Compliance Mode

Updated: November 8, 2022

This page gives all the necessary steps to install the Retention Management addon with the Compliance mode.


The Amazon S3 Online Storage addon needs to be configured on your instance


This addon requires no specific installation steps. It can be installed like any other package with nuxeoctl command line or from the Update Center.


Nuxeo Server

In Compliance mode, the Nuxeo Retention Management addon requires to disable the attachments, versioning, and comments features.

This is done adding the parameter nuxeo.retention.compliance.enabled=true in the server nuxeo.conf.

This has to be done prior to any usage of the Nuxeo instance to guarantee the data consistency.

Amazon S3

In compliance mode, Nuxeo Platform with Nuxeo Retention Management addon requires the usage of 2 Amazon buckets:

  • A standard S3 bucket as for any other standard Nuxeo instance: this bucket is used to store the standard documents. You can refer to Amazon S3 Online Storage documentation to configure this bucket.

  • An S3 bucket dedicated to the records that is configured on Compliance mode: this bucket is used to store the records only. Compared to the standard bucket, the Garbage Collector must be disabled as there is a specific deletion process.

Amazon S3 Configuration Requirements

Compliance with SEC Rule 17a-4 requires to configure Nuxeo Platform to use Amazon S3 Compliance Buckets to store records required by regulation, thereby establishing the foundation for meeting the requirements of the Rule.


  • Direct writes to the Amazon S3 storage system must be disabled, to ensure all documents transit through Nuxeo Platform for compliant processing.

  • The Amazon S3 Object Lock feature must be enabled in Compliance Mode on the bucket intended to store objects that are marked as final records.

  • Amazon S3 Versioning must be enabled (it is automatically enabled when enabling object lock).

  • The default retention value for Amazon S3 Compliance Buckets intended to retain compliant record objects must not be set (or at least set to zero).

  • No Min/Max range should be established for Amazon S3 Compliance Buckets intended to retain compliant record objects.

  • Amazon S3 Lifecycle Policies must not be configured for use within the Nuxeo Platform storage subsystem.

Configure the Records Bucket in Amazon S3 Online Storage

Through XML Configuration File

Once the standard Amazon S3 bucket is installed as described in Amazon S3 Online Storage, you have to add an XML extension file to configure the bucket dedicated to the records and how to dispatch files in each bucket (documents vs records):

  • The file has to be added into $NUXEO_HOME/nxserver/config
  • The file name has to be ended with -config.xml
  • The file must contain a specific component name:
<component name="records-s3-compliance">
  • The file must contain a blob manager extension with the configuration of the S3 bucket dedicated to the records and the following parameters:
<extension target="org.nuxeo.ecm.core.blob.BlobManager" point="configuration">
    <blobprovider name="records">
      <property name="record">true</property>
  • The file must contain a blob dispatcher extension as described here:
<extension target="org.nuxeo.ecm.core.blob.DocumentBlobManager" point="configuration">
      <property name="records">records</property>
      <property name="default">default</property>

This configuration and this binary manager org.nuxeo.ecm.blob.s3.S3BlobProvider can only be used with the Retention addon as described in this section, meaning:

  • use two S3 buckets
  • use the object lock on the records buckets

    If you want to configure your instance with only 1 bucket and NO object lock, please refer to the standard installation.

Complete XML extension file example:

<?xml version="1.0"?>
<component name="records-s3-compliance">


  <extension target="org.nuxeo.ecm.core.blob.BlobManager" point="configuration">
    <blobprovider name="records">
      <property name="record">true</property>
      <property name="awsid">${nuxeo.s3storage.awsid}</property>
      <property name="awssecret">${nuxeo.s3storage.awssecret}</property>
      <property name="awstoken">${nuxeo.s3storage.awstoken}</property>
      <property name="bucket">Your S3 bucket for records</property>
      <property name="region">${nuxeo.s3storage.region}</property>
      <property name="endpoint">${nuxeo.s3storage.endpoint}</property>
      <property name="pathstyleaccess">${nuxeo.s3storage.pathstyleaccess}</property>
      <property name="accelerateMode">${nuxeo.s3storage.accelerateMode}</property>
      <property name="bucket_prefix">Prefix for your S3 bucket for records</property>
      <!-- min file age, in second, to be removed from cache if the size max size is reached, default is 3600 -->
      <property name="cacheminage">60</property>
      <property name="cachesize">100MB</property>
      <property name="connection.max">50</property>
      <property name="connection.retry">3</property>
      <property name="connection.timeout">50000</property>
      <property name="socket.timeout">50000</property>

  <extension target="org.nuxeo.ecm.core.blob.DocumentBlobManager" point="configuration">
      <property name="records">records</property>
      <property name="default">default</property>
Through nuxeo.conf Properties

Alternatively, you can add the s3retention template to the nuxeo.templates property in your nuxeo.conf file:


This will enable the s3-retention-config.xml which allows to define these properties in your nuxeo.conf file:

  • nuxeo.retention.s3storage.bucket
  • nuxeo.retention.s3storage.bucket_prefix
  • nuxeo.retention.s3storage.awsid
    (fallback on nuxeo.s3storage.awsid)
  • nuxeo.retention.s3storage.awssecret
    (fallback on nuxeo.s3storage.awssecret)
  • nuxeo.retention.s3storage.awstoken
    (fallback on nuxeo.s3storage.awstoken)
  • nuxeo.retention.s3storage.region
    (fallback on nuxeo.s3storage.region)
  • nuxeo.retention.core.blobstore.digestAsync
    (fallback on nuxeo.core.blobstore.digestAsync)
  • nuxeo.retention.s3storage.cacheminage
    (fallback on nuxeo.s3storage.cacheminage)
  • nuxeo.retention.s3storage.cachesize
    (fallback on nuxeo.s3storage.cachesize)
  • nuxeo.retention.s3storage.cachecount
    (fallback on nuxeo.s3storage.cachecount)
  • nuxeo.retention.s3storage.connection.max
    (fallback on nuxeo.s3storage.connection.max)
  • nuxeo.retention.s3storage.connection.retry
    (fallback on nuxeo.s3storage.connection.retry)
  • nuxeo.retention.s3storage.connection.timeout
    (fallback on nuxeo.s3storage.connection.timeout)
  • nuxeo.retention.s3storage.socket.timeout
    (fallback on nuxeo.s3storage.socket.timeout)
  • nuxeo.retention.s3storage.endpoint
    (fallback on nuxeo.s3storage.endpoint)
  • nuxeo.retention.s3storage.pathstyleaccess
    (fallback on nuxeo.s3storage.pathstyleaccess)
  • nuxeo.retention.s3storage.accelerateMode
    (fallback on nuxeo.s3storage.accelerateMode)