Third-Party Compliance Server Integration

About Third-Party Compliance

With this solution, IM and Presence Service integrates with one or more third-party compliance servers for compliance logging or ethical wall functionality. The IM and Presence Service administrator can select which IM, presence, or group chat events are passed to the compliance server(s), and which events are blocked. The events must be selected based on policy. For example, the system could be configured to filter IMs between certain users, or groups of users, and block or modify content depending on the originator and recipient of the IMs.

To use the third-party compliance solution you must configure the third-party compliance server(s) for your cluster. IM and Presence Service passes all configured events that are generated in the processing of user login, logout, presence sharing, IM exchange, or group chat activity to the third-party server(s). The third-party compliance server applies any relevant policy or filtering to the event, then instructs IM and Presence Service as to whether the event should be processed further. Note that you may potentially experience performance delays in your network because of the volume of events that pass between IM and Presence Service and the third-party compliance server. If IM and Presence Service loses its connection to the third-party server, all IM traffic stops.

Third-party compliance requires these components:

IM and Presence Service - IM and Presence Service uses the Event Broker component to send events to the third-party compliance server.
Third-party compliance server - All IM and Presence Service nodes in the cluster will redirect events to the configured compliance server(s) unless you are upgrading from a system with compliance already configured.
IM Client - Supported clients include Cisco clients such as Cisco Jabber, third-party XMPP clients, and other third-party clients used in federated networks.

Note

IM and Presence Service does not provide a secure TLS/SSL connection between IM and Presence Service and the third-party compliance server.

The following figure highlights the third-party compliance components and message flow.

Compliance Profiles

A compliance profile contains a set of Jabber Session Manager (JSM) and\or Text Conferencing (TC) events that you can use to monitor for compliance. You can create a compliance profile that consists of only JSM events, only TC events, or a combination of both JSM and TC events.

When you configure a compliance profile, choose which JSM and TC events you wish to be logged to the compliance server. You can also decide what type of handling is performed by the compliance server, how IM and Presence Service handles error responses from the compliance server, and whether the IM and Presence Service node waits for a response from the compliance server before processing the event further. You can also configure how the events should be processed if no response is expected.

The following tables describe the JSM events and parameters.

Caution

If a combination of Bounce, and Fire and Forget is selected, an event to which this applies will be passed to the compliance server and then discarded. This means it will not be processed further by IM and Presence Service. Use this combination with care.

Table 1. JSM Events
Event	Description
e_SESSION	Packets sent during login, which is the creation of a new session.
e_OFFLINE	Packets sent to users who are offline. Offline users are users who do not have an active session.
e_SERVER	Packets sent directly to the server for internal handling.
e_DELIVER	The first event for packets coming in from another server; the second event for packets coming in from a user on the same server. (The first event for packets coming in from the same server is es_IN.)
e_AUTH	IQ packets sent during authentication.
e_REGISTER	Packets generated during registration of a new account by a user.
e_STATS	Packets sent periodically that contain server statistics.
e_DISCOFEAT	Triggered when a user sends a `disco#info` query.
e_PRISESSION	Determines a user's primary or default session when the user has more than one session. An EventBroker component may dictate the choice of a user's primary session.
es_IN	Generated when a stanza is about to be received by a user's session.
es_OUT	Generated when a stanza is sent from a user's session.
es_END	Packets generated when a user logs out.

Table 2. JSM Parameters
Parameter	Description
Packet Type	Select one of the following XMPP packet types: all - All packets iq - Packets used during info-query functions message - Packets containing standard IM or group chat messages presence - Packets containing presence information subscription - Packets sent when subscribing to another user's presence
Handling	Select bounce if errors returned from the compliance server should be bounced back to the originating party or component Select pass if they should be discarded.
Fire and Forget	Leave the check box unchecked if the IM and Presence Service node must wait for a response from the compliance server before it continues to process the event. Check the check box if the IM and Presence Service node does not require a response from the compliance server before it continues to process the event further.

The following tables describe the TC events and parameters.

Caution

Table 3. TC Events
Event	Description
onServicePacket	The system receives a packet from the router that is either addressed directly to the TC service or to a room that does not currently exist on the system.
onBeforeRoomCreate	A gear is attempting to create a room on the system.
onAfterRoomCreate	A room has been successfully created on the system. The only valid response is PASS with no modification to the original stanza.
onServiceDiscoInfo	An entity has sent a `disco#info` packet to the TC service. The only valid response is PASS.
onServiceReconfig	The TC service receives a signal to reconfigure itself. The only valid response is PASS. This is a notification event only. The XDB packet will be of a type="set". The external component should not respond to this packet.
onDestroy	A room owner closes a room. The only valid response is PASS.
onClose	A gear requests to close a room.
onPacket	A new XML stanza is directed at a room, or participant within a room.
onMetaInfoGet	Room configuration information is available. The only valid response is PASS.
onBeforeMetaInfoSet	A room configuration is about to be modified by a user.
onAfterMetaInfoSet	A room configuration has been modified by a user. The only valid response is PASS with nothing in it.
onExamineRoom	A Jabber entity requests information, either by browse or disco, from a room. The only valid response is PASS.
onBeforeChangeUser	A change has been requested of a user role, nickname, or presence. This includes on entry, exit, nick change, availability change, or any role change (granting or revoking voice, moderator privilege).
onAfterChangeUser	A user has changed. The only valid response is PASS with nothing in it.
onBeforeChangeAffiliation	A user affiliation is about to change.
onAfterChangeAffiliation	A user affiliation has changed. The only valid response is PASS with nothing in it.
onBeforeRemoveAffiliation	A user affiliation is about to be removed.
onAfterRemoveAffiliation	A user affiliation has been removed. The only valid response is PASS with no modification to the original stanza.
onBeforeJoin	A user is about to join a room.
onAfterJoin	A user has joined a room. The only valid response is PASS with nothing in it.
onLeave	A user has left a room. The only valid response is PASS.
onBeforeSubject	A room subject is about to change.
onAfterSubject	A room subject has changed. The only valid response is PASS with nothing in it.
onBeforeInvite	A user is about to be invited to a room.
onAfterInvite	A user has been invited to a room. The only valid response is PASS with nothing in it.
onHistory	A room's history has been requested. The only valid response is PASS.
onBeforeSend	A message is about to be sent in a room.
onBeforeBroadcast	A message is about to be broadcast in a room.

Table 4. TC Parameters
Parameter	Description
Handling	Select bounce if errors returned from the compliance server should be bounced back to the originating party or component Select pass if they should be discarded.
Fire and Forget	Leave the check box unchecked if the IM and Presence Service node must wait for a response from the compliance server before it continues to process the event. Check the check box if the IM and Presence Service node does not require a response from the compliance server before it continues to process the event further.

If the same compliance profile is assigned to more than one compliance server, events are load balanced across each of the compliance servers. This reduces the load on individual compliance servers. Events are routed using an algorithm that ensures that related events are routed to the same compliance server. For one to one IMs, events are routed based on the combination of the to/from address, regardless of the packet's direction. This means that the full conversation between two users is routed to one compliance server. For group chat, events for a given chat room are routed using the chat room address, so that all events for a room are routed to one compliance server.

A system default profile is available in the system after fresh install or upgrade. This profile is called SystemDefaultComplianceProfile and cannot be deleted or modified. You can assign and unassign this profile as with any other.

The SystemDefaultComplianceProfile profile has four JSM and five TC events configured. If this profile is assigned, when any of its events occur in an IM and Presence Service cluster, they are passed on to the compliance server for handling, and a response is expected. The IM and Presence Service node handles the events based on the response from the compliance server. These events are previewed in read-only format if the SystemDefaultComplianceProfile is selected from the list of available compliance profiles.

Table 5. SystemDefaultComplianceProfile Pre-Configured Events
JSM Events	TC Events
e_SESSION	onBeforeInvite
es_END	onBeforeJoin
es_IN (for message stanzas only)	onBeforeRoomCreate
es_OUT (for message stanzas only)	onBeforeSend
	onLeave

If the same event(s) are configured in multiple profiles and these profiles are assigned to different third-party compliance servers, the events are handled in order as specified by routing priority. By default, routing priority of all profiles is defined by the order in which the profiles were added to the system. The routing priority can be re-configured.

Compliance Profiles Routing Priority

You can configure routing priority when there is more than one compliance profile assigned and some or all of the events from one profile exist in the other profile(s). If each compliance profile has different events configured, routing priority is not applicable.

The default routing priority of the profiles configured in the system is the order in which they were configured.

Example

The following is an example of when you would use compliance profiles routing priority:

You have a compliance profile configured for events subject to Ethical Wall scrutiny, and another for the same events subject to IM logging. Each is assigned to a different compliance server. If you want the events subject to Ethical Wall scrutiny to be routed to the Ethical Wall server before being logged in the IM logging server, you must assign the Ethical Wall compliance profile the higher priority.

Third-Party Compliance Server Prerequisites

Install and configure the third-party compliance server. Refer to your vendor documentation for details.

Make sure to plan your compliance deployment before you configure anything. For information on designing you IM compliance setup, refer to the Cisco Collaboration System Solution Reference Network Design.

Third-Party Compliance Server Integration Task Flow

Before you begin

Install and configure your third-party compliance server according to your vendor documentation.

Procedure

	Command or Action	Purpose
Step 1	Add Compliance Server	On the IM and Presence Service, add your third-party compliance server.
Step 2	Configure Compliance Profiles	Configure Compliance Profiles for your compliance server. You can use these profiles to determine which events are logged and which are not.
Step 3	Configure Compliance Profile Routing Priority	Configure the routing priority that the system uses to determine which compliance profile to apply.
Step 4	Assign Compliance Servers	Assign the third-party compliance server to IM and Presence cluster nodes as a part of your compliance configuration.
Step 5	Restart Cisco XCP Router	After you change any of the existing configurations, restart the Cisco XCP Router.
Step 6	On the compliance server, configure the corresponding open-port names generated by IM and Presence Service.	For configuration details, refer to your compliance vendor documentation.
Step 7	Configure Alarms for Compliance Server	Optional. Configure Cisco XCP Router alarms so that the administrator can be notified if the connection to the compliance server breaks.

Add Compliance Server

Use this procedure to add a third-party compliance server to the IM and Presence Service.

Procedure

Step 1

Choose Cisco Unified CM IM and Presence Administration > Messaging > External Server Setup > Third-Party Compliance Servers.

Step 2

Click Add New.

Step 3

Enter the compliance server details. For help with the fields and their settings, refer to the online help:

Name
Hostname/IP Address—For the Hostname/IP Address field, allowed characters are all alphanumeric characters (a-zA-Z0-9), period (.), backslash (\), dash (-), and underscore (_).
Port
Password/Confirm

Note

The name is only used locally by IM and Presence Service. The IP address, port, and password must match the configuration on the compliance server itself.

Step 4

Click Save.

Note

Use caution when changing these settings. If you save any changes, you lose all previous configuration settings.

What to do next

Configure Compliance Profiles

Use this procedure to set up compliance profiles for a third-party compliance server. A compliance profile contains a set of Jabber Session Manager (JSM) and\or Text Conferencing (TC) events that you can use to monitor for compliance. You can use the profile to determine which events are logged by the compliance server and how error responses are handled.

Note

For reference information on the JSM and TC events for which you can configure event handling policies, see Compliance Profiles.

Procedure

Step 1

Choose Cisco Unified CM IM and Presence Administration > Messaging > Compliance > Compliance Profiles.

Step 2

Choose Add New.

Step 3

Enter a Name and Description for the compliance profile.

The Name supports alphanumeric characters only. Spaces are not permitted.

Note

The compliance profile name cannot be modified if the profile is assigned to a compliance server.

Step 4

Configure event handling for JSM Events and TC Events. For help with the fields and their settings, see the online help:

From the Event drop-down select the JSM event for which you want to configure a policy.
JSM Events only. From the Packet Type drop-down, select a packet type.
From the Handling drop-down, configure how error responses from the compliance server should be handled. The Bounce option sends errors back to the originating party, and the pass option discards them.

Check the Fire and Forget check box if you want the IM and Presence Service to process the event without requiring a response from the compliance server. Leave the check box unchecked if you want the IM and Presence Service to wait for the compliance server response before processing the event.

Note

By default, events are processed as part of the event handling chain and IM and Presence Service waits for a response from the compliance server. If an event is processed as part of the event handling chain, and the compliance server responds with HANDLE, the event is not processed further by IM and Presence Service. If the compliance server responds with PASS, IM and Presence Service continues to process the event.

Click Add New Event to add a new event.

Repeat this process for both JSM and TC events until you've all of the events that you want to add to this profile.

Note

If you want to delete an event that you've added, select the event and click Delete Selected.

Step 5

Click Save.

Note

If you update settings for events in an existing compliance profile that is assigned to a third-party compliance server, you must restart the XCP Router service.

What to do next

Configure Compliance Profile Routing Priority

Use this procedure to configure a routing priority for the compliance profiles that you've configured.

Procedure

Step 1	From Cisco Unified CM IM and Presence Administration, choose Messaging > Compliance > Compliance Profiles Routing Priority.
Step 2	In the Compliance Profiles listed by routing priority (Top is highest priority) window, use the up and down arrows to arrange the routing priority for your compliance profiles.
Step 3	Click Save.

What to do next

Assign Compliance Servers

Procedure

Step 1

From Cisco Unified CM IM and Presence Administration, choose Messaging > Compliance > Compliance Settings.

Step 2

From the Compliance Server Selection options list, choose Third-Party Compliance Server.

Step 3

Assign the third-party compliance server(s) to the IM and Presence Service nodes.

Note

The same node cannot be assigned to multiple compliance servers if you have upgraded from a system that had compliance configured prior to the upgrade. In this case, if you want to be able to assign the same node to multiple compliance servers, you must enable compliance for the whole cluster.

The Open-port Component Name field is auto-generated based on the values in the first two columns. This is used when you configure the open-port component.

Step 4

Assign a compliance profile to each compliance server. The same compliance profile can be assigned multiple times.

Note

If you have upgraded your system from pre-10.0(1), and you configured compliance prior to the upgrade, only the system default profile is available in the drop-down menu. To use custom profiles, you must enable compliance for the whole cluster.

Step 5

Click Save.

Note

If you switch between IM compliance deployment options (for example, switch from the Message Archiver option to the Third-Party Compliance Server option), you must restart the Cisco XCP Router service. Note that you lose your third-party compliance settings if you switch between options.

What to do next

Restart the Cisco XCP Router service on all nodes if compliance is applied on all nodes in the cluster. Otherwise, it is sufficient to restart the Cisco XCP Router service on those nodes where you configured compliance.

Restart Cisco XCP Router

Use this procedure to restart the Cisco XCP Router.

Procedure

Step 1	From Cisco Unified IM and Presence Serviceability, choose Tools > Control Center - Network Services.
Step 2	From the Server drop-down list box, choose an IM and Presence node and click Go.
Step 3	Under IM and Presence Services, check the Cisco XCP Router service and click Restart.

What to do next

Optional. Configure Alarms for Compliance Server

Configure Alarms for Compliance Server

When an IM and Presence Service node is integrated with a third-party compliance server, messages will only be delivered to users after it successfully logs the message to the third-party compliance server. If an IM and Presence Service node loses its connection to the third-party compliance server to which it is directly connected, IM and Presence Service does not deliver the message to the recipient.

Use this procedure to configure alarms to alert you when the connection to the compliance server is lost.

Procedure

Step 1	From Cisco Unified IM and Presence Serviceability, choose Alarm > Configuration.
Step 2	From the Server drop-down, choose the node on which you want to configure the alarm and click Go.
Step 3	From the Service Group drop-down, choose IM and Presence Services and click Go.
Step 4	From the Service drop-down, choose Cisco XCP Router and click Go.
Step 5	Configure the alarm settings. For help with the fields, see the online help.
Step 6	Click Save.

Enable Compliance Logging for all Nodes Following Upgrade

Caution

When you enable this setting, you cannot change it back.

Procedure

Step 1	Choose Cisco Unified CM IM and Presence Administration > Messaging > Compliance > Compliance Settings.
Step 2	Choose Third-Party Compliance Server from the Compliance Server Selection.
Step 3	Check the Enable compliance logging for all nodes in the cluster. Once enabled, this setting cannot be reverted back. Please refer to the documentation for optimal configuration check box and click Save. A warning message appears.
Step 4	Click OK.
Step 5	Restart the Cisco XCP Router service on all nodes in the cluster.

What to do next

After you enable compliance for all nodes, the component name used by IM and Presence Service changes to an auto-generated format. Update your compliance server(s) with the new component name to continue using the feature.

Troubleshooting for Third-Party Compliance Server

If the compliance integration is not operating as expected and you are experiencing problems such as:

Slow user login
Blocked IMs
Blocked group chat events when IM and Presence Service is configured to use third-party compliance.

Then carry out the following list of checks to troubleshoot the compliance integration:

Check the Troubleshooter in the Compliance Server Settings window. If the Troubleshooter is red continue with step 2. If the troubleshooter is green go to step 3.
Check the connection settings for the third-party compliance server in the third-party compliance server settings window.
To verify that the Cisco XCP Router service has established a connection to the third-party compliance server, check the Cisco XCP Router service logs using RTMT. Scan the logs for entries such as the following:
- Component op-gwydlvm131.gwydlvm1153-cisco-com is CONNECTED
  This entry shows that the Cisco XCP Router service has established a network connection to the third-party compliance server.
- Component op-gwydlvm131.gwydlvm1153-cisco-com is ACTIVE
  This entry shows that the Cisco XCP Router service and the third-party compliance server have completed authentication.
If the logs show CONNECTED but not ACTIVE, verify that:
- The correct password has been configured on IM and Presence Service and on the third-party compliance server.
- The correct component name has been configured on the third-party compliance server.
If the Cisco XCP Router service is unable to connect to the third-party compliance server, the Cisco XCP Router service logs will show output similar to the following:
```
Connecting on fd 22 to host '10.53.52.205', port 7999
Unable to connect to host '10.53.52.205', port 7999:(111) Connection refused
Component op-gwydlvm131.gwydlvm1153-cisco-com is GONE
```
If the Cisco XCP Router Service is unable to establish a connection to the third-party compliance server, check that:
- The correct IP/FQDN and port have been configured on IM and Presence Service and on the third-party compliance server.
- The third-party compliance server is running and listening on the specified port.
If the logs show CONNECTED and ACTIVE when IM and Presence Service passes events to the compliance server for processing, the third-party compliance server must respond to each event before IM and Presence Service can continue to process the event. If you suspect that the compliance server is not responding, check the compliance server logs.

Third-Party Compliance Server Failure Event Handling

About Third-Party Compliance Server Failure Event Handling

This chapter describes the behavior IM and Presence Service users will experience when problems occur with compliance integration or during HA failover.

Note

The sections in this chapter assume that compliance profiles include the following events (except where otherwise stated):

e_SESSION (recording user logins)
es_END (recording user logouts)
es_OUT/es_IN for message (recording IM conversations)
One or more TC events (recording chat room interactions)

Event handling during a Compliance Server or Service Outage

A Single Compliance Server or Service Shutdown

Assumed deployment:

One or more IM and Presence Service node(s) deployed in a sub-cluster.
One IM and Presence Service node is configured with a single third-party compliance server.

If the compliance server or service is shut down gracefully users will be affected as follows:

Users will continue to log in and log out of IM and Presence Service using their XMPP clients as normal, but login and logout events will not be logged to the compliance server.
Users will be blocked from sending IMs or interacting with chat rooms, and in each case users will receive a server error response.

A Single Compliance Server or Service Ungraceful Failure or Network Disruption

Assumed deployment:

One or more IM and Presence Service node(s) deployed in a sub-cluster.
One IM and Presence Service node is configured with a single third-party compliance server.

For an initial period of up to 5 minutes, if the compliance server or service fails ungracefully or if there is a disruption to the network between an IM and Presence Service node and the compliance server, the node will attempt to queue events for that compliance server. Individual events will be queued for 30 seconds before being processed or bounced.

After 5 minutes, if the compliance server or network has not recovered, the connection to the server will be dropped and events will no longer be queued. In this situation, events will be processed or bounced immediately. Users will be affected as follows:

Users will experience up to 30 seconds delay on logging in to IM and Presence Service, but there will be no delay when logging out. Login and logout events will not be logged to the compliance server.
Users will be blocked from sending IMs or interacting with chat rooms. In each case users will receive a server error response, but there may be a delay of up to 30 seconds before the error is received.
Users may experience delays of up to 30 seconds while presence status updates are being processed.

Compliance Server or Service Graceful Outage with Multiple Compliance Servers

Assumed deployment:

One IM and Presence Service node deployed in a sub-cluster.
One IM and Presence Service node is configured with multiple third-party compliance servers.

Where an IM and Presence Service node is connected to multiple compliance servers, normal behavior is for events to be load-balanced across the compliance servers using a JID-based algorithm. Events for different users may be routed to different compliance servers.

If one of the compliance servers or services is shut down gracefully, then events that would have been routed to that server will instead be routed to the remaining compliance server(s).

Compliance Server or Service Ungraceful Outage with Multiple Compliance Servers

Assumed deployment:

One IM and Presence Service node deployed in a sub-cluster.
One IM and Presence Service node is configured with multiple third-party compliance servers.

If one of the compliance servers or services fails ungracefully, or if there is a disruption to the network between an IM and Presence Service node and that server, then users will be affected as follows:

Some users will experience up to 30 seconds delay in logging in to IM and Presence Service, but there will be no delay when logging out. Login and logout events will not be logged to the compliance server.
Some users will be blocked from sending IMs or interacting with chat rooms for a period of up to 5 minutes. After this period, affected users can continue to send IMs or interact with chat rooms, and the events will be routed to one of the remaining compliance servers.
Some users may experience delays of up to 30 seconds for presence status updates to be processed.

Compliance Server or Service Outage with Multiple Compliance Servers and Profiles

Where an IM and Presence Service node is configured to connect to multiple compliance servers, each of which uses a different compliance profile, and the profiles contain one or more identical events, normal behavior is for these events to be routed in turn to the compliance server associated with each compliance profile according to each profile's priority.

This behavior is explained in more detail in the following example:

Assumed deployment:

One IM and Presence Service node deployed in a sub-cluster with multiple profiles containing one or more identical events.
The IM and Presence Service node is configured with multiple third-party compliance servers and profiles.

Each compliance profile has the following events configured:

Profile 1:

e_SESSION (recording user logins)
es_OUT/es_IN for message (recording IM conversations)
es_END (recording user logouts)

Profile 2:

es_OUT/es_IN for message (recording IM conversations)

Profile assignments:

Profile 1 is assigned to Compliance Server 1
Profile 2 is assigned to Compliance Server 2
Profile 1 has the highest priority

During normal behavior:

When a user sends an IM, the es_OUT event for Profile 1 is routed to Compliance Server 1. When Compliance Server 1 acknowledges the event, the es_OUT event for Profile 2 is routed to Compliance Server 2.

If Compliance Server 1 experiences an ungraceful outage then the following sequence will take place:

User A sends IM to user B.
The es_OUT event (Profile 1) is queued for Compliance Server 1.
The es_OUT event (Profile 1) times out after 30 seconds.
The es_OUT event (Profile 1) is bounced, and the IM sender receives an error response.
The es_OUT (Profile 2) event is not processed and the event is not sent to Compliance Server 2.

In this case users will be affected as follows:

Users will be blocked from sending IMs. Users will receive a server error response in each case, but there may be a delay of up to 30 seconds before the error is received. Events associated with the IM conversation will not be routed to the remaining compliance servers.
Users may experience delays of up to 30 seconds for presence status updates to be processed.

Compliance Handling During an IM and Presence Service Node Failure

Compliance Handling during Manual Node Failover

Assumed deployment:

Two IM and Presence Service nodes deployed in a sub-cluster with HA enabled.
Each IM and Presence Service node is configured with a different third-party compliance server using the same compliance profile.

During normal behavior:

Events are load-balanced across the compliance servers using a JID-based algorithm.
Events for different users may be routed to different compliance servers.
Events routed to a compliance server are routed via the IM and Presence Service node to which it is connected.

If an IM and Presence Service node manual failover occurs, events normally routed to its associated compliance server will be handled as follows:

Login and logout events will not be logged to the compliance server. Some users will experience a delay of up to 30 seconds when logging in to IM and Presence Service, but there will be no delay when logging out.
During failover, some users will be blocked from sending IMs or interacting with chat rooms. In this case users will receive a server error response in each case, but there may be a delay of up to 30 seconds before the error is received. Events which are blocked will not be logged to the compliance server.
When failover has been completed, IM or group chat events will be processed by the compliance server connected to the other IM and Presence Service node and stanzas will be delivered normally.

Compliance Handling during Automated Node Failover

Assumed deployment:

Two IM and Presence Service nodes deployed in a sub-cluster with HA enabled.
Each IM and Presence Service node is configured with a different compliance server using the same compliance profile.

During normal behavior:

Events are load-balanced across the compliance servers using a JID-based algorithm.
Events for different users may be routed to different compliance servers.
Events routed to each compliance server are routed via the IM and Presence Service node to which it is connected.

Note

If the failover is not caused by a failure or shutdown of the Cisco XCP Router service, compliance events will continue to be routed to the compliance servers as normal. Events routed to the compliance server connected to the IM and Presence Service node that has failed over will continue to be routed to the compliance server.

Compliance Handling during Network Outage Between Multiple Nodes

Assumed deployment:

Two IM and Presence Service nodes deployed in a sub-cluster with HA enabled.
Each IM and Presence Service node is configured with a different compliance server using the same compliance profile.

During normal behavior:

Events are load-balanced across the compliance servers using a JID-based algorithm.
Events for different users may be routed to different compliance servers.
Events routed to each compliance server are routed via the IM and Presence Service node to which it is connected.

If a network outage between the IM and Presence Service nodes occurs, events for users that are normally routed to the compliance server associated with the other IM and Presence Service node will be handled as follows:

Some users will experience a delay of up to 30 seconds when logging in to IM and Presence Service, but there will be no delay when logging out. Login and logout events will not be logged to the compliance server.
During the outage, some users will be blocked from sending IMs or interacting with chat rooms. Users will receive a server error response in each case, but there may be a delay of up to 30 seconds before the error is received. Events which are blocked will not be logged to the compliance server.
If the outage continues for longer than 2 minutes, events will be processed by another compliance server in the deployment and stanzas will be delivered normally.

Compliance Handling during Cisco XCP Router Service Failure

Assumed deployment:

Two IM and Presence Service nodes deployed in a sub-cluster with HA not enabled.

Each IM and Presence Service node is configured with a different compliance server using the same compliance profile.

Note

In this section, consequences when HA is enabled will also be highlighted.

During normal behavior:

Events are load-balanced across the compliance servers using a JID-based algorithm.
Events for different users may be routed to different compliance servers.
Events routed to each compliance server are routed via the IM and Presence Service node to which it is connected.

The difference in effects that users will experience when HA is either enabled or not enabled are as follows:

When HA is enabled users will remain logged in and will be moved to the remaining node.
When HA is not enabled, users on the failed node will be logged out and will not get any service.

More general effects include:

Events normally routed to the compliance server connected to the failed IM and Presence Service node, will be routed to the compliance server connected to the other IM and Presence Service node.
If the failure is transient, some users will initially be blocked from sending IMs or interacting with chat rooms. Users will receive a server error response in each case, but there may be a delay of up to 30 seconds before the error is received. Events which are blocked will not be logged to the compliance server.
If the failure lasts for a longer period, IMs will be processed normally and be routed to the compliance server connected to the other IM and Presence Service node.

Instant Messaging Compliance Guide for the IM and Presence Service, Release 11.5(1)SU5

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Results

Chapter: Third-Party Compliance Server Integration

Third-Party Compliance Server Integration

About Third-Party Compliance

Compliance Profiles

Compliance Profiles Routing Priority

Example

Third-Party Compliance Server Prerequisites

Third-Party Compliance Server Integration Task Flow

Before you begin

Procedure

Add Compliance Server

Procedure

What to do next

Configure Compliance Profiles

Procedure

What to do next

Configure Compliance Profile Routing Priority

Procedure

What to do next

Assign Compliance Servers

Procedure

What to do next

Restart Cisco XCP Router

Procedure

What to do next

Configure Alarms for Compliance Server

Procedure

Enable Compliance Logging for all Nodes Following Upgrade

Procedure

What to do next

Troubleshooting for Third-Party Compliance Server

About Third-Party Compliance Server Failure Event Handling

A Single Compliance Server or Service Shutdown

A Single Compliance Server or Service Ungraceful Failure or Network Disruption

Compliance Server or Service Graceful Outage with Multiple Compliance Servers

Compliance Server or Service Ungraceful Outage with Multiple Compliance Servers

Compliance Server or Service Outage with Multiple Compliance Servers and Profiles

Compliance Handling during Manual Node Failover

Compliance Handling during Automated Node Failover

Compliance Handling during Network Outage Between Multiple Nodes

Compliance Handling during Cisco XCP Router Service Failure

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