GlobalSearch Security Definition Guide

Transcription

1 Prepared by: Marketing Square 9 Softworks Church Street, New Haven, CT O: (203) E: sales@square-9.com

2 Table of Contents GLOBALSEARCH SECURITY METHODS... 3 DOCUMENT MANAGEMENT COMPLIANCE... 3 DOCUMENT STORAGE... 4 AUDIT TRAIL/ DOCUMENT HISTORY... 4 RETENTION SCHEDULING... 5 WINDOWS/ACTIVE DIRECTORY SECURITY... 5 AUTHENTICATION SECURITY... 6 PASSWORD PROMPT... 6 NETWORK... 6 FEATURE ACCESS PERMISSIONS... 7 FOLDER LEVEL SECURITY... 7 DOCUMENT LEVEL SECURITY... 8 EXPORT LEVEL SECURITY... 8 SEARCH SECURITY... 8 Simplifying Business. Simplifying Life. P a g e 2

3 GlobalSearch Security Methods GlobalSearch is tightly integrated with Microsoft Active Directory and Windows authentication. Since not all customers take advantage of Active Directory (AD), GlobalSearch can also be bound to the local groups of a Windows 2003/2008/2012 Server, or a Windows XP, Windows 7, or Windows 8 Professional workstation. Users should have domain or local user accounts and be members of user groups that have been created to logically organize the permissions in Active Directory on the server prior to setting up security in GlobalSearch. GlobalSearch is a service-oriented application (SOA) with a.net 3.5 Smart Client connecting to a series of Web Services running under IIS on either Windows Server 2003, Windows Server 2008, or Windows Server All communication between client and server is performed exclusively through Web Services. The client never needs direct access to the SQL database or file systems where images are stored. All data and image access is performed using a single user account, which the GlobalSearch installation will default to ssadministrator. This account will serve as the identity for the GlobalSearch application pool in Internet Information Services (IIS). GlobalSearch authenticates users of the system by checking either Windows Group or AD Group membership. Because GlobalSearch works with local or AD groups, and even groups on XP Professional, Vista Business or Windows 7 or 8 if necessary, GlobalSearch utilizes generic protocols for interfacing with Windows/Active Directory to authenticate user s access to the system. With Domain authentication in GlobalSearch, the application will attempt to access the groups that the currently logged in user is a member of in Windows AD. This is a pass-through authentication for GlobalSearch. Access to the system is granted based on the groups the user is a member of in Window AD. In Workgroup authentication mode, GlobalSearch alters the access requests slightly so the user name and password provided by the user are used to query the directory. Windows itself handles the directory authentication in this case, where only successful user group membership authentications are returned to GlobalSearch. Once group membership of a user is attained, GlobalSearch will internally check those groups against the groups assigned as valid for access to a particular object in the system. This is controlled and managed internally by the GlobalSearch application and database. At this point, no directory services calls are made. GlobalSearch utilizes several methods of securing documents. Security of the document and its storage are separate. The ability for an end user to access documents and the level of features that are associated to those documents is predicated on their AD or local Windows Server security group. Document Management Compliance GlobalSearch is compliant with a majority of federal mandates such as SOX, HIPAA, FERPA, FINRA, SEC, GLB, CFR and the like. GlobalSearch leverages a robust document and metadata security architecture coupled with a document history/audit trail as a core application component and allows organizations to properly track and secure documents. Each compliance mandate carries different requirements. However, most of the regulations in SOX and other federal mandates are about practices, control and reporting where it pertains to specific Simplifying Business. Simplifying Life. P a g e 3

4 requirements regarding information storage. Since these rules regarding information storage include prescribed retention periods for data, archiving of information and information access security, GlobalSearch complies with its inherent security and auditing capabilities. Controlling Access to Information GlobalSearch requires that authentication be established to allow authorized access to information contained within a GlobalSearch Archive. Auditing Access GlobalSearch keeps a document history of every action taken on a document. The audit trail includes information about the capture, every subsequent access, revision control and the locations of where the file resides within the repository, along with any workflows executed. The audit trail provides a complete chain-of-custody for all financial records that are archived. Hierarchical Storage Management Due to the flexibility of GlobalSearch Archives, each Archive can have a separate storage path which allows documents to be moved dynamically, based on a retention schedule or conditional variable. Lifecycle Management Documents that have reached a specific date or conditional field value can be moved or purged from a GlobalSearch Archive. In some cases, based on a longer retention period, documents can be moved to other media types or a notification can be sent for approval before purging. Document Storage Documents are uniquely named and secured within a standard UNC or mapped drive path file location. Each GlobalSearch Archive repository can be configured to store to a different location which can be a different media type (i.e. tape, optical, SAN, NAS, or server hard drive) or to a different physical location. GlobalSearch does support WORM media devices. User and group permissions are set external from the document storage, where users can be permitted to only view, view with annotations or any combination of document and feature level permissions. End users never have direct access to the file system Archive directories due to GlobalSearch s use of a single account security methodology. Fault tolerant or high availability frameworks can be implemented with GlobalSearch using mirrored, RAID or disaster recovery type solutions. Audit Trail/ Document History All document events in GlobalSearch are logged to an audit SQL Server table. The username (with domain) along with a date/time stamp and action (i.e. update, view, delete, approval, etc.) are logged each time a user executes an action. This table can be accessed directly by the system administrator through the GlobalSearch interface or via SQL Server for report generation. Simplifying Business. Simplifying Life. P a g e 4

5 Retention Scheduling GlobalSearch can be configured to track the lifecycle of a document based upon specific document types and either move the documents to long term storage or purge them using Document Workflow Actions. Leveraging the GlobalSearch Archive design, GlobalSearch can function on a hierarchical storage management basis, not only allowing for purging, but also physical movement of documents from one media type to another. Automatic reports can be generated from GlobalSearch to an Excel format. Windows/Active Directory Security All documents are stored in a secure file system location. End users do not need to read or write from these file directories. GlobalSearch uses a single account type security model where the system will broker the access based on the logged in user rights. Each saved file will get a unique file name, with a link contained within the SQL Server database which connects the metadata and document. The file is stored in its native format, there are no proprietary wrappers. Documents can be encrypted using anyone of the 3rd party software solutions from ProStor, Plasmon, EMC, etc. Simplifying Business. Simplifying Life. P a g e 5

6 Authentication Security GlobalSearch supports two levels of authentication. The main method is Network authentication. GlobalSearch does not maintain separate user or group lists, but rather leverages the AD environment to manage users. Security is applied through the Administration console within GlobalSearch. However, users that are added or deleted from AD are also added or removed from GlobalSearch. No need to synchronize with AD since with this method security is real time. Password Prompt End user must enter their username, password and domain name (auto filled). Network The network uses Windows authentication, either local Windows Server or Active Directory integration. With single sign-on authentication, the user is not prompted for a password. Simplifying Business. Simplifying Life. P a g e 6

7 Feature Access Permissions GlobalSearch administrators can restrict access to documents or Archives by configuring user and group security. Permissions to Archives can be defined at different levels of feature access. Rights to Archives can be defined by individual Active Directory (AD) or local Windows Server security users or groups. In addition to ability to control the document and metadata separately, users or groups can be permitted to Add, Modify, Delete and View documents. By separating the data and documents, end users can be permitted to view the documents but without the ability to modify the field data. This is most useful in workflow situations. Additionally, end users can be permitted to annotate a document without being given permissions to Modify documents. This also provides tremendous flexibility in live production environments where the document needs to remain unaltered but annotation overlays are necessary for the business process. Below is a list of feature access permissions. Folder Level Security GlobalSearch allows documents in an Archive to be secured at 6 different levels: View A user may only view documents. No changes to data or documents are allowed. Add A user can add documents, but once added no changes may be made. Add permissions imply view permissions as well. Simplifying Business. Simplifying Life. P a g e 7

8 Delete A user may delete documents from an Archive. Delete permissions imply view permissions as well. Move A user may move a document from one Archive to another. View Revisions A user may view all the versions of a revision controlled document. Users without this option will only be able to see the final version of the document. View History A user can view the audit log of a document. Document Level Security In addition to Add/Modify/Delete/View rights, GlobalSearch can also control what functions a user can perform on a document they do have some level of permissions on. Note: That all permissions are off (the most restrictive) by default. Modify Document A user can modify the document itself. Modify permissions imply view permissions as well. Modify Pages User may modify pages. Modify Data A user can modify data. Modify Annotations Permits users without edit permissions to use the annotation features. Publish Revisions Allows users to promote versioned documents to published status. Export Level Security Print Allows a user to use the Print functions from the Document Viewer or Results Grid. Allows a user to documents from the Document Viewer or Results Grid. Export Document Allows a user to use the Export Docs function. Export Data Allows a user to use the Export Data to Excel function. View in Acrobat Allows a user view any document in GlobalSearch within the native PDF file viewer on a workstation. Launch Allows a user to use the Launch Document feature. Launch Copy Allows a user to use the Launch Copy feature. Search Security Search Security will list the created searches for the archive. The Administrator can select which groups or users have permission to each individual search, as well as set the default search for each user or group on the archive. Also, with the addition of search security the Administrator can also select which searches users using GlobalSearch will have access to in their queues by selecting the Show in Queue option for each search under the archive. Setting Default Searches and Queue Searches Every archive must have a default search assigned. To set a default search follow the steps below: 1.) The Administrator can do this by selecting an archive going to the security tab and selecting a user or group from the Secured Users and Groups box. Simplifying Business. Simplifying Life. P a g e 8

9 2.) From there, the Administrator can select Search Security and expand it. 3.) Then, the Administrator can set a Default Archive Search by first activating the search by click the check box to the left of the search and then checking the, Default Archive Search check box. Simplifying Business. Simplifying Life. P a g e 9

10 4.) At this point, the Administrator can select whether or not this search should be available in the queue. This can be done by selecting the search and checking the, Show in Queue checkbox. Simplifying Business. Simplifying Life. P a g e 10

11 Setting a search as the Default Archive Search will make it so when you click on the archive it will perform that search for that user or group by default. Selecting the Show in Queue option puts the search in the Queue in GlobalSearch for that user or group. (See image below) Document Intake Security Square 9 products support document intake in a variety of ways, each of which has specific use cases and security impact. Scan: Square 9 scan interfaces leverage TWAIN capture drivers. Image files are cached in local temporary storage. Desktop scan interfaces transfer data using standard Windows file transfer protocols to a UNC share. Web scan interfaces transfer data to the server over HTTP or HTTPS. User Base File Import: User based, ad-hoc import from Desktop or Browser client. Document transfer client to server defaults to HTTP, but can be configured to run over HTTPS. Any local or network accessible file path can be used as an import location. Directory Sweep: Polling import from a local server drive or network share. Files may be added to a sweep location by any viable means: SFTP, Save As options, etc. Documents are picked up from processing, cached, and queued for import over HTTP or HTTPS. Simplifying Business. Simplifying Life. P a g e 11

12 Sweep: Polling import from a POP, IMAP, or EWS mailbox. Communication to the mail server can be made or SSL encrypted protocols. Documents are downloaded from the mailbox, cached, and queued for import over HTTP or HTTPS. API Import: RESTful API endpoint available for direct ingestion into Square 9's ecosystem. HTTP or HTTPS secured endpoint caches uploaded files prior to import. On import, files are purged from cache. Cache is purged by the system every 23 hours by default.p@ss For additional information about GlobalSearch, please visit our Square 9 Support & Developer s Forum at The forum provides a wealth of highly useful technical information including our complete User Configuration Guide. Simplifying Business. Simplifying Life. P a g e 12