Express Server User's Guide

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Manuals for the Product

The manuals for this product are divided as follows. Please refer to them for detailed information.

CD-ROM Guides with this symbol are manuals in PDF format included on the accompanying CD-ROM.*

• iW Secure Audit Manager Express Server

Installation and Instructions.

Express Server

User's Guide

(This Document)

CD-ROM

• iR Agent Instructions.

_{Express Server iR Agent}

User's Guide

CD-ROM

• iW Secure Audit Manager Express Server

Message and Countermeasure.

Express Server

Message List

CD-ROM

• Explains how to perform License

Authentication for Express Server.

Software License

Registration Guide

CD-ROM

• Explains how to execute the virtual

environment support tool necessary when you are using Express Server in the virtual environment.

Procedure for Running

Virtual Environment

Support Tool

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How This Manual Is Organized

Overview of Express Server

Designing and Building Your System Environment

Installing Express Server

Installing iR Agent

Configuring File Server

Configuring the Use of System Manager

Upgrading Appendix Chapter 1 Chapter 2 Chapter 3 Chapter 4 Chapter 5 Chapter 6 Chapter 7 Chapter 8

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Chapter 1 Overview of Express Server

Express Server . . . 1-2 Features of Express Server. . . 1-5 Export Function . . . 1-5 E-mail Notification Function . . . 1-6 System Log Function . . . 1-7 Mutual Monitoring Function between Service Provider and Agent . . . 1-9 Configuring Express Server . . . 1-10 System Requirements . . . 1-11 Express Server . . . 1-12 Hardware . . . 1-12 Software . . . 1-12 iR Agent . . . 1-14 Hardware . . . 1-14 Software . . . 1-14 File Server. . . 1-15 Software Environment . . . 1-15 Network Environment . . . 1-15 Installing and Configuring of Express Server . . . 1-16 Step 1 Installing Express Server . . . 1-16 Step 2 Configuring and Checking Express Server . . . 1-17

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Chapter 2 Designing and Building Your System Environment

Checking Secure Audit Manager Operating Environment. . . 2-2 Checking Security Environment Implementation . . . 2-2 Secure Audit Manager Design Check . . . 2-3 Secure Audit Manager Operation Check . . . 2-4

Chapter 3 Installing Express Server

Installing Express Server . . . 3-2 Overview of Installing and Configuring Express Server . . . 3-2 Step 1 Installing Express Server . . . 3-2 Step 2 Configuring the Required Settings for Operating Express Server . . . 3-3 Installing Internet Information Services (IIS) . . . 3-4 Installing Internet Information Services (IIS) 6.0. . . 3-4 Installing Internet Information Services (IIS) 7.0. . . 3-7 Installing Express Server. . . 3-11 License Authentication . . . 3-17 About Express Server License . . . 3-18 Notes on Reinstallation . . . 3-19 Specifying the Older System Folder (Recommended). . . 3-19 Specifying a New System Folder . . . 3-19 Configure DCOM Access Restrictions . . . 3-20 Configuring HTTP (HTTPS) Port . . . 3-26 Allowing ASP.NET in Internet Information Services (IIS) . . . 3-29 Configuring ASP.NET in Internet Information Services (IIS) 6.0 . . . 3-30 Configuring ASP.NET in Internet Information Services (IIS) 7.0 . . . 3-30 Configuring Service Provider . . . 3-31 Uninstalling Express Server. . . 3-32

Chapter 4 Installing iR Agent

Installing/Uninstalling iR Agent . . . 4-2 Installing iR Agent . . . 4-2 About iR Agent License . . . 4-4 Uninstalling iR Agent. . . 4-5

Chapter 5 Configuring File Server

Creating the Export Folder . . . 5-2 Overview of Creating and Configuring the Export Folder . . . 5-2 Step 1 Preparing the Creation Environment for the Export Folder . . . 5-2 Step 2 Creating the Export Folder and Configuring It for Operations . . . 5-2 Adding User Accounts . . . 5-3 Adding User Accounts in Windows Server 2003 . . . 5-3 Adding User Accounts in Windows Server 2008 . . . 5-4

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Creating the Shared Folder . . . 5-6 Creating a Shared Folder in Windows Server 2003 . . . 5-6 Creating a Shared Folder in Windows Server 2008 . . . 5-11 Configuring the Firewall . . . 5-16 Configuring Firewall in Windows Server 2003 . . . 5-16 Configuring Firewall in Windows Server 2008 . . . 5-18

Chapter 6 Configuring the Use of System Manager

Configuring Express Server . . . 6-2 Log In . . . 6-2 Structure of System Manager Configuration Screen . . . 6-5 Service Provider . . . 6-7 Service Provider Settings List. . . 6-7 Registering Service Provider Properties. . . 6-8 iR Agent. . . 6-13 iR Agent List . . . 6-13 Registering iR Agent Properties . . . 6-17 [iR Agent Properties] Screen Displayed in V1.1 . . . 6-18 [iR Agent Properties] Screen Displayed in V1.2 or later . . . 6-19 Configuring System Environment . . . 6-25 System Environment Settings . . . 6-25 Checking System Environment Settings. . . 6-26 Configuring and Changing System Environment . . . 6-28 Configuring E-mail Notification . . . 6-33 Checking E-Mail Notification Settings . . . 6-34 Configuring and Changing E-mail Notification Settings . . . 6-36 Registering and Changing Destinations . . . 6-38 Detailed Settings . . . 6-40 Checking Detailed Settings . . . 6-41 Configuring and Changing Detailed Settings . . . 6-42

Chapter 7 Upgrading

Upgrading Express Server . . . 7-2 When Express Server V1.2x Is Installed. . . 7-2 When Express Server V1.2x Is Uninstalled . . . 7-3 Upgrading iR Agent . . . 7-4

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Chapter 8 Appendix

Creating the System Administrator User . . . 8-2 Recommended Configuration for Different Use Cases . . . 8-4 When Saving Text Data Only. . . 8-4 Use Condition . . . 8-4 System Manager Settings. . . 8-4 When Saving Image Data . . . 8-5 Use Condition . . . 8-5 System Manager Settings. . . 8-5 When Saving Image Data of High Image Quality . . . 8-6 Use Condition . . . 8-6 System Manager Settings. . . 8-6 E-mail Notification Details . . . 8-7 E-mail Notification from Service Provider . . . 8-7 Notification of Errors and Disk Space Insufficiency in Service Provider. . . 8-7 E-mail Notification from Agent. . . 8-8 Notification of Unknown Agent . . . 8-8 Error Notification of Job Information Transmission Retry Error in the Agent. . . 8-9 Notification of Maximum Page Number Exceeded. . . 8-9 Notification of Disk Space Insufficiency in the Agent . . . 8-10 Error Notifications from License Authentication . . . 8-10 Notification of the Number of Remaining Days for the Valid License . . . 8-11 Order of Powering Off and On When Operating Express Server . . . 8-12 Uninstallation Steps for Express Server . . . 8-13 Restrictions . . . 8-14 Glossary . . . 8-21 Index . . . 8-27

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Preface

Thank you for purchasing iW Secure Audit Manager. Please read this manual thoroughly before operating the product to familiarize yourself with its capabilities, and to make the most of its many functions. After reading this manual, store it in a safe place for future reference.

How to Use This Manual

This manual is targeted for readers who have basic operational knowledge of Windows and Web browsers.

Symbols Used in This Manual

The following symbols are used in this manual to explain procedures, restrictions, handing precautions, and instructions that should be observed for safety.

IMPORTANT

Indicates operational requirements and restrictions. Be sure to read these items carefully to operate the product correctly.

NOTE

Indicates a clarification of an operation, or contains additional explanations for a procedure. Reading these notes is highly recommended.

Buttons Used in This Manual

The following symbols and button names are a few examples of how buttons to be pressed are represented in this manual:

•Buttons on Computer Operation Screens: [OK]

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Displays Used in This Manual

Screen shots of the computer displays used in this manual may differ slightly, depending on the operating system you are using.

The buttons you should click are marked with a , as shown below. When multiple buttons can be clicked, all buttons are marked and mentioned in the order in which they should be clicked.

Click this button for operation.

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Abbreviations Used in This Manual

In this manual, product names and model names are abbreviated as follows: Microsoft Windows XP operating system: Windows XP

Microsoft Windows Vista operating system: Windows Vista Microsoft Windows 7 operating system: Windows 7

Microsoft Windows Server 2003 operating system: Windows Server 2003 Microsoft Windows Server 2008 operating system: Windows Server 2008 Microsoft Internet Explorer: Internet Explorer Microsoft .NET Framework: .NET Framework

Microsoft Internet Information Services: Internet Information Services (IIS)

iW Secure Audit Manager: Secure Audit Manager iW Secure Audit Manager Express Server: Express Server iW Secure Audit Manager Service Provider: Service Provider iW Secure Audit Manager System Manager: System Manager iW Secure Audit Manager iR Agent: iR Agent

Canon SAM Data Process Service: Data Process Service Canon SAM Export Service: Export Service Canon SAM Management Service: Management Service Canon SAM Report Service: Report Service Canon multifunctional devices such as

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Legal Notices

Trademarks

MEAP is a trademark of Canon Inc.

Adobe and Adobe Acrobat are trademarks of Adobe Systems Incorporated. Microsoft, Windows, Windows Server, Windows Vista, Windows 7, Internet Explorer, and Microsoft Internet Explorer logo are registered trademarks or trademarks of Microsoft Corporation in the United States and/or other countries. Other products and company names herein may be the trademarks of their respective owners.

Copyright

No part of this publication may be reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopying and recording, or by any information storage or retrieval system without the prior written permission of Canon Inc.

Disclaimers

The information in this document is subject to change without notice.

CANON INC. MAKES NO WARRANTY OF ANY KIND WITH REGARD TO THIS MATERIAL, EITHER EXPRESS OR IMPLIED, EXCEPT AS PROVIDED HEREIN, INCLUDING WITHOUT LIMITATION, THEREOF, WARRANTIES AS TO

MARKETABILITY, MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE OF USE OR NON-INFRINGEMENT. CANON INC. SHALL NOT BE LIABLE FOR ANY DIRECT, INCIDENTAL, OR CONSEQUENTIAL DAMAGES OF ANY NATURE, OR LOSSES OR EXPENSES RESULTING FROM THE USE OF THIS MATERIAL.

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CHAPTER

1

Overview of Express Server

This chapter introduces Express Server and describes the components required to set up your system.

Express Server . . . 1-2 Features of Express Server . . . 1-5 Export Function . . . 1-5 E-mail Notification Function . . . 1-6 System Log Function . . . 1-7 Mutual Monitoring Function between Service Provider and Agent . . . 1-9 Configuring Express Server . . . 1-10 System Requirements . . . 1-11 Express Server . . . 1-12 iR Agent . . . 1-14 File Server . . . 1-15 Installing and Configuring of Express Server . . . 1-16 Step 1 Installing Express Server . . . 1-16 Step 2 Configuring and Checking Express Server . . . 1-17 Express Server Components . . . 1-20

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Ov er vie w of Expr ess Se rv e r

1 Express Server

Express Server is a system for extracting log information and content data (text data/image data) of jobs including printing, copying and faxing performed by users as job information, storing and managing it in the server according to preconfigured information. Managing job information makes it possible to track the content of user jobs, thus enabling document distribution oversight that prevents leaks or abuse of confidential or closely held information.

Express Server consists of the following components: •Express Server

•iR Agent

•File server (Export Folder)

NOTE

When installing Express Server, express edition Service Provider (hereafter referred to as "Service Provider") and express edition System Manager (hereafter referred to as "System Manager") are also installed.

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Service Provider System Manager Export Folder iR Agent File Server Computer for viewing

documents/searching Processing and Sending Job Information Express Server iR Device + iR Agent Sending E-mail to iR Agent Administrator Sending E-mail to System Administrator System Administrator Computer iR Agent Administrator Computer Sending Job Information

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Express Server manages the following information: •Job Information

It is a general term to indicate information related to jobs such as printing, copying and faxing performed by users. It is sent and received between individual

components. •Content Data

It indicates image data and text data contained in job information. It is converted to image data (PDF/JPEG/TIFF) or text data (TXT) by Service Provider and then stored in Export Folder (File Server).

•Log Information

It is information such as the user name, job start time, device name and sender/ receiver name, which is included in job information.

•Attribute Information

It indicates information included in job information from the iR Agent.

iR Device (Compatible with iR Agent)

An iR device capable of operating with Secure Audit Manager. This device can save the job information at the time of an execution of a copy or print operation in the hard disk area reserved for Secure Audit Manager.

iR Agent

A MEAP application that operates in an iR device that is compatible with Secure Audit Manager. iR Agent sends the job information stored in the hard disk space for the iR device to Service Provider regularly or at a fixed time.

Express Server

It stores job information received from the iR Agent into the Export Folder. It performs image processing such as resolution

conversion and text extraction via OCR. It configures system settings, agent information management, and e-mail notification settings.

Export Folder (File server)

This kind of folder stores the job information (log information and content data) received by Service Provider. Shared folder on the file server or a local folder of Express Server can also be used as the Export Folder.

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1 Features of Express Server

Express Server closely manages job information and print content of print jobs and fax transmissions in printers and multifunctional devices, providing a tool for preventing unauthorized acquisition and/or leakage of confidential information. Express Server possesses various functions for effective operation of the system.

Export Function

From the following components, Express Server extracts each job information such as log data and content data (text data and image data) from iR devices and then sends them to the Export Folder.

The target job information varies as follows, depending on the iR Agent version, the system structure and system settings.

•For iR Agent V1.1

- Send and Receive Fax to and from iR devices only - All jobs of iR devices

•For iR Agent V1.2/V1.3 - Copy - Print - Send Fax - Receive Fax - Box - Scan/Send

■ Contents of Job Information

The job information to be sent to the Export Folder is composed of the content data and the log information.

The logs include the user name, job start time, device name, and sender/receiver name. Either texts or images can be selected as a format of the content data of the jobs. When the job is saved as images, the image resolution can be specified. When color or grayscale images are selected, the compression rate can also be specified.

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■ Schedule to send Job Information

❑ iR Agent

The schedule to send the job information from iR Agent to the Export Folder can be set as follows.

• Sending according to the specified send interval • Sending according on the starting time to send • Manual Transmission by Clicking [Send Now]

A time period when the job information transmission is disenabled can be specified in order to avoid occupying the network during working hours.

E-mail Notification Function

A feature to notify errors or abnormal statuses to the system administrator by e-mail if they occur in Express Server.

The following types of e-mail notification are sent.

The error details notified by e-mail are output to the event log. The event log is always output regardless of whether the e-mail notification is set or not.

IMPORTANT

• This function can only be used by mail servers compatible with the authentication methods supported by Express Server.

• Use e-mail software that supports the character code UTF-8 because UTF-8 is used for the character code of e-mail.

• For details on how to set e-mail notification, see "Configuring E-mail Notification," on p. 6-33.

■ Errors in Service Provider

If an error occurs in a component of Service Provider (Archive Provider, Management Service, Data Process Service or Export Service), an e-mail notification is sent to the system administrator.

■ Notification of unknown agent

If the status of agent becomes unknown, e-mail notification is sent to the system administrator and the administrator of the iR Agent for which the status unknown.

■ Notification of job information submission retry error in the agent

If a job information submission retry error occurs in the iR Agent e-mail notification is sent to the system administrator and the administrator of the iR Agent in which the error

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■ Notification of disk space insufficiency in the agent

If disk space in the agent runs low in the iR Agent, e-mail notification is sent to the system administrator and the administrator of the iR Agent, in which the error occurred.

■ Error notifications from license authentication

When the license for Express Server cannot be confirmed or the trial license has been expired, the system administrator is notified of the situation via e-mail.

■ Notification of the number of remaining days for the valid license

When you are using the trial license, the system administrator is notified of the number of remaining days of the trial license.

System Log Function

In Express Server, job information received from iR Agent and the history of the job log information and content data that are stored in the Export Folder are stored as a system log. Errors are also recorded in this system log. For details on errors, see Secure Audit Manager Express Server Message List.

One file of the system log is created by date and one line in CSV format is created for each job. In addition, the system log is set with a period for retaining it. After the specified period, the system log is automatically removed.

The following rules apply to the system log file name. sys[DD][MM][YYYY].log (DD: day, MM: month, YYYY: year)

Lines of CSV format to describe job content are recorded in the following format. [Date and Time], [Message ID], [Message] + (Job Information)

The system log is saved in the system log folder in the system folder (created when Express Server was installed) and automatically deleted after the retention period specified in the system environment of System Manager.

The maximum size of the iR Agent system log is 4 MB. When the log reaches the maximum size, 1 MB of the oldest records is deleted.

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Items found in the system log and their descriptions are shown below.

The following items are added in the system log only if job information is processed.

For details on how to specify the retention period of the system logs, see "Configuring and Changing System Environment," on p. 6-28.

NOTE

• The system logs of Express Server are saved in the following default location if they are installed using the default settings.

Service Provider

C:\Program Files\Canon\iW SAM\Express Server\System\SysLog • The system log of the iR Agent can be downloaded using a Web browser.

For more information on the setting, see Secure Audit Manager Express Server iR Agent

User's Guide.

Item Description

Date and Time

The local date and time in Express Server or the iR device are recorded in the following format.

• For Express Server:

DD/MM/YYYY HH:mm:ss:SSS

DD day, MM month, YYYY year, HH hour (24-hour notation), mm minute, ss second, SSS millisecond.

• For iR Agent:

DD-MMM-YYYY HH:mm:ss.SSS zz

DD day, MMM displays the month (three-letter abbreviation), YYYY year, HH hour (24-hour notation), mm minute, ss second, SSS millisecond, and zz time zone.

Message ID The message ID is recorded in the following hexadecimal/8-digit format: Program ID (2 digits) + Function ID (2 digits) + Error ID (4 digits)

Message The message content including the exception handling message is recorded.

Agent ID The agent ID of the job sender is recorded.

User Name The department ID that executed the printing is recorded.

Job Name The job name is recorded.

Job Start Date & Time The start date and time of the job are recorded.

Number of Logical Pages The number of pages in the printed document is recorded.

Spool Folder Name The name of the hard disk area exclusively prepared for Secure

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1 Mutual Monitoring Function between Service Provider and

Agent

The iR Agent regularly notifies the current status to the Service Provider (status notification). For example, the iR Agent determines that an error has occurred in the Service Provider if the Service Provider does not respond to the status

notification sent from the iR Agent. In this case, the display in [Reception Service of Send Jobs] in [Information] screen in the iR Agent changes from [Operating] to [No Response]. You can receive from the agent via status notification the operation condition, the amount used for the hard disk of the agent, and error information. If necessary, you can also send e-mail notification to the system administrator and agent administrator.

If there is no status notification from the agent to Service Provider for 30 minutes, it is determined that the status of the agent is unknown and the status is notified to the administrators of the system and agent.

The items monitored by the agent that are included in status notification are shown below.

•Status of disk space insufficiency in iR Agent

•Data transmission condition including job submission retry errors •Exceeding the maximum number of pages per job (5,000 pages) •Internal errors of iR Agent

If any of the following conditions occur in an iR device, it is also detected as an internal error. When this occurs, the internal error can be released when iR device is restarted.

•If a Secure Audit Manager function does not operate normally •If the internal information cannot be obtained

Note that in some cases the following internal errors are not resolved only by restarting the iR device.

•If the MEAP authentication information is not configured

You can resolve the internal errors by restarting the iR device after configuring the MEAP authentication information.

•If the hard disk drive of the iR device is damaged

If the internal error cannot be resolved even by restarting the iR device, contact your Canon dealer.

For more information on e-mail notification, see "E-mail Notification Function," on p. 1-6.

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1 Configuring Express Server

■ System for specified jobs

The target device of job recording in this system structure is iR devices on which iR Agent is operating.

In this system structure, the information of jobs executed in an iR device by the iR Agent is sent to Service Provider and stored in Export Folder.

IMPORTANT

If targeting only fax jobs to record, you must set to record fax jobs only in System Manager. For more information on the setting, see "Configuring the Use of System Manager," on p. 6-1 and Secure Audit Manager Express Server iR Agent User's Guide. Secure Audit Manager

supported by iR Device iR Agent

Express

Server _{(Export Folder)}File Server

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1 System Requirements

This section describes the operation environment to use Express Server.

IMPORTANT

• In the Express Server software environment, the combination of different languages is not supported.

• Any settings configured with multilanguage in Express Server is not supported.

• The name of the computer on which Express Server is installed must consist of less than or equal to 15 alphanumeric characters. The name more than 15 alphanumeric

characters is not supported.

• If you use Express Server in a domain environment, you cannot use multibyte characters for the domain name.

• Once the configuration of Express Server is completed, do not change the name or the IP address of the computer on which Secure Audit Manager is installed.

• If you power off without following the regular procedure, this environment is not supported.

• In the computer on which Express Server is installed, the HTTP or HTTPS port should be opened.

• Use on a Guest OS such as Hyper-V is not supported.

• When a firewall is enabled, remove the port number used in this system from the firewall monitoring list.

• Operation in an environment where the domain controller and Express Server are used on the same computer is not supported.

• Operation in the OS compatibility mode is not supported.

• Operation in an environment in which a proxy server is used is not supported. • This software is an application developed using .NET Framework 1.1. This software

works on .NET Framework 1.1 even when .NET Framework 2.0/3.0 is installed. Do not uninstall .NET Framework 1.1.

• Do not manually restart the Data Process Service, Export Service, Management Service, or Report Service (including restarting after being stopped). If a service requires a restart, you must restart the computer.

• Do not install an application created by .NET Frameworks other than .NET Framework 1.1 that uses the Internet Information Services (IIS) 6.0 default application pool (DefaultAppPool) onto the computer on which Express Server is to be installed. • In Secure Audit Manager, IPv6 is not supported.

• The following agent components are allowed to be connected to the Secure Audit Manager V1.3 system:

- iR Agent: V1.1/V1.2/V1.3

• If there is any agent of V1.3 among the agents configuring Secure Audit Manager, be sure to upgrade the versions of the Express Server to V1.3.

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1 Express Server

Hardware

■ CPU

Intel Pentium 4/Xeon 3 GHz equivalent or higher (recommended)

■ Hard disk

File system: NTFS (mandatory)

7 GB or more disk space in the drive in which the system folder exists. NOTE

If you use the FAT file system, operations are not supported.

■ Memory 1 GB or more (recommended) ■ Screen resolution 1024 x 768 pixels or more

Software

IMPORTANT

• Operating systems not listed below are not supported.

• Express Server is available only on 32-bit Edition operating systems.

■ Operating systems

Windows Server 2003 Family (Standard, Enterprise) SP1 Windows Server 2003 Family (Standard, Enterprise) SP2 Windows Server 2003 Family (Standard, Enterprise) R2 Windows Server 2003 Family (Standard, Enterprise) R2 SP2 Windows Server 2008 Family (Standard, Enterprise)

Windows Server 2008 Family (Standard, Enterprise) SP2 NOTE

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■ Components

.NET Framework 1.1 Redistributable Package .NET Framework 1.1 SP1

ASP.NET 1.1

■ Web server

Internet Information Services 6.0 Internet Information Services 7.0

NOTE

• When you reinstall Internet Information Services (IIS) on Windows Server 2003 SP1/ SP2/R2/R2 SP2 after installing Express Server, you need to reinstall the OS before the reinstallation of Internet Information Services (IIS).

• When you reinstall Internet Information Services (IIS) on Windows Server 2008 after installing Express Server, you need to reinstall .NET Framework 1.1 and Express Server before the reinstallation of Internet Information Services (IIS).

■ Web browser

Internet Explorer 6.0 SP1/SP2/SP3 Internet Explorer 7.0

Internet Explorer 8.0

■ Operating systems supporting the Web browser

Windows XP Professional SP2 Windows XP Professional SP3 Windows XP Professional x64 Edition Windows XP Professional x64 Edition SP2 Windows Vista Family (Business, Enterprise) Windows Vista Family (Business, Enterprise) SP1 Windows Vista Family (Business, Enterprise) SP2 Windows Vista Family (Business, Enterprise) x64 Edition Windows Vista Family (Business, Enterprise) x64 Edition SP1 Windows Vista Family (Business, Enterprise) x64 Edition SP2 Windows 7 Family (Professional, Enterprise)

Windows 7 Family (Professional, Enterprise) x64 Edition Windows Server 2003 Family (Standard, Enterprise) SP1 Windows Server 2003 Family (Standard, Enterprise) SP2 Windows Server 2003 Family (Standard, Enterprise) R2 Windows Server 2003 Family (Standard, Enterprise) R2 SP2 Windows Server 2008 Family (Standard, Enterprise)

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NOTE

The XP mode in Windows 7 is not supported.

■ iR Agent

Secure Audit Manager iR Agent V1.1/V1.2/V1.3

iR Agent

Hardware

■ iR Device

Canon iR devices supporting iR Agent

Software

■ Environmental resources for the MEAP application

• Hard Disk : 22,500 KB • Memory : 6,000KB • Threads : 7 • Sockets : 10 • File Descriptor : 8 ■ Web Browsers Internet Explorer 6.0 SP1/SP2/SP3 Internet Explorer 7.0 Internet Explorer 8.0 NOTE

Java Runtime Environment 1.3.1 or later must be installed.

■ Display

Resolution: 1024 x 768 or more

Colors: 256 or more

■ Operating systems supporting the Web browser

Windows XP Professional SP2 Windows XP Professional SP3

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Windows Vista Family (Business, Enterprise) SP2 Windows Vista Family (Business, Enterprise) x64 Edition Windows Vista Family (Business, Enterprise) x64 Edition SP1 Windows Vista Family (Business, Enterprise) x64 Edition SP2 Windows 7 Family (Professional, Enterprise)

Windows 7 Family (Professional, Enterprise) x64 Edition Windows Server 2003 Family (Standard, Enterprise) SP1 Windows Server 2003 Family (Standard, Enterprise) SP2 Windows Server 2003 Family (Standard, Enterprise) R2 Windows Server 2003 Family (Standard, Enterprise) R2 SP2 Windows Server 2008 Family (Standard, Enterprise)

The XP mode in Windows 7 is not supported.

File Server

The environment for the Export Folder is as follows.

IMPORTANT

• Operating systems not listed below are not supported.

• File Server is available only on 32-bit Edition operating systems.

Software Environment

■ Operating systems

Windows Server 2003 Family (Standard, Enterprise) SP1 Windows Server 2003 Family (Standard, Enterprise) SP2 Windows Server 2003 Family (Standard, Enterprise) R2 Windows Server 2003 Family (Standard, Enterprise) R2 SP2 Windows Server 2008 Family (Standard, Enterprise)

The Server Core/Hyper-V option available in Windows Server 2008 is not supported.

Network Environment

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1 Installing and Configuring of Express Server

This section describes how to install and configure Express Server. You must install and configure in the following order:

Step 1 Installing Express Server

Step 2 Configuring and checking Express Server

Step 1 Installing Express Server

The following steps describe how to install Express Server.

Select the check box corresponding to the procedure that you have finished to confirm your task progress.

■ Express Server

IMPORTANT

If you are using Express Server in a virtual environment, be sure to run Virtual Environment Support Tool before launching the License Authentication Wizard. For the details on how to run it, refer to [Procedure for Running Virtual Environment Support Tool].

■ iR Agent

NOTE

Status Operation Refer to

❑ 1. Install Internet Information Services (IIS) (See p. 3-4)

❑ 2. Install Express Server (See p. 3-11)

❑ 3. License Authentication (See p. 3-17)

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1 Step 2 Configuring and Checking Express Server

The following steps describe how to configure Express Server.

Select the check box corresponding to the procedure that you have finished to confirm your task progress.

■ Express Server

■ iR Agent

IMPORTANT

• Log on through any authentication method, such as Default Authentication, SDL (Simple Device Login), SSO (Single Sign-On), SSO-H (Single Sign-On H) or SSO-IC Card based on the optional IC Card Authentication Enhanced Kit, or any other method that uses one of the approved authentication applications.

• For details on the approved authentication applications, contact your local authorized Canon dealer.

• For [Access ID] in the iR Agent settings, enter the Agent Access ID specified in the [System Environment] screen of System Manager.

❑ 1. Configure DCOM access restrictions (See p. 3-20)

❑ 2. Configure HTTP (HTTPS) port (See p. 3-26)

❑ 3. Allowing ASP.NET in Internet Information Services (IIS) (See p. 3-29)

❑ 1. Configure the authentication _information For more information, see _e-Manual.

❑

2. Configure iR Agent and register to Service Provider - URL - Access ID - Agent name - Station ID - Station name

"Registering to Service Provider" in Secure Audit Manager

Express Server iR Agent User's Guide

❑ 3. Confirm the start of job recording

"Starting/Stopping Job Recording" in Secure Audit Manager

Express Server iR Agent User's Guide

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• When installing an iR Agent in an iR device for the first time, configure [Schedule to Send Jobs] in the [iR Agent Properties] screen in System Manager or [Settings] modification screen in the iR Agent after registering the iR Agent in Service Provider. After the schedule is applied to the iR Agent and the device is restarted, the job recording status becomes [Operating]. For more information on the [Settings] modification screen of iR Agents, see Secure Audit Manager Express Server iR Agent User's Guide.

■ System Manager

IMPORTANT

• Log on as a user with Administrator privileges.

• [iR Agent Properties] settings are not available if no iR Agent is registered. NOTE

Agent Name, Station ID and Station Name shown in "3. Configure iR Agent properties" are configured at the time when the agent information is registered. In System Manager, you can reconfigure the settings.

■ Confirm iR Agent Operations

■ Confirm Export Folder

❑ 1. Log in to System Manager (See p. 6-2)

❑ 2. Configure system environment (See p. 6-25)

❑

3. Configure iR Agent properties - Agent name

- Station ID - Station name - Format to store jobs - Schedule to send jobs - Status check interval

(See p. 6-17)

❑ 4. Confirm data transmission after copying from iR devices (See p. 6-8)

❑

Perform copy job with the iR device, send it immediately with iR Agent, and then confirm that the job information is stored in Export Folder

(See p. 6-13)

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■ Configuring the system environment according to the operation condition

Customize the configurations related to the system environment, e-mail notification, agent connections, communication and port number settings according to your operation environment.

❑ Configure the environment settings (See p. 6-25)

❑ Configure the e-mail notification settings (See p. 6-33)

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1 Express Server Components

This section describes the components of Express Server.

Service Provider

Service Provider stores job information from iR Agent documents the content data (image/text data) of the job by converting the image format or by formatting the text data, and stores the data in the Export Folder.

The content data is converted to the following document file formats and stored in the Export Folder.

• Text data TXT file

• Image data (JPEG/TIFF) PDF file or JPEG/TIFF file

Service Provider works in cooperation with multiple modules. The modules and their roles are shown below.

Canon SAM Data Process Service

Converts the format of the job information, text data and image data that are stored in the spool folder based on the settings, and creates document information.

Canon SAM Export Service

Stores the jobs in the Export Folder. Canon SAM Management Service

Manages Service Provider status. It manages the following:

• Checking whether the agent is active • Outputting system log files

• Monitoring communication disconnection • Recovering at startup

• Updating system environment settings • Deleting incorrect jobs

• Monitoring Data Process Service • Shutting down

Canon SAM Report Service

Sends notification of the errors that have occurred in Agents or Service Provider to the system administrator and the administrator of each agent by e-mail.

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1 System Manager

You can use System Manager to configure the settings of Service Provider and iR Agent, which are components of Secure Audit Manager. In addition, you can also configure operation settings including system environment settings, e-mail notification settings and agent-communication settings and centrally manage the status of the entire system.

System Manager is provided as a Web application that can be operated via a Web browser.

iR Agent

iR Agent is used in Express Server.

iR Agent temporarily saves various job information including print/copy/fax data and the number of pages in the hard disk area exclusively prepared for Secure Audit Manager in an iR device and sent it to Service Provider according to the schedule settings.

iR Agent is installed on iR devices as a MEAP application. The services provided with iR Agent are shown below. •Collecting the information on jobs performed by iR device •Obtaining the operation mode

•Sending job information to Service Provider

It also displays screens for setting iR Agent operation or confirming status. These screens are used/configured by users.

•Registering to Service Provider •Checking the Status of iR Agent

The attribute information items are shown below.

Job Information Job Log ID / Job Type / Job Name / Job Start Date & Time / Content ID

Send and Receive Information

Communication Start Date & Time / Transmitted Page Number / Destination Number / Subaddress / Destination Address / Document Size for Transmission

iR Device Information Device Name / Location / Serial Number / Department ID / User Name / Domain Name / Station ID

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CHAPTER

2

Designing and Building Your

System Environment

This chapter describes how to design and build the system environment necessary for introducing Secure Audit Manager.

Checking Secure Audit Manager Operating Environment . . . 2-2 Checking Security Environment Implementation . . . .2-2 Secure Audit Manager Design Check . . . .2-3 Secure Audit Manager Operation Check . . . .2-4

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De sig n in g and Bu ildin g Y o u r Syst em En vir o n m en t

2 Checking Secure Audit Manager Operating Environment

To introduce and operate Secure Audit Manager, review the following three items: •Implementation of your security environment

•Design of Secure Audit Manager •Operation of Secure Audit Manager

To achieve the goal of effective security management using Secure Audit Manager, you should consider the following items when building your network environment.

Checking Security Environment Implementation

For security management with Secure Audit Manager to function effectively, a checking system must be built and operated for the target organization. This section reviews the implementation of your network security environment where Secure Audit Manager is installed.

In this section, you will first review principles of implementation at the organization level and then review the eligibility of administrators.

■ Clarifying the Responsibility and Authority for Security at the Organization

Level

Set up a specific group to continuously manage and monitor security. Appoint a security administrator in each department in the company. Create security policies for the entire company and for each department. Create rules that reflect the security policies for the entire company and for each department.

Document the rules and make them known to employees through education and support. Revise the security rules to reflect changes in the environment.

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■ Checking Eligibility for Secure Audit Manager Administrators and Auditors

(Administrators and Auditors)

Check that the responsibility and authority of all administrators match their target business activities.

Check that all administrators, auditors, and service engineers who deploy Secure Audit Manager are reliable.

Check that all administrators and auditors have enough expertise and practical experience in operations with Secure Audit Manager.

Check that no auditor has an interest in his or her target business.

Check that all auditors have signed confidentiality agreements under which they may not disclose or use any confidential information obtained through their audit activities without authentication.

Secure Audit Manager Design Check

In the previous section, you reviewed principles of a security environment that has an effective checking system. In this section, you will check the system design when introducing Secure Audit Manager.

In this section, you will review security policies for your network that eliminate security holes, and a data communication method that does not interfere with business activities.

■ Reviewing Security Policies and Smooth Implementation of Business

Processes

Select either HTTP or HTTPS for your network communication protocol based on your security policies. HTTPS provides a higher level of security than HTTP although it slows down data transfer between Agent and Service Provider.

Define the audit scope for Secure Audit Manager and configure the security domains. Consider how your network should be divided into security domains as follows: • Partitioning physically or logically.

• Partitioning by access restriction to computers, printers, and multifunctional devices. • Partitioning by operation of the network.

Note that Secure Audit Manager is not designed to protect against external attacks or threats (including from the Internet). Configure a firewall to prevent such attacks. Ensure that Service Provider is connected through iR Agent to iR devices or printers/ multifunctional devices that support Secure Audit Manager.

Secure Audit Manager does not log operations involving user data and destination tables accessed through User Mode of the touch-panel display of the iR device, such as the printing of lists and address books. To prevent unauthorized printing out of and modification of such lists, consider a security policy to protect them. Configure the iR device so that administrative users must provide a valid password when switching to Settings/Registration. Consult with the contracted distributor on the details of this setting. Restrict access to Express Server to administrators only.

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2 Secure Audit Manager Operation Check

In the previous section, you reviewed security and network design useful for your businesses. Finally, you will review important factors for managing Secure Audit Manager.

In Secure Audit Manager, job information is sent and received among components. You should estimate the timing and amount of sending and receiving of the job information, and the load on the server, so that you can ensure correct sending and receiving of data.

■ Checklist for Safe Sending and Receiving of Data

An uninterruptible power supply (UPS) should be provided for the file server as well as other printers and multifunctional devices.

Consider the following issues for when sending job information to the server on a regular basis:

• Estimate the volume of printing by departments and users.

• Estimate the number of agents and hard disk capacity required, taking into account possible Service Provider failures causing delays in sending accumulated data. • Use LAN analyzer software or other tools to check the number of computers, printers

and multifunctional devices connected to the network and data on the connections. • Change any network terminal lines that may cause packet collisions to 100Base-TX or

higher, or use a switching hub as the target port.

• Estimate the load on a server machine if it has multiple functions such as Express Server.

• Consider adding more memory and a faster CPU to the server.

Consider encrypting hard disks on printers or multifunctional devices based on standard security protocols.

Adjust the resolution of a Web browser on each computer to that of Express Server. For details, see "System Requirements," on p. 1-11.

Adjust the time of each computer and printer within a Secure Audit Manager domain to that of an NTP server.

Check the server hard disk capacity on a regular basis and upgrade or increase it as necessary. You must back up the data on a regular basis. The schedule of sending and receiving job information must be adjusted for this check because it needs to be performed when the server is not used.

Secure Audit Manager manages job information on 24 hour a day basis. Periodically restart the system to ensure stable operation of job information collection. For details, contact your local authorized Canon dealer.

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Keep the password confidential. You must set and maintain the password as follows: • Change the default password. The new password must consist of random alphanumeric

characters (a minimum of seven characters is recommended).

• Set an expiry date and change the password periodically (every 60 days is recommended).

• Do not keep the password in an easy to access location. • Define different passwords for each administrator.

Restrict File Server users using user accounts and passwords.

Manage accounts with access to the server, shared printer configurations, and administrator privileges.

Do not install unnecessary applications into servers. Create an audit plan to obtain a good audit result.

Consider conducting surprise audits in addition to the regularly scheduled audits.

■ Security Check for Operation

• Checking installation of antivirus software

The administrator checks that required security measures (including antivirus software) are applied to all nodes in Secure Audit Manager, in order to prevent information leakage, system failure, and system down due to a virus.

• Checking whether security patches are applied to the OS and Web server (IIS)

The administrator needs to understand the platform environment where Secure Audit Manager is running and check the latest security information from the OS vendor and Web server (IIS) vendor.

If any appropriate security patches are issued, they should be immediately applied to the system.

• Mutual Monitoring

The administrator and auditor should check each other's work to ensure that system management and job information audit are properly performed.

It is recommended that multiple administrators and auditors be registered with the system and check each other's work using the system log.

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■ Checking Job Information Transmission

Use the following flow to check the transmission of job information executed from a printer or iR device.

■ Scheduling Express Server Operation

Estimate a schedule for daily operation for Express Server. Take into account the network environment in which Express Server is deployed in order allocate sufficient time for operations.

Export Folder Service Provider iR Agent

1. Sending to Service Provider

1. Transmission 1. Job Storage

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CHAPTER

3

Installing Express Server

This chapter describes how to install and uninstall Express Server, how to install the required applications and components, and how to configure the initial settings.

Installing Express Server . . . 3-2 Overview of Installing and Configuring Express Server . . . .3-2 Installing Internet Information Services (IIS) . . . .3-4 Installing Express Server . . . .3-11 License Authentication . . . .3-17 Notes on Reinstallation. . . .3-19 Configure DCOM Access Restrictions . . . .3-20 Configuring HTTP (HTTPS) Port . . . .3-26 Allowing ASP.NET in Internet Information Services (IIS) . . . .3-29 Configuring Service Provider . . . .3-31 Uninstalling Express Server . . . 3-32

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Installing Express Ser

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3 Installing Express Server

The following steps describe how to install Express Server.

When you install Express Server, Windows services, Web services, and shared files are installed on the server.

In addition, IIS (Internet Information Services) and system registry configurations are added, and configuration files are updated based on the settings configured during the installation.

Overview of Installing and Configuring Express Server

This section provides an overview of the installation and configuration procedures for Express Server.

Installing Express Server consists of the following steps:

Step 1 Installing Express Server

Step 2 Configuring the Required Settings for Operating Express Server The following sections describe the operations required in each step.

Step 1 Installing Express Server

1

Installing Internet Information Services (IIS)

For details, see "Installing Internet Information Services (IIS)" (See p. 3-4).

2

Installing Express Server

For details, see "Installing Express Server" (See p. 3-11).

3

License Authentication

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NOTE

Express Server is installed with the following Windows services. These services are started automatically after Express Server is installed.

Step 2 Configuring the Required Settings for Operating Express

Server

Canon SAM Data Process Service:

Converts content information and image files in a spool folder residing in the system folder into specified formats and generates document information.

Canon SAM Export Service: Stores the job information in the Export

Folder. Canon SAM Management Service:

Manages Express Server status. It manages the following:

• Checking whether the agent is active • Outputting system log files

• Monitoring communication disconnection • Recovering at startup

• Shutting down

Canon SAM Report Service: Sends notification of the errors that have occurred in Agents or Service Provider to the system administrator and the administrator of each agent by e-mail.

1

Configuring DCOM Access Restrictions

For details, see "Configure DCOM Access Restrictions" (See p. 3-20).

2

Configuring HTTP (HTTPS) port

For details, see "Configuring HTTP (HTTPS) Port" (See p. 3-26).

3

Allowing ASP.NET in Internet Information Services (IIS)

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To build an installation environment necessary to operate Express Server, follow these steps to install Internet Information Services (IIS).

NOTE

Install Internet Information Services (IIS) 6.0 (Windows Server 2003) or Internet Information Services (IIS) 7.0 (Windows Server 2008). The installation procedure varies depending on the Internet Information Services (IIS) version.

IMPORTANT

• When you start the installation, you may be prompted to insert the installation CD-ROM. In this case, insert your Windows CD-ROM into the CD-ROM drive and click [Next]. • When the [Choose an action to perform] dialog box is displayed, click [Finish] to continue

the Internet Information Services (IIS) installation.

• Do not change computer name after installing Internet Information Services (IIS). If you change the name, you will be unable to build the system.

• When you reinstall Internet Information Services (IIS) on Windows Server 2003 SP1/ SP2/R2/R2 SP2 after installing Express Server, you need to reinstall the OS before the reinstallation of Internet Information Services (IIS).

• When you reinstall Internet Information Services (IIS) on Windows Server 2008/SP2 after installing Express Server, you need to reinstall the .NET Framework 1.1 and Express Server before the reinstallation of Internet Information Services (IIS).

Installing Internet Information Services (IIS) 6.0

Follow the steps below to install Internet Information Services (IIS) 6.0.

1 Click [Start] in the task bar and select [Control Panel].

Control Panel is displayed.

2 Double-click the [Add or Remove Programs] icon.

The [Add or Remove Programs] dialog box is displayed.

3 Click [Add/Remove Windows Components].

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4 Check [Application Server] and click [Details].

5 Select [ASP.NET] and [Internet Information Services (IIS)], and

then click [OK].

NOTE

When you check [Internet Information Services (IIS)] and click [Details], you can select subcomponents of Internet Information Services.

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6 In [Windows Components Wizard], click [Next].

The Internet Information Services (IIS) installation process is started. NOTE

When you start installation you may be prompted to insert the installation CD-ROM. In this case, insert your Windows CD-ROM into the CD-ROM drive and click [OK].

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Use the [Server Manager] screen to install Internet Information Services (IIS) 7.0.

1 Click [Start] in the task bar and select [Administrative Tools]

➞ [Server Manager].

The [Server Manager] is displayed.

2 Click [Add Roles] under [Roles Summary].

The [Before You Begin] page of Add Roles wizard is displayed.

3 Review the items in the page and click [Next].

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4 Select [Web Server(IIS)] and click [Next].

The [Web Server(IIS)] is displayed. NOTE

When the [Add Roles Wizard] dialog box is displayed, click [Add Required Features] to continue the installation.

5 Click [Next].

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6 Click [ASP.NET] under [Application Development].

NOTE

• When the [Add Roles Wizard] dialog box is displayed, click [Add Required Role Services] to continue the installation.

• When you click [Add Required Role Services], [.NET Extensibility], [ISAPI Extensions] and [ISAPI Filters] are automatically selected.

7 Select [Basic Authentication] and [Windows Authentication]

under [Security] and [IIS 6 Management Compatibility] under

[Management Tools] and then click [Next].

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8 Review the settings and click [Install].

The [Installation Progress] is displayed.

When the installation is complete, the [Installation Results] is displayed.

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IMPORTANT

• You must log on to the system as a user with Administrator privileges to install Express Server.

• Exit all other applications before installing Express Server.

• If [Default Web Site] does not exist in Internet Information Services (IIS), the virtual directory is not created when installing Express Server. Before installation, open [Administrative Tools]

➞

[Internet Information Services (IIS) Manager]

➞

[Web Sites] to confirm whether [Default Web Site] exist or not. If it does not exists, reinstall the OS and then install Internet Information Services (IIS).

• Do not run the [Services] and [Registry Editor] administrative tools during the process of the installation or the uninstallation of components.

• If Windows SharePoint Services is already installed, Express Server does not operate. Uninstall Windows SharePoint Services from [Add/Remove Windows Components] in [Add or Remove Programs] and then install Express Server.

• Installation of Express Server is not guaranteed if "Setup.exe" is executed from a copy in the installation folder of a drive on the network.

• When installing or uninstalling Express Server after starting multiple set up screens or canceling the installation or uninstallation while the setup wizard screen is being activated, the computer operation is not guaranteed.

1 Insert the installation media into the disk drive and

double-click "Setup.exe" in the installation media.

IMPORTANT

If .NET Framework 1.1 is not installed, a message regarding .NET Framework 1.1 installation is displayed when you start installing Express Server. In this case, follow the wizard to install the following items.

- .NET Framework 1.1 Redistributable Package - .NET Framework 1.1 SP1

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2 Confirm the displayed information and click [Next].

Click [Cancel] to move to the setup cancel dialog box. NOTE

If an older version of Express Server is installed on the computer, the [Remove the Older Version Program] dialog box is displayed. When you click [Remove] in the [Remove the Older Version Program] dialog box, the [Start Installation] dialog box is displayed.

3 Confirm the setting for the folder where the system folder is

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● If changing the destination folder for the system folder:

❑ Click [Browse].

❑ Select the destination folder for the system folder and click [OK]. IMPORTANT

Do not specify a folder that contains any files or subfolders. This may result in abnormal operation of Service Provider. However, these requirements are applicable except if you specify, as the current system folder, the old system folder that was created during the previous installation.

NOTE

• If you select a network drive or removable disk for the destination folder for the system folder, the system operation cannot be guaranteed.

• You can use up to 190 alphanumeric characters as the path to the system folder. • Do not use "&" in the path name.

• When entering characters that cannot be entered using the key input (such as Euro symbol) for the path name, the system operation cannot be guaranteed.

• If Express Server is uninstalled, system logs and agent information in the system folder remain intact. If you want to use the previous agent information, you must specify the previous system folder during reinstallation. If you specify a different folder to reinstall Express Server, the old system folder is not specified as the initial path.

• If you want to initialize Express Server during reinstallation, you must not specify the old system folder or you must delete it.

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4 Confirm the destination folder and click [Next].

The initial path of the installation destination folder is as follows: <Start drive>:\Program Files\Canon\iW SAM\Express Server\

● If changing the destination folder:

❑ Click [Browse].

❑ Confirm the destination folder and then click [OK]. IMPORTANT

Do not specify a folder that contains any files or subfolders. This may result in abnormal operation of Service Provider.

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NOTE

• If you select a network drive or removable disk for the destination folder for the system folder, the system operation cannot be guaranteed.

• You can use up to 190 alphanumeric characters as the path to the installation folder.

• Do not use "&", ";" in the path name.

• If you enter a character that cannot be entered by using the key input (including the EURO symbol) into the path name, the system operation cannot be guaranteed.

5 Click [Start].

The Express Server installation process is started.

When the installation is complete, a dialog box indicating Express Server has been successfully installed is displayed.

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NOTE

If the target drive does not have enough space, the [Not Enough Free Disk Space] dialog box is displayed. Reserve sufficient free space for the installation or change the target drive to a drive with sufficient free space.

6 Click [Exit].

IMPORTANT

If you are reinstalling Internet Information Services (IIS) after installing Express Server, you must reinstall the OS. Otherwise, there may be a case where the System Manager screen cannot be displayed.

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7 Restart the computer.

IMPORTANT

Restart the computer immediately after the installation. Operations without restarting the computer cannot be guaranteed.

License Authentication

You need to perform License Authentication to use Express Server.

The following explains how to perform License Authentication using the License Authentication Wizard.

NOTE

The license for iR Agent is automatically installed when you install iR Agent. IMPORTANT

If you are using Express Server in a virtual environment, be sure to run Virtual Environment Support Tool before launching the License Authentication Wizard. For the details, refer to Procedure for Running Virtual Environment Support Tool.

1 Double-click "SPSCertificate.exe", which is the execution file

of the License Authentication Wizard.

The installation folder for the License Authentication Wizard is set as follows by default:

<Start drive>:

\Program Files\Canon\iW SAM\Express Server\SPS\SPSCertificate.exe The [License Authentication] screen appears.

NOTE

The License Authentication Wizard is automatically installed when Express Server is installed. If you changed the default installation folder of Express Server when it was installed, the default installation folder is also different from the default.