KC 8 0 Get Started

10300628-000 Rev A

Getting Started Guide

KOFAXCapture 8

© 1994 - 2008 Kofax Image Products, Inc., 16245 Laguna Canyon Road, Irvine, California 92618, U.S.A. All rights reserved. Use is subject to license terms.

Third-party software is copyrighted and licensed from Kofax's suppliers. This product includes software developed by the Apache Software Foundation (http://www.apache.org/).

This product is protected by U.S. Patent No. 6,370,277.

THIS SOFTWARE CONTAINS CONFIDENTIAL INFORMATION AND TRADE SECRETS OF KOFAX IMAGE PRODUCTS, INC. USE, DISCLOSURE OR REPRODUCTION IS PROHIBITED WITHOUT THE PRIOR EXPRESS WRITTEN PERMISSION OF KOFAX IMAGE PRODUCTS, INC.

Kofax Image Products, Kofax, the Kofax logo, Ascent Capture, the Ascent Capture logo, Ascent, VirtualReScan, the “VRS VirtualReScan” logo, and VRS are trademarks or registered trademarks of Kofax Image Products, Inc. in the U.S. and other countries.

U.S. Government Rights Commercial software. Government users are subject to the Kofax Image Products, Inc. standard license agreement and applicable provisions of the FAR and its supplements.

You agree that you do not intend to and will not, directly or indirectly, export or transmit the Software or related documentation and technical data to any country to which such export or transmission is restricted by any applicable U.S. regulation or statute, without the prior written consent, if required, of the Bureau of Export Administration of the U.S. Department of Commerce, or such other governmental entity as may have jurisdiction over such export or transmission. You represent and warrant that you are not located in, under the control of, or a national or resident of any such country.

DOCUMENTATION IS PROVIDED “AS IS” AND ALL EXPRESS OR IMPLIED CONDITIONS, REPRESENTATIONS AND WARRANTIES, INCLUDING ANY IMPLIED WARRANTY OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE OR NON-INFRINGEMENT, ARE DISCLAIMED, EXCEPT TO THE EXTENT THAT SUCH DISCLAIMERS ARE HELD TO BE LEGALLY INVALID.

Kofax Capture 8 Getting Started Guide iii

Contents

How to Use This Guide . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xv

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xv

Related Documentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xv

Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .xvi

Kofax Technical Support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xvii

1 Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Document and Data Capture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

What is Kofax Capture? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

Kofax Capture Process Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3Administration Module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4Batch Manager Module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4Scan Module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4Quality Control Module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4Recognition Server Module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5OCR Full Text Module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5Kofax PDF Generator Module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5Validation Module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5Verification Module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5Release Module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

What is Kofax Capture Network Server? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6KCN Server Components . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6Major Features of KCN Server . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

Tight Integration with Kofax Capture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9Batch Routing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9Centralized Administration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9Centralized License Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9Data Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10Offline Capability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

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iv Kofax Capture 8 Getting Started Guide

Internet/Intranet Support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10Remote Site Profile Support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10Batch Class Assignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10Event Logging . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11Site Switching Capability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11Remote Synchronization Capability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

What is Kofax Capture Enterprise? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11High Availability Support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11Multiple Instance Support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12Disaster Recovery Support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12Terminal Services and Citrix Support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12WebSphere Support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12Backup Licensing Option . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

2 A Quick Tour of Kofax Capture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .13

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13Need More Information? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

Administration Module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Scan Module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16VRS QC Later . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

Recognition Server Module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

Validation Module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

Verification Module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

OCR Full Text Module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

Kofax PDF Generator Module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

Quality Control Module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24VRS QC Later . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

Release Module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

Batch Manager Module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

Separator Sheet Utility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

Report Viewer Module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31

Scanner Configuration Utility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32

Kofax Capture User Interface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33Rearranging the User Interface Elements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33User Interface Elements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

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Kofax Capture 8 Getting Started Guide v

Menu Bar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34Context Menus . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34Toolbars . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34Status Bar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34Image Viewer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34Definitions Panel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34Batch Contents Panel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35Scan Controls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37Scan Controls with Unattended Scanning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38Table Controls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38Notes Panel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40Batch Thumbnails . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41

3 Understanding the Basics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43Need More Information? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43

Setting Up Your Batch Classes - An Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44Using Kofax Capture Across Regions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45

Regional Settings Conversion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45Language Translation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46Display Labels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47Items That are Not Converted/Translated . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48

Copying a Batch Class . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49

Create Your Field Types . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50Dictionaries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51

Full Text Dictionary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51Zonal Dictionary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51

Known Values for Field Types . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52

Create Your Folder Classes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53About Folder Creation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53

The Basic Auto-foldering Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54Index Fields . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54

Creating a Folder Class . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54Copying a Folder Class . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57

Create Your Document Classes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57Copying a Document Class . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58Index Fields . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59OCR Full Text Settings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59

Recognition Profiles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59Kofax PDF Generator Settings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59

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vi Kofax Capture 8 Getting Started Guide

Recognition Profiles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60Validation Scripts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60Database Validation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60

Remote Database Validation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61Release Scripts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62

Target Database Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62Multiple Release . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63

Create Your Form Types . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64Copying a Form Type . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65Permanent Image Cleanup . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66

Image Cleanup Profiles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66Page Registration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67Automatic Index Field Recognition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68Page-Level Bar Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68Character Recognition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69

Extraction and Recognition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70Validation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75

Bar Code Recognition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79Where Bar Code Recognition Occurs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80Enhanced Versus Standard Bar Code Engine . . . . . . . . . . . . . . . . . . . . . . . . . . 80Bar Code Recognition Profiles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81Document Separation with Bar Codes on Color Images . . . . . . . . . . . . . . . . . 81Page Level Bar Code Processing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82

Sample Pages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82About Zones . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82

Index Zones . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82Registration Zones . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83Separator Zones . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86Form Identification Zones . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86Index Group Zones (SmartGroups) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86

Working with Zones . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87Selecting Recognition Profiles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87Drawing Zones . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88Temporary Image Cleanup for Zones . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94Creating an Index Group Zone (SmartGroup) . . . . . . . . . . . . . . . . . . . . . . . . . 94Results Returned from an Index Group Zone . . . . . . . . . . . . . . . . . . . . . . . . . . 96OMR Threshold Settings and Zone Size . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97OMR Confidence Settings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98Testing Zones with QuickZones . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101

Create Your Batch Classes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101Processing Queues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102Batch Fields . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103

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Kofax Capture 8 Getting Started Guide vii

Automatic Batch Names . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103Document Separation and Form Identification Profiles . . . . . . . . . . . . . . . . . . . . 103

Document Separation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104Form Identification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106Custom Document Separation and Form Identification . . . . . . . . . . . . . . . . 107

Single Document Batch Processing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108Partial Batch Release . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109Publishing Your Batch Classes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109

Color Support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110Compression for Color Images . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111

Setting Image Quality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112Color Image Cleanup Profiles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114Display of Color Images . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115

eDocument Support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115Viewing eDocuments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116Indexing with eDocuments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117Document Separation and Form Identification for eDocuments . . . . . . . . . . . . 117Release Script Support for eDocuments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118Custom Module Support for eDocuments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118

Importing PDF Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118Importing PDF Files as eDocuments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118Treating PDF Documents as TIFF Images . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120

Effect on Licensing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120Importing Image-Only PDF Files as Sample Pages . . . . . . . . . . . . . . . . . . . . . . . . 120

Custom Scripts and Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120

Kofax Capture Values . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121

Scanner Profiles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122Sharing Scanner Profiles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122

Scanner Profile Locations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123VirtualReScan (VRS) Scanner Profiles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123

Automatic Batch Separation (Unattended Mode) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124

4 User Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125

User and Group Profiles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127User Versus Group Profiles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127

Default Profiles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128Enabling the User Profiles Feature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128

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Disabling the User Profiles Feature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130Working with User Profiles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131

Adding a User Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131Copying a User Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134Editing a User Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134Deleting a User Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136

Working with Group Profiles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136Adding a Group Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137Copying a Group Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139Editing a Group Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140Deleting a Group Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140

Centralized User Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141Local Versus Centralized User Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141

Local User Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141Centralized User Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141

Linking Domain Users or Groups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142Managing Links to Domain Users or Groups . . . . . . . . . . . . . . . . . . . . . . . . . 142User and Group Icons . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143Centralized User Management Link Verification . . . . . . . . . . . . . . . . . . . . . . 144

Making User and Group Profile Assignments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144User Profiles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144

Identifying and Assigning General Permissions to Users . . . . . . . . . . . . . . . 145Assigning Batch Classes to Users . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145Assigning Kofax Capture Modules to Users . . . . . . . . . . . . . . . . . . . . . . . . . . 147Assigning a User to One or More Groups . . . . . . . . . . . . . . . . . . . . . . . . . . . . 148

Group Assignments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150Identifying and Assigning General Permissions to Groups . . . . . . . . . . . . . 150Assigning Batch Classes to Groups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150Assigning Kofax Capture Modules to Groups . . . . . . . . . . . . . . . . . . . . . . . . 152Assigning One or More Users to a Group . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153Selecting Default Groups for New Batch Classes . . . . . . . . . . . . . . . . . . . . . . 155

Checking Batch Class Assignments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 156

Tracking User Activity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158User Productivity Reporting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158Tracking Linked Users . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158Enabling and Disabling the User Tracking Feature . . . . . . . . . . . . . . . . . . . . . . . . 158

User Tracking Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 159User Activity Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 159

User Tracking Data Tables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 159

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5 Managing Your Kofax Capture Environment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163

Log Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163System Log Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163

Deleted Batches Log File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 164History Log File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 166Error Log File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 166

Processing Module Log Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 167

About the Database Utility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 168Database Utility User Interface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 169Database Tab . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 169

SQL Server option . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 170Oracle option . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 170IBM DB2 option . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 170

SecurityBoost Tab . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171Identification Tab . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171Batch Information Editor Tab . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171Repair and Compact Tab . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171

About the License Utility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171License Utility User Interface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 172System License Area . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 172Station License Area . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173Volume License Area . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173

About SecurityBoost . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173

6 A Quick Tour of Kofax Capture Network Server . . . . . . . . . . . . . . . . . . . . . . . . . . . 175

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175

Administration Module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175Edit Menu . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175

KCN Server Central Site Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 176KCN Server Remote Site Profiles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 176

KCN Server Central Site Profiles Dialog Box . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 176Batch Routing Tab . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 177Batch Class Override Tab . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 178Override Central Site Batch Routing Dialog Box . . . . . . . . . . . . . . . . . . . . . . 180

KCN Server Remote Site Profiles Dialog Box . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182Batch Routing Tab . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183Assigned Batch Classes Tab . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 185Override Batch Routing Dialog Box . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 188

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x Kofax Capture 8 Getting Started Guide

Station Licensing Tab . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 190Volume Licensing Tab . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 193Polling Tab . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195Business Continuity Tab . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199

Tools Menu . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200Central Site Manager . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 201Remote Site Manager . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 201

Central Site Manager Dialog Box . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 201Central Sites . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 202New Button . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 202Edit Button . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 202Delete Button . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 203OK Button . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 203Cancel Button . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 203

Remote Site Manager Dialog Box . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 203Remote Site Properties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 204New Remote Site Behavior . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205Remove Button . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205Edit Button . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 206Close Button . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 206

Batch Manager Module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 206Options Menu . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 206Converting an Installation to a Remote Site . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 207Web Server URL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 207Activate RSA on This Station . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 208RSA Polling Settings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 208

Polling Settings (Time Zone of Remote Site) . . . . . . . . . . . . . . . . . . . . . . . . . . 209If Connection Fails . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210Batch Status Settings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210OK Button . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210Cancel Button . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210Apply Button . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210

Batch Processing Dialog Polling Settings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211Check Status Of Uploaded Batch Every . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211

Batch Processing Dialog Box . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211Last Send Attempt . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212Status . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212Status Box . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 213Check Now . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 213Check Later . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 213

Remote Synchronization Agent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 213System Tray Icon . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 213

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Kofax Capture 8 Getting Started Guide xi

RSA Menu . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 214Close . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 214Status . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215About . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215

Remote Synchronization Agent Dialog Box . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215Last Send Attempt . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 216Status . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 216Status Box . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 216Synchronize Now Button . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 216Download Batch Classes Button . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 216Download Batches Button . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 217Credentials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 217Hide Button . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 217

Connect to Central Site Dialog Box . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 217Please enter credentials for <server name> . . . . . . . . . . . . . . . . . . . . . . . . . . . 218User name . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 218Password . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 218

7 Configuring Kofax Capture Network Server Settings . . . . . . . . . . . . . . . . . . . . . . . 219

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 219Converting a Kofax Capture Site to a Remote Site . . . . . . . . . . . . . . . . . . . . . . . . 219Changing Web Server Port Numbers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 221Activating the RSA on a Remote Station . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 222

Setting Up Your Central Site Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 223Set Up the Central Site Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 223

Setting Up Remote Site Profiles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227Step 1: Select an Existing Remote Site Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227Step 2: Configure a Remote Site Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227

Setting Up Batch Routing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 228Setting Up Volume License Limits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 230Setting Up Station Licensing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 231Assigning Batch Classes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233Setting Up Polling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 235Setting Up Business Continuity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 237

Step 3: Save the Remote Site Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 237

Modifying Remote Site Profiles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 238

Deleting Remote Site Profiles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 239

Assigning a Remote Site Profile to a Remote Site . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 240

Removing a Remote Site . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241

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xii Kofax Capture 8 Getting Started Guide

Configuring Remote Site Polling Times . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 242

Configuring Batch Processing Dialog Polling Settings . . . . . . . . . . . . . . . . . . . . . . . . . 244

8 Using Kofax Capture Network Server. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .245

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 245Using KCN Server Across Regions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 245

Regional Settings Conversion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 245Language Translation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 246Items That are Not Converted/Translated . . . . . . . . . . . . . . . . . . . . . . . . . . . 247

Downloading Batch Classes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 247Downloading Batch Classes With Automatic Synchronization . . . . . . . . . . . . . . 247Downloading Batch Classes With the RSA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 248

Creating and Processing Batches . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 249

Uploading and Downloading Batches . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 249Transferring Batches With Automatic Synchronization . . . . . . . . . . . . . . . . . . . . 250Transferring Batches With the RSA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 250Recalling a Batch . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 251

Batches Deleted at a Remote Site . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 252Recalling a Batch . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 252

Unrejecting Batches . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 253

Checking the Status of Batches at the Central Site . . . . . . . . . . . . . . . . . . . . . . . . . . . . 254

Checking the Status of Batches at a Remote Site . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 255Batch Processing Dialog Box . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 255Remote Synchronization Agent Dialog Box . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257Limiting Volume Licenses at Remote Sites . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 258

Monitoring Activity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 260Windows Application Event Log File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 260KCN Server Log Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 261

Server Log Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 261Remote Site Log File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 262

Switching Central Sites (Web Server URLs) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 262

Tracking User Statistics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263

A Using the Standard Auto-Import Feature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .265

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 265

Importing Image Files and Index Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 266Image File Information and Index Data (ASCII Text File) . . . . . . . . . . . . . . . . . . 266

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Kofax Capture 8 Getting Started Guide xiii

Parsing Logic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 266Associated Batch Information (.ini File) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 267Auto-Import Log File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 268Running Auto-Import for Image Files and Index Data . . . . . . . . . . . . . . . . . . . . 268

Importing Image Files Only . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270Image File Information Only - No Index Data (.ini File) . . . . . . . . . . . . . . . . . . . 270Running Auto-Import for Image Files Only . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 272

Auto-Import Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 272

B Using the XML Import Connector Feature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273How XML Import Connector Works . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 274

XML Import Connector Unattended Module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 275File Menu . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 276Tools Menu . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 276Help Menu . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277Event Log . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277Status Bar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 278

Command Line Arguments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 278

XML Import Connector Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 285Creating an XML Import Connector File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 286General Structure of the XML Import Connector File . . . . . . . . . . . . . . . . . . . . . . 286Elements and Attributes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 288

<ImportSession> ... </ImportSession> . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 288<Batches> ... </Batches> . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 291<Batch> ... </Batch> . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 291<BatchFields> ... </BatchFields> . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 295<BatchField> . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 295<ExpectedBatchTotals> ... </ExpectedBatchTotals> . . . . . . . . . . . . . . . . . . . 296<ExpectedBatchTotal> . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 297<Folders> ... </Folders> . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 298<Folder>... </Folder> . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 298<Documents> ... </Documents> . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 298<Document> ... </Document> . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 298<Pages> ... </Pages> . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 299<Page> . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 300<IndexFields> ... </IndexFields> . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 301<IndexField> . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 301<Tables> ... </Tables> . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 303<Table>... </Table> . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 303

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xiv Kofax Capture 8 Getting Started Guide

<TableRows> ... </TableRows> . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 304<TableRow> ... </TableRow> . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 304

Examples of XML Import Connector Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 305Files Before Processing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 305

Example 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 305Example 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 306Example 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 307

Files After Processing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 307Example 1 - Successful Processing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 308Example 2 - Processing with Errors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 308

Event Logging . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 310

Error Handling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 311Types of Errors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 311Error Messages in the XML Import Connector File . . . . . . . . . . . . . . . . . . . . . . . . 312Deleting Batches with Errors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 313Error Messages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 314

C Installing Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .319

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 319Step 1 - Install Kofax Capture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 320Step 2 - Set Up Your Batch Classes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 320Step 3 - Install Kofax Capture Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 323Step 4 - Configure Kofax Capture Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 325Step 5 - Start/Stop Kofax Capture Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 327

Monitoring Kofax Capture Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 328Modifying Services with User Profiles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 328Removing Kofax Capture Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 328

Multiple Instance Support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 329Installing Multiple Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 329Removing Multiple Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 330Licensing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 330

D Custom Module and Workflow Agent Registration . . . . . . . . . . . . . . . . . . . . . . . . . .331

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 331Registering a Custom Module or Workflow Agent . . . . . . . . . . . . . . . . . . . . . . . . 331

Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .333

Kofax Capture 8 Getting Started Guide xv

How to Use This Guide

IntroductionThe Kofax Capture 8 Getting Started Guide contains the essential information needed to start using Kofax Capture and Kofax Capture Network Server (KCN Server).

This guide is intended to be used by system administrators and developers who need a description of the Kofax Capture application and its user interface, as well as those who are configuring and managing the remote capabilities of KCN Server used in conjunction with Kofax Capture installations.

For Kofax Capture, this guide assumes you have a thorough understanding of Windows standards, applications, and interfaces. For KCN Server, this guide assumes that you have a working knowledge of the Internet and your Web server, your network configuration, and Kofax Capture.

Related DocumentationIn addition to this Kofax Capture 8 Getting Started Guide, Kofax Capture 8.0 includes the following documentation.

Kofax Capture 8 Installation Guide

The installation guide provides instructions for installing Kofax Capture and Kofax Capture Network Server. In addition, it contains information about planning your installation, certified operating systems and other system requirements, and important installation notes.

Kofax Capture 8 Developer’s Guide

The Kofax Capture 8 Developer’s Guide provides guidance information regarding why you would want to customize Kofax Capture and instructions to do so. Several examples and code segments are provided to demonstrate how to create custom

xvi Kofax Capture 8 Getting Started Guide

panels, menus, workflow agents, modules, and scripts to enhance Kofax Capture processing.

Kofax Capture 8 Online Help

Kofax Capture online Help provides online assistance for system administrators and operators alike. You can access online Help as follows:

• From the Taskbar: Select Start | Programs | Kofax Capture | Kofax Capture Help to display the main Help topic for the Help system.

• From any module’s toolbar or menu bar: Click the Help button from the toolbar, or select Help | Kofax Capture Help Topics from the menu bar to display the main Help topic for the module.

• From any dialog box: Click the Help button or press F1 to display context sensitive information for the dialog box.

Kofax Capture 8 API Reference Guide

The Kofax Capture API Reference Guide is an online reference that provides the details of each API library needed to customize Kofax Capture. The API Reference Guide is designed to be used with the Kofax Capture Developer’s Guide as a primary resource for customizing Kofax Capture.

To access the API Reference Guide, select Start | Programs | Kofax Capture 8.0 | API Reference Guide from the taskbar.

Kofax Capture 8 Quick Reference Cards

The set of quick reference cards provides abbreviated steps for performing common tasks for several Kofax Capture modules.

Kofax Capture 8 Release Notes

Late-breaking product information is available from release notes. You should read the release notes carefully, as they contain information that may not be included in other Kofax Capture documentation.

TrainingKofax offers both classroom and computer-based training that will help you make the most of your Kofax Capture solution. Visit the Kofax Web site at www.kofax.com for complete details about the available training options and schedules.

Kofax Capture 8 Getting Started Guide xvii

Kofax Technical SupportFor additional technical information about Kofax products, visit the Kofax Web site at www.kofax.com and select an appropriate option from the Support menu. The Kofax Support pages provide product-specific information, such as current revision levels, the latest drivers and software patches, online documentation and user manuals, updates to product release notes (if any), technical tips, and an extensive searchable knowledgebase.

The Kofax Web site also contains information that describes support options for Kofax products. Please review the site for details about the available support options.

If you need to contact Kofax Technical Support, please have the following information available:

• Kofax Capture software version• Kofax Capture Network Server (KCN Server) software version• Operating system and service pack version• Network and client configuration• Copies of your error log files• Scanner make and model• Scanner engine (board) type• Special/custom configuration or integration information

xviii Kofax Capture 8 Getting Started Guide

Kofax Capture 8 Getting Started Guide 1

Chapter 1

Overview

Document and Data CaptureProduction scanning sites are typically designed with either document capture or data capture as their primary purpose. The difference between the two is simple:

• In a document capture installation, documents are scanned and permanently archived. Only a small amount of data is extracted from each image, to serve as a means of indexing the images for later retrieval.

• In a data capture installation, the documents are usually forms, and the images are not saved after scanning. Instead, every field on the form is extracted and the resulting data is then stored in a database or line-of-business application.

Kofax Capture is designed to support document/data capture and production/ad-hoc scanning in a single application. Most structured and unstructured documents can be scanned in a single batch, and the system will automatically recognize each document in the batch and process it based on characteristics that you have predefined. The definition process is simple and quick, and provides an extraordinary amount of control over how your documents are processed.

Kofax Capture combines both document and data capture with remote Internet-based capture. Inexpensive capture stations can be easily set up at remote sites—across geographic regions or in the same building—and synchronized with a central capture site via the Internet. Kofax Capture’s open architecture makes it easy to extend the basic application to handle complex, high-volume forms processing, as well as to capture information directly from remote offices. With automatic regional format conversions and the ability to share batch classes with other localized languages of Kofax Capture, all types of documents can be captured “anywhere, any time.”

Chapter 1

2 Kofax Capture 8 Getting Started Guide

What is Kofax Capture? Kofax Capture is a batch-oriented capture application designed to process large numbers of documents and forms with a high throughput and low cost. It integrates the following capabilities into a single application:

• Batch definition and setup• Scanning (remote and local)• Document separation• Form identification• Image cleanup• Automatic recognition, including Optical Character Recognition (OCR),

Intelligent Character Recognition (ICR), Optical Mark Recognition (OMR), bar code recognition, patch code recognition, and others

• Indexing and data validation• Quality control and rescanning• Release of images to long-term storage and data to a target database, text file,

or back-end business application

Figure 1-1. The Standard Process for Document, Data, and Internet Capture

Overview


Kofax Capture Process OverviewAlthough Kofax Capture is a single application, it consists of several individual modules. In small installations, these modules typically all run on a single computer, while in high-volume installations they run on separate workstations.

Batches of documents normally enter the system via the Scan module, Auto-import, or import scripts and are then automatically routed from module to module as each processing step is completed. The routing steps can vary for different batches, and they are defined for each batch class in the Administration module prior to processing. The final processing step is the Release module, from which in-process images and data are transferred to long-term storage and then deleted from the Kofax Capture system.

Figure 1-2. Kofax Capture Modules

Chapter 1


Administration Module

The Administration module is used by system administrators to set up batch classes and maintain the Kofax Capture system. From this module, the administrator can do the following:

• Define the types of documents that will be processed and how they will be indexed.

• Decide which modules the documents will pass through for processing, and in which order.

• Define processing profiles, such as document separation, form identification, image cleanup, and recognition profiles.

• Set up user profiles that specify which batch classes and Kofax Capture modules that each user can access.

• Enable user tracking.• Register custom modules.

Batch Manager Module

The Batch Manager module is used to monitor the status or control the flow of batches in the Kofax Capture system. It is typically used by the system administrator to create, delete, unreject, or process batches.

Scan Module

The Scan module is used to create batches, scan and import documents, and edit the contents of batches. After the batches are created, they are entered into temporary storage in the Kofax Capture system, making them available for processing by subsequent modules.

Quality Control Module

The Quality Control module is used to visually check the quality of each batch and ensure that scanned images are legible and forms are correctly identified. It can be used as an explicit queue for all batches to pass through, or as an exception queue for batches that contain rejected pages or documents.

Overview


Recognition Server Module

The Recognition Server module automatically separates batches into individual documents, identifies form types, and extracts data from the images using OCR, ICR, OMR, and bar code recognition. It is an unattended module.

OCR Full Text Module

The OCR Full Text module performs OCR on an entire document, and produces a file in a specified format (for example, Microsoft Word or ASCII). This is a quick way to convert paper documents into editable files. It is an unattended module.

Kofax PDF Generator Module

The Kofax PDF Generator module performs OCR on an entire document and stores the results in the specified PDF format (PDF Image Only or PDF Image + Text). This is a quick way to convert paper documents to PDF files. It is an unattended module.

Validation Module

The Validation module is used to enter or validate data associated with a document. It can validate data that has been extracted via an automatic recognition technology, such as OMR, OCR, ICR, or bar code recognition, or filled in via an automatic database lookup method. This module can also be used to manually key data that cannot be recognized by one of the built-in recognition engines. The operator can manually enter the index data or use Rubber Band OCR zonal recognition on a selected text string or word. A scripting capability is included that allows users to write simple Visual Basic-like scripts that perform automatic validation procedures such as field comparisons, list verification, customized database lookup, and so forth.

Verification Module

The Verification module is used to verify data a second time after the data has already been processed through the Validation module. It is typically used for critical data fields that must be guaranteed as 100% accurate.

In the Verification module, the index data for the same document is entered by a different operator. Then, the values are compared with the first set of index values. If the values match, they are assumed to be correct. If the values do not match, a verification error occurs. The verification operator must decide whether to use the validation value, the verification value, or to enter a different value. The operator can

Chapter 1


manually enter the index data or use Rubber Band OCR zonal recognition on a selected text string or word.

Release Module

The final stage in the Kofax Capture process is to release the documents in a batch to long-term storage. The Release module releases the image files to permanent storage and the data values to a target database or back-end document management system.

Two standard release scripts are provided with Kofax Capture. One of these scripts releases data to a Microsoft Access or ODBC-compliant database. The other releases data to a text file.

In addition to the standard scripts, Kofax Capture allows you to write your own release scripts to customize the release process. For example, you might want to release documents to a proprietary back-end or non-ODBC database.

Custom release scripts are available from Kofax for many popular content management, document management, and workflow systems. Visit our Web site at www.kofax.com for a current listing of supported systems.

What is Kofax Capture Network Server?Kofax Capture Network Server (KCN Server) adds Internet and intranet processing capabilities to Kofax Capture. With this capability, Kofax Capture stations can be connected to a central site through the Internet (or intranet) to assist in the production document and data capture process. Batches can be scanned and processed at the remote site, and then uploaded to the central site for further processing and release.

This section describes the components and major features of KCN Server.

KCN Server Components

KCN Server components are installed at your central site and at one or more remote sites as follows:

KCN Server software The KCN Server software is installed on a Web server at your central site. It acts as a broker between your central Kofax Capture database and your remote

Overview


locations. The Web server may be on a separate computer, or it may be on the same computer as the Kofax Capture server.

Kofax Capture Network ServiceThe Kofax Capture Network Service is responsible for responding to requests from the remote sites. Specifically, the Kofax Capture Network Service performs the following operations:

• Inserting batches into Kofax Capture on the Kofax Capture server asynchronously one batch at a time

• Extracting batch class and other remote site profile information • Verifying licenses

File Cache Folder LocationsThe file cache folder locations, which are accessed by both the Kofax Capture Network Service and the Web server, are used to hold batches uploaded from remote sites until the data can be inserted into Kofax Capture at the central site. The folders can be deployed anywhere on your network as long as there is network access between the following:

• Web server and the file cache folder locations• Kofax Capture Network Service and the file cache folder locations Multiple file cache folders can be created on one or more computers. You might want to create multiple file cache folders so that if one file cache folder location fails, the remote sites can continue to synchronize using the remaining file cache folder locations.

Web ServerThe Web site is used to route requests and data between the KCN Server remote sites and the central site.

Remote Synchronization Agent (RSA) The RSA runs on at least one remote station at each remote site to automatically download batch classes from the central site and upload batches to the central site.

Chapter 1


An example configuration is shown in Figure 1-3.

Figure 1-3. Example Kofax Capture Network Server Configuration

Batches created at a remote site are processed through all the modules set to run at the remote site. When the remote processing is complete, the batches are uploaded to the central site. Once uploaded, the batches are integrated into the central site’s Kofax Capture system for further processing and release.

Major Features of KCN Server

KCN Server eliminates the common and costly practice of shipping documents from remote offices to a central site for processing. It supports remote scanning and processing of documents through the Internet or intranet.

Remote Site Central Site

Kofax Capture Server

Web Server

Standalone Remote Stations

Kofax Capture Database, Software,and Server Files

Firewall

Scan Station

Administration Station

Kofax Capture DatabaseK

Validation Station

Verification Station

Release Station

File Cache Folder Location

KCN Service

Recognition Station

QC Station

KCN Service

File Cache Folder Location

Kofax Capture Server

Client Remote Stations

RSA

RSA

RSA

Overview


KCN Server allows IT and IS managers to develop and implement enterprise-wide capture solutions. With KCN Server, documents can be scanned inexpensively at remote stations and then automatically uploaded to the central site, securely and reliably.

Tight Integration with Kofax Capture

KCN Server is tightly integrated with certain Kofax Capture modules and menus. Specifically, options for configuring and using KCN Server are available from the Kofax Capture Administration and the Batch Manager modules. See the sections Administration Module on page 175 and Batch Manager Module on page 206 for additional information.

Batch Routing

Using remote or central site profiles, you can specify where each module processes a batch as it moves through the Kofax Capture workflow. You can freely move batches from one site to another (using the central site as a hub). However, the Scan module must be run at the “Batch Creation Site,” while the Release module must be run at the central site. Aside from these two restrictions, the other modules can be run at any location.

You can also override the batch routing settings specified in the remote site profile on a per batch class basis. This allows you to individually control the routing of individual batches if needed.

Centralized Administration

The Kofax Capture system administrator can centrally manage configuration information, schedules for uploading batches, and batch class definitions for all remote sites by creating and assigning remote site profiles to remote sites.

You can specify the default behavior for assigning remote site profiles to new remote sites. This behavior will automatically be used when a new remote site synchronizes with the KCN Server for the first time. For example, if there is a remote site profile with a name matching a remote site, you can set a policy in which the remote site automatically receives the matching remote site profile.

Centralized License Management

Kofax Capture supports a centralized license management scheme that requires a hardware key on the Kofax Capture server (in a client/server installation) and

Chapter 1


standalone stations (in standalone installations) at the central site. No hardware keys are required for KCN Server remote site stations.

For more information about the options purchased for your company, contact your system administrator or Kofax Certified Solution Provider.

For more information on central site license management and licensing, contact your system administrator, and see the Kofax Capture online Help.

Data Security

KCN Server can be configured to meet the security needs of your company. For example, you can configure your Web server software for optimal security.

Refer to the documentation from your Web server software manufacturer for details on administering security for your central site’s Web server.

Offline Capability

With KCN Server, remote stations do not have to be connected to the central Kofax Capture server while processing batches. You can set your remote stations to connect with your central site and then synchronize with your central site at predetermined intervals or on demand.

Internet/Intranet Support

KCN Server is suitable for Internet and/or intranet configurations.

Remote Site Profile Support

KCN Server allows you to create remote site profiles. Remote site profiles are groups of settings that you assign to one or more remote sites. See Setting Up Remote Site Profiles on page 227 for additional information.

An important feature is that you can exclusively specify where in the Kofax Capture workflow the remote site routes batches to the central site.

Batch Class Assignment

KCN Server allows you to control which batch classes are visible to specific remote sites. This is provided through remote site profiles. See Assigning Batch Classes on page 233 for additional information.

Overview


Event Logging

KCN Server maintains a comprehensive log of polling activity and other events. Logs are maintained at both the central site and the remote sites. See Monitoring Activity on page 260 for additional information.

Site Switching Capability

KCN Server allows you to easily switch Web servers or central sites, if necessary. See Switching Central Sites (Web Server URLs) on page 262 for additional information.

Remote Synchronization Capability

Through the Remote Synchronization Agent (RSA), you can easily synchronize with the central site on a defined schedule or on demand. Synchronization allows you to download batch classes and upload completed batches to the central site at the same time. See Downloading Batch Classes With the RSA on page 248 and Transferring Batches With the RSA on page 250 for additional information.

What is Kofax Capture Enterprise?Kofax Capture Enterprise is identical to Kofax Capture, with the addition of several features that are specifically designed for enterprise-level installations.

Any installation of Kofax Capture can be upgraded to Kofax Capture Enterprise. Contact your sales representative or your Certified Solution Provider for more information about an upgrade.

High Availability Support

A high availability system is capable of performing tasks with virtually no downtime. Any complex system has many components, any of which can fail or degrade at any moment. A highly available system will continue to function even if one or more of its components fail.

The High Availability Support feature consists of a number of independent components that, when deployed in a highly available computer system, result in robust, fault-tolerant operation. Although fault-tolerant systems are primarily intended for enterprise-scale organizations, even the smallest company may benefit from some of these components.

High Availability includes support for SQL Server Enterprise, Oracle, and IBM DB2.

Chapter 1


Multiple Instance Support

The Multiple Instance Support feature allows you to install multiple instances of any Kofax Capture service. This improves the utilization of multi-CPU computers, so they can take full advantage of their potential processing throughput. For example, a Recognition Server station running on a dual-CPU computer can have up to eight instances of the service installed, increasing the number of batches that workstation can process.

Disaster Recovery Support

The Disaster Recovery feature allows you to add alternate central sites to an enterprise configuration, specify batch upload behavior, back up and restore batches and batch classes, export and import administrative data, and more. This feature allows for business continuity when equipment fails or disaster strikes.

Terminal Services and Citrix Support

Terminal Services and Citrix server technology can be used to run instances of Kofax Capture modules remotely. By using a server to host the modules that can be controlled at remote stations, enterprise-level users can consolidate IT management and prevent the need to install software on client computers.

WebSphere Support

Kofax Capture Enterprise users have the option of installing and deploying KCN Server components on IBM WebSphere version 6.0. WebSphere can be implemented either on Solaris or Windows operating systems.

Backup Licensing Option

Backup license keys (used with High Availability Support) are available by contractual agreement. Contact your sales representative or your Certified Solution Provider for more information about this alternate licensing option.


Chapter 2

A Quick Tour of Kofax Capture

IntroductionKofax Capture is made up of a variety of processing modules, which are used together to define a Kofax Capture workflow for your batches. For example, the Scan module is used to scan or import batches into the Kofax Capture system; the Validation module is used to validate data fields captured from your images; and the Release module is used to release batches to a back-end system of your choice. Other modules allow you to add automatic recognition, additional data verification, OCR full text processing, PDF generation, and more to your workflow.

This chapter introduces each of the Kofax Capture modules, and provides a brief description of their user interface components.

Need More Information?

For details on any topic in this chapter, refer to the online Help available from the Kofax Capture program group, or from the Help menu in any Kofax Capture module.

Chapter 2


Administration ModuleThe Administration module is used by system administrators to set up processing options for batches and maintain the Kofax Capture system. From this module, you can do the following:

• Define batch classes, which specify processing options for all of the documents in your batches.

• Define document classes, which specify processing options to apply to a set of forms. For example, your document classes contain index field definitions for data associated with forms.

• Define folder classes, which define the properties of folders for a batch class. Folders are created and populated with documents as the documents are processed through the Kofax Capture workflow.

• Define form types, which define specific forms to process. Form type settings include the number of pages expected for a form, image cleanup settings, and more.

• Draw zones for your index fields, which define specific areas on your forms to process. For example, you can draw a zone around a text field on a sample page, and allow Kofax Capture to automatically capture data from the defined area during processing.

• Enable Kofax Capture User Profiles, if desired, to define privileges and access rights for operators.

• Enable User Tracking, if desired, to record and monitor operator activity.• Create/edit validation scripts with either Visual Basic .NET (VB. NET) or the

Softbridge Basic Language (SBL). Validation scripts control how index data is validated during processing. The Softbridge Basic editor is integrated into the Administration module.

• Set up and manage release scripts, which control how documents are released from the Kofax Capture system.

• Configure remote site profiles for Kofax Capture Network Server. Remote site profiles contain settings for managing batch processing activity between a central Kofax Capture site and remote Kofax Capture Network Server site.

• Import email with the Kofax Capture Import Connector - Email feature. This feature allows you to automatically import email and email attachments from most standard email servers, such as Microsoft Exchange or Lotus Notes.

Note Refer to Chapter 3 – Understanding the Basics on page 43 for information about batch classes, document classes, form types, and other settings that control how batches are processed with Kofax Capture.



Figure 2-1 shows the main screen of the Administration module. Notice that it supports standard Windows-style menus and toolbar buttons, which you can use to perform batch class setup tasks.

Figure 2-1. Administration Module Main Screen

For more information on the user interface elements, refer to Kofax Capture User Interface on page 33.

Chapter 2


Scan ModuleThe Scan module is typically the first module used to process a batch. From Scan, batches can be created, opened, suspended, deleted, and closed. The contents of the batches can also be edited before they are sent to the next module. The Scan module is typically monitored and used by a scan operator, whose basic tasks include:

• Batch preparation: Before scanning, the operator manually prepares a batch of paper documents, adds separator sheets (if required), counts the number of pages in the batch (if required), and loads the batch into the scanner’s hopper.

• Batch creation: The operator creates the batch by selecting the type of batch to create (the batch class) and then scanning or importing documents and pages. The document images are stored in a temporary folder for further processing by Kofax Capture.

• Batch editing: Once the batch is created, the operator can visually check documents or pages, and edit them as necessary. Editing functions include replacing, reordering, or rejecting documents and pages. Entire documents or individual pages can be rotated and saved in the rotated state.

Note that the scan operator can use Unattended Mode, which is the ability to scan several batches in succession without operator intervention. To use this feature, the scan operator must insert special-purpose batch separator sheets into a stack of paper documents. The batch separator sheets contain a patch code that triggers the start of a new batch.

Figure 2-2 shows the main screen of the Scan module. Refer to Kofax Capture User Interface on page 33 for more information about user interface elements.

VRS QC Later

Kofax Capture also includes the VRS QC Later feature, which you can use in your workflow to repair badly scanned images without the need to physically rescan the documents. With VRS QC Later mode enabled, the VRS user interface will remain out of view until it is invoked from Kofax Capture to perform image adjustments. This may save time, and the resulting improved image quality may result in better recognition results.

Also, if desired, you can adjust your images right at the scan station without sending them to the Quality Control module.



Figure 2-2. Scan Module Main Screen

Chapter 2


Recognition Server ModuleThe Recognition Server module separates batches into documents, identifies form types, performs image cleanup, and extracts data from images. It is required for any batch that uses automatic form identification, automatic document separation, automatic image cleanup, or automatic data capture.

Recognition Server is an unattended module. When it is running, batches ready for Recognition Server are automatically processed, and then sent to the next module specified for the batch.

Figure 2-3 shows the main screen of the Recognition Server module. Refer to Kofax Capture User Interface on page 33 for more information about user interface elements.

Figure 2-3. Recognition Server Module Main Screen



Validation ModuleFrom the Validation module, operators manually enter or select field data for each document in a batch. Operators can also use Rubber Band OCR on a selected text string or word. They also validate data captured with an automatic recognition method (such as OCR, bar code recognition, etc.). Validation is typically monitored and used by a validation operator, whose basic tasks include manual data entry, data validation, and possibly batch editing.

Note that validation also occurs through validation scripts associated with the batch class. The default validation scripts provide validation limited to the length of the field and the type of data in the field. User-written validation scripts can also be used to perform additional validation. Refer to the Kofax Capture Developer’s Guide for more information about custom scripts.

Refer to Kofax Capture User Interface on page 33 for more information about user interface elements.

Chapter 2


Figure 2-4. Validation Module Main Screen



Verification ModuleThe Verification module is used to verify data a second time after the data is processed through the Validation module. Verification will occur for any field tagged with the “verify” attribute for a document class. The operator can manually enter the index data or use Rubber Band OCR zonal recognition on a selected text string or word.

Figure 2-5 shows the main screen of the Verification module. Refer to Kofax Capture User Interface on page 33 for more information about user interface elements.

Figure 2-5. Verification Module Main Screen

Chapter 2


OCR Full Text ModuleThe OCR Full Text module performs OCR on an entire document and stores the results in a specified output format (for example, Microsoft Word or ASCII). The output format is specified in the document class associated with a document. The folder where the files are released is specified in the release script associated with the batch class/document class.

OCR Full Text is an unattended module. When it is running, batches ready for OCR Full Text are automatically processed, and then sent to the next module specified for the batch.

Figure 2-6 shows the main screen of the OCR Full Text module. Refer to Kofax Capture User Interface on page 33 for more information about user interface elements.

Figure 2-6. OCR Full Text Module Main Screen



Kofax PDF Generator ModuleThe Kofax PDF Generator performs Optical Character Recognition (OCR) on an entire document and stores the results in the specified PDF format (PDF Image Only or PDF Image + Text). The output type is specified in the document class associated with a document.

The Kofax PDF Generator is an unattended module. When the Kofax PDF Generator is running, batches ready for it are automatically processed, and then sent to the next module specified for the batch.

Figure 2-7 shows the main screen of the Kofax PDF Generator module. Refer to Kofax Capture User Interface on page 33 for more information about user interface elements.

Figure 2-7. PDF Generator Module Main Screen

Chapter 2


Quality Control ModuleBatches can be sent to Quality Control in two ways:

• As part of the defined workflow: If you select Quality Control as one of the processing modules for a batch class, all batches based on that batch class will be routed through Quality Control. This provides a way to monitor the quality of all images in a batch.

• As exception cases: If any documents or pages are rejected from any module, those batches will be sent to Quality Control. This provides a way to handle exceptions in the system. When launched as an exception queue, the name in the title bar for Quality Control is “Quality Control (Rescan).”

The Quality Control module is typically monitored by a scan or quality control operator, whose basic tasks include:

• Quality assurance: The operator can visually check the integrity of all document images. If necessary, the operator can edit the batch.

• Batch editing: Batch editing functions include replacing, reordering, or rejecting documents and pages.

Figure 2-8 shows the main screen of the Quality Control module. Note that documents and pages that are rejected are marked with a red “X” in the Batch Contents panel.

VRS QC Later

Kofax Capture allows you to fix bad scans without having to rescan your documents. Known as “VRS QC Later,” this feature can dramatically increase throughput and productivity.

A Kofax Capture operator, equipped with VRS QC Later, can correct images without a scanner. Kofax Capture will automatically flag a “bad” image and will typically send it the Quality Control Module for repair.



Refer to Kofax Capture User Interface on page 33 for more information about user interface elements.

Figure 2-8. Quality Control Module Main Screen

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Release ModuleThe Release module is typically the last module used to process batches. From Release, images are copied to permanent storage, and field data (such as index fields or batch fields) is written to a database or back-end document management system. Release is an unattended module. When it is running, batches ready for Release are automatically processed.

The Release module releases batches as defined by release scripts specified for your batch documents. Two standard release scripts are provided with Kofax Capture. One releases data to a Microsoft Access or ODBC-compliant database; the other releases data to a text file. Both scripts release images to a folder you specify.

You can also write custom release scripts, for example, to modify the standard release process to release documents to a proprietary back-end or non-ODBC database. Refer to the Kofax Capture Developer’s Guide for more information about custom scripts. In addition, visit www.kofax.com for information on how you can purchase Kofax-supported or Partner-supported and Freeware release scripts.



Figure 2-9. Release Module Main Screen

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Batch Manager ModuleBatch Manager is used to check the status or control the flow of batches in the Kofax Capture system. It is typically used to create, delete, unreject, or process batches.

Figure 2-10 shows the main screen of the Batch Manager module. Refer to Kofax Capture User Interface on page 33 for more information about user interface elements.

Figure 2-10. Batch Manager Module Main Screen



Separator Sheet UtilityThe Kofax Capture Separator Sheet Utility is used to define and print special-purpose, hardcopy sheets of paper that can be used to do one of the following:

• Separate batches when Unattended Mode is enabled• Separate documents in a batch

The sheets are manually inserted into a stack of documents before they are scanned. During processing, each separator sheet signals the beginning of a new batch or document.

Batch separator sheets contain a patch code that signifies the beginning of the next batch and a bar code that encodes the name of the batch class. During processing, Kofax Capture will recognize the batch separator sheet, read the bar code, and create a new batch based on the batch class.

Document separator sheets contain patch codes to separate documents, and an optional bar code that encodes the name of the form type. During processing, Kofax Capture will recognize the document separator sheet, read the bar code (if it exists), and separate and identify documents accordingly.

Before starting the utility, you must use the Administration module to define patch codes as the document separation method for your batch class. For batch separator sheets, you must use the Administration module to reserve a patch code for batch separation.

With the Separator Sheet Utility, you can:

• Select the type of separator sheet you want to create (either a batch separator or document separator sheet)

• Select various settings for the separator sheet• Print separator sheets

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Figure 2-11 shows the main screen of the Kofax Capture Separator Sheet Utility.

Figure 2-11. Separator Sheet Utility Main Screen



Report Viewer ModuleThe Report Viewer module is used to generate, view, print, and export reports based on the user tracking data collected by Kofax Capture. Figure 2-12 shows the main screen of the Report Viewer module.

Figure 2-12. Report Viewer Main Screen

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Scanner Configuration UtilityThe Scanner Configuration Utility is a tool used to configure scan and image device sources.

Using the Scanner Configuration Utility, you can view a list of image devices (scanners and file import devices) and the installed drivers that are available on your computer. From this list, you can then select a scanner and set it as the default, or restore the default settings for a specific scanner.

You can also create and manage your import sources, so when you want to create a batch, you can select a source device from any Kofax Capture module that allows you to create batches (Scan, Quality Control, and Batch Manager).

Figure 2-13 shows the main screen of the Scanner Configuration Utility.

Figure 2-13. Scanner Configuration Utility Main Screen



Kofax Capture User InterfaceThis section describes some common user interface components of the Kofax Capture modules. You should become familiar with the user interface before using Kofax Capture.

Rearranging the User Interface Elements

Note Your screens may not look exactly like the ones shown in this guide.

You can move certain interface elements, hide them from view, lock them in place, or return them to their default location. User interface elements are described in the next section. The following list describes how to move, hide, lock, and return user interface elements.

• The controls or toolbars may be in different locations. Kofax Capture allows you to undock or move most of the elements on the screen. To move an element, right-click to undock it. Then drag the element to the desired location.

• Not all of the controls or toolbars may be visible. Kofax Capture allows you to display or hide most of the elements on your screen. If some of the elements are missing and you want to display them, select View | Toolbars from the menu bar and select the toolbar to display.

• Lock Toolbars provides a convenient way to lock all docked toolbars and panels in place. Floating toolbars and panels are not locked until they are docked. Select View | Toolbars | Lock Toolbars to lock all docked toolbars and panels. When locked, a check mark is displayed next to the Lock Toolbars menu item. Select Lock Toolbars again to unlock docked toolbars and panels.

• Restore Toolbar Defaults provides a convenient way to return toolbars and panels to their default location. When toolbars are locked, a check mark is displayed next to the Lock Toolbars menu item, and the Restore Toolbar Defaults menu item is unavailable. Select the Lock Toolbars menu item again to clear the check mark and enable the Restore Toolbar Defaults menu item. You can then select Restore Toolbar Defaults.

User Interface Elements

Some user interface elements are common to all of the Kofax Capture modules, while others are found in only some of the modules. The following sections provide a brief description of the common user interface elements.

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Menu Bar

All Kofax Capture modules support a standard, Windows-style menu bar, from which you can perform various operations.

Context Menus

Standard, Windows-style context menus are available by right-clicking your mouse in different locations on the screen. The context menus provide shortcuts for various operations.

Toolbars

Most Kofax Capture modules support toolbars, which provide shortcuts to many menu items. The toolbar buttons can be toggled on or off, or dragged to other positions on the module’s main window for easy access. For more information, open the online Help Contents page for any module and select User Interface | Toolbars. (The unattended modules and the Separator Sheet Utility do not support toolbars.)

Status Bar

All Kofax Capture modules provide a status bar, which displays status messages, validation messages, and information about the current batch.

Image Viewer

Any Kofax Capture module that allows images to be displayed provides an image viewer. The viewer supports zoom and pan operations.

Definitions Panel

The Definitions panel is available from the Administration module. It provides a convenient way to view the contents of batch classes, including document classes, folder classes, form types, sample pages, zones, and more. The items are listed in typical “tree view” format, with the natural hierarchy of the components displayed. On the Batch tab, for example, the highest level items are batch classes. You can expand the list under a batch class to view the document classes and other items associated with that batch class.

Your selection from the Definitions panel affects menu options and other items on the Administration module’s main screen. For example, if a batch class is selected, choosing Edit | Properties from the menu bar will display the properties for that batch class. If a sample page is selected, the sample page will display in the viewer.



You can right-click on any item in the Definitions panel to display a context menu. The menu will include appropriate options for that item. For example, you can right-click on “Page Level Bar Codes” to display the Page Level Bar Codes dialog box, from which you can associate page level bar codes with data fields.

Figure 2-14. Definitions Panel

Batch Contents Panel

The Batch Contents panel is available in the following Kofax Capture modules:

• Scan • Quality Control • Validation • Verification

The Batch Contents panel provides a convenient way to view the contents and organization of a batch. You can see:

• Folders in the batch (loose pages cannot be placed in folders)• Documents in the batch• Pages in documents • Loose pages in the batch

The items are displayed in a typical “tree view” format, with all folders (including child documents) and documents listed under the name of the batch, all pages associated with a document listed under that document, and all loose pages listed alone.

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You can set the Batch Contents panel to display the contents as either thumbnails (small file images or symbols) or icons. Figure 2-15 illustrates the differences between the thumbnail and icon views. The examples show a batch with two documents, each containing multiple pages. Loose pages are shown at the bottom of the display.

Figure 2-15. Batch Contents Panel

Batch Contents Panel with Thumbnails Batch Contents Panel with Icons



Scan Controls

The Scan Controls are available in all modules that support scanning and importing, as listed below:

Administration (for scanning/importing sample pages)Quality ControlScan

The Scan Controls provide a convenient way to select a source device and start/stop a scan operation.

Figure 2-16. Standard Scan Controls

The following items are available:

Select Source drop-down list: Select a source device before you scan or import images. All source devices configured from the Scanner Configuration Utility will be available from the drop-down list. Once you select a source, you can select scanner settings or device options from Scan | Settings.

An asterisk (*) displays beside a scan source name to indicate that a local source profile differs from the shared version. This occurs when you modify, save, or delete a local profile and there is an existing corresponding shared profile. The asterisk does not display when when no shared profile exists or when local and shared profiles are the same. You can cause local and shared profiles to be identical when you revert the local profile to the shared profile’s settings (Revert to Shared Profiles) or save the local profile as a shared profile (Save Profiles as Shared). Refer to Sharing Scanner Profiles on page 122 for more information about sharing scanner profiles.

Scan Page button: Click this button to scan/import a page or document.

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Scan Batch button: Click this button to scan/import a batch of pages or documents.

Stop Scanning button: Click this button to stop scanning/importing pages or documents.

Page Counter: This counter indicates how many more pages you can scan/import this month. For more information, contact your system administrator.

Scan Controls with Unattended Scanning

While Unattended Scanning is enabled from the Scan module, the standard Scan Controls are replaced with the “Exit Unattended Mode” button. As soon as you exit Unattended Mode, the standard Scan Controls are restored into view.

Figure 2-17. Scan Controls with Unattended Mode Enabled

Table Controls

Some Kofax Capture dialog boxes support a table control for entering certain types of data. For example, the Document Class Properties dialog box provides an Index Fields table for defining data fields.



Figure 2-18 shows a typical table control on a dialog box. Note that not all table controls contain the same set of options.

Figure 2-18. Typical Kofax Capture Table

To navigate in the table, use any of the following:

• Mouse to move anywhere in the table (click to select a cell)• Tab key to move from column to column within a row• Up arrow and Down arrow keys to move from row to row within a column• Home and End keys to move to the top or bottom row of the table

For some dialog boxes (such as the Create Batch Class, Create Document Class, Batch Class Properties, and Document Class Properties dialog boxes), you can use your mouse to drag-and-drop rows to achieve the desired order.

To add a row to a table, do one of the following:

• Click New Index Field. The row will contain default values for all of the columns.

• Select the row below the intended new row position. Right-click and select Insert from the context menu. A new row will be added directly above the

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original row. The new row will contain the same values as the row directly below it.

• Select the row below the intended new row position. Press Insert from the standard keyboard or the numeric keypad. A new row will be added directly above the original row. The new row will contain the same values as the row directly below it.

To delete a row in a table, click on the row that you want to remove and do one of the following:

• Click Delete Index Field.• Right-click and select Delete from the context menu.• Press the Delete key from the standard keyboard or the numeric keypad.

To select a value for columns with a drop-down list of choices, use your mouse to select from the list.

To sort the table, click on the column header to sort the table by the values in that column. (Note that some tables cannot be sorted.)

To reorder rows in the table, click on the row and drag it to the desired position.

To use table fields, create a new row and select (TABLE) as the field type. You can then add or remove rows to the (TABLE) with the table row buttons at the bottom left of the dialog box.

Notes Panel

A Notes panel is available from the following modules:

• Scan• Quality Control• Validation• Verification

The panel is designed to make document and page notes more readable, as notations that appear in the status bar are sometimes partially obscured by other information. With the Notes panel, you also have the option of updating the note text. Once you update the text, it can be viewed from the status bar or the Properties dialog box for the document or page. Likewise, when you update the note text from the document or page Properties dialog box, the changes are reflected in the status bar or the Notes panel.



Figure 2-19. Notes Panel

When a document is selected, the label for the panel is “Document note.” When a page is selected, the label is “Page note.”

Batch Thumbnails

Some Kofax Capture modules support batch thumbnails, which allow you to see the contents of a batch in reduced view. You can view or hide batch thumbnails by selecting View | Toolbars | Batch Thumbnails. If desired, you can undock the Thumbnails panel and move it to another position.

Note The Batch Contents panel provides an interactive display of the contents of a batch. See Batch Contents Panel on page 35 for more information.

Figure 2-20. Batch Thumbnails

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Chapter 3

Understanding the Basics

IntroductionBefore you can create and process batches with Kofax Capture, you must define your batch classes. A batch class is a definition of all the settings for processing a batch, including the types of documents in the batch, the queues through which you process the batch, and more.

This chapter introduces the basic components that make up a batch class, including field types, form types, document classes, zones, and more. It also describes some of the basic processing features available with Kofax Capture.

Need More Information?

For details on any topic in this chapter, refer to the online Help available from the Kofax Capture program group, or from the Help menu in any Kofax Capture module.

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Setting Up Your Batch Classes - An OverviewThe general process for setting up a batch class is shown in Figure 3-1. Kofax Capture provides an object-oriented approach to setting up batch classes. While some of the steps must be done before others, most can be done in any order.

Figure 3-1. General Process for Setting Up a Batch Class



Using Kofax Capture Across Regions

With Kofax Capture, you can share batch classes and batch processing among sites that use different language versions of Kofax Capture or have different regional settings. Regional settings such as date format or decimal separator (which are set up in the Control Panel for every computer) are automatically converted when a batch class is imported. Other items within the batch class, such as profile names, are translated to the language of Kofax Capture on the importing computer.

Note All client workstations in a Kofax Capture client/server installation must use the same language version and the same regional settings.

This section provides information on regional settings and format options, what is (and is not) translated, and how you can use the Display Label feature to create batch field and index field display names.

Regional Settings Conversion

All occurrences of numeric, date, and time values in the following items are converted to the regional format settings of the computer that imports the batch class or the remote site that downloads the batch class.

• Kofax Capture profiles (Recognition, Image Cleanup, etc.)• Kofax Capture known values for batch fields and index fields• Default values for batch fields and index fields• Results that are returned by Kofax Capture Values

For the Kofax Capture Database and the Kofax Capture Text release scripts, all numeric, date, and time data derived from Kofax Capture Values is converted.

The following regional examples from the Windows Control Panel compare common numeric, date, and time formats for the United States to those of Germany.

Table 3-1. Regional Numeric Format

Setting Decimal Symbol Sample

United States “.” (period) 1000.23

Germany “,” (comma) 1000,23

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Language Translation

When a batch class is imported, Kofax Capture Values and default profile names are translated to the language of Kofax Capture on the destination computer. This translation will occur regardless of the language of Kofax Capture that created/exported the batch class.

Kofax Capture Values

The actual text of Kofax Capture Values contained within the curly brackets (either default or manually entered) as used for endorsing strings or annotations, batch field defaults, index field defaults, or as an Index Value in release script setup is translated.

Note When a batch is released, the results returned by the Kofax Capture Values are not translated.

Kofax Default Profiles

The names of the following types of default Kofax profiles (those that are prefixed by the name “Kofax” as shown in Figure 3-2) are translated.

• Recognition Profiles• Image Cleanup Profiles• Color Image Cleanup Profiles• Separation and Form Identification Profiles

Table 3-2. Regional Date Format

Setting Format Sample

United States M/d/yyyy 8/16/2003

Germany dd.MM.yyyy 16.08.2003

Table 3-3. Regional Time Format


United States H:mm:ss tt 2:10:35 PM

Germany HH:mm:ss 14:10:35



Figure 3-2. Index Zone Properties: Kofax Recognition Profile Names

Display Labels

For each batch field or index field, you can enter a corresponding Display Label value, as shown in Figure 3-3. The value in the Display Label (instead of the actual batch field or index field name) will display where field names appear, such as in the Scan, Validation, and Verification modules, and in batch properties in Batch Manager.

For example, you may have an index field named cust_name, but you could specify a display label “Customer Name” that is more easily understood by users processing the batch. Or, if you are creating a batch class for use in another region, you could enter the labels in the language of the region that will be importing the batch class.

The Display Label column is available in the following dialog boxes:

• Create Batch Class• Batch Class Properties• Create Document Class• Document Class Properties

If a display label is left blank, the batch field or index field name will be used by default.

Tip You may want to limit the length of your display labels. Although the index/batch field name cannot exceed 32 characters, the display label can contain up to 254 characters. A label that contains more than one line of text will wrap to several lines, which may be difficult for users to read.

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Figure 3-3. Create Batch Class Dialog Box with Display Label Column

Items That are Not Converted/Translated

This section lists the items that are not converted or translated. Also listed are installation configurations or situations in which no translation or conversion can occur.

Unless noted, the items below apply to both Kofax Capture at the central site and KCN Server remote sites.

• Import/export of batch classes among computers that use different code pages• Batch classes created in versions of Ascent Capture prior to version 6.1• Dictionary values that are numeric, date, or time• Recognition Profile language and character set selections• Release text constants, customizations, and string fields that contain numeric,

date, or time entries• Batch names derived from time/date, because these are classified as strings,

and strings are not converted or translated• Kofax Capture module names



• Results returned by Kofax Capture Values• The String data entered in the Kofax Capture programming interfaces, which

applies to:release scriptsimport scriptsKofax Capture Module Type Librarycustom modulesValidation and Recognition Scripts

Copying a Batch ClassUse Copy to duplicate an existing batch class. The copy feature is useful for adding a batch class that is similar to an existing one. When you paste a copied batch class, it is given a different name, such as Name1, Name2, and Name3. You can then modify the batch class as necessary to make it unique.

When copying a batch class, you have the option to link to or copy the original document classes. If you link to the original document classes, a copy of the batch class will be created and linked to the original document classes. If you copy the original document classes, a copy of the document classes and their related objects will also be created.

Refer to the Kofax Capture online Help for more details about using this feature.

To copy a batch class and include a copy of the original document classes

1 From the Batch class tree view tab, select an existing batch class that you want to copy.

2 Then, do one of the following:From the Administration module’s menu bar, select Edit | Copy.Right-click the selected batch class, and then, on the context menu that displays, select “Copy.”

3 From the Batch class tree view tab, select an existing batch class.

4 To paste the copied batch class, do one of the following:From the Administration module’s menu bar, select Edit | Paste Special.Right-click the selected batch class, and then, on the context menu that displays, select “Paste Special.”

5 From the Paste Special dialog box, select “Paste with a copy of the original Document Classes.”

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Note The Select “Paste with a link to the original Document Classes” option is the same as selecting Paste from the Administration module's Edit menu or the context menu.

6 Click OK. A copy of the batch class will be created with a unique name, such as Name1, Name2, and Name3. Also, a copy of all document classes and their related objects will be created with a unique name and linked to the copied batch class.

7 Edit the copied batch class. You do so from the Batch Class Properties dialog box.

Create Your Field TypesA field type is a global definition for a data field. Data fields contain information extracted from documents. For document capture purposes, the data can be used for document retrieval per the capabilities of your back-end system after the documents are released from Kofax Capture. For data capture purposes, the data can be stored and used for other types of processing.

For each field type, you must specify the data type (for example, CHAR, VARCHAR, NUMERIC, etc.) and other information relevant to that data type. For example, with CHAR and VARCHAR data types, you specify the maximum length for the field. For DECIMAL and NUMERIC, you specify the number of digits and the number of decimal places.

Field types provide an efficient way to set up data fields (such as index fields and batch fields), along with validation criteria for the fields. You can define a pool of field types, and then select from this pool when you define a data field.

For example, a field type named “Address” can be defined once, and then used by all varieties of document classes requiring an address for an index field. When the index field for the address information is being defined, it is simply a matter of selecting “Address” from the list of defined field types.

You create field types with the Create Field Type dialog box. To display this dialog box, do one of the following:

• From the Administration module’s menu bar, select File | New | Field Type. • From the Administration module’s toolbar, click the New Field Type button. • From the Field Types tree view tab, right-click on an existing field type. A

context menu will display. Then, select “New Field Type.”



• Click the New Field Type button on the General tab of any of the following dialog boxes: Create Batch Class, Batch Class Properties, Create Document Class, Document Class Properties, Create Folder Class, and Folder Class Properties.

Dictionaries

Dictionaries are files that contain lists of known valid values for index fields. When attempting to capture data from a form, Kofax Capture can make use of dictionaries to search for a value that most closely matches the recognized value. If a good match is found, Kofax Capture will use the value from the dictionary. This may increase the overall recognition accuracy of your captured data.

There are several types of dictionaries used by Kofax Capture.

Full Text Dictionary

This type of dictionary is used by the Kofax PDF Generator module and by OCR Full Text recognition. You can create an ASCII text file to be used as a Full Text dictionary with any ASCII text editor, but it must be specified at the document class level and adhere to these specifications:

• The Full Text dictionary should contain 1000 words or less. While dictionaries with more than 1000 words may be usable, it is recommended that you stay within this limit. Very large dictionaries may impose performance penalties without significantly increasing accuracy.

• Each word must contain from 2 to 32 characters.• Each word must be on a separate line in the ASCII text file.

The Full Text dictionary should contain terminology specific to the document class, although output from the recognition engine may contain results not found in the dictionary.

The dictionary file must be in a folder accessible to the recognition engines or modules that use it. This may be either on the local computer, via a mapped drive, or a UNC path.

Zonal Dictionary

In addition to the Full Text dictionary, you can create additional dictionaries to be used with OCR and ICR zone processing. If specified, the dictionary will be used by Kofax Capture’s OCR and ICR recognition engines at data capture time, and could be useful for checking unrecognized words.

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The dictionary file must be in a folder accessible to the zonal recognition engines. This may be either on the local computer, via a mapped drive, or a UNC path.

Each field type can have only one dictionary, but a dictionary can be used by one or more field types. For example, you could have seven field types and five dictionaries, with one dictionary shared by three field types.

You can create an ASCII text file to be used as a dictionary with any ASCII text editor, but it must be specified at the field type level.

If your field type will only be used in conjunction with ICR recognition engines, your dictionary must adhere to these specifications:

• The Zonal dictionary can have no more than 32,000 words.• Each word must be on a separate line in the ASCII text file.

If your field type will only be used in conjunction with the High Performance OCR Recognition engine, your dictionary must adhere to these specifications:

• The Zonal dictionary can have no more than 32,000 words.• Each word must be on a separate line in the ASCII text file.

If your field type will be used in conjunction with the standard OCR Recognition engine, your dictionary must adhere to these specifications:

• The Zonal dictionary should contain 1000 words or less. While dictionaries with more than 1000 words may be usable, it is recommended that you stay within this limit. Very large dictionaries may impose performance penalties without significantly increasing accuracy.

• Each word must contain from 2 to 32 characters.• Each word must be on a separate line in the ASCII text file.

Note Zonal dictionaries that conform to this standard can also be used by the ICR and High Performance OCR Recognition engines.

Known Values for Field Types

You can specify known values for a field type. Then, for any index field based on that field type, a drop-down list of possible values will be available to your validation and verification operators. This might be useful if the valid data for a field type is limited to a handful of values.



Create Your Folder ClassesFolder classes define the properties of folders for a batch class. Batches are a collection of pages, documents, and folders that are organized into a hierarchy that you define.

Folders are created and filled with documents as the documents are processed through the Kofax Capture workflow. You can create folders manually (with batch editing), or you can allow them to be created automatically with rules you define. You can place documents into folders manually or automatically.

In addition to organizing your documents within Kofax Capture, the real advantage to using folders comes after the documents have been released from Kofax Capture. If you ensure that the folder hierarchy in Kofax Capture matches (as closely as possible) the hierarchy used by your document management software, you can easily import those documents into your third-party software.

A folder class exists within a batch class, and as with other elements of a batch class, you can create, edit, and delete folder classes.

Pages can be added to documents, and documents can be added to folders. Folders can be nested inside other folders up to 32,000 levels. Loose pages cannot be added to a folder (although you may have loose pages at the root level of your batch, they must be placed into a document before they are added to a folder).

About Folder Creation

Automatic folder creation (auto-foldering) is a process by which the folders in a batch are created or populated based on document index field values.

Although you can manually create a folder hierarchy through various batch editing functions, this may be time-consuming, and the results may not be consistently or correctly applied. To address this, Kofax Capture can automatically create and populate folders when a batch is closed at certain points in the workflow. You can also invoke auto-foldering at any time in the workflow by selecting an option in the Batch menu in the interactive modules (Validation, Verification, Scan, and Quality Control).

In the Administration module, you simply identify which folder classes can be used in a batch. You do not actually create any folders.

Folder creation rules define the organization for folders that will be created and populated automatically. In this sense, you can think of them as a “default” folder hierarchy, although the hierarchy does not actually exist until the batch is processed and the rules are executed. The folders are created in accordance with the rules as a

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batch is processed through the workflow. You can create virtually any type of folder structure; however, you are limited to the folder classes that are associated with the batch class, and you can have no more than 32,000 nested levels of folders.

Note If an unexpected error should occur during folder creation, in most cases the entire creation operation will be rolled back. No new folders will be created and no documents will placed in them. For certain types of errors, however, you may end up with the folder hierarchy partially created and partially populated with documents.

The Basic Auto-foldering Process

During automatic folder creation, a document's index field values are compared to existing folder index field values. If the appropriate rules are satisfied, then the document is placed in a matching folder.

Otherwise, a new folder is created, its folder index field values are copied from the document index field values, and the folder is added to the folder hierarchy. The document is then added to that newly created folder. This only affects documents that are not already in a folder.

Index Fields

Any document index field value (if it is not in a table) may be used to drive automatic folder creation. Hidden index fields may also be used. This may be useful if a field is automatically recognized and used to drive folder creation, but should not be visible to the validation operator.

Note that index fields can be filled in through a variety of techniques, including bar codes, patch codes, OCR/ICR, scripting, and customizations. Appropriate index field values must be provided before they can be used to create a folder.

Creating a Folder Class

You create folder classes with the Create Folder class dialog box. To display this dialog, do one of the following:

• From the Administration module menu bar, select File | New | Folder Class.• From the Administration module toolbar, click the New Folder Class button.• From the Folder class tree view tab, right-click. A context menu will display.

Then, select “New Folder Class.”



• From the Batch class tree view tab, right-click on a batch class. A context menu will display. Then, select “New Folder Class.” (This method automatically associates the folder class with the selected batch class.)

To create a folder class

1 From the Create Folder Class dialog box - General tab, enter the name for the folder class. You can enter up to 32 characters, including spaces. (Leading and trailing spaces will be removed.) The name must be unique and is not case sensitive.

2 If desired, enter a description for the folder class. The description will display whenever folder class properties are displayed. You can enter up to 80 characters.

3 If desired, define the index fields to be associated with the folder class:a Click the New Index Field button. Default information for a new index

field will be appended to the list of index fields in the Index Fields table. You can edit any of the default values as necessary.

Tip As an alternative to the New Index Field button, you can right-click your mouse on an index field in the Index Fields table and then do one of the following: select “Insert” from the context menu or press the Insert key on the standard keyboard or the numeric keypad. A copy of the selected index field will be inserted above the selected field. You can edit the values as necessary.

b If desired, change the name for your index field. You can enter up to 32 characters, including spaces. (Leading and trailing spaces will be removed.) The name must be unique and is not case sensitive.By default, index field names will be added in the form Namen (where n is a value from 0 to the maximum number of index fields). Since the name of the index field will display (unless you specify a display label) during validation and verification, you should choose names that will be meaningful to your validation and verification operators.

Note The index fields will be listed in the Validation and Verification modules in the order they appear in this table. You can use drag-and-drop to reorder the fields to the desired order.

c Select the desired field type for your index field. All previously defined field types will be available from the drop-down list. You can also click the New Field Type button on the General tab and create a new field type.

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d If desired, specify a default value. You can enter a value, or select from the drop-down list of Kofax Capture Values. If specified, the default value will appear as data in the index field during validation. The validation or verification operators will be able to enter a different value if necessary.

Note If a list of known values was specified for the field type associated with the index field, those values will also appear in the drop-down list. If “force match” was specified for the known values for the field type, only the known values will appear in the drop-down list.

e Select True or False in the Required column. If you select True, the index field will be required to contain a value during validation. The validation and verification operators will not be allowed to close the batch until a value is entered for this field.

f Select True or False in the Verify column. If you select True, the index field must be verified in the Verification module after being processed in the Validation module.

g Select True or False in the Hidden column. If you select True, the index field will not be shown to the validation or verification operators. This might be useful for certain types of processing. For example, you might want to collect values during validation, and compare them by using a validation script. The results can then be assigned to a non-hidden index field. Or, you might want to set values in a script that you do not want the validation or verification operators to change.

h Select True or False in the Sticky column. If you select True, the value of this index field for one folder will be carried over to the next folder. The validation or verification operator can override the value in the subsequent folder if necessary.

Note If you specify “Sticky” and a default value, the default value will be used and the “Sticky” attribute will be ignored.

i Repeat substeps a-h for each index field you want to add.

4 Click Apply to save your settings without closing the dialog box.

5 Click OK to save your settings and close the dialog box.



Copying a Folder ClassUse Copy to duplicate an existing folder class. You can copy folder classes to do the following:

• Use an existing folder class to create a new folder class with similar features. • Copy an existing folder class to another batch class.

When you paste a copied folder class, it is given a different name, such as Name1, Name 2, or Name3. You can then modify the folder class as needed. Refer to the Kofax Capture online Help for more details about using this feature.

Create Your Document ClassesA document class is a definition of a particular type of document, such as an order form or medical form. For each document class, you can specify:

• Index fields to be extracted from the documents (optional)• Attributes for the defined index fields (such as hidden, sticky, etc.)• At least one form type (required)• Settings for OCR full text processing (if desired)• Settings for Kofax PDF generation (if desired)

Document classes provide a convenient mechanism for associating the same group of index fields and processing settings with multiple form types. You can define a document class, and then add one or more form types to it. Then, you can associate a set of index fields and processing settings with the document class. The same set of fields and settings will be shared across all the form types defined for the document class.

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Figure 3-4. Relationship Between a Document Class and Index Fields

For example, consider this scenario: A sales department receives order forms from five different sources. Each order form is formatted differently, but each contains the same types of information (customer name, customer address, item number, etc.). The forms need to be captured, and then archived for later retrieval.

For this case, one document class named “Catalog Orders” can be defined. A different form type for each order form can be added to the document class. Then, a set of index fields can be associated with all form types in the document class.

Copying a Document ClassUse Copy to duplicate an existing document class. The copy feature is useful for adding a document class that is similar to an existing one. You can also copy a document class to a selected batch class. When you paste a copied document class, it is given a different name, such as Name1, Name2, and Name3. You can then modify the document class as needed.

When copying a document class, certain items associated with the document class are copied, and others are linked. Refer to the Kofax Capture online Help for more details about using this feature.



Index Fields

An index field is a keyword associated with a document or folder. Index fields are generally used as follows:

• For document capture purposes, index fields provide a way to associate keywords with documents. The keywords can be used to retrieve documents after they are released to permanent storage. For example, if a customer asks to review an order form, it would be convenient to be able to retrieve the form by entering a known keyword for the form (such as the vendor’s name, the vendor’s ID, the PO number, etc.).

• For folder creation purposes, index fields provide a way to automatically create folders. See Index Fields on page 54.

• For data capture purposes, index fields provide a way to capture data from a set of forms. The data can be stored and used for other types of processing. For example, you might want to “lift” certain pieces of information from an image, store the data in a database, and run statistical reports on the data.

OCR Full Text Settings

You can enable OCR full text processing as part of your document class settings. Then, documents based on that document class can be processed through the OCR Full Text module. The OCR Full Text module performs Optical Character Recognition (OCR) on an entire document, and stores the results in a specified output format.

Refer to Chapter 2 – A Quick Tour of Kofax Capture on page 13 for information about the OCR Full Text module.

Recognition Profiles

Kofax Advanced OCR Full Text is the built-in recognition profile for OCR Full text. This recognition profile performs OCR on entire documents to produce editable files in a specified format (such as Microsoft Word or ASCII text).

Kofax PDF Generator Settings

You can enable Kofax PDF generation as part of your document class settings. Just add the Kofax PDF Generator (an unattended module) to the Batch Class queue. You can also specify that information such as Title and Subject be added to the PDF document properties for each PDF file.

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The Kofax PDF Generator module performs Optical Character Recognition (OCR) on an entire document, and stores the results in a specified PDF format that will be available for release by a release script designed to work with PDF files.

Refer to Chapter 2 – A Quick Tour of Kofax Capture on page 13 for information about the Kofax PDF Generator module.

Recognition Profiles

Built-in recognition profiles can be selected and used during PDF generation. Some profiles use PDF Archive (PDF/A), a file format based on PDF that supports the long-term preservation of digital documents.

• Kofax PDF Image Only files contain bitmaps for both images and text. The resulting files are significantly larger than image + text files, and cannot be searched. However, image only files are simpler to create and do not require additional licensing from Kofax.

• Kofax PDF Image + Text files contain bitmaps for images and text for data that has been converted to character strings. The resulting files are significantly smaller than image-only files, and can be searched as if they were text documents. These files require additional licensing from Kofax.

• Kofax PDF/A Image Only files have the same characteristics as Kofax PDF Image Only files except the file format is PDF/A.

• Kofax PDF/A Image + Text files have the same characteristic as Kofax PDF Image + Text files except the file format is PDF/A.

Validation Scripts

Validation scripts provide a method for validating index fields and applying formatting to the data presented to your validation and verification operators. The default validation checks that the string returned by a recognition engine or entered by a validation operator can be converted into the data type selected for that index field. The default formatting ensures that dates, times, and numeric values are presented correctly.

If your processing requirements dictate that you perform additional validation of the data or apply any special formatting, you can do it with a custom validation script.

Database Validation

The Kofax Capture database validation feature allows you to enable database lookup for index fields, without having to write custom validation scripts. You can enable this feature for a document class, and then specify the desired database, the index



fields to validate against the database, and other settings. Then, during processing, the specified index fields will be filled with values from the database. The database validation feature is compatible with Microsoft Access (version 2002, 2000, or 97) or any ODBC level 3 data source.

Using database validation can speed up the data capture process dramatically, since the amount of time devoted to character recognition is reduced. Validation is also more efficient, since the data is virtually guaranteed to be accurate.

Consider a form that contains some standard information about a patient at a medical clinic. The first part of the form contains information about the patient that changes infrequently, such as her name, address, and unique patient number. The second part of the form contains information filled in by the medical staff for recent tests or hospital visits.

The type of information on the first part of the form is typically stored in a database, which removes the need to capture it again. If this is the case, you can set up the document class to capture the patient’s unique patient number. The other static content can be left as fields that are not set up for auto-recognition.

As the form is processed through Kofax Capture, the patient number will be captured and used as a key to look up the other information in the existing database. If a match is found, Kofax Capture will pluck the information from the database and use it to fill in the index fields for the patient’s name and address information.

Note The database validation feature greatly simplifies the most frequently needed lookup and validation tasks that are typically incorporated into validation scripts. You may still need to rely on custom validation scripts for highly specialized tasks.

Remote Database Validation

You use the remote database validation feature to look up information in a database to provide values for index fields used in your Kofax Capture document class, even if the database is at the central site and you are working at a remote site.

In other words, this feature allows the Kofax Capture database validation mechanism to be used from a remote KCN Server site that does not have direct access to the target database. When this option is selected, database validations on remote sites send all database validation requests to the KCN Server. The KCN Service that handles the request then connects to the database.

A remote workstation invoking a database validation requires no additional network connection capabilities beyond what would be required to run the Kofax Capture

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Network Server Remote Synchronization Agent (RSA) in a full-time connected configuration. The KCN Server Web server is used to connect to the database via a KCN service.

Release Scripts

Typically, the final step in the Kofax Capture workflow is to release a batch (image files and captured data) to long-term storage. This is handled by the Release module, which relies on release scripts to govern the process. To release batches, you must specify and set up a release script for a document class that is already associated with a batch class.

Note The specified release script only applies to the instance of the document class that is associated with a particular batch class. It does not impact instances of the document class that are associated with other batch classes.

Kofax Capture ships with two standard release scripts for your use:

• The Kofax Capture Text release script releases index data to an ASCII text file, and document images to a specified release folder.

• The Kofax Capture Database release script releases index data to a target Microsoft Access (version 2002, 2000, or 97) database or any ODBC level 3 data source, and document images to a specified release folder.

If your processing requirements dictate the need for customized release settings, you can write your own custom release scripts.

In addition, Kofax provides a wide variety of release scripts for popular applications, such as Documentum, FileNet, Hummingbird, IBM, and others. Visit the Kofax Web site at www.kofax.com for details.

Target Database Requirements

When using the Database release script, you must set up a target database to hold your data. The target database must have two tables: one to hold document location (path) information and another to hold document index values.

The document path table must contain two columns to hold the following data:

• Document ID: This column (named DOCUMENT_ID for example) provides a reference between the index data and the image for each document. It must be a primary key, have a key/index ensuring it is unique and non–null.



• Document path: This column (named DOCUMENT_PATH for example) contains the complete path to the folder where the image data for each document is stored.

In addition, the table in the target database that is used to store the index data must also contain a column to hold unique document IDs (for example, DOCUMENT_ID), and which is referenced by foreign key to the primary key in the Document Path table. When a batch is released, a unique identification number is stored in this column. This identification number is also stored in the DOCUMENT_ID column in the Document Path table.

When you are establishing your database schema, it is important to use a foreign key designation in tables that refer to the Document Path table. Doing so will help to maintain referential integrity in your database: if you use a foreign key designation as described, a table entry cannot be deleted unless all references to that document ID in other tables have also been deleted.

The benefit of storing the document path in a separate table is that it allows you to change the physical location of the documents if necessary without affecting the table referencing the DOCUMENT_ID as shown below.

Multiple Release

In most cases, a batch is released to a single destination, such as a data management or other long-term storage system. There may be occasions, however, when you’ll want to release your batches to more than one destination (back-end). The multiple release feature makes this simple.

With multiple release, you can assign up to 99 release scripts to a document class. Then, during processing, the documents of that document class are released per the settings of each assigned release script. As part of your Release options, you can specify that documents be released in document order or by the order of the assigned release scripts. Once all documents are successfully released per all assigned release scripts, the batch will be deleted from Kofax Capture.

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Note You can use the same document class in a different batch, and assign it a different set of release scripts. The multiple release feature applies to an instance of a document class associated with a particular batch class.

Create Your Form TypesA form type defines a unique form, such as an order form from a particular vendor or a medical form from a particular hospital. One or more form types can be associated with a document class.

Form types allow you to define where zones are located on different forms within a document class. You can also specify custom processing settings for a particular form type.

For example, you might have two form types defined for a document class: Order Form 1 and Order Form 2. Both forms contain the same types of information, although the information appears in different locations on the forms. In addition, Order Form 1 contains some shaded areas that might make OCR processing difficult. Order Form 2 contains data encoded in a bar code.



Figure 3-5. Examples of Different Form Types

You can define separate form types for each of these forms, and then tailor your processing settings as desired for each form type. For example, you might want to remove the shaded areas from Form Type 1 before you perform OCR processing to capture index data. You might want to use bar code recognition to read data from the bar code on Order Form 2.

The settings you specify at the form type level include permanent image cleanup, page registration, automatic index field recognition, and page-level bar codes. You also provide sample pages at the form type level for drawing zones and page recognition. The options and settings available for form types are described in the following sections.

Copying a Form TypeUse the Copy feature to duplicate an existing form type. The copy feature is useful for adding a form type to a document class that is similar to an existing one. A copy of the form type will be created with a unique name, such as Name2 or Name3. You can then modify the form type as necessary to make it unique.

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When copying a form type, certain items associated with the form type are copied, and others are linked. Refer to the Kofax Capture online Help for more details about using this feature.

Permanent Image Cleanup

Kofax Capture supports a variety of image cleanup features, such as line removal, speckle removal, shade removal, and others. You can apply one or more of these to a form type. Then, whenever that form type is processed, the images will be cleaned up as specified.

Image cleanup performed at the form type level is permanent. The images will be saved in their cleaned up state. Note that this is different from temporary image cleanup that can be performed on individual zones. Refer to Temporary Image Cleanup for Zones on page 94 for more information.

You specify your image cleanup settings with an image cleanup profile, which consists of all your desired cleanup settings.

Image Cleanup Profiles

Image cleanup profiles provide an efficient and convenient way to specify image cleanup settings for a process. Each profile specifies one or more image cleanup features, along with all their related settings. You can define a pool of image cleanup profiles, and then select from this pool whenever you are setting up an image cleanup process. Image cleanup can improve the readability of images, the accuracy of automatic recognition (such as OCR, ICR, etc.), and reduce compressed file sizes.

Image cleanup applied at the form-type level is permanent, while image cleanup applied at the zone level is temporary. Refer to Temporary Image Cleanup for Zones on page 94 for more information about image cleanup applied to zones.

Note Some image cleanup, for example Black Border Cropping/Removal and Deskew, is not appropriate at the zone level and is intended to be used at the form level only. Also, Deshade and Destreak may be too intense for a small zone. Its best to try different options to find the optimal image cleanup for each image.

• Black border cropping: This process removes black border pixels from an image. Black border cropping cleans up the image and reduces the height and width by the size of the black border.

• Black border removal: This process replaces black border pixels with white pixels on an image. Black border removal cleans up the image without changing its height and width.



• Deshade: This process removes unwanted shaded areas from an image. The deshade process removes the speckles that make up the shaded area, while preserving the text inside the shaded area.

• Deskew: This process corrects documents that become misaligned during the scanning process, usually due to the mechanical feeding action of the scanner. The deskew feature can calculate and correct skew angles up to 12 degrees.

• Despeckle: This process removes unwanted dots or speckles from an image. Speckles are groups of black pixels surrounded by white pixels (or white pixels surrounded by black pixels).

• Horizontal / Vertical line removal: This process removes horizontal and/or vertical lines. It can also repair text that intersects the lines that are removed.

• Streak removal: This process removes streaks from an image. It processes each horizontal scan line of the image to detect runs of black pixels. Any series of black pixels less than or equal to the specified streak width will be removed. Even though streak removal processes the image from left to right, its main purpose is to eliminate vertical streaks.

• Edge enhancement: This process enhances line edges, smooths characters, and removes background noise on an image. Kofax Capture supports a range of edge enhancement filters.

Kofax Capture supports a set of predefined image cleanup profiles, which combine default settings for the most common processing tasks. It also allows you to define and name your own custom profiles.

Page Registration

To enhance the processing of index zones, Kofax Capture supports a page registration feature. By default, all pages with index zones are compared against their corresponding sample pages. This process verifies that the pages match, and automatically adjusts the zones based on horizontal or vertical shifting introduced by the scanner. (The adjustment process is called registration.)

Note Page-level registration works extremely well in most cases. However, if your images are different from the sample pages, you may get better results by using one or more registration zones. Refer to Registration Zones on page 83 for more information.

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Automatic Index Field Recognition

Zones for which data is automatically captured (for example, with OCR or other recognition technologies) are displayed for your validation and verification operators as either confident or non-confident zones. A confident zone is one that is marked as having a high probability of accuracy. A non-confident zone is one that is marked as having a low probability of accuracy.

When you define your form types, you can specify the threshold at which zones are marked confident or non-confident. If the results of processing a zone are greater than or equal to the specified threshold, the zone will be marked as a confident zone.

By default, confident zones are displayed at validation and verification time with green borders, while non-confident zones are displayed with red borders. (If desired, your validation and verification operators can specify a different color scheme from the Validation and Verification modules.) While all fields should be carefully validated, your validation and verification operators should give special attention to zones marked as non-confident.

Page-Level Bar Codes

Kofax Capture can recognize bar codes that appear anywhere on a document page, and use the data read from the bar codes to fill index fields. This type of processing is well suited for reading bar codes that appear on a page, but not always in the same location. For example, the bar codes may be printed on stickers that may be applied anywhere on a document page.

During processing, the bar codes are read from left to right, starting at the top left corner of the document page. The first bar code found will be used to fill the first index field, the second bar code will be used to fill the second index field, and so on. You specify which index fields to be filled by data read from page-level bar codes with the Page Level Bar Code Properties dialog box. To display this dialog box, right-click “Page Level Bar Codes” under a sample page item listed on the Definitions panel, and click Properties.



Figure 3-6. Page Level Bar Codes on Definitions Panel

Character Recognition

The entire character recognition process consists of two major steps, each of which is then broken down into several smaller tasks. A general understanding of this process may help you create and test your zones.

Character recognition begins with the Extraction and Recognition stage, which is followed by Validation.

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When voting is employed, as shown in Figure 3-7, these tasks are performed by more than one recognition engine. In this case, the two engines are RecoStar and AEG.

Figure 3-7. Recognition Overview

Extraction and Recognition

Extraction and recognition is the process of breaking a document image down into individual lines, words, and characters that can then be recognized.

Task 1: Line Extraction

Line extraction starts with areas of connected pixels that can be used to derive upper and lower baselines. Once these baselines have been identified, their angle of rotation (relative to the page) is determined. This information can then be used to remove



extraneous noise that falls outside the baselines. This preprocessing greatly improves subsequent character extraction.

Figure 3-8. Line Extraction

Task 2: Hand/Machine Print Detection

Now that the recognition engine has baselines to work with, it can distinguish between hand and machine print with relative ease. Deviations from the baselines will be greater in the case of handprint, where the positioning of the characters is naturally more random.

Task 3: Segmentation

Before individual characters can be identified (recognized), the extracted line must be divided into individual characters. This is one of the most computationally intensive aspects of the extraction and recognition phase. There are completely different segmentation algorithms for handprint, variable pitch machine print, and fixed pitch machine print. Consequently, the first step is to determine the type of segmentation to use.

If this determination cannot be made, then all applicable types of segmentation are tried, with the best results selected at the end of the segmentation process.

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In general, segmentation is performed by looking at the vertical spacing between blocks of pixels. This works very well for fixed pitch machine print, but may be more difficult with variable pitched fonts. For example, consider the two characters here:

Figure 3-9. Segmentation

In this case, there is no vertical gap between the characters, and so segmentation is somewhat more difficult. Handprint presents the greatest challenge, since character spacing is highly irregular and overlaps are frequent, even with characters that normally would not overlap. Because there is no clear gap, the recognition engine will use a histogram of the pixel distribution in the image to determine the most likely break point.

Task 4: Feature Extraction

After the characters have been segmented, the recognition engine attempts to identify features that can later be used to identify specific characters. There are a number of approaches to this task, and in fact, the RecoStar and AEG engines use fundamentally different approaches. These differences help make the voting feature more effective since the weakness of one approach can be offset by the strengths of another.



RecoStar extracts features by creating a set of 12 pixel frequency histograms at 15-degree intervals. These histograms are then analyzed using a complex series of operations to see how they compare to reference results for character shapes.

Figure 3-10. Feature Extraction

In contrast to RecoStar, the AEG recognition engine normalizes the size of the segmented character and performs a grayscale analysis of the shape.

For all recognition engines, feature extraction is based on the idea that:

• All the key features of a character are present.• All the key features for a character are sufficient to identify it.• All the key features are relatively insensitive to minor pixel noise or distortion

in the scanned image.

Task 5: Classification

The extracted features are ultimately used to classify the character according to its shape. This is made more complex by the fact that there are many variations in the shape of a character.

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For example, all the various ways of constructing the number “4” should be resolved to the same correct result. The following diagram (Figure 3-11) provides several conceptual examples of this aspect of classification.

Figure 3-11. Classification

The RecoStar engine is aware of up to 30,000 variations in the shapes of some characters. This classification is done, essentially, by a process of elimination.



The following chart (Figure 3-12) is a simplified representation of this process. If, for example, an upper case “A” is being processed, it is first compared with a “B,” then a “C,” and so forth until every possibility but “A” has been eliminated.

Figure 3-12. Process of Elimination

Validation

Validation is an attempt to verify the accuracy of the results provided by the extraction and recognition processes. This also consists of several tasks.

Task 1: Context Analysis

The recognized characters are put in context, and this context is used to judge the correctness of the character. There are several types of context used by all the Kofax Capture high performance recognition engines:

Logical ContextLogical context is an attempt to determine whether a group of characters is a word, a number, or some combination letters and numbers. In addition, logical context is used to determine whether a letter should be upper or lower case.

Geometric ContextGeometric context is an attempt to validate a character based on its position relative to the baselines for the line of text. For example, a lower case “g” is lower than the number “9” although they look similar. For comparative purposes,

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geometric context makes use of up to four baselines, as defined in the following diagram.

Figure 3-13. Geometric Context Analysis

Task 2: Trigram Analysis

Trigrams are combinations of three letters that are commonly found in many languages. A common English trigram is “ing.” Kofax Capture can take advantage of trigrams to enhance recognition accuracy.

Consider these examples:

Figure 3-14. Trigram Analysis

In the first case, the image file for “Walking” suffers from dropouts. In particular, the “n” is badly faded. The recognition engine cannot decide if it is an “r” followed by an “i,” or if it is a single “n,” so the character is marked as “rejected” in the initial results. Trigram analysis is applied to the initial result and the recognition engine decides that the most likely combination of three letters, in this case, is “ing.”

In the second case, the image file contains substantial noise. Because of this noise, the second “i” in “Dictionary” is interpreted as the letter “l.” Trigram analysis shows that “ion” is more likely than “lon” and the word is corrected.



It is important to keep in mind that trigram analysis is a statistical process. Kofax Capture ships with trigram tables for most supported languages. Each table contains a list of possible three letter combinations and their frequency of occurrence in that language. Although there are thousands of such combinations, many of them will almost never be used so their frequency of occurrence will be near zero. Trigrams will attempt to identify (and optionally correct) combinations of letters that have both a low confidence rating and a low frequency of occurrence.

There may be rare occasions where your data contains many uncommon trigrams, for example, a list of Chicago radio stations might include WGN, WLS, WNVR, WKTAF, WZRD, WBEZ, or WXRT. In such cases, if you notice problems, you should consider disabling trigrams for your recognition profile.

Task 3: Voting

Voting is a recognition method in which two or more recognition engines interpret the same text on a character-by-character basis. The result from each engine is compared, and then a special voting algorithm is used to decide the “winner.” Voting leads to a much higher probability of recognizing the correct character than if just one recognition engine were being used. In fact, voting may increase recognition quality by as much as 50%.

Figure 3-15. Voting Improves Performance

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As the graph shows, there can be significant differences between the RecoStar and AEG Recognition engines. Note that with both engines, there is a trade-off between the rejection rate and the number of false positives. (A false positive occurs when the recognition engine mistakenly identifies a character without flagging it as questionable.) As false positives go down, the rejection rate (percentage of marked characters) goes up.

The curves in the graph reflect the behavior of the recognition engines as the mark level changes. If the sensitivity of an engine is set “stricter” when reporting uncertain characters, more characters are flagged. This means that there are fewer incorrect substitutions (false positives).

As the two voting curves (vote low and vote high) show, both rejections and false positives are reduced when the voting feature is employed. Also, note the effect of voting sensitivity on the length and slope of the curves. Voting sensitivity is a measure of the amount of “disagreement” between the two engines. When sensitivity is high, very little disagreement is tolerated, so even small differences are flagged. When the sensitivity is high, overall accuracy is not only better, but also the horizontal and vertical extents of the curve are greatly compressed. This means that the overall results are more predictable.

If voting is enabled, Kofax Capture compares the result of the RecoStar engine with the AEG engine. After a line of text has been extracted from the image, both recognition engines are invoked for each character in the line. The best result is used for each character.

Once all the characters have been “voted” upon, the voting algorithm assembles the “winner of each vote” into a single result.

Note In order to take advantage of voting, you must have the RecoStar Professional license. This license is required in addition to the standard RecoStar license that is bundled with Kofax Capture, and must be purchased separately. However, when testing zones in the Administration module, you can use the voting engine even if you have not purchased the special license.

Task 4: Formal Context

Formal context makes use of the pattern masks (character set) defined by the user. A mask specifies the allowable characters and formatting for the index field. You can either select one of the default masks or create your own custom mask for the field.



Task 5: Dictionary Lookup

The recognition engines included with Kofax Capture can make use of dictionary files to improve recognition results. Refer to Dictionaries on page 51 for more information about the various types of dictionaries used by Kofax Capture.

Bar Code Recognition

A bar code is a machine-readable pattern of dark and light elements in which data is encoded. The data can include numbers, alphanumeric characters, special characters, and other information. Reading bar codes is one of the most accurate methods for capturing data from document images.

Kofax Capture can recognize individual bar codes found in predefined zones on a document. This type of zone-level processing is well suited for bar codes that always appear in the same location on each document.

Alternatively, Kofax Capture can recognize bar codes that may appear anywhere on a document page. This type of page-level processing is well suited for reading bar codes that appear on a page, but not always in the same location. Refer to Page-Level Bar Codes on page 68 for more information.

During a bar code recognition operation, the document image or zone being processed is searched for possible bar codes. If a potential bar code is found, it is examined to determine if it satisfies the requirements for the operation. For example, the physical characteristics of the candidate bar code (such as bar code type) are checked against the recognition settings you specified in a recognition profile. If the candidate bar code meets all the requirements, it is decoded and its ASCII data is returned for use in further processing.

For example, data returned from a bar code may be used to:

• Fill one or more index fields• Separate documents and/or batches• Identify forms• Key into a database record, allowing index fields to be filled with values from

the record

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Where Bar Code Recognition Occurs

In Kofax Capture, bar code recognition occurs in various modules as follows:

1 When processing color images with the Standard Bar Code Engine, document separation based on bar codes is performed in the Recognition Server module. Refer to Document Separation with Bar Codes on Color Images on page 81 for more details.

2 Under certain conditions, page-level bar codes that are used with zone-level bar codes will be processed in Scan, rather than Recognition Server. Refer to Page Level Bar Code Processing on page 82 for more details.

Enhanced Versus Standard Bar Code Engine

Kofax Capture supports an Enhanced Bar Code Engine and a Standard Bar Code Engine. Both engines process color and bitonal images as described below:

• With the Enhanced Bar Code Engine, you can process color bar codes directly from color images with dpis as low as 100 dpi. You can also process one-dimensional and/or two-dimensional (2-D) bar code types with this engine. It is typically more accurate than the Standard Bar Code Engine, especially for low-quality or low dpi images. However, the Enhanced Bar Code Engine may

Table 3-4. Bar Code Recognition by Module/Feature

Module/Feature Activity Type of Processing

Administration When testing zones Zone-level bar codesPage-level bar codes

ScanQuality Control

When scanning from a scanner or importing documents

Page-level bar codesDocument separation based on bar codes1

Batch separation based on bar codes

Recognition Server When using automatic recognition techniques to process documents

Zone-level bar codesPage-level bar codes (when used with zone-level bar codes)2

Auto-import, XML Import Connector, or custom import scripts

When importing documents with the XML Import Connector facility, a custom import script, or the standard auto-import feature

Page-level bar codesDocument separation based on bar codes



be slower than the Standard Bar Code Engine. The Enhanced Bar Code Engine requires additional licensing.

• With the Standard Bar Code Engine, color images are internally converted to their bitonal (black and white) equivalents. Then, any Kofax Capture module processing the images uses the bitonal version. You can process one-dimensional bar code types with this engine. It is typically faster than the Enhanced Bar Code Engine, but less effective with low-quality or low-dpi images. With this engine, best results are achieved with 200 dpi images or higher. No additional licensing is required.

Bar Code Recognition Profiles

Bar code recognition settings are defined in recognition profiles, which are used by all modules that process bar codes. You define recognition profiles with the Recognition Profiles dialog box when you set up batch classes in the Administration module. See Selecting Recognition Profiles on page 87 for more information.

Note that if the Enhanced Bar Code Engine is enabled for a recognition profile, but the required licensing is not in place, the Standard Bar Code Engine will automatically be used. Processing for which a 2-D bar code type is specified will produce empty results. No warnings or messages will display.

An exception to this is when you test zones on sample pages from the Administration module. If the Enhanced Bar Code Engine is enabled, but the required licensing is not in place, empty results will be returned. However, a warning will display in the Results area of the Zone Test dialog box.

Document Separation with Bar Codes on Color Images

When processing color images with the Enhanced Bar Code Engine, separation based on bar codes is performed at scan time, either with the Scan module or the Quality Control module. The bar codes are read directly from the color images.

However, when processing color images with the Standard Bar Code Engine, document separation based on bar codes is performed with the Recognition Server module. For this case, a bitonal version of the color image is generated, and the bar codes are read from the bitonal image.

Note If you attempt to use the Standard Bar Code Engine for document separation based on a 2-D bar code, the first page will not be recognized as a separator.

Refer to Color Support on page 110 for more information about how Kofax Capture handles color images.

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Page Level Bar Code Processing

Page-level bar codes that appear on a page without any automatic index zones are recognized in Scan. When an automatic index zone is used on the same page as a page-level bar code, then the page-level bar code is recognized in Recognition Server.

However, when the following two conditions are met, then page-level barcodes that appear on the same page as an automatic index zone are recognized in Scan, rather than Recognition Server:

• Only one form type is used in the batch class.• Only one bar code recognition profile is used for page-level zones and

separator zones.

Sample Pages

For some types of processing, you must provide sample pages for your form types. For example, you need sample pages when you are:

• Defining any type of zone. To define zones, you must draw them on the sample pages.

• Setting up page recognition. Kofax Capture can “learn” the sample pages, and then recognize forms of those types during processing.

• Setting up page-level bar codes. You can enable this type of processing to read all bar codes on a page.

A sample page should be a form or document of the type defined by the form type. For example, if your batches will contain a specific order form, you should scan or import one of those order forms for your sample page.

About Zones

This section gives you some general information about the different types of zones in Kofax Capture.

Index Zones

Index zones contain data for index fields. You can allow Kofax Capture to automatically capture the data using an automatic recognition technique such as OCR, bar code recognition, shape, or others. Alternatively, you can have your validation operators read information from the image and manually enter the data for the field. You can define up to 1024 index zones on a page.



Kofax Capture supports tabular data structures (two-dimensional data) in the form of table fields. In simple terms, table fields are “enhanced” index fields capable of supporting multiple values. Table fields can be used as the associated field for an index zone, index group zones, or for page-level bar codes.

Table fields may be useful, for instance, if you want a single field to be able to store multiple names, part numbers, or other similar items.

Copying an Index Zone

Use Copy to duplicate an existing index zone. When copying and pasting an index zone, a new index field is also created. The copy feature is useful for adding an index zone that is similar to an existing one to a sample page. You can modify the copy of the index zone as necessary to make it unique.


Registration Zones

Registration zones contain data to be read for registration purposes. During processing, Kofax Capture locates the specified data, and then ensures that other zones on the page are correctly aligned.

Note Registration zones can be used to augment or replace page-level registration.

Typically, registration zones use OCR processing or shape recognition:

• OCR registration zones contain text that appears in a fixed location relative to other index data on the form. For example, your form may contain a company name in the same spot on each page. You can draw an OCR registration zone around the company name. Kofax Capture will identify a registration point based on the text within the zone, and use that point to register the other zones on the page during processing.

• Shape recognition registration zones contain a shape (such as a cross or corner) that appears in a fixed location relative to other index data on the form. For example, your form may contain a cross shape printed in the margin on the form specifically for registration purposes. You can draw a shape recognition registration zone around the cross shape. Kofax Capture will identify a registration point within the shape, and use that point to register the other zones on the page during processing.

If you create only one registration zone on a page, it should be positioned near the index zones. The search text or shape for a single registration zone should be clear and distinct so that the zone will yield good registration results. If desired, you can define

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multiple registration zones per page. To achieve optimal results, follow the guidelines listed in Table 3-5.

Table 3-5. Registration Zone Guidelines

Number of Zones Placement Suggestions Placement Example

One Zone Place as close to index zones as possible

Two Zones Place the two registration zones in diagonally opposite corners of the page.



Note While results may improve with multiple registration zones on a page, be aware that an increased number of zones may adversely affect the time it takes to process your batch.

Three Zones Place the registration zones so that the registration points form a triangle on the page.

Four or more zones

Place the registration zones near the data that is to be processed on the page. Also, do not rely on the success of a single registration point. For example, if you have several registration zones near the top of a page, and a single registration point near the bottom, the registration alignment could be poor if the registration fails for the bottom zone.

Table 3-5. Registration Zone Guidelines (continued)

Number of Zones Placement Suggestions Placement Example

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Separator Zones

Separator zones contain data to be used to separate documents in a batch. The data must be in the same location on the first page of every document. For example, the first page of your forms might contain a particular bar code. Whenever that bar code is read, that page will be considered the first page of a document. You can define only one separator zone per batch class.

Form Identification Zones

Form identification zones contain data, which may be helpful for form identification purposes. For example, you may be processing forms with very similar characteristics (such as different revisions of the same form). If form version numbers are printed on the forms, you can optionally capture these numbers to assist Kofax Capture’s page recognition engine.

You can specify more than one form identification zone for a form type. For multipage form types, the zones must be on the first page.

Index Group Zones (SmartGroups)

Many forms contain related fields of information. For example, you might find fields for first and last name, three areas for a social security number, or a phone number with a separate field for the area code. If your forms contain these or similar types of related fields, you may want to use the Kofax Capture SmartGroups feature to define index group zones.

An index group zone allows you to combine data from separate zones into a single field. For example, you can combine a First Name zone and a Last Name zone into a Full Name field. You can also control how many fields can be filled in for the index group zone, and define how conflicts are handled when more than one field is inappropriately filled in.

Consider a specific case where a form is designed to allow users to select one method of payment from several options, such as check, cash, or credit card. All of the options form a logical relationship, but only one should be filled in.

For this form, you can define an OMR index zone for each payment option and combine them in a group box to form a single, logical group as shown in Figure 3-6.



Figure 3-16. A Typical SmartGroup

Working with Zones

A zone is an area on an image that you want to process in some way. For example, you might want to extract data from the same location on all your forms. Or, you might want to define an area to use for OCR registration purposes.

The following sections contain information about the various types of recognition profiles and zones supported by Kofax Capture.

Selecting Recognition Profiles

Kofax Capture allows you to set up recognition profiles that work best with the types of information and/or format of the information within the various zones on your forms, for example, handwritten signatures or marked check boxes. A recognition profile specifies a recognition engine and its associated settings, along with an optional image cleanup profile and other details.

Table 3-6 shows the functions of the Kofax Capture zonal recognition engines, and the built-in recognition profiles in which the engines are used.

Table 3-6. Zonal Engines and Recognition Profiles

Zonal Engine Engine Function(s) Used with Profile(s)

Bar Code Recognizes a variety of industry-standard bar code types and translates them into ASCII values. Bar code recognition is a reliable method for capturing data field information, separating documents in a batch, or identifying forms.

Kofax 128 bar code Kofax 3 of 9 bar code

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Drawing Zones

Zones are created by first selecting a zone type and then drawing an area on the sample page to represent the zone.

The following table lists the types of zones supported by Kofax Capture.

High Performance Zonal

For ICR processing, recognizes handwritten alphabetic and numeric data and translates it into computer-readable data.

Kofax High Performance ICR Zonal

Similar to Kofax High Performance ICR Zonal but slightly slower. Provided for backward compatibility.

Kofax ICR Zonal

For OCR processing, reads machine printed characters and is optimized for specifically formatted text fields like dates, names, zip codes, and numbers.

Kofax High Performance OCR Zonal

Advanced OCR Zonal

Recognizes machine printed characters and translates them into computer-readable data. This engine is optimized for reading sentences, paragraphs, and phrases.

Kofax Advanced OCR Zonal

OMR Recognizes pencil or pen marks in specific document positions (such as filled-in check boxes or circles) and translates the marks into computer-readable data.

Kofax OMR Zonal

Patch Code Recognizes patch codes. Once the patch code is recognized, it can be used to separate documents.

Kofax Patch Code

Shape Recognizes line intersections and corners. Kofax Shape Zonal

Table 3-7. Kofax Capture Zones

Type Description Toolbar Button

Index zone (manual)

At validation time, the validation or verification operator will be shown this area of the form, making the data easier to find and read.

Table 3-6. Zonal Engines and Recognition Profiles (continued)

Zonal Engine Engine Function(s) Used with Profile(s)



Index zone (automatic)

If an automatic recognition method (such as OCR, ICR, bar code recognition, shape, or others) can be used to capture the data for an index field, you can draw an index zone around the location of the data and then specify a recognition method for the area. At data capture time, the data will be captured for the index field.

OCR registration zone

If the same text appears in a fixed location relative to other index data on a form, OCR registration zones can be used to augment or replace page-level registration.

Shape recognition registration zone

If the same shape (such as a cross, corner, or others) appears in a fixed location relative to other index data on a form, shape recognition registration zones can be used to augment or replace page-level registration.

Separator zone If data appears in a fixed location on the first page of every document, a separator zone can be used to separate documents in a batch.Separator zones are only used if “Use separator zone” is selected as the method for separating documents. You select this option from the Custom Separation and Form Identification dialog box.

Form identification zone

A form identification zone can be used to assist Kofax Capture’s page-level form identification feature. It is typically used to help the form identification engine distinguish between forms that are very similar. For example, a form identification zone could be useful for identifying different revisions of the same form.You can specify more than one form identification zone for a form type. For multipage form types, the zone must be on the first page.

Table 3-7. Kofax Capture Zones (continued)


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You create zones on the sample pages you scan for your form types. To display a sample page, do one of the following:

• From the Document class tree view tab, double-click on the document class with which the form is associated. Select the desired form type, and select the sample page. The sample page will display.

• From the Batch class tree view tab, double-click on the document class with which the form type is associated. Select the desired form type, and select the sample page. The sample page will display.

The following steps outline a general procedure for creating zones. See the online Help for specifics on each type of zone.

To create a zone

1 With the desired sample page displayed, click the appropriate button for the type of zone you want. Your cursor will change to a crosshair.

2 With your cursor, draw a rectangle around the area on your sample page that you want to use as the zone. A dialog box will display.

3 Set options as appropriate for your zone.

4 If desired, click Test to apply your settings to this zone and check the results. Refer to Testing Zones with QuickZones on page 101 for more information about testing your zones.

Note The Test button is disabled if the sample page is displayed from the Document class tree view tab. The sample page must be displayed from the Batch class tree view tab if you want to test your settings.

Index group zone (SmartGroups)

Many forms contain related fields of information. For example, you might have zones for first and last name on the same form. Index group zones allow you to combine data from separate zones into a single field. You can control how many fields can be filled in for the index group zone, and define how conflicts are handled when more than one field is inappropriately filled in.

Table 3-7. Kofax Capture Zones (continued)




5 Select OK. The dialog box will close, and the style of the rectangle you drew will change to reflect the type of zone you have created.

Tip Once your zone is drawn on the sample page, you can use your mouse to resize the zone.

When drawing zones on your sample page, use the following guidelines:

• If all of the index data is separated from other information on your sample page by at least .25,” draw your index zones to include a moderate amount of white space (about .25”) all around the index data. The white space around the data allows for horizontal or vertical offsets that might be introduced by a scanner.

• If at least some of the index data is close together (that is, not separated from other information on your sample page by at least .25”), draw your index zones with only a small amount of white space. This will prevent unwanted data from appearing in a zone, which could reduce the accuracy of character recognition. However, because a small amount of white space does not allow for horizontal or vertical offsets that might be introduced by a scanner, an OCR registration zone may be required.

For OCR zones:

• In general, characters and numbers must reside completely within the zone boundaries to be read. Characters or numbers that do not reside completely within the boundaries will not be reflected in the captured data.

• When you draw the zone, make sure that it is wide enough to account for lengthy names, etc. Include at least a quarter inch of white space at the leading edge of the zone. Do not include extraneous data in the zone.

Figure 3-17. OCR Recognition Zone with White Space

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For bar code recognition:

• Make sure that you include at least a half inch of white space at the leading edge of the bar code and include the entire bar code in your zone.

Figure 3-18. Bar Code Recognition Zone with White Space

For OCR registration zones:

• If possible, include at least .25” of white space around the registration data to allow for horizontal or vertical offsets that might be introduced by a scanner. The registration process will measure and correct any scan offset by shifting the index zones into place.

• Make sure the border of the zone does not touch other text or elements on the image.

• When manually resetting a registration point, select it carefully. Position the crosshair cursor at the bottom left corner of an imaginary box around the first character of the text in the OCR registration zone. If the first character has a descender (for example, a lower case “y”), use the baseline of the character, not the bottom of the character, when selecting the registration point.

• Test whether a registration point is properly defined. To do so: Create a test batch by importing the sample image file used to define your OCR index zones. If the registration point is properly defined, your OCR index zones will contain the expected data. If the registration point is not properly defined, your OCR index zones will be shifted and will contain unexpected data.

• For best results, keep the search text as short as possible.

For shape recognition zones:

• Include only that portion of the shape that you are trying to match. If your zone includes excess components, the recognition engine will probably return code 100 (general shape). For example, if you are searching for a cross shape,



center the zone only on the cross portion of the graphic. See the online Help for information about shape return codes.

Figure 3-19. Shape Recognition Zones

For OMR zones:

• Each OMR shape must be zoned separately. You cannot draw one OMR zone around multiple OMR shapes. (Note that you can draw another type of zone around multiple OMR zones. Then, you can use scripts or SmartGroups to process the results from the zones.)

• All your OMR zones should be consistent in size. If the OMR shapes are of different sizes, create different groups of OMR zones. Make the zones for each group consistent within that group. Use a different recognition profile for each group of OMR zones. Refer to OMR Threshold Settings and Zone Size on page 97 for more information about drawing OMR zones.

• To allow for potential registration offsets, the zones should include the OMR shape and as much white space around the shape as prudent.

• Do not create zones whose boundaries touch or get near any other text or unrelated OMR shapes on the page.

• For square or rectangular shapes, you can use an aggressive line removal scheme to remove the shapes without destroying the inner marks. Once the shapes are removed, you can use the despeckle feature to cleanup extraneous noise. Then, set your pixel threshold to a low value (for example, 0 or 1). During processing, “empty” zones will return 0s (the shape was not filled in) or 1s (the shape was filled in).

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• The confidence returned from an OMR zone is really the percentage of black pixels found in the zone. Therefore, you can use the confidence returned from a zone to determine the most appropriate threshold.

Double Zoning

You can draw multiple zones for the same field. The zones can be in different locations, or even one on top of the other. Then, you can capture the data from each zone with a different set of recognition settings. For example, you can use OCR with aggressive image cleanup for one zone and OCR no image cleanup for another zone. The zone data captured with the highest confidence level will be returned for the field. Your validation and verification operators will see the zone that returned the highest confidence.

Note Using multiple zones could adversely affect performance.

Temporary Image Cleanup for Zones

To enhance automatic data capture, Kofax Capture supports zone-level image cleanup features. Zone-level image cleanup applies to a specific zone on a form (unlike form-level image cleanup, which applies to the entire form). Zone-level image cleanup is temporary, while form-level cleanup is saved permanently.

You specify your image cleanup settings with an image cleanup profile, which consists of all your desired cleanup settings. Refer to Image Cleanup Profiles on page 66 for more information about cleanup settings.

Creating an Index Group Zone (SmartGroup)

To create an index group zone, you must draw a group box on your sample page (similar to drawing a box for an index zone), and then assign an Associated field to the group. A field can be associated with only one group, and all the zones associated with the same field will join the group.

Figure 3-20. SmartGroup with Five OMR Zones



The SmartGroups feature will attempt to identify the correct Associated field based on the size and position of the group box. In the above example, there are five index fields in the group box. SmartGroups will automatically suggest the alphabetically first Associated field from among these five. You can always override this suggestion by selecting a different field.

To include the five items in a group, you must use the same Associated field for all five of the index zones.

Tip Forms are typically designed with like items physically clustered together. This provides a natural and convenient way for users to fill out the form. However, groupings within Kofax Capture are based on an Associated field, not the location, size, or contents of the actual group box. The elements that comprise a group can be anywhere on the form.

Consequently, a group box does not need to be physically drawn around the group’s index zones, but it should. The ability of SmartGroups to suggest the appropriate Associated field depends on the size and location of the group box. Furthermore, by default, the image viewer in the Validation and Verification modules zooms to show the entire group based on the size and location of the group box. If there are index zones in the group but outside the group box, they may not appear in the zoomed view. (Note that you can elect to have the viewer zoom to the zone with the highest confidence instead of the entire group.)

After you have created the group, you can see the group structure in the Batch class tree or the Document class tree. You will see the index group zone icon followed by the name of the group (taken from the associated field). Indented under the group name are all the index zones in the group. Note that, contrary to ungrouped index zones, each index zone in a group is identified by the name of the recognition profile it uses (not the name of the associated field).

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Figure 3-21. A SmartGroup in the Tree View

Tip You can use the same recognition profile for more than one member of the group. In that case, those index zones will appear in the tree with the same name. This may make it difficult to visually associate a zone in the tree view with its location on the sample page. You can easily resolve this by selecting the zone in the tree, and looking on the sample page for the corresponding zone.

Copying an Index Group Zone

Use Copy to duplicate an existing index group zone. The copy feature is useful for adding a index group zone that is similar to an existing one to a sample page. All member index zones are also copied. You can modify the copy of the index group zone as necessary to make it unique.

Note Copy and paste is not available for member index zones.


Results Returned from an Index Group Zone

The results returned from an index group zone depend on the settings for the group. You can elect to have the contents of all the zones in the group concatenated into a single return value. Alternatively, you can have the group return the zone with the highest confidence.

You can also specify how many values can be legally returned from a group. A group can have from 0 to 254 values. Normally, you would choose to have the results concatenated when more than one selection is allowed.



Note If you are grouping OMR index zones, the “Return value for unmarked zone” option must be blank for all the OMR index zones in the group. If this is not the case, the group will not work as expected. You can clear the “Return value for unmarked zone” option with the Recognition Profiles dialog box for OMR zones.

OMR Threshold Settings and Zone Size

The accuracy of the OMR engine depends, in part, on your threshold setting. The threshold is the percentage of pixels that must be colored (non-white) for the OMR engine to consider the OMR shape (usually a square, rectangle, or circle) to be marked. In addition, the actual size of your OMR zone affects the results based on the threshold setting, and therefore the accuracy of the results.

When you draw a zone around an area for OMR processing, you should include only the OMR shape with little white space outside of the shape within the zone. This allows for a wider range of mark size to yield correct results.

For example, if you draw a large zone box around an OMR item, the percentage of filled pixels will be relatively small. Consequently, small check marks within the OMR shape may not significantly change the percentage of filled pixels for the entire zone. If this small change does not put the percentage of filled pixels over the threshold, the OMR engine will not detect the zone as marked. Therefore, the smaller the zone box around the OMR item, the easier it is to detect a mark.

Figure 3-22 shows how the size of the zone box can affect the accuracy of OMR results.

Figure 3-22. Effect of Zone Box Size on Accuracy

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The zone around the check box on the left contains 29,241 pixels, of which 7961 (about 27 percent) are filled in. The larger zone around the check box on the right contains 65,040 pixels of which 10,329 (about 16 percent) are filled in. Because the zone on the right does not equal or exceed the threshold (20 percent), it will be regarded as unmarked by the OMR engine. This is clearly not the desired result.

You could reduce the threshold value to 10 percent, but then you run a greater risk of having the pixels that form the check box trigger a false “marked” result. Furthermore, all scans have some amount of noise (random filled pixels) in the image. If your threshold is set very low, there is also a chance that this noise could contribute to a false reading.

On the other hand, don’t make the zone box too small. There are always slight differences in registration (paper position) as documents are fed through a scanner. If your zone box is very close in size to the OMR item, then the paper may shift so that part (or all) of the item is no longer in the zone, leading to detection errors. Therefore, the smaller the zone box around the OMR item, the greater the chance of registration problems. So, if registration errors turn out to be a problem, gradually increase the size of the box until the errors are minimized.

Finally, make sure that zone boxes around similar OMR items are all about the same size. This will ensure consistent results. When setting up your zones, you should check your settings with some image files representative of the images you’ll be processing.

OMR Confidence Settings

The following OMR confidence settings can be selected in the Advanced OMR Settings dialog box in the Administration module. These settings allow you to choose a suitable method for calculating confidence values for OMR check boxes.

Pixel Percentage FilledThis is the default setting. The confidence is calculated as the percentage of black pixels in the OMR zone. For example, a confidence of 32% means that 32% of the pixels in the OMR zone were black. The higher the number, the more likely the box has been checked.

Probability that Zone is MarkedThe confidence is calculated based on the probability that the zone has been marked. Typical confidences for marked zones fall in the 80%-90% range and unmarked zones in the 0%-20% range. This method is well suited for zones used in groups when “Pick best” has been checked in the Index Group Zone Properties dialog box.



100% if Marked, 0% if NotThis is similar to the above option. The confidence is set to either 100% or 0% (no intermediate values) depending on whether the zone is marked or not.

Difference From ThresholdThe confidence is calculated on how far the pixel percentage is from the threshold point. Consequently, a completely blank zone and a completely filled zone would both have a confidence of 100%. On the other hand, if the threshold was set to 30% and the number of black pixels was 29% or 31%, the confidence level would be very low, since a small error in scanning could flip the results. This method indicates how certain the OMR engine is of its results, not the pixel percentage.This setting is a good choice for “yes/no” type check boxes that are not part of a group. In general, using this setting in a group will not produce useful results and is not recommended. In groups, you may need the recognition engine to pick the best result. Since this method can yield 100% confidence for both a blank and a checked item, your “pick best” results cannot be predicted.

Each of the above settings is presented in the following figure. In each case, the threshold is shown at 50%, although it can be set anywhere along the pixel percentage axis.

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Figure 3-23. OMR Confidence Methods



Testing Zones with QuickZones

When creating or editing index zones, there are a large number of settings that affect how accurately Kofax Capture recognizes machine printed characters, hand printed characters, bar codes, and other marks. The right settings are critical to getting the most out of your scanned documents, yet it can be time consuming to figure them out.

The QuickZones feature allows you to test your recognition and cleanup settings as you define your zones, without having to publish batch classes and process batches. You can quickly see the results of your settings while you are setting up or editing your batch classes. If adjustments are needed, you can easily tweak the settings and test the zones again from within the Administration module. This can greatly reduce the time and effort required to set up or edit your zones, and enhance the accuracy of your scanned data and validation processing.

To test a zone, simply click the Test button available from any of the Create Zone and Zone Properties dialog boxes. The Zone Test dialog box will display, allowing you to visually compare the original contents of the zone with the processed results. This dialog box also allows you to test your settings for the current zone on other document examples that you may already have scanned.

Note QuickZones applies your recognition profile and image cleanup settings to the currently selected zone. If you test a different zone, you may get different results even though the settings are the same. For greatest overall accuracy, you should test your settings on all the zones that will use them, and with a variety of example pages.

Create Your Batch ClassesA batch class describes how the documents in a batch will be processed by Kofax Capture. It defines settings such as:

• Which queues will process your batches, and in which order• How images will be separated into documents• How forms will be identified• How data will be extracted for data fields (optional)• How documents and data fields will be released• Which batch name format will generate the batch name

A batch class contains one or more document classes, which in turn contain one or more form types. This allows you to have different kinds of documents and forms within one batch. Kofax Capture can automatically separate the pages into documents and identify different types of forms.

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Kofax Capture allows you to define a pool of batch classes. Then, your operators can select from this pool when creating batches.

Note All batches in Kofax Capture are defined by their batch class. Therefore, you must define a batch class before you can scan or import documents.

Processing Queues

As part of your batch class definition, you must specify the processing modules (queues) through which you want your batches to be processed, and the order that processing should occur. Each queue that you specify will become a processing step in the Kofax Capture workflow for your batches.

In addition to selecting the queues, you also choose settings that affect processing at some of the modules. For example, you can enable batch editing for your validation operators, select specific times to release batches from the Release module, and more.

Table 3-8 lists the standard Kofax Capture processing queues. Refer to Chapter 2 – A Quick Tour of Kofax Capture on page 13 for information about these queues.

Table 3-8. Standard Kofax Capture Processing Queues

Queue Description

Scan Creates batches by scanning or importing documents, and allows batches to be edited

Quality Control Provides a way to check the integrity of your batches, and rescan pages and documents if necessary

Recognition Server Performs automatic data capture and form identification

Validation Used by validation operators to validate and/or manually enter index field data

Verification Used by verification operators to verify data already validated in the Validation queue

OCR Full Text Performs OCR on entire documents to produce editable files in a specified format (such as Microsoft Word or ASCII text)

Kofax PDF Generator

Processes an entire document and stores the results in the specified PDF format (PDF Image Only or PDF Image + Text).

Release Releases document image files and data fields to permanent storage



Batch Fields

A batch field allows you to associate certain descriptive information with each batch. For example, you might want to know the user ID of the operator who scanned the batch, the date and time the batch was scanned, etc. Batch fields can be released to your target database just like index fields.

Refer to Kofax Capture Values on page 121 for more information about the type of information you can use with batch fields.

Automatic Batch Names

Each batch name is automatically created based on a batch name format which you define on the Batch Class Properties dialog box - Batch Naming tab. With automatic batch names, you control how batches are named.

You can create batch name formats using a range of Kofax Capture values. You can customize each format to include static text, a single Kofax Capture value, multiple Kofax Capture values, or any combination of available values. The default value is {Current Date} {Current Time}. Based on this value, the batch name would be similar to the following example: 03/20/07 5:15:12 PM. A batch name can contain up to 128 characters.

For detailed information about automatic batch naming, refer to the online Help. For more information about Kofax Capture Values, refer to Kofax Capture Values on page 121.

Document Separation and Form Identification Profiles

Two processes, document separation and form identification, oversee the transformation of raw images into individually identified documents. Figure 3-24 shows a general overview of both document separation and form identification. First, pages are either scanned or imported to create a batch. Then, document separation divides the images into documents. Finally, form identification matches each document with a batch class form type.

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Figure 3-24. Overview of the Document Separation and Form Identification Process

Batches are made up of stacks of paper documents. The documents in a batch can be single page documents, multipage documents, or a combination of both. In addition, the documents in a batch can be of the same or different form type.

Kofax Capture can automatically separate documents and identify the forms in a batch. You specify the settings for this type of processing in a document separation and form identification profile, which you associate with a batch class. You can define your own profiles, or use the predefined profiles provided with Kofax Capture.

Document Separation

There are six Kofax-defined document separation methods. Document separation is the process of dividing all the images in the batch into individual documents. See Table 3-9 for a summary of these methods and when they should be used.

Table 3-9. Methods of Document Separation

Separation Method When to Use

Kofax manual separation lets the user separate documents by hand.

Use this method when forms cannot be automatically separated using other methods.

Kofax fixed page separation automatically creates a new document every set number of pages.

Use this method when all documents in a batch contain a fixed number of pages.



Additional Document Separation Methods

Table 3-10 shows two additional methods of document separation that are only available through the use of a custom separation and form identification profile. The identification method used depends on how the profile is configured.

Kofax patch code separation uses a patch code separator sheet to separate documents.

Use this method when the first page of all documents contains a patch code, or you plan to use document separator sheets with patch codes printed on them.

Kofax bar code separation uses a bar code separator sheet to separate documents.

Use this method only when the first page of all documents contains a bar code, or you plan to use document separator sheets with bar codes printed on them. If any page of the document other than the first contains one or more bar codes, do not use this method.

Kofax separator sheet separation uses a Kofax separator sheet to separate documents.

Use this method only when the first page of each document is a separator sheet created and printed by the Separator Sheet Utility.

Kofax page recognition separation analyzes each image and separates when it finds the first page of a form type.

Use this method if the physical characteristics of the first page of every form differ sufficiently enough for Kofax Capture to distinguish between form types or your form type has a separator zone or form identification zone.

Table 3-10. Additional Document Separation Methods


Separator zone separation analyzes a specific zone on each image and separates when the zone matches the same zone on the first page of a form type.

Use this method only if you have a separator zone on the first page of every document. The identifying information on each document type must be identical and will only be used to separate the documents.

Table 3-9. Methods of Document Separation (continued)


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Form Identification

Table 3-11 shows the three methods of form identification. Form identification is the process of matching each separated document with a form type in the batch class.

Form identification zone separation analyzes a specific zone(s) on each image and separates when the zone(s) matches the first page of a form type.

Use this method only if you are using form identification zones to identify the form type. The identifying information on each document type must be unique and will be used to identify the form type.

Table 3-11. Methods of Form Identification

Form Identification Method When to Use

Manual identification requires you to manually identify forms within your batch. Typically, this would be done by a scan or quality control operator.

Use this method for forms that cannot be automatically identified using other methods.

Kofax separator sheets can be printed with a bar code that identifies the next document's form type.

Use this method only if the first page of each document is a separator sheet created and printed by the Separator Sheet Utility.

Page recognition compares each entire image with the first page of each form type looking for an overall match. Every time a match is found, document separation occurs and the new document is identified with the matching form type.

Use this method only if the physical characteristics of the first page of every form differ sufficiently enough for Kofax Capture to distinguish between form types.

Table 3-10. Additional Document Separation Methods (continued)




Alternate Form Identification Methods

Table 3-12 shows two alternate methods of form identification that happen automatically depending on how the batch class is configured.

Custom Document Separation and Form Identification

Table 3-13 shows the ways in which the methods of document separation can be combined with the methods of form identification. These can be combined by creating a custom document separation and form identification profile.

Table 3-12. Additional Form Identification Methods

Form Identification Method When Used

Form identification zones compare specific zones on each scanned image with the same zones on the sample pages of the batch class. Every time a match is found, document separation occurs and the new document is identified with the matching form type.

This method is used when you are using form identification zones to separate documents. You can also use this method to enhance page recognition’s effectiveness.

Single form type identification only works when the batch class has one form type. Since there is only one form type, each document is identified with that form type by default.

This method is used when the batch class has only one form type. Each document is automatically identified with that form type at separation.

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Single Document Batch Processing

By default, Kofax Capture processes all the documents in a batch as a group. This means that in a batch of a hundred documents, the first document isn't sent to the next module until the rest of the 99 documents are processed. Single document batch processing removes this delay by creating a new batch every time a new document is separated so that the single document batch can be sent to the next module as soon as it is separated. Depending on the system configuration and the number of documents in each batch, single document batch processing can significantly speed up document processing.

Table 3-13. Possible Separation and Form Identification Combinations

Form Identification Methods

Manual Kofax Separator Sheets

Page Recognition

Form ID Zone

Single Form Type

Document Separation Methods

Kofax Manual

Y Y

Kofax Fixed Pages

Y Y Y

Kofax Patch Code

Y Y Y

Kofax Bar Code

Y Y Y

Kofax Separator Sheet

Y Y Y Y

Kofax Page Recognition

Y Y

Separator Zone

Y Y Y

Form ID Zone

Y Y Y Y



Note Single document batch processing is only available when the Scan module automatically performs document separation. Otherwise, an error will occur when you publish the batch class, and you will have to either change the separation method or disable single document batch processing.

Partial Batch Release

The Partial Batch Release feature offers an alternate approach to exception processing, whereby a batch with documents or pages in error is not automatically routed to Quality Control (Rescan) for repair. Instead, a batch with errors is processed through the modules in the order originally defined in the batch class.

When the batch reaches the Release module, the error-free documents and pages are released, and the exception documents are routed back to Quality Control for repair. Once repaired, the documents are routed through the batch class workflow, starting with the first module after Scan. This approach is helpful if you do not want to delay batch processing for error-free documents that exist in the same batch with exception items.

To use this feature, you must enable it when you define your batch classes from the Administration module.

Publishing Your Batch Classes

When you finish setting up a batch class, you must publish it. Publishing the batch class ensures it is complete and allows you to use it to scan or import documents.

The publishing process checks the validity of the settings for your batch class. If settings are missing, or conflicts exist, warnings and errors are generated and displayed. The warnings and errors typically include recommendations to help you troubleshoot the batch class. If no errors are detected during the publishing process, your batch class is published and available for use.

If desired, you can validate a batch class before you publish it. The validation process performs the same checks as the publishing process, without making the batch class available for processing. Validation is useful for setting up and troubleshooting a

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batch class that you are not ready to use. Once a batch class is published, its name appears with a check mark icon on the Definitions panel, as shown in Figure 3-25.

Figure 3-25. Published Batch Class

Color SupportColor images intrinsically offer less contrast and contain more information than bitonal images. Color file sizes can be much larger than otherwise identical black and white images, in most cases 24 to 32 times larger. Consequently, it takes proportionally more time to process color images. Everything from a simple deskew filter to complex edge detection could require more time and put an extra burden on your workstations and networks. This is just the nature of color; it takes more time to process it.

Fortunately, Kofax Capture has a way to overcome many of the drawbacks of working with color image files. It intelligently manages this extra burden by



converting the color image to a bitonal image the first time it is needed. Once created, the bitonal image is saved and reused as the batch travels from module to module.

Figure 3-26. Same Page in Color and in Black and White

Note Depending on factors such as image size, workstation capabilities, etc., it may take several seconds to convert a color image to bitonal. For this reason, the bitonal image is only created once. To maximize performance, color processing is not automatically done at scan time.

Since Kofax Capture offers considerable flexibility in how you process your batches, each module (that needs to) will create and save a bitonal image if one doesn’t already exist. The only exception to this is in the Administration module when using the QuickZones feature. QuickZones creates bitonal images of the sample pages for zone testing purposes, but does not save them (since samples are not a part of the batch).

Compression for Color Images

Kofax Capture internally stores color images as JPEG compressed TIFF files. This is a “hybrid” graphics format that falls within the TIFF file specification.

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Note If you attempt to open this kind of TIFF file in a third party application, you may encounter difficulties. JPEG compressed TIFF is a little used feature, and some applications may not recognize the file structure.

There are two broad classes of compression:

• Lossy compression shrinks a file by throwing away information. This information cannot be recovered when the image is decompressed for viewing. Most lossy compression schemes attempt to discard information that is not critical or very visible to the eye, but as the rate of compression is increased, the missing information becomes visible.

• Lossless compression schemes retain all information. When the file is decompressed, it looks exactly like the original. A lossless compression scheme cannot compress a file as much as a lossy scheme.

JPEG is a lossy method of compressing files, and so quality may become an issue.

The JPEG standard permits variable compression rates that allow you to trade file size (amount of compression) against image quality. The more highly compressed an image, the worse the image quality becomes.

This trade-off is made in the quality setting when you save a document with JPEG compression. A quality setting of 100 percent (the maximum) will yield the best image, but with minimal compression.

Automatic data capture is very sensitive to the image quality. Good OCR results require a high quality setting, usually 100 percent. Bar codes and patch codes can usually be recognized with quality settings as low as 75 percent (in ideal cases this could even be lower).

Setting Image Quality

Good OCR recognition requires the best possible quality in the compressed image. Figure 3-27 compares the effect of different quality settings on an image. The small inset in the center shows the original photograph. Each frame shows a section of the original magnified by 400 percent at a different level of compression.

As you can see, there is not much visible difference between an uncompressed file and 75 percent quality, yet the file size has shrunk from 3.9M to about 560KB. On the other hand, even though the 0 percent quality setting has achieved a file size of about 78KB, there are many visible artifacts. Look for blotches near the roofline and the circular attic vent.



Unlike most of the other properties you can set in Kofax Capture, JPEG image compression quality is not set directly from within the program. Instead, you must use the Scanner Configuration Utility, which is available from the Windows Start menu at All Programs | Kofax Capture 8.0 | Scanner Configuration Utility.

For detailed information about all the Scanner Configuration Utility options and features, refer to the online Help by clicking Help or pressing F1 from within the utility interface.

Figure 3-27. Compression and Image Quality

To set image quality

1 Open the Scanner Configuration Utility by selecting Start | All Programs | Kofax Capture 8.0 | Scanner Configuration Utility.

2 In the Scanner Configuration Utility dialog box, select your image device from the list.

3 Click Configure Sources.

4 In the Configure Sources dialog box, select your source from the list.

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5 Click Properties.

6 In the Source Properties dialog box, set the JPEG compression quality to an appropriate value.

7 Click OK to save your setting and close the dialog box.

8 Click Close.

9 Close the Scanner Configuration Utility.

Tip For OCR, set the quality to 100 percent. For patch codes and bar codes, use at least 75 percent. Any changes to this setting will take effect the next time you open the Kofax Capture modules that use it. If one of these modules is already open, you must close it and re-open it for the new setting to take effect.

Color sample pages are displayed in color in the Administration module and in other modules from which you display images (such as Validation). When making use of color sample pages, keep in mind that (depending on the colors) it may be difficult to see the zones on the page. For example, index zones are shown on the sample page with green rectangles. If the sample page has a green background, then these rectangles may be difficult to see.

Color sample images should be added from within the batch class tree. While it is possible to add them from within the document class tree, doing so will prevent the sample page from being deskewed. Since proper deskewing is important to data capture accuracy, using the batch class tree to add color sample pages helps ensure the highest possible accuracy.

Both bitonal and color sample pages are normally deskewed. However, this step is skipped if “Deskew Sample Images” is not checked in the Administration module Scan menu.

Note Batch classes with color sample pages may take somewhat longer to publish than if all the sample pages are bitonal.

Color Image Cleanup Profiles

Kofax Capture ships with the following standard color image cleanup profiles:

• Kofax Color Photo: This is the default profile, and is optimized for image files with color photographs. Deskewing is turned off.

• Kofax Color Form: This profile is optimized for color forms. Deskewing is enabled.



If necessary, you can set the color image cleanup profile to “none,” which turns off all color processing except for thresholding.

Display of Color Images

The Scan, Validation, Verification, and Quality Control modules all have an image viewer that can display color documents. Color display is turned on by default, but can be disabled by checking “View Bitonal Image” in the View menu. When enabled, this forces the image viewer to display the bitonal version of the color image for the current page. As soon as the page is switched, the image viewer reverts to showing color images.

The image viewer allows you to rotate your view of the page. When you rotate a color image, Kofax Capture internally rotates the corresponding bitonal image. Consequently, the rotation process will take somewhat longer. Not only is there more pixel information to rotate in the color image, but an entirely separate (and usually hidden) bitonal image must be rotated as well.

The same applies to bitonal images in the image viewer. If you rotate a bitonal image, Kofax Capture internally rotates any corresponding color image.

eDocument SupportKofax Capture can import, process, and release almost any type of file. You do not need to limit your batches to image files. Image files are defined as those having the following extensions:

• TIF• PDF (PDF files can also be imported and converted to TIFF file for use as

sample pages.)• PCX• BMP• JPG• CAL

All other types of files are classified as eDocuments (non-image files), regardless of content. The support of eDocuments is controlled at the batch class level, and each batch can be set independently of other batches.

Examples of eDocuments are:

• Simple text files• Microsoft Word documents

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• Microsoft Excel documents• Microsoft Power Point documents• Corel WordPerfect documents• Corel Ventura documents• Adobe Acrobat PDF files• Adobe Photoshop files• Audio Video Interleaved (AVI) files

The main advantage of eDocuments is that you can create a batch based on your archiving or processing needs. All the documents you need in a batch can now be processed together regardless of file type.

Viewing eDocuments

Each module with an image viewer will attempt to display any eDocuments in a batch. The Scan, Quality Control, Validation, and Verification modules all have image viewers, and you can view eDocuments as a normal part of your batch processing. You will see the eDocument as if it was opened in Internet Explorer.

Each module in Kofax Capture with an image viewer gives you the option of suppressing the display of eDocuments:. When viewing is suppressed, the eDocuments will appear as blank pages in the viewer. Suppressing the display, when possible, will speed up your processing time.

The Kofax Capture image viewers make use of some features in Internet Explorer 5.0 and higher (IE). Consequently, Kofax Capture can display any type of file that IE can display, but with the same capabilities and limitations as the browser. For example, IE does not support rotate or zoom. Therefore, the rotate and zoom toolbars, keyboard shortcuts, and menu items available in Kofax Capture are disabled when an eDocument is displayed.

Note If the eDocument can be displayed in the image viewer window, you do not need the native application used to create the non-image file installed on your workstation. However, depending on the type of document, you may need one or more plug-ins for Internet Explorer. These plug-ins are available from a number of sources, most frequently the manufacturer of the application that was used to create the eDocument.

The contents of an eDocument cannot be predicted or controlled from within Kofax Capture. Microsoft Word documents, for example, may contain links to other files, OLE objects, or Web sites. Some of these links may still function in the image viewer.



Some eDocuments may have macro capabilities that could potentially cause problems when opened. For example, a macro might be looking for a file that does not exist on the current workstation.

Warning Certain types of computer viruses may also be transmitted in eDocuments. It is suggested that you install appropriate anti-virus software.

Indexing with eDocuments

Although eDocuments move from module to module with the batch, it is not possible to use zone-based automatic recognition or data capture features with them. However, you can manually index them in the Validation module. You can also write a custom script, OCX, or custom module to pull electronic data. Alternatively, you can use the Kofax Capture Import Connector – XML feature. Refer to Appendix B – Using the XML Import Connector Feature on page 273 for information about XML Import Connector.

Document Separation and Form Identification for eDocuments

As with image files, eDocuments can be separated using a variety of methods. Remember that for separation purposes the Recognition Server treats each eDocument as a single page.

Except as noted below, document separation for eDocuments is the same as described in Document Separation and Form Identification Profiles on page 103.

• Kofax Capture Import Controller Separation This feature uses scripts to manage the input of both eDocuments and image files.

• Fixed Page Separation You can use the fixed page method to separate eDocuments, but keep in mind that all eDocuments are treated as single page documents regardless of the actual page count.

• Patch Code and Bar Code Separation Patch codes and bar codes cannot be used to separate eDocuments. In this case, eDocuments are passed through as if they were blank pages. Image files are separated correctly.

• Page Recognition Separation Page recognition cannot be used to separate eDocuments. In this case, eDocuments are passed through as if they were blank pages. Image files are separated correctly.

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Note Form identification cannot be used on eDocuments, although any image files in the same batch will be identified. In this case, eDocuments are passed through as if they were blank pages.

Release Script Support for eDocuments

Release scripts may be set to support eDocuments. This is handled by setting the value for a property in the sample .inf file that came with Kofax Capture. This .inf file is set to enable eDocument support for the default text and database scripts. Changing the property to “false” will disable eDocument support for that release script.

The Release Script Manager dialog has a Properties button that displays a dialog box that indicates support for eDocuments. If you attempt to use eDocuments with a release script that does not support them, you will receive a warning message when you publish the batch class.

Custom Module Support for eDocuments

Custom modules may be set to support eDocuments. This is handled by setting a property in the sample .aex file. This .aex file is set to enable eDocument support. Changing the property to “false” will disable eDocument support for that custom module. See the online Help for more on custom modules.

The Custom Module Properties dialog box indicates support for eDocuments on the General tab. If you attempt to use eDocuments with a custom module that does not support them, you will receive a warning message when you publish the batch class.

Importing PDF FilesIn Kofax Capture, you have the option of importing PDF files as either eDocuments or converting them to TIFF images. Which option you choose depends on whether you want to process the file as a native PDF file or if you need to perform some auto-recognition on the contents of the file.

This section provides instructions on how to choose these options, and also describes how to import PDF files for use as sample pages for your form types.

Importing PDF Files as eDocumentsFor any batch class, you can choose to have PDF files imported as eDocuments. Simply check the “Allow import of eDocument files” check box on the Advanced tab



of Create Batch Class or Batch Class Properties dialog box. That check box is shown unchecked in Figure 3-28.

Note Make sure the “Treat imported PDF files as TIFF images” box is not selected.

Once imported into Kofax Capture, the PDF files are treated like any other eDocument. Refer to eDocument Support on page 115.

Effect on Licensing

A PDF file is counted as a single page—regardless of the actual number of pages. The number of available pages of your Kofax Capture license volume is decremented by one for each PDF file imported as an eDocument.

Figure 3-28. Batch Class Properties: Advanced Tab

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Treating PDF Documents as TIFF Images

For any batch class, you can choose to treat PDF files as TIFF images. Each PDF file is converted to a multipage TIFF that is processed based on the batch class settings—just like any other supported image file.

To have every imported PDF file for a particular batch class be converted to a TIFF image file, you must check the “Treat imported PDF files as TIFF images” check box on the Advanced tab of the Create Batch Class or Batch Class Properties dialog box. That check box is shown unchecked in Figure 3-28.

Effect on Licensing

Each page in the PDF file will be converted to a page within the multipage TIFF file. The number of available pages in your Kofax Capture license volume is decremented by one for each page in the TIFF file.

Importing Image-Only PDF Files as Sample Pages

When you are defining your form types, you can import image-only PDF files to use as sample pages. When importing an image-only PDF file, it will be converted to a TIFF image.

Note All sample page images used in a single form type must be of the same dpi. The dpi is calculated based on the scale of the imported PDF file, and you will receive an error message if the dpi is not the same. If you need to import PDF files of different dpi values, you can create multiple form types.

Note The text in an image-only PDF file is not searchable or selectable in Acrobat Reader.

Custom Scripts and ApplicationsYou can customize the way Kofax Capture processes batches by adding scripts to your batch classes or providing custom applications for your batch processing as listed below.

• Import scripts allow you to automatically create documents and batches with custom applications or XML files. A sample XML Import Connector application is provided with Kofax Capture. Refer to Appendix B – Using the



XML Import Connector Feature on page 273 for information about XML Import Connector.

• Validation scripts are used by the Validation module to validate data. For example, you might write a validation script that does a database query to make certain that an index field was entered correctly. Refer to Validation Scripts on page 60.

• Recognition scripts are used to modify data in the Recognition Server module. For example, you might write a recognition script that retrieves zone snippets from each image in a batch and extracts data from them via a custom recognition engine.

• Release scripts are used to export images and data to long-term storage after all Kofax Capture processing is finished. For example, the standard release scripts provided with Kofax Capture export images to a folder and data to either a database or a text file. Refer to Release Scripts on page 62.

Validation scripts and recognition scripts are written with either Visual Basic .NET (VB .NET) or the Softbridge Basic Language (SBL). SBL is incorporated into the Administration module. Release scripts are typically written in Visual Basic, but can also be written with any tool that supports the development of COM servers.

You can also create applications such as custom modules and workflow agents.

• Custom modules are used to perform tasks such as document separation, page registration, form identification, automatic or manual indexing, verification, or full text OCR in ways that are unique to your company.

• Workflow agents are used to examine and modify batch data, as well as change the routing (next module) and status for the batch.

Kofax Capture ValuesKofax Capture supports a set of macros that produce results based on the current Kofax Capture environment. These macros, called Kofax Capture Values, can be used to fill batch fields, index fields, endorser strings, and/or release values.

For example, the Kofax Capture Value “{Batch Name}” produces the name of the current batch. If your processing requirements dictate that the names of your batches be released with your batches, you might use {Batch Name} as the default value for a batch field that you release with each batch.

Kofax Capture Values are “expanded” during processing and returned when the appropriate information becomes available. For example, the name of a batch is available when the batch is scanned because that is when the information is specified.

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A partial list of Kofax Capture Values is shown below. Refer to your Kofax Capture online Help for a complete list of the values.

Scanner ProfilesA convenient way to preserve and reuse a set of scanner or import settings is to save them to a scanner profile. Then, whenever you want to use the settings, you can just load the desired profile.

Scanner profiles are used with any module from which you can create batches or scan/import documents. For example, you can save, load,and delete a scanner profile from the Scan and Quality Control modules when you create batches or add pages to batches. You can also save, load,and delete scanner profiles from the Administration module, and use them to scan or import sample pages.

If you save your settings to a profile with the same name as a batch class, that profile will automatically be loaded whenever you create batches based on that batch class.

Sharing Scanner Profiles

You can save profiles to a shared location on the network and make them available to other users.

To share scanner profiles, select Scan | Scanner Profiles | Save Profiles as Shared.

Note If User Profiles is enabled, make sure that you have selected the “Allow admin utility usage” setting. Only users with rights to access Administrative Utilities can save local profiles as shared or revert to shared profiles.

{Batch Creation Date} The date the current batch was created.

{Batch Creation Time} The time the current batch was created.

{Batch Creator’s Station ID} Kofax Capture Station ID of the computer where the batch was created.

{First Page Endorsing String} The endorsing string (prefix plus counter). Not used by Kodak scanners, except for models DS 1500, 2500, and 3520.



When you select a scan source, a Kofax Capture module normally uses a shared profile. A scan source only uses local profiles if any of the following are true:

• Shared profiles do not exist for the selected scan source.• The local set of profiles was inherited from the set of shared profiles, but the

set has been modified locally. A set of profiles, for a given scan source, is considered modified if you have:

Modified and saved or deleted one or more scanner profiles.Saved VRS settings.

• The local set of profiles was not inherited from the set of shared profiles for the selected scanner. This could happen if local profiles existed prior to an upgrade or a standalone conversion to a remote site.

If you have modified a local scanner profile and you want to undo the modifications, you can revert the local profile to the shared profile’s settings.

To remove local changes, from any Scan menu, select “Revert to Shared Profiles.”

Scanner Profile Locations

The profile storage location is a hierarchical set of folders organized by scan source. Scanner profiles, including VRS profiles, are stored in a folder specific to the scan source and can either be local or shared. Local profiles are stored in the “ScannerProfiles” folder beneath the Kofax Capture <LocalPath> folder. Shared profiles are stored in the “SharedScannerProfiles” folder beneath the Kofax Capture <ServerPath> folder.

Note On a standalone installation, shared profiles are not enabled and the shared profiles folder does not exist.

VirtualReScan (VRS) Scanner Profiles

VRS scanner profiles contain advanced scanner settings and are stored to the folder for the current scan source, alongside the scanner profiles. When you save a regular scanner profile, it automatically saves the current VRS settings to a VRS profile of the same name. If you are using a VRS-ready scanner, Kofax Capture automatically loads VRS scanner profiles with the same name as a batch class.

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Automatic Batch Separation (Unattended Mode)Kofax Capture supports automatic batch separation, which is the ability to separate documents into batches at scan time. The batches are separated by special batch separator sheets that contain a patch code reserved for batch separation. Each batch is automatically named based on a batch name format defined in the Batch Class Properties dialog box – Batch Naming tab. This automatically generated batch name will be applied to all batches created in the unattended mode. Each batch name must be unique. Refer to Automatic Batch Names on page 103 for more information about batch naming.

The general, the preliminary steps for using this feature include:

• Reserving a patch code for batch separation purposes when you define your batch classes from the Administration module.

• Creating batch separator sheets with the Separator Sheet Utility. The separator sheets will contain the reserved patch code, which will trigger the start of a new batch during scanning.

• Providing the batch separator sheets to your scan operators, who can insert them into stacks of documents to be scanned.

Then, from the Scan module, your scan operator can create/open a batch, select the desired options, load the stack of documents into the scanner’s hopper, and enable “Unattended mode.” As the stack of documents is scanned, the batch separator sheets will trigger the start of a new batch.

Refer to the Kofax Capture online Help for more details about using this feature. Refer to Separator Sheet Utility on page 29 for more information about the Separator Sheet Utility and Scan Module on page 16 for more information about the Scan module.


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User Management

IntroductionThis chapter explains the various user management capabilities of Kofax Capture.

User management is an umbrella term for a set of features that allows you to:

• Create users or groups• Use domain users or groups (Centralized User Management)• Assign users or groups to Kofax Capture modules• Assign batch classes to users or groups• Permit specified users or groups to edit batches• Require a user ID and optional password (user profiles only)• Track user activity

An administrator can manage Kofax Capture access and activity by setting up accounts or “profiles” for each user and for groups of users. Each profile defines a Kofax Capture login ID and specifies the modules and batch classes to which the user is allowed access. The profile also defines the administrative functions to which the user has rights.

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Additionally, the administrator can set up profiles to assign access rights to multiple users. The implementation of user profiles is an optional feature that is enabled from the User Profiles dialog box.

Figure 4-1. User Profiles Dialog Box with User Profiles Disabled

These features help you improve productivity by assigning specific batch classes and tasks to designated users, set the overall level of access you need for your Kofax Capture system, and track user activity.

In addition to the above capabilities, you can also take advantage of the Centralized User Management feature. Centralized User Management allows you to:

• Link Kofax Capture to domain users or groups• Automatically log in to Kofax Capture modules once you have logged in to

your operating system (Single Sign On feature)• Automatically log in to modules from a script• Automatically log in to modules when using Kofax Capture Import Connector

– XML

User Management


You may elect to use SecurityBoost, which enhances the security of Kofax Capture files and folders. Refer to the online Help for more information about SecurityBoost.

User and Group ProfilesTo take advantage of any of the Kofax Capture user management features, you must first enable the User Profiles feature. You can turn this feature on and off as required. Enabling User Profiles triggers the display of a username/password prompt when each Kofax Capture module is started.

Once you set them, user and group profile settings will be retained until you change them. If you disable the User Profiles feature, and later enable it again, all your previous settings will be restored and enforced.

Warning If you set a password for the Admin user and later forget the password (and the Admin user is the only user with rights to the Administration module), you won’t be able to disable User Profiles because you won’t be able to start the Administration module. And, because there is no way to recover or reset the password without accessing the Administration module, you will have to uninstall, then reinstall Kofax Capture (which will reset the Admin password back to <blank>), and you will lose your batch classes and any batches that were in progress at the time of the uninstall.

User Versus Group Profiles

In Kofax Capture, users or groups can be given profiles that regulate access to the modules and batch classes. The profile also defines access to various administrative functions.

A user profile is a collection of permission and assignment settings that are assigned to an individual Kofax Capture user.

A group profile is a collection of permission and assignment settings that are assigned to a Kofax Capture group. A group may consist of any number of Kofax Capture users, and users can be members of any number of groups.

Groups can be assigned the same types of access rights as users, and all members inherit the group’s rights. Because these rights are inherited, you can quickly change the settings for all the members in a group simply by editing the group profile. For large groups, this simplifies the maintenance of user rights and ensures consistency.

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Note Permissions are additive: an individual user of Kofax Capture has all the permissions granted by the user profile plus those in all the assigned group profiles.

Default Profiles

When you enable the User Profiles feature for the first time, two default profiles are already in place: the “Admin” user profile and the “(Everyone)” group profile. You cannot remove these profiles, but you can modify them.

The Admin profile is intended to be used by the Kofax Capture administrator, who typically is responsible for setting up and maintaining profiles. By default, every new user profile is automatically assigned to the “(Everyone)” group. As a result, each new user inherits the rights that are assigned to the “(Everyone)” group, in addition to the rights assigned in the user profile.

For example, a user whose user profile does not allow access to the Scan module might still be able to use it. This would occur if the user is a member of a group profile, such as “(Everyone),” for which access to the Scan module is allowed.

By default, the “(Everyone)” group is allowed rights to every batch class and every Kofax Capture module. If desired, you can use the Group Profile Properties dialog box to restrict the batch class and module assignments for the “(Everyone)” group.

Enabling the User Profiles Feature

With user profiles enabled, all access rights defined in user profiles and group profiles become effective. As a result, users may be prompted for a user ID and password when they start a Kofax Capture module. When they enter the valid information, they are granted access to the module, provided the module is included in their user profile or group profile assignments. Once saved, the User Profiles feature goes into effect for the entire Kofax Capture system.

Note When you initially install Kofax Capture, the User Profiles feature is disabled.

When the User Profiles feature is disabled, users are not required to log in when they launch a Kofax Capture module. As a result, no restrictions are placed on their access to batch classes, modules, or Kofax Capture administrative functions.

To enable the User Profiles feature

1 Start the Kofax Capture Administration module.

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2 From the Edit menu, select User Profiles. The User Profiles dialog box (shown in Figure 4-2) will display.

Figure 4-2. User Profiles Dialog Box with User Profiles Enabled

3 Select the Enable User Profiles check box. Once the box is checked, Admin becomes the active user and Everyone the active group. All the user and group options become available, and you can follow the instructions in the rest of this chapter to create additional user and group profiles.

4 Click Save, and one of the following will happen:• If the Admin user has a blank password, the save will take place. Click

Close to close the User Profiles dialog box.• If the Admin user has a password set, the Enable User Profiles

authentication dialog box will display (see Figure 4-3). From the list of users that have access rights to the Administration module, select a user

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and enter the correct password for the selected user. Click OK, and the save will take place.

Figure 4-3. Enable User Profiles Dialog Box

Note As soon as your entries are saved, all profile assignments associated with the other Kofax Capture modules go into effect. Any assignments associated with the Kofax Capture Administration module become effective when you close the module.

5 Click Close to close the User Profiles dialog box.

Disabling the User Profiles Feature

This section tells you how to disable user profiles. If you disable user profiles, all existing user and group profile assignments will be ignored. If you subsequently enable user profiles again, your previous settings will be restored.

To disable user profiles


2 From the Edit menu, select User Profiles. The User Profiles dialog box will display.

3 Clear the Enable User Profiles check box to disable the User Profiles feature.

4 Click Save.

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Note As soon as you click Save, all assignments associated with the other Kofax Capture modules become disabled. Assignments associated with the Kofax Capture Administration module become disabled when you close the module.

5 Click Close.

Working with User Profiles

Once you have decided to use user profiles, a number of management and maintenance tasks require ongoing attention. Among these are:

• Adding user profiles• Copying user profiles• Editing user profiles• Deleting user profiles

These tasks are performed with the User Profiles dialog box.

Adding a User Profile

This section explains how to use the User Profile Properties dialog box to add a user profile. Starting with the General tab in the User Profile Properties dialog box, the basic procedure is listed below.

To add a user profile

1 From the User Profiles dialog box, place your cursor in the Users list and do one of the following:• Click New.• Right-click to display the context menu, and select New.

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The User Profile Properties dialog box will display.

Figure 4-4. User Profile Properties Dialog Box

2 From the General tab, make the following selections:a Enter the Kofax Capture login name for the user in the User ID field. The

field length must be from 3 to 20 characters. The entry is not case-sensitive.b Enter the name of the user in the Name field. The maximum field length

is 32 characters. This entry is optional.c Enter descriptive text, such as “Scan Operator,” in the Description field.

The maximum length is 80 characters. This entry is optional.d Enter a password in the Password field. The field length must be from 4

to 14 characters, and is case-sensitive. The password is optional.e Enter the password again in the Confirm Password field.f Select “Allow Administration module access” if you want the user to have

access to the Kofax Capture Administration module. g Select “Allow admin utility usage” if you want the user to have access to

various administrative utilities, such as the Database Utility. h Select “Allow batch editing in Validation and Verification” to allow the

user to edit batches in the Validation and Verification modules.

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Note Selecting this option only gives editing rights to the user. To actually enable batch editing for the Validation and/or Verification modules, you must also enable the “Allow batch editing” option for those modules from the Queues tab in the Batch Class Properties dialog box.

i Select “Allow Report Viewer module access” to allow the user to use the Report View module.

3 Select the batch classes to which you want the user to have access. You can do this at a later time if desired.a Click the Assigned Batch Classes tab.b From the Available list, select each batch class to which you want the user

to have access.c Use the following buttons as appropriate:

Add: Add the selected item to the Assigned listAdd All: Add all the items to the Assigned listRemove: Remove the selected item from the Assigned listRemove All: Remove all the items from the Assigned list

4 Select the Kofax Capture modules to which you want the user to have access. You can do this at a later time if desired.a Click the Assigned Modules tab.b From the Available list, select each module to which you want the user to

have access. c Use the following buttons as appropriate:


5 Select the groups to which you want the user to belong. You can do this at a later time if desired.a Click the Group Members tab.b From the Available list, select each group that you want to add.

Note Each group name on the list represents a group profile.

c Use the following buttons as appropriate:

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Note The “(Everyone)” group is not listed in the Group Members tab. By default new users are added to the “(Everyone)” group.

6 Click Close.

Copying a User Profile

Use this procedure to duplicate an existing user profile. This is useful for adding a user profile that is similar to an existing one. After making the copy, you can modify the profile as necessary to make it unique.

To copy a user profile

1 From the User Profiles dialog box, select the user profile that you want to copy and do one of the following:• Click Copy.• Right-click to display the context menu, and select Copy.

The User Profile Properties dialog box will display, listing the same batch class, module, and group assignments as the profile you copied.

2 From the General tab, assign a unique user ID (the user name, description, and password are optional). Then select the appropriate options for the new user profile.

3 Review the selections on the Assigned Batch Classes, Assigned Modules, and Group Members tabs, and update them as appropriate for the new user profile.

4 Click Close.

Editing a User Profile

Use this procedure to update an existing user profile. This is useful for changing assignments and access rights.

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To edit a user profile

1 From the User Profiles dialog box, select the user profile that you want to modify and do one of the following:• Click Edit.• Right-click to display the context menu, and select Edit.


Figure 4-5. User Profile Properties Dialog Box

2 As appropriate, review and update the selections on the General, Assigned Batch Classes, Assigned Modules, and Group Members tabs.

3 Click OK.

Note Whenever you edit a user profile, the password fields will display a row of asterisks to conceal the content and length of the password. The number of asterisks does not reflect the true length of the password, and will appear even if there is no password.

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Deleting a User Profile

Use this procedure to delete a user profile. You cannot delete the “Admin” user profile that is initially created by Kofax Capture.

To delete a user profile

1 From the User Profiles dialog box, select the user profile that you want to remove.

2 Do one of the following:• Click Delete.• Right-click to display the context menu, and select Delete.

A confirmation dialog box will display.

Figure 4-6. Deleting a User Profile

3 Click Yes. The profile name clears from the Users list. The user ID for the profile is also removed from all groups to which it was assigned.

4 Click Close.

Working with Group Profiles

Once you have decided to use group profiles, a number of management and maintenance tasks require ongoing attention. Among these are:

• Adding group profiles• Copying group profiles• Editing group profiles• Deleting group profiles

These tasks are performed with the Group Profiles dialog box.

User Management


Adding a Group Profile

This section explains how to use the Group Profile Properties dialog box to add a group profile. Starting with the General tab in the Group Profile Properties dialog box, the basic procedure is listed below.

To add a group profile

1 From the User Profiles dialog box, place your cursor in the Groups list and do one of the following:• Click New.• Right-click to display the context menu, and select New.

The Group Profile Properties dialog box will display.

Figure 4-7. Group Profile Properties Dialog Box

2 Click the General tab and make the following selections:a Enter a name for the group in the Name field. The maximum length is 32

characters. The entry is not case-sensitive, and it is required.b Enter descriptive text, such as “Scan Operators,” in the Description field.

The maximum length is 80 characters. The entry is optional.c Select “Allow Administration module access” if you want the group

members to have access to the Kofax Capture Administration module.

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d Select “Allow admin utility usage” to allow the group members to have access to various administrative utilities.

e Select “Allow batch editing in Validation and Verification” to allow the group members to edit batches in the Validation and Verification modules.

Note Selecting this option only gives editing rights to the group. To actually enable batch editing for the Validation and/or Verification modules, you must also enable the “Allow batch editing” option for those modules from the Queues tab in the Batch Class Properties dialog box.

f Select “Allow Report Viewer module access” to allow the group members to use the Report View module.

3 Select the batch classes to which you want the group to have access. You can do this at a later time if desired.a Click the Assigned Batch Classes tab.b From the Available list, select each batch class to which you want the

group members to have access.c Use the following buttons as appropriate:


4 Select the Kofax Capture modules to which you want the group to have access. You can do this at a later time if desired.a Click the Assigned Modules tab.b From the Available list, select each module to which you want the group

members to have access.c Use the following buttons as appropriate:


5 Select the members that you want to add to the group. You can do this at a later time if desired.a Click the Members tab.

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b From the Available list, select each user that you want to add to the group.

Note Each user ID on the list represents a user profile.

c Use the following buttons as appropriate: Add: Add the selected item to the Assigned listAdd All: Add all the items to the Assigned listRemove: Remove the selected item from the Assigned listRemove All: Remove all the items from the Assigned list

Note The “(Everyone)” group is not listed on the Members tab. By default, new users are added to the “(Everyone)” group.

6 Click Close.

Copying a Group Profile

Use this procedure to duplicate an existing group profile. This is useful for adding a group profile that is similar to an existing one. After making the copy, you can modify the profile as necessary to make it unique.

To copy a group profile

1 From the User Profiles dialog box, select the group profile that you want to copy and do one of the following:• Click Copy.• Right-click to display the context menu, and select Copy.

The Group Profile Properties dialog box will display, listing the same batch class, module, and member assignments as the profile you copied.

2 From the General tab, assign a unique name for the group profile. If desired, include a description.

3 Select the appropriate options for the new group profile.

4 Review the selections on the Assigned Batch Classes, Assigned Modules, and Members tabs, and update them as appropriate for the new group profile.

5 Click OK.

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Editing a Group Profile

Use this procedure to update an existing group profile. This is useful for changing assignments and access rights.

To edit a group profile

1 From the User Profiles dialog box, select the group profile that you want to modify and do one of the following:• Click Edit. • Right-click to display the context menu, and select Edit.


2 As appropriate, review and update the selections on the General, Assigned Batch Classes, Assigned Modules, and Members tabs.

3 Click OK.

Deleting a Group Profile

Use this procedure to delete a group profile. You cannot delete the “(Everyone)” group profile that is initially created by Kofax Capture.

To delete a group profile

1 From the User Profiles dialog box, select the group profile that you want to remove.

Note You cannot delete the “(Everyone)” profile.

2 Do one of the following:• Click Delete. • Right-click to display the context menu, and select Delete.

A confirmation dialog box will display.

Figure 4-8. Deleting a Group Profile

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3 Click Yes. The group profile name clears from the Groups list. The group name for the profile is also removed from all user profiles to which it was assigned.

4 Click Close.

Centralized User ManagementIn Kofax Capture, you can manage your user and group profiles locally (from within Kofax Capture), centrally (using operating system tools or utilities), or using a combination of both methods. These choices allow you to manage your users and groups in the most effective or efficient manner that meets your needs.

Local Versus Centralized User Management

As you work with your user and group profiles, you need to determine which management method works best for you. The following sections will help you make this decision.

Local User Management

If your users and groups are unique to your Kofax Capture system, and will never be visible to applications outside of Kofax Capture, you should create and manage these users and groups exclusively within the Kofax Capture Administration module. Kofax Capture provides a rich set of features for this purpose.

This is “Local User Management,” and is best suited for smaller installations, or for customers who need to isolate their Kofax Capture users and groups in a controlled environment.

Centralized User Management

On the other hand, if there is no particular need for such isolation, you can create and manage your users and groups using the features and utilities provided by your operating system.

You can link Kofax Capture to your domain users and groups using the Centralized User Management feature. Once this link has been established, Kofax Capture will automatically stay synchronized with your domain user and group accounts. This allows you to escape the tedium of replicating and updating dozens or hundreds of users across two working environments.

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In addition, by linking already existing domain users or groups to Kofax Capture, your users can employ a single password for both Kofax Capture and the network.

Centralized User Management is best suited to large organizations with many users or groups, or for customers who do not want to maintain multiple passwords or multiple lists of users or groups. We suggest you link only groups. This simplifies your maintenance tasks, and makes it easier to give large numbers of users the same profile settings.

Linking Domain Users or Groups

The Kofax Capture Administration module can be used to establish links to domain groups and users (centralized management).

Managing Links to Domain Users or Groups

Follow these procedures to manage your links to domain groups or users. The following procedures assume that you have sufficient administrative privileges to see all the groups and users in your domain.

To link domain users or groups

1 If necessary, create users or groups with access to the desired domain.


3 From the User Profiles dialog box, click Link to open the Microsoft Windows standard Select Users or Groups dialog box.

4 Use the Select Users or Groups dialog box to select the desired domain users or groups. Computers may not be linked to Kofax Capture. Refer to the documentation provided by Microsoft for more information about using this dialog box.

5 Click OK.

To unlink domain users or groups


2 From the User Profiles dialog box, select the user or group you wish to unlink.

3 Click the Delete button. Deleting this link will not affect domain user or group accounts.

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Note Wherever a linked domain user ID is displayed in Kofax Capture, it is preceded by the user’s domain and a backslash (\). For example, if the user ID is “JDoe” and the domain name is “Kofax”, the user ID is displayed as “Kofax\JDoe”. Likewise, a linked domain group is displayed with the group’s domain and a backslash.

User and Group Icons

The following icons are used in various Kofax Capture dialog boxes to distinguish among different types of users and groups.

Table 4-1. User Icons

Icon Description

The Kofax Capture default user. The only user with this icon is “Admin.”

A Kofax Capture user (a user with a user profile).

A domain user (a user set up with your operating system tools).

A domain user at a location that is not currently connected to the Kofax Capture system (colors are faded).

Table 4-2. Group Icons

Icon Description

The Kofax Capture default group. The only group with this icon is “(Everyone).”

A Kofax Capture group.

A domain group.

A domain group at a location that is that is not currently connected to the Kofax Capture system (colors are faded).

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Centralized User Management Link Verification

If you have linked Kofax Capture to your domain users or groups, you will need to synchronize with your operating system. Synchronization with the domain is automatically performed each time you open the User Profiles dialog box, and is maintained according to the following rules:

• If there are any previously linked domain users or groups that have been renamed or deleted from the domain, those users or groups are also automatically removed from Kofax Capture. For each domain user or group removed, an entry is written to the Kofax Capture error log at the next synchronization.

• If you have a domain server (with domain users or groups that are linked to Kofax Capture) that is not connected to the Kofax Capture system, a message will inform you that these users and groups are not accessible. Furthermore, the “not currently connected” icon appears next to their names in the User Profiles dialog box.

Note You can still edit the Kofax Capture permissions for “not connected” users or groups.

Making User and Group Profile AssignmentsOnce you have added, and if necessary linked, your user and group profiles, you can assign various access rights to these profiles. Specifically you can:

• Identify and assign general permissions to users• Assign batch classes to users• Assign Kofax Capture modules to users• Identify and assign general permissions to groups• Assign users to groups• Assign batch classes to groups• Assign Kofax Capture modules to groups• Assign members to groups• Select default groups for new batch classes

User Profiles

The following assignments and settings can be applied to user profiles.

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Identifying and Assigning General Permissions to Users

From the General tab (shown in Figure 4-2 on page 129), you enter the user’s identification details, and you can also assign certain administrative permissions.

To identify and assign general permissions to users:

1 From the User Profiles dialog box, select the user profile that you want to modify and do one of the following:• Click Edit.• Right-click to display the context menu, and select Edit.


2 Enter the Kofax Capture login name for the user in the User ID field. The field length must be from 3 to 20 characters. The entry is not case-sensitive.

3 Enter the name of the user in the Name field. The maximum field length is 32 characters. This entry is optional.

4 Enter descriptive text, such as “Scan Operator,” in the Description field. The maximum length is 80 characters. This entry is optional.

5 Enter a password in the Password field. The field length must be from 4 to 14 characters, and is not case-sensitive. The password is optional.

6 Enter the password again in the Confirm Password field.

7 Select “Allow Administration module access” if you want the user to have access to the Kofax Capture Administration module.

8 Select “Allow admin utility usage” if you want the user to have access to various administrative utilities, such as the Database Utility.

9 Select “Allow batch editing in Validation and Verification” to allow the user to edit batches in the Validation and Verification modules.

Note Selecting “Allow batch editing in Validation and Verification” only gives editing rights to the user. To actually enable batch editing for the Validation and/or Verification modules, you must also enable the “Allow batch editing” option for those modules from the Queues tab in the Batch Class Properties dialog box.

Assigning Batch Classes to Users

When setting up a user profile, use the Assigned Batch Classes tab on the User Profile Properties dialog box to specify the batch classes to which the user should have

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access. The batch classes are listed in the Available list. To give a user access to a batch class, you must move the batch class name from the Available list to the Assigned list.

Tip You can view the list of users/groups that are currently assigned to a particular batch class. To view the list, right-click on a batch class name in the Definitions panel to open the context menu. Then select Assigned User Profiles (also available from the Edit menu).

To assign batch classes to users

1 From the User Profiles dialog box, select the user profile that you want to modify and do one of the following:• Click Edit. • Right-click to display the context menu, and select Edit.


2 Click the Assigned Batch Classes tab.

Figure 4-9. Assigning Batch Classes to a User Profile

3 From the Available list, select each batch class to which you want the user to have access.

4 Use the following buttons as appropriate:

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5 Click OK.

Assigning Kofax Capture Modules to Users

Use the Assigned Modules tab on the User Profile Properties dialog box to specify the Kofax Capture modules to which the user should have access. To give a user access to a module, you must move the module name from the Available list to the Assigned list.

To assign modules to users

1 From the User Profiles dialog box, select the user profile that you want to modify and do one of the following:• Click Edit. • Right-click to display the context menu, and select Edit.


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2 Click the Assigned Modules tab.

Figure 4-10. Assigning Modules to a User Profile

3 From the Available list, select each module to which you want the user to have access.

4 Use the following buttons as appropriate: Add: Add the selected item to the Assigned listAdd All: Add all the items to the Assigned listRemove: Remove the selected item from the Assigned listRemove All: Remove all the items from the Assigned list

5 Click OK.

Assigning a User to One or More Groups

Use the Group Members tab on the User Profile Properties dialog box to assign a user to one or more groups. The Available list includes the name for each group profile (except the “(Everyone)” group). To assign a user to a group, you must move the group name to the Assigned list.

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To assign a user to one or more groups

1 From the User Profiles dialog box, select the user profile that you want to change and do one of the following:• Click Edit.• Right-click to display the context menu, and select Edit.


2 Click the Group Members tab.

Figure 4-11. Assigning Groups to a User Profile

3 From the Available list, select each group you want the user to join.

Note Each name on the list represents a group profile.


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Note The “(Everyone)” group is not listed in the Available list.

5 Click OK.

Group Assignments

The following assignments and settings can be applied to group profiles.

Identifying and Assigning General Permissions to Groups

From the General tab (shown in Figure 4-2 on page 129), you enter the group’s identification details, and you can also assign certain administrative permissions.

To identify and assign general permissions to groups:



2 Enter the name and description of the group in Name and Description fields.

3 Select “Allow Administration module access” if you want the group to have access to the Kofax Capture Administration module.

4 Select “Allow admin utility usage” if you want the group to have access to various administrative utilities, such as the Database Utility.

5 Select “Allow batch editing in Validation and Verification” to allow the group to edit batches in the Validation and Verification modules.

Note Selecting “Allow batch editing in Validation and Verification” only gives editing rights to the group. To actually enable batch editing for the Validation and/or Verification modules, you must also enable the “Allow batch editing” option for those modules from the Queues tab in the Batch Class Properties dialog box.

Assigning Batch Classes to Groups

When setting up a group profile, use the Assigned Batch Classes tab on the Group Profile Properties dialog box to specify the batch classes to which the group should have access. The batch classes are listed in the Available list. To give a group access to

User Management


a batch class, you must move the batch class name from the Available list to the Assigned list.

Tip You can view the list of users/groups that are currently assigned to a particular batch class. To view the list, right-click on a batch class name in the Definitions panel to open the context menu, and select Assigned User Profiles (also available from the Edit menu).

To assign batch classes to groups



2 Click the Assigned Batch Classes tab.

Figure 4-12. Assigning Batch Classes to a Group Profile

3 From the Available list, select each batch class to which you want the group to have access.


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5 Click OK.

Assigning Kofax Capture Modules to Groups

Use the Assigned Modules tab on the Group Profile Properties dialog box to specify the Kofax Capture modules to which the group should have access. The modules are listed in the Available modules list. To assign group access to a module, you must move the module name to the Assigned modules list.

To assign modules to groups



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2 Click the Assigned Modules tab.

Figure 4-13. Assigning Modules to a Group Profile

3 From the Available list, select each module to which you want the group to have access.


5 Click OK.

Assigning One or More Users to a Group

Use the Members tab on the Group Profile Properties dialog box to assign one or more users to a group. The Available list includes the name for each user profile. To assign a user to a group, you must move the user ID to the Assigned list.

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To assign one or more users to a group

1 From the User Profiles dialog box, select the group profile that you want to change and do one of the following:• Click Edit.• Right-click to display the context menu, and select Edit.


Figure 4-14. Assigning Users to a Group Profile

2 Click the Members tab.

3 From the Available list, select each user ID that you want to add to the group.

Note Each user ID on the list represents a user profile.


Add: Add the selected item to the Assigned list

Add All: Add all the items to the Assigned list

Remove: Remove the selected item from the Assigned list

Remove All: Remove all the items from the Assigned list

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Note The “(Everyone)” group is not listed in the Assigned list.

5 Click OK.

Selecting Default Groups for New Batch Classes

From the User Profiles dialog box, you select a group profile that will automatically be assigned to each new batch class created in the Kofax Capture Administration module. By default, the selection is “(Everyone).” You can change the selection to “(None)” or to any other group profile.

To select a default user group profile


2 From the Edit menu, select User Profiles. The User Profiles dialog box will display.

3 Select the Enable User Profiles check box, if necessary.

4 In the Default user group for new batch classes field, select the group profile that will automatically be assigned to each new user profile. If desired, you can select “(None).”

5 Click Save.

Note As soon as you click Save, all profile assignments associated with all the Kofax Capture modules, except the Administration module, go into effect. Any assignments associated with the Administration module become effective when you close the Administration module.

6 Click Close.

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Checking Batch Class AssignmentsFrom the Administration module, you can quickly look up the users and groups that are assigned to work on batches based on a particular batch class. The assignment information appears in the Assigned Profiles dialog box. If desired, you can change the assignments for the batch class.

Note You cannot open the Assigned User Profiles dialog box unless the User Profiles feature is enabled from the User Profiles dialog box.

To look up the users/groups assigned to a batch class

1 Start the Administration module.

2 From the Batch Contents tree view, select the name of the batch class for which you want to look up the user/group assignments.

3 Do one of the following:• Right-click to open the context menu and select Assigned User Profiles.• From the Edit menu, select Assigned User Profiles.

The Assigned Profiles dialog box will display.

Figure 4-15. Checking Batch Class User Assignments

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4 Select the Groups tab to view the list of groups currently assigned to work on the batch class.

Figure 4-16. Checking Batch Class Group Assignments

5 If desired, use the button controls to update the list of currently assigned users and/or groups for the batch class. From the Users tab or the Groups tab, use the button controls as appropriate:

Add: Add the selected item to the Assigned list

Add All: Add all the items to the Assigned list

Remove: Remove the selected item from the Assigned list

Remove All: Remove all the items from the Assigned list

6 Click Apply to save the changes without closing the dialog box.

7 Click OK to save the changes and close the dialog box.

Note The user/group profile settings are updated with any changes you make to the Assigned Profiles dialog box.

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Tracking User ActivityKofax Capture can track activity for each user. Kofax Capture will maintain statistical records with information about users, documents, keystrokes, and other common activities.

When you enable the User Tracking feature, Kofax Capture tracks user activity in a number of database tables. The tables contain statistical records that are generated as a user creates and updates Kofax Capture batches and opens/closes processing modules. The records track information about various items such as user actions, documents, and keystrokes.

Depending on the database option you are using, tracking statistics are stored in the standard Kofax Capture database, SQL Server, Oracle, or IBM DB2 database. Refer to the online Help for more information about selecting different databases.

When you install Kofax Capture for the first time, the statistics tables are initially empty.

User Productivity Reporting

The User Productivity report allows you to evaluate the efficiency of each user based on keystrokes, volume, and processing times. This report is available in the Report Viewer module.

Tracking Linked Users

If the User Tracking and User Profile features are enabled, statistics are maintained for linked domain users in the same manner as for Kofax Capture users.

Enabling and Disabling the User Tracking Feature

When you enable the User Tracking feature, it goes into effect for every user at your Kofax Capture installation. You enable user tracking from the Edit menu in the Kofax Capture Administration module. By default, this feature is disabled.

Note When the User Profiles feature is enabled, users who have rights to the Kofax Capture Administration module can enable or disable the User Tracking feature.

To enable User Tracking


User Management


2 From the Edit menu, select User Tracking. A check mark appears next to the menu item to indicate that the feature is enabled.

To disable User Tracking


2 From the Edit menu, select the User Tracking item. The check mark is removed from the menu item to indicate that the feature is disabled.

User Tracking DataThis section provides information about user tracking data as it is stored in a database by Kofax Capture. For detailed information about the database schema, see the Online Help.

User Activity Records

When User Tracking is enabled, user activity records are maintained in the following four database tables:

• StatsBatch• StatsBatchModule• StatsFormType• StatsModuleLaunch

Warning Do not alter the structure of these tables or their fields. If you alter the table/field structure you risk permanently losing data, and causing errors in Kofax Capture that may be extremely difficult to diagnose.

User Tracking Data Tables

Depending on your database selection, user tracking data will be stored in different locations. The data schema and table structures remain the same, regardless of the storage location.

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Note The Stats.mdb file is deprecated and may not be supported in future versions of Kofax Capture. It is retained in this version for legacy compatibility only. If you are currently using Microsoft Access (or something similar) for custom reports, you may continue to do so. Kofax strongly recommends that you use the database connection method described in custom reports for all your reporting needs. Not only does this method provide better performance, it also enables access to several new database views that make it easier to generate custom reports.

Standard Option

If you are using the Standard option, your user tracking data is stored in several database tables. You may access these tables using the Stats.mdb file that Kofax Capture creates during installation. The Stats.mdb file does not actually contain any data. Instead, it contains pre-defined links to the statistics tables stored in the Kofax Capture system database.

You can use Microsoft Access or any number of other compatible reporting applications to view the user tracking data.

Note that, regardless of the location of Stats.mdb, you must open it from the workstation with the Kofax Capture installation. If you attempt to open it from another workstation you will receive an error, or if there is another Kofax Capture installation on the other workstation, Stats.mdb will point to the data on that workstation.

If you upgraded to Kofax Capture from an earlier version, any merged statistics data from your prior release is carried over to the new version. However, any macros or queries that you may have had in Stats.mdb will not be brought over.

If you wish to recover such items, you can locate them in Stats.mdb in the appropriate archive folder corresponding to their old release. For example, this is usually a subfolder in the Kofax Capture server files folder with a name similar to Kofaxnn, where nn corresponds to the version number of your previous installation.

Stats.mdb, when opened with Access, has a custom menu selection, “Statistics,” with a Delete item. The Delete menu item allows you to delete accumulated statistics from the database. You should periodically delete the statistics data. The total size of all statistics, administration, and batch catalog information is limited to 2GB. This is a large limit, but could be exceeded over a long period of time on a heavily used system.

You may delete statistics from the database directly from Stats.mdb, as described above, but you may also delete them through the Reports Viewer. The Reports Viewer

User Management


lets you decide which statistics to delete. When editing Stats.mdb directly, you cannot select which statistics to delete; instead, all statistics records will be deleted. Additionally when editing Stats.mdb, no utilities are provided to selectively backup or copy specific statistics. If you want to do this, you must implement such capabilities yourself.

Note Kofax suggests that you archive these records to a safe location prior to deleting them.

Other Database Options

If you are using the SQL Server, Oracle, or IBM DB2 database option, your user tracking data is stored in tables in your selected database.

If you elect to use Kofax Capture with any of the above mentioned databases, you should be familiar with that database system and how to access it from your client tools. If necessary, contact your system administrator for details.

The user tracking statistics are stored in the server and database you specified when switching to or setting up your database (SQL Server, Oracle, or IBM DB2) for use with Kofax Capture. The structures for these tables are identical to those used with the standard Kofax Capture database. To delete unwanted statistics records, create your own SQL statements or execute the predefined stored procedure called “ClearStats.”

Note When using SQL Server, Oracle, or IBM DB2, the Kofax-provided Access interface is not supported.

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Chapter 5

Managing Your Kofax CaptureEnvironment

IntroductionThis chapter covers the following topics, which contain information about maintaining your Kofax Capture installation and environment.

• Reviewing the system and processing module log files• Using the database and license utilities• Using SecurityBoost

Log FilesKofax Capture generates log files when certain events occur. For example, whenever you delete a batch, information about that batch is stored in a deleted batches log file.

Log files are stored in your installation folder. As part of standard system maintenance, you should back up or purge these log files as appropriate. The following sections describe the log files generated by Kofax Capture.

System Log Files

Whenever a batch is deleted in Kofax Capture, information about the batch is stored in a deleted batches log file. Should errors occur while running Kofax Capture, error information is logged to an error log file. The names of these files are shown below:

Deleted batches log file Log_yymm.txtHistory log file Bat_yymm.txtError log file Err_yymm.txt

where yy is the last two digits of the year and mm is a two-digit number representing the month in which the information is logged.

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Note All the data from the Deleted batches and History log files is now recorded in the Stats.mdb database, so although the files are obsolete they remain for legacy reporting and backward compatibility only. We strongly recommend that you rely only on the database for information retrieval. (Obsolete files may not be included in future Kofax Capture versions.)

For any given month and year, the appropriate log file is created as soon as a batch is deleted or an error occurs. Then, information about all batches deleted or errors that occur in the same year and month is appended to the appropriate file.

System log files are stored in your installation folder. As part of standard system maintenance, you should back up or purge these log files as appropriate.

Deleted Batches Log File

Whenever a batch is deleted, information about the batch is stored in the deleted batches log file. The name of this file is Log_yymm.txt, where yy is the last two digits of the year and mm is a two-digit number representing the month that the information is logged. Note that batches can be deleted from the Scan module, the Validation or Verification modules (in batch editing mode), the Quality Control module, or from Batch Manager.

The information logged to the deleted batches log file is shown below.

“01”,“batch name”, “batch description”

“02”,“batch creation station ID”, “batch creation date”, “batch creation time”

“03”,“expected number of documents in batch”, “expected number of pages in batch”, “pages per document”, “document separation”, (Described below) “save document separators”, (Described below) “actual documents in batch”, “actual pages in batch”

“04”,“batch class name”, “batch class description”

“05”,“queue start date”, “queue start time”, “queue end date”,

Managing Your Kofax Capture Environment


“queue end time”, “queue process name”, “queue termination state”, (Described below) “station ID”, “queue termination error code”, (Described below) “error text”, “keystroke count - manual index fields”, “keystroke count - corrections to OCR index fields”, “keystroke count - corrections to ICR index fields”, “keystroke count - corrections to bar code fields”, “keystroke count - corrections to OMR index fields”,”error state”

Document separation states:

0 Separator sheets not used1 Separator sheets used

Save document separator states:

2 Standalone separator sheet checked3 Standalone separator sheet not checked

Queue termination states:

2 Batch is ready4 Batch is in progress8 Batch was suspended32 Queue put batch in error state64 Queue completed processing batch128 Batch status assigned as “reserved”

Error states:

0 No errors1 Contains errors

Keystroke counts include most keystrokes, with the following exceptions: Control, Shift, Alt, and any key combination that is a shortcut for a menu or other standard Windows operation.

The “contains errors” value is used to indicate a batch that is forwarded, even though it contains rejected documents or pages. This occurs when the Partial Batch Release feature is enabled.

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An example of information stored to a deleted batches log file is shown in Figure 5-1. Due to page size constraints, the example log entries are shown on multiple lines. Each deleted batch entry is actually logged as a single line in the deleted batches file.

“01”,”Batch Test”,”Deleted batches log information.”

“02”,”John Devan”,”2005-02-16”,”17:20:51”“03”,”0”,”0”,”0”,”1”,”1”,”3”,”6”

“04”,”Tax Formalistic 2003 tax forms.”

“05”,”2005-02-16”,”17:20:51”,”2005-02-16”,”17:23:04”,”Scan”,“64”,”John Devan”,”0”,”Devan”,”0”,””,”0”,”0”,”0”,”0”,”0”,”0”

“05”,”2005-02-16”,”17:24:13”,”2005-02-16”, “17:32:12”,”Validation”,

“64”,”Bob Jones”,”0”,”Jones”,”0”,””,”0”,”0”,”0”,”0”,”0”,”1”“05”,”2005-02-16”,”17:32:14”,”2005-02-16”,”17:33:07”,”Release”,

“64”,”Sue Brown”,”0”,”Brown”,”0”,””,”0”,”0”,”0”,”0”,”0”,”0”

Figure 5-1. Deleted Batches Log File Example

History Log File

Whenever you log information about batches from Batch Manager, history information is stored in a batch history log file. You log information by selecting the Log option from the File menu in Batch Manager. The name of the batch history log file is Bat_yymm.txt, where yy is the last two digits of the year and mm is a two-digit number representing the month that the information is logged. The information is the same as that logged for the deleted batches log file, which is automatically generated whenever a batch is deleted or released. The batch history log differs only in its name, and in the fact that you can generate it while a batch is in progress. For more information, refer to the previous section, Deleted Batches Log File.

Error Log File

Should errors occur in any Kofax Capture module, error information is stored in an error log file. The name of this log file is Err_yymm.txt, where yy is the last two digits of the year and mm is a two-digit number representing the month that the information is logged.

Each error logged to the error log file includes the following information:

Date & timeError codeInternal package IDSpecific status1Specific status2Specific status3Module pathModule name



Station IDModule versionSource moduleLineError messageReturn ValueCall Stack Output (Used by Technical Support to troubleshoot problems.)

An example error entry is shown in Figure 5-2. Note that because of page size constraints, the example error is shown as multiple lines of information. Each error is actually logged as a single line in the error log file.

2007-06-04 10:51:26, 0x00000018, 0, 0x00000000, 0x00000001, 0x00000000,

C:\Program Files\Kofax\Capture\Bin, Administration, Greg F, 8.00.216.0, ReleaseScriptController.cpp, 1070, Error closing release script “Ascent

Capture Text” for batch class “Orders” and document class “Catalog

Orders.”, Return Value: 1816396200, === begin CallStack output ===77F97AC6:

WINNT\System32\ntdll.dll! ZwGetContextThread + 11 bytes=== end CallStack output ===

Figure 5-2. Error Log Entry Example

Processing Module Log Files

Some of the Kofax Capture modules support the ability to generate log files as shown below. These log files contain the results of processing through the module.

Recognition Server log file Fp.txt (this log file is enabled by default)OCR Full Text log file Ocr.txtKofax PDF Generator log file Kfxpdf.txtRelease log file Release.txt

To enable or disable logging results to a log file

1 Select Tools | Logging from the module’s menu bar.

2 Select “Log to File” to enable logging. Clear “Log to File” to disable logging.

When logging is enabled for a module, that module’s log file is created in your Kofax Capture Images folder (or in the image folder defined in the Batch Class Properties dialog box) as follows:

BatchNumber\Log\Module.txt

where BatchNumber is the number of a batch and Module is the identifier for the module. A separate log file will be available for each batch.

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The processing log files are temporary; that is, they are automatically deleted when the batch is released. You can review the log files for a batch as long as the batch is available to Kofax Capture. If desired, you can copy the files to a different folder if you want to review them after the batch is released.

06/04/07

07:00:33 PM Opened batch, name “Example”, class “Order Forms”

07:00:34 PM Opened document #1, class “Order Forms”, form “Northwest Order Forms (1)”

07:00:40 PM Enhanced document

07:00:41 PM Closed batch

Figure 5-3. Processing Log Example

About the Database UtilityThe Database Utility (DBUtil.exe) is an application used to perform a number of system maintenance and configuration tasks. The Database Utility can be used to:

• Switch between the Standard, SQL Server, Oracle, and IBM DB2 database configurations

• Enable SecurityBoost to provide enhanced Kofax Capture security• Edit site and station information• Modify batch release information for image files, Kofax PDF files, and OCR

full text files• Repair or compact the Standard or SQL Server databases



Database Utility User Interface

The Database Utility’s user interface provides options for making certain types of changes to your Kofax Capture processes.

Figure 5-4. Kofax Capture Database Utility

Database Tab

This tab allows you to select which database configuration to use with Kofax Capture. For managing batches in the system, Kofax Capture installs and uses a central database called the Batch Catalog database. The Standard configuration of this database uses Microsoft SQL Server 2005 Express Edition. If desired, you can switch to an SQL Server or an Oracle or IBM DB2 database to actively administer the database, or for scalability and availability.

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You can switch databases as often as you like. “Standard” is the default selection. The information that follows describes the additional database options.

SQL Server option

With the SQL Server option, you can specify an SQL Server database. Selecting this option requires that you also supply the SQL Server database server name and the name of the database. You can use an existing database or create a new database by selecting the “Create new database” option. If you elect to use the SQL Server option, you can also choose to store your batches in SQL Server by selecting the “Store batches in SQL Server” option. If this option is not enabled, batches are stored using individual Access databases.

Note You can only select the “Store batches in SQL Server” option if there are no batches in the system. If you attempt to apply this option when batches are in progress, you will get an error message. Complete the batches in progress and try again.

SQL Server is not supplied with Kofax Capture. To use the SQL Server option you must have already installed SQL Server. See your Kofax Capture installation instructions for system requirements. For more information about SQL Server, see your SQL Server documentation.

Oracle option

With the Oracle option, you can specify an Oracle database. If you elect to use the this option, all data is stored in Oracle, including the setup, batch catalog, user profile, user tracking, and batch.

Oracle is not supplied with Kofax Capture. To use the Oracle database option you must have already installed an Oracle .NET data provider on all Kofax Capture workstations. Selecting this option also requires that you supply the Oracle database service name. See your Kofax Capture installation instructions for system requirements. For more information about Oracle database, see your Oracle documentation.

IBM DB2 option

With the IBM DB2 option, you can specify an IBM DB2 database. If you elect to use this option, all data is stored in IBM DB2, including the setup, batch catalog, user profile, user tracking, and batch.



IBM DB2 is not supplied with Kofax Capture. To use the IBM DB2 option you must have already installed the IBM DB2 .NET data provider on all Kofax Capture workstations. Selecting this option also requires that you supply the IBM DB2 database server name and the name of the database. See your Kofax Capture installation instructions for system requirements. For more information about IBM DB2, see your IBM DB2 documentation.

SecurityBoost Tab

This tab allows you to enable the SecurityBoost feature. SecurityBoost allows you to enhance Kofax Capture security.

Identification Tab

This tab allows you to view or edit Kofax Capture site and workstation information. You can view the GUID for your site, or change your Site ID and similar information.

Batch Information Editor Tab

This tab allows you to view batches in the Kofax Capture system and provides the only opportunity to override the release directory settings. Your changes will impact the selected batches only: they have no effect on the batch classes or other batches in the system.

You cannot edit batches that are currently in progress at any module.

Repair and Compact Tab

This tab allows you to repair and compact selected Kofax Capture databases. Repairing restores the internal consistency of a database. Compacting permanently destroys records marked as deleted, reorganizes the contents of the database, and may save some disk space.

About the License UtilityThe License Utility allows you to view the status of licenses for your Kofax Capture system, as well as activate new or additional licenses. For more information about the License Utility, refer to the online Help. You can run the License Utility from the Windows Start menu on any station where Kofax Capture is installed.

Chapter 5


License Utility User Interface

The License Utility’s user interface provides a list of the various licenses available for your Kofax Capture system. It also provides standard Windows-style menus from which you can activate licenses and refresh the display of licenses.

The license information shown with the License Utility reflects the license status as of the last time the display was refreshed. The display automatically refreshes when the License Utility is started. In addition, you can set the display to automatically refresh at regular intervals that you specify, or immediately refresh the display.

Figure 5-5. Kofax Capture License Utility

System License Area

All system licenses are listed in this area. A system license enables a feature or sets limitations shared by the entire Kofax Capture system. For example, the Kofax Capture Version 8 license as shown in Figure 5-5, which enables all features in Kofax Capture 8 for a certain period, such as one year.



Station License Area

All station licenses are listed in this area, including the maximum number for each type of license and the number of licenses still available for use. A station license allows a particular workstation to run a specific module or feature.

Volume License Area

All volume licenses are listed in this area. Volume licenses limit the number of pages that you can process across the Kofax Capture installation. The page counts are decremented by one for each page scanned or imported from any Kofax Capture station.

About SecurityBoostSecurityBoost allows you to enhance Kofax Capture security.

To use SecurityBoost, you first set minimum system permissions for your operators so that they cannot access critical Kofax Capture files and folders. You also create a special user with permissions that allow access to these files and folders.

When SecurityBoost is enabled, Kofax Capture will use the permissions granted to the special user instead of those granted to the operators. In other words, Kofax Capture can access the required folders, but your operators cannot. For example, your operators will not be able to open or delete files from your Kofax Capture image folder using Windows Explorer.

For more information about SecurityBoost permissions, see the Kofax Capture 8 Installation Guide.

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Chapter 6

A Quick Tour of Kofax CaptureNetwork Server

IntroductionUser interface items for configuring and using Kofax Capture Network Server (KCN Server) are available from the Kofax Capture Administration and Batch Manager modules.

This chapter introduces these user interface items available for KCN Server.

Refer to Chapter 7 for step-by-step instructions on configuring KCN Server settings, and Chapter 8 for step-by-step instructions on performing other batch processing operations at remote sites through KCN Server.

Administration ModuleYou can use the Edit menu and the Tools menu of the Administration module to perform certain KCN Server administrative operations at the central site.

This section describes the KCN Server user interface components that are integrated into the Kofax Capture Administration module.

Edit Menu

Two options for KCN Server configuration are available from the Edit menu:

Chapter 6


Figure 6-1. Administration Module Edit Menu

KCN Server Central Site Profile

Selecting this option displays the KCN Server Central Site Profiles dialog box. This option is only enabled after the KCN Web server components are installed.

KCN Server Remote Site Profiles

Selecting this option displays the KCN Server Remote Site Profiles dialog box. This option is only enabled after the KCN Web server components are installed.

KCN Server Central Site Profiles Dialog Box

The KCN Server Central Site Profiles dialog box allows you to specify central site profile settings. A central site profile is a group of settings that you assign to the central site.

The settings include the following:

• An assigned location (site) where each module processes a batch as it moves through the Kofax Capture workflow. This is set in the Batch Routing tab by specifying whether a module is run at the central site, the “Batch Creation Site”, or a remote site.

• The ability to override the batch routing settings on a per batch class basis. This is done in the Batch Class Override tab.

The KCN Server Central Site Profiles dialog box is accessed by selecting Edit | KCN Server Central Site Profile.

You must publish your batch class before any changes you make to the central site profiles will take effect.

A Quick Tour of Kofax Capture Network Server


Batch Routing Tab

This tab allows you to define a set of rules for routing batches among the central site and 9s. This determines when batches will be sent to a different site for further processing. These rules are associated with the central site.

Figure 6-2. KCN Server Central Site Profile - Batch Routing Tab

Module Assignments

This is a list of the Kofax Capture modules that you can assign to the central site or to the remote sites. By default, all the modules are assigned to the central site. You can alter the assigned site of any module except the Scan or Release modules, which must be run at the central site (the site where the batch was created).

The Module column shows a list of available modules that are assigned to the batch class.

Note The Module column includes both the Kofax Capture standard modules, and any registered custom modules in the batch class.

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The Assigned Site column displays the site to which a module has been assigned. The module can be assigned to the {Central Site}, or any registered remote site.

A registered remote site is a remote site that has synchronized and that appears in the Remote Site Manager dialog box.

Module Description

The Module description box displays a description of the selected module.

Rescan Location

When a batch is closed with an error, it is routed to the Quality Control module. The rescan location allows you to specify the site where the Quality Control module will process the problem batch.

Retain Images at Each Remote Site

If this option is selected, batch images will remain at each remote site where the batch was processed until after the batch has been released from the central site, or deleted. This option is selected by default.

Retaining images at the remote site will reduce the batch transfer time, since the image files will not need to be shuttled back and forth between locations. On the other hand, if disk space is at a premium at the remote sites, you may choose to disable this option.

OK Button

Click this button to close the dialog box and preserve your settings.

Cancel Button

Click this button to close the dialog box and discard any changes you have made to the settings. All settings will revert to their state when the dialog box was opened.

Batch Class Override Tab

This dialog box allows you to select a batch class to override.



Figure 6-3. KCN Server Central Site Profile - Batch Class Override Tab

Available Batch Classes

This lists all available batch classes sorted in ascending alphabetical order.

The Batch Class column contains a list of batch classes to which overrides can be applied. The Batch Routing column will contain “Overridden” if the routing rules have been changed.

Override Batch Routing

Click this button to display the Override Central Site Batch Routing dialog box.

Batch Class Description

The Batch class description box displays a description of the selected batch class.

OK Button


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Cancel Button


Override Central Site Batch Routing Dialog Box

This dialog box allows you to specify override routing rules on a per batch class basis. It is used to override the default batch routing specified for the central site profile on the Batch Routing tab.

Figure 6-4. Override Central Site Batch Routing Dialog Box

Based on Batch Routing Rules for the Central Site Profile

This option routes the batch based on the settings on the Batch Routing tab for the central site. This option can be used when you have previously overridden the batch



routing and want to return the routing to its default state for the central site. If selected, batch routing is not overridden.

Use the Following Batch Routing Rules

This option routes the batch based on the settings in this dialog box. This option can be used to create override rules.

Module Assignments

This is a list of the Kofax Capture modules that you can assign to the central site or to the remote sites. The Scan module must be run at the “Batch Creation Site,” while the Release module must be run at the central site. Aside from these two restrictions, the other modules can be run at any location.



The Assigned Site column displays the site to which a module has been assigned. The module can be assigned to {Central Site}, or any registered remote site.

A registered remote site is the remote site that has synchronized and appears in the Remote Site Manager dialog box.

Module Description


Rescan Location



If this option is selected, batch images will remain at each remote site where the batch was processed until after the batch has been released from the central site, or deleted. This option is selected by default.


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OK Button


Cancel Button


KCN Server Remote Site Profiles Dialog Box

The KCN Server Remote Site Profiles dialog box allows you to specify remote site profile settings. A remote site profile is a group of settings that you assign to one or more remote sites. Refer to Remote Site Manager Dialog Box on page 203 for more information about assigning remote site profiles to remote sites.

The settings include the following:

• An assigned location (site) where each module processes a batch as it moves through the Kofax Capture workflow. This is set in the Batch Routing tab by specifying whether a module is run at the central site, the “Batch Creation Site”, or a remote site.

• The ability to override the batch routing settings on a per batch class basis.• The batch classes that will be available to the remote sites. This is set using the

Assigned Batch Classes tab.• The licenses that will be assigned to the remote sites. This is set using the

Station Licensing tab.• The site (central or remote) that will control polling. This is set using the

Polling tab.• The polling settings, if polling is controlled by the central site. This is set using

the Polling tab.• The ability allocate volume licenses to a remote site profile, thereby limiting

the amount of volume that can be processed at those sites. This is set using the Volume Licensing tab.

The KCN Server Remote Site Profiles dialog box is accessed by selecting Edit | KCN Server Remote Site Profiles.

Refer to Chapter 7 – Configuring Kofax Capture Network Server Settings on page 219 for information about configuring remote site profile settings.



Batch Routing Tab

This tab allows you to define a set of rules for routing batches among the central site and remote sites. This determines when batches will be sent to a different site for further processing. These rules are associated with a remote site profile.

Figure 6-5. KCN Server Remote Site Profiles – Batch Routing Tab

Note An optional workflow agent assigned to the batch class can override these routing rules.

Name

This lists the names of the remote site profiles available for selection.

Module Assignments

This is a list of the Kofax Capture modules that you can assign to the central site or to the remote sites. By default, only the Scan module is processed at a remote site (the site where the batch was created).


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The Assigned Site column displays the site to which a module has been assigned. The module can be assigned to {Batch Creation Site}, {Central Site}, or any registered remote site.

A registered remote site is a remote site that has synchronized and appears in the Remote Site Manager dialog box.

Module Description


Rescan Location



If this option is selected, batch images will remain at each remote site where the batch was routed to until after the batch has been released from the central site, or deleted. This option is selected by default.


Save Button

Click this button to save your settings to the selected remote site profile. Settings cannot be saved to the “(None)” remote site profile.

Save As Button

Click this button to save your settings with a new name. If the specified profile name already exists, a message will display, prompting you to confirm overwriting the existing profile. The profile name can be up to 255 characters.

You can overwrite the “(Default)” profile or any user-defined profile by selecting the profile from the list, and then confirming that you want to overwrite it. The “(None)” profile does not appear in the list because you cannot overwrite it.



Delete Button

Click this button to delete the selected profile.

Note You cannot delete the “(Default)” profile, “(None)” profile, or any profile that is currently assigned to a remote site.

Close Button

Click this button to close the dialog box. If changes have been made to the selected remote site profile, a message will display prompting you to save the remote site profile before exiting the dialog box.

Assigned Batch Classes Tab

This tab allows you to assign batch classes to a remote site profile. Remote sites using that profile will have access to the assigned batch classes.

Figure 6-6. Assigned Batch Classes Tab

Name


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All Batch Classes

Selecting this option allows remote sites assigned the profile to download all published batch classes. If you select this option, you cannot select from the batch classes in the Available list.

Selected Batch Classes

Selecting this option makes the list of all published and unpublished batch classes available to you. You can then assign specific batch classes to the remote site profile. This limits remote sites to using specific batch classes, and prevents remote users from selecting inappropriate batch classes for their sites.

Unpublished batch classes cannot be used by the remote sites.

If you select this option but do not assign any batch classes, the remote sites that share the profile will be unable to download any batch classes.

Available

This lists all available batch classes sorted in ascending alphabetical order. You can select more than one batch class at a time from this list.

To assign an available batch class to the remote site profile, select a batch class, and then click Add. Alternatively, you can double-click the batch class name to assign it.

Assigned

This list contains two columns:

• Batch Class: This column lists the batch classes assigned to the selected remote site profile sorted in ascending alphabetical order.

• Batch Routing: Usually, this column is empty. However, if you want to override the specified routing for batches based on the selected batch class, you click Override Batch Routing, and complete the dialog box that will display (see Override Batch Routing Dialog Box on page 188 for more information).

If you override batch routing, this column is updated to display “Overridden,” KCN Server will then route the batch in accordance with the rules currently in effect (the ones that are doing the overriding).

Add

Click this button to move the selected batch class to the Assigned list. Alternatively, you can double-click the batch class name.



Add All

Click this button to move all batch classes to the Assigned list.

Remove

Click this button to move the selected batch class back to the Available list. Alternatively, you can double-click the batch class name.

Remove All

Click this button to move all batch classes back to the Available list. No batch classes will be assigned to the remote sites sharing this profile.

Override Batch Routing

Click this button to display the Override Batch Routing dialog box.

Batch Class Description

The Batch Class Description box displays the description of the selected batch class, if only one batch class is selected, and the batch class has a description.

Save Button


Save As Button



Delete Button



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Close Button

Click this button to close the dialog box. If changes have been made to the selected remote site profile, a message will display, prompting you to save the remote site profile before exiting the dialog box.

Override Batch Routing Dialog Box

This dialog box allows you to specify override routing rules on a per batch class basis. It is used to override the default batch routing specified for the remote site profile on the Batch Routing tab.

Figure 6-7. Override Batch Routing Dialog Box

Based on Batch Routing For This Remote Site Profile

This option routes the batch based on the settings on the Batch Routing tab for the remote site profile. This option can be used when you have previously overridden the



batch routing and want to return the routing to its default state for the remote site profile. No overriding occurs.

Based on the Following Batch Routing Rules

This option routes the batch based on the settings on the Module Assignments section of this dialog box.

Module Assignments

This is a list of the Kofax Capture modules that you can assign to the central site or to the remote sites. The Scan module must be run at the “Batch Creation Site,” while the Release module must be run at the central site. Aside from these two restrictions, the other modules can be run at any location.



The Assigned Site column displays the site to which a module has been assigned. The module can be assigned to {Batch Creation Site}, {Central Site}, or <any registered remote site>.

A registered remote site is a remote site that has synchronized and appears in the Remote Site Manager dialog box.

Module Description


Rescan Location

When a batch is closed with an error it is routed to the Quality Control module. The rescan location allows you to specify the site where the Quality Control module will be launched to process the problem batch.

Retain Images At Each Remote Site

If this option is selected, batch images will remain at each remote site where the batch was routed to until after the batch has been released from the central site, or deleted. This option is selected by default.

Retaining images at the remote site will reduce the batch transfer time, since the image files will not need to be shuttled back and forth between locations. On the other

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hand, if disk space is at a premium at the remote sites, you may choose to disable this option.

OK Button


Cancel Button


Station Licensing Tab

The Station Licensing tab allows you to configure station licensing for remote sites. Licenses are assigned to a remote site profile when the profile is assigned to remote sites.

Figure 6-8. Station Licensing Tab



Note Profile assignment occurs automatically when a site first synchronizes. Refer to Remote Site Manager Dialog Box on page 203 for more information about assigning profiles to remote sites.

When you assign a license, the count shown in the count column is actually multiplied by the number of remote sites that are assigned the remote site profile. This results in a value that is subtracted from the value in the available column.

For example, if seven remote sites are assigned the same remote site profile, assigning one license to that profile actually allocates seven licenses (one for each site).

Before allocating licenses to remote site profiles, ensure you have reviewed the license information in the online Help.

Name


Available

This list includes all station licenses. The display does not include system-wide licenses because system-wide licenses are automatically shared across KCN Server sites. Station licenses, however, must be specifically allocated to each remote site. See the volume licensing tab for information on the sharing of volume licenses.

Note The columns correspond directly to the associated columns in the License Utility. The License Utility is described in the online Help.

This list consists of the following columns.

• Type: This column lists the type of station license.• Available: This column shows the number of available licenses of the

associated license type. The quantity of available licenses is decremented as licenses are assigned relative to the number of sites assigned the remote site profile.

• Maximum: This column shows the total number of licenses purchased for the associated license type.

Assigned

This list consists of the following columns:

• Type: This column lists the type of station license.

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• Count: This column shows the number of assigned licenses of the associated license type.

Add Button

Click this button to add the selected license type to the Assigned list. Double-clicking a license type performs the same operation as selecting the license type in the Available column, and then clicking Add.

Remove Button

Click this button to move the selected license type back to the Available box. Double-clicking a license type in the Assigned box performs the same operation as first selecting the license type, and then clicking Remove.

Refresh Button

Click this button to update the available license count.

When this dialog box is first opened, the displayed number of available licenses is derived from the current system status (for example, the number of running modules will affect the number of available licenses). The dialog box does not dynamically update this number in real time.

Refreshing the screen updates the number of available licenses, giving you an accurate count at that moment.

Save Button


Save As Button

Click this button to save your settings with a new name. If the specified profile name already exists, a message will display prompting you to confirm overwriting the existing profile. The profile name can be up to 255 characters.


Delete Button





Close Button


Volume Licensing Tab

The Volume Licensing tab allows you to set the volume licensing limits for a remote site profile. You can set and apply independent limits to each KCN Server remote site profile.

Figure 6-9. Volume Licensing Tab

Name

This lists the names of the available remote site profiles.

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Available

Each row in the list view represents a summary of each type of available volume license. Each row has the following columns:

• The Name column displays the names of the available volume licenses in the system. The names in this column are sorted alphabetically.

• The Period column displays the periodic attribute of the license (Annual or None). “None” means the license has no periodic volume. “Annual” indicates the renewal period for the volume.

• The Remaining column shows the remaining volume for “Annual” volumes. If the license has no periodic volume (None), this value is fixed at 0.

• The Full Count column displays the maximum possible volume for the license. Each time the periodic volume is reset, the remaining volume count will start with this value. If the license has no such periodic volume, this value is fixed at 0.

• The Remaining - One Time Use column displays the remaining one-time use volume count. If the license has no one-time use volume, this value is fixed at 0.

• The Full Count - One Time Use column displays the one-time use volume full count. If the license has no one-time use volume, this value is fixed at 0.

Refresh Button

Click this button to update the available license count.

When this dialog box is first opened, the displayed number of available licenses is derived from the current system status (for example, the number of pages scanned since the dialog box opened are not reflected until refreshed). The dialog box does not dynamically update this number in real time.

Refreshing the screen updates the number of available licenses, giving you an accurate count at that moment.

Applied Limits

Each row in the list view contains a volume license for which the administrator can set periodic and/or one-time use volume limits.

If this dialog box displays for the first time, all the available volume licenses are displayed with the check box unselected. The default values for periodic and one-time use limits are set to “No Limit.” To apply a limit to a license, select its corresponding check box and edit the limit.



Each row has the following columns:

• The Name column displays the names of the available volume licenses.• The Period column displays the type of periodic license (Annual or None). • The Periodic Limit column displays the current limit for the periodic license.

You can set this limit only if the corresponding check box is selected. If set to “None”, the periodic limit is fixed at 0.

• The One Time Use Limit column displays the current limit for the one-time use license. You can set this limit only if the corresponding check box is selected.

• To change one of the limit values, you must click in the “Periodic Limit” or “One Time Use Limit” cell of the table. This puts the cell in “edit mode.” You can enter a numeric value up to 2000000000 in each cell.

Save Button


Save As Button



Delete Button



Close Button

Click this button to close the dialog box. If changes have been made to the selected remote site profile, a message will display, prompting you to save the remote site profile before exiting the dialog box.

Polling Tab

The Polling tab allows you to define polling settings.

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Figure 6-10. Polling Tab

Name


Polling Control

The Polling Control allows you to specify which location controls polling.

• Central site: The same polling options are defined at the central site for all remote sites that are assigned the remote site profile. The polling settings on the display are subsequently enabled. To configure the polling settings centrally, see Setting Up Polling on page 235.

• Remote site: Polling options are defined independently at each remote site. The polling settings are disabled on the display. To set the remote site polling settings, see Configuring Remote Site Polling Times on page 242.

Polling Settings (Time Zone of Central Site)

These settings allow you to set the frequency and time of polling. Polling settings are downloaded at remote sites whenever the remote site synchronizes with the central site and there are new settings to download.



If polling is controlled by the central site, then the time zone of the central site is used. For example, if polling is set to occur at 8 PM at a central site in New York, remote sites in Los Angeles will poll at 5 PM their time (8 PM New York time).

• Never poll: This option disables automatic polling.

However, if the start date and time are in the future, polling will occur once at that time, and then never again.

If the start date and time are in the past, polling will not occur even once.• Poll every: Select this option if you want your remote sites to automatically

poll the central site at a defined interval starting from a specific date and time. You can specify the interval in days, hours, or minutes. The default is every 24 hours.

• Start date: This is the date to start polling. Clicking the down arrow displays a calendar from which you can select another date. Alternatively, click any part of the date, and use the arrows to change that part of the start date. The default is the date of installation.

• Start time: This is the time to start polling. Click any part of the time, and use the arrows to change that part of the start time. The default is the time of installation.

If Connection Fails

The If Connection Fails area allows you to specify what action should be taken if the remote site cannot connect to the central site.

• Never retry: This option prevents the remote site from attempting to reconnect with the central site, if the connection fails. However, the remote site will attempt to reconnect with the central site at the next scheduled polling time.

• Retry every: This option allows the remote site to automatically attempt to reconnect with the central site, if the connection fails. The settings take effect only for automatic synchronization. The following retry settings are also selected with this option:

• The frequency in minutes, hours, or days from 0-99• The duration in minutes, hours, or days from 0-99

The default setting is to retry every 15 minutes for up to 8 hours.

Check Status of Uploaded Batches Every

This option determines how often the RSA will check the status of uploaded batches. The interval can be from 1-99 minutes or hours. The default is 5 minutes.

Once a batch is uploaded, you can view the status of a batch in either of two ways:

• Through the Batch Processing display in Batch Manager at the remote site

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• From the Remote Synchronization Agent Status display at the remote site

Within Batch Manager at the remote site, batches display KCN Server for their current module (queue), and Ready for their current status. This means that the batch is ready to be uploaded. After the batch is uploaded to the central site, it is then inserted into the Kofax Capture workflow.

A batch is uploaded, if the time for the next automatic synchronization arrives (if the RSA is running at the remote site), or if you initiate a manual upload. You can manually upload in Batch Manager by selecting File | Process Batch, or by clicking Process Batch on the toolbar.

When a batch in the KCN Server queue is processed, the status of the batch is displayed as one of the following in sequence: In Progress (Uploading), In Progress (Uploaded), In Progress (Inserting), or In Progress (Inserted). Batches are inserted at the central site one at a time. Once the batch is inserted, it is removed from the Batch Manager display.

Save Button


Save As Button

Click this button to save your settings with a new name. If the specified profile name already exists, a message will display prompting you to confirm overwriting the existing profile. The profile name can be up to 255 characters.


Delete Button



Close Button




Business Continuity Tab

The Business Continuity tab allows you to determine batch upload behavior. You can configure a remote site to automatically select a central site for load balancing or to upload batches using a priority list of central sites.

Figure 6-11. Business Continuity Tab

Batch Upload Settings

The Batch Upload Settings allow you to specify how batches are uploaded:

• Automatically balance the load among available central sites: This option uploads batches by automatically alternating between all available central sites. Batches are sent using a round robin technique. Select this option if all central sites are normally used to process batches.

• Select central site by priority: This option allows you to select a priority list of central sites for uploading batches. Select this option to specify an order of selected sites in the event that sites become unavailable.

Add

Click this button to assign a site to the central site priority list.

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Remove

Click this button to remove a central site from the priority central site list.

Up and Down Arrows

Click the up and down arrows to move a site up or down in the priority list. You can also drag and drop to change priority.

Save button


Save As button


You can overwrite the “(Default)” profile or any user-defined profile by selecting the profile from the list, and then confirming that you want to overwrite it. The “(None)” profile is not displayed in the list because you cannot overwrite it.

Delete button



Close button

Click this button to close the dialog box. If changes have been made to the selected remote site profile, a message will display, prompting you to save the remote site profile before closing the dialog box.

Tools Menu

The Tools menu in the Administration module at the central site contains the following options for KCN Server operations: Remote Site Manager. These options are only enabled after the KCN Web server components are installed on that site.



Figure 6-12. Administration Module Tools Menu

Central Site Manager

The Central Site Manager option displays the Central Site Manager dialog box. This dialog box allows you to add central sites to a Kofax Capture Network Server installation.

Remote Site Manager

The Remote Site Manager option displays the Remote Site Manager dialog box. This dialog box allows you to assign a remote site profile to a remote site, and set a policy for automatically assigning profiles to new remote sites.

Central Site Manager Dialog Box

This dialog box allows you to add central sites to a Kofax Capture Network Server installation.

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Figure 6-13. Central Site Manager Dialog Box

The Central Site Manager dialog box consists of the following:

Central Sites

This is a list of central sites that are included in the installation, including the primary central site. The Name column shows each sites name. The URL column displays the URL of the corresponding site.

New Button

Click this button to open the Central Site dialog box, which allows you to specify the URL of the central site to be added.

Edit Button

Click this button to open the Central Site dialog box which allows you to edit the URL of a central site.

Delete Button

Click this button to delete a central site from the list. When you delete a central site from the list, it is no longer available for batch upload.



OK Button


Cancel Button


Remote Site Manager Dialog Box

The Remote Site Manager dialog box is used to assign remote site profiles to remote sites. The dialog box is also used to specify what remote site profiles should initially be assigned to new remote sites.

Figure 6-14. Remote Site Manager Dialog Box

The Remote Site Manager dialog box consists of the following:

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Remote Site Properties

The Remote Site Properties area contains the following columns and options:

• Remote Site: This lists the names of the KCN Server remote sites sorted in ascending alphabetical order. The site names are defined when Kofax Capture is installed. Select a site from the list.

• Assigned Profile: This displays the name of the profile associated with the remote site. Each site has only one profile assigned to it, but the same profile can be assigned to more than one site.

• Last Connected: This displays the most recent time that a licensed remote site connected to its primary central site.

• Licensed: This indicates whether or not the remote site is licensed to the current central site.

• Remote site profile: This lists the names of the available remote site profiles.

If you select a remote site, the Remote site profile will display the profile assigned to that remote site.

If you select multiple remote sites having the same remote site profile, the Remote site profile list will display the name of the profile associated with those sites. You can then select a different remote site profile, and it will be assigned to all selected remote sites.

If you select multiple remote sites having different remote site profiles or you do not select a remote site, the Remote site profile list will initially be empty. You can still choose a remote site profile from the list. The chosen remote site profile will be assigned to all selected remote sites.

When a profile is assigned, any changes to the licensing are committed to the License Utility. If there are not enough licenses, a message is displayed, and the “(None)” profile, described below, is assigned.

See Station Licensing Tab on page 190, and Setting Up Remote Site Profiles on page 227 for more information on assigning licenses.

You change the assigned remote site profile by first selecting one or more remote sites and then selecting a profile from the Remote site profile list.

The two built-in profiles are:

• (None): This is the same as the (Default) remote site profile described below, however, sites that are assigned this profile do not have batch classes downloaded to them, and have no licenses assigned to them. Therefore, they cannot actually process batches through any module. This can be used to block use of a remote site.



This profile cannot be deleted, edited, or overwritten. • (Default): In this profile, only the Scan module is processed at the remote site.

All other modules are processed at the central site. Default polling settings are used. Sites that are assigned this profile download all batch classes and allocate one Concurrent Station License.

This profile can be edited or overwritten, but it cannot be deleted.

New Remote Site Behavior

The New remote site behavior option allows you to specify the default behavior for assigning remote site profiles to new remote sites. This behavior is used automatically when a new remote site synchronizes with the KCN Server for the first time. The following options can be selected:

• Assign to (None): This option causes the “(None)” profile to be assigned to all new sites to be automatically, effectively disabling them. This is a good setting for administrators who are extremely concerned about security. This setting causes the administrator to have to manually assign site profiles to all new sites.

• Assign to (Default): This option causes the “(Default)” profile to be assigned all new sites.

• Assign to site profile matching site name if it exists, otherwise assign (None): If there is a remote site profile with a name matching a remote site, the profile is assigned to the remote site. Otherwise, the new remote site is assigned the “(None)” profile. For example, if a new site named SDScan3 is created, and a profile named SDScan3 exists, the SDScan3 profile will be assigned to the SDScan3 site.

• Assign to site profile matching site name if it exists, otherwise assign (Default): If there is a remote site profile with a name matching a remote site, the profile is assigned to the remote site. Otherwise, the new remote site is assigned the “(Default)” profile. This option is the default selection.

Note The KCN Service attempts to automatically assign a profile for a new site based on this rule. However, if it is impossible to assign the profile, due to licensing limitations, then the site is assigned the “(None)” profile.

Remove Button

Click this button to delete a remote site from the list. The next time the site synchronizes, it will be treated as a new remote site that will be assigned a remote site profile (based on remote site behavior settings.)

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Removing a remote site is not allowed if it is assigned to a Kofax Capture module in one or more remote site profiles. If the selected remote site is assigned to at least one module in any remote site profile, an error message is displayed, informing you that the remote site cannot be removed, and which site profiles use that remote site.

If the selected remote site is not assigned to any modules in any remote site profile, a warning message box asks for confirmation before the site is removed.

Edit Button

Click this button to open the KCN Server Remote Site Profiles dialog box for the currently selected profile. The dialog box can be used to edit remote site profiles. You can create additional profiles by selecting any profile, editing it, and saving it with a new profile name.

Close Button

Click this button to apply the changes and close the dialog box.

Batch Manager ModuleYou can use the Options menu of the Batch Manager module to perform certain KCN Server administrative operations at the remote site.

This section describes the KCN Server user interface components that are available from the Options menu of the Kofax Capture Batch Manager module.

Options Menu

The Options menu is shown below.

Figure 6-15. Batch Manager Options Menu



You can perform the following KCN Server-related operations using the Options menu:

• Convert a Kofax Capture installation to a remote site• Specify the URL of the KCN Web server at the central site• Activate the Kofax Capture Network Server Remote Synchronization Agent

(RSA) • Set the RSA polling settings• Set the batch processing dialog polling settings

At the central site, all options but the Convert to Remote Site option are disabled. However, if you select the Convert to Remote Site option at a central site, a warning message will display indicating that central sites cannot be converted to remote sites.

Converting an Installation to a Remote Site

The Convert to Remote Site option converts a Kofax Capture installation to a remote site. Performing the conversion will disable the Administration module at the remote site. In addition, all batch classes at the remote site will be deleted and replaced with batch classes created at the central site. All batch class creation and management must occur at the central site.

Note The batch classes downloaded from the central site will depend on the remote site profile.

Note You cannot convert a central site to a remote site.

Note You cannot reverse the conversion to a remote site. You must reinstall Kofax Capture.

Web Server URL

This option displays the Web server URL dialog box, which is shown below.

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Figure 6-16. Web Server URL Dialog Box

This dialog box is used at the remote site to specify the central site’s KCN Web server URL.

Note If the Web site requires SSL, you must specify the URL with https instead of http. In addition, if the central site is using a port number other than the default of 80 for HTTP, you must include the port number in the address. See Changing Web Server Port Numbers on page 221 for more information.

This dialog box is also used to switch central sites. To switch central sites, ensure that there are no batches in process before switching. Upon successfully switching the remote site to a new central site, batch classes from the old central site will be replaced with batch classes from the new central site based on the remote site profiles assigned to the remote sites. Licensing will also be downloaded to your remote sites from the new central site based on the remote site profiles assigned to the remote sites.

The remote site should synchronize prior to performing a site switch to ensure that pending user tracking statistics are uploaded to the old central site.

Note If you want to use user tracking at the new central site, be sure to enable user tracking on the new Kofax Capture server.

Activate RSA on This Station

This option activates the RSA on the remote station. The Remote Synchronization Agent command is added to the Startup group, and the RSA system tray icon is added to the system tray.

RSA Polling Settings

This option displays the RSA Polling Settings dialog box. The dialog box is used to configure the remote site polling settings on a per-station, per-site basis. This dialog



box is only enabled if the central site administrator has chosen “Remote site” control of polling settings.

Figure 6-17. RSA Polling Settings Dialog Box

RSA Polling settings control how often and when the RSA synchronizes with your central site. These settings can be centrally or remotely controlled as specified by the profile assigned to your remote site. If allowed by your remote site profile, you can specify RSA polling settings at your remote site. For more information on setting control of polling, see Polling Tab on page 195. The RSA Polling Settings dialog box consists of the following options:

Polling Settings (Time Zone of Remote Site)

The Polling Settings allow you to set the start date, start time, and frequency of polling.

• Never poll: This option disables automatic polling.

However, if the start date and time are in the future, polling will occur once at that time, and then never again.

If the start date and time are in the past, polling will not occur even once.• Poll every: Select this option if you want your remote sites to automatically

poll the central site at a defined interval. Then, select the interval. You can specify the interval from 0-99 in days, hours, or minutes. The default is every 24 hours.

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• Start date: This is the date to start polling. Clicking the down arrow displays a calendar from which you can select another date. Alternatively, click any part of the date, and use the arrow keys to change that part of the start date.

• Start time: This is the time to start polling. Click any part of the time, and use the arrows to change that part of the start time. The default is the time when the system was originally installed.

If Connection Fails

The If Connection Fails box allows you to specify what action should be taken if the remote site cannot connect to the central site.

• Never retry: This option causes the remote site to not attempt to reconnect with the central site, if a connection fails.

• Retry every: This option causes the remote site to automatically attempt to reconnect to the central site if a connection fails. The settings take effect only for automatic synchronization. The following retry settings are also selected with this option:

The interval in minutes, hours, or days from 0-99The duration in minutes, hours, or days from 0-99

The default setting is to retry every 15 minutes for up to 8 hours.

Batch Status Settings

This option determines how often the RSA will check the status of uploaded batches. The interval can be from 1-99 minutes or hours. The default is 5 minutes.

OK Button

Click this button to close the dialog box and save your settings.

Cancel Button


Apply Button

Click this button to save any changes you have made to the settings without closing the dialog box.



Batch Processing Dialog Polling Settings

This option displays the Batch Processing Dialog Polling Settings dialog box, if the Remote Synchronization Agent (RSA) is running on the computer.

Figure 6-18. Batch Processing Dialog Polling Settings Dialog Box

The Batch Processing Dialog Polling Settings dialog box allows you to set a special polling interval that will be used to check the status of the previously uploaded batch. The status will display in the Batch Processing dialog box. See Batch Processing Dialog Box on page 211 for more information.

Check Status Of Uploaded Batch Every

This option determines how often the RSA will check the status of a previously uploaded batch. The interval can be from 1-99 seconds or minutes. The default is 10 seconds.

Batch Processing Dialog Box

The Batch Processing dialog box provides status information for a batch being uploaded from Batch Manager at the remote site to the Kofax Capture workflow at the central site. Batches that are ready to be uploaded are placed in the KCN Server queue in Batch Manager. Then, if you need to upload a particular ready batch immediately to the central site, you can select the batch, and process the batch. The Batch Processing dialog box will display at the remote site.

To process a particular batch, use Batch Manager’s File | Process Batch menu, Process Batch button on the toolbar, or Process on the shortcut menu.

Updates to the status messages and other processing information occur depending on the polling settings defined for this dialog box. Refer to Batch Processing Dialog Polling Settings on page 211 for details.

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In addition, the Batch Processing dialog box allows you to immediately receive updated status by clicking Check Now, rather than waiting for the next scheduled batch status update.

Figure 6-19. Batch Processing Dialog Box

This dialog box offers the following:

Last Send Attempt

This displays the date and time that an attempt was made to upload or insert the batch.

Status

This displays the current operation that is being performed. The operations include:

• Uploading Batch: This is displayed while a batch is preparing to upload, during file transfer, and while the batch upload is occurring.

• Uploaded Batch: This is displayed after a batch has been uploaded.• Inserting Batch: This is displayed while the central site is inserting the batch.• Inserted Batch: This is displayed when the central site has inserted the batch.

The batch is removed from the remote site, the Batch Processing dialog box is closed, and focus returns to Batch Manager.



• Check batch status in: # seconds: This specifies when the batch status will be checked again. The interval to wait is established in the Batch Processing Dialog Polling Settings dialog box, and counts down by 1. When it reaches the end of the countdown, it checks the status of the batch, and updates the display. It then restarts the countdown, if the batch has not yet been inserted.

During the countdown time, you can click Check Now (described below) to immediately check the status, or Check Later to dismiss the dialog box.

Status Box

The status box displays a log of the activities performed by the RSA. Each message includes the date, time, message, and originating station ID. In addition, error messages are displayed in this box.

Check Now

Click this button to immediately check the batch’s status.

You could use this button to check the status of a batch earlier than the number of seconds indicated in the Check batch status in: # seconds status message.

Check Later

Click this button to dismiss the dialog box.

Remote Synchronization Agent The RSA allows you to perform the following operations:

• View the status of batches and statistics being uploaded• Synchronize, which downloads batch classes and uploads completed batches

and user statistics on demand• Download batch classes on demand

Usually, synchronization will occur on the schedule set up within the remote site profile assigned to the remote site.

System Tray Icon

The Remote Synchronization Agent (RSA) system tray icon shown below is installed when you activate the RSA application.

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Figure 6-20. Remote Synchronization Agent (RSA) Icon

Double-click the RSA Windows system tray icon or right-click Status on the RSA shortcut menu to display the Remote Synchronization Agent dialog box. This dialog box is described on page 215.

Note If the RSA has been installed as a service, the RSA application does not have to be activated or running for the RSA to perform automatic polling or synchronize with the central site. In this case, the RSA system tray icon does not appear.

RSA Menu

Right-click the RSA Windows system tray icon to display the RSA menu, shown below.

Figure 6-21. RSA Menu

The RSA menu offers the following options:

Close

Select this option to close the RSA, and clear the RSA Windows system tray icon.

Note Automatic polling only occurs when the RSA is running, unless you have installed the RSA as a service, in which case the service performs the polling even if the RSA application is closed. If you need to restart the RSA, select it from the Startup group, or restart Windows.



Status

Select this option to display the Remote Synchronization Agent dialog box, which is described below.

About

Select this option to display an About box. From the About box, you can view version information about the RSA, or open your browser to the Kofax Technical Support site.

The RSA Windows system tray icon also allows you to view the next scheduled polling time. Hold your cursor over the RSA icon, and a tooltip will display the next scheduled polling time.

Remote Synchronization Agent Dialog Box

The Remote Synchronization Agent dialog box displays the last fifty entries from the client log. The log is named <Kofax Capture folder location>\Logs\ACICYYMM.txt, where YY is the current year, and MM is the current month. For more information on the logs, see Monitoring Activity on page 260.

Figure 6-22. Remote Synchronization Agent Dialog Box

The entries that are displayed include the status of all batches uploaded from the remote site, and whether user tracking statistics were uploaded and new batch classes were downloaded.

The dialog box also allows you to either synchronize or download batch classes on demand.

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Last Send Attempt

This displays the date and time that a synchronization occurred, or batch classes were downloaded.

Status

This displays the current operation that is being performed. Operational messages that are displayed include: Sending batches, Get file <file name>, Inserting, etc.

Status Box

This displays the date, time, message number, message, and originating station ID for each event. The messages specify whether batch classes were received successfully, user statistics were sent (uploaded), batches were sent (uploaded), and central site polling times were downloaded successfully.

Note If the station ID has been changed, the change will not take effect until you stop and then restart the RSA.

Synchronize Now Button

This button is used to synchronize the remote site with the central site. When clicked, all pending batches are sent to the central site, followed by their statistics, the statuses of those batches are checked next, then pending batches, followed by batch classes, are downloaded from the central site.

All KCN Server “Ready” or “Suspended” batches are first sent to the KCN Server queue. The statuses of the batches are displayed at the remote site, as described in Checking the Status of Batches at a Remote Site on page 255.

Then, at the remote site, the In Progress(status) batches are checked to see if their status has changed. If the status of a batch has been changed to In Progress(Inserted), the batch is deleted from the remote site. Otherwise the status of the batch is updated.

Download Batch Classes Button

This button is used to download batch classes from the central site.



Download Batches Button

This button is used to download batches from the central site.

Credentials

This button is used to display the Connect to Central Site dialog box which allows you to enter and save remote site authentication information (user name and password) that is used during Basic or Windows Integrated authentication.

Hide Button

This button is used to dismiss the Status dialog box. It does not shut down the RSA.

Connect to Central Site Dialog Box

The Connect to Central Site dialog box is used to enter and save authentication information (user name and password). The Remote Synchronization Agent (RSA) uses this information to authenticate a remote site user.

If the Kofax Capture installation has been converted to a remote site, the specified user name and password are saved and validated by connecting to the central site Web server. If the installation has not yet been converted to a remote site, the specified user name and password are saved but not validated.

If the Kofax Capture installation is already a remote site and you enter invalid credentials, the dialog box redisplays until correct credentials are entered or you click Cancel.


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Please enter credentials for <server name>

The server name is the central site Web server.

User name

Enter a valid Web server account (user name).

Password

Enter a valid password.


Chapter 7

Configuring Kofax Capture NetworkServer Settings

IntroductionAfter completing the installation process, you can configure Kofax Capture Network Server (KCN Server) settings to manage Kofax Capture batch processing activity between your central site and the remote sites.

This chapter provides step-by-step for configuring your KCN Server settings.

Converting a Kofax Capture Site to a Remote Site

This section explains how to convert a Kofax Capture installation to a KCN Server remote site.

To use a Kofax Capture installation as a KCN Server remote site, you need to convert the Kofax Capture installation to a KCN Server remote site. Then, you should activate the RSA at the remote site.

Each configuration (client/server or standalone) must have at least one RSA activated, although more than one station in a client/server configuration can run the RSA.

Converting a remote site causes:

• The Administration module to become unavailable at the remote site • Batch classes to be deleted at the remote site• Batch classes, licensing information, and other settings to be downloaded from

the central site • Additional KCN Server options to be available from the remote site’s Batch

Manager module

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• The Remote Synchronization Agent (if activated) to be started and added to your Startup group. Also, the RSA icon will appear in your Windows system tray. The RSA can also be installed as a service.

Note For remote sites, batch class creation and management must occur at the central site.

To convert a Kofax Capture installation to a remote site

1 Open the Batch Manager module at the remote site.

2 Select Options | KCN Server | Convert to Remote Site.

3 When prompted, click Yes to confirm converting the site to a remote site. The Web Server URL dialog box will display.


4 When prompted, enter the URL of the Web server that will process requests between the central site and the remote site, and click OK. The conversion will validate the URL by attempting to contact it. If the URL cannot be validated, an error message will display. If this occurs, check the spelling of the Web server URL.

Note If the Web site requires SSL, you must specify the URL with “https”, instead of “http”.

5 When prompted, click Yes to activate the RSA on the remote station.

Note If you select No, you can upload batches through the Batch Manager module. You can activate the RSA on the remote site at a later time, if desired.

Configuring Kofax Capture Network Server Settings


Changing Web Server Port Numbers

If you do not want to use the standard Web server port number for your KCN Server, you can assign an alternate port, such as 8080. By default, all HTTP communications use port 80, and all SSL communications use port 443. To specify a different port number, use the following procedure.

Step 1: Configure Internet Information Services.

Step 2: Use the Web Server URL dialog box to specify the new port number.

Warning When selecting alternative ports, you must ensure that the ports you assign are not being used by other applications or services. If there are port conflicts, you may experience intermittent and unpredictable problems.

To configure Internet Information Services

1 Run the Internet Information Services administrative tool.

2 Select the Web Site where KCN Web server components are installed.

3 Right-click and select Properties. The Web Site Properties dialog box will display.

Figure 7-2. Web Site Properties

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4 Change the TCP Port setting to the desired number, for example 8080.

To use the Web Server URL dialog box to specify the new port number

1 At each of the remote sites, open Batch Manager and select Options | KCN Server | Web Server URL.

2 Enter the Web server URL and the new port number using the following syntax: <protocol>://<host>[:port]/acis. For example, if the Web server name is techpub and the alternate TCP port number is 8080, the URL would be http://techpub:8080/acis.

Activating the RSA on a Remote Station

When you convert a site to a remote site, you are prompted to confirm activating the RSA on the remote site. If you choose not to activate the RSA when the site is converted to a remote site, you can activate the RSA at a later time.

For automatic polling, you need at least one client running the RSA at a remote site.

Note If you change the site name, the change will not be reflected in the RSA Status display until the RSA is stopped and restarted at the remote site. See the online Help for more information on changing the site name.

To activate the RSA

1 On the remote installation, open the Batch Manager module.

2 Select Options | KCN Server | Activate RSA on This Station. A confirmation message will display.

3 Click Yes to confirm activating the RSA on the remote site. The RSA icon will display in the Windows system tray, the Remote Synchronization Agent will be added to the Startup group, and the RSA will be started.

Note If you perform an automatic installation of Kofax Capture, you can set the RSAURL attribute to the full URL of the Web server in the initialization file to automatically activate the RSA on a remote station. See the Kofax Capture 8 Installation Guide for more information.

To close or stop the RSA

1 Right-click the RSA icon in the system tray.

2 From the context menu, select Close.



To restart the RSA, do one of the following:

• Restart your computer.• On Windows 2000 computers: Select Start | Programs | Startup | Remote

Synchronization Agent.• On Windows XP computers: Select Start | All Programs | Startup | Remote

Synchronization Agent.

Setting Up Your Central Site ProfileYou can configure central site profiles to define how you want certain batch processing activities between the central site and remote sites to proceed. For example, you can configure the following:

• Where you want to run each Kofax Capture module• Where batches with errors should be processed• If image files should be retained at remote sites• Which batch classes, if any, should have their batch routing overridden

If you plan to use a custom module at your central site, note the following before assigning any batch classes containing custom modules to the central site profile. You must:

1 Register the custom module and install the executable at your central site. See Appendix D on page 331 for more information on registering custom modules and workflow agents.

2 Add the custom module to the desired batch class at the central site and publish the batch class. For more information on creating or modifying batch classes, see Chapter 3 or the online Help.

See the Kofax Capture Developer’s Guide or the online Help for more information on custom modules and workflow agents.

Set Up the Central Site Profile

The KCN Server Central Site Profile dialog box has two tabs as follows:

• Use the Batch Routing tab to specify the location where each module processes a batch as it moves through the Kofax Capture workflow.

• Use the Batch Class Override tab to override the batch routing.

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To set up the central site profile

1 From the Administration module at the central site, select Edit | KCN Server Central Site Profile. The KCN Server Central Site Profile dialog box will display.

2 If necessary, click the Batch Routing tab. The Batch Routing tab will display.

When you set up batch routing for the central site profile, you specify which modules will be run at the central site and which will be run at remote sites.

Because you can use the Quality Control module as either a regular processing module, or for use only when an exception has occurred, consider the following:• Exception batches are automatically routed to the Quality Control module

at the rescan location specified in the central site profile.• Batches without exceptions are routed to the site where the Quality

Control module has been set up to run, if the Quality Control module has been defined as part of the batch class definition.

Figure 7-3. KCN Server Central Site Profiles – Batch Routing Tab

3 Make a selection from the list of modules.

4 In the Assigned Site column, select the location for that module. Repeat steps 3 and 4 as needed.



5 If desired, change the Rescan Location. This will specify where documents are rescanned in case of a problem.

6 If desired, select “Retain images at each remote site.” Retaining images at the remote site will reduce the batch transfer time, since the image files will not need to be shuttled back and forth between locations. On the other hand, if disk space is at a premium at the remote sites, you may choose to disable this option.

7 If desired, click the Batch Class Override tab. The Batch Class Override tab will display.

Figure 7-4. Batch Class Override Tab

8 Select a batch class from the list.

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9 Click “Override Batch Routing.” The Override Central Site Batch Routing dialog box will display.

Figure 7-5. Override Central Site Batch Routing Tab

10 Select “Use the following batch routing rule.”




14 If desired, select “Retain images at each remote site.”

15 Click OK to save your settings and close the dialog box.



Setting Up Remote Site ProfilesYou can create remote site profiles to define how you want certain batch processing activities between the central site and remote sites to proceed. For example, you can configure the following:

• Where you want to run each Kofax Capture module• Which batch classes will be made accessible to specific remote sites• If image files should be retained at remote sites• Which licenses to allocate to each remote site• Which site (central or remote) will control the polling settings, and what

polling settings to use

Each remote site can be assigned a different remote site profile, or two or more remote sites can be assigned the same remote site profile. If you change a profile, all remote sites that share the same profile will receive the updated profile the next time that they synchronize.

Setting up remote site profiles involves performing the following major steps at the central site:

Step 1: Select an existing remote site profile.

Step 2: Configure the profile.

Step 3: Save the remote site profile.

Step 1: Select an Existing Remote Site Profile

Before you can begin setting the attributes of the remote site profile, you must first select a profile to use as a model for the new remote site profile.

To select a remote site profile

1 From the Administration module at the central site, select Edit | KCN Server Remote Site Profiles. The KCN Server Remote Site Profiles dialog box will display.

2 Select an existing remote site profile.

Step 2: Configure a Remote Site Profile

To configure a remote site profile, you must first select an existing profile, and then modify the information on the appropriate tabs of the KCN Server Remote Site

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Profiles dialog box, as needed. After you finish selecting or entering the information, you save the remote site profile with a new name.

• Use the Batch Routing tab to specify the location where each module processes a batch as it moves through the Kofax Capture workflow.

• Use the Volume Licensing tab to assign volume licenses to a remote site profile.

• Use the Station Licensing tab to assign station licenses to a remote site profile.• Use the Assigned Batch Classes tab to assign batch classes to a remote site

profile.• Use the Polling tab to specify polling control (central or remote site), and the

polling frequency (if you select central control of polling).• Optionally use the Business Continuity tab to determine batch upload

behavior. You can configure a remote site to automatically select a central site for load balancing or to upload batches using a priority list of central sites.

Setting Up Batch Routing

When you set up batch routing for a remote site profile, you specify which modules will be run at the central site and which will be run at remote sites.

Because you can use the Quality Control module as either a regular processing module or for use only when an exception has occurred, consider the following:

• Exception batches are automatically routed to the Quality Control module at the rescan location specified in the remote site profile.

• Batches without exceptions are routed to the site where the Quality Control module has been set up to run, if the Quality Control module has been defined as part of the batch class definition.

If you plan to use a custom module at your remote sites, note the following before assigning to remote site profiles any batch classes containing custom modules. You must:

1 Register the custom module at your central site. Then, copy the custom module’s executable to the <Kofax Capture folder location>\Bin folder at the appropriate remote sites. See Appendix D on page 331 for more information on registering custom modules and workflow agents.

2 Add the custom module to the desired batch class at the central site and publish the batch class. For more information on creating or modifying batch classes, see Chapter 3 or the online Help.

3 In the remote site profile for the specific remote sites, add the custom module to the list of modules set to run at remote sites.



4 Assign the batch class with the custom module to the appropriate remote site profiles.

See the Kofax Capture Developer’s Guide or the online Help for more information on custom modules and workflow agents.

To set up batch routing

1 Start the Administration module at the central site.

2 Select Edit | Profiles | KCN Server Remote Site Profiles. The KCN Server Remote Site Profiles dialog box will display.

3 Select an existing profile from the list of remote site profiles.

4 Select the Batch Routing tab. The Batch Routing tab will display.





8 If desired, select “Retain images at each remote site.” Retaining images at the remote site will reduce the batch transfer time, since the image files will not

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need to be shuttled back and forth between locations. On the other hand, if disk space is at a premium at the remote sites, you may choose to disable this option.

Setting Up Volume License Limits

The Volume Licensing tab on the KCN Server Remote Site Profiles dialog box is used to configure volume licensing for remote sites.

To set volume license limits

1 Select the Volume Licensing tab. The Volume Licensing tab will display.

Figure 7-7. Volume Licensing Tab

2 Select a remote site profile from the Name list.

3 Select the check box for a license in the Applied Limits list.

4 Modify the periodic limit as desired. Note that even if you specify a limit greater than the full count limit, the central site provides an absolute limit on the volume for your entire installation. Refer to Limiting Volume Licenses at Remote Sites on page 258 for more information about how volume limits are applied.

5 Modify the One Time Use Limit as desired. Even if you do not have this kind of license, you can specify a one time use limit.



6 If desired, click Refresh to update the display.

7 Save your settings.

To remove volume license limits

1 Select the Volume Licensing tab. The Volume Licensing tab will display.

2 Select the license from the Applied Limits list.

3 Clear the check box. The values will be set to “No Limit.”

4 Save your settings.

5 If necessary, click Refresh to update the display.

Setting Up Station Licensing

The Station Licensing tab on the KCN Server Remote Site Profiles dialog box is used to configure station licensing for remote sites. Remote sites only have the licenses that have been assigned to their profiles.

For more information on licensing, see the Kofax Capture online Help.

Note Your system administrator may need to purchase additional station licenses if you are adding remote sites to your KCN Server installation.

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To assign station licenses

1 Select the Station Licensing tab. The Station Licensing tab will display.

Figure 7-8. Station Licensing Tab

2 Select a remote site profile from the Name list.

3 Select the type of license from the Available list.

4 Click Add. The Assigned list will be incremented by one license multiplied by the number of remote sites assigned that remote site profile. The Available list will be decremented by that same value. Alternatively, you can double-click a license to move it from one list to another.


To remove station licenses

1 Select the Station Licensing tab. The Station Licensing tab will display.

2 Select the license from the Assigned list.

3 Click Remove. The Assigned list will be decremented by one license multiplied by the number of remote sites assigned that remote site profile. The Available list will be incremented by that same value. Alternatively, you can double-click a license to move it from one list to another.




Assigning Batch Classes

The Assigned Batch Classes tab of the Remote Site Profiles dialog box assigns specific Kofax Capture batch classes to a particular remote site profile. Remote sites assigned a particular profile only have access to the batch classes specified in the profile.

When you assign batch classes to a remote site profile, consider the following:

Image Files

In the temporary image folder specified in the batch class definition, ensure that you have either used Uniform Naming Convention (UNC) format (for example, \\Jrc\Kofax Share\ServerDB\Images) for the path to the image files, or mapped an explicit drive letter to the location of your image files.

For existing batch classes, if necessary, update the paths to the image folders in UNC format and republish the batch classes.

Note If your image folder is located on an NTFS partition, the anonymous user that you specify for your KCN Server virtual directory must have write permissions to that folder. Refer to the Kofax Capture 8 Installation Guide for more details.

Dictionaries

Dictionaries used by your batch class are downloaded to and maintained in the AdvOCR folder in your Kofax Capture installation folder at the remote sites.

Partial Batch Release

Because a single batch may be processed at multiple remote sites, depending on your batch routing rules, errors may occur at multiple locations. In such cases, it is not possible for Kofax Capture to determine which site had which error, so error batches with this configuration are redirected as described below.

• Batches whose batch classes have partial batch release enabled, and rescan set to “Batch creation site,” will be sent to the Quality Control module at the site where the batch was created, regardless of the actual error location.

• Batches whose batch classes have partial batch release enabled, and rescan set to “Central site,” will be sent to the Quality Control module at the central site, regardless of the actual error location.

• Batches whose batch classes have partial batch release enabled, and rescan set to “Site where the error occurred,” will be sent to the Quality Control module at the central site, regardless of the actual error location.

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Database Validation

If database validation is enabled for a batch class assigned to a specific remote site, the appropriate database software and files must be available to the Validation modules at the remote site. An error message will display if the required files and database software cannot be found.

To assign batch classes to remote site profiles

1 Select the Assigned Batch Classes tab. The Assigned Batch Classes tab will display.

Figure 7-9. Assigned Batch Classes Tab

2 Select one of the following:• All batch classes: This option causes all batch classes to be assigned to the

selected remote site profile. If you select this option, you cannot select from the displayed list of batch classes.

• Selected batch classes: This option makes the list of batch classes available to you. You can then select the batch classes to be assigned to the remote site profile.

Note Unpublished batch classes cannot be used by remote sites.



3 If you chose Selected batch classes, do one of the following:• Select one or more batch classes from the Available list and click Add. • Double-click a batch class in the Available list.• Click Add All.

4 To override the batch routing module sequence specified on the Batch Routing tab for the selected batch class, do the following: a Click Override Batch Routing. The Override Batch Routing for Batch Class

dialog box will display. b Select “Based on the following batch routing rules.”c Select a module from the list. Only modules assigned to the workflow for

the batch class will be available in the module list.d Select a rescan location. See Override Batch Routing Dialog Box on page 188

for more information about this feature.e If desired, select Retain Images. See Override Batch Routing Dialog Box on

page 188 for more information about this feature. f Save your settings.

5 Repeat steps 3 and 4 above for as many remote site profiles as necessary.

To remove batch classes from the assigned list

1 Select the Assigned Batch Classes tab. The Assigned Batch Classes tab will display.

2 Then, do one of the following:• Select a batch class from the Assigned list and then click Remove. The

selected batch class will be moved back to the Available list.• Double-click a batch class in the Assigned list.• Click Remove All.

Setting Up Polling

Polling refers to the process of checking for batches and user statistics (if user tracking has been enabled) to be uploaded to the central site, and batches, batch classes and configuration settings to be downloaded to the remote sites.

The Polling tab of the Remote Site Profiles dialog box is used to set up control of polling and the polling schedule for a specific remote site profile.

When you set up polling, you select which site (central or remote) will set up and control the polling schedule. You also set up the polling schedule, if you selected central control of polling.

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You can elect to have the polling schedule controlled by the central site (the default) or the remote sites individually.

If you select Central site control of polling, your polling settings will affect all the remote sites that share the profile containing the polling settings. The remote sites will be prohibited from setting their own polling times. The next time a remote site polls the central site, the settings will be downloaded to the remote site.

If you select Remote site control of polling, you can specify the polling settings individually for each remote site that shares the remote site profile.

To set up the control of polling and the polling schedule

1 Select the Polling tab. The Polling tab will display.


2 Select the site (central or remote) that will control polling.

If you select Central control of polling, continue with the remainder of this procedure.

If you select Remote site control of polling, the remaining options on the Polling tab will be disabled. To set the remote site polling settings, see Configuring Remote Site Polling Times on page 242 for more information.



3 Select one of the following options from the Polling Settings area to specify how often polling should occur. The choices are:• Never poll. This option disables automatic polling. However, if the start

date and time are in the future, polling will occur once at that time, and then never again. If the start date and time are in the past, polling will not occur even once.

• Poll every. This option allows your remote sites to automatically poll at defined intervals. If you select this option, also select a numeric value from 1-99 and a unit of polling frequency from the list.

4 Select a start date. Click any part of the date to display a calendar. On the calendar, click a date to choose that date. On the calendar, click the left or right arrows next to the month name to change the month.

5 Select a start time. Click any part of the time to change the hours, minutes, seconds, or AM/PM.

6 Select one of the following options to be used if the connection fails between the remote site and the central site. • Never retry. This option prevents the remote sites from attempting to

reconnect with the central site, if the connection fails. However, the remote site will attempt to reconnect with the central site at the next scheduled polling time.

• Retry every. This option allows the remote site to automatically attempt to reconnect to the central site if a connection fails. If you select this option, specify how often and for how long the connection should be retried. Select a numeric value in the range 1-99, and a unit of time for each.

7 Specify how often the status of uploaded batches should be checked. Select a numeric value in the range 1-99, and a unit of time.

Setting Up Business Continuity

The Business Continuity tab allows you to determine batch upload behavior. You can configure a remote site to automatically select a central site for load balancing or to upload batches using a priority list of central sites. For more information see the chapter titled Disaster Recovery in the Kofax Capture 8 Installation Guide.

Step 3: Save the Remote Site Profile

To save the remote site profile, do one of the following:

• Click Save. If you are editing an existing profile, you will be prompted to confirm overwriting the existing profile.

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• Click Save As. If you are creating a new profile, the Save As dialog box will display. Type the name of the new profile and click OK. The profile will be saved with the new name. If the name already exists, you will be prompted to confirm overwriting the existing profile.

Note You can overwrite or edit any profile except the “(None)” profile. Any changes to a profile will affect all remote sites sharing that profile.

Modifying Remote Site ProfilesYou can modify the attributes of remote site profiles as needed. The modifications will affect any remote sites that share that same profile, and will take effect the next time the remote sites synchronize.

To edit a remote site profile

1 Open the Administration module at the central site.



3 Select an existing profile from the Name list.



4 Make your changes to the profile after selecting the appropriate tabs.

5 Click Save and then click Close. Your changes will be saved.

• Deleting Remote Site Profiles

If you are no longer using a remote site profile, you might want to delete it from the list of remote site profiles available for assignment.

Note You cannot delete any remote site profiles that have been assigned to (are in use by) remote sites. To delete a remote site profile that has been assigned to one or more remote sites, you must first remove the assignment through the Remote Site Manager dialog box. You cannot delete the “(None)” or the “(Default)” remote site profiles.

To delete a remote site profile




3 Select an existing profile, then click Delete. If the profile is in use, a message will display informing you that the profile cannot be deleted.

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Assigning a Remote Site Profile to a Remote SiteEach remote site has a remote site profile assigned to it. You can change this assignment with the KCN Server Remote Site Manager dialog box.

To assign a remote site profile to a remote site

1 Open the Administration module.

2 Select Tools | KCN Server | Remote Site Manager. The Remote Site Manager dialog box will display.


3 Select the name of a remote site from the Remote Site list.

4 Select a remote site profile from the Remote site profile list.

5 If you need to edit a remote site profile before assigning it to a remote site, click Edit. The KCN Server Remote Site Profiles dialog box will display. Then, edit the profile, and save it. You will be returned to the Remote Site Manager dialog box.

Note Changing the attributes of a profile affects all remote sites to which the profile was assigned.

6 To specify which remote site profile will be assigned to new sites by default, select the desired option from the New remote site behavior list.



7 To save the changes, click Close.

Removing a Remote SiteYou can remove a remote site from the list of available remote sites. However, the next time that the remote site synchronizes with the central site, the name of the remote site will display in the list of available sites.

Note You cannot remove a remote site if it is listed in any remote site profile.

To remove a site from the list in Remote Site Manager


2 Select Tools | KCN Server | Remote Site Manager. The Remote Site Manager dialog box will display.


3 Select the name of a remote site from the Remote Site list.

4 Click Remove.

5 Click Close.

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Configuring Remote Site Polling TimesTo specify the polling times at each remote site, you must first set up polling to be controlled by the individual remote sites. Then, the remote sites can set up their own polling schedules.

To configure remote site polling times

1 At the central site, open the Administration module.


3 Select the appropriate remote site profile.

4 Click the Polling tab.


5 Under Polling Control, select Remote site. The polling options will be disabled.

6 Save the change, and close the dialog box.

7 Next, at each remote site that shares the profile, synchronize, and then open the Batch Manager module.

8 Select Options | KCN Server | RSA Polling Settings. The RSA Polling Settings dialog box will display.



Figure 7-16. RSA Polling Settings Dialog Box

9 Select one of the following options from the Polling Settings area.• Never poll. This option disables automatic polling. However, if the start

date and time are in the future, polling will occur once at that time, and then never again. If the start date and time are in the past, polling will not occur even once.

• Poll every. This option allows your remote sites to automatically poll at defined intervals. If you select this option, also select a numeric value in the range 1-99, and a unit of polling frequency.

10 Select a start date. Click the date to display a calendar from which you can choose a date. On the calendar, click the left or right arrows next to the month name to change the month.

11 Select a start time. Click any part of the time to change the hours, minutes, seconds, or AM/PM.

12 Select one of the following options to be used if the connection fails between the remote site and the central site. • Never retry. This option prevents the remote sites from attempting to

reconnect with the central site, if the connection fails. However, the remote site will attempt to reconnect with the central site at the next scheduled polling time.

• Retry every. This option allows the remote site to automatically attempt to reconnect to the central site, if a connection fails. If you select this option, specify how often and for how long the connection should be retried. Select a numeric value in the range 1-99, and a unit of time for each.

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13 Specify how often the status of uploaded batches should be checked. Select a numeric value in the range 1-99, and a unit of time.

14 Click Apply to save the modifications and remain in the dialog box, or click OK to save the modifications and exit the dialog box.

Configuring Batch Processing Dialog Polling SettingsYou use the Batch Processing Dialog Polling Settings option to set a special polling interval that will be used to check the status of an uploaded batch that was processed by the Batch Manager.

The interval you specify on the Batch Processing Dialog Polling Settings dialog box has no effect on the RSA polling interval.

The selected time specifies how often the status of an uploaded batch will be checked to determine if it has been inserted into the Kofax Capture workflow at the central site.

To configure batch processing dialog polling settings

1 Open the Batch Manager module at the remote site.

2 Select Options | KCN Server | Batch Processing Dialog Polling Settings. The Batch Processing Dialog Polling Settings dialog box will display.

Figure 7-17. Batch Processing Dialog Polling Settings

Specify how often the status of an uploaded batch should be checked. Select a numeric value in the range 1-99, and a unit of time.


Chapter 8

Using Kofax Capture NetworkServer

IntroductionAfter installing Kofax Capture at your remote installations and converting the remote installations to remote sites, you can take advantage of your Internet or intranet capabilities to process Kofax Capture batches.

This chapter provides information about using Kofax Capture Network Server (KCN Server) in a production environment.

Using KCN Server Across Regions

With Kofax Capture, you can share batch classes and batch processing among sites that use different language versions of Kofax Capture or have different regional settings. Regional settings such as currency format or decimal separator (which are set up in the Control Panel for every computer) are automatically converted when a batch class is imported. Other items within the batch class, such as profile names, are translated to the language of Kofax Capture on the importing computer.

Regional Settings Conversion

When a batch class is downloaded to a remote site, occurrences of numeric, date, and time values in the following items are converted to the regional format settings of the remote site computer that receives the batch class.

When a batch is transferred between sites, occurrences of numeric, date, and time values are converted to the regional settings of the destination site.

Other information, such as polling settings or user tracking data, also undergoes regional conversion. Following is a list of items that undergo regional conversion.

• Kofax Capture known values (also called “suggested values”)

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• Kofax Capture Values, as used for endorsing strings, batch field values and defaults, index field values and defaults, and release script setup links

• Batch field and index field values based on decimal/numeric field types• Batch totals, both expected and actual• Patch code and advanced bar code settings• Polling settings• Data derived from Kofax Capture Values for the Kofax Capture Database and

the Kofax Capture Text release scripts• User tracking statistics (such as start/end times)

The following regional examples from the Windows Control Panel compare common numeric, date, and time formats for the United States to those of Germany.

Language Translation

Some items contained in a batch class are translated to the language of Kofax Capture on the remote site computer. This translation will occur regardless of the language of Kofax Capture that created the batch class and/or batch. The reverse occurs when the batch is uploaded to the central site.

Table 8-1: Regional Numeric Format

Setting Decimal Symbol Sample

United States “.” (period) 1000.23

Germany “,” (comma) 1000,23

Table 8-2: Regional Date Format


United States M/d/yyyy 8/16/2003

Germany dd.MM.yyyy 16.08.2003

Table 8-3: Regional Time Format


United States H:mm:ss tt 2:10:35 PM

Germany HH:mm:ss 14:10:35

Using Kofax Capture Network Server


Kofax Capture Values

The actual text of Kofax Capture Values contained within the curly brackets (either default or manually entered) as used for endorsing strings or annotations, batch field defaults, index field defaults, or as an Index Value in release script setup is translated.

Note When a batch is processed, the results returned by the values are not translated.

Items That are Not Converted/Translated

This section lists the items that are not converted or translated.

Also listed are installation configurations or situations in which no translation or conversion can occur. Unless noted, the items below apply to both Kofax Capture at the central site and KCN Server remote sites.

• Import/export of batch classes among computers that use different code pages• Batch classes created in versions of Ascent Capture prior to version 6.1• Dictionary values that are numeric, date, or time• Recognition Profile language and character set selections• Release text constants, customizations, and string fields that contain numeric,

date, or time entries• Batch names derived from time/date, because these are classified as strings,

and strings are not converted or translated• Kofax Capture module names• Kofax Capture Values when they are used as known values (also called

“suggested values”)• Results returned by Kofax Capture Values

Downloading Batch ClassesOnce new or updated batch classes have been published at the central site, you can download them on demand to a remote site through the RSA, or you can wait for the batch classes to be downloaded at the next scheduled automatic synchronization time.

Downloading Batch Classes With Automatic Synchronization

You can set up the time that synchronization will occur. Then, at the specified time, new or modified batch classes are downloaded automatically to the appropriate remote sites. The batch classes that a site receives depend on which batch classes have been assigned the site via a remote site profile.

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To download batch classes with automatic synchronization, set polling times for the synchronization.

• Centrally controlled polling times are set in remote site profiles. The remote site profiles are defined using the KCN Server Remote Site Profiles dialog box available from the Administration module at the central site. Once the remote site profiles are defined and downloaded to the remote site, the settings take effect for the remote site.

• Remotely controlled polling times are set in the RSA Polling Settings dialog box. The dialog box is available from Batch Manager at the remote sites. Once the settings are defined at a remote site and saved, the settings take effect for the remote site.

See the sections Setting Up Polling on page 235 and Configuring Remote Site Polling Times on page 242 for more information.

Downloading Batch Classes With the RSA

To download batch classes with the RSA

1 Using the RSA system tray icon, do one of the following:• Double-click the RSA system tray icon.• Right-click the RSA system tray icon, and select the Status option from the

context menu.

The Remote Synchronization Agent dialog box will display.

2 Do one of the following:• Click Download Batch Classes. • Click Synchronize Now.

In both cases, published batch classes at the central site will be downloaded to your remote site, according to the profile assigned to your site. This could take a few minutes, if you are downloading for the first time, or if the administrator has republished many batch classes at the central site.

Synchronize Now results in various other operations being performed, such as completed batches being uploaded to the central site.

3 To close the dialog box, but not close the RSA, click Hide. Note that the RSA will still be running in the background.



Creating and Processing BatchesYou can create and process batches at either the central site or at remote sites. After a batch is created, batches are transferred between the Kofax Capture modules according to the batch routing rules for the assigned profile.

Keep in mind that he Scan module must be run at the “Batch Creation Site,” while the Release module must be run at the central site. Aside from these two restrictions, the other modules can be run at any location.

For more information on the KCN Server options and setting up site profiles, refer to Chapter 6 on page 175 and Chapter 7 on page 219.

Uploading and Downloading BatchesBatches may be transferred among the various sites using several methods. After a batch has been transferred to another site (central or remote) it is deleted from the originating remote site.

However, if the site profile specifies that images should be retained at remote sites, the image files will not be deleted with the rest of the batch upon transfer. The images will only be deleted if the batch is released or deleted from the system.

Batches ready to be transferred can be uploaded or download through any of the following means:

• Automatically at the next scheduled automatic polling time.• Manually at remote sites, with the Synchronize Now button in the RSA.• Manually at remote sites with the Download Batches button in the RSA.• Manually through the Process Batch button in Batch Manager (if the status of

the batch indicates that the batch is ready for the KCN Server queue).

Tip You might want to wait to transfer all completed batches at once, or your administrator might want the transfer to be controlled solely by the polling schedule.

Batches in the process of being transferred are displayed in Batch Manager at the originating site as being in progress. As each batch is transferred and inserted into the Kofax Capture work flow at the destination site, the status of the batch is updated in Batch Manager at the originating site.

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Note If a site receives a batch with the same name as a batch that already exists at that site, the most recently received batch will be renamed. If the naming conflict occurs at the central site, the batch is permanently renamed with a tilde (~) and a number starting at zero appended to the name, and the new name will be recorded in the KCN Server log file (ACISYYMM.txt). If the naming conflict occurs at a remote site, the batch is temporarily renamed. When it returns to the central site, the original name will be restored.

Note You should not stop or restart the Web server while batches are being transferred.

Transferring Batches With Automatic Synchronization

You can configure which site will control polling settings, and the schedule for polling. Then, at the specified synchronization time, the remote and central sites are synchronized.

To use automatic synchronization, set polling times for the synchronization.

• Centrally controlled polling times are set in remote site profiles defined with the KCN Server Remote Site Profiles dialog box, available from the Administration module at the central site. Once the remote site profiles are defined and downloaded to the remote site, the settings take effect.

• Remotely controlled polling times are set in the RSA Polling Settings dialog box available from Batch Manager at the remote sites. Once the settings are defined at a remote site and saved, the settings take effect for the remote site.

See the sections Setting Up Polling on page 235 and Configuring Remote Site Polling Times on page 242 for more information.

Transferring Batches With the RSA

To transfer batches with the RSA

1 From the RSA system tray icon, do one of the following:• Double-click the RSA system tray icon.• Right-click the RSA system tray icon and select the Status option from the

context menu.





2 Click Synchronize Now, Download Batch Classes, or Download Batches. The remote site will immediately perform the appropriate transfer.

3 To close the dialog box, click Hide.

Recalling a Batch

From the central site, you can recall a batch that has been transferred to a remote site. If you recall a batch, any work that has been done at the remote site will be lost. In addition, the recall will cause the batch to be deleted at the remote site when the next synchronization takes place.

Note If the site profile is set to retain images at the remote site, the image files will not be deleted.

You might choose to recall a batch, for example, if it cannot be processed at a remote site for some reason (such as network or staffing constraints). In this case, by recalling the batch, you have returned it to its initial state (prior to downloading) so it can be processed again at the central site.

Once a batch has been recalled, all subsequent processing remains at the central site regardless of the original routing rules applied to the batch class. After being recalled to the central site, the batch will go to the module it would have gone to at the remote site, had the recall not occurred.

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Note A workflow agent can still control routing after a batch is recalled. It is up to the workflow agent designer to decide whether or not recalled batches should be routed away from the central site. For example, the workflow agent can check to see if a batch has been recalled, and choose to route the batch to a specific remote site as determined by rules within the agent.

Batches Deleted at a Remote Site

A recalled batch is deleted from the remote site at the next synchronization. When this happens, the following message is logged in the Kofax Capture error log (ERR_YYMM.txt) and the ACIC log (ACICYYMM.txt at the remote site):

The batch “<name>,” has been deleted from the remote site due to a recall.

If a recalled batch is locked at the remote site during the next synchronization, a warning message is recorded in the preceding logs. The batch will not be deleted until it is unlocked, and a subsequent synchronization occurs.

Note If a remote site is in the middle of uploading a batch, and you recall that batch, work done at the remote site will still be lost. This will occur even though the remote site changes were in the process of being uploaded.

Normally, if someone at a remote site deletes a batch, that batch will also be deleted at the central site during the next synchronization. However, if that deleted batch has already been recalled to the central site, the recall takes precedence and the batch will not be deleted at the central site.

Recalling a Batch

You recall a batch from within the central site Batch Manager.

To recall a batch

1 At the central site, open Batch Manager.

2 Select the batch (or batches) you want to recall.



3 Select File | Recall Remote Batch. A confirmation dialog displays.

Figure 8-2. Recall Remote Batch Menu Item

Note You can only select this menu item if the batch status is In Progress (<Site Name> - Ready to download), or In Progress (<Site Name> - Downloading), or In Progress (<Site Name> - Downloaded).

4 Select Yes to confirm the recall. If you selected Yes, the designated batches are recalled to the central site.

Unrejecting Batches

You can unreject a batch or group of batches with a single command without having to view each rejected document and unreject each image. A rejected batch is a batch that has been rejected because of a processing error. You can only unreject a batch that has a status of Error.

To unreject selected batches

1 From the Batch Manager, select a batch that has a status of Error.

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2 Then, do one of the following: • From the File menu, select Unreject Selected Batch(es).• Right-click the selected batch, and then, on the context menu that displays,

select Unreject.

3 Click Yes to unreject the batch and update the batch status.

To unreject all batches

1 In the Batch Manager, from the File menu, select Unreject All Batches.

2 Click Yes to unreject all batches and update their status.

When you unreject a batch:

• All documents and pages within a batch are unrejected.• The status of the batch changes to Ready. The resulting state of a batch after

being unrejected is the same as if it was unrejected by the Quality Control module.

• If a batch is being processed at the time you select unreject a batch, the batch cannot be unrejected. It is skipped and an error displays.

Images that have been unrejected can still be processed properly with VRS QC Later.

Checking the Status of Batches at the Central SiteYou can check the status of batches at the central site with the Batch Manager. If you open the Batch Manager at the central site, you may see any of the following statuses.

Figure 8-3. Central Site Batch Statuses

• Ready (<Site Name> - <Module Name>) This means the batch is ready for the KCN Server queue and indicates which site will process the specified module.

• In Progress (<Site Name> - Ready to download) This means the batch is ready to be download to the designated remote site.



• In Progress (<Site Name> - Downloading) This means the batch is now being downloaded to the designated remote site.

• In Progress (<Site Name> - Downloaded) This means the batch has been downloaded to the designated remote site.

Checking the Status of Batches at a Remote SiteYou can check the status of uploaded batches with the RSA, with the Batch Processing dialog box, or with the Batch Manager main display.

Batch Processing Dialog Box

The Batch Processing dialog box appears automatically when a batch ready for the KCN Server queue is processed. When the Batch Processing dialog box displays, you can wait until the check status countdown interval has expired (at which time automatic synchronization will occur), or click Check Now.

When Check Now is clicked, the status of the batch is checked by the KCN Web server, and the status of the batch is updated on the display at the remote site.

To dismiss the dialog box, you can click Check Later.

Once a batch has been successfully inserted into the Kofax Capture workflow at the central site, the Batch Processing dialog box closes, and the batch is deleted from the Batch Manager display at the remote site.

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Figure 8-4. Batch Processing Dialog Box

To check the status of an uploaded batch immediately after uploading

1 From the main display of Batch Manager at the remote site, select a batch that is in the KCN Server queue and has a status of Ready.

2 Select File | Process Batch.

The Batch Processing dialog box will automatically display.

3 When the Batch Processing dialog box displays, to immediately check the status of the uploaded batch, click Check Now. The display will be refreshed.

As long as the status of the batch is displaying in the Batch Processing dialog box, you can click Check Now to refresh the display, or wait for the display to automatically refresh when the check status countdown interval reaches zero. The countdown interval will restart at the value specified for the batch processing dialog polling setting, if the batch has not yet been inserted into the Kofax Capture workflow at the central site.

To check the status of an uploaded batch later

1 From the main display of Batch Manager at the remote site, select the batch that is in the KCN Server queue. If it has not been inserted into the Kofax Capture workflow at the central site, the status of the batch will likely be In Progress (status).



2 Select File | Process Batch. The Batch Processing dialog box will display, and the status of the batch will update.

3 To dismiss the Batch Processing dialog box, click Check Later.

If the batch has been inserted into the Kofax Capture workflow at the central site, the Batch Processing dialog box will close and the batch will be deleted from the Batch Manager display.

To verify that the batch has been inserted, right-click the RSA icon in the system tray. Then, select Status. The Remote Synchronization dialog box will display. Look for your batch by name in the display. Its status should display “Batch was successfully inserted: <batch name>”.

Remote Synchronization Agent Dialog Box

You can check the status of uploaded batches (and other polling activity) by viewing the status in the Remote Synchronization Agent dialog box. Within the Remote Synchronization Agent dialog box, the status is displayed from the client log file named ACICYYMM.txt, where YY is the current year, and MM is the current month.

To display the Remote Synchronization Agent dialog box, do one of the following:

• Right-click the RSA system tray icon, and select Status from the context menu. • Double-click the RSA system tray icon.


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Limiting Volume Licenses at Remote Sites

The KCN Server Remote Site Volume Management feature allows you to control the manner in which your volume licenses are shared by your remote sites. In other words, if you have a certain volume of Scan/Import Page Count, you can divide this volume among your remote sites in any way you desire. Each remote site could be given the entire amount, or each remote site could be allocated any fraction of the license volume.

Normally, a volume license is shared across all stations in a Kofax Capture installation. If KCN Server is installed, volume license usage is shared across the central site and all remote sites. This configuration is ideal if you want to centrally manage a license pool.

However, in some situations, there might be an advantage to treating each remote site as an independent consumer of volume licenses. This feature allows you to assign specific limits for volume-based licenses to remote site profiles. This setting is optional, and can be done for all, none, or some of the volume-based licenses.

From the perspective of a remote site, these limits set the maximum volume available to it, regardless of the total volume allowed by the license at the central site.

The following example illustrates how this works.



Assume that, at this moment, you have the following licenses and volumes at the central site:

You have already created a remote site profile called “Back 40” and now want to limit some of the volumes available to that profile. By implication, all remote sites assigned the “Back 40” profile will have the same limits placed on them.

You set the following volume limits on the “Back 40” remote site profile:

The preceding settings mean that each remote site with this profile has a maximum annual allowance of 500 scan/import pages and 400 PDF Image + Text pages. No “one time use” volume was assigned.

Note that if you have ten remote sites with the “Back 40” profile, you have essentially allocated 5000 concurrent license volume counts and 4000 PDF Image + Text license volume counts. The combined total of the remote sites greatly exceeds the maximum allowed by these licenses at the central site. Even so, the central site maximum volume provides an absolute limit on the volume for your entire installation, and cannot be exceeded during production regardless of your combined remote site allowances.

Each time your remote sites synchronize with the central site, the available volume reported at the central site is decremented according to the usage at the remote sites. In this example, once the maximum volume is reached at the central site, the system will no longer be able to process batches.

Following are the basic steps to limit volumes at remote sites. This procedure assumes that a remote site profile already exists and that at least one remote site has been assigned to that profile.

Name and Type of License Maximum Volume Available Volume

Scan/Import Page Count - Annual 1000 1000

Scan/Import Page Count - One Time Use 1000 1000

PDF Image + Text - Annual 1000 1000

PDF Image + Text - One Time Use 1000 1000

Name Period Periodic Limit One Time Use Limit

Scan/Import Page Count Annual 500 0

PDF Image + Text Annual 400 0

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To limit remote site volumes

1 At the central site, run the Administration module.

2 Select Edit | KCN Server Remote Site Profiles. The KCN Server Remote Site Profiles dialog box displays.

3 In the Name field, select the remote site profile you want to modify.

4 Click the Volume Licensing tab. Note the available licenses at the top and the applied limits at the bottom. If this is the first time you have modified volume licensing limits for this profile, all the boxes will be unselected.

5 Select one of the licenses. A check mark appears in the selected box and the two limit fields change from “No Limit” to 0.

6 Click in the Periodic Limit field and enter a number from 0 to 2000000000. This limits the periodic license count for the selected license type.

7 Click in the One Time Use field and enter a number from 0 to 2000000000. This limits the “one time use” license count for the selected license type.

8 Repeat steps (5 - 7) for other license types as desired.

9 Click Save. This saves your changes to the selected remote site profile.

10 Repeat steps (3 - 8) for other remote site profiles as necessary.

11 Close the dialog box. The next time a remote site assigned to that profile synchronizes, the new licensing limits will be transferred.

Monitoring ActivityAs the KCN Server performs its tasks, information is stored in various log files.

Windows Application Event Log File

You can view the Windows application event log file using the Event Viewer. You might want to view the Windows Application Event Log, if the RSA stops running.

The event viewer displays:

• The date and time of the event • User name• Computer name• Event ID• The name of the software that logged the event



• Severity level of the event• Source of the event

To display the application log file using the Event Viewer

1 From the Control Panel, select Administrative Tools | Event Viewer.

2 Select Application from the Tree tab located in the left pane. This will display the application log in the right pane.

3 Double-click any line item in the application log file to see additional details about the event.

KCN Server Log Files

Information on KCN Server operations is stored in log files at the KCN Server. Errors that occur during batch status checking are logged at the remote site’s ACICYYMM.txt log file.

Server Log Files

Errors are logged from the KCN Service, and are sent to the <Kofax Capture installation folder location>\logs\ACISYYMM.txt file. The YY specifies the current year and the MM specifies the current month; for example, ACIS0305.txt.

Each entry in the ACISYYMM.txt log file includes the following information:

• Date and time that the RSA locked the batch for processing• Status number• Module name• Kofax Capture server name• Kofax Capture server version• Transfer identifier• Remote site name• Remote station ID• Remote Kofax Capture version• Message• Extra information as appropriate

Errors are also logged from the KCN Server, and are sent to the <KCN Server folder location>\logs\ACIWYYMM.txt file. The YY specifies the current year and the MM specifies the current month; for example, ACIW0305.txt.

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Remote Site Log File

The client log file, ACICYYMM.txt, lists the activity between the remote site and the central site, including information about downloaded batch classes, uploaded batches, and other information.

Each entry in the log file includes the following information:

• Date and time• Status number• Message• Station ID• Windows computer name

Switching Central Sites (Web Server URLs)The Web Server URL dialog box is used to specify the central site’s Web server URL. You might need to switch URLs, if the Web server experiences a problem. The instructions below assume you are using the same Kofax Capture server at your central site with the old and new Web server.

Note If the new Web server points to a different Kofax Capture server, ensure that there are no batches in process, before switching central sites.

To switch central sites by specifying the URL of a different Web server

1 Open Batch Manager at the remote site.

2 Select Options | KCN Server | Web Server URL. The Web Server URL dialog box will display the previously entered Web server URL.

3 In place of the old Web server URL, type the URL of the new Web server.




Note If the Web site requires SSL, you must specify the URL with “https”, instead of “http.”

4 Click OK.

If the URL cannot be validated, an error message will display. If this occurs, check the spelling of the Web server URL.

If the specified Web server URL is validated, and all pending statistics and pending batches have been uploaded to the old central site, a warning displays prompting you to confirm switching central sites.

A message also displays stating that new batch classes and licensing will be downloaded, and batches classes and licensing from the old site will be discarded.

5 When prompted, click Yes to confirm changing the URL.

If you want to track user statistics, you will have to ensure that user tracking is configured at the Kofax Capture central site server.

Tracking User StatisticsIf the user tracking feature is enabled in Kofax Capture at the central site, user tracking will begin for each module the next time that module is started. If a module is running when batch classes are downloaded, then that module will not record user tracking until it is restarted.

Batch user tracking statistics are uploaded whenever a batch is uploaded from a remote. Statistics for deleted batches and launched modules are uploaded only when synchronization occurs.

Once uploaded, user tracking statistics are incorporated automatically into the central Kofax Capture database. Once a batch is successfully uploaded and inserted, the remote site RSA deletes all user tracking statistics associated with that batch at the remote site.

If that batch is subsequently downloaded to any remote site, all its associated statistics remain at the central site (they are not downloaded with the batch). In other words, the central site serves as a repository for the batch statistics, but does not share them with the remote sites.

For more information on tracking user statistics, refer to the Kofax Capture online Help.

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Appendix A

Using the Standard Auto-ImportFeature

IntroductionThe auto-import feature allows the Scan module to create batches by reading batch information (such as the paths to images stored on disk, index data, and more) from special-purpose auto-import files.

Note The standard auto-import feature remains for legacy use and backward compatibility only, and is replaced by the newer, more robust Kofax Capture Import Connector – XML feature presented in Appendix B on page 273.

Auto-import is implemented as a command line option, and it is designed to allow another application to gather batch information, store the information in a special-purpose file, and then launch the Scan module to create the batches from the information in that file. As soon as Scan is finished auto-importing the batch, an “auto-import is complete” message is sent back to the calling application and that instance of Scan is completely shut down. The batches are then ready for processing within Kofax Capture.

For example, you might have an application that polls a system folder for incoming faxes. When a fax comes in, the application stores information about the images in a file. When a certain number of faxes have come in or a certain amount of time has passed, the application launches the Scan module to create the batch. Once the batch is created, it can be routed to other Kofax Capture processing queues as defined by the batch class.

Note Refer to Appendix B – Using the XML Import Connector Feature on page 273 for information about automatically importing information into Kofax Capture.

Appendix A


Importing Image Files and Index DataTo auto-import image files and index data, you must have an auto-import ASCII text file and an optional .ini file. The ASCII text file must contain the index data and the paths/filenames of the files to import. Additional batch information (such as the batch name, batch description, and priority) can be stored in the optional .ini file.

Image File Information and Index Data (ASCII Text File)

The auto-import ASCII text file must have the following entries. (They are shown below on separate lines to make them easier to read. In the text file, all information for a particular image file must be on the same line.)

“batch class name”,“index field name”,“associated index field value”, “index field name”,“associated index field value”,…“index field name”,“associated index field value”,“path and file name of the document image”

For example:“Medical Forms”,“Plan Num”,“JM3891”,“Name”,“Lee”,“x:\reldocs\5.tif”

“Medical Forms”,“Plan Num”,“PB7930”,“Name”,“Smith”,“x:\reldocs\6.tif”

Note For the files to import, the total path and file name must be less than 127 characters.

Parsing Logic

When parsing the auto-import ASCII text file, Kofax Capture does the following:

• Looks for the initial quotation mark• Looks for the first comma following the next quotation mark• Uses the value between the initial quotation mark and the last quotation mark

encountered before the comma, and ignores data outside the quotation mark pair.

In the following examples, the underlined text represents the values that Kofax Capture uses.

“index field name”, “associated index field value”,

Using the Standard Auto-Import Feature


Embedded quotation marks or embedded commas are supported.

“index field name”, “associated index “field” value”,“index field name”, “associated, index, value”,

However, you cannot embed a comma after an embedded quotation mark. For example, with the following item in the ASCII text file:

“index field name”, “associated “index, field” value”,

An “Unable to determine index values for all specified index fields” error will be logged to the auto-import log file. For this case, the batch will not be created.

Associated Batch Information (.ini File)

By default, batches created with the auto-import feature use the default batch name, description, and priority level. (The defaults are date/time for the batch name, no description, and 5 for priority level.) If you don’t want to use the default values, you can provide an .ini file containing your desired values. If you have an .ini file, it must have the same name as its associated text file. For example, if the name of your text file is “Medforms.txt,” the name of your .ini file must be “Medforms.ini.” Both files must exist in the same folder.

The format for the .ini file is shown below.

[Options]BatchName0=Description0=Priority0=. . . BatchNamen=Descriptionn=Priorityn=

For example:

[Options]BatchName0=Import00-03/12/12Description0=Patient medical formsPriority0=4BatchName1=Import01-03/12/12Description1=Patient medical formsPriority1=

Appendix A


Note that any parameter left blank will be set to the default value. For example, “Priority1=” from the preceding example would set the priority of the batch to 5.

Auto-Import Log File

During an auto-import operation, the Scan module writes entries to a log file. The entries describe the results of the operation. Information is logged to the log file in the following format:

START: batch name , start date , start time

Name of first file imported

Name of second file imported

. . .

Name of last file imported

END: end date , end time , error number , index of last file imported ,

error message

The name of the log file is Autoimpo.log, and it is stored in the same folder as the auto-import text file. When importing image files only, you have the option of overriding the default log file name, as shown in the sample .ini file format in Importing Image Files Only on page 270.

When an error occurs, a non-zero constant and an error message are logged to the file. When the auto-import process is successful, a code of 0 (zero) is logged.

Running Auto-Import for Image Files and Index Data

You can launch the Scan module for an auto-import operation to import image files and index data with the following command:

SCAN -i:Path\TxtFileName Options

Where:

-i:Path\TxtFileName This is the path and file name of the text file that contains the index data and the locations and names of the image files to import.



-w:hWnd This is the window handle of the application to receive an “auto-import is complete” message. Specify the handle in decimal format, rather than hexadecimal. This option is not required, but if specified, it requires a message ID.This form of notification is preserved for older applications. Newer applications can use Windows process synchronization facilities to achieve the same effect.

-m:MsgID (optional) Specifies the ID of an “auto import is complete” message, which is sent to the window handle when the application is shut down. Specify the message ID in decimal format, rather than hexadecimal. Windows requires that this number be greater than 1024. This option is required if a window handle is specified with the “-w” option.

-u:“UserID” Specifies the Kofax Capture user ID. If specified, the user ID must be enclosed in quotes. If the Kofax Capture User Profiles feature is enabled, the specified user must have privileges to run the Scan module and all of the batch classes used in the XML Import Connector file. In addition, the password parameter must be specified with the “-p” option described below. If this is not the case, the error “User not found” or “User not privileged” will be generated.If specified, and User Profiles is not enabled, this parameter will be ignored. The batches will be imported and no message regarding User Profiles will be generated.If not specified, and User Profiles is enabled, the error “User not found” will be generated.

-p:“Password” Specifies the password for the operator specified with the “-u” parameter described above. If specified, the password must be enclosed in quotes. A password must be specified if a user ID is specified. Passwords specified in the XML Import Connector file are not protected. To preserve the integrity of the password, you can protect your files with operating system features. For example, you can store the files in folders where only the desired users have read/write privileges.

Appendix A


During the auto-import operation, the Scan module sequentially reads the entries in the text file and imports all images into the same batch until a different batch class name is encountered. For example, if the first 50 image files specified in the text file have the same batch class name, all 50 files will be placed in the first batch. If the next 25 image files have a different batch class name, those files will be placed in a second batch, and so on. If a blank line is encountered in the text file, a new batch will be started.

Importing Image Files OnlyTo auto-import image files only, you need an auto-import .ini file that contains the names of the files to import, along with other information required for the operation. You might want to use this method if the requirements of your application are such that index data is not needed.

Image File Information Only - No Index Data (.ini File)

The auto-import .ini file for image file information must have the format shown in the following example:

[Options]BatchName=Import00-03/12/12 Name of batch Description=Patient History Forms Description of batchBatchClass=Patient Forms Name of batch class (see note below)Priority=7 Priority level (1-10)PagesPerDoc=1 Fixed number of pages per documentorPagesPerDoc =”auto” Supports separation method defined for

the batch class in the Administrationmodule

hWnd=1111 Handle to window to receive messagesMsgID=1074 Message number returned

LogFile=C:\Program Files\Kofax\Capture\Imp.txt Path/name of file to log resultsFile0=F:\FAX\001.tif List of files to importFile1=F:\FAX\002.tifFile1=F:\FAX\003.tif…Filen=F:\FAX\00n.tif



Note For the files to import, the total path and file name must be less than 127 characters.

Note the following:

• The Priority entry overrides the default priority defined for the batch class. For example, if the priority for the document class is 5 and the priority specified in the auto-import file is 10, 10 will be used for that batch. If no Priority entry is defined, Kofax Capture uses 5 as the default.

• The Priority entry also supports an entry of Low (9), Normal (5), or Urgent (2), to ensure compatibility with Ascent Capture 2.x.

• The PagesPerDoc entry overrides the default value defined for the batch class. If you do not include a PagesPerDoc entry, your batch will contain the same number of documents as you have files in your list (one document per file). Each document will contain the same number of pages as its associated file. If the PagesPerDoc entry is “auto,” then auto-import uses the separation method defined for the batch class in the Administration module.

• The list of files (File0=, File1=, and so on) must be sequential. For example, if you have five files to import, they must be listed in the .ini file as File0=, File1=, File2=, File3=, and File4=. If your list skips a number (for example, your list goes file File0= to File2=), processing will end after File0 is imported.

• The LogFile entry allows you to specify a path and file name for the log file. If not specified, the default name (Autoimpo.log) will be used. Refer to Auto-Import Log File on page 268 for more information about the log file entries.

• Required entries are the following:BatchClass= or DocumentClass= Image file names

• The hWnd= entry and the MsgID= entry, if specified, must use decimal format, rather than hexadecimal format.

• Because Kofax Capture is a 32-bit application, the specified window handle must refer to a valid 32-bit window handle. If a 16-bit application is used to specify a window handle, the messages will not be returned successfully to the application.

Appendix A


Running Auto-Import for Image Files Only

You can launch the Scan module for an auto-import operation to import image files only with the following command line:

SCAN -i:Path\INIFileName

Where:

Auto-Import IssuesWhen using the auto-import feature, be aware of the following:

• The auto-import process will stop if it detects a batch class defined as follows:Batch class for which batch totaling is in effectBatch class defined with batch fieldsBatch class with multiple form types that use index values

• Auto-import does not validate index values. The assumption is that a Validation queue will be defined to process the values and allow for translation of invalid index values to valid values.

-i:Path\INIFileName This is the path and file name of the .ini file that contains the locations and names of the image files to import.


Appendix B

Using the XML Import ConnectorFeature

IntroductionKofax Capture Import Connector – XML is a newer alternative to the legacy standard auto-import functionality described in Appendix A on page 265. Like standard auto-import, XML Import Connector allows you to create batches by reading batch information from special-purpose files. However, XML Import Connector differs from the standard auto-import in several ways, and delivers a more robust method of importing batches.

With XML Import Connector:

• You can run XML Import Connector as Kofax Capture unattended module, a Kofax Capture service, a process, or on demand.

• Batches are created and “put into” the Kofax Capture workflow without launching the Scan module. Note that the Scan module must be added to your batch class in order to use XML Import Connector.

• Batch information is read from an XML file that you supply, which provides all the benefits of a standardized and widely-used input format (XML). For more information about the required XML file structure, see XML Import Connector Files on page 285.

• You can automatically poll a specified directory for XML files to process.• You can create batches with batch classes that contain multiple document

classes.• You can create batches with batch classes that contain multiple form types. • You can perform document separation and form identification during the

import process.• You can create batches with batch classes that contain batch fields, and specify

values for the batch fields.• You can create batches that contain index fields for which batch totaling is

enabled.

Appendix B


How XML Import Connector Works

XML Import Connector allows you to import batches of loose pages and documents into your Kofax Capture system without launching the Scan module. It can be run as an unattended module, a service, a process, or on demand. Depending upon the command line arguments used, the application either polls for XML Import Connector files or opens a specified XML file. After opening an XML file, XML Import Connector reads the batch information, creates the batches, and makes them available to Kofax Capture. Once the batches are created, they can be processed through the Kofax Capture workflow just like batches created with Scan.

In addition to loose pages and documents, you can import index field and batch field values. The XML Import Connector process automatically validates batch field values according to the data type and length settings for the fields, as specified in the batch class. Index field values are not validated. You can also process index fields for which batch totaling is enabled.

As events or errors occur during the XML Import Connector process, they are written to an XML Import Connector log file that allows you to monitor the batches imported into the system. Errors are also written to the standard Kofax Capture error log and the XML Import Connector file. For details, see Event Logging on page 310.

If you wish, you can use a customized program that gathers batch information and stores it in special-purpose XML files to utilize XML Import Connector. If running as an unattended module, a service, or a process, you can place the XML files in a directory that is polled at a specified time interval. If running XML Import Connector on demand, you can process a specific XML file by incorporating the command line into your program.

Note XML Import Connector is useful if you have a program that can generate XML files for you and/or if you need to import your batches asynchronously. If this is not the case, it may be easier to import data into Kofax Capture directly by writing a custom application using the Kofax Capture Module Type Library. Refer to the Kofax Capture Developer’s Guide for more information.

Using the XML Import Connector Feature


XML Import Connector Unattended ModuleIf you run XML Import Connector as an unattended module, the application automatically polls for XML files. The unattended module can be started from the Start menu or by using the –GUI command line argument. Once started, you can monitor how the XML files are processed by watching the main screen of the user interface. The user interface for the XML Import Connector unattended module is similar to other unattended Kofax Capture modules. It provides a menu bar from which you can select various operating preferences, an area that displays progress information about the XML files being processed, and an event log into which messages are listed as processing events occur.

The XML Import Connector unattended module can be launched using the –GUI option on the command line or the XML Auto Import shortcut provided in the Kofax Capture program group from the Start menu.

Figure B-1. Kofax Capture Import Connector – XML – Main Screen

Appendix B


File Menu

Two options are available from the File menu:

Process Next XML File in Polling DirectoryUse this option to immediately poll for the next XML file to process without waiting for the next scheduled polling time. If XML files are found, they will be processed. As batches are processed through the XML Import Connector module, information about the batches is displayed in the Current Batch Information and Current Batch Progress areas on the main screen. Refer to Polling Interval in Tools Menu below for more information about polling times.If you launch the XML Import Connector module from the Start menu shortcut or you do not specify a polling directory, the default directory (C:\Acxmlaid) is used as the polling directory.Between polling times, the amount of time (in minutes and seconds) that has passed since the last poll is displayed in the status bar. Refer to Status Bar on page 278 for details.

ExitUse this option to stop polling for XML files and exit the XML Import Connector unattended module.

Tools Menu

The options on the Tools menu allow you to select a polling interval and the Auto-Scroll logging option.

Polling IntervalAs an unattended module, XML Import Connector requires no user intervention to process XML files. Once started, it automatically checks (or polls) for XML files to process. The polling interval is the amount of time (in seconds) between polling times. The default is 60 seconds.



To specify a polling interval

1 From XML Import Connector menu bar, select Tools | Polling Interval. The Polling Interval dialog box will display, as shown in Figure B-2.

Figure B-2. Polling Interval Dialog Box

2 Enter or select the desired polling interval. You can specify from 1 to 86,400 seconds (24 hours).

Logging OptionsAs files are processed, messages are generated that describe the results of processing. The messages are listed in the Event Log area at the bottom of the XML Import Connector main screen. (See Figure B-1.) The only available logging option is Auto Scroll. This option enables or disables scrolling in the Event Log area. When enabled, the list scrolls as messages are logged so that the last message is visible at the bottom of the log area. Auto Scroll is selected by default.

Help Menu

The Help menu provides two options:

Kofax Capture Help TopicsUse this option to display online Help for XML Import Connector.

About Kofax CaptureSelect this option to display information about XML Import Connector, such as the version number of the software and copyright information. In addition, you can access the Kofax Technical Support Web pages from the About box.

Event Log

As documents are processed, event messages are generated that describe the results of processing. The messages are listed in the Event Log area at the bottom of the XML Import Connector module main screen.

Appendix B


Tip Some messages may be too long to be completely visible in the Event Log area. For these messages, you can double-click on them to display the complete message.

The event messages are also logged to the XML Import Connector log file. Note that if you launch the XML Import Connector module from the Start menu shortcut or you do not specify a log file, the default log file (C:\Acxmlail.txt) is used as the XML Auto-Import log file.

Status Bar

The status bar at the bottom of the XML Import Connector screen displays information about the current action being performed by XML Import Connector. In addition, between polling times, the time (in minutes and seconds) since the last polling time is displayed on the right side of the status bar.

Command Line ArgumentsTo run XML Import Connector as a service, process, or on demand, you must use command line arguments. You can also run XML Import Connector as an unattended module by using command line arguments. The name of the XML Import Connector application is Acxmlai.exe, and it is installed to your Kofax Capture\Bin folder.

The general syntax for the XML Import Connector command line is as follows:Acxmlai [Option]

All command options must be preceded by a hyphen. With the exception of the -Install option, which must be used first if you plan on running XML Import Connector as a service, the options can be specified on the command line in any order.

Note Command line options are case insensitive.



The following command line options are supported:

-Install Installs the XML Import Connector application as a service. With this option, the –Poll option is implied. The service name is “Kofax Capture Import Connector – XML” and uses the LocalSystem account as the default user.If you want to install the XML Import Connector as a service, this must be the first option on the command line. All command line options desired for the service must be listed after the -Install option. For example:Acxmlai –Install –Poll:60 –PollDir:“C:\Polling Dir” A message will display regarding the success or failure of the -Install option. This message is also written to the Windows Event Viewer application log. Note that the installation will fail if the service is already installed. If you want to change your options later, you must uninstall and then reinstall the service.Remember to start the service manually or configure it to auto start after using the –Install option. Refer to Appendix C – Installing Services on page 319 for information about services.

-GUI Launches the Kofax Capture Import Connector – XML module. For example:Acxmlai –GUI –PollDir:“C:\Polling Dir” With this option, the –Poll option is implied. Refer to XML Import Connector Unattended Module on page 275 for more information about the user interface.

-i:FileName.xml Specifies an XML Import Connector file to process immediately (on demand). It can be specified with an absolute, relative, or UNC path. File names/paths containing spaces must be enclosed in quotes. For example:Acxmlai -i:“C:\My Files\XMLFile.xml” The XML Import Connector file must be opened exclusively during the entire auto-import session. If this is not possible (for example, the file does not exist or is open by another user), the error “XML file cannot be opened” will be generated.The XML Import Connector file should have an extension of “xml”. If no file name is specified, the default file name (“.\AutoImp.xml”) is assumed.Refer to XML Import Connector Files on page 285 for more information about the XML Import Connector file.

Appendix B


-Poll:seconds Polls the control directory specified with the “-ControlDir” option, if applicable, or the polling directory specified with the “-PollDir” option at the specified time interval. Specify the polling time interval in seconds. For example:Acxmlai –Install –Poll:120 –PollDir:“C:\Polling Dir” If the control directory and/or polling directory options are not specified, the application will poll the default directory (“C:\Acxmlaid”).If the polling time interval is not specified and this is the first time the –Poll option has been invoked, the default polling interval of 60 seconds is used. Otherwise, the most recently used polling interval is used.This option is implied if the –Install or -GUI option is specified.

-Uninstall Removes the XML Import Connector application service. For example:Acxmlai –Uninstall A message will display regarding the success or failure of the -Uninstall option. This message is also written to the Windows Event Viewer application log.

-PollDir:directory Specifies the XML Import Connector polling directory. It can be specified with an absolute, relative, or UNC path. File names/paths containing spaces must be enclosed in quotes. For example:Acxmlai –Poll:60 –PollDir:“C:\Polling Dir” The files located in the polling directory should have an extension of “xml”. All other files will be ignored. Note that files in subdirectories will also be ignored.If not specified, the application will poll the default directory (“C:\Acxmlaid”). If the specified or default directory cannot be found, it is created. If the directory is invalid and cannot be created, the application will automatically shut down or stop the service, as appropriate. If you launch the XML Import Connector module from the Start menu shortcut, the default directory is used as the polling directory.This option is ignored if the –Poll option is not specified or implied with the -Install or –GUI options.



-ControlDir:directory Specifies the XML Import Connector control directory. The control directory can be specified with an absolute, relative, or UNC path. File names/paths containing spaces must be enclosed in quotes. For example:Acxmlai –Poll:60 –ControlDir:“C:\Control Dir” –

PollDir:“C:\Polling Dir” If used, the XML Import Connector application will poll the specified control directory. If a file is found, the application will then attempt to locate a file with the same name and an “xml” extension in the polling directory. If found, the XML file in the polling directory is opened and processed. Note that files in subdirectories will be ignored.This option is useful when another process is submitting XML files to the polling directory. It prevents the XML Import Connector application from reading XML files in a partially written state.To use this feature, have your process write the XML file to the polling directory first and then write a file to the control directory. This will indicate that the XML file is complete and ready to be polled. Note that the control directory file contents are ignored and may be of zero length if desired.After the XML file has been completely processed, the XML Import Connector application will delete the file located in the control directory. This will occur regardless of whether the XML file was processed successfully or not.If the specified control directory cannot be opened, it is created. If not specified, the default directory (“C:\Acxmlaic”) is used. If the directory is invalid and cannot be created, the application will automatically shut down or stop the service, as appropriate.This option is ignored if the –Poll option is not specified or implied with the -Install or –GUI options.

-NoLogo Prevents the Kofax Capture splash screen from displaying when the user interface is invoked with the –GUI option. For example:Acxmlai –GUI –NoLogo This option is ignored if the –GUI option is not specified.

Appendix B


-u:“UserID” Specifies the Kofax Capture user ID. If specified, the user ID must be enclosed in quotes. For example:Acxmlai –Install –u:“Joe” –p:“abcd” –Poll If the Kofax Capture User Profiles feature is enabled, the specified user must have privileges to run the Scan module and all of the batch classes used in the XML Import Connector file. In addition, the password option must be specified with the “-p” option described below. If this is not the case, the error “User not found” or “User not privileged” will be generated.Note that the user ID and password are not shared with other processes on the same computer. This is different from other Kofax Capture modules where the user logged in can open other modules for which he has rights.If specified, and User Profiles is not enabled, this option will be ignored. The batches will be imported and no message regarding User Profiles will be generated.If not specified, and User Profiles is enabled, the error “User not found” will be generated.

-p:“Password” Specifies the password for the operator specified with the “-u” option described above. If specified, the password must be enclosed in quotes. A password must be specified if a user ID is specified. For example:Acxmlai –Install –u:“Joe” –p:“abcd” –Poll Passwords specified in the XML Import Connector file are not protected. To preserve the integrity of the password, you can protect your files with operating system features. For example, you can store the files in folders where only the desired users have read/write privileges.

-modify Changes user profile settings for a service after it has been installed. Use this command, along with -u and -p, to modify an existing user ID and password. For example:Acxmlai –modify –u:“NewUserID” –p:“NewPassword” If you have multiple instances of a service installed, you can specify the instance to change by adding a colon and the instance ID number to the “-modify” option. For example:Acxmlai –modify:2 –u:“NewUserID” –p:“NewPassword” Refer to Multiple Instance Support on page 329 for more information about installing multiple instances of a service.



-n Specifies that batches with errors are rejected and sent to the Quality Control module. For example:Acxmlai –Install –Poll –n If not specified, batches with errors are deleted. For more information about deleting batches, refer to Error Handling on page 311.For some fatal errors, the current batch is always deleted, even if the “-n” command line option is used. Refer to Error Messages on page 314 for more information about the types of errors for which batches are always deleted.

-v Causes more details to be logged to the specified XML Import Connector log file. For example:Acxmlai –Install –Poll –v If the “-v” command line option is not used, only basic event information will be logged, which includes batch/file start and end information and error messages. If “-v” is used, page and document events will also be logged, which provides more verbose log information.Using this option could cause the log file to grow large quickly. You should carefully monitor your log files and purge them as necessary.

-l:logfile.txt Specifies the XML Import Connector log file name. It can be specified with an absolute, relative, or UNC path. File names/paths containing spaces must be enclosed in quotes. For example:Acxmlai -i:XMLFile.xml -l:“C:\My Logs\Mylog.txt” If not specified, or if the specified file cannot be opened, events will be logged to the default log file (C:\Acxmlail.txt).If the –LogMonthly option is specified, then this option is ignored.Refer to Error Handling on page 311 for more information about error logging.

Appendix B


-LogMonthly:directory Specifies the directory where the log file is to be written. All log information is written to a file called XML_yymm.txt, where yy is the last two digits of the year and mm is the current month. A new log is created when an XML file is processed for a new month or year. It can be specified with an absolute, relative, or UNC path. File names/paths containing spaces must be enclosed in quotes. For example:Acxmlai –LogMonthly:“C:\XML Log” This option overrides any log file specified with the –l option.If a directory is not specified, the default directory (“C:\Acxmlail”) is used. If the directory is invalid and cannot be created, the application will automatically shut down or stop the service, as appropriate.

-MoveSuccess:directory Specifies the directory to send XML files if batches in the XML file were processed without errors. Note that any associated image files are not moved. It can be specified with an absolute, relative, or UNC path. File names/paths containing spaces must be enclosed in quotes. For example:Acxmlai –MoveSuccess:“C:\XML Success” If a directory is not specified, the default directory (“C:\Acxmlai\Success”) is used. If the directory is invalid and cannot be created, the application will automatically shut down or stop the service, as appropriate.

-MoveError:directory Specifies the directory to send XML files if errors occur while processing the XML file. Note that any associated image files are not moved. It can be specified with an absolute, relative, or UNC path. File names/paths containing spaces must be enclosed in quotes. For example:Acxmlai –MoveError:“C:\XML Error” If a directory is not specified, the default directory (“C:\Acxmlai\Errors”) is used. If the directory is invalid and cannot be created, the application will automatically shut down or stop the service, as appropriate.

-DelSuccess Deletes the XML file and associated image files if all batches in the XML file are processed without errors. For example:Acxmlai –Poll –DelSuccess This option will override the –MoveSuccess option, if specified.



XML Import Connector FilesXML Import Connector files contain XML elements that specify batch information, such as batch name, batch class name, document class name, form type name, index field information, and more. Each element in turn supports attributes that provide more detailed information about the batches and documents.

The XML Import Connector application uses the XML Import Connector file for input and output:

• On input, it reads batch information to create batches. • On output, it writes status information for each batch in the XML file that

indicates whether the batches were processed. This prevents the XML Import Connector application from attempting to duplicate a batch or generating errors if the XML Import Connector file was previously processed. For details, see the <Batch> Processed attribute on page 294.

If errors occur during processing, error codes and messages are also written to the XML Import Connector file. Refer to Error Handling on page 311 for more information about how errors are handled.

Note In addition to writing attributes and error information, the XML Import Connector application may change some of the non-essential characteristics of the XML Import Connector file. For example, the resulting file may be slightly reformatted.

-w:hWnd This is the window handle of the application to receive an “Auto-Import is complete” message. Specify the handle in decimal format, rather than hexadecimal. This option is not required, but if specified, it requires a message ID.Note that this form of notification is preserved for older applications. Newer applications can use Windows process synchronization facilities to achieve the same effect.

-m:MsgID Specifies the ID of an “auto import is complete” message, which is sent to the window handle when the application is shut down. Specify the message ID in decimal format, rather than hexadecimal. Windows requires that this number be greater than 1024. This option is required if a window handle is specified with the “-w” option.

Appendix B


Creating an XML Import Connector File

To create an XML Import Connector file, you can use any standard tool that creates XML files, or a text editor, such as Notepad. However, the XML Import Connector file must conform to the structure required by the XML Import Connector application.

Refer to Elements and Attributes on page 288 for more information about the XML elements and attributes that you can use in your XML Import Connector files.

Note A Document Type Definition (DTD) file named Acaidef.dtd is installed to your Kofax Capture \Bin folder. The DTD file provides a formal description of the XML Import Connector document’s structure.

General Structure of the XML Import Connector File

The general structure for an XML Import Connector file is shown below. Like any XML document, the file is made up of XML elements (or tags). Each element, which consists of a start tag and an end tag, delimits data to be interpreted by the Kofax Capture Import Connector – XML application (Acxmlai.exe).

General Structure of File Description of Elements<ImportSession Attributes> Top-level element

<Batches> Container for batch elements<Batch Attributes> Batch element

<BatchFields> Container for batch fields<BatchField Attributes /> Batch field element</BatchFields> End batch fields container<ExpectedBatchTotals> Container for batch totals<ExpectedBatchTotal Attributes /> Batch total element</ExpectedBatchTotals> End batch totals container<Folders> Container for folder elements<Folder Attributes> Folder element (It is possible to nest folders,

however for simplicity this feature is not shown here.)

</Folders> End folders container<Folders> Container for folder elements (It is possible to

nest folders and their documents, however for simplicity this feature is not shown here.)

<Documents> Container for document elements<Document Attributes> Document element

<IndexFields> Container for index fields<IndexField Attributes /> Index field element</IndexFields> End index fields container<Pages> Container for document pages



In the XML Import Connector file, the top-level element is <ImportSession>, which is required. All of the other elements in the file define one or more batches to import into the Kofax Capture system. You use them as necessary to import your batches.

For example, if your processing requirements dictate that you import index values, you must use the <IndexFields> container to hold one or more <IndexField> elements that define the index values. Otherwise, you do not need to use the index field elements in your XML Import Connector file.

Some of the elements support one or more attributes. An attribute (in the format attribute = “value”) provides information about how its associated element is interpreted. For example, the <Batch> element supports attributes that specify the name of a batch, the batch class for the batch, the priority for the batch, and more.

<Page Attributes /> Page element</Pages> End document pages container<Tables> Container for tables

<Table Attributes /> Table element<TableRow> Specifies table rows for the table

<IndexFields> Container for index fields<IndexField Attributes /> Index field element

</IndexFields> End index fields container</TableRow> End table row</Table> End table

</Tables> End tables container</Document> End document</Documents> End documents container</Folders> End folders container<Documents> Container for document elements<Document Attributes> Document element

<IndexFields> Container for index fields<IndexField Attributes /> Index field element</IndexFields> End index fields container<Pages> Container for document pages<Page Attributes /> Page element</Pages> End document pages container

</Document> End document</Documents> End documents container<Pages> Container for loose pages<Page Attributes /> Page element</Pages> End loose pages container</Batch> End batch

</Batches> End batches container</ImportSession> End top-level element

General Structure of File Description of Elements

Appendix B


For some of the attributes, values from the batch class or default values will be assumed. For example, if you do not specify a name for your batch, the date and time that the batch is created will be used. This is the default behavior in Kofax Capture, where the default name for a batch is the date and time. As another example, if you do not specify a priority for the batch, the priority defined in the batch class will be used.

For other attributes, errors will be generated if appropriate values are not supplied in the XML Import Connector file. For example, the <Batch> element supports an attribute to specify the name of the batch class to use for importing the batch. If you do not specify a valid batch class name, an error will be generated and the batch will not be created.

Elements and Attributes

The following sections provide reference information for the elements and attributes that make up an XML Import Connector file. Note the following:

• All element and attribute names are case sensitive, which conforms to XML standards.

• Some of the attributes supported by the XML elements are read during the XML Import Connector process, while others are written by the operation.

The attributes that are read contain batch information, such as the name for the batch, the batch class to use, and more. The attributes that are written contain error messages and process status

information. If the XML Import Connector process can be started for a batch, the <Batch> element’s Processed attribute will be set to “1.” If errors occur, error attributes will also be written.

When the XML Import Connector process is complete, you can examine the XML file for errors and the status information. For examples of XML Import Connector files for which error and status information has been written, see Examples of XML Import Connector Files on page 305.

<ImportSession> ... </ImportSession>

The <ImportSession> element is the top-level element for the XML Import Connector file, and serves as a container for all other elements. It is required, and supports the following attributes. Note that some of the attributes are read during the XML Import Connector operation. Other attributes are written by the operation.



Note Some of the functionality supported by the <ImportSession> attributes can be enabled with command line options. However, the attributes set for the <ImportSession> element will override the command line setting. Refer to Command Line Arguments on page 278 for more information about the command line options.

Table B-1. <ImportSession> Attributes

Attribute(Read/Write)

Type Description

UserID(Read)

String Specifies a user ID for the XML Import Connector operation, and is used if the Kofax Capture User Profiles feature is enabled. It behaves the same as the command line option for specifying a user ID (the “-u” option). Refer to Command Line Arguments on page 278 for details. Note that if the user ID is specified for the <ImportSession> element and on the command line, the user ID specified for <ImportSession> will be used.

Password(Read)

String Specifies a password for the XML Import Connector operation, and is used if the Kofax Capture User Profiles feature is enabled and a user ID is specified. It behaves the same as the command line option for specifying a password (the “-p” option). Refer to Command Line Arguments on page 278 for details.Note that if a password is specified for the <ImportSession> element and on the command line, the password specified for <ImportSession> will be used.

Appendix B


DeleteBatchOnError(Read)

0/1 Changes the default behavior of deleting batches with errors. Set DeleteBatchOnError to “0” to allow batches with errors to be retained, if possible, and sent to Quality Control. Batch deletion behavior can also be specified as a command line option (the “-n” option). If specified for <ImportSession>, the setting will override the command line setting. Refer to Command Line Arguments on page 278 for details.Note that for some types of errors, batches are always deleted, regardless of the DeleteBatchOnError or command line settings. For more information about error messages and deleting batches in error, refer to Error Handling on page 311.

LogFileName(Read)

String Specifies the name of the XML Import Connector log file. If not specified, or if the specified file cannot be opened or accessed, events will be logged to C:\Acxmlail.txt. Refer to Event Logging on page 310 for more information about logging events and the XML Import Connector log file.The XML log file name can alternatively be specified as a command line option (the “-l” or “-LogMonthly” option). If specified for <ImportSession>, this setting will override the command line setting. Refer to Command Line Arguments on page 278 for details.In addition to the log file, XML errors are written to the Kofax Capture log file. Most types of XML errors are also written back to the XML Import Connector file. Refer to Error Handling on page 311 for more information.

LastErrorCode(Write)

Integer The XML Import Connector application (Acxmlai.exe) adds this attribute to the <ImportSession> element if an error occurs during the import process. The value of the attribute will be the number of the last error that occurred. Refer to Error Messages on page 314 for more information about error numbers.If no error occurs, this attribute will not be present.

Table B-1. <ImportSession> Attributes (continued)


Type Description



<Batches> ... </Batches>

The <Batches> element is a container for zero or more <Batch> elements, which define the batches to be created. No attributes are supported. You can have at most one <Batches> element in an XML Import Connector file.

<Batch> ... </Batch>

Each <Batch> element contains information about a single batch to create, and serves as a container for <BatchFields>, <ExpectedBatchTotals>, <Documents>, <Folders>, and <Pages> elements. The order in which the <Batch> elements are listed defines the order the batches are processed. Note that some of the attributes are read during the XML Import Connector operation. Other attributes are written by the operation.

LastErrorMessage(Write)

String The XML Import Connector application (Acxmlai.exe) adds this attribute to the <ImportSession> element if an error occurs during the import process. The value of the attribute will be the error message of the last error that occurred. Refer to Error Messages on page 314 for more information about error messages.If no error occurs, this attribute will not be present.

Table B-2. <Batch> Attributes

Attribute (Read/Write)

Type Description

Name(Read)

String(32) A unique identifier for the batch. You can specify up to 32 characters, and the name is not case-sensitive. If not specified, the date and time when the batch is created will be used. If the batch name is a duplicate name, the error “Duplicate batch name” will be logged and the batch will not be created.If the specified name is too long (more than 32 characters), the error “Illegal batch name” will be logged and the batch will not be created.

Table B-1. <ImportSession> Attributes (continued)


Type Description

Appendix B


BatchClassName(Read)

String The name of the batch class that defines how the batch is to be processed in the Kofax Capture workflow. This must match a valid Kofax Capture batch class.If the batch class is not found, the error “Batch class not found” will be logged and the batch will not be created.

Description(Read)

String(80) An optional description of the batch. You can specify up to 80 characters.If the description string is too long (more than 80 characters), the error “Illegal batch description” will be logged and processing will continue for the batch.

Priority(Read)

Integer The priority level for the batch, which impacts the order in which the batch is processed by Kofax Capture modules. You can specify a value from 1 to 10, with 1 being the highest priority and 10 the lowest. If specified, the value overrides the priority set in the batch class definition. If the value is out of range, the error “Illegal batch priority” will be logged and processing will continue for the batch. The priority specified in the batch class will be used. If not specified, the priority specified in the batch class definition will be used.

Table B-2. <Batch> Attributes (continued)


Type Description



EnableAutomaticSeparationAndFormID(Read)

0/1 This attribute allows automatic document separation and form identification to occur during the import process. It is used for batch classes that specify document separation and form identification methods normally performed at Scan time. Scan-time separation includes separating documents based on a fixed number of pages, reading a particular bar code or patch code, or detecting a document separator sheet. Automatic Scan-time form identification occurs when only one form type is defined for the batch class or the form type is specified on a document separator sheet.Set this attribute to “1” to allow automatic document separation and form identification to occur during the import process. If the batch class is not set up to perform Scan-time separation or form identification, this attribute will be ignored and no error will be logged. Set this attribute to “0” to ignore any Scan-time document separation and form identification defined for the batch class.Refer to Examples of XML Import Connector Files on page 305 for more information. The section includes two sample XML Import Connector files, each using a different method for separating documents and identifying forms during the import process.

EnableSingleDocBatchProcessing

0/1 This attribute allows single document batch processing to create a new batch every time a new document is separated so that the single document batch can be sent to the next module as soon as it is separated. This may significantly speed up document processing.Set this attribute to “1” to allow single document batch separation to occur during the import process. Single document batch processing should only be enabled when document separation occurs automatically in the Scan module, otherwise an error will occur.



Type Description

Appendix B


RelativeImageFilePath(Read)

String(256)

Specifies the relative path of each image file from the directory that contains the XML file.It is important to understand that the path where the image files are located must be based off of the relative location of the XML file. Then, with the ImportFileName element, you can specify a file name without giving a complete path.You can specify up to 256 characters, and the path is not case sensitive. File names/paths containing spaces must be enclosed in quotes.If a folder is specified without a path, it is assumed that the folder exists in the directory where the XML file is located. For example, if the XML file is located at “C:\Polling Dir” and the RelativeImageFilePath is identified as “Images”, then the application will look in “C:\Polling Dir\Images” for the image files.

Processed(Write)

0/1 The XML Import Connector application adds this attribute to the <Batch> element to signify that processing has been attempted for the batch. It is set to “1” regardless of whether the batch is successfully created or processed with errors.If the XML Import Connector file is re-submitted, the XML Import Connector application will skip any batches for which Processed=1. This prevents a batch from being duplicated or an error situation repeated. Note that this attribute is never cleared or set to “0” by the XML Import Connector application. If Processed is set to “0” (manually or by another application), and the XML Import Connector file is re-submitted, the XML Import Connector application will attempt to process the batch. If Processed is not specified, it will behave as if it has a value of “0.”



Type Description



<BatchFields> ... </BatchFields>

The <BatchFields> element is a container for zero or more <BatchField> elements. You can have at most one <BatchFields> element for a <Batch> element.

<BatchField>

Each <BatchField> element contains information about a batch field, and supports the following attributes. Note that some of the attributes are read during the XML Import Connector operation. Other attributes are written by the operation.

ErrorCode(Write)

Integer The XML Import Connector application (Acxmlai.exe) adds this attribute to the <Batch> element if a batch-level error occurs. The value of the attribute will be the number of the error. Refer to Error Messages on page 314 for more information about error numbers.Note that if ErrorCode exists for the <Batch> element, the XML Import Connector application (Acxmlai.exe) will clear it before processing the batch. If no error occurs, this attribute will not be present.

ErrorMessage(Write)

String The XML Import Connector application (Acxmlai.exe) adds this attribute to the <Batch> element if a batch-level error occurs. The value of the attribute will be the error message text. Refer to Error Messages on page 314 for more information about error messages.Note that if ErrorMessage exists for the <Batch> element, the XML Import Connector application (Acxmlai.exe) will clear it before processing the batch.If no error occurs, this attribute will not be present.

Table B-3. <BatchField> Attributes


Type Description

Name(Read)

String The name of the batch field to fill. If the name is not found in the batch class, the error “Field name not found” will be logged.



Type Description

Appendix B


<ExpectedBatchTotals> ... </ExpectedBatchTotals>

The <ExpectedBatchTotals> element is a container for zero or more <ExpectedBatchTotal> elements, which define batch total values and behavior. You can have at most one <ExpectedBatchTotals> element for a <Batch> element.

Value(Read)

String(254) The value for the batch field. The value can be up to 254 characters in length. If the value is too long, or otherwise invalid, the error “Invalid field value” will be logged.

ErrorCode(Write)

Integer The XML Import Connector application (Acxmlai.exe) adds this attribute to the <BatchField> element if an error occurs. The value of the attribute will be the number of the error. Refer to Error Messages on page 314 for more information about error numbers.Note that if ErrorCode exists for the <BatchField> element, the XML Import Connector application (Acxmlai.exe) will clear it before processing the field. In addition, certain errors (such as “Required batch field missing”) are reported on the parent <Batch> element, rather than <BatchField>.If no error occurs, this attribute will not be present.

ErrorMessage(Write)

String The XML Import Connector application (Acxmlai.exe) adds this attribute to the <BatchField> element if an error occurs. The value of the attribute will be the error message text. Refer to Error Messages on page 314 for more information about error messages.Note that if ErrorMessage exists for the <BatchField> element, the XML Import Connector application (Acxmlai.exe) will clear it before processing the field. In addition, certain errors (such as “Required batch field missing”) are reported on the parent <Batch> element, rather than <BatchField>.If no error occurs, this attribute will not be present.

Table B-3. <BatchField> Attributes (continued)


Type Description



<ExpectedBatchTotal>

Each <ExpectedBatchTotal> element contains a batch total field value, and supports the following attributes. Note that some of the attributes are read during the XML Import Connector operation. Other attributes are written by the operation.

Table B-4. <ExpectedBatchTotal> Attributes


Type Description

Name(Read)

String The name of the batch total field to fill. If the name is not found in the batch class, the error “Field name not found” will be logged.

Value(Read)

Numeric The value of the batch total field. If the value is too long, or otherwise invalid, the error “Invalid field value“ will be logged.The actual type of the field is specified in the batch class.

ErrorCode(Write)

Integer The XML Import Connector application (Acxmlai.exe) adds this attribute to the <ExpectedBatchTotal> element if an error occurs. The value of the attribute will be the number of the error. Refer to Error Messages on page 314 for more information about error numbers.Note that if ErrorCode exists for the <ExpectedBatchTotal> element, the XML Import Connector application (Acxmlai.exe) will clear it before processing the field.If no error occurs, this attribute will not be present.

ErrorMessage(Write)

String The XML Import Connector application (Acxmlai.exe) adds this attribute to the <ExpectedBatchTotal> element if an error occurs. The value of the attribute will be the error message text. Refer to Error Messages on page 314 for more information about error messages.Note that if ErrorMessage exists for the <ExpectedBatchTotal> element, the XML Import Connector application (Acxmlai.exe) will clear it before processing the field.If no error occurs, this attribute will not be present.

Appendix B


<Folders> ... </Folders>

The <Folders> element is a container for zero or more <Folder> elements. You can have at most one <Folders> element for a <Batch> element, or for a <Folder> element. The order of the folder elements defines the order in which the folders are processed.

<Folder>... </Folder>

Each <Folder> element is a container for a set of Index Fields and/or Documents and/or Folders elements, and supports the following attributes. Note that some of the attributes are read during the XML Import Connector operation. Other attributes are written by the operation.

<Documents> ... </Documents>

The <Documents> element is a container for zero or more <Document> elements, which specify the documents to be imported. You can have at most one <Documents> element for a <Batch> element, or for a <Folder> element.

<Document> ... </Document>

Each <Document> element contains information about a single document to import, and serves as a container for <Pages>, <Tables>, and <IndexFields> elements. The order that the <Document> elements are listed defines the order that documents are

Table B-5. <Folder> Attributes


Type Description

FolderClassName(Read)

String The name of the Kofax Capture folder class that defines how the folder is to be processed.If the folder class is not found, then the error "Folder class not found," is thrown.

ErrorCode(Write)

Integer This attribute is cleared before processing the folder. After processing the folder successfully, the attribute is not present. If an error occurs while processing the folder, then this attribute contains the error number of the error. Error numbers and strings are defined in the section below.

ErrorMessage(Write)

String This attribute mimics the functionality of ErrorCode, except that the error message is deposited here.



imported. Note that some of the attributes are read during the XML Import Connector operation. Other attributes are written by the operation.

<Pages> ... </Pages>

The <Pages> element is a container for zero or more <Page> elements, which specify the pages to import. The <Pages> element can be used with the <Batch> element for loose pages or the <Document> element for pages within a document.

Table B-6. <Document> Attributes


Type Description

FormTypeName(Read)

String The name of the Kofax Capture form type associated with the document. If this attribute is specified, but assigned an empty string, the document is created with no form type.If the form type is not found, the error “Illegal Form Type” will be logged.If this attribute is not specified, and only one form type is possible for the batch class, that form type will be assigned to the document. If not specified and multiple form types are possible, the document is created with no form type.

ErrorCode(Write)

Integer The XML Import Connector application (Acxmlai.exe) adds this attribute to the <Document> element if an error occurs. The value of the attribute will be the number of the error. Refer to Error Messages on page 314 for more information about error numbers.Note that if ErrorCode exists for the <Document> element, the XML Import Connector application (Acxmlai.exe) will clear it before processing the document.If no error occurs, this attribute will not be present.

ErrorMessage(Write)

String The XML Import Connector application (Acxmlai.exe) adds this attribute to the <Document> element if a document-level error occurs. The value of the attribute will be the error message text. Refer to Error Messages on page 314 for more information about error messages.Note that if ErrorMessage exists for the <Document> element, the XML Import Connector application (Acxmlai.exe) will clear it before processing the document.If no error occurs, this attribute will not be present.

Appendix B


<Page>

Each <Page> element specifies a file to import. It also acts as a placeholder for a file. If the input file contains multiple pages, a corresponding number of pages is created in the location defined by <Page>. Multipage non-image files (such as Microsoft Word documents) are always imported as single pages. Note that some of the attributes are read during the XML Import Connector operation. Other attributes are written by the operation.

Table B-7. <Page> Attributes


Type Description

ImportFileName(Read)

String The name of the file to import. If no file name is provided, or the file is not found, the error “Illegal File Name” will be logged.

ErrorCode(Write)

Integer The XML Import Connector application (Acxmlai.exe) adds this attribute to the <Page> element if a page-level error occurs. The value of the attribute will be the number of the error. Refer to Error Messages on page 314 for more information about error numbers.Note that if ErrorCode exists for the <Page> element, the XML Import Connector application (Acxmlai.exe) will clear it before processing the page.If no error occurs, this attribute will not be present.

ErrorMessage(Write)

String The XML Import Connector application (Acxmlai.exe) adds this attribute to the <Page> element if a page-level error occurs. The value of the attribute will be the error message text. Refer to Error Messages on page 314 for more information about error messages.Note that if ErrorMessage exists for the <Page> element, the XML Import Connector application (Acxmlai.exe) will clear it before processing the page.If no error occurs, this attribute will not be present.

OriginalFileName(Read-write)

String Use this optional attribute to specify the name and extension of the imported file, if it is different than the submitted image file name. This may be useful if files have been transported over a network or over the Internet.If the length of the string exceeds 250 characters (not including the file extension) or contains invalid characters, an error is generated.



<IndexFields> ... </IndexFields>

The <IndexFields> element is a container for zero or more <IndexField> elements, which specify index field values. You can have at most one <IndexFields> element for a <Document> element, for a <TableRow> element, or for a <Folder> element.

<IndexField>

Each <IndexField> value specifies an index field value. An index field that is successfully imported receives a confidence value of 100. This index field value is not overwritten if the batch is subsequently sent to the Recognition Server. However, the parent document is still considered “unprocessed” within the Validation and Verification modules.

IndexFields that are marked “required” in the batch class but do not receive a value from the XML Import Connector file, do not cause an error. It is assumed that such fields will be entered in the Validation module.

This same philosophy is applied to validating the value. Provided the value is smaller than the maximum field size, it is accepted without any data type checking or user-defined scripting. It is assumed that such checking is performed from the Validation module.

Note that some of the attributes are read during the XML Import Connector operation. Other attributes are written by the operation.

Table B-8. <IndexField> Attributes


Type Description

Name(Read)

String The name of the index field to fill. If the name is not found in the batch class, the error “Field name not found” is logged.

Appendix B


Value(Read)

String The value of the index field.The value is only checked for data type. No additional validation is performed.There are two different methods for specifying the values of table fields:1. Table-aware method. If the element is a child of a TableRow element, the attribute indicates the value for that particular row.2. Legacy method. If the element is not a child of a TableRow element and is a table field, the attribute specifies a delimited list of table row values. The delimiter is the row separator defined for the batch class. For example, “rock;scissors;paper” would indicate 3 row values for the table. These methods are mutually exclusive. If a TableRow element is present for a batch, any “legacy method” table data is discarded.If there are a different number of values specified for index fields in the same table, the number of rows in the table matches the size needed to accommodate the largest value list for that table.

ErrorCode(Write)

Integer The XML Import Connector application (Acxmlai.exe) adds this attribute to the <IndexField> element if an error occurs. The value of the attribute will be the number of the error. Refer to Error Messages on page 314 for more information about error numbers.Note that if ErrorCode exists for the <IndexField> element, the XML Import Connector application (Acxmlai.exe) will clear it before processing the field.If no error occurs, this attribute will not be present.

Table B-8. <IndexField> Attributes (continued)


Type Description



<Tables> ... </Tables>

The <Tables> element is a container for zero or more <Table> elements, which specify tables within a document.

<Table>... </Table>

The <Table> element specifies a table in a document, and has <TableRows> as a child element.

ErrorMessage(Write)

String The XML Import Connector application (Acxmlai.exe) adds this attribute to the <IndexField> element if an error occurs. The value of the attribute will be the error message text. Refer to Error Messages on page 314 for more information about error messages.Note that if ErrorMessage exists for the <IndexField> element, the XML Import Connector application (Acxmlai.exe) will clear it before processing the field.If no error occurs, this attribute will not be present.

Table B-9. <Table> Attributes


Type Description

Name(Read)

String The name of the table definition for this table.

ErrorCode(Write)

Integer The XML Import Connector application (Acxmlai.exe) adds this attribute to the <Table> element if an error occurs. The value of the attribute will be the number of the error. Refer to Error Messages on page 314 for more information about error numbers.Note that if ErrorCode exists for the <Table> element, the XML Import Connector application (Acxmlai.exe) will clear it before processing the field.If no error occurs, this attribute will not be present.

Table B-8. <IndexField> Attributes (continued)


Type Description

Appendix B


<TableRows> ... </TableRows>

The <TableRows> element is a container for zero or more <TableRow> elements, which specify table rows within a table.

<TableRow> ... </TableRow>

The <TableRow> element specifies a table row in a table, and has <TableRows> as a child element.

ErrorMessage(Write)

String The XML Import Connector application (Acxmlai.exe) adds this attribute to the <Table> element if an error occurs. The value of the attribute will be the error message text. Refer to Error Messages on page 314 for more information about error messages.Note that if ErrorMessage exists for the <Table> element, the XML Import Connector application (Acxmlai.exe) will clear it before processing the field.If no error occurs, this attribute will not be present.

Table B-10. <TableRow> Attributes


Type Description

ErrorCode(Write)

Integer The XML Import Connector application (Acxmlai.exe) adds this attribute to the <TableRow> element if an error occurs. The value of the attribute will be the number of the error. Refer to Error Messages on page 314 for more information about error numbers.Note that if ErrorCode exists for the <TableRow> element, the XML Import Connector application (Acxmlai.exe) will clear it before processing the field.If no error occurs, this attribute will not be present.

Table B-9. <Table> Attributes (continued)


Type Description



Examples of XML Import Connector FilesThis section provides examples of XML Import Connector files.

Files Before Processing

The following are examples of XML Import Connector files that contain elements for some common types of processing. The examples are shown in their state before being used as input for the XML Import Connector application.

Example 1

The following sample imports a single batch with two documents, including index fields. The file name is specified for the first imported file using OriginalFileName. Separation and form identification are explicitly specified by the list of <Document> elements, each containing a value for the FormTypeName attribute.

<ImportSession>

<Batches>

<Batch BatchClassName="Orders" Priority="5">

<Documents>

<Document FormTypeName="NWForm">

<IndexFields>

<IndexField Name="Customer No" Value="AB123" />

<IndexField Name="Zip" Value="92606" />

</IndexFields>

<Pages>

<Page ImportFileName="c:\aXMLImages\NWest_1.tif"

OriginalFileName="c:\aXMLImages\NWest_A.tif" />

ErrorMessage(Write)

String The XML Import Connector application (Acxmlai.exe) adds this attribute to the <TableRow> element if an error occurs. The value of the attribute will be the error message text. Refer to Error Messages on page 314 for more information about error messages.Note that if ErrorMessage exists for the <TableRow> element, the XML Import Connector application (Acxmlai.exe) will clear it before processing the field.If no error occurs, this attribute will not be present.

Table B-10. <TableRow> Attributes (continued)


Type Description

Appendix B


</Pages>

</Document>

<Document FormTypeName="TriForm">

<IndexFields>

<IndexField Name="Customer No" Value="EB456" />

<IndexField Name="Zip." Value="60478" />

</IndexFields>

<Pages>

<Page ImportFileName="c:\aXMLImages\TSpect_1.tif" />

</Pages>

</Document>

</Documents>

</Batch>

</Batches>

</ImportSession>

Example 2

The following sample imports a single batch with some batch totals and batch fields. All pages are imported as loose pages. Because the <Batch> element’s EnableAutomaticSeparationAndFormID attribute is set to “1,” automatic separation and form identification can occur during the import process. To perform this type of processing, Scan-time document separation and form identification settings must be enabled for the batch class. These include separating documents based on a fixed number of pages, reading a particular bar code or patch code, or detecting a separator sheet. Refer to Setting Up Your Batch Classes - An Overview on page 44 for more information about batch classes.

In addition, the UserID and Password attributes are used for the <ImportSession> element. If the Kofax Capture User Profiles feature is enabled, the specified user must have privileges to run the Scan module and use the batch classes specified in the XML Import Connector file. Refer to Chapter 4 on page 125 for more information about the User Profiles feature.

<ImportSession UserID=“GregF” Password=“abc*123”>

<Batches>

<Batch Name=“Sample2” BatchClassName=“Orders”

EnableAutomaticSeparationAndFormID=”1”>

<BatchFields>

<BatchField Name=“Company” Value=“Kofax” />

</BatchFields>

<ExpectedBatchTotals>

<ExpectedBatchTotal Name=“TotalPercentage” Value=“452” />

</ExpectedBatchTotals>

<Pages>

<Page ImportFileName=“c:\1.tif” />



<Page ImportFileName=“c:\2.tif” />

</Pages>

</Batch>

</Batches>

</ImportSession>

Example 3

The following sample demonstrates the use of folders in an XML file. It imports a single folder class (Customer Information) with two index fields.

<ImportSession>

<Batches>

<Batch BatchClassName="Orders" Priority="5">

<Folders>

<Folder FolderClassName="Customer Information">

<IndexFields>

<IndexField Name="Customer Name" Value="Bill Slater" />

<IndexField Name="Customer ID" Value="123" />

</IndexFields>

<Documents>

<Document FormTypeName="Customer Form">

<Pages>

<Page ImportFileName="c:\XMLImages\NWest_1.tif" />

<Page ImportFileName="c:\XMLImages\NWest_A.tif" />

</Pages>

</Document>

</Documents>

</Folder>

</Folders>

</Batch>

</Batches>

</ImportSession>

Files After Processing

During processing, the XML Import Connector application caches certain processing information, then writes that information into the XML Import Connector file after it is completely processed. For example, after a batch is processed, the application marks the <Batch> element with “Processed=1” to indicate that the batch has been processed. If errors occur while processing the batch, error information is written to sub-elements of the <Batch> element that caused the errors. The following examples show XML Import Connector files as they would appear after being processed by the XML Import Connector application.

Appendix B


Example 1 - Successful Processing

This example shows a <Batch> element’s Processed attribute set to “1,” but no error information in any of its sub-elements. This means that the batch was processed successfully.

<ImportSession>

<Batches>

<Batch BatchClassName="Orders" Priority="5" >

<Documents>

<Document FormTypeName="NWForm">

<IndexFields>

<IndexField Name="Customer No" Value="AB123" />

<IndexField Name="Zip" Value="92606" />

</IndexFields>

<Pages>



</Pages>

</Document>


<IndexFields>

<IndexField Name="Customer No" Value="EB456" />

<IndexField Name="Zip." Value="60478" />

</IndexFields>

<Pages>

<Page ImportFileName="c:\aXMLImages\TSpect_1.tif" />

</Pages>

</Document>

</Documents>

</Batch>

</Batches>

</ImportSession>

Example 2 - Processing with Errors

The example below shows a <Batch> element’s Processed attribute set to “1,” and error information written to several of its sub-elements. In the example, an invalid form type was specified for the first document. This caused ErrorCode and ErrorMessage information (shaded) to be written to the <Document> element. The same type of information was written to the <IndexField> element for the document in error. In addition, the LastErrorCode and LastErrorMessage information was written to the <ImportSession> element.

<ImportSession>

Processed=”1”

LastErrorCode=”1” LastErrorMessage=”Field name not

found (Zip)”



<Batches>

<Batch BatchClassName="Orders" Priority="5" >

<Documents>

<Document FormTypeName="NWFor”

>

<IndexFields>

<IndexField Name="Customer No" Value="AB123"

/>

<IndexField Name="Zip" Value="92606"

/>

</IndexFields>

<Pages>



</Pages>

</Document>


<IndexFields>

<IndexField Name="Customer No" Value="EB456"/>

<IndexField Name="Zip" Value="60248"/>

</IndexFields>

<Pages>

<Page ImportFileName="c:\aXMLImages\TSpect_1.tif"/>

</Pages>

</Document>

</Documents>

</Batch>

</Batches>

</ImportSession>

Processed=”1”

ErrorCode=”18”

ErrorMessage=”Illegal form type (NWFor)”

ErrorCode=”1” ErrorMessage=”Field name not found

(Customer No)”

ErrorCode=”1”

ErrorMessage=”Field name not found (Zip)”

Appendix B


Event LoggingDuring an XML Import Connector operation, events are written to an XML Import Connector log file. By default, the log file is C:\Acxmlail.txt, although you can specify a different file if you wish. Refer to the sections Command Line Arguments on page 278 and <ImportSession> ... </ImportSession> on page 288 for more information about specifying a log file name.

The log file is opened when the XML Import Connector application starts, and closed when the application closes. When open, the log file is not exclusively locked, which allows multiple XML Import Connector sessions to write to the file at the same time. It also allows the log file to be reviewed during auto-import sessions.

Events are written to the log file as they occur. Because of this, administrators who are reviewing the XML Import Connector log file will always have up-to-date information, which could be important in the event of a fatal error.

Note Event information is appended to the XML Import Connector log file. If multiple XML Import Connector sessions occur at the same time, their events will be interleaved in the XML Import Connector log file.

An example log file is shown below. This example shows the format of all the common events. The start of the XML Import Connector application causes a blank line to be written to the log, followed by the current date. All events are preceded by the current time.

5/5/03

06:10:45 PM Initiated polling mode on (C:\ACXMLAID)

06:10:45 PM Polled Directory (C:\ACXMLAID)

06:10:46 PM Opened XML file "C:\ACXMLAID\documentpages.xml"

06:10:50 PM Created batch, name "5/5/03 6:10:47 PM", class

"Order Forms"

06:10:53 PM Created document #1

06:10:53 PM Imported file "C:\Images\NWest_1.tif"

06:10:53 PM Closed document #1

06:10:53 PM Created document #2

06:10:53 PM Imported file "C:\Images\TSpect_1.tif"

06:10:53 PM Closed document #2

06:10:54 PM Closed batch "5/5/03 6:10:47 PM"

06:10:54 PM Closed XML file "C:\ACXMLAID\documentpages.xml"

06:10:54 PM Opened XML file "C:\ACXMLAID\loosepages.xml"

06:10:59 PM Created batch, name "5/5/03 6:10:54 PM", class

"Order Forms"

06:11:02 PM Imported file "C:\Images\NWest_1.tif"

06:11:02 PM Imported file "C:\Images\TSpect_1.tif"



06:11:03 PM Closed batch "5/5/03 6:10:54 PM"

06:11:03 PM Closed XML file "C:\ACXMLAID\loosepages.xml"

Note The example log file above includes entries for creating and closing documents. These entries are only logged if the “-v” (verbose) option is used on the command line. Refer to Command Line Arguments on page 278 for more information about running XML Import Connector and the command line options.

When an error is encountered, an event similar to the following is logged:01:47:50 PM Error code 1, description “Field name not found.”

If a batch is deleted after an error, an event similar to the following is logged:01:47:50 PM Deleted batch “test”

If an XML formatting error is encountered, an event similar to the following is logged. This type of message is generated by Microsoft’s XML engine, and typically indicates that an invalid construct was encountered in the XML file. The message includes the line and column number where the error was found. The message below indicates that an end tag was missing for a <Document> element, and the error was found on or around line 20, column 9.

10:25:55 AM Error code 5, description "XML format error (c:\test.xml -

End tag 'Documents' does not match the start tag 'Document'., 20, 9)"

Error HandlingIf errors occur during the XML Import Connector process, error messages are logged to the Kofax Capture error log file, the XML Import Connector log file, and (for most types of errors) the XML Import Connector file. In addition, the default behavior is to delete batches for which errors occur during the XML Import Connector process.

This section describes the types of errors that can occur, the format of the errors written to the XML Import Connector file, and details about how XML Import Connector handles batches with errors.

Types of Errors

The following types of errors can occur during an XML Import Connector process:

Appendix B


Note Page-level, folder-level, document-level, and batch-level errors are written to the Kofax Capture error log file, XML Import Connector log file, and the XML Import Connector file.

• Page-level errors: If an error occurs on a page (for example, the image file cannot be found), the page will be rejected and a dummy page imported as a placeholder that you can replace in Quality Control. The dummy page is a blank page with the following text centered on the page:

“This page was intentionally inserted in the batch because of an XML Import Connector error on this page.”

In addition, a rejection note that contains the error message will be created for the page.

• Folder-level errors: If an error occurs for a folder (such as the folder class cannot be found), the batch will not be created. No further processing will be done on the batch.

• Document-level errors: If an error occurs for a document (such as an invalid form type), the document will be rejected. A rejection note that contains the error message will be created for the document. No further processing will be done on the document.

• Batch-level errors: If an error occurs when setting a batch-related value (such as an invalid batch field), the batch will be rejected or deleted. If the batch is rejected, an error message will be associated with the batch. When the batch is opened in Quality Control, the error message will appear in the title bar.

• Application-level errors: If an error occurs for the application session (such as the XML Import Connector file cannot be opened, the specified user ID is not valid, or some other reason for which the application cannot run), the application will stop, and no batches will be created. Errors will be written to the XML Import Connector log file and to the Kofax Capture error log. However, application errors will not be written to the XML Import Connector file.

Error Messages in the XML Import Connector File

For most types of errors that occur during an XML Import Connector process, messages are written to the XML Import Connector file. The error messages are written as special attributes for the elements most closely associated with the error. For example, if an error occurs for a page, the error message is written to the ErrorCode attribute of the associated <Page> element. Then, the XML Import Connector file is saved, replacing the original XML file.



Note Error messages are written to the XML Import Connector file for page-level, document-level, and batch-level errors. Application-level error messages are not written to the XML Import Connector file. Refer to Types of Errors on page 311 for more information about error types.

Refer to Examples of XML Import Connector Files on page 305 for more information about XML Import Connector files, and the messages written to them after an XML Import Connector operation. Refer to Error Messages on page 314 for more information about possible error messages.

Deleting Batches with Errors

By default, the XML Import Connector application deletes the current batch from Kofax Capture if an error occurs during the import process. You can override this behavior as follows:

• Use the “-n” option on the command line when you run XML Import Connector. Refer to Command Line Arguments on page 278 for more information about command line options.

• Set the <ImportSession> element’s DeleteBatchOnError attribute to “0” in the XML Import Connector file. Refer to <ImportSession> ... </ImportSession> on page 288 for more information about the <ImportSession> element and its attributes.

Either of these methods will allow batches with errors to be retained.

Note For some fatal errors, the current batch will always be deleted, even if the “-n” command line option is used or the DeleteBatchOnError attribute is set to “0.” Refer to Error Messages on page 314 for more information about the types of errors for which batches are always deleted.

If the batch with the error is not deleted, it will be rejected and routed to Quality Control, even if partial batch release is enabled. Rejection notes are associated with the pages and/or documents in error, with text in the following format:

XML Import Connector: [Error#] Error Message

For batch-level errors, error text is associated with the batch so that when the batch is opened in Quality Control, the text will appear in the module’s title bar.

Appendix B


Error Messages

Table B-11 lists the error messages that are logged by the XML Import Connector application. Note the following:

• The “Applies To” column indicates the elements to which the error may be applied. When the error occurs, processing of that element stops. The error is written to the Kofax Capture log file, the XML Import Connector log, and to the ErrorCode and ErrorMessage attributes for the element in the XML Import Connector file. Processing continues with the next element in the XML Import Connector file.

• If the “Applies To” column lists “Application,” processing of the XML Import Connector file stops when the error occurs.

• If the “DeleteBatch” column lists “Yes,” the current batch is deleted even if the “-n” option is set on the command line or the <ImportSession> element’s DeleteBatchOnError attribute is set to “0.”

Note For some fatal errors, the current batch will always be deleted, even if the “-n” command line option is used or the DeleteBatchOnError attribute is set to “0.”

For more information about how errors are handled, refer to Error Handling on page 311.

Table B-11. Error Messages

Error Number

Error Text Delete Batch?

Applies To: Description

1 Field name not found (FieldName)

No BatchFieldExpectedBatchTotalIndexField

The specified field name was not found.

2 Invalid field value No BatchFieldExpectedBatchTotalIndexField

The specified field value was too long or did not match the expected data type. (The amount of validation applied to a field value varies by data type.)



3 Required batch field missing (BatchFieldName)

Yes Batch A required batch field is specified for the batch class, but no value was provided.

4 Expected batch total missing (ExpectedBatchTotalFieldName)

Yes Batch An expected batch total field is specified for the batch class, but no value was provided.

5 XML format error (Error) No Application The XML file did not contain XML, or the XML was poorly formed. A more detailed error message is provided in parentheses.

6 System error (Error) No ImportSession if available; otherwise, Application.

An unexpected system error occurred. More details are provided in parentheses.

7 User not found (UserName)

No ImportSession if available; otherwise, Application.

The current user and password are not correctly specified. This error also occurs if no user and password have been specified, but the system requires a user login.

Table B-11. Error Messages (continued)

Error Number



Appendix B


8 User not privileged No ImportSession, if available; otherwise, Application.

The specified user does not have sufficient privileges to run this application. This error also occurs if the license does not support scanning or is not present.

9 No more pages allowed No ImportSession The license ran out of pages.

10 Illegal batch priority (Priority)

No Batch The priority is not a valid integer in the range of 1-10.

11 Batch class not found (BatchClassName)

Yes Batch The batch class name specified is not found in the current list of published batch classes.

12 Duplicate batch name Yes Batch There is already a batch in the system with the specified batch name.

13 Illegal batch name Yes Batch The batch name length exceeds the valid range.

14 Illegal batch description No Batch The batch description length exceeds the valid range.

15 XML file cannot be opened (XmlFile)

No Application The file cannot be opened exclusively because it does not exist, there are security issues, or it is in use by another user.


Error Number





16 Log file cannot be opened (LogFile)

No Application The log file cannot be opened because it is not present, there are security issues, or other related issues.

17 Empty Documents Yes Batch One or more empty documents exist in the batch.

18 Illegal form type (FormType)

No Document The specified form type for the document does not exist.

19 Illegal file name (FileName)

No Page The specified image file does not exist or the file name is blank.

20 Illegal file format (FileName)

No Page The specified image file is of an invalid format.

21 Cannot create success directory (SuccessDirectoryName)

N/A N/A The specified success directory could not be created.

22 Cannot create error directory (ErrorDirectoryName)

N/A N/A The specified error directory could not be created.

23 Cannot create polling directory (PollingDirectoryName)

N/A N/A The specified polling directory could not be created.

24 Cannot create control directory (ControlDirectoryName)

N/A N/A The specified control directory could not be created.

25 Cannot move file (Source, Destination)

N/A N/A The file could not be moved to the success or failure error.

26 Cannot delete file (FileName)

N/A N/A The file could not be deleted.


Error Number



Appendix B


29 Folder class not found (FolderClassName)

Yes Folder The folder class name specified is not found in the current list of folder classes.

30 Table name not found (TableDefinitionName)

Yes Table The table definition is not found for the current document class.


Error Number




Appendix C

Installing Services

IntroductionIf desired, you can install and run XML Import Connector, Recognition Server, Kofax PDF Generator, OCR Full Text, and Release modules as services. As services, these unattended modules can be configured to start automatically at system boot, without any user intervention.

If you are using KCN Server, you can also install the Remote Synchronization Agent (RSA) as a service.

The general steps for installing and running the unattended modules as services are listed below, and described in more detail on the following pages. For more information about installing unattended modules as services, refer to the Kofax Capture Installation Guide.

Note Be sure to read the instructions in the following sections carefully before you install and configure a Kofax Capture service.

Step 1 Install Kofax Capture. Note that services do not support mapped network drives. Therefore, for client/server installations, you must specify a UNC path for your server installation directory.

Step 2 Set up your batch classes. For client/server installations, you must use UNC paths during batch class setup to specify any folders or files to be accessed from a network.

Step 3 Install the desired unattended modules as services.

Step 4 Configure the services for the unattended modules.

Step 5 Start/Stop the services for the unattended modules.

Appendix C


Step 1 - Install Kofax Capture

Follow the standard Kofax Capture installation procedures described in the installation guide that came with your Kofax Capture software. If you are installing Kofax Capture in a client/server configuration and plan to run any of the unattended modules as services, you must specify a UNC path as the destination directory for the Kofax Capture server files.

To specify a UNC path during a server installation

1 Start the Kofax Capture server installation procedure.

2 During the installation, you will be prompted to select a destination folder for the database files. You must replace the default folder with a UNC path.

Note To obtain the UNC path, you can open Windows Explorer to locate your server through Network Neighborhood or My Network Places. If you cannot find the UNC path for your server, ask your system administrator.

3 Click Browse to select the UNC path for the desired server installation directory and then click OK. The Select Destination Folder dialog box will be re-displayed with the UNC path shown as the Installation Directory.

4 Click Next and complete the server installation.

To use a UNC path during the client installation

1 When you install the Kofax Capture client files, make sure you use the UNC path to browse for the WrkInst folder. For example, you would use the following path:

\\<server name>\CaptureSV\WrkInst

Where:

<server name> is the hostname of the remote host system.CaptureSV\WrkInst is the shared folder of the remote host system.

2 Complete the client installation procedure.

Step 2 - Set Up Your Batch Classes

During batch class setup, you must use UNC paths to specify any folders or files that may be accessed from the network. For example, Figure C-1 shows a UNC path used

Installing Services


for the Image folder in the Batch Class Properties dialog box. UNC paths are required for any network folders or files that you specify, including:

• Image folder on the Create Batch Class and Batch Class Properties dialog boxes

• File names and Release directories on the Release Setup dialog boxes• OCR dictionaries from the following:

Create Field Type and Field Type Properties dialog boxesCreate Document Class and Document Class Properties dialog boxes

• Field macro source file in the Field Macro dialog box• Script source file in the Validation Script dialog box or the Recognition Script

dialog box• Files to import or export• Batch Information Editor tab on the Database Utility when editing the release

directories.

Appendix C


In addition, to use any batch classes that already exist (for example, you import a batch class that was previously configured), you must modify the path specifications for any folders or files to use UNC paths.

Figure C-1. Using UNC to Specify the Image Folder Path

Installing Services


Step 3 - Install Kofax Capture Services

After completing the standard Kofax Capture installation, you can install the unattended modules (XML Import Connector, Recognition Server, Kofax PDF Generator, OCR Full Text, or Release) or the Remote Synchronization Agent as services. You do so by executing the following command line on the station where you want to run a module as a service:

“<Kofax Capture Installation Path>\Bin\Module.exe”

“<Kofax Capture Installation Server Software Path>\ServLib\Bin\Module.exe”

Where:

Kofax Capture Installation Path or Kofax Capture Installation Server Software Path is the path to your Kofax Capture installation.

Module.exe is the executable file name for the module you want to install as a service.

The following executables for the unattended modules are located in the Kofax Capture Bin folder:

• XML Import Connector acxmlai.exe• Kofax PDF Generator kfxpdf.exe• OCR Full Text ocr.exe• Recognition Server fp.exe• Release release.exe• Remote Synchronization Agent (RSA) acirsa.exe

Note that the quotation marks around the path and executable name are required, as shown in the command line syntax. For example, if you installed Kofax Capture to the default client folder, and you want to install Recognition Server as a service, you would execute the following command:

“C:\Program Files\Kofax\Capture\Bin\fp.exe” -install

Note You must be logged in to Windows with administrative rights to install services. In addition, you must install the services on each workstation where they will run.

Adding Command Line Arguments for User Profiles

If the User Profiles feature is enabled for your Kofax Capture installation, you must install the service with additional command line arguments. For example, your profiles may restrict access to the XML Import Connector, Recognition Server, OCR Full Text, or Release modules for certain users. In this case, the service must be

Appendix C


installed with the command line arguments associated with the user ID and password for a user with access privileges to the module. As a result, the service will launch under the designated user’s Kofax Capture login account, and the Kofax Capture login dialog box will be bypassed.

For example, with User Profiles enabled, you would use the following syntax:“C:\Program Files\Kofax\Capture\Bin\module.exe” –install -u:“userID” -p:“password”

Note that the -install argument must precede the command line arguments associated with the user ID and password. In addition, the quotation marks around the user ID and password are required. For example, to install Recognition Server as a service with a user ID and password, you would use the following syntax:

“C:\Program Files\Kofax\Capture\Bin\fp.exe” –install -u:“userID” -p:“password”

Note After you install a service with command line arguments, it can be viewed from the Services utility. To maintain the security of your system, make sure that only privileged users are allowed to log in to the workstation where you install the Kofax Capture service.

Notification of Successful Service Installation

After you run the installation command for services, a message displays to confirm a successful installation.

Once the successful installation message displays, the Kofax Capture service is installed. In addition, the module will be listed in the list of Services displayed from the Windows Services utility.

To launch the Services utility

1 From the Windows Control Panel, select Administrative Tools | Services.

Installing Services


2 When the Services utility starts, look for the name of the Kofax Capture module that you installed as a service, as shown below in Figure C-2.

Figure C-2. Services Utility User Interface (Using Windows XP)

Step 4 - Configure Kofax Capture Services

After installing a Kofax Capture service, you use the Windows Services utility to configure a startup type and a logon account type.

Note By default, the startup type selection is “Manual.” To configure a Kofax Capture service to start automatically at system boot, you need to change the startup type to “Automatic.”

For the logon account, you must specify a Windows user account that is valid for the workstation where you intend to run the Kofax Capture service. By default, all Kofax Capture services use the LocalSystem account as the default user. It is recommended that you change this to be a standard user account. If you are accessing resources in a network environment, be sure to specify a valid network account. You cannot configure the service without a valid logon account.

To configure a Kofax Capture service

1 Start the Services utility, as explained in Notification of Successful Service Installation on page 324.

2 Select the name of the Kofax Capture service that you want to configure.

Appendix C


3 Do one of the following to open the properties dialog box:• Right-click to open a context menu, and select Properties.• Double-click the Kofax Capture module name.

The properties dialog box will display.

Figure C-3. Service Properties

4 At Startup type, select one of the following:• Automatic: Automatically starts the service for the unattended module.• Manual: Manually starts the service for the unattended module when the

user with rights selects “Start” from Services utility.• Disabled: Disables the service. Select this option only if you want to

temporarily disable the service, without removing it.• When configuring a Kofax Capture service, you need to specify a logon

account type. Select the Log On tab from the Properties dialog box.

5 Provide a valid user account and password on the Log On tab. (Refer to Figure C-4.)• At “Log on as,” select “This account.”• Enter the user account for the workstation where the service is installed. If

the user account is a network user, use: Domain\accountname

Installing Services


• At “Password”, enter the password for the user account.• At “Confirm Password”, enter the user account password again.

Figure C-4. Setting the Working User Account

6 Click OK to complete the configuration process.

Step 5 - Start/Stop Kofax Capture Services

After configuring a Kofax Capture service, you can run it.

• With automatic startup enabled, your Kofax Capture services will automatically start when you restart your workstation. You can stop your Kofax Capture services from the Services utility.

• With manual startup enabled, you can start or stop a Kofax Capture service from the Services utility. If you start the service and then restart the workstation, the Kofax Capture service will not automatically restart.

If desired, you can use the Services utility to disable a service and run a Kofax Capture module under the standard method. The service will not be restored until you enable automatic or manual startup. For more information about other Services utility options, refer to the Windows online Help or your Microsoft documentation.

Appendix C


Note The Pause/Resume/Continue functions in the Services utility are not available for Kofax Capture services.

Monitoring Kofax Capture Services

With Kofax Capture services enabled, error logs and processing module logs are generated in the standard locations, with one potential exception. In a client/server environment, some errors may prohibit logging to the Kofax Capture installation folder on the server. If this happens, errors will be logged in the Kofax Capture installation folder on the client, typically located in C:\Program Files\Kofax\Capture.

Modifying Services with User Profiles

The command line parameter -modify can be used to change user profile settings for a service after it has been installed.

For example, to modify the user name and password of the OCR Full Text service that has been previously installed with User Profiles, you would use the following command:

"C:\Program Files\Kofax\Capture\Bin\ocr.exe" -modify -u:"NewUserID" -

p:"NewPwd"

If you have multiple instances of a service installed, you can specify the instance to change by adding a colon and the instance ID number to the -modify parameter.

For example, to modify the user name and password of the second OCR Full Text service that has been previously installed with User Profiles, you would use the following command:

"C:\Program Files\Kofax\Capture\Bin\ocr.exe" -modify:2 -u:"NewUserID" -

p:"NewPwd"

Refer to Multiple Instance Support on page 329 for more information about installing multiple instances of a service.

Removing Kofax Capture Services

You can remove services at any time without affecting the standard Kofax Capture installation. If you uninstall the standard Kofax Capture installation, you must remove the services first.

Installing Services


To remove services, use a command-line argument to specify each service that you want to uninstall. For instance, to remove the Recognition Server service, you would use the following command:

“C:\Program Files\Kofax\Capture\Bin\fp.exe” –uninstall

If the service was started with command line options for user ID and password, be sure to include the user ID and password arguments on the command line. Refer to Adding Command Line Arguments for User Profiles on page 323.

Multiple Instance SupportThis feature is only available with Kofax Capture Enterprise.

The Multiple Instance Support feature allows you to install multiple instances of any Kofax Capture service. This plays into the capabilities of multi CPU computers, so they can take full advantage of their potential processing throughput. For example, a Recognition Server station running on a dual-CPU computer can have up to eight instances of the service installed, increasing the number of batches that station can process.

For each service, the maximum number of multiple instances allowed is four times the number of physical processors on the computer.

Installing Multiple Services

To install multiple instances of a service, just repeat the installation procedure for that service. An ID is automatically appended to the service name for each instance.

For example, to install three instances of the OCR Full Text service, you would repeat the installation command line three times:

“<Kofax Capture installation folder>\Bin\ocr.exe” -install



Appendix C


Each multiple instance of the OCR Full Text service is assigned a unique instance ID, as shown in Figure C-5.

Figure C-5. Example of Multiple Instances of a Service Installed

To install multiple services with the User Profiles feature enabled, use this same method of repeating the installation command.

Removing Multiple Services

To remove multiple instances of a service, just repeat the removal procedure for that service. For example, if you want to remove three instances of a service, repeat the removal procedure three times. When multiple instances of a service are removed, the instance with the highest numbered instance ID is removed first.

Refer to Removing Kofax Capture Services on page 328 for the removal procedure.

Licensing

When multiple services of the same kind are run on the same computer, a single Concurrent station and Enterprise license are required. For example, a user would need both an Enterprise license and a single Concurrent station license to run the OCR Full Text, OCR Full Text:2, and OCR Full Text:3 services.


Appendix D

Custom Module and WorkflowAgent Registration

IntroductionKofax Capture allows you to create custom modules and workflow agents to perform unique functions suited to your business needs. Custom modules and workflow agents are often registered using the Kofax Capture Extension Registration Utility. With KCN Server, since the Administration module is disabled at all remote sites, you must use the registration utility to register the custom modules and workflow agents.

This appendix describes how to register a custom module or workflow agent using the registration utility designed for that purpose.

For more information on registering a custom module or workflow agent, see the Kofax Capture online Help.

For details about creating and using custom modules with Kofax Capture, see the Kofax Capture Developer’s Guide.

Registering a Custom Module or Workflow Agent

If you plan on using a custom module or workflow agent at your remote sites, you must register the custom module or workflow agent at your central site and at each applicable remote site, after you install KCN Server. Then, you can add the custom module or workflow agent to the batch class workflow.

To run the custom module or workflow agent at a remote site, the appropriate custom module executable (.exe) or workflow agent COM server (.dll or .ocx) must be installed on the local hard disk drive at the remote site.

Note The custom module executable or workflow agent COM server must exist at a remote site before the site can use it.

Appendix D


To register a custom module or workflow agent

1 If you are registering a workflow agent, ensure that the workflow agent registration file (.aex) has been set up to define the desired property settings. For information about the format for the registration file, see the Kofax Capture online Help.

2 Copy the executable (.exe, .dll, or .ocx) and registration (.aex) files to your <Kofax Capture installation folder>\Bin directory.

3 Open an MS-DOS Prompt or Command Prompt window by selecting: Start | Programs | Accessories | Command Prompt.

4 Register your custom module or workflow agent by executing the Kofax Capture Extension Registration Utility, RegAscEx.exe. By default, this is located in the <KofaxCapture installation folder>\Bin folder.

To register a custom module, enter the following:RegAscEx.exe /f filename /m modulename

To a register workflow agent, enter the following:RegAscEx.exe /f filename /w workflowagentname

Where:

filename is the name of your registration (.aex) filemodulename is the name of your custom module workflowagentname is the name of your workflow agent

If the modulename or workflowagentname are not provided, all custom modules or workflow agents in the specified file will be registered.

Note If successful, the following message will be returned: Success (1002) : Module 'modulename' registered.

Success (1008): Workflow 'workflow agent name' registered.

5 Type the following to close the Command Prompt window:Exit


Index

AActivate RSA, 208Administration module, 14

main screen, 15overview, 4Tools menu, 200

aex files, 332Assigned batch classes, 186Assigned batch classes tab, 185Assigning

batch classes to remote site profiles, 233site profiles to remote sites, 240

Associated field in SmartGroups, 95Auto-foldering, 53Auto-import, 265

image files and index data, 266image files only, 270log file, 268parsing logic, 266

Automatic synchronization, 247

BBar code recognition

about, 79document separation with bar codes, 81Enhanced bar code engine, 80modules that perform, 80page-level bar codes, 68recognition profiles, 81Standard bar code engine, 80

Batch Catalog database, 169Batch class assignment, 10Batch class description box, 187Batch class override, 178Batch classes

assigning default user groups, 155assigning group profiles, 150assigning to a remote site profile, 186, 233assigning users, 145checking user/group assignments, 156conversion of regional settings, 45, 245copying, 49creating, 101downloading, 247naming, 103processing queues, 102publishing, 109setting up, 44setting up for services, 320using across regions, 45, 245validating, 109

Batch Contents panel, 35Batch creation site, 177Batch fields, 103

display labels for, 47Batch Manager

Options menu, 207overview, 206

Batch Manager module, 4, 28main screen, 28

Batch Processing dialog box, 211Batch Processing dialog polling settings, 211Batch routing, 224, 228

overriding, 180, 188Batch routing tab, 183Batch separation

automatic, 124separator sheets, 29unattended mode, 16, 38, 124

Batch upload settings, 199Batches

checking the status of, 254, 255

Index


unrejecting, 253uploading, 249

Black bordercropping, 66removal, 66

Business continuity tab, 199

CCentral site manager, 201Central site profile, 176Centralized User Management, 141Character recognition

about, 69classification, 73context analysis, 75dictionary lookup, 79extraction and recognition, 70feature extraction, 72formal context, 78hand/machine print detection, 71line extraction, 70segmentation, 71trigram analysis, 76validation, 75voting, 77

Check later button, 213Check now button, 213Citrix support, 12Color

color images, 110color support, 110compression, 111document separation with bar codes, 81image cleanup, 114image quality, 112sample pages, 114

ComponentsKCN Server software, 6Remote Synchronization Agent, 7

Compressionlossless, 112lossy, 112

Configuringbatch processing dialog polling settings, 244remote site polling schedules, 242

Connect to Central Site dialog box, 217

Context menus, 34Conversion

items not converted, 48regional settings, 45

Convert to remote site overview, 207Converting

Kofax Capture installation to a remote site, 219local to regional settings, 245

Copyingbatch classes, 49document classes, 58folder classes, 57form types, 65index group zones, 86index zones, 83

Creatingbatch classes, 101document classes, 57field types, 50folder classes, 53form types, 64

Custom modules, 121, 331using in a remote site profile, 223, 228

Custom scripts, 120Customizing Kofax Capture, 120

DData capture, 1Data Security, 10Data types, 50Database options

IBM DB2, 170Oracle, 170SQL Server, 170Standard, 170

Database repair and compact, 171Database switching, 169Database Utility, 168

Batch Information Editor tab, 171Database tab, 169Identification tab, 171Repair and Compact tab, 171SecurityBoost tab, 171

Database validation, 60requirements for remote site, 234

Dates, converting across regions, 45, 245

Index


Default profile, 205Definitions panel, 34Deleted batches log file, 164Deleting remote site profiles, 239Deshade, 67Deskew, 67Despeckle, 67Dictionary

character recognition, 79downloaded to remote sites, 233full text, 51zonal, 51

Disabling polling, 243Disabling user profiles, 130Disaster recovery, 12Display labels, 47Document capture, 1Document classes

copying, 58creating, 57database validation, 60index fields, 59OCR full text settings, 59PDF generation, 59release scripts, 62validation scripts, 60

Document separation profiles, 103Downloading

batch classes, 247dictionaries to remote sites, 233

EEdge enhancement, 67Edit menu, 175eDocuments, 115

custom module, 118form identification, 117indexing with, 117release scripts, 118suppressing display, 116

Enabling user profiles, 128Enhanced bar code engine, 80Enterprise features, 11Error log file, 166Exception processing

partial batch release, 109

Quality Control (Rescan), 24

FFeatures

batch class assignment, 10centralized administration, 9centralized license management, 9data security, 10disaster recovery, 12event logging, 11Internet/Intranet support, 10offline capability, 10remote site profile support, 10remote synchronization capability, 11site switching capability, 11tight integration with Kofax Capture, 9

Field typescreating, 50known values, 52

Folder classesauto-foldering, 53copying, 57creating, 53

Form identification profiles, 103Form identification zones, 86Form types

automatic field recognition, 68copying, 65creating, 64page level bar codes, 68page registration, 67permanent image cleanup, 66sample pages, 82zones, 87

GGroup profiles

adding, 137assigning batch classes, 150assigning modules, 152assigning users, 153checking batch class assignments, 156copying, 139deleting, 140editing, 140

Index


HHide button, 248High availability support, 11History log file, 166Horizontal line removal, 67

IIBM DB2 database, 170Image cleanup

black border cropping, 66black border removal, 66deshade, 67deskew, 67despeckle, 67edge enhancement, 67line removal, 67permanent, 66profiles, 122streak removal, 67temporary, 94

Image cleanup profiles, 66Image viewer, 34, 115Import scripts, 120Importing PDF files, 118Index fields

display labels for, 47maximum length of, 47using in document classes, 59using in folder classes, 54

Index group zonescopying, 86

Index zones, 82copying, 83

Indexing with eDocuments, 117Installing modules as services, 319Interface components, 175

KKofax Capture Enterprise, 11Kofax Capture Extension Registration Utility, 332Kofax Capture modules

Administration, 4, 14, 112, 175assigning group profiles, 152assigning user profiles, 147

Batch Manager, 4, 28common user interface components, 33, 175, 206Kofax PDF Generator, 23OCR Full Text, 5, 22overview of Batch Manager, 206Quality Control, 4, 24Recognition Server, 5, 18Release, 6, 26running as services, 319Scan, 4, 16using in a remote site profile, 224, 228Validation, 5, 19Verification, 5, 21

Kofax Capture overview, 2Kofax Capture Values

language translation, 46, 247overview, 121

Kofax Color Form, 114Kofax Color Photo, 114Kofax PDF Generator module, 5

document class settings, 59main screen, 23

Kofax technical support, xviiKofax training, xviKofax Web site, xvii

LLanguage translation, 46

overview, 246License types

station, 173system, 172volume, 173

License Utility, 171Licensing

backup, 12overview, 190setting up for remote sites, 230, 231

Line removal, 67Link Verification, 144Linking Groups or Users, 142Load balancing, 199Local User Management, 141Log files

about, 163

Index


auto-import, 268deleted batches, 164error, 166history, 166processing module, 167system, 163

MMacros, 121Menu bars, 34Modifying remote site profiles, 238Multiple instance support, 12, 329Multiple release, 63

NNone profile, 204Notes panel, 40Numeric formats

converting across regions, 45, 245

OOCR Full Text module, 5, 22

main screen, 22OCR Full Text settings, 59OCR recognition image quality, 112OMR zones, 99

confidence settings, 98threshold settings, 97

Oracle database, 170Overriding batch routing, 180, 188

PPage level bar codes, 68Page registration, 67Partial batch release, 109Passwords

assigning, 132, 145PDF files

importing, 118licensing, 119

PDF Generator module, 5document class settings, 59main screen, 23

Permissions, 145

Polling schedulebatch processing dialog, 211disabling, 243overview, 195remote site configuration, 208setting for remote sites, 242setting retry action if connection fails, 197setting up for remote sites, 235view next scheduled, 215

Port number, 221Processing log file, 168Processing module log files, 167Processing queues, 102Profiles

document separation, 103form identification, 103image cleanup, 122language translation, 46recognition, 87scanner, 122user, 125VirtualReScan, 123

Publishing a batch class, 109

QQuality Control module, 4, 24

main screen, 25Queues, 102QuickZones, 101, 111

RRecognition engines

about, 87bar code, 80

Recognition profiles, 87Recognition scripts, 121Recognition Server module, 5, 18

main screen, 18RegAscEx.exe, 332Regional settings

converting in batch classes, 45, 245overview of conversion, 45, 245

Registeringcustom modules, 331workflow agents, 331

Index


Registration files, 332Registration utility, 331, 332Registration zones, 83Related documentation, xvRelease module, 6, 26

main screen, 27Release scripts

about, 62custom, 6multiple release, 63standard, 6

Remote database validation, 61Remote site

behavior option, 205conversion steps, 219profiles, 175Profiles dialog box, 182setting polling schedule, 242setting polling schedule for, 235setting up licensing for, 230, 231setting up profiles for, 223, 227

Remote Site Managerdialog box, 203overview, 201

Remote site profile dialog boxAssigned Batch Classes tab, 185Batch Routing tab, 183Business Continuity tab, 199Licensing tab, 190Polling tab, 195

Remote site profilesassigning batch classes to, 233deleting, 239modifying, 238

Remote sitesassigning profiles to, 240removing, 241

Remote Synchronization Agentactivating on a remote site, 222authentication, 217closing/stopping, 222credentials, 217dialog box, 215displaying the version, 215installing as a service, 323opening the Technical Support Web page, 215overview of menu options, 214

overview of system tray icon, 213restarting, 223

Removing a remote site, 241Repairing scanned images, 16, 24Rescan location, 178Restarting RSA, 223Retaining images, 178, 181, 184Routing batches, 177RSA

menu, 214using, 247, 249

Rubber Band OCR, 19, 21

SSample pages, 82

using image-only PDF, 120Scan controls, 37Scan module, 4, 16

main screen, 17Scanner Configuration Utility, 32, 113Scanner profiles, 122

locations, 123reverting, 123

Scriptscustom, 120import, 120recognition, 121release, 121Softbridge Basic, 120validation, 121

SecurityBoost, 171, 173Separator Sheet Utility, 29

main screen, 30Separator zones, 86Services, running modules as

command line, 323configuring, 325default user, 325error logs, 328modifying with user profiles, 328monitoring, 328multiple instance support, 329notification of success, 324overview, 319removing, 328setting up batch classes for, 320

Index


starting, 327stopping, 327UNC paths, 320Windows Services utility, 324with user profiles, 323

Setting up batch classes, 44Site profiles, 240SmartGroups, 86

associated field, 95creating, 94results, 96tree view, 96

Softbridge Basic Language, 14, 121SQL Server database, 170Standard bar code engine, 80Statistics, user tracking, 263Status bar, 34Status option, 257Stopping RSA, 222Store batches in SQL Sever, 170Streak removal, 67Synchronizing

activating RSA at remote site, 222automatic, 247

System log files, 164

TTable controls, 38Table fields, 40, 82Technical support, xviiTemporary image cleanup, 94Terminal services, 12Thumbnails, 41Time

converting across regions, 45, 245Toolbars, 34Tools menu, 200Tracking user statistics, 158, 263Training, xviTranslation, 46

items not translated, 48, 247

UUnattended scanning, 16, 38UNC format, 233

Uninstalling, 280Uploading batches, 249User activity

records, 159tracking, 158

User interface componentsbatch contents panel, 35batch thumbnails, 41context menus, 34Definitions panel, 34image viewer, 34menu bar, 34Notes panel, 40Scan controls, 37status bar, 34table controls, 38toolbars, 34

User managementabout, 125centralized, 141local, 141

User profilesadding, 131assigning batch classes, 145, 155assigning groups, 148assigning Kofax Capture modules, 147assigning permissions, 145checking batch class assignments, 156comparing group profiles, 127copying, 134default, 128deleting, 136disabling, 130editing, 134enabling, 128icons, 143

User trackingdata tables, 159disable, 159enable, 158

User tracking statistics, 263Using the RSA, 247, 249

VValidating a batch, 60Validating a batch class, 109

Index


Validationremote site database validation requirements, 234

Validation module, 5, 19main screen, 20

Validation scripts, 60, 121Verification module, 5, 21

main screen, 21Vertical line removal, 67Viewing eDocuments, 116Viewing next scheduled polling time, 215Visual Basic .NET, 14, 121Volume licensing limits, 193Voting, 77VRS QC Later, 16, 24VRS Scanner Profiles, 123

WWeb server

changing port number, 221overview of dialog box, 207

WebSphere support, 12Workflow agents, 121, 331

XXML Import Connector

batch, 291batch fields, 295batches, 291command line arguments, 278control directory, 281documents, 298error handling, 311error messages, 312error types, 311event logging, 310examples, 305expected batch totals, 296file elements and attributes, 288files, 285files after processing, 307folders, 298import session, 288index fields, 301installing as a service, 279

log file, 283, 284overview, 274pages, 299polling directory, 280polling interval, 276, 280tables, 303unattended module, 275user interface, 275user profiles, 282

ZZonal cleanup, 94Zones

confident, 68creating, 90creating bar code, 92creating OCR, 91creating OMR, 93creating registration, 92creating shape recognition, 92drawing, 88form identification, 86grouping, 86, 94image cleanup, 94index, 82multiple, 94non-confident, 68OMR settings, 98, 99registration, 83separator, 86SmartGroups, 94testing, 101, 111using, 87