Evidence Export Guide¶

Overview¶

The File Upload Security Configurator generates tamper-evident compliance evidence packages for regulatory review. Each export includes validation history, violation records, and optional baselines with SHA-256 cryptographic integrity verification.

Quick Start¶

# Export all evidence (interactive auth)
.\scripts\Export-FileUploadEvidence.ps1 `
    -TenantId "contoso.onmicrosoft.com" `
    -DataverseUrl "https://governance.crm.dynamics.com" `
    -Interactive

# Export Q1 2026 evidence
.\scripts\Export-FileUploadEvidence.ps1 `
    -TenantId "contoso.onmicrosoft.com" `
    -DataverseUrl "https://governance.crm.dynamics.com" `
    -StartDate "2026-01-01" `
    -EndDate "2026-03-31" `
    -IncludeBaselines `
    -Interactive

Evidence Package Structure¶

{
  "metadata": {
    "evidenceId": "guid",
    "generatedAt": "ISO 8601 UTC",
    "generatedBy": "operator",
    "solution": "File Upload Security Configurator",
    "control": "1.14 - Data Minimization and Agent Scope Control",
    "filters": { "zone": "All", "startDate": null, "endDate": null }
  },
  "summary": {
    "validationCount": 30,
    "violationCount": 3,
    "baselineCount": 45
  },
  "validations": [ ... ],
  "violations": [ ... ],
  "baselines": [ ... ]
}

Integrity Verification¶

Each evidence file is accompanied by a .sha256 companion file:

# Verify evidence file integrity
.\scripts\Test-EvidenceIntegrity.ps1 `
    -EvidenceFilePath .\FUS-Evidence-20260210.json

# Output: VERIFIED: Evidence file integrity confirmed.

Filtering Options¶

Parameter	Description	Example
`-Zone`	Filter by governance zone	`-Zone Zone3`
`-StartDate`	Start of date range	`-StartDate "2026-01-01"`
`-EndDate`	End of date range	`-EndDate "2026-03-31"`
`-RunId`	Specific validation run	`-RunId "abc-123"`
`-IncludeBaselines`	Include baseline records	`-IncludeBaselines`

Regulatory Context¶

Regulation	Evidence Support
SEC 17a-4(f)	SHA-256 integrity hashing supports tamper-evident electronic records
FINRA 4511	Immutable validation history provides required audit trail
SOX 404	Evidence packages support internal control testing and documentation
GLBA 501(b)	Data access validation evidence for safeguards compliance

Retention Guidance¶

Retain evidence exports per your organization's retention policy
Minimum recommended: 7 years (aligns with SEC/FINRA requirements)
Store in write-once or append-only storage to support regulatory compliance requirements
Maintain chain of custody documentation for evidence files

File Upload Security Configurator — Evidence Export Guide