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Archer Audit Management from RSA Archer
Enables planning and management of the audit lifecycle. Tracks audit trails of all actions, findings, and evidence, integrates with risk and compliance systems, and supports regulatory reporting in finance.
Product analysis by function
Audit Trail Systems for Compliance and Risk Management
Software that maintains comprehensive records of all client interactions, recommendations made, and the basis for those recommendations to demonstrate compliance with fiduciary or suitability standards.
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Data Capture & Recordkeeping
(7 Yes /7 Known /10 Possible features)
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Comprehensive Interaction Logging Records all types of client interactions (email, call, in-person, digital). |
Product documentation states Archer records and logs all types of audit actions, which implies comprehensive interaction logging. However, for 'client interactions' explicitly, broader Archer IRM solutions do include client/advisor context. | |
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Automatic Timestamping Captures exact date and time of every change or entry. |
Audit trails in Archer are timestamped automatically per documentation and demo screenshots. | |
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Document Attachment Support Allows the secure upload and association of supporting documents with audit entries. |
Archer allows attaching documents as audit evidence and findings per product notes. | |
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Editable Notes Ability to add and update advisor notes for context while maintaining previous versions. |
Editable notes are supported, with change/version history preserved in Archer. | |
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Change Log/Version History Keeps a record of all data modifications with before/after state. |
Change log/version history is a core feature described in Archer's documentation. | |
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Immutable Ledger Ensures records cannot be altered or deleted after entry for audit integrity. |
No information available | |
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Volume Capacity Maximum number of records or interactions system can reliably store per year. |
No information available | |
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Data Retention Period Length of time records are retained according to regulatory guidelines. |
No information available | |
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Bulk Import/Export Supports mass upload and export of records for migration or backup. |
Bulk import and export of audit records supported for migration and regulatory response. | |
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Multimedia Storage Ability to store audio, video, and multimedia communications as part of the audit trail. |
Supports upload and storage of multimedia files (audio, video) as evidence in audits. |
Search, Retrieval & Reporting
(8 Yes /8 Known /10 Possible features)
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Advanced Search Robust filters (date, client, advisor, event type, etc.) for quickly finding records. |
Advanced search and robust filters available for audits, evidence, and users. | |
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Customizable Reporting Build and export tailored reports for compliance reviews, audits, and investigations. |
Custom reporting functionality provided within Archer for compliance and audits. | |
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Audit Trail Visualization Timeline or graphic visualization of client-interaction histories. |
Audit visualizations available (timeline/history views for audits/cases). | |
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Export Formats Available formats for exporting data (CSV, PDF, Excel, etc.). |
No information available | |
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Saved Reports Ability to save and schedule common audit reports. |
Saved and scheduled reports available for recurring compliance/audit needs. | |
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Role-based Data Access Limits report/data access based on user role/permissions. |
Role-based data access detailed in both marketing and admin documentation. | |
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Time to Retrieve Record Average time to access a record from search to display. |
No information available | |
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Bulk Data Extraction Allows mass export of historical audit trails for regulatory requests. |
Bulk historic data extraction for audits and compliance available by design. | |
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Keyword Tagging/Search Tag records for easier retrieval using user-defined keywords. |
Keyword tagging and search available for audit entries and cases. | |
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Full-Text Search Scans attached documents and notes for keywords/phrases. |
Full-text search over documents and notes available in Archer. |
Security & Access Control
(8 Yes /8 Known /10 Possible features)
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User Authentication Enforces secure user logins and multifactor authentication. |
User authentication, including SAML/SSO and MFA, is part of Archer's security suite. | |
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Role-Based Permissions Granular control over who can access, view, edit, or export audit records. |
Granular, role-based security/permissions supported for audit records in Archer. | |
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Encryption at Rest All records are encrypted when stored on disk. |
Product documentation specifies encryption at rest for all stored records. | |
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Encryption in Transit Data is always encrypted during network transmission. |
Encryption in transit (TLS/SSL) confirmed in product security whitepapers. | |
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Audit Log of Access Fully logs which users access which records and when. |
All user and system access to audit data is logged and available for review. | |
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Session Timeout Sessions auto-expire after set period of inactivity. |
Session timeout and expiration policies are configurable; compliance with security standards. | |
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Failed Login Alerts Notifies administrators of repeated login failures or suspicious access. |
No information available | |
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Granular Field Masking Sensitive fields (SSN, addresses, etc.) are masked unless explicitly permitted. |
Field masking is supported for PII/sensitive fields through access controls. | |
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User Password Policy Controls Configure password complexity and refresh requirements. |
Password policy controls (complexity, refresh) are enforced in administrator settings. | |
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Number of Permission Levels How many roles or permission profiles can be configured. |
No information available |
Regulatory Compliance Support
(9 Yes /9 Known /10 Possible features)
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Pre-Configured Compliance Templates Built-in reporting and workflows for key financial regulations. |
Templates for SOX, GDPR, and other regulations pre-configured in Archer. | |
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Custom Policy Rule Engine Allow firms to define customized compliance triggers and alerts. |
Custom rule engines can be built for policy monitoring and alerts. | |
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Audit Readiness Dashboard Central view of compliance status with outstanding tasks/deficiencies. |
Compliance dashboard summarizes audit readiness and gaps. | |
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Regulatory Change Updates System updates templates/processes in response to new regulations. |
System updates for new regulations and templates provided by RSA/Archer support. | |
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Automated Exception Alerts Notifies users about entries/actions requiring special compliance attention. |
Automated alerts/exception handling part of the compliance workflow setup. | |
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Custom Compliance Reports Flexible reporting to demonstrate compliance with local/global rules. |
Custom reporting to demonstrate compliance is available and configurable. | |
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E-Signature Compliance Supports legally recognized e-signatures for documentation. |
Digital signature (e-signature) support integrated with workflow and compliance. | |
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Policy and Forms Repository Centralized location for latest firm/industry policies and forms. |
Central repository for policies, forms, and regulatory documents included. | |
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Automated Retention Policy Enforcement Automatically deletes or archives records as required by law. |
Automated record archival and deletion supported based on configured policy. | |
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Regulatory Export Formats Supported Number of regulatory-mandated export types available. |
No information available |
Integration & Interoperability
(9 Yes /9 Known /10 Possible features)
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API Availability Robust APIs for retrieving and pushing audit data programmatically. |
REST APIs and integration interfaces available for records and events. | |
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Integration with Core Systems Pre-built connectors for CRMs, portfolio management, and trading platforms. |
Standard integration connectors for CRMs, GRC, and finance-specific tools detailed in documentation. | |
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Email System Integration Automatically captures advisor-client communications from email systems. |
Email integration available for capturing evidence and communications. | |
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Document Management Integration Links with digital document vaults and e-signature platforms. |
Supports secure document management system integrations (e.g., DocuSign, SharePoint connectors). | |
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Calendar/Task Integration Syncs audit trail activities with advisor calendars and task lists. |
Can sync selected activities and reminders to Outlook and calendar systems via integration. | |
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Webhook/Notification Integration Triggers external notifications or workflows based on audit trail events. |
Webhook and notification integration available to trigger external workflows. | |
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Third-Party SaaS Connections Number of officially supported cloud/SaaS tools for integration. |
No information available | |
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Mobile App Integration Audit access from mobile CRMs or compliance apps. |
Mobile-friendly interface and app integration supported for Archer platform. | |
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Real-Time Data Sync Synchronizes audit records across systems in real time. |
Near real-time data synchronization capable between core systems and Archer. | |
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Custom Integration Support Allows custom-built connectors for proprietary systems. |
Custom connectors can be built for legacy/proprietary systems by RSA partners or customer IT. |
Scalability & Performance
(5 Yes /5 Known /10 Possible features)
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Max Concurrent Users Number of users who can access the audit system simultaneously. |
No information available | |
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System Uptime SLA Guaranteed uptime for the service infrastructure. |
No information available | |
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Processing Speed Average time taken to save and retrieve audit records. |
No information available | |
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Failover/Disaster Recovery Redundancy and recovery systems to minimize data loss/outage. |
Full disaster recovery and failover options documented for Archer deployments. | |
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Multi-Region Support Ability to host audit data in multiple jurisdictions/regions. |
Archers offers support for multiple data-hosting regions and jurisdictions. | |
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On-Premises & Cloud Options Choice of deployment models to match firm requirements. |
Supports both on-premises and cloud deployments. | |
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Data Archiving Capacity Maximum size of historical data system can archive efficiently. |
No information available | |
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Scalable Storage Storage expands automatically as audit volumes grow. |
Storage capacity can be scaled to accommodate growing records per product sizing. | |
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Load Balancing Automatically manages traffic to maintain system responsiveness under load. |
Supports load balancing and horizontal scaling in cloud and enterprise installs. | |
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Performance Monitoring Alerts Automatic warnings when system performance degrades. |
No information available |
User Experience & Interface
(8 Yes /8 Known /10 Possible features)
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Intuitive Dashboard User-friendly main interface summarizing key audit activities and tasks. |
Main dashboard provides intuitive and summarized views of key audit activities. | |
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Customizable Views Users can tailor visible fields, columns, or layouts to fit preferences. |
Customizable dashboards/views documented in Archer features. | |
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Multi-Language Support Interfaces and help content available in multiple languages. |
Multi-language interface support provided for global deployments. | |
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Accessibility Compliance Meets ADA/WCAG accessibility standards for users with disabilities. |
Supports accessibility requirements; WCAG/ADA alignment stated in offering for regulated industries. | |
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Mobile Responsiveness Optimized for desktop, tablet, and smartphone use. |
Web UI is responsive for mobile/tablet use; supported by official documentation. | |
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Contextual Help/Hints In-app guidance and definitions for features and fields. |
Contextual in-app help, guided tours, and assisted onboarding documented. | |
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Theme Customization Selectable color schemes and branding for firm customization. |
Branding/themes are customizable to match client preferences. | |
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Search Autocomplete Predictive suggestions while typing in search fields. |
No information available | |
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Quick Entry Templates Pre-set forms or templates for faster record input. |
No information available | |
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Drilldown Navigation Click-through from summary to detail with minimal steps. |
Drilldown from audit summaries to full detail available in Archer UI. |
Notifications, Alerts & Workflow Automation
(8 Yes /8 Known /10 Possible features)
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Custom Alert Triggers Define rules for sending alerts when certain events occur in the audit trail. |
Custom alert triggers can be defined for workflow and notification. | |
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Automated Task Assignment Assign follow-ups or compliance tasks from audit entries. |
Automated task and notification assignment part of Archer's compliance workflow engine. | |
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Escalation Notifications Escalates unaddressed compliance risks to management after defined time. |
Tasks and notifications can be escalated per configured workflow, supported in documentation. | |
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User Notification Channel Options Email, SMS, in-app, and push notification options. |
No information available | |
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Calendar Reminders Allows automatic creation of calendar events for compliance review. |
Calendar reminder and calendar integration functions available for compliance review. | |
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Workflow Builder Visual interface to design custom workflows for audit data handling. |
Visual workflow builder included as standard in Archer for workflows and processes. | |
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Template-Based Workflows Pre-built workflow templates for standard compliance tasks. |
Template-based workflow options available for rapid deployment. | |
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Approval Routing Routes audit records for multi-level review/approval. |
Multi-level approval routing is documented as part of Archer's workflow capabilities. | |
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Real-Time Status Updates Instant notifications of audit data status changes. |
Real-time status notification supported for workflow stages and data changes. | |
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Event Frequency Limits Limits on how often users receive repeat notifications. |
No information available |
Audit & Investigation Tools
(9 Yes /9 Known /10 Possible features)
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Forensic Record Lockdown Freezes selected records to prevent alteration during investigation. |
Forensic lockdown capability available for investigative/legal requirements. | |
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Anomaly Detection Flags unusual patterns or outliers in audit data (frequency, volume, timing). |
Anomaly detection modules/plugins available (subject to module licensing). | |
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Activity Timeline Reconstruction Automatically builds chronological timelines for specific users or clients. |
Timeline reconstruction for users/clients evidenced in audit trail visualizations. | |
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Redaction Tools Safely redact sensitive information from exported audit records. |
Redaction of sensitive data from exports is supported and documented. | |
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Automated Sampling Generates random record samples for compliance spot checks. |
No information available | |
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Investigation Case Management Organizes and tracks the progress of multiple investigations. |
Case management for investigations and audits included as feature/module. | |
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Audit Evidence Linking Associates supporting evidence files with investigation cases. |
Links external or internal evidence/documents to investigation/audit cases. | |
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Incomplete/Inactive Record Identification Flags records missing information or inactive beyond thresholds. |
Product supports identifying incomplete or inactive records via rules/filters. | |
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Export with Legal Hold Prevents deletion/alteration of exported files under legal hold. |
Legal hold export and prevention of deletion available in case of investigation/litigation. | |
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Chain-of-Custody Tracking Maintains and displays complete handling history for all records under investigation. |
Chain-of-custody audit tracking maintained and exposed for regulatory purposes. |
Customization & Extensibility
(8 Yes /8 Known /10 Possible features)
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Custom Field Creation Organizations can add their own data fields to the audit schema. |
Custom field addition supported by admin/developer functionality in Archer. | |
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Form/Template Builder Drag-and-drop interface for building new entry forms and templates. |
Form/template builder for custom audit and compliance forms included. | |
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Scriptable Actions Develop custom scripts triggered by audit events. |
Scriptable/custom actions possible for integrations and workflow extensions. | |
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Custom Branding Upload logos, firm colors, and themes. |
Firm-level branding and theme customization available in Archer platform. | |
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Localization Support Adapt layouts and content for global offices. |
Localization and deployment adaptation for global offices are supported. | |
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Plug-In Architecture Extend system with custom developed plug-ins or modules. |
Plug-in and extensibility architecture for custom modules documented for Archer. | |
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Number of Custom Fields Allowed Maximum number of additional fields per record. |
No information available | |
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User Role Flexibility Define and manage custom user roles beyond defaults. |
Custom and flexible user roles are part of Archer's role-based access control. | |
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Workflow Customization Depth Level of complexity supported in custom workflow automation. |
No information available | |
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Developer Documentation Comprehensive guides, SDKs, and code samples for extensibility. |
Developer documentation, API guides, and SDKs provided to customers/partners. |
Support, Training & Vendor Reliability
(9 Yes /9 Known /10 Possible features)
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24/7 Support Availability Access to technical and product support around the clock. |
24/7 technical support available to enterprise customers. Cited on RSA Archer support pages. | |
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Onboarding Assistance Step-by-step guidance for implementation and user training. |
Onboarding assistance and implementation support is part of Archer's offering. | |
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Online Knowledge Base Comprehensive library of guides, FAQs, and troubleshooting tips. |
Online knowledge base and help center available publicly and to customers. | |
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Live Training Sessions Regularly scheduled or ad hoc live web training for users. |
Live and on-demand user training available as part of customer enablement. | |
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Certification Programs Official user or admin certification offered. |
Certification programs for Archer admins and users listed in service catalog. | |
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Multi-Language Support Support and help materials available in multiple languages. |
Support/knowledge base offered in multiple languages. | |
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Release Notes & Roadmap Visibility Clear communication of changes, bug fixes, and product plans. |
Release notes and roadmap visibility provided through RSA/Archer support portal. | |
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Outage Communication Protocol Proactive notification of downtime or major system issues. |
Outage communication protocol is organizational standard and detailed in support docs. | |
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Customer Success Manager Dedicated success representative for large accounts. |
Customer Success Manager assigned to enterprise/large clients as per support policy. | |
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Average Support Response Time Average time to first response for a new support ticket. |
No information available |
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