EUC Insight - How to do scanning V8.7.

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Go into EUC Insight using your username and password

Go into the Discovery menu - Select Scan

First off – configure or check the scan settings

You will want to change what is being included for calculating the Risk Rating for a file? If so, select
‘General Configuration’ and follow the instructions detailed in the section General Configurations
Screen below.

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First scans

In the General Configuration screen, you can see the default parameters. The standard file types are
ticked, and the data being collected by the scanning agents for Excel files is selected under Phase Type.

Templates

Templates are a way to segregate the scan settings so that multiple users can run different types of
scans. For example, a user in the Finance Team can run an Excel file only scan with Phase 3 settings,
including linked files for all files after the 31st January, and a user in the Tax department could run a
keyword search on all the files in the Tax folders on just Other file types. The Template is selected when
a file is submitted for scanning.

Phases
Note the ‘Phase’ which is also used in the submit for scan screen. This selects what data fields from
Excel EUC Insight will collect from an Excel file, and therefore can be used for Risk scoring. Note that it
will take longer to scan a file the higher the Phase – so Phase 1 brings in less data fields and will be
quicker than phase 2. But note you can change the selections here, to bring in or omit data in each of
the phases: for example, something ticked in phase 2 could be also selected in phase 1.

Fast scans do not open the files, so are much, much faster. Phase 0 will only read the file properties, but
will also store the data in the main scan tables (unlike Phase 0).

It is best to start with Phase 1 as this is quicker.

Don’t forget to save any changes you make!

When you have finished your amendments press ‘Save’ and then press ‘Close’ to return to the scanning
configurations screen.

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Departments and Users
Departments are used in a number of ways. Security is obtained via the Department – only users with
rights to a department can see that departments data. Reporting and Dashboards are run by
Department, and also Policies can be applied to them.

Departments are setup in the Configuration Menu, within Global Configuration – Server Settings

Users are then put into the Departments – Select the correct Domain first

Access Rights determine what parts of the application the user has access to (i.e. who can run scans,
configure the system, see which reports etc.).

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Scanning
Decide if you want to do a detailed or a fast scan and select from the Select Scan Type dropdown as
appropriate (you can do both of course – if so do the Fast Scan first, as it is very fast, and then the
detailed scan)

Scan a new folder

If you want to scan a folder that has not been scanned before, enter its path into the ‘Enter Path’ field.

Chose which department to run the scan under (this will set the scoring and the policies that are chosen)
and an email address for the user to receive the optional end of scan report (containing configurable
details of the files that have been scanned, set up in ‘Email settings’ at the bottom of the screen.

Then press the ‘add’ button. The selected path should appear with a tick in the main window

Note that any drives with a tick will be scanned – so you may need to untick the ones you do not need to
scan!

Select the scan type and Template, and Scan Label, and press ‘Submit’ to start the scanning agent
scanning the drive.

You will be asked if you want to go to the Job Status window, to be able to see the scans that are
running, say ‘Yes’ to go to the Job Status screen (but note that you don’t have to go to the Job Status
screen – the scans will be running anyway, but it is good to check they have started).

Scanning folders you have already scanned

If the folders you want to scan are already in the list, simply tick them, select the scan type and
template, and then press submit.

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Job Status screen
This screen allows you to see the scan jobs that have been run or are still running. You can stop jobs
here, delete old ones from the list, or look into more detail at a running job to see which file it is
currently running against.

Ensure you have set the ‘Job type’ on the top right of the screen correctly. Note this screen will not
automatically refresh – you will need to press the refresh button (next to the Total Count field) on the
bottom row to get it to update.

You can leave jobs running and come back here at any time to check the status of the jobs.

You do not have to wait for a scan to end to see the results from your scanning – you can do this at any
time in the 2nd pane of the main (you will of course only see the files that have been scanned up to that
point!).

Press ‘Close’ when finished, and then press ’Close’ again. Then select ‘Excel Results’ from the first pane
on the left of the screen to see all the Excel files that have been scanned.

See what is scanning or has been scanned – Job Status

Go to the Scan Window – go into ‘Show Job Status’ to see the current status of the agents

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Excel Results screen
You can use this screen at any time to see what has been scanned, and see the calculated (or manually
overridden) risk rating for the files.

Use the 1st pane to select which part of the Inventory you are interested in – top of the list is Excel, but
you can choose Access, or other files etc. as required.

By default, on entry the 2nd pane will always show the current scoring for any file that has been scanned
and not moved into the Non-working Inventory (or NWI).

It has three filters at the top of the 2nd pane to help you find
a) The results of specific scans (default is ‘All’)
b) Search for a specific file or files by name, department etc., (default is blank)
c) Select all files that fall under a chosen Policy (default is ‘All’)

Use the drop down arrow in each case to make selections from the list, and then the filter button to
apply the filter.

Details on the selected file

To see details on each file, simply click on the file in the list. The 3rd pane at the bottom screen will show
details for the file, select from the tab headings as appropriate.

To get further details on the selected file, click on the down chevron next to each file and a context
sensitive menu will appear.

You can then view the file (if you have

permissions),

Look at the Risk Score Card to see the calculated

risk for each file (which varies by Department).

Look at the File Lineage to see what data is coming

into the file, and where data from the file may be
going (e.g. into a Word doc or PowerPoint
presentation.

Code Quality is available for testing VBA, Python and R files.

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General Configurations Screen
To set the parameters for the scanning – that is what fields to include for a scan phase, then select the
‘General Configurations’ page from the list (the first one) by clicking on the little + on the left of its title.

Define Risk factors, policies etc.

To set the scoring mechanism for a scan, that is the scoring for selected fields by Department, select the
‘Define Risk Factor, Policy…’ page from the list (the second one) by clicking on the little + on the left of
its title.

Then select ‘Risk Factors’ from the link on the right.

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Ensure you chose the correct Department at the top of the screen.

You can now select from the four pages to set the Materiality & Complexity scoring, how to score for
Errors, and in the Advanced page how to score individual functions in a spreadsheet.

Note that keywords are selected in the Materiality page, as shown above.

Refer to the manual for detailed explanations on each field.

Note that you can select ‘Access Risk Factors’ or ‘Other Risk Factors’ as appropriate to change their
scoring mechanism, or enter the key words to scan for etc.

Do not forget to press save, and then close, to save any changes you have made.

Help and various User Options

EUC Insight comes with a help manual accessible directly on the screen

On the right of the display, in the top line, you have a number of icons

Let’s you see and set various User Options

Gives you access to the EUC Insight Manual

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Fast Scans
Note that Fast Scans do not get stored in the database in the same way as detailed scans. They are
there to allow you to check the number, type, size and age of the files that exist on a shared folder – you
can then use the Fast Scan to pass a filtered set for detailed scanning

In the Job Status screen – choose Fast Scan in the top right hard selection box, and you will see a list of
the Fast Scans you have done.

You can then see what you have scanned by clicking on the hyperlink next to each one.

When the list appears, export the list of files into Excel for further analysis

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Fast Scan Analysis report
Select the Fast Scan Analysis report from the Reporting section

Select the department to report, or else the scanned folders if desired

Press OK to run.

The PDF report will show the files you have scanned broken down into three sections – department,
age, and type.

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Policies
Policies are a great way to group scanned files together for reporting and for taking action on.

Policies have a configurable set of filters which can be applied either in an ‘And’ or an ‘Or’ fashion. So for
example a Policy can be defined which will group all the files that have more than 100 formulas, VBA
code and have external links. Another could be created to list all the files with the keyword ‘End
function’ OR ‘End sub’.

Note that files can belong to one or more Policies.

Set the Departments. Enter the File type.

Select the filter criteria

You can have EUC Insight automatically take action on the records in EUC Insight and also on the files
themselves (using the Disposition Service).

Actions:

1) Move files to Excluded Files. File records in the Policy will automatically move to the Excluded
files section, so will be ignored for future scanning.
2) Add to Inventory. File records recognised as EUCs will be added the Inventory automatically
3) Investigate. File records that need user input.
4) Delete/Move – a way to move or delete the actual files themselves.

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Phased Scanning
To allow the user to get to the most critical files, scanning can be done in a number of phases – the
number of files to be tested in each subsequent phase is typically reduced: starting with a fast scan
(where thousands of files are scanned) to detailed scans, until the user comes up with a reduced list of
critical files that need full auditing.

EUC Insight has ‘Phase Management’ capability which supports this. This allows the user to take the
results from a previous scan, filter them using a number of parameters, and then use the resultant
filtered file list as the input for the next phase.

From the General Configurations screen, scroll down to select ‘Phase Management’

Select Phase Management

If you want to use the results from a Fast Scan – tick the fast Scan box. Alternatively EUC Insight will
show the next Phase to be used (following on from the last one in the Scan Settings screen).

Select the parameters for choosing records by selecting from the drop down next to the ‘And
Operations’ or ‘Or Operations’ as appropriate. For example you can choose all the files with more than
10 sheets. Then press ‘Next’.

You will be shown the remaining list of files after the filter has been applied.

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You can close the window to go back and change your selections. You can filter the list further (by name
or risk factor/indicator for instance).

When you have the list of files correct, you can then Apply or Apply All to fix the list of files to be used
for phased scanning.

Then press Close

Lastly – you must go into the Scan Settings screen, and ensure you have selected Apply Phase Filter

Each phase normally uses a series of tests that take longer to process than the tests on the previous
phase – thus it is good practice not to perform tests in phase 2 or 3 for what has already been tested for
in a previous phase, as this could be wasted time.

Move files to the Excluded Files Inventory

You can move files to the Excluded Files Inventory once you have decided that they are not of interest
by using the context menu which appears when you press the down chevron .

This stops them from being scanned again, and thus saves time when scanning and reduces the number
of files being shown in the Discovery file lists.

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You can move them from the context menu

Or use a Policy to select the files to be moved (after selecting the Policy go into Policy Files)

Files can also be moved automatically using a Policy, which is a quick way to discount a lot of files whilst
scanning.

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