantec DLP Agent administration

■ About Endpoint Agent logs

About Symantec DLP Agent administration

After you have installed Symantec DLP Agents, you can administer them from
the Enforce Server. The Enforce Server provides an interface which can be used
to:
■ View the status of your deployed Symantec DLP Agents.
■ Generate reports for your deployed Symantec DLP Agents.
■ Administer your deployed Symantec DLP Agents.
■ Troubleshoot your deployed Symantec DLP Agents.
To view and manage your Symantec DLP Agents, log on to your Symantec Data
Loss Prevention Enforce Server; then, click System > Agents.
See “Using the agents summary screen” on page 1385.
See “Agent management events screen” on page 1392.

Using the agents summary screen

You can see the status of each Symantec DLP Agent on the agent overview screen.
The statuses are described by individual icons displayed next to each agent. You
1386 Managing Symantec DLP Agents
About Symantec DLP Agent administration

can also perform agent tasks on any selected agents. Use the checkboxes to select
the agents that you want to modify.
Use the Action button to perform on of the following actions:
■ Change Endpoint Server
■ Delete
■ Disable
■ Enable
■ Pull Logs
■ Remove Under Investigation
■ Reset Log Level
■ Restart
■ Set Log Level
■ Set Under Investigation
■ Shut Down
See “Agent overview actions” on page 1390.
Agent information is divided into several columns. Click any column header to
sort entries alpha-numerically in that column. To sort in reverse order, click the
column header a second time. By default, Symantec Data Loss Prevention lists
agents by the endpoint computer name.
 Managing Symantec DLP Agents 1387
About Symantec DLP Agent administration

Table 79-1 Agent overview screen

Section Description

Status
1388 Managing Symantec DLP Agents
About Symantec DLP Agent administration

Table 79-1 Agent overview screen (continued)

Section Description

Current status of the agent.

The possible values are:

■ Healthy
Indicates the agent service and
file-system driver are running, that the
cache is created and available, and that
the connection functions as expected.
■ Warning
Indicates the agent may need attention.
For example, Symantec Data Loss
Prevention assigns this status when the
endpoint data share nears its storage
limit.
■ Down
Indicates the agent is down and needs
immediate attention. For example,
Symantec Data Loss Prevention assigns
this status when the data share is full or
unavailable, or when the connection is
lost.
■ Log State Change
Indicates that the log level for the agent
has been changed or reset. See “About
Endpoint Agent logs” on page 1398.
■ Shut Down
Indicates that the agent has been shut
down either through the Shut Down
agent task or when the endpoint
computer was shut down.
■ Disabled
Indicates that the agent has been disabled
through the Disable agent task.
■ Under Investigation
Indicates that the agent in question is
under investigation. Agents may be under
investigation for a number of reasons.
These reasons include sending too many
false positive incidents, and being unable
to connect to the Endpoint Server.
You can set the Under Investigation
status with any other agent status.
 Managing Symantec DLP Agents 1389
About Symantec DLP Agent administration

Table 79-1 Agent overview screen (continued)

Section Description

■ Troubleshooting
Indicates that a troubleshooting task is
either running on the agent or that a
troubleshooting task has just expired on
an agent.
You can set the Troubleshooting status
with any other agent status.

Machine Name The endpoint computer name.

Recent error messages Symantec Data Loss Prevention displays one

or more messages that are related to any
events that change agent status to Down
status. Each message shows the time and
summary of the event that triggered the
status change. To see a list of events for a
particular agent, click on the relevant agent
entry in the Agent Management Overview
list.

Endpoint Server The Endpoint Server to which the agent is

registered.

IP The endpoint computer IP address.

Version Agent version number.

Connection Current agent connection status.

Last Connection Time The date and time that the specific Symantec
DLP Agent last connected to the Endpoint
Server.

You can summarize the agent overview page by a number of criteria including
agent configuration, server name, and agent IP address. Additionally, you can
filter the agent events by specific sets of criteria relating to the Symantec DLP
Agent. Summarizing and filtering the agents lets you view the agent data in the
order that you want. For example, you can summarize the agents by the associated
agent configuration and then filter those configurations by the most recently
updated agents.
See “About filters and summary options for reports” on page 972.
See “Agent management events screen” on page 1392.
1390 Managing Symantec DLP Agents
About Symantec DLP Agent administration

Agent overview actions

The following table describes the available agent overview actions that you can
take on any Symantec DLP Agent.
See “Using the agents summary screen” on page 1385.

Table 79-2 Agent overview actions

Action Description

Change Endpoint Server Lets you change the Endpoint Server to

which the agent connects.

You can specify the primary Endpoint Server

as well as secondary Endpoint Servers in
case the primary server fails and the agent
must switch connections.

Delete Deletes the agent

When you delete an agent, you remove that

agent and all associated events from the
Endpoint Server. It is no longer visible in the
Enforce Server administration console.
Deleting an agent from the Endpoint Server
does not mean that it has been uninstalled
from the endpoint computer.

Disable Disables the agent

Disabling the agent does not delete the agent
from the Endpoint Server. Disabling an agent
disables all monitoring on that endpoint
computer. The associated events are still
visible on the Endpoint Server. Unlike
deleted agents, disabled agents can be
re-enabled.

Enable Enables disabled agents

Enabled agents automatically reconnect with

the Endpoint Server and obtain the most
current policies. Enabling an agent enables
monitoring on that endpoint computer.
Enabled agents can log events on the
Endpoint Server.
Note: Any updates to the associated policies
are not sent to the agent until the agent is
enabled and restarted.
 Managing Symantec DLP Agents 1391
About Symantec DLP Agent administration

Table 79-2 Agent overview actions (continued)

Action Description

Pull Logs Allows you to pull service logs and

operational logs for the agent. You can pull
either the service logs, or the operational
logs, or both sets of logs.

Pulling agent logs is a two-step process:

■ Pull the agent logs from the endpoint

computer to the Endpoint Server
■ Collect the agent logs from the Endpoint
Server through the Enforce Server

When the logs are pulled from the endpoint

computer, they are stored on the Endpoint
Server in an unencrypted format. After you
collect the logs from the Endpoint Server,
the logs are deleted from the Endpoint
Server and are stored only on the Enforce
Server. You can only collect logs from one
endpoint computer at a time.

Access the logs from the Enforce Server Logs

page. Go to: System > Servers > Logs >
Collection.

See “Collecting server logs and configuration

files” on page 281.

Remove Under Investigation Removes the Under Investigation

designation from the selected agents.

Reset Log Level Resets the logging level for the specified
agent to the default INFO level. Symantec
Technical Support uses agent logs for
troubleshooting purposes.

See “About Endpoint Agent logs” on page 1398.

Restart Restarts the specified agent.

1392 Managing Symantec DLP Agents
About Symantec DLP Agent administration

Table 79-2 Agent overview actions (continued)

Action Description

Set Log Level Sets the logging level for the specified agent.
Symantec Technical Support uses agent logs
for troubleshooting purposes.
Note: It is recommended to contact
Symantec Technical Support before you
change the log level for an agent.

See “About Endpoint Agent logs” on page 1398.

Set Under Investigation Sets an Under Investigation status on the

specified agent.

Specify agents as Under Investigation if you

believe there is some sort of issue with the
agent. You can set the Under Investigation
status regardless of whether the agent is
running, disabled, or shut down. An
additional icon, a flag, appears next to the
main status icon of the agent.

Shut Down Shuts down the specified agent.

You can view the most current information regarding the agent actions in a
knowledge base article. Log on to the DLP Knowledgebase at:
https://kb-vontu.altiris.com and search for the article "About Symantec DLP Agent
troubleshooting tasks." Or search for the article number: 54083.

Agent management events screen

The Agent Management Events screen lists the events that have occurred on
agents. Such events include changes in the database file, connection, file-system
driver, and service. You can filter and summarize the event list, and click on
individual event entries to see more details.
Event information is divided into several columns. Click any column header to
sort entries alpha-numerically in that column. To sort in reverse order, click the
column header a second time. By default, Symantec Data Loss Prevention lists
events in order of the time they occurred.
 Managing Symantec DLP Agents 1393
About Symantec DLP Agent administration

Table 79-3 Agent Management Event screen

Entry Description

Type The event type, which includes the following

possible values:

Severe

Agent Information

OK

Time Event date and time.

Machine Name Endpoint computer IP address or host name.

Category Event category, such as Agent Service Status,

Connection Status, File-System Driver, or
data store.

Sub-Category The event sub-category, such as Connection

Active or Connection Closed.

You can click any event to display the agent event detail screen for that event.
You can summarize the agent overview page by a number of criteria including
agent configuration, server name, and agent IP address. Additionally, you can
filter the agent events by specific sets of criteria relating to the Symantec DLP
Agent. Summarizing and filtering the events lets you view the agent data in the
order that you want. For example, you can summarize the agents by the associated
agent configuration and then filter those configurations by the most recently
updated agents.
See “About filters and summary options for reports” on page 972.

About agent events filter options

In addition to the default Date filter, you can filter on event type (severe, warning,
informational, or under investigation), the Endpoint Server that is associated with
the agent, the event summary information, and the endpoint computer name.
You can also filter on the categories and sub-categories of information that
Symantec Data Loss Prevention uses to assess general agent status.
1394 Managing Symantec DLP Agents
About Symantec DLP Agent administration

Table 79-4 Agent event filter options

Filter Description

Category The category to which the event belongs.

The type or category of event assists to
designate the severity of the event. For
example, a software upgrade event is of a
lower severity than a software compatibility
event. Searches can include or exclude
categories of events.

Machine Name The endpoint machine on which the agent

is running. Searches can include, exclude,
or search based on exact matches. If only
one machine used, then excluding that
machine results in no matches.

Server The server to which the agent events belong.

You can include or exclude all events for a
single server.

Sub Category The subcategory for event categories. Each

category is separated by different
subcategories. For example, the
Configuration Update category contains the
subcategories Config Error and Config
Success.

Summary The essential information about each event.

You can filter on keywords or sentence
strings. Filters can include, exclude, or
search on exact matches for summary
descriptions.

Type The type of event listed. You can list events

as Severe, Warning, or Info.

After you select a filter option, you must select the sub-category for the filter. For
example, if you choose to filter on Category, you must then choose a specific
category, such as Connection Status.
See “Agent management events screen” on page 1392.

About Symantec DLP Agent removal

You may need to uninstall the Symantec DLP Agent from your endpoint computers.
You can uninstall Symantec DLP Agents in the following ways:
 Managing Symantec DLP Agents 1395
About Symantec DLP Agent administration

Table 79-5 Removing the Symantec DLP Agent

Removing Symantec DLP Agents with Symantec Management Console

Removing Symantec DLP Agents manually

Removing Symantec DLP Agents with system management software

Removing Symantec DLP Agents with Symantec Management

Console
You can remove the Symantec DLP Agent and the Symantec Management Agent
from your endpoint computers using the Symantec Management Console.

Note: Symantec Data Loss Prevention supports both 32-bit and 64-bit operating
systems. Symantec DLP Agent links that are marked with (x86) install or modify
Symantec DLP Agents for 32-bit systems. Symantec DLP Agent links that are
marked with (x64) install or modify Symantec DLP Agents for 64-bit systems.

To uninstall the Symantec DLP Agent with Symantec Management Console

1 From the left-hand navigation window, go to: Data Loss Prevention Portal
> Configuration > V11.0 Agent Deployment (bit information) > Uninstall
DLP Agent (bit information) where (bit information) is either the 32-bit or
64-bit system folder.
2 On the top-right portion of the page, click the red Off icon and select the
green On icon from the drop-down menu.
3 Make sure that the Program name field is set to Uninstall Symantec DLP
Agent.
4 Under the Applied to section, click the Apply to option and select Computers.
Add filter rules as necessary to select a subset of endpoint computers.
The Symantec DLP Agent is uninstalled only from the computers listed.
5 Click Save changes.

Note: You can also schedule the uninstallation for a later time. Use the Task
Scheduler to schedule the time you want to uninstall the agents.

For more information on uninstallation options using the Symantec Management

Console, see the Symantec Management Platform User's Guide.
See “About Symantec DLP Agent removal” on page 1394.
1396 Managing Symantec DLP Agents
About Symantec DLP Agent administration

See “About the Symantec Management Console” on page 1361.

Removing Symantec DLP Agents with system management

software
Follow this procedure if you elected to hide the Symantec Data Loss Prevention
service from the Add or Remove Programs list (ARP) during installation. Because
the Symantec DLP Agent does not appear in the ARP, you cannot use the ARP list
for the uninstallation process. You must use the MSI command to remove the
Symantec DLP Agent. Only use the MSI command uninstallation if you have hidden
the Symantec DLP Agent from the ARP during installation.
To remove the agent with the MSI command
1 Open the command prompt window.
2 Enter the string:

msiexec /x AgentInstall.msi

You can add several different options to this command prompt.

3 Click OK.
The Symantec DLP Agent uninstalls.
To remove the agent manually if the agent does not appear in the ARP
1 Open the command prompt window.
2 Enter the following command where {guid} is the product code. You can add
several other options to this command prompt:

msiexec /x {guid}
 Managing Symantec DLP Agents 1397
About Symantec DLP Agent administration

3 Enter any optional commands to the end of the command:

msiexec /x AgentInstall.msi

4 Click OK.
You can add options to the uninstall command such as SilentMode or Logname.
SilentMode allows the Symantec DLP Agent to uninstall without displaying
a user interface on the desktop. The installation takes place in the background
of the workstation and is not visible to the user. Logname Lets you set any log
file you want. However, this option is only available if you have the original
installer present. If you do not have the original installer, you must use the
product code.
The code for a silent install is:

/QN:silentmode

The code for Logname is:

/L*V _logname

msi.exe has several other options. For further options, see your MSI guide.

See “About Symantec DLP Agent removal” on page 1394.

Removing agents with Windows 7 or Vista

If you uninstall the agents from an endpoint computer that runs Windows Vista
or Windows 7, you must run the command prompt in Elevated Command Prompt
mode. This step is required because of the nature of the Windows Vista operating
system. You cannot install the agent using the install_agent.bat script without
first using the Elevated Command Prompt mode.
To initiate the Elevated Command Prompt mode on Windows Vista
1 Right-click the command prompt icon in the Windows Start menu.
2 Select Run as Administrator.
The command prompt starts in Elevated Command Prompt mode. You can
now install the Symantec DLP Agents on the endpoint computer.
If you are installing on Windows 7, the procedure for using the Elevated Command
Prompt mode follows.
1398 Managing Symantec DLP Agents
About Endpoint Agent logs

To initiate the Elevated Command Prompt mode on Windows 7

1 Click the Start menu.
2 In the Search programs and files field, type command prompt.
The Command Prompt program appears in the results list.
3 Hold the Shift key and right-click the Command Prompt entry in the results
list. Select either Run as Administrator or Run as different user.
4 If you selected Run as different user, enter the credentials for a user that
has administrator privileges.
5 The command prompt starts in Elevated Command Prompt mode. Install the
Symantec DLP Agents on the endpoint computer using this command prompt.
See “About Symantec DLP Agent removal” on page 1394.

Removing Symantec DLP Agents manually

You can uninstall Symantec DLP Agents manually. Manual uninstallation is only
possible if you configured the Symantec DLP Agent to appear in the endpoint
computer Add or Remove Programs list during deployment.
See “About Symantec DLP Agent Installation” on page 1367.
To uninstall the agent manually
1 Go to Start > Control Panel and double-click Add or Remove Programs.
2 Select Agent Install.
3 Click Remove.
If you use Windows Vista, you are prompted to use the Elevated Command
Prompt mode.
See “About Symantec DLP Agent removal” on page 1394.

About Endpoint Agent logs

Endpoint Agent logs contain service and operational data for every Endpoint
Agent. Each Endpoint agent has multiple components that are logged. The amount
of information that is logged can be configured by setting the log level for each
Endpoint Agent component. After the log level for an Endpoint Agent component
has been configured, the log can be collected and sent to Symantec Technical
Support. Symantec Technical Support can use the log to troubleshoot a problem
or to improve performance for a Symantec Data Loss Prevention Endpoint
installation.
 Managing Symantec DLP Agents 1399
About Endpoint Agent logs

See “Setting the log levels for an Endpoint Agent” on page 1399.
See “Collecting server logs and configuration files” on page 281.

Setting the log levels for an Endpoint Agent

You can configure the amount of data that is logged for an Endpoint Agent by
specifying the log level for each agent component. Symantec Technical Support
can use this data to troubleshoot or improve performance for a Symantec Data
Loss Prevention Endpoint installation.
See “About Endpoint Agent logs” on page 1398.

Note: Symantec recommends that you contact Support before changing a log level
for an Agent.

To set the log levels for an Endpoint Agent

1 From the Enforce Server administration console, navigate to System > Agents
> Overview.
2 Select an Agent.
3 Select Actions > Set Log Level.
4 Select a log level from the Log level pull-down list.
5 If you want to change the log level for all of the components for this agent,
select All Agent Logger Components.
6 If you change the log level for specific components of this Agent, enter each
component name into the provided field. When entering multiple component
names, use a comma to separate each component name. The maximum length
that is allowed for entering component names is 255 characters.
7 Click OK to save your changes.
The Agents Overview screen displays an icon next to the Agent to show that
the log level has been changed for the Agent.
After troubleshooting an Endpoint Agent, it is recommended to reset the log levels
for the Agent to the default settings. Only general information about the Agent
is logged after the log levels are reset for an Endpoint Agent.
1400 Managing Symantec DLP Agents
About Endpoint Agent logs

To reset the log levels for all the components of an Endpoint Agent to the default
logging level
1 From the Enforce Server administration console, navigate to System > Agents
> Overview.
2 Select an Agent from the list.
3 Select Actions > Reset Log Level.
The Agents Overview screen displays an icon next to the Agent to show that
the log level has been changed for the Agent.
 Chapter 80
About application
monitoring
This chapter includes the following topics:

■ About application monitoring

■ Adding an application

About application monitoring

Application monitoring lets you monitor third-party applications for IM, email,
or HTTP/S clients. By default, Symantec Data Loss Prevention only monitors
first-party applications such as AIM, Microsoft Outlook, or Mozilla Firefox.
Examples of third-party applications include Skype, Mozilla Thunderbird, or
Google Chrome. Any application that is not specifically monitored by Symantec
Data Loss Prevention must be added to the Application Monitoring page before
Symantec Data Loss Prevention can begin monitoring. For example, if your
company uses Mozilla Thunderbird, you must add Mozilla Thunderbird to the
Application Monitoring page. You need to add the application because Mozilla
Thunderbird is not monitored by default. After Mozilla Thunderbird is added,
Symantec Data Loss Prevention monitors the file attachments that are sent by
the email client through the network.
Additionally, you can configure global changes to default applications. You can
associate blacklist or whitelist metadata to network monitoring, CD/DVD
applications, and the applications that use print/fax or Clipboard functions. You
can also specify if you do not want Symantec Data Loss Prevention to monitor
applications for network, print/fax, Clipboard, or file system activities. For
example, you may want to exclude Clipboard activities on Microsoft Outlook. You
would edit the settings for Microsoft Outlook to exclude Clipboard activity on the
application fingerprinting page. The applications on this page are only the
1402 About application monitoring
Adding an application

applications that you want to modify for network, print/fax, Clipboard, or file
system monitoring.
The Application Monitoring page displays the list of currently monitored CD/DVD
applications. If you do not see the specific CD/DVD application you need, you
must add that application to the list.

Note: You can remove any application that you add, but you cannot remove a
pre-populated application.

Additionally, you can add details about the publisher name for the application.
The publisher name details the maker of the software. Adding the publisher name
lets Symantec Data Loss Prevention verify the application even if the binary name
has been changed. Primarily, the publisher name is used for identifying Symantec
processes. However, you can add the publisher name for any of your applications.
Adding the publisher name is optional.
See “Adding an application” on page 1402.

Note: Small files of less than 64 bytes are not detected when read by a third-party
application. Files over 64 bytes in size are detected normally.

Adding an application
The Add Application Monitoring page can be used to add third-party applications
to monitoring policies. Third-party applications can include the following types
of applications:
■ CD/DVD applications (for example, Roxio)
■ Internet browsers (for example, Google Chrome)
■ IM applications (for example, Skype)
■ SMTP applications (for example, Mozilla Thunderbird)
Adding an application
1 Under the Application Information section, You must enter at least one of
the following fields:
■ Name
■ Binary Name
■ Internal Name
■ Original Filename
 About application monitoring 1403
Adding an application

■ Publisher Name
If you enter the Publisher Name, you can choose to select the Verify
publisher name option. This option ensures that the publisher name of
the application is correct. Using the Verify publisher name option may
affect performance as it increases system resources.

2 Under the Application Monitoring Configuration section, select one or more

of the following monitoring options:
■ Network Access
■ Print/Fax
■ Send to Clipboard
■ Filesystem Activity

3 If you have selected Filesystem Activity, you can select one of the following
options:
■ Monitor Application File Access
■ Monitor writing to CD/DVD
Selecting the Application File Access or CD/DVD options lets you choose to
monitor the files that the application opens or the files that the application
reads.
See “About application monitoring” on page 1401.
1404 About application monitoring
Adding an application
 Chapter 81
Using Endpoint Server tools
This chapter includes the following topics:

■ About Endpoint tools

About Endpoint tools

Symantec Data Loss Prevention provides a number of tools to help you work with
Symantec DLP Agents. These tools are contained within the
VontuAgentInstaller.zip file. Install these tools into a secure directory. These
Endpoint tools work with the keystore file that is found in the Agent Install
directory. The tools and the keystore file must be in the same folder to work
properly. Each tool requires a password to operate. A generic tools password is
generated during your installation.
You can change the password using the endpointkeytool and create a tools-specific
password. Symantec recommends that you install the tools into the Symantec
DLP Agent installation directory that contains the keystore files. The
endpointkeytool utility, however, is installed on the Enforce Server and can be
found at SymantecDLP\Enforce\Protect\bin.
See “About endpointkeytool utility” on page 1406.
The following list contains some of the tasks that you can complete using endpoint
tools:

Table 81-1 Endpoint tools task list

Task Tool name Link

Create unique, 128-bit keys endpointkeytool.exe About endpointkeytool

for your agents utility

Shut down the agent and the Service_Shutdown.exe Shutting down the agent and
watchdog services the watchdog services
1406 Using Endpoint Server tools
About Endpoint tools

Table 81-1 Endpoint tools task list (continued)

Task Tool name Link

Inspect database files vontu_sqlite3.exe Inspecting the database files

accessed by the agent accessed by the agent

View extended log files logdump.exe Viewing extended log files

Generate uninstallation UninstallPwdKeyGenerator.exe See “Creating passwords with

passwords for your agents the password generation
tool” on page 1413.

You can also perform some of these tasks with the Symantec Management Console.
See “About Symantec Management Console agent tasks” on page 1365.

Using Endpoint tools with Windows 7 or Vista

If you use Endpoint tools on a computer that runs Windows 7 or Vista, run the
command prompt in the Elevated Command Prompt mode. This procedure is
required because of the nature of the Windows 7 and the Vista operating system.
You cannot run the Endpoint tools without using the Elevated Command Prompt
mode.
To initiate the Elevated Command Prompt mode in Windows 7
1 From the Windows Start menu, click the Search programs and files field.
Enter command.
2 Right-click the command prompt window while simultaneously pressing the
Shift key.
3 Select the Run as administrator option.
To initiate the Elevated Command Prompt mode in Windows Vista
1 From the Windows Start menu, right-click the Command Prompt icon.
2 Select Run as Administrator.
The command prompt starts in the Elevated Command Prompt mode. You
can now use the Endpoint tools.
See “About Endpoint tools” on page 1405.

About endpointkeytool utility

Use the endpointkeytool command-line utility to generate an authentication key
and define a tools password. Symantec Data Loss Prevention uses default keys.
 Using Endpoint Server tools 1407
About Endpoint tools

You must generate your own unique keys to ensure that you do not use the same
key as another customer. Back up and secure the files that the endpointkeytool
generates. Before you start, make sure that the Endpoint Server is installed but
that no Symantec DLP Agents are installed.

Note: Check your operating system licensing limitations as some key sizes are not
recognized outside of the United States.

See “About Endpoint tools” on page 1405.

See “Running the endpointkeytool utility” on page 1407.
See “About Symantec DLP Agent security” on page 1370.

Running the endpointkeytool utility

The endpointkeytool utility must run under the Symantec Data Loss Prevention
operating system user account. By default the account is “protect.” The command
options for the endpointkeytool utility are:

Option Description

-keysize=<128/192/256> Specifies the bit-size of the generated key

file.

-pwd=tools_password Specifies the password to access the

endpoint tools. By default, the password is
VontuStop. You must specify a password.

[-dir=directory] The optional -dir argument specifies the

directory where the keystore files are placed.

Unless you specified a different directory with the -dir argument, the keystore
file *.endpointRecoveryStore is created in the \bin directory where the
endpointkeytool utility resides. By default, the \bin directory is
...Enforce\Protect\bin. This keystore file must be moved to the keystore
directory to function.

Note: If more than one keystore file is in the keystore directory, the Endpoint
Server does not start.
1408 Using Endpoint Server tools
About Endpoint tools

To generate an endpointkeytool file

1 Under the Symantec Data Loss Prevention user account, run the
endpointkeytool utility with the needed parameters, for example:

endpointkeytool generate -keysize=128 -pwd=VontuStop

2 Enter a tools password using the parameters -pwd=tools_password and

-keysize=128/192/256. In the command, tools_password is the password
you want to use and 128/192/256 is the size of the key you want to use.
3 Unless you used the -dir option to specify where the keystore file is generated,
place the keystore file in a safe, memorable directory. Verify that the keystore
directory contains only one keystore file.
4 Store a copy of the keystore file in a safe location. If anything happens to the
keystore file on a Symantec DLP Agent, a copy of the keystore file is available
to replace the damaged file.
The Endpoint Server must use the key that is generated at the same
endpointkeytool session. Any Symantec DLP Agent that uses a different key
cannot be authenticated and cannot communicate with the server. An
Authentication Failure Endpoint system event is generated if a problem with
the keystore file occurs. The Symantec DLP Agent status is shown in the
Agent Overview screen of the management console.
5 Copy the authentication key into the KEY parameter for the MSI installation
script for installing Symantec DLP Agents. This procedure ensures that the
installation script installs all Symantec DLP Agents with the same
authentication key. If the KEY parameter is left empty, then the Symantec
DLP Agents use the default key.
The Endpoint Server has a keystore directory that is located at
SymantecDLP\Protect\keystore or SymantecDLP/Protect/keystore. An
empty keystore directory indicates that Symantec Data Loss Prevention uses
the default keystore file. After the generated keystore file is copied into the
keystore directory, it overrides the default keystore file.
If you forget your tools password, you can recover it using the endpointkeytool
recover option:

endpointkeytool recover [-dir=output_dir]

6 Restart the Endpoint Server through the Enforce console.

See “About Endpoint tools” on page 1405.
 Using Endpoint Server tools 1409
About Endpoint tools

See “About Symantec DLP Agent security” on page 1370.

See “About endpointkeytool utility” on page 1406.
See “About the authentication key” on page 1372.

Shutting down the agent and the watchdog services

The Service_Shutdown.exe tool shuts down the Symantec DLP Agent and watchdog
services. As a tamper-proofing measure, it is not possible for a user to individually
stop either the Symantec DLP Agent or watchdog service. This tool enables an
administrator to stop both Symantec Data Loss Prevention services at the same
time.
To run the Service_Shutdown.exe tool
◆ From the installation directory, run the following command:

service_shutdown [-p=password]

where the installation directory is the directory where you installed Symantec
Data Loss Prevention and [-p=password] is the password you previously
specified. If you do not enter a password, you are prompted to input a
password. The default password is VontuStop.
You must run the Service_Shutdown.exe tool from the same directory as the
Symantec DLP Agent keystore file.
See “About Endpoint tools” on page 1405.

Inspecting the database files accessed by the agent

The vontu_sqlite3.exe tool enables you to inspect the database files that the
Symantec DLP Agent uses. It provides an SQL interface to query database files
and update database files. Without this tool, you cannot view the contents of a
database file because it is encrypted. Use this tool when you want to investigate
or make changes to the Symantec Data Loss Prevention files.
1410 Using Endpoint Server tools
About Endpoint tools

To run the vontu_sqlite3.exe tool

1 From the Symantec DLP Agent installation directory, run:

vontu_sqlite3 -db=database_file [-p=password]

where database_file is your database file and password is your specified tools
password.
All Symantec Data Loss Prevention database files are present in the Symantec
DLP Agent installation directory and end in the *.ead extension. After you
run the command, you are prompted for your password.
2 Enter the default password VontuStop unless you have already created a
unique password.
You are provided with a shell to enter SQL statements to view or update the
database.
Refer to http://www.sqlite.org/sqlite.html for complete documentation about
what commands are available in this shell.
See “About Endpoint tools” on page 1405.

Viewing extended log files

The logdump.exe tool lets you view the extended log files for Symantec DLP Agents.
Extended log files are hidden for security reasons. Generally, you only need to
view log files with Symantec Data Loss Prevention support personnel. Without
this tool, you cannot view any Symantec DLP Agent log files.
To run the log dump tool
◆ From the Symantec DLP Agent installation directory, run:

logdump -log=log_file [-p=password]

where log_file is the log file you want to view and password is the specified
tools password. All Symantec Data Loss Prevention extended log files are
present in the Symantec DLP Agent installation directory. The files have
names of the form edpa_extfile_number.log. After you run this command,
you can see the de-obfuscated log.

Note: When using Windows Powershell to run logdump.exe, quotes are

required around the log file. For example, run:
logdump "-log=log_file" [-p=password]

From this view, you can print the contents of another log.
 Using Endpoint Server tools 1411
About Endpoint tools

To print the contents of another log

1 From the command window, run:

logdump -log=log_file -p=password > deobfuscated_log_file_name

2 Enter the password again to print the log.

See “About Endpoint tools” on page 1405.

About the Device ID utility

Symantec Data Loss Prevention provides the DeviceID.exe utility to assist you
with configuring endpoint devices for detection.
See “About endpoint device detection” on page 581.
The DeviceID utility scans the computer for all connected devices and reports the
Device Instance ID string for each device that is detectable.
See “Using the Device ID utility” on page 1411.

Table 81-2 Device ID utility example output

Result Description

Volume The volume or mount point that the DeviceID.exe tool found.

For example:

Volume: E:\

Dev ID The Device Instance ID for each device.

For example:

USBSTOR\DISK&VEN_UFD&PROD_USB_FLASH_DRIVE&REV_1100\5F73HF00Y9DBOG0DXJ

Regex The regular expression to detect that device instance.

For example:

USBSTOR\\DISK&VEN_UFD&PROD_USB_FLASH_DRIVE&REV_1100\\5F73HF00Y9DBOG0DXJ

Using the Device ID utility

Use the Device ID utility to extract Device Instance ID strings and to determine
what devices the system can recognize for detection.
See “About the Device ID utility” on page 1411.
See “About endpoint device detection” on page 581.
1412 Using Endpoint Server tools
About Endpoint tools

To use the Device ID utility

1 Obtain the DeviceID.exe utility.
This utility is available with the Endpoint Sever utilities package.
See “About Endpoint tools” on page 1405.
2 Copy the DeviceID.exe utility to a computer where you want to determine
Device IDs.
3 Install the devices you want to examine onto the computer where you copied
the DeviceID.exe utility.
For example, plug in one or more USB devices, connect a hard drive, etc.
4 Run the DeviceID.exe utility from the command line.
For example, if you copied the DeviceID.exe utility to the C:\temp directory,
issue the follow command:
C:\temp>DeviceID
To output the results to a file, issue the following command:
C:\TEMP>DeviceID > deviceids.txt
The file appears in the C:\temp directory and contains the output from the
DeviceID process.
5 View the results of the DeviceID process.
The command prompt displays the results for each volume or mount point.
See Table 81-2 on page 1411.
6 Use the DeviceID utility to evaluate the proposed regex string against a device
that's currently connected.
See Table 81-3 on page 1412.
7 Use the regular expression patterns to configure endpoint devices for
detection.
See “Creating and modifying endpoint device configurations” on page 587.

Table 81-3 Device ID regex evaluation

Command Example
parameters

DeviceID.exe [-m] DeviceID.exe -m E:\

[Volume] [Regex] "USBSTOR\\DISK&VEN_UFD&PROD_USB_FLASH_DRIVE&REV_1100\\.*"
Note: The regex string needs to be inside quotation marks.
 Using Endpoint Server tools 1413
About Endpoint tools

Table 81-3 Device ID regex evaluation (continued)

Command Example
parameters

Returns Match! or Not match!

Creating passwords with the password generation tool

Use the uninstallation password generator tool to create a unique password key.
The name of the uninstallation password generator tool is
UninstallPwdKeyGenerator.exe.

The uninstallation password prevents unauthorized users from removing the

Symantec DLP Agent. The UninstallPwdKeyGenerator.exe tool works with the
PGPSdk.dll file to create unique passwords. The tool and the file must be located
in the same Administrator's tools directory to function. The
UninstallPwdKeyGenerator.exe tool and the PGPSdk.dll file should be located
in the Administrator tool directory by default.

Note: The UninstallPwdKeyGenerator.exe tool only works in Microsoft Windows

environments. You cannot use this tool with any other operating system.

To create an uninstallation password

1 From a command window, navigate to the Symantec Data Loss Prevention
keystore directory.
2 Enter the following command:
UninstallPwdKeyGenerator.exe -xp=<uninstall password>

where <uninstall password> is the password that you want to use. Choose
a unique password key.
A password key is generated. Enter this key in the command line when you install
the agent.
See “Adding uninstallation passwords to agents” on page 1376.
1414 Using Endpoint Server tools
About Endpoint tools
 Section 10
Monitoring and preventing
data loss on mobile devices

■ Chapter 82. Introducing Symantec Data Loss Prevention Mobile Prevent

■ Chapter 83. Implementing Mobile Prevent for Web

1416
 Chapter 82
Introducing Symantec Data
Loss Prevention Mobile
Prevent
This chapter includes the following topics:

■ How Mobile Prevent works

■ Deployment options for Mobile Prevent

■ About deploying Mobile Prevent as a standalone solution

■ About digital certificates for Mobile Prevent

■ About the VPN server and VPN On Demand

■ About Microsoft Exchange ActiveSync and Mobile Prevent

■ About mobile device management

How Mobile Prevent works

Mobile Prevent connects to your corporate network through Wi-Fi access or
through cellular 3G connectivity. Network traffic for Webmail, third-party
applications such as Yahoo and Facebook, and corporate email applications
including Microsoft Exchange ActiveSync, is sent through the HTTP/S protocol.
Corporate email can be sent through Microsoft ActiveSync as either HTTP or
HTTPS protocol information. Microsoft ActiveSync receives the information from
the corporate proxy server after it has gone through detection; then, sends the
message to the corporate Exchange Server. Messages that are sent through
1418 Introducing Symantec Data Loss Prevention Mobile Prevent
How Mobile Prevent works

applications such as Facebook or Dropbox can be blocked from the message,

depending on your policies.
See “About deploying Mobile Prevent as a standalone solution” on page 1420.
Mobile devices must connect to the corporate network through a virtual private
network (VPN) to send corporate messages or access the corporate network. The
Mobile Prevent solution requires that mobile devices use the VPN On Demand
feature to create a constant, protected VPN connection. If you are not connected
to the corporate network, Mobile Prevent cannot detect any policy violations.
See “About the VPN server and VPN On Demand” on page 1425.
VPN configuration can be specified in a configuration profile by your mobile device
management (MDM) solution. The MDM solution applies a configuration profile
to each mobile device that you want to connect to your corporate network.
See “About mobile device management” on page 1428.
See the Symantec Data Loss Prevention System Requirements and Compatibility
Guide for details about requirements for Mobile Prevent.
The following graphic illustrates the connections necessary to enable Mobile
Prevent:
 Introducing Symantec Data Loss Prevention Mobile Prevent 1419
Deployment options for Mobile Prevent

See “Implementing Mobile Prevent” on page 1429.

Deployment options for Mobile Prevent

You can deploy Mobile Prevent as a standalone product, or you can deploy it with
Network Prevent for Web. You must purchase a separate license for each product
you want to deploy.
Depending on the license that you purchase, the user interface of Symantec Data
Loss Prevention changes. What you see on your screen may differ slightly from
what is described in this product documentation.

Note: The ability to install the Network Prevent for Web and Mobile Prevent for
Web servers as a single detection server is deprecated in Symantec Data Loss
Prevention, version 12.0. This combined solution will be removed in a future
release of Symantec Data Loss Prevention.
1420 Introducing Symantec Data Loss Prevention Mobile Prevent
About deploying Mobile Prevent as a standalone solution

See “About deploying Mobile Prevent as a standalone solution” on page 1420.

About deploying Mobile Prevent as a standalone

solution
When you deploy Mobile Prevent as a standalone solution, no other detection
server is deployed with the Mobile Prevent for Web Server. The Mobile Prevent
for Web Server interacts with the Enforce Server and the corporate proxy server
to monitor and prevent incidents on mobile devices.
The following diagram describes how the Mobile Prevent solution fits into your
corporate infrastructure:
 Introducing Symantec Data Loss Prevention Mobile Prevent 1421
About deploying Mobile Prevent as a standalone solution

Corporate
Internet DMZ
Network
Firewall Firewall

VPN
VPN Tunnel subnetwork
for mobile
iOS iOS devices
Device VPN Server Device

Proxy
Server Mobile
Prevent for Web

Exchange MTA
ActiveSync Server
Server

Email
Gateway

In this deployment, mobile devices connect to the corporate network through

your VPN server. The VPN server assigns each mobile device an IP address. This
address lets the device access the internal corporate network. After the device is
assigned a unique IP address, all HTTP, HTTPS, and FTP traffic is monitored by
the Mobile Prevent for Web Server. Each device must be connected to the corporate
network through the VPN. If the VPN connection to the corporate network is lost,
Mobile Prevent cannot detect any violations.
1422 Introducing Symantec Data Loss Prevention Mobile Prevent
About deploying Mobile Prevent as a standalone solution

iPads and iPhones use a native feature called VPN On Demand to create a secure
VPN connection automatically without user intervention. VPN On Demand requires
certificate-based authentication to create the connection to the VPN Server.
After the VPN connection is established, traffic is sent through the proxy server
and analyzed by Mobile Prevent for Web Server. Traffic between the proxy server
and the Mobile Prevent for Web Server is done over the ICAP protocol. If no
violations are discovered, the traffic is sent to its destination either internally or
externally. If violations are discovered, an incident is created and response actions
are implemented. Incidents are recorded on the Enforce Server.
When a mobile device sends an email through Microsoft Exchange ActiveSync,
the HTTP/HTTPS packets are sent to the ActiveSync server. The packets are then
sent to the Exchange Server. Any corporate email should go through Microsoft
Exchange ActiveSync. Mobile Prevent does not support the SMTP protocol.

Note: Mobile Prevent does not support response mode (RESPMOD).

About deploying Mobile Prevent and Network Prevent for Web together
You can also deploy Mobile Prevent with Network Prevent for Web.
The following diagram describes how the two products will fit into your corporate
infrastructure.
 Introducing Symantec Data Loss Prevention Mobile Prevent 1423
About deploying Mobile Prevent as a standalone solution

Corporate
Internet DMZ
Network
Firewall Firewall

VPN
VPN Tunnel subnetwork
for mobile
iOS iOS devices
Device VPN Server Device

Proxy
Server Network and Mobile
Prevent for Web

Exchange MTA
ActiveSync Server
Server

Email
Gateway

See “Deployment options for Mobile Prevent” on page 1419.

In this scenario, the Mobile Prevent for Web Server and the Network Prevent
Server are deployed as a single detection server. The combined detection server
is called Network and Mobile Prevent for Web Server.
In this combination deployment, mobile devices still connect to the corporate
network through your VPN server. The VPN server assigns each mobile device an
IP address. In this combination deployment, you must specify a range of IP
1424 Introducing Symantec Data Loss Prevention Mobile Prevent
About digital certificates for Mobile Prevent

addresses that the VPN server uses for the Mobile Prevent subnetwork. By using
a specific range of IP addresses, Symantec Data Loss Prevention can identify
Mobile Prevent incidents. After the device is assigned a unique IP address, all
HTTP, HTTPS, Microsoft Exchange ActiveSync email, and FTP traffic is monitored
by the Network and Mobile Prevent for Web Server. Each device must be connected
to the corporate network through the VPN. If the VPN connection to the corporate
network is lost, Mobile Prevent cannot detect any violations.
After the VPN connection is established, traffic is sent through the proxy server
and analyzed by Network and Mobile Prevent for Web Server. If no violations are
discovered, the traffic is sent to its destination. If incidents are generated through
mobile devices, the incidents are labeled as Mobile incidents and appear in the
Mobile incident page. If incidents are generated through data flowing through
your corporate network, incidents are labeled as Network Prevent for Web
incidents.

Note: Deploying Mobile Prevent and Network Prevent for Web together may
negatively affect the performance of the Network Prevent for Web Server.
Performance may be affected if the mobile device traffic is from low-speed 3G
networks and has a higher latency than Network Prevent for Web traffic.

About digital certificates for Mobile Prevent

Mobile Prevent requires digital certificates to ensure the validity of the user,
enable certificate-based authentication to the VPN server, and allow SSL
interception by the proxy server.
See “About authenticating users” on page 88.
You can use an MDM solution to deploy the certificates to multiple mobile devices
as part of the mobile device profile.
See “About mobile device management” on page 1428.
See “Configuring the VPN profile” on page 1435.
The following table describes the four certificates that you must create for Mobile
Prevent:
 Introducing Symantec Data Loss Prevention Mobile Prevent 1425
About the VPN server and VPN On Demand

Table 82-1 Digital certificates for Mobile Prevent

Certificate Where installed Description

Certificate mobile devices, The base CA. All other certificates are signed by
Authority (CA) VPN Server, proxy the root CA or its subordinate CA. If a device
root certificate server trusts the root CA, then it trusts all valid
certificates that are signed by the root CA or the
subordinate CA.

User certificate mobile devices Identifies individual users. Users must have this
certificate to gain access to the corporate
subnetwork. The certificate is sent to the VPN
server for authentication. This certificate is
required to establish the VPN tunnel to the
corporate network.

Subordinate Proxy server The subordinate CA certificate grants the proxy

certificate server the permission to issue server identity
authority certificates for HTTPS servers. This certificate is
needed for SSL interception. After the mobile
device has connected to the corporate
subnetwork, the proxy server intercepts the
traffic. The proxy server then acts as a go-between
for the HTTPS server and the mobile device.

The proxy server acts as a subordinate CA and

verifies the certificate from the HTTPS server
and issues a new certificate for the HTTPS server.

Device certificate VPN Server Establishes that the identity of the VPN server
host name is valid before the mobile device can
connect to it. The certificate ensures that the
mobile device does not connect to an
unauthorized VPN server.

About the VPN server and VPN On Demand

Your mobile device connects to the VPN server to gain access to your corporate
network.
The VPN server assigns an IP address to each mobile device that connects to it.
These IP addresses form a VPN subnetwork. The VPN subnetwork lets your mobile
devices access the corporate network and the corporate proxy server. You can
specify a range of IP addresses that your VPN server can assign to other devices.
All of the IP addresses that the VPN server assigns to your mobile devices are
within this range. If a range of addresses were not specified for your VPN server,
1426 Introducing Symantec Data Loss Prevention Mobile Prevent
About Microsoft Exchange ActiveSync and Mobile Prevent

the network could randomly assign IP addresses to your mobile devices. A specific
range of IP addresses lets Symantec Data Loss Prevention identify which IP
addresses are assigned to mobile devices and which addresses are not connected.
Using a range of IP addresses assists in identifying which mobile device generated
an incident.
If you deploy Mobile Prevent and Network Prevent for Web together, the IP address
identifies Network and Mobile incident types.
On the Mobile Prevent side, VPN On Demand ensures that the VPN connection is
not interrupted. Apple mobile devices use VPN On Demand to dynamically create
a VPN session. VPN on Demand starts the VPN session when connecting to a
specific list of configured domains (for example .com, .net, or .org).
Certificate-based authentication is required to configure the VPN On Demand
feature. By configuring how VPN On Demand automatically enables VPN on an
iOS mobile device, you can ensure that all traffic goes through your corporate
network. You need a Web proxy that is deployed in transparent mode to route
traffic from the mobile devices in your corporate network to Symantec Data Loss
Prevention. The network traffic is routed uses the ICAP service.
You can use a mobile device management (MDM) solution to apply the network
and VPN configuration.

About Microsoft Exchange ActiveSync and Mobile

Prevent
Microsoft Exchange ActiveSync is a way that you can send corporate emails from
a mobile device. ActiveSync can send email either to recipients internal to the
corporate network or outside of the corporate network. ActiveSync sends corporate
email through an HTTP or HTTPS protocol. Any sensitive information transferring
internally or externally that violates your policies is blocked.
The following diagram illustrates how corporate messages are sent through
ActiveSync:

Note: The following diagram also applies to iPhones.

 Introducing Symantec Data Loss Prevention Mobile Prevent 1427
About Microsoft Exchange ActiveSync and Mobile Prevent

In this example, messages are sent from the iPad email client, which is configured
with ActiveSync, through the VPN-connected corporate network. The message is
sent as an HTTP/S request. The message is received in the ActiveSync Server and
sent on to the Microsoft Exchange Server. The Exchange Server sends the message
to the MTA server as an SMTP message. The MTA server sends the corporate
message on to the recipient.
You can disable ActiveSync monitoring by filtering.
See “Ignoring Microsoft Exchange ActiveSync monitoring” on page 1427.

Ignoring Microsoft Exchange ActiveSync monitoring

If you do not want to monitor corporate email messages going through ActiveSync,
use the following procedure:
Ignoring Microsoft Exchange ActiveSync monitoring
1 On the Enforce Server administration console, go to the Server Settings for
the Mobile Prevent for Web Server.
2 In the Request Filtering section, add the host name of the ActiveSync Server
to the Ignore Requests to Hosts or Domains field.
3 Click Save.
1428 Introducing Symantec Data Loss Prevention Mobile Prevent
About mobile device management

See “About Microsoft Exchange ActiveSync and Mobile Prevent” on page 1426.

About mobile device management

Use a mobile device management (MDM) solution to manage and apply a wide
variety of configuration settings to multiple mobile devices. You can load user
profiles where corporate mail settings, VPN settings, security certificates, and
proxy server settings are preconfigured onto the mobile devices. To access the
Mobile Prevent for Web Server, you must use an MDM solution to apply the VPN
server configuration profile. The VPN server configuration profile sets the
conditions for VPN On Demand to route all network traffic through the VPN and
into your corporate network. Only network traffic flowing in your corporate
network can be monitored for violations.
See “Configuring the VPN profile” on page 1435.
 Chapter 83
Implementing Mobile
Prevent for Web
This chapter includes the following topics:

■ Implementing Mobile Prevent

Implementing Mobile Prevent

The Mobile Prevent for Web Server integrates with a VPN server, an MDM solution,
and a Web proxy server using ICAP. If it detects confidential data in Web content,
the proxy will reject requests or remove HTML content as specified in your Mobile
Prevent policies.
First, you need to know the high-level steps that are required for implementing
Mobile Prevent. You can check the cross-referenced sections for more details.
There are two deployment scenarios for Mobile Prevent: the Mobile Prevent as a
standalone product, and Mobile Prevent installed in combination with Network
Prevent. The following procedure assumes that you are implementing Mobile
Prevent as a standalone product. If you want to implement Mobile Prevent and
Network Prevent, you must also follow the implementation instructions for
Network Prevent.
See “About deploying Mobile Prevent as a standalone solution” on page 1420.
See “Implementing Network Prevent for Web” on page 1093.

Note: These procedures assume that you already have your VPN and proxy servers
running in your environment.
1430 Implementing Mobile Prevent for Web
Implementing Mobile Prevent

Table 83-1 Implementing Mobile Prevent

Step Procedure For more information

Step 1 Add a new Mobile Prevent See “Adding a detection server” on page 207.
Server.

Step 2 Configure your Mobile See “Configuring the Mobile Prevent for Web
Prevent Server. Server” on page 1430.

Step 3 Configure your VPN See the documentation for your VPN Server.
Server with the IP address
range that you want to
assign to the corporate
mobile devices for the
Mobile Prevent
sub-network

Step 4 Configure your VPN See “Configuring the VPN profile” on page 1435.
profile with the MDM
application.

Step 5 Define ICAP services on See “About proxy server configuration” on page 1098.
proxy to route traffic to
Mobile Prevent Web
Server.

Step 6 Create and deploy a policy See “Creating policies for Mobile Prevent”
for Mobile Prevent. on page 1439.

Step 7 Test the system by See “Testing Mobile Prevent” on page 1442.
generating an incident
against your test policy.

Step 8 If required, troubleshoot See “Troubleshooting information for Network

the implementation. Prevent for Web Server” on page 1105.

See the Symantec Data Loss Prevention System Requirements and Compatibility
Guide for more details on configuring Mobile Prevent to work within your
organization.

Configuring the Mobile Prevent for Web Server

You can use a number of configuration options for Mobile Prevent for Web Server.
For example, you can configure the server to:
■ Ignore small HTTP/S requests or responses.
 Implementing Mobile Prevent for Web 1431
Implementing Mobile Prevent

■ Ignore requests to or responses from a particular host or domain (such as the

domain of a business subsidiary).
■ Ignore user search engine queries.
See “Adding a detection server” on page 207.
To modify your Mobile Prevent for Web Server configuration
1 Go to System > Servers > Overview and click the Mobile Prevent for Web
Server.
2 On the Server Detail screen that appears, click Configure.
You can verify or modify settings on the ICAP tab as described in subsequent
steps. The tab is divided into several sections: Request Filtering, Response
Filtering, and Connection.
3 Verify or change the Trial Mode setting.
1432 Implementing Mobile Prevent for Web
Implementing Mobile Prevent

4 Verify or modify the filter options for requests from HTTP clients (user
agents). The options in the Request Filtering section are as follows:

Ignore Requests Smaller Than Specifies the minimum body size of HTTP
requests to inspect. (The default is 4096
bytes.) For example, search-strings typed
in to search engines such as Yahoo or
Google are usually short. By adjusting this
value, you can exclude those searches
from inspection.

Ignore Requests without Attachments Causes the server to inspect only the
requests that contain attachments. This
option can be useful if you are mainly
concerned with requests intended to post
sensitive files.

Ignore Requests to Hosts or Domains Causes the server to ignore requests to

the hosts or domains you specify. This
option can be useful if you expect a lot of
HTTP traffic between the domains of your
corporate headquarters and branch
offices. You can type one or more host or
domain names (for example,
www.company.com), each on its own line.

Ignore Requests from User Agents Causes the server to ignore requests from
user agents (HTTP clients) you specify.
This option can be useful if your
organization uses a program or language
(such as Java) that makes frequent HTTP
requests. You can type one or more user
agent values (for example, java/6.0.29),
each on its own line.
 Implementing Mobile Prevent for Web 1433
Implementing Mobile Prevent

5 Note: The Response Filtering options are not supported for Mobile Prevent.

Verify or modify the filter options for responses from Web servers. The
options in the Response Filtering section are as follows:

Ignore Responses Smaller Than Specifies the minimum size of the body of
HTTP responses that are inspected by this
server. (Default is 4096 bytes.)

Inspect Content Type Specifies the MIME content types that

Symantec Data Loss Prevention should
monitor in responses. By default, this field
contains content-type values for Microsoft
Office, PDF, and plain text formats. To add
others, type one MIME content type per
line. For example, type
application/wordperfect5.1 to have
Symantec Data Loss Prevention analyze
WordPerfect 5.1 files.

Note that it is generally more efficient to

specify MIME content types at the Web
proxy level.

IgnoreResponsesfromHostsorDomains Causes the server to ignore responses

from the hosts or domains you specify.
You can type one or more host or domain
names (for example, www.company.com),
each on its own line.

Ignore Responses to User Agents Causes the server to ignore responses to

user agents (HTTP clients) you specify.
You can type one or more user agent
values (for example, java/1.4.2_xx), each
on its own line.
1434 Implementing Mobile Prevent for Web
Implementing Mobile Prevent

6 Verify or modify settings for the ICAP connection between the HTTP proxy
server and the Mobile Prevent for Web Server. The Connection options are
as follows:

TCP Port Specifies the TCP port number over which

this server listens for ICAP requests. This
number must match the value that is
configured on the HTTP proxy that sends
ICAP requests to this server. The
recommended value is 1344.

Maximum Number of Requests Specifies the maximum number of

simultaneous ICAP request connections
from the HTTP proxy or proxies. The
default is 25.

Maximum Number of Responses Specifies the maximum number of

simultaneous ICAP response connections
from the HTTP proxy or proxies. The
default is 25.

Connection Backlog Specifies the number of waiting

connections allowed. A waiting connection
is a user waiting for an HTTP response
from the browser. The minimum value is
1. If the HTTP proxy gets too many
requests (or responses), the proxy handles
them according to your proxy
configuration. You can configure the
HTTP proxy to block any requests (or
responses) greater than this number.

7 In the Mobile IP Ranges fields, enter the range of IP addresses that your VPN
server is configured to assign to mobile devices. The IP addresses are used
to identify the incidents that were triggered from mobile devices as Mobile
incidents.
The IP addresses you enter into this range do not dynamically affect the VPN
Server. This range is only to identify your mobile devices in the administration
console. You must enter the exact same range of IP addresses when you
configure the VPN Server to assign the addresses.
8 Click Save to exit the Configure Server screen and then click Done to exit
the Server Detail screen.
 Implementing Mobile Prevent for Web 1435
Implementing Mobile Prevent

Configuring the VPN profile

You must configure the VPN profile before mobile devices can connect to the
corporate network. The VPN profile combines security certificates, the VPN server
configuration settings, VPN On Demand settings, and any network configuration
settings. Normally, the VPN profile is set and applied through your MDM solution.
Along with the VPN profile, you can configure other aspects of your mobile device
such as Microsoft Exchange ActiveSync, firewall properties, or LDAP settings.
See “About mobile device management” on page 1428.
The following table describes the minimum VPN profile settings that you must
make to enable Mobile Prevent. Depending on your MDM solution, the name of
the setting may differ.

Table 83-2 Basic VPN profile settings

Type of Setting Description

setting

VPN
Configuration
settings

Connection The name of the connection type. Usually, this is a unique

Name name so that you can identify it later.

Connection Select the connection type for your VPN server.

Type
For example, IPSec (Cisco).

Server Name Enter the host name or IP address for your VPN server.

User Name The user name for the mobile device that connects to the
VPN server.

For example, <firstname_lastname> where the first name

and the last name of the user is specified.

Machine Select the certificate option. To enable Mobile Prevent,

Authentication you must use certificates for your company and your
Certificate Authority.

Identity Select the certificate of the user you want to add.

Certificate
1436 Implementing Mobile Prevent for Web
Implementing Mobile Prevent

Table 83-2 Basic VPN profile settings (continued)

Type of Setting Description

setting

Enable VPN You must enable VPN On Demand.

On Demand
After you have enabled VPN On Demand, you can add the
specific domain suffixes that you want. All domain suffixes
should be enabled with the On Demand Action Always
Establish.

For example, the domain suffixes .com, .net. .org, and .gov
are added as Always Establish. Any time a domain name
with one of those suffixes is called, the VPN tunnel must
be established before the connection can complete.

Credential
Settings

My Company The certificate for your company. This is the root

certificate for the Certificate Authority (CA).

Our Company This is the certificate for the proxy server.

User This is the individual user certificate to access the proxy

Credential server.

Wi-Fi Use Wi-Fi settings if you want to mandate specific Wi-Fi

Settings networks wherein your mobile device will only work with
specific networks. If you specify unique Wi-Fi settings,
your mobile device cannot connect to any other Wi-Fi
network.

About proxy server configuration for Mobile Prevent

You must configure at least one HTTP/S proxy server to forward Web requests
to Mobile Prevent. The HTTP proxy acts as an ICAP client to the Mobile Prevent
for Web Server. Mobile Preventsupports only the request modification (REQMOD)
mode of ICAP. Do not configure your HTTP proxy for the response modification
(RESPMOD) mode.

Note: The proxy server must be deployed in transparent mode. Consult the proxy
server documentation for details.

See “Specifying one or more proxy servers” on page 1101.

See “Proxy server compatibility with Mobile Prevent” on page 1437.
 Implementing Mobile Prevent for Web 1437
Implementing Mobile Prevent

See “Configuring the request mode service” on page 1437.

Proxy server compatibility with Mobile Prevent

Mobile Prevent for Web Servers can operate with the following Web proxies:

Table 83-3 Mobile Prevent supported proxy servers

Proxy Supported protocols Configuration information

Blue Coat ProxySG HTTP, HTTPS, FTP over Blue Coat product documentation
HTTP, or FTP proxy

See “Specifying one or more proxy servers” on page 1101.

See “About proxy server configuration” on page 1098.

Configuring the request mode service

For details on configuring the proxy server, refer to your proxy server product
documentation, or contact your proxy server administrator.
To configure a proxy server:
◆ REQMOD. On your proxy server, create an ICAP REQMOD service that
forwards requests to Mobile Prevent. If your proxy server supports different
protocols, configure it to handle the desired protocols.
For REQMOD mode, an ICAP service on the proxy server should look like:

icap://ip_address|FQDN[:port]/reqmod

Where:
■ ip_address|FQDN identifies the Mobile Prevent for Web Server using either
an IP address or fully qualified domain name.
■ Port is the port number to which the Mobile Prevent for Web Server listens.
Specifying the port number is optional when the default ICAP port (1344) is
used.
■ /reqmod is required for correct functionality in REQMOD mode.

Examples:

icap://10.66.194.45/reqmod
icap://10.66.194.45:1344/reqmod
icap://netmonitor1.company.com/reqmod
1438 Implementing Mobile Prevent for Web
Implementing Mobile Prevent

Note: The port that is specified in the ICAP service definition on the proxy must
match the port where Mobile Prevent for Web Server listens.

See “Proxy server compatibility with Network Prevent for Web” on page 1099.
See “About proxy server configuration” on page 1098.

Specifying one or more proxy servers

By default, Mobile Prevent for Web Server can accept connections to the ICAP
service port from any system on the network. For security reasons, you can limit
ICAP connections to only those systems that you designate (or “whitelist”). Once
you whitelist one or more systems, systems not on the whitelist cannot connect
to the Mobile Prevent for Web Server ICAP service port.

Note: A proxy server whitelist can be affected by the Icap.BindAddress setting.

By default, the Icap.BindAddress setting is 0.0.0.0, and the listener binds to all
available addresses. If the Icap.BindAddress instructs the listener to bind to a
specific IP, a whitelisted proxy must also be able to reach the listener address.

To create a whitelist of systems allowed to make a connection to the Mobile Prevent

for Web Server ICAP service port:
1 In the Enforce Server administration console, go to System > Servers >
Overview and click on the desired Mobile Prevent for Web Server.
2 On the Server Detail screen that appears, click Server Settings.
3 Scroll down to the Icap.AllowHosts setting.
By default, Icap.AllowHosts is set to any, meaning that all other systems on
the network can communicate with this Mobile Prevent for Web Server.
4 You can limit the systems that are allowed to connect with this Mobile Prevent
for Web Server. Delete any and enter the IP addresses or Fully-Qualified
Domain Name (FQDN) of the systems you want to authorize.
Separate multiple addresses with commas. For example:
123.14.251.31,webcache.corp.mycompany.com,123.14.223.111. Use only
commas to separate multiple entries; do not include spaces.
5 Click Save.
Changes to this setting do not take effect until you restart the Mobile Prevent for
Web Server.
See “Proxy server compatibility with Mobile Prevent” on page 1437.
 Implementing Mobile Prevent for Web 1439
Implementing Mobile Prevent

See “About proxy server configuration for Mobile Prevent ” on page 1436.

Enabling GET processing for Mobile Prevent

By default, Mobile Prevent does not process HTTP GET commands because of the
high traffic volume. Follow this procedure to enable the server to process GET
commands:
To enable GET processing with Mobile Prevent
1 Configure the Web proxy server to forward GET requests to the Mobile Prevent
for Web Server as described in your proxy server documentation.
2 Ensure that the L7.processGets Advanced Server setting on the Mobile
Prevent for Web Server must be “true” (which is the default).
3 Reduce the size of the L7.minSizeofGetURL Advanced setting on the Mobile
Prevent for Web Server. Reduce from the default of 100 to a number of bytes
smaller than the length of the shortest Web site URL from which you want
to process GET commands. A minimum URL size to 10 should cover all cases.
Note, however, that reducing the minimum size of GETs increases the number
of requests that have to be processed, which increases the server traffic load.
4 Adjust the Ignore Requests Smaller Than setting in the ICAP section of the
Mobile Prevent Server Detail page. Reduce it from the default of 4096 bytes
to a lower value that would enable the request to undergo DLP inspection.
Note, however, that lowering the value increases the server traffic load.

Creating policies for Mobile Prevent

You can create the policies that include most standard response rules. The response
rules include Add Note, Limit Incident Data Retention, Log to a Syslog Server, Set
Attribute, and Set Status.
See “About Symantec Data Loss Prevention reports” on page 935.
You can also incorporate the response rules that are specific to Mobile Prevent
Server as follows:
■ Network Prevent and Mobile Prevent: Block HTTP/HTTPS
Blocks the posts that contain confidential data (as defined in your policies).
This includes Web postings, Web-based email messages, and files that are
uploaded to Web sites or attached to Web-based email messages.
1440 Implementing Mobile Prevent for Web
Implementing Mobile Prevent

Note: Certain applications may not provide an adequate response to the

Network Prevent and Mobile Prevent: Block HTTP/HTTPS response action.
This behavior has been observed with the Yahoo! Mail application when a
detection server blocks a file upload. If a user tries to upload an email
attachment and the attachment triggers a Network Prevent: Block
HTTP/HTTPS response action, Yahoo! Mail does not respond or display an
error message to indicate that the file is blocked. Instead, Yahoo! Mail appears
to continue uploading the selected file, but the upload never completes. The
user must manually cancel the upload at some point by pressing Cancel.
Other applications may also exhibit this behavior, depending on how they
handle the block request. In these cases a detection server incident is created
and the file upload is blocked even though the application provides no such
indication.

■ Network Prevent and Mobile Prevent: Remove HTTP/HTTPS Content

Removes confidential data from posts that contain confidential data (as defined
in your policies). This includes Web-based email messages and files that are
uploaded to Web sites. Note that the Remove HTTP/HTTPS Content action
works only on requests.
■ Network Prevent and Mobile Prevent: Block FTP Request
Blocks FTP transfers that contain confidential data (as defined in your policies).
For details on setting up any response rule action, open the online Help.
Go to Manage > Policies > Response Rules and click Add Response Rule.
Even if you do not incorporate response rules into your policy, Mobile Prevent
captures incidents as long as your policies contain detection rules. You can set
up such policies to monitor Web and FTP activity on your mobile device before
implementing the policies that block or remove content.
If you have configured your proxy to forward both HTTP/HTTPS requests and
responses, your policies work on both. For example, policies are applied to both
an upload to a Web site and a download from a Web site.
To create a test policy for Mobile Prevent
1 In the Enforce Server administration console, create a response rule that
includes one of the actions specific to Mobile Prevent. For example, create a
response rule that includes the Network Prevent and Mobile Prevent: Block
HTTP/HTTPS action.
See “Configuring response rules” on page 819.
2 Create a policy that incorporates the response rule you configured in the
previous step.
 Implementing Mobile Prevent for Web 1441
Implementing Mobile Prevent

For example, create a policy called Test Policy as follows:

■ Include a Content Matches Keyword detection rule that matches on the
keyword "secret."
■ Include a Network Prevent and Mobile Prevent: Block HTTP/HTTPS
response rule.
■ Associate it with the Default policy group.
See “Configuring policies” on page 370.

Configuring Mobile Prevent for secure banking

To enable mobile device users to send their own banking information, you can
configure the proxy server to allow such traffic to bypass detection servers.
Bypassing the detection servers allows mobile device users to access and use their
own personal credit card and online banking information for legitimate purposes.
If the proxy server is not configured to allow personal banking information to
bypass detection, users might create incidents by submitting personal banking
information. Symantec Data Loss Prevention users with relevant role-based
privileges can potentially view the incident snapshots that contain confidential
banking information of users within your organization.
Configure the proxy server to redirect network traffic directly to banking Web
sites. This solution can also be used to allow network traffic to other secure Web
sites. By redirecting the traffic to these specific Web sites, mobile device users
can access these sites without generating false policy violations. The information
that they send to these sites is not viewable by others in your organization.

Note: The following procedure is an example of how to configure a Blue Coat proxy
server to redirect network traffic. For more information on configuring a proxy
server, see the documentation that comes with the proxy server.

Configuring the proxy server to redirect network traffic

1 Log in to the proxy server using an administrator account.
2 Open Visual Policy Manager (VPM).
3 Select SSL Intercept Layer policy.
4 Add a rule for the destination host. For this example, enter the host name of
the banking Web site that users are allowed to access.
5 Under Action, select Disable SSL interception.
6 Click Apply to save the changes.
1442 Implementing Mobile Prevent for Web
Implementing Mobile Prevent

Testing Mobile Prevent

You can test Mobile Prevent by sending an email that violates your test policy.
To test your system
1 Connect your mobile device to the Internet and connect to your corporate
VPN.
2 Open your corporate email client and send an email with an attachment
containing confidential data. For example, access your Microsoft Outlook
client and send an email with an attachment containing the word secret and
paragraphs of other text.
3 In the Enforce Server administration console, go to Incidents > Mobile and
click Incidents - All. Look for the resulting incident. For example, search for
an incident entry that includes the appropriate timestamp and policy name.
4 Click on the relevant incident entry to see the complete incident snapshot.
See “About strategies for using reports” on page 936.
 Section 11
Monitoring data loss from
corporate emails downloaded
to mobile devices

■ Chapter 84. Introducing Symantec Data Loss Prevention Mobile Email Monitor

■ Chapter 85. Implementing Symantec Data Loss Prevention Mobile Email

Monitor
1444
 Chapter 84
Introducing Symantec Data
Loss Prevention Mobile
Email Monitor
This chapter includes the following topics:

■ About Mobile Email Monitor

■ How Mobile Email Monitor works

■ Using Mobile Email Monitor with Mobile Prevent for Web

About Mobile Email Monitor

More and more employees bring their own devices to work. With these personal
devices, employees also bring the ability to download confidential corporate
information. Mobile Email Monitor provides you with the ability to monitor your
company's confidential information when it is sent from your corporate network
to these personal devices; for example, to the native email client on iPads, iPhones,
and other supported mobile devices.
While Mobile Email Monitor doesn't block this data, it does give you insight into
what confidential data is downloaded. Mobile Email Monitor provides the data to
the Enforce Server. With the Enforce Server administration console, you can
create reports that continuously create a record of sensitive information that is
downloaded to mobile devices. If the devices are lost or stolen, you can identify
what downloaded emails left your corporation with these devices.
You can use the information that Mobile Email Monitor provides you about
downloaded content to define mobile security policies for your corporation. Mobile
Email Monitor can support your company's Bring Your Own Device (BYOD) policy
1446 Introducing Symantec Data Loss Prevention Mobile Email Monitor
How Mobile Email Monitor works

because it does not require installation of any applications or components on

personal mobile devices. In addition, Mobile Email Monitor does not inspect
information generated by personal applications installed on mobile devices.
See “How Mobile Email Monitor works” on page 1446.

How Mobile Email Monitor works

Mobile Email Monitor inspects corporate emails that are sent to mobile devices
through Microsoft Exchange Active Sync, using a reverse proxy. Unlike Symantec
Data Loss Prevention Mobile Prevent for Web, Mobile Email Monitor does not
require a VPN.
See the Symantec Data Loss Prevention System Requirements and Compatibility
Guide for more details about requirements for Mobile Email Monitor.
Figure 84-1 gives a graphical overview of how an email travels to a mobile device
when you are using Mobile Email Monitor.

Figure 84-1 Symantec Data Loss Prevention Mobile Email Monitor Overview

Table 84-1 provides more detail about how an email destined for download to a
mobile device is monitored.

Table 84-1 Monitoring an email destined for a mobile device

Step Action

Step 1 An email is downloaded from the Exchange ActiveSync Server, using either the HTTP
or HTTPS protocol, through a corporate reverse Web proxy using ICAP.

Step 2 A reverse Web proxy server intercepts the email and diverts it to Mobile Email Monitor
for detection using ICAP.
 Introducing Symantec Data Loss Prevention Mobile Email Monitor 1447
Using Mobile Email Monitor with Mobile Prevent for Web

Table 84-1 Monitoring an email destined for a mobile device (continued)

Step Action

Step 3 Mobile Email Monitor scans the email according to policies you have set up using the
Enforce Server administration console.

Step 4 If the email violates a policy, an incident is logged in the Enforce Server.

Step 5 After inspection by Symantec Data Loss Prevention the email (ICAP response) is sent
back to the Web proxy.

Step 6 The Proxy server then sends the email to the recipient mobile email client.

See “Using Mobile Email Monitor with Mobile Prevent for Web” on page 1447.

Using Mobile Email Monitor with Mobile Prevent for

Web
You can deploy Mobile Email Monitor as a standalone product or as an additional
server in your existing Symantec Data Loss Prevention environment. License keys
for both the Mobile Email Monitor Server and the Mobile Prevent for Web Server
are included in the Symantec Data Loss Prevention for Mobile product.
See “Symantec Data Loss Prevention Mobile Email Monitor set up overview”
on page 1449.
1448 Introducing Symantec Data Loss Prevention Mobile Email Monitor
Using Mobile Email Monitor with Mobile Prevent for Web
 Chapter 85
Implementing Symantec
Data Loss Prevention
Mobile Email Monitor
This chapter includes the following topics:

■ Symantec Data Loss Prevention Mobile Email Monitor set up overview

■ Adding and configuring the Mobile Email Monitor Server

■ About proxy server configuration

■ Specifying one or more proxy servers

■ Configuring the response mode service

■ About digital certificates for Mobile Email Monitor

■ Setting up native email clients for monitoring

■ Creating policies for Mobile Email Monitor

■ Testing Symantec Data Loss Prevention Mobile Email Monitor

■ Troubleshooting Mobile Email Monitor Server

Symantec Data Loss Prevention Mobile Email Monitor

set up overview
Table 85-1 outlines the steps that are required for implementing Symantec Data
Loss Prevention Mobile Email Monitor. The table contains cross-references to
topics in this chapter, as well as to topics in the Symantec Data Loss Prevention
1450 Implementing Symantec Data Loss Prevention Mobile Email Monitor
Adding and configuring the Mobile Email Monitor Server

Administration Guide. You must have a deployed Symantec Data Loss Prevention
Enforce Server and have a working Microsoft Exchange ActiveSync Server up and
running in your datacenter before implementing Mobile Email Monitor according
to the steps in the table.

Table 85-1 Implementing Mobile Email Monitor

Step Procedure For more information

Step 1 Add and configure a new Mobile See “Adding and configuring the Mobile Email Monitor Server ”
Email Monitor Server. on page 1450.

See “Adding a detection server” on page 207.

Step 2 Configure a proxy server. See “About proxy server configuration” on page 1452.

See the proxy server product documentation for more details.

Step 3 Specify one or more proxy servers See “Specifying one or more proxy servers” on page 1452.
and define ICAP services on the
See the Symantec Data Loss Prevention Administration Guide for
proxy to route traffic to the
more information.
Mobile Email Monitor Server.

Step 4 Configure the response mode See “Configuring the response mode service” on page 1453.
service.

Step 5 Set up a digital certificate for See “About digital certificates for Mobile Email Monitor”
communication with the proxy on page 1454.
server.

Step 6 Configure native mobile email See “Setting up native email clients for monitoring” on page 1454.
accounts to point to the proxy
See the documentation for your native mobile email clients.
server.

Step 7 Create and deploy a policy for See “Creating policies for Mobile Email Monitor ” on page 1454.
Mobile Email Monitor.
See the Symantec Data Loss Prevention Administration Guide for
more information.

Step 8 Test the system by generating an See “Testing Symantec Data Loss Prevention Mobile Email
incident against your test policy. Monitor” on page 1455.

See “Adding and configuring the Mobile Email Monitor Server ” on page 1450.

Adding and configuring the Mobile Email Monitor

Server
Here are some configuration options for the Mobile Email Monitor Server.
 Implementing Symantec Data Loss Prevention Mobile Email Monitor 1451
Adding and configuring the Mobile Email Monitor Server

■ Ignore small HTTP/S responses.

■ Ignore responses from a particular host or domain (such as the domain of a
business subsidiary).
To modify your Mobile Email Monitor Server configuration
1 Go to System > Servers > Overview and click the name of a Mobile Email
Monitor Server.
2 On the Server Detail screen that appears, click Configure.
You can verify or modify settings on the ICAP tab as described in subsequent
steps. The tab is divided into sections: Response Filtering and Connection.

3 Verify or modify the filter options for responses from email servers. The
options in the Response Filtering section are as follows:

Ignore Responses Smaller Than Specifies the minimum size of the body of
HTTP responses inspected by this server.
(The default is 4096 bytes.)

Inspect Content Type Specifies the MIME content types that

Symantec Data Loss Prevention should
monitor in responses. By default, this field
contains content-type values for Microsoft
Office, PDF, and plain-text formats. To
add others, type one MIME content type
per line. For example, type
application/wordperfect5.1 to have
Symantec Data Loss Prevention analyze
WordPerfect 5.1 files.

Note that it is generally more efficient to

specify MIME content types at the Web
proxy level.

IgnoreResponsesfromHostsorDomains Causes the server to ignore responses

from the hosts or domains you specify.
You can type one or more host or domain
names (for example, www.company.com),
each on its own line.

Ignore Responses to User Agents Causes the server to ignore responses to

user agents (HTTP clients) you specify.
You can type one or more user agent
values (for example, java/1.4.2_xx), each
on its own line.
1452 Implementing Symantec Data Loss Prevention Mobile Email Monitor
About proxy server configuration

4 Verify or modify settings for the ICAP connection between the HTTP proxy
server and the Mobile Email Monitor Server. The Connection options are as
follows:

TCP Port The default is 1344.

Maximum Number of Responses Specifies the maximum number of

simultaneous ICAP response connections
from the HTTP proxy or proxies. The
default is 16.

Connection Backlog Specifies the number of waiting

connections allowed. A waiting connection
is a user waiting for an HTTP response.
The default value is 16; the minimum
value is 1.

5 Click Save to exit the Configure Server screen and then click Done to exit
the Server Detail screen.
See “About proxy server configuration” on page 1452.

About proxy server configuration

See Symantec Data Loss Prevention System Requirements and Compatibility Guide
for information on proxy servers tested to operate with Mobile Email Monitor.
See the proxy product documentation for more details on setting up the proxy.
You must configure at least one HTTP/S proxy server to relay email responses to
Mobile Email Monitor. The HTTP proxy acts as an ICAP client to the Mobile Email
Monitor Server. The proxy should be configured in response modification
(RESPMOD) mode to relay email messages for inspection. Mobile Email Monitor
supports only the response modification (RESPMOD) mode of ICAP. Do not
configure your HTTP proxy for the request modification (REQMOD) mode.
See “Specifying one or more proxy servers” on page 1452.

Specifying one or more proxy servers

By default, Mobile Email Monitor Server can accept connections to the ICAP service
port from any system on the network. For security reasons, you can limit ICAP
connections to only those systems that you designate (or “white list”). Once you
white list one or more systems, systems not on the whitelist cannot connect to
the Mobile Email Monitor ICAP service port.
 Implementing Symantec Data Loss Prevention Mobile Email Monitor 1453
Configuring the response mode service

Note: The Icap.BindAddress setting can affect a proxy server whitelist. By default,
the Icap.BindAddress setting is 0.0.0.0, and the listener binds to all available
addresses. If the Icap.BindAddress instructs the listener to bind to a specific IP,
a whitelisted proxy must also be able to reach the listener address.

To create a whitelist of systems allowed to make a connection to the Mobile Email

Monitor Server ICAP service port:
1 In the Enforce Server administration console, go to System > Servers >
Overview and click the desired Mobile Email Monitor Server.
2 On the Server Detail screen that appears, click Server Settings.
3 Scroll down to the Icap.AllowHosts setting.
By default, Icap.AllowHosts is set to any, meaning that all other systems on
the network can communicate with this Mobile Email Monitor Server.
4 You can limit the systems that are allowed to connect with Mobile Email
Monitor. Delete any and enter the IP addresses or Fully-Qualified Domain
Name (FQDN) of the systems you want to authorize.
Separate multiple addresses with commas. For example:
123.14.251.31,webcache.corp.mycompany.com,123.14.223.111. Use only
commas to separate multiple entries; do not include spaces.
5 Click Save.
Changes to this setting do not take effect until you restart the Mobile Email Monitor
Server.
See the Symantec Data Loss Prevention System Requirements and Compatibility
Guide for more details about supported proxy servers for Mobile Email Monitor.
See “Configuring the response mode service” on page 1453.

Configuring the response mode service

For details on configuring the proxy server, refer to your proxy server product
documentation, or contact your proxy server administrator.
To configure a proxy server:
◆ On your proxy server, create an ICAP RESPMOD service that forwards
responses to Mobile Email Monitor. If your proxy server supports different
protocols, configure it to handle the desired protocols.
For RESPMOD mode, an ICAP service on the proxy server should look like:

icap://ip_address|[:port]/respmod
1454 Implementing Symantec Data Loss Prevention Mobile Email Monitor
About digital certificates for Mobile Email Monitor

Where:
■ ip_address|FQDN identifies the Mobile Email Monitor Server using either an
IP address or fully-qualified domain name.
■ Port is the port number where Mobile Email Monitor listens.FQDN Specifying
the port number is optional when the default ICAP port (1344) is used.
■ /respmod is required for correct functionality in RESPMOD mode.

Examples:

icap://10.66.194.45/respmod
icap://10.66.194.45:1344/respmod
icap://netmonitor1.company.com/respmod

Note: The port that is specified in the ICAP service definition on the proxy must
match the port where Mobile Email Monitor Server listens.

See “About digital certificates for Mobile Email Monitor” on page 1454.

About digital certificates for Mobile Email Monitor

The proxy server requires a digital certificate to communicate with mobile devices
and the Exchange Server. See your proxy product documentation for more
information.
See “Setting up native email clients for monitoring” on page 1454.

Setting up native email clients for monitoring

Native email accounts from your user's devices should point to the reverse proxy
that routes email to Mobile Email Monitor for Symantec Data Loss Prevention
inspection. See the documentation for your native email clients for more
information on setting up the email clients so that they point to the proxy.
See “Creating policies for Mobile Email Monitor ” on page 1454.
See “How Mobile Email Monitor works” on page 1446.

Creating policies for Mobile Email Monitor

Mobile Email Monitor only monitors email traffic to mobile devices, so no Prevent
response rules will function with Mobile Email Monitor. You can create policies
that include some standard rules. Mobile Email Monitor only monitors incidents,
 Implementing Symantec Data Loss Prevention Mobile Email Monitor 1455
Testing Symantec Data Loss Prevention Mobile Email Monitor

so you don't need response rules, as long as your policies contain detection rules.
You can set up detection policies to monitor the emails downloaded to mobile
devices.
To create a test policy for Mobile Email Monitor
◆ Create a policy that incorporates a standard test detection rule.
For example, create a policy called Test Policy as follows:
■ Include a Content Matches Keyword detection rule that matches on the
keyword "secret."
■ Associate it with the Default policy group.
See “Testing Symantec Data Loss Prevention Mobile Email Monitor”
on page 1455.

Testing Symantec Data Loss Prevention Mobile Email

Monitor
You can test Mobile Email Monitor by sending an email that violates your test
policy.
To test your system
1 Send an email with an attachment containing the word secret and paragraphs
of other text to your Microsoft Outlook email account.
2 Download the email using your mobile device.
3 In the Enforce Server administration console, go to Incidents > Mobile Email
Monitor and click Incidents - All. Look for the resulting incident. For example,
search for an incident entry that includes the appropriate timestamp and
policy name.
4 Click the relevant incident entry to see the complete incident snapshot.

Note: Incident representation is OS dependent and thus will vary depending

on the OS and device you are using.

See “Troubleshooting Mobile Email Monitor Server” on page 1456.

1456 Implementing Symantec Data Loss Prevention Mobile Email Monitor
Troubleshooting Mobile Email Monitor Server

Troubleshooting Mobile Email Monitor Server

Troubleshooting Mobile Email Monitor Server describes common problems you
may encounter when you are using Mobile Email Monitor and suggests possible
solutions.

Table 85-2 Troubleshooting Mobile Email Monitor Server

Problem Explanation or Possible Solution

Incidents do not appear in Symantec Data The Ignore Responses Smaller Than
Loss Prevention Mobile reports. parameter can cause emails smaller than the
set parameter size to be ignored. To enable
monitoring of smaller emails, set the
parameter to a lower value.

An email preview feature can cause a single If the email preview contains data that
policy violation in an email to generate triggers a policy, Mobile Email Monitor will
duplicate incidents. count the preview data as one incident and
the same data in the body as another
incident, for a total of two incidents.
 Index

Symbols application monitoring 1315

994 about 1401
adding an application 1402
archive
A incidents 993
about archived incidents
incident details 906 deleting 996
reports 905 restoring 994
VPN server 1425 archiving
access control lists (ACL) incidents 993–994
incident snapshots 971 attributes 880, 885, 906, 914, 1006
AddDefaultHeader field 1085 authentication credentials 137
AddDefaultPassHeader field 1086 authentication key 1372
administration Authority Information Access field 123
introduction to 55
administration console
about 56 B
logging on and off 57 banking
Administrator account Mobile Prevent 1441
about 58 best practice
email account 59 evaluate per-fold accuracy rates 505
password, changing 59 reject training if accuracy rate above 5% 505
password, resetting 107 best practices
AdminPasswordReset utility 107 allocate low memory for endpoint policies 505
Advanced Process Control 190 collect as many example documents as
advanced server settings 1075 possible 503
AES keys 301 create documents staging area 504
Agent 1353 do not use VML to detect graphics or PII 501
Agent configuration narrowly define the category 502
about 1341 perform negative testing 496
adding 1342 policies 399–402, 404–406
applying 1347 profiled DGM 612
agent events seed the negative training set with generic
about 1392 content 503
filter options 1393 tune profile before deploying into
agent overview production 507
actions 1390 undeploy unused profiles 507
agent overview screen 1385 use documents archives 504
AgentInstall.msi package 1374 use to detect unstructured, text-based
alerts. See system alerts content 500
AllowHosts field 1088, 1101, 1438, 1453 BindAddress field 1088, 1101, 1438, 1453
blocking requests 1103, 1439
1458 Index

Blue Coat ProxySG 1099, 1437 custom attributes 885, 914, 1004, 1006
BoxMonitor process 269 creating 1007
editing 1007
C incident snapshots 969
Lookup option (incident snapshot) 1006
CA certificates
populating 1006
importing 209
setting values manually 1008
CD/DVD
uses of 1006
about 1313
using 1004
Certificate authentication
adding CA certificates for 119
configuring 114 D
configuring revocation checks for 123, 125 dashboard reports
enabling or disabling 117 configuring 943
mapping CN values for 122 creating 941
troubleshooting 129 scheduling 956
Certificate Revocation Lists Distribution Point. See dashboards 940
CRLDP revocation checks deleting 964
certificates editing 958
server, generating 308 viewing 941
sslkeytool 306, 308 data classification
character encoding 312 introduction 627
checksum offloading 1071 Data classification services
classification incident list 929
incident list 929 incident snapshot 930
incident snapshot 930 Data Identifiers
classification events 628 about 509
Classification Server adding 527
configuring 205 breadths, about 513
Classification test mode 929–930 breadths, list of 530
Classifying Enterprise Vault content cloning, manually 536
Enabling test mode when 628 configuration, about 523
clipboard 1315 Content Matches Data Identifier condition 528
code numbers creating 535
system events 157 cross-component matching 517
comma-separated values 314 custom script validators, about 519
Common name (CN) values 122 custom, about 522
console. See administration console data normalizers, about 522
correlations 884, 913, 932 editing validator input 536
create_error_file property 314 implementing custom script validators 540
credential store implementing, custom 537
adding authentication 138 implementing, patterns 538
deleting credentials 139 managing 527
editing credentials 139 modifying 535
endpoint credentials 138 modifying, about 517
managing 139 normalizers, list of 530
credentials 137 optional validators, about 514
CRLDP revocation checks optional validators, configuration 533
configuring aproxy for 126 optionl validators, acceptable characters 515
support for 123 pattern language limitations, about 519
 Index 1459

Data Identifiers (continued) detection (continued)

patterns 518 Protocol Monitoring, network 575
selecting validators 539 word processing formats 633
system-defined 510 detection servers 303
validators, about 519 about 190
validators, available 519 adding 207
data loss prevention. See Symantec Data Loss configuration 193
Prevention controls 192
databases errors and warning list 213
indexing 312–314 kinds of 46
DBPasswordChanger utility logging 275
example of using 305 removing 208
introducing 300, 304 Server Detail screen 213
locating 305 server settings 215
prerequisites for using 304 settings, advanced 206
running 305 status of 211
debug log files 267–268, 282 System Overview screen 210
delete direcotry servers (LDAP)
archived incidents 996 about connecting to 131
deploying connecting to 132
SMS 1353 Directory Group Matching (DGM)
using silent installation 1353 implementing synchronized 600
using the Endpoint FlexResponse utility 1356 Recipient based on a Profiled Directory
detection condition 611
best practice 571 Sender/User based on a Profiled Directory
crackable CAD formats 639 condition 610
crackable database file formats 640 synchronized 599
crackable email formats 639 Directory Group Matching (DGM), profiled
crackable encapsulation formats 637 profiled 607
crackable graphics formats 640 profiled conditions 607
crackable other formats 640 profiled create exact data source file 609
crackable presentation formats 635 two-tier detection 608
crackable spreadsheet formats 636 workflow 608
crackable text and markup formats 638 Directory Group Matching (DGM), synchronized
crackable word processing file formats 634 Recipient matches User Group based on a
Custom File Type Signature 570 Directory Server Group 604
file name 565, 569 scheduling inexing 134
file name examples 565 Sender/User matches User Group based on a
file name syntax 565 Directory Server Group 603
file properties 563 document upload
file size 564, 568 max size per 504
file type 563, 567 documents
file type, custom 564, 570 supported types 504
Message Attachment or File Name Match 569 Documentum targets 1281
Message Attachment or File Size Match 568
Message Attachment or File Type Match 567 E
mobile 574, 576
ECU. See Environment Check Utility
network 573, 575
eculogs.zip file
Protocol Monitoring, mobile 576
contents of 304
1460 Index

ECUoutput.txt file 304 Endpoint FlexResponse (continued)

EDM indexes uninstalling using the FlexResponse utility 1358
using 321 Endpoint FlexResponse utility 1354
EDMIndexDirectory folder 312 options 1355
email password 1356
blocking 1088 endpoint incident
quarantining 1090 destination or protocol specific information 899
Endace cards 1072 lists 889
configuring Network Monitor to use 1075 snapshot 892
drivers for 1072 endpoint location
installing drivers for 1073 setting 1336
Endpoint Endpoint Prevent
Quarantine response rule 1330 about 1307
user cancel response rule 1323 application monitoring 1315
endpoint block response rule 1321–1322
agent advanced settings 247 CD/DVD monitors 1313
Agent log levels 1399 Citrix XenApp 1309
Agent logs 1398 Citrix XenDesktop 1309
incidnet summary screen 900 clipboard monitor 1315
incompatible detection and response rules 1321 creating policies 1321
policies for 1319 how it works 1309
response rules in different locales 1337 implementing 1335
setting response rules in different locales 1338 introducing 52
setting the endpoint location 1336 Microsoft Hyper-V 1309
summary reports 900 monitoring 1311
Endpoint Discover network monitors 1316
about 1307 network share monitoring 1316
adding a rule 1329 notify response rule 1321–1322
configuring targets 1332 print/fax monitor 1314
creating a policy 1328 Remote Desktop Services 1309
creating a policy group 1328 removable media 1312
how it works 1308 reporting response rules 897
implementing 1327 reports 1325
introducing 52 virtual hosts 1309
Max Scan Duration 1333 virtual machines 1309
monitoring 1317 VMWare View 1309
reports 1325 Endpoint Server
Scan Idle Timeout 1333 about 1310
scan timeout settings 1333 configuration, basic 204
scanning a target 1330 configuring file filters 901
target filters 1331 redundancy 1373
targeted scans 1319 endpoint targets
Endpoint FlexResponse configuring 1332
about 1349 endpoint tools 1405
deploying 1351 endpointkeytool utility 1406–1407
deploying plug-ins 1352 logdump.exe tool 1410
deploying plug-ins using the Endpoint Service_Shutdown.exe tool 1409
FlexResponse utility 1356 using on Windows Vista 1406
enabling on Enforce Servers 1357 vontu_sqlite3.exe tool 1409
 Index 1461

endpoint utilities 301 Exact Data Matching (EDM), configure (continued)

endpointkeytool utility 301, 1406 uploading the exact data source to Enforce 420
Enforce Exact Data Matching (EDM), file encoding
introducing 48 East Asian languages, UTF-16 318
logging 275 East Asian languages, UTF-8 encoding 318
Enforce console. See administration console Exact Data Matching (EDM), file enincoding
Enforce Server Latin characters, iso-8859-1 318
about 56 Exact Data Matching (EDM), profile
alerts, configuring to send 153 mapping fields 426
choosing a non-English language for 71 schedule profile indexing 428
enabling Endpoint FlexResponse 1357 Exchange targets 1226
introducing 48 ExportEDMProfile.edm file 312
response rules in different locales 1337
setting response rules in different locales 1338 F
Enforce server 303
files
Enforce Server administration console
indexing 314
Profile screen 60
filtering requests 1096, 1432
Environment Check Utility
Firefox browser 923
introducing 300, 302
flrinst.exe utility
locating 303–304
about 1354
output of 304
deploying plug-ins 1356
running 303
retrieving plug-in list 1359
EnvironmentCheckUtility command 303–304
retrieving plug-ins 1358
ErrorLog.txt file 304
uninstalling plug-ins 1358
ethtool 1071
Forms-based log on
Exact Data Matching (EDM)
disabling 130
add profiles 416
forwarding mode 1081–1082
creating the data source file 418
data source cleansing 411
data source size limits 411 G
Directory EDM 414 GET commands 1076, 1102, 1439
EDM condition 429 group exceptions, type
example 409 Recipient Matches Pattern 595
exceptions 413 group rules, type
field mapping 412 Recipient Matches Pattern 595
functionality 410
index file 411 H
index updates 413 HostFileLog.txt file 304
manage profiles 416 HTTP proxies. See proxy servers
match counting 434 HTTP requests 200
policy condition 413 blocking 1103, 1439
preparing for indexing 419 ignoring 1095–1096, 1430, 1432
Remote EDM Indexer utility 413 HTTP responses
SQL Preindexer utility 413 ignoring 1451
two-tier detection 415
workflow 415
Exact Data Matching (EDM), configure I
Exact Data Profile 422 ICAP 49, 1096, 1100–1101, 1431, 1437–1438, 1451–
Remote EDM Indexer 420 1453
configuring 1098, 1434, 1452
1462 Index

incident details 906 incident snapshots (continued)

incident list matches section 970
classification 929 Network Discover 920
incident lists policy section 970
Mobile 906 incident summaries
Network Discover 924 Network Discover 928
Network Monitor and Prevent 875 Incident Update privilege 99
incident remediation 865 incidents 875, 879–881, 884–885, 906, 909–911, 913–
commands 870 914
email response variables 871 archiving 993–994
Incident Reporting and Update API attributes, status 997
privileges 99 custom attributes 1004
Incident Reporting and Update Web Service 271 custom attributes, and 1007
Incident Reporting privilege 99 deleting 963
incident reports 935 preventing archiving 995
creating summary reports 946 remediating 878, 908
customizing 948 restoring archived 994
dashboards 940, 948 incremental scanning 1152–1154
dashboards, configuring 943 Indexed Docoument Matching
dashboards, creating 941 scheduling indexing 468
deleting custom reports 964 Indexed Docoument Matching (IDM)
editing custom reports 958 adding document profiles 456
exporting to CSV 958 configuring document profiles 456
exporting to XML 958 configuring the match condition 468
filter options 966 excluding content using whitelisting 453
filtering 950, 972 filtering by file name 465
implementing a strategy 936 filtering by file size 467
introducing 938 implementing 451
navigating pages 966 managing document profiles 455
Network Discover 919 preparing the document source for indexing 452
printing 968 Indexed Document Matching
remediating incidents 868 DocSource.rdx hashes 446
saving 951 Indexed Document Matching (IDM)
scheduling 952, 954 about 443
sending by email 967 best practice 471–474
setting advanced filters 983 document data source 445
setting general filters 974 exact file contents matching 447
setting preferences 937 exact file matching 449
summaries 940, 945, 972 exception conditions 450
summary options 966, 977 IDM data profile 444
viewing incidents 947 IDM match condition 447
viewing summary reports 945 MD5 fingerprinting 444
incident snapshot partial file contents matching 447
classification 930 two-tier 451
incident snapshots whitelisting 451
ACL information 971 Indexer.properties file 313
correlations tab 969 editing 322
custom attributes section 969 indexes 312
history tab 969 using 321
 Index 1463

installation log files 267 lookup plug-ins (continued)

installing CSV file location 1042
plug-ins 1354 CSV key mapping 1043
internationalization. See languages and character CSV, character set 1043
sets CSV, how it works 1021
Internet Content Adaptation Protocol. See ICAP custom 1065
iptables command 1086–1087 custom (legacy) 1022
iso-8859-1 encoding 312, 320 data owner email output 1038
data owner output 1038
J deployment 1024
enabling 1034
JDBC drivers 312
implementing, workflow for 1026
LDAP attribute mapping 1051
L LDAP configuration 1049
Language Pack Utility 72 LDAP server connection 1050
language packs LDAP, how it works 1021
about 69 lookup parameters 1030
Language Pack Utility 72 reloading 1035
languages and character sets script chaining 1061
character sets, using 68 timeout 1038
choosing a non-English language 71 types 1020
language packs, about 69 lookup plug-ins, script
language packs, working with 72 enabling credentials 1059
licenses 173 encrypting credentials 1059
Linux systems 1086 lookup plugin
listing plugins 1354 LDAP testing 1052
Livelink targets 1291 script protocol filtering 1058
localization. See languages and character sets lookup plugins
Lock Manager service 303 script configuring 1054
log files 267 script writing 1055
logdump.exe tool 1410 script, how it works 1022
logdump.exe utility 302 scripting languages 1022
logging Lotus Notes targets 1199
distance and confidence 499
number of features modeled 499
per-fold evaluation rates 499
M
mail transfer agents. See MTAs
logging on and off 57
manager process 270
logs
manager-certauth.security 128
review 157
manager-certauth.security file 126
lookup parameters
matches 884, 913
parameter groups 1023
Microsoft Exchange targets 1245
lookup plug-ins. See about
Microsoft TMG 1099
automatic lookup 1038
MIME types 201, 1097, 1433, 1451
automatic reload 1038
minSizeofGetURL field 1102, 1439
chaining 1035
Mobile Email Monitor 1452
chaining multiple plug-ins 1024
configuring proxy servers 1453
CSV attribute mapping 1043
configuring the response mode service 1453
CSV data file requirements 1041
creating policies for 1454
CSV file delimiter 1043
introducing 51
1464 Index

Mobile Email Monitor (continued) Network Discover scans (continued)

testing 1455 authentication 1126
troubleshooting 1456 deleting 1145
Mobile Email Monitor Server differential scans 1155
adding 1450 encrypting passwords 1127
configuring 1450 excluding items or repositories 1128
Mobile Prevent filtering by item size 1130
banking 1441 filtering by last-accessed date 1131
creating policies for 1439 filtering by modified date 1131
Deployment scenarios 1420 including items or repositories 1128
implementing 1429 inventory scans 1135
introducing 51 list of targets 1140
testing 1442 managing 1139
Mobile Prevent for Web monitoring 1139
configuring 1101, 1438 optimizing 1134, 1150
troubleshooting 1105 parallel 1156
Mobile Prevent for Web Server removing targets 1142
configuring 1430 reporting 1139
monitorSettings directory 302–303 reporting scan details 1145
monitorSettings folder 304 reporting scan history 1143
MTAResubmitPort field 1085 scheduling 1124
MTAs 49, 199, 1079, 1081, 1084 status 1149
configuring 1087 throttling 1134
MX records 198, 1083 Network Discover Server
configuration, basic 203
N configuring 1114
configuring parallel scans 1156
Napatech 1072
Linux 1116
Napatech cards
Network Discover targets 1256
configuring Network Monitor to use 1075
custom 1299
network connections
DB2 databases 1205
checking 303
Documentum 1281
Network Discover
Domino servers 1199
adding new targets 1117
Exchange 1226, 1245
configuring 1113
file shares 1177
configuring targets 1121, 1123
Livelink 1291
editing targets 1118
Lotus Notes 1199
how Discover works 1111
Oracle databases 1205
how scanners work 1246
removing 1142
incident lists 924
SharePoint 1213
incident reports 917–919, 1159–1160
SQL databases 1205
incident snapshots 920
SQL server 2005 1205
incident summaries 928
UNIX file systems 1256
introducing 49, 1109
Web servers 1269
logging 272
Web services 1299
quarantine files 1195
Web sites 1269
reports 917, 1159
Windows remote server file systems 1256
setting up 1113
network interface card. See NIC
Network Discover scans
auditing targets 1135
 Index 1465

Network Monitor OCSP revocation checks (continued)

configuring 1075 configuring a proxy for 126
creating policies for 1077 disabling 128
implementing 1069, 1071 support for 123
introducing 49 Online Certificate Status Protocol. See OCSP
logging 274 revocation checks
requirements for 1069 operational log files 267
testing 1077–1078 Oracle database 303
using Endace cards with 1075 NLS_LANGUAGE setting 71
Network Monitor Server NLS_TERRITORY setting 71
configuring 195
Network Prevent (Email) P
bouncing messages 856
packet capture software 1070–1071
Network Prevent for Email
installing 1072
blocking email 1088
PACKET_MMAP software 1072
configuring 1082
Password authentication
creating policies for 1088
disabling 130
enabling policy violation headers 1090
enabling or disabling 117
implementing 1079, 1081
Password Renewal window 63
integrating MTAs with 1081
password_file parameter 305
introducing 49
passwords 305
logging 274
See also DBPasswordChanger utility
routing restricted ports to 1086
Administrator 59, 107
testing 1091
changing 60, 63, 305
Network Prevent for Email Server
encrypting for Network Discover scans 1127
configuring 197
resetting 107
Network Prevent for Web
pcapstart.reg file 1073
configuring 1095
pdx extension 321
creating policies for 1103
plug-ins
implementing 1093, 1095
deploying on the endpoint 1352
introducing 49
Plugins.properties file 1167
testing 1104
policies
Network Prevent for Web Server
about 327
configuring 200
add 369
Network Protect
adding response rules 394
introducing 50
components 329
quarantine files 1195
configuration 370
Network Protect server
create 389
configuration, basic 203
Data Profiles 335
network share monitoring 1316
deployment 332
network taps 1069, 1071
manage 389
new_oracle_password parameter 305
privileges, administration 334
Next MTA field 1084
privileges, authoring 334
NIC 1070, 1072
privileges, response rules 334
Notification service 303
removing 395
solution pack 331
O policies, about
OCSP revocation checks implementation 337
configuring 128 User Groups 336
1466 Index

policy conditions policy detection templates, configuration (continued)

Content Matches Data Identifier 528 International Traffic in Arms Regulations
policy detection (ITAR) 755
endpoint 579 Media Files 756
endpoint application 581 Merger and Acquisition Agreements 757
endpoint events 341 NASD Rule 2711 and NYSE Rules 351 and
endpoint protocol 579 472 759
file contents 340 NASD Rule 3010 and NYSE Rule 342 760
file formats, custom 656 NERC Security Guidelines for Electric
file properties 340 Utilities 762
identities 341 Network Diagrams 764
international languages 613 Network Security 765
introduction 339 Offensive Language 765
languages 341 Office of Foreign Assets Control (OFAC) 766
mobile 340 OMB Memo 06-16 and FIPS 199 Regulations 768
network 340 Password Files 769
recognizable file types 641 Payment Card Industry (PCI) Data Security
rule severity 333 Standards 770
similarity score 496 PIPEDA 771
technologies 341 Price Information 773
using VML as an exception 500 Project Data 774
Vector Machine Learning (VML) 477 Proprietary Media Files 774
policy detection template, configuration Publishing Documents 775
Yahoo Message Board 794 Racist Language 776
policy detection templates, configuration Restricted Files 776
Caldicott Report 725 Restricted Recipients 776
CAN-SPAM Act 727 Resumes 777
Canadian Social Insurance Numbers 727 Sarbanes-Oxley 778
Common Spyware Upload Sites 729 SEC Fair Disclosure Regulation 780
Competitor Communications 729 Sexually Explicit Language 782
Credit Card Numbers 731 Source Code 783
Customer Data Protection 731 State Data Privacy 784
Defense Message System (DMS) GENSER SWIFT Codes 788
Classification 735 Symantec DLP Awareness and Avoidance 788
Design Documents 737 UK Data Protection Act 1998 733
Employee Data Protection 738 UK Drivers License Numbers 789
Encrypted Data 739 UK Electoral Roll Numbers 789
EU Data Protection Directives 734 UK National Health Service (NHS) Number 790
Export Administration Regulations (EAR) 740 UK National Insurance Numbers 790
FACTA 2003 (Red Flag Rules) 741 UK Passport Numbers 791
Financial Information 745 UK Tax ID Numbers 791
Forbidden Websites 746 US Intelligence Control Markings (CAPCO) and
Gambling 746 DCID 1/7 791
Gramm-Leach-Bliley 747 US Social Security Numbers 793
HIPAA and HITECH (including PHI) 749 Violence and Weapons 793
Human Rights Act 1998 753 Webmail 793
Illegal Drugs 754 policy detection,
Individual Taxpayer Identification Numbers endpoint destination 580
(ITIN) 755
 Index 1467

policy detection, about policy exceptions, configure

keyword matching 549 match counting 378
policy detection, classification policy groups
Enabling test mode when 628 about 331
policy detection, conditions create 392
Content Matches Keyword 552 default policy group 331
Content Matches Regular Expression 559 deployment 332
Endpoint Device Class or ID 585 managing 391
Endpoint Location 584 modify 392
Protocol or Endpoint Monitoring 582 removing 395
Recipient matches User Group based on a policy match condition
Directory Server Group 604 Message/Email Properties and Attributes 630
Sender/User Matches Pattern 593 policy match conditions
Sender/User matches User Group based on a compound 351
Directory Server Group 603 content 344
policy detection, configuration content based on index 344
select message components to match on 380 cross-component matching 349
policy detection, described identities endpoint 347
about 591 exceptions 350
Sender/User Matches Pattern 593 file properties 345
policy detection, endpoint identities and groups 348
devices, about 581 message components 349
devices, add 586 network and mobile 346
devices, adding 587 server execution logic 352
devices, configuring 587 simple 351
devices, manage 586 subject matching 628
Endpoint Device Class or ID 585 two-tier detection 353
Endpoint Location 584 types 343
locations, about 581 policy rules
Protocol or Endpoint Monitoring 582 compound 386
policy detection, international policy rules, conditions
data identifiers 615 configure 374
find keywords 615 policy rules, configuration
policy detection, keyword matching rule severity 377
exmaples 550 policy rules, configure
implementing 549 match counting 378
wildcards, about support for 549 policy rules, detection
policy detection, keyword matching, configuration add 372
Content Matches Keyword 552 policy rules, group
policy detection, keyword proximity add 372
about 549 policy templates
policy detection, regular expressions add 369
Content Matches Regular Expression 559 Confidential Documents 730
implementing 557 create policy from 355
writing 557 Customer and Employee Data Protection 360
policy exceptions export 336, 394
add 381 import 336, 393
compound 386 system-defined 330
configure 384
1468 Index

policy templates (continued) remediation (continued)

UK and International Regulatory email response variables 871
Enforcement 360 Remote EDM Indexer utility
US Regulatory Enforcement 357 command-line options for 320
policy templates, configure creating EDM profile with 317
Exact Data Profile, select 365 example use of 321
Indexed Document Profile, select 366 installing 316–317
policy templates, international introducing 301, 314
about 614 requirements for using 314
policy templates, type running 315–317, 320–322
Confidential or Classified Data Protection 362 running SQL Preindexer with 311
Network Security Enforcement 363 troubleshooting 322
Yahoo and MSN Messengers on Port 80 796 uninstalling 323
policy templates, types Reporting API 959
Acceptable Use Enforcement 363 Reporting API privileges 99
policy testing reports 885, 905, 914, 935
attachment 496 dashboards 940
test corpus 496 incidents 938
policy violation headers 1090 list of options 965
enabling 1090 summaries 945
print/fax 1314 system events 142
processGets field 1102, 1439 REQMOD 1098, 1100, 1436–1437
product suite. See Symantec Data Loss Prevention RequestProcdessor settings 1090
profile tuning RequestProcessor fields 1085, 1088, 1091
how to 496 RESPMOD 1098, 1100, 1436, 1452–1453
similarity threshold 496 response filtering 1097, 1433, 1451
profiles 312, 320 response rules 878
properies about 802
default similarity threshold 497 add 817
properties best practices 814
minimum number of documents per training composing email responses 869
set 497 configure 819
minimum number of features to keep 497 manage 817
significance of features threshold 497 modify ordering 823
ProtectInstaller_10.5.exe file 316 response rules, about
proxy servers 1093, 1429 actions 802
compatibility with 1099, 1437 authoring privileges 812
configuring 1098, 1100–1101, 1436–1438, 1452 automated 808
conditions 809
Q execution 807
execution priority for actions 810
quarantine files 1195
implementation 813
queries 313
removing 824
Smart 808
R Smart, configure 820
rdx extension 321 response rules, actions
reflecting mode 1081–1082 Add Note 834
remediation 865 configure 821
commands 870 discarding network incident data 836
 Index 1469

response rules, actions (continued) Revocation checks

Endpoint Discover: Quarantine File 844 configuring 125
Endpoint Prevent Block 845 support for 123
Endpoint Prevent Notify, configuration 848 roles
Endpoint Prevent User Cancel, add 108
configurations 851 adding 95
Endpoint: FlexResponse 843 configuring 95
Limit Incident Data Retention 834 manage 108
Log to a Syslog Server 837 roles, about
Mobile Prevent Block FTP Request 854 configuring 92
Mobile Prevent Block HTTP/S 854 recommended 92
Network Prevent Block FTP Request 854 role-based access control 87
Network Prevent Block HTTP/S 854 solution pack, included with 94
Network Prevent: Block SMTP Message 856 RRC. See rules results caching
Network Prevent: Modify SMTP Message 857 rules results caching 1324
Network Prevent: Remove HTTP/HTTPS
Content 858 S
Network Protect Copy File 860
scans
Network Protect Quarantine File,
differential scans 1152
configuration 860
incremental scans 1152–1154
retaining endpoint incident data 835
Secure Computing Secure Web 1099
Send Email Notification 838
separator characters 313
Set Attribute 841
Server Detail screen 213
Set Status 842
server configuration 193
response rules, adding
Server FlexResponse
Automated 818
configuring 840, 1167–1168
Smart 818
configuring a response rule action with 840
response rules, conditions
configuring custom properties for 1168
configure 820
deploying a plug-in for 1166–1168
endpoint device 826
overview of 1163
endpoint location 825
remediating with 1165, 1172–1173
incident match count 828
troubleshooting 1174
incident type 827
Using a smart response action with 1172
protocol or endpoint monitoring 829
servers (DLP). See detection servers and Enforce
severity 831
Server
response rules, type
ServerSocketPort field 1085
Endpoint Prevent Block 1322
Service_Shutdown.exe tool 1409
Endpoint Prevent Notify 1322
Service_Shutdown.exe utility 301
Endpoint Prevent User Cancel 1323
services 302
Endpoint Quarantine 1330
SharePoint targets 1213
response rules, types
sizing, profiles
all detection servers 803
memory allocation 505
classification 807
significance threshold 505
endpoint 804
sizing, training sets
network 805
minimum 50 503
network protect 806
recommended 250 503
restore
SMTP 1088
archived incidents 994
snapshots 885, 914
restricted ports 1085–1086
SOAP messages 271
1470 Index

SPAN 1069, 1071 Symantec DLP Agent (continued)

SQL 302, 313 removing manually 1398
SQL Preindexer utility removing on Windows Vista 1397
command-line options for 312–313 removing with Symantec Management
introducing 300, 311 Console 1395
locating 311 removing with system managment software
running Remote EDM Indexer with 311 (SMS) 1396
troubleshooting 313 security 1370
Squid Web Proxy 1099 watchdog service 1372
SSL certificates Symantec DLP services
importing 209 starting 83–85
sslkeytool 306 stopping 83–85
generating server certificates 308 Symantec Management Agent
options 307 installing 1363
sslkeytool utility Symantec Management Console 1361
introducing 300 agent tasks 1365
status attributes 997 cloning advertisements and programs 1362
status groups creating user tasks 1366
adding 1000 reporting 1364
configuring 1000 Symantec Management Agent 1363
deleting 1000 using computer discovery 1363
status values Symantec Web Gateway 1099
adding 999 syslog servers 151
configuring 999 system accounts 303
deleting 999 system alerts
summary reports 885, 914 about 153
Switch Port Analyzer. See SPAN adding 155
Symantec Data Loss Prevention configuring server 153
administration of 55 modifying 155
initial system setup 58 System Center Configuration Manager 1379
product suite 45 system events 141
Symantec Data Loss Prevention servers. See code numbers 157
detection servers and Enforce Server event details 146
Symantec DLP Agent notification methods 142
about 1311 reports 142
administration 1385 reports, filtering 143
advanced settings 247 reports, saved 145
AgentInstall.msi package 1374 responses 149
authentication key 1372 syslog servers 151
installation 1367 thresholds, configuring 147
installed aspects 1367 types (severities) of 146
installing manually 1381 System Overview screen 210
installing on Windows Vista 1370 detection server, adding 207
installing with Symantec Management errors and warning list 213
Console 1378 server status 211
installing with system management system reports
software 1379 scheduling 954
preinstallation steps 1369 system setup, initial 58
removing 1394 system upgrades 174
 Index 1471

Systems Management Server (SMS) 1379 users, about

configuring 92
T users, accounts
adding 103
tab-delimited files 314
configuring 103
TagHighestSeverity field 1091
users, authentication
TagPolicyCount field 1091
Active Directory 109
TagScore field 1091
configuring Enforce for Active Directory
telnet command 1087
authentication 113
Test mode 628
integrating Enforce with Active Directory 110
TLS proxies 197, 1086
verifying the Active Directory connection 112
Tomcat
users, passwords
adding certificates to 119
configuring strong or rotating 106
changing trust store password for 120
UTF-16 encoding 312, 320
tools password 1356
UTF-8 encoding 312, 320
training
utilities
cross-fold 505
introducing 299, 301
k-fold evaluation process 505
training set
negative 502 V
positive 502 Vector Machine Learning (VML)
trial mode 197, 1082, 1096, 1431, 1451 about 477
troubleshooting accepting training 479
debug log files 499 adjust similarity threshold 495
property configuration 497 adjusting memory allocation 488
training set quality 505 configuring VML exceptions 494
configuring VML rules 493
U creating new VML profiles 483
Currernt Profile tab 483
uninstallation passwords
editing profile name, description 492
using 1377
implementation process 481
uninstalling 1358
manage training sets 489
upgrades, system 174
manage VML profiles 490
upgrading agents
rejecting training 479
uninstallation passwords 1377
similarity score 480
user agents 1096, 1432
similarity threshold 480
User Groups
Temporary Workspace tab 483
creation 601
training content 478
user risk 1009
training the profile 486
user data sources 1011
uploading contents for training 484
adding 1013
violated policies 1090
adding from a file 1014
Vontu services
adding from Active Directory 1015
starting 80–85
defining custom attributes 1012
stopping 80–85
user details 1017
vontu_sqlite3.exe tool 1409
user list 1017
vontu_sqlite3.exe utility 302
user risk summary 1018
VPN
users
about 1425
add 108
manage 108
1472 Index

W
watchdog service 1372
Web archives 1001
Web Services 99
Websense V-Series 1100
Webwasher 1099
WinPcap software 1071–1072
installing 1073

X
X-CFilter-Loop: Reflected header 1086
X-DLP-Max-Severity header 1091
X-DLP-Policy-Count header 1091
X-DLP-Score header 1091
XML schemas 959