Getting Started with Ascent Xtrata 1.7

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The information contained in this document is the property of Kofax Image Products, Inc. Neither receipt nor possession hereof confers or transfers any right to reproduce or disclose any part of the contents hereof, without the prior written consent of Kofax Image Products, Inc. No patent liability is assumed, however, with respect to the use of the information contained herein.

Trademarks

Kofax, the Kofax logo, Ascent, Ascent Capture, and Ascent Capture Internet Server are registered trademarks; and Xtrata, VRS, and Ascent Ricochet are trademarks of Kofax Image Products, Inc.

All other product names and logos are trade and service marks of their respective companies.

Disclaimer

The instructions and descriptions contained in this document were accurate at the time of printing. However, succeeding products and documents are subject to change without notice. Therefore, Kofax Image Products, Inc. assumes no liability for

damages incurred directly or indirectly from errors, omissions, or discrepancies between the product and this document.

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How to Use This Guide . . . vii

Introduction . . . vii

How This Guide is Organized . . . vii

Introduction

This Getting Started with Ascent Xtrata guide contains instructions for installing Ascent Xtrata, as well as an overview of the product, description of the user interface, and procedures for performing key tasks. The guide is provided for system administrators and other personnel who are installing Ascent Xtrata for use with their Ascent Capture system.

This guide assumes that you have a thorough understanding of Windows standards/ interfaces and Ascent Capture.

How This Guide is Organized

This guide is divided into the following chapters:

• Chapter 1 - Overview introduces the components installed with Ascent Xtrata and the key features provided with the product.

• Chapter 2 - Installation describes how to install Ascent Xtrata and maintain the installation. It also lists the requirements for installing and using Ascent Xtrata.

• Chapter 3 - Setting Up Batch Classes with Ascent Xtrata explains how to set up batch classes that include Xtrata Server and describes the basic

functionality of Ascent Xtrata.

• Chapter 4 - Using Xtrata Forms Setup describes how to use Xtrata Forms Setup to facilitate form type set up and index zone definition and how to process definition batches.

• Chapter 5 - Processing Batches explains the general operation of Xtrata Server and provides a quick tour of the user interface.

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In addition to this Getting Started with Ascent Xtrata guide, Ascent Xtrata provides the following:

Online Help

You can access Ascent Xtrata online help as follows:

• From any Xtrata custom component: If a toolbar is available, click the Help button from the toolbar. If a menu bar is available, select the Xtrata Help Topics option from the menu bar.

• From any Xtrata dialog box: Click the Help button to display context sensitive help information for the dialog box.

Release Notes

Late-breaking product information is available from release notes. You should read the release notes carefully, as they contain information not included in other Ascent Xtrata documentation.

Training

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For 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 are a certified representative from an authorized company, and need to contact Kofax Technical Support, please have the following information available:

• Ascent Capture software version • Ascent Xtrata software version

• Operating system and Service Pack version • Network and client configuration

• Copies of your error log files

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Overview

Introduction

Ascent Xtrata delivers a trio of components that extend Ascent Capture’s document and data capture capabilities. Xtrata provides enhanced form identification

(classification), document separation, unsurpassed image registration, and assisted form set up.

Once Ascent Xtrata is installed, you can add Xtrata Server to your batch classes. With the settings that are enabled by default, Xtrata Server performs classification and registration of form types defined through normal Ascent Capture methods. If desired, you can enable advanced Xtrata options that facilitate form type set up. The Xtrata Forms Setup interface in the Ascent Capture Administration module allows you to easily set up form types and zones. You can provide sample images and initiate zone set up directly in Xtrata Forms Setup, or take advantage of Xtrata’s ability to learn forms and zone locations with definition batches.

Xtrata allows you to scan new forms as definition batches that are processed differently from production batches. Definition batches use a special-purpose batch class installed with Ascent Xtrata. Batches created with this batch class are processed through Xtrata Server, where similar images in the batch are automatically clustered into sample pages. As soon as at least five images exist in a cluster, Xtrata Server locates all fields (boxes, combs, check boxes, and lines) on the page. The results of this processing are made available to Xtrata Forms Setup, where it can be used to quickly set up form types and zones.

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Custom Components

The following custom components are provided with Ascent Xtrata:

• Xtrata Server is a custom module that you can add to your Ascent Capture batch classes to perform Xtrata processing. It runs as an unattended module to perform form type classification, document separation and enhanced image registration, as well as automatic rotation of images that were scanned upside down, black border removal, and Optical Mark Recognition (OMR).

Xtrata Server can also process definition batches, for which it clusters similar images as new sample pages, identifies zone locations, and stores the

definition information for use with Xtrata Forms Setup.

• Xtrata Forms Setup is a custom panel added to the Ascent Capture

Administration module. It provides assisted form type and zone set up from an easy-to-use interface. For example, Xtrata Forms Setup allows you to create form types and sample pages from sample images that you provide or images available from processing definition batches with Xtrata Server. You can also create and edit zones right in Xtrata Forms Setup, and/or accept zones found by Xtrata.

• Xtrata Form Type Correction is a custom panel added to the Ascent Capture Quality Control module. It allows you to easily assign form types to

unclassified images, or remove images of new form types from the batch. Images that you remove can be made available for definition batch processing, where Xtrata Server can learn the form types and identify the zone locations.

Features

The following sections highlight many of the benefits provided with Ascent Xtrata.

Easy Installation

Ascent Xtrata is easy to install on any Ascent Capture client or standalone station. Just insert the Ascent Xtrata installation CD and follow the instructions presented to you. In addition, the installation process automatically registers the custom Xtrata

components with Ascent Capture.

Integrated with Ascent Capture

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module. When batches based on the batch classes are processed, they are

automatically routed through Xtrata Server as part of the defined Ascent Capture workflow.

Other Xtrata custom components are easily accessible from the Ascent Capture Administration and Quality Control modules.

Enhanced Form Type Classification

Ascent Xtrata provides enhanced form identification functionality, being able to classify up to 1,000 different form types in one batch class with high speed and accuracy.

Document Separation and Consistency Check

Ascent Xtrata performs document separation based on classification results. The first page of a document is detected by matching a loose page with all first sample pages defined for the batch class. Additional loose pages are added to the document if they match a second page or do not match any first page. If the batch contains already separated documents, these will be used for classification.

In addition to creating documents, Xtrata Server can perform a check on document length and page sequence within the document. The page sequence is determined by the sample pages defined for the form type that is assigned to the document. If an error in sequence is detected, Xtrata Server can either raise an error that leads to manual correction in the Ascent Capture Quality Control module or try to resort the document automatically by matching all pages of the document with all sample pages of the assigned form type.

Advanced Registration

Xtrata registers images without the need to define registration zones or anchors. Registration is done in relation to the stored sample images that were used to draw index zones during batch class set up.

For multipage documents, registration and optionally background removal is performed for each page that corresponds to a sample page with index zones. For classification and registration, it does not matter if the index zones are created via Xtrata Forms Setup and segmentation or manually in the Ascent Capture

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In addition, Xtrata’s registration automatically adjusts for stretched or scaled images to match the index zones to the images. This can greatly decrease data capture errors caused by incorrectly registered images, and reduce the amount of manual indexing.

Assisted Form Type Setup

For Xtrata batch classes, the Xtrata Forms Setup interface is available in the Ascent Capture Administration module to assist in form type set up and index zone definition. It can be used in conjunction with normal Ascent Capture methods for defining form types and zones during batch class definition.

Segmentation

Ascent Xtrata can perform internal segmentation of images, whereby it analyzes the images and identifies form fields (boxes, combs, check boxes, and lines) that are candidates for zones. The segmentation data is made available to Xtrata Forms Setup for easy zone definition.

Enhanced Zone Manipulation

Xtrata Forms Setup allows you to accept and manipulate all zones found during segmentation, or individual zones as desired. It also allows you to lasso an area of interest on an image and accept all zones within the area. Accepting zones is as easy as pointing your mouse and clicking on the zones.

In addition, Xtrata Forms Setup allows you to edit one or more zones at the same time. For example, you can select multiple zones in the Xtrata Forms Setup viewer and resize, move, and/or edit the properties of all of them at once.

Ability to Learn Forms

Ascent Xtrata allows you to scan or import definition batches that automatically prepare images and segmentation data for easy forms set up. Definition batches use a special-purpose definition batch class that is installed with Ascent Xtrata.

For definition batches, Xtrata Server clusters the images into sample pagesfor classification and performs segmentation of zones on the images. Then, it makes the images and segmentation data available to Xtrata Forms Setup in the Ascent Capture Administration module. Xtrata Forms Setup can then be used to add the sample pages to a document class and set up zones.

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Automatic Rotation

With Ascent Xtrata, presorting batches to ensure proper orientation of the documents is no longer necessary. Xtrata Server can detect images scanned upside down, and automatically rotate them by 180 degrees.

Background Removal

Ascent Xtrata provides the ability to work with forms for which background items (such as lines or combs within zones) are removed temporarily for character recognition. This can improve recognition results by allowing zone data to be processed without field structures.

Xtrata’s ability to perform background removal eliminates the need to redesign your forms and print them using dropout ink.

Assisted Form Type Correction

For unclassified images, the Xtrata Form Type Correction interface is available in the Ascent Capture Quality Control module. This easy-to-use interface displays the available form types side-by-side with the first page of unclassified documents to help you choose the appropriate form type.

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Installation

Introduction

The Ascent Xtrata installation program installs and registers several components with your Ascent Capture system:

• Xtrata Server is a custom module that you can add to your batch classes to perform Ascent Xtrata processing.

• Xtrata Forms Setup is a custom panel added to the Ascent Capture Administration module that allows for assisted form type set up.

• Xtrata Correction is a custom panel added to the Ascent Capture Quality Control module that provides enhanced form type classification correction. The installation program also installs the following batch class:

• Xtrata definition batch class (XtrataDefinition.cab) is a special-purpose batch class for creating Xtrata definition batches. It is installed to your Ascent Capture Export folder.

This chapter describes how to install Ascent Xtrata and maintain the installation. It also includes operating requirements and important installation notes.

Note If you are upgrading from Ascent Xtrata 1.0, refer to Upgrading Ascent Xtrata on page 17 for important instructions.

For installation purposes, it is assumed that you are familiar with Windows standards and user interfaces.

Operating Requirements

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Minimum Hardware Requirements

Recommended Hardware Requirements

Note Disk space requirements will vary, depending on the number of image files used for Xtrata classification. It is recommended that you monitor free disk space on your Ascent Capture server (for client/server installations) and your standalone stations where you perform Xtrata processing.

Processor: Pentium class 300 MHz processor System memory: 128 Mbytes

Disk space: 30 Mbytes for the installation and enough space (approximately 1 Gbyte) for the image files used for classification (for client/ server installations, on the corresponding drive of the server; for standalone installations, on the drive where Ascent Capture is installed)

Display: 1024 x 768 with 16-bit color, small fonts; 24-bit color is recommended for the best viewing of Ascent Capture online help

Processor: Pentium class 500 MHz processor System memory: 256 Mbytes

Disk space: 30 Mbytes for the installation and enough space (approximately 1 Gbyte or more) for the image files used for classification (for client/server installations, on the corresponding drive of the server; for standalone installations, on the drive where Ascent Capture is installed)

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Certified Operating Systems

Kofax has certified Ascent Xtrata on the following operating systems: • Windows XP Professional with Service Pack 1

• Windows 2000 Server with Service Pack 4 • Windows 2000 Professional with Service Pack 4

• Windows Server 2003 (Standard and Enterprise editions)

Certified Versions of Ascent Capture

Kofax has certified Ascent Xtrata with the following versions of Ascent Capture: • Ascent Capture 6.1

Important Installation Notes

Administrator Rights

To install Ascent Xtrata, the logged-in user must be part of the Administrator group on the local machine.

Install Ascent Capture First

You must install Ascent Capture before you install Ascent Xtrata.

Installing Ascent Xtrata

Installing Ascent Xtrata involves the following basic steps, which you should perform in the order listed.

Step 1 Install Ascent Capture. Step 2 Install Ascent Xtrata.

Step 3 Activate the Ascent Xtrata license.

Step 1 Install Ascent Capture

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Step 2 Install Ascent Xtrata

You must install Ascent Xtrata on each Ascent Capture client and/or standalone station where you want to use it.

1 Shut down any applications (including the Control Panel, virus detection software, and toolbars) that might be running on the Ascent Capture station where you want to install Ascent Xtrata.

2 Insert the Ascent Xtrata installation CD into the CD drive. The CD supports AutoPlay, so the installation will automatically start. (If it does not start, run Setup.exe from the CD.)

3 Follow the instructions of the setup wizard.

4 Repeat on each workstation where you want to run Ascent Xtrata. Note The installation process automatically registers the Xtrata Server custom module, Xtrata Forms Setup in the Administration module, and Xtrata Form Type Correction panel in the Quality Control module. If for any reason the custom components need to be re-registered, you can manually register them. Refer to Registering Custom Components on page 13.

Step 3 Activate the Ascent Xtrata License

After you install Ascent Xtrata, you must verify that its license has been activated. You can do this from the Ascent Capture License Utility, which allows you to view the status of licenses, as well as activate new or additional licenses for your Ascent Capture system.

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Viewing Licenses

The Ascent Capture License Utility’s display reflects purchased and activated licenses. For more information about the Ascent options purchased for your company, contact your system administrator or Kofax Certified Solution Provider. X To view licenses

1 Select Start | Programs | Ascent Capture 6.1 | License Utility, and check if Ascent Xtrata is listed in the Volume Licenses area. Figure 2-1 shows an activated Ascent Xtrata license. (Your licenses may be different from the ones shown in the figure.)

Figure 2-1. Ascent Xtrata Shown as Activated in License Utility

Note If you obtained an Ascent Capture evaluation license from Kofax Image Products, it will display in the System Licenses area. The evaluation license allows you to run Ascent Capture and add-on components (including Ascent Xtrata) for the evaluation period.

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Activating Licenses

For easiest activation, it is recommended that you run the Ascent Capture License Utility on a station with Internet access. For client/server installations, you need only activate your Ascent Xtrata license one time: You do not need to activate on each client station where you install Ascent Xtrata.

Note If Internet access is not available, you must acquire an activation code from your Kofax Certified Solution Provider or the Kofax Web site before you attempt to activate. Contact your system administrator or Certified Solution Provider for assistance.

X To activate licenses

1 From the License Utility’s menu bar, select File | Activate. The Activate dialog box will display. (Your serial number will be different from the one shown in the figure.)

Figure 2-2. Activate Dialog Box

2 Do one of the following:

• If Internet access is available on the station, click Automatic. An activation code will be acquired directly from Kofax Image Products and the license(s) will be activated.

• If Internet access is not available on the station, click Manual. Enter or paste your activation code in the area provided and click Activate. 3 Select View | Refresh to refresh the License Utility’s display.

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Registering Custom Components

The Ascent Xtrata installation program automatically registers the Ascent Xtrata custom components with Ascent Capture. If for any reason the components need to be registered after installation, you can manually register them or repair your installation as described in the following sections.

Note No error message is displayed if the installation program fails to register the Ascent Xtrata custom components. However, the unregistered components will not be available with Ascent Capture. For example, if the Xtrata Server custom module is not registered, it will not be available as a queue for a batch class.

Xtrata Server and Forms Setup Panel in Administration

If for any reason you need to re-register the Xtrata Server custom module or the Xtrata Forms Setup panel in the Administration module, you can do so from Ascent

Capture’s Custom Module Manager.

X To register Xtrata Server and/or the Forms Setup Panel

1 From the Administration module’s menu bar, select Tools | Custom Module Manager to display the Custom Module Manager.

Figure 2-3. Custom Module Manager

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Figure 2-4. Open Dialog Box

3 Choose the file “Xtrata.aex” from file list and click Open to display the Custom Modules dialog box.

Figure 2-5. Custom Modules Dialog Box

4 Select Xtrata Server from the list and click Install to register the Xtrata Server custom module and Xtrata Forms Setup panel for the Administration module.

Form Type Correction Panel in Quality Control

If for any reason you need to re-register the Xtrata Form Type Correction panel in Quality Control, you must repair your Ascent Xtrata installation. Refer to Repairing

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Application Maintenance

This section describes how to repair, remove (uninstall) or upgrade Ascent Xtrata components.

Repairing Ascent Xtrata

You can repair your Ascent Xtrata installation from the Ascent Xtrata Setup

Maintenance program. This reinstalls all Ascent Xtrata components, and registers the Xtrata Server custom module, Xtrata Forms Setup custom panel, and Xtrata

Correction custom panel. X To repair Ascent Xtrata

1 Shut down any applications (including the Control Panel, virus detection software, and toolbars) that might be running on the station where you want to repair the Ascent Xtrata installation.

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Figure 2-6. Ascent Xtrata Setup Maintenance Program

3 Select Repair to reinstall all Ascent Xtrata components. 4 Click Next and follow the instructions presented to you.

Removing Ascent Xtrata

You can remove (uninstall) all Ascent Xtrata components from the Ascent Xtrata Setup Maintenance program or the Add/Remove Programs utility from the Windows Control Panel.

X To remove Ascent Xtrata (with Ascent Xtrata Setup Maintenance)

1 Shut down any applications (including the Control Panel, virus detection software, and toolbars) that might be running on the station where you want to remove the Ascent Xtrata installation.

2 Insert the Ascent Xtrata installation CD into the CD drive. The CD supports AutoPlay, so the installation will automatically start. (If it does not start, run Setup.exe from the CD.) The installation program will detect the installed version of Ascent Xtrata and automatically start the Ascent Xtrata Setup Maintenance program (shown in Figure 2-6).

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4 Click Next and follow the instructions presented to you.

Note While uninstalling Ascent Xtrata, the Setup program tries to unregister Ascent Xtrata components. If it fails, you will be prompted to stop the uninstallation process. It is recommended that you stop the process, remove Xtrata Server from all batch classes using it, and then restart the

uninstallation.

X To remove Ascent Xtrata (with Add/Remove Programs)

1 Open the Windows Control Panel on the station where you want to remove Ascent Xtrata, and select Add/Remove Programs.

2 Select Ascent Xtrata from the list of currently installed programs. 3 Click Remove and follow the instructions presented to you.

Upgrading Ascent Xtrata

Upgrading to Ascent Xtrata 1.7 requires that you first uninstall the previuos version 1.5 and higher first. If you do not, an error will display during the installation. Note Batches that contain a former version of Xtrata Server cannot be processed with version 1.7. Therefore, batches that contain Xtrata Server as a processing queue must be processed and released from Ascent Capture before you upgrade to version 1.7. Batch classes created with a previous version can be reused with version 1.7.

However, you must republish them once version 1.7 is installed. If you do not, Xtrata Server will not work.

Follow this procedure carefully before you attempt to upgrade to version 1.7. X To upgrade Ascent Xtrata

1 Finish processing all batches that include version 1.5 or higher of Xtrata Server and release them from Ascent Capture.

2 Uninstall Ascent Xtrata 1.5 or higher. Refer to Removing Ascent Xtrata on page 16 for more information.

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3 Install Ascent Xtrata 1.7. Refer to Step 2 Install Ascent Xtrata on page 10 for more information.

4 Publish all batch classes that include Xtrata Server as a processing queue. Note Batch classes created with Ascent Xtrata 1.5 or higher must be

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Setting Up Batch Classes with

Ascent Xtrata

Introduction

Once Ascent Xtrata is installed, you can add Xtrata Server to your batch classes. With the settings that are enabled by default, Xtrata Server performs classification and registration of form types defined through normal Ascent Capture methods. You can use additional functionality from Xtrata Forms Setup to facilitate form type set up. This chapter describes how to set up batch classes with Xtrata Server, and

concentrates on the basic functionality of Ascent Xtrata. Refer to Chapter 4 – Using

Xtrata Forms Setup on page 43 for information about the features of Xtrata Forms

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Functionality Overview

At runtime, Xtrata Server provides classification and enhanced registration of Ascent Capture form types and index zones that have been defined for a batch class. Batches processed through Xtrata Server are typically sent to Recognition Server for further processing, such as automatic data capture and recognition. Unclassified images will cause the batch to be routed to the Quality Control module, where the images can be manually classified using the Xtrata Form Type Correction custom panel.

Xtrata Server registers classified images without the need to define registration zones or anchors. Registration is done in relation to the stored sample pages that were used to draw index zones during batch class set up. Ascent Xtrata registration corrects small shifts, skew, and linear stretching to match the index zones on the image. Xtrata Forms Setup provides additional functionality for Xtrata Server, and facilitates setting up form types and defining zones from the Administration module. Refer to

Chapter 4 – Using Xtrata Forms Setup on page 43 for further information.

Typical Runtime Workflow

Figure 3-1 illustrates a typical Ascent Capture workflow that includes Xtrata Server.

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In the example workflow, batches are scanned or imported into Ascent Capture, and then sent to Xtrata Server where Xtrata runtime processing occurs. In addition to classification and registration, Xtrata Server can automatically rotate images that were scanned upside down and/or remove black borders. Additionally, you can select settings to consider a fixed page length for a document and to ignore classification and/or fixed page length errors.

To classify images, Xtrata Server uses internal templates and patterns created from the sample pages defined for the form types in the batch class. At runtime, Xtrata Server compares the images in the batch to the internal patterns. If a match within a specified confidence threshold is found, Xtrata Server assigns the form type to the image.

If the confidence is lower than the threshold, Xtrata Server leaves the image unclassified. In this case, the image can be identified by processing it through Recognition Server (if form identification is defined for the batch class).

Alternatively, the image can be manually identified in the Quality Control module. Ascent Xtrata installs a special-purpose panel to the Ascent Capture Quality Control module that facilitates the manual classification process. (See Chapter 6.)

Batches that contain unclassified documents or documents with an incorrect number of pages are routed to the Ascent Capture Quality Control module, where the Xtrata Form Type Correction panel can be used to manually classify forms. How Xtrata Server handles documents with errors is specified as an Xtrata batch class property (Runtime tab). Refer to Error Options on page 29 for more information.

Then, batches flow through the defined Ascent Capture workflow for processing and release.

Batch Class Settings

When Xtrata Forms Setup (described in Chapter 4) is not used to create form types, then Xtrata Server uses batch classes set up through standard Ascent Capture methods. You need only add Xtrata Server to the list of queues for the batch class. However, classification can be improved by adding more classification sample images during batch class set up, through a special-purpose Xtrata interface available from the Ascent Capture Administration module.

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Adding Xtrata Server to a Batch Class

To process batches through Xtrata Server, you must add Xtrata Server to your list of processing queues for a batch class. You can add Xtrata Server as a processing queue when creating new batch classes or editing existing ones in Ascent Capture.

Ascent Xtrata will always use any currently defined batch class, document class, and form type settings for the batch class, even if the settings change after Xtrata Server is added. Refer to Batch Class Considerations on page 31 for more information about the required batch class settings and limitations for batch classes that include Xtrata Server.

Once Xtrata Server is added to a batch class, several items are added to context menus for that batch class.

• “Xtrata Settings” and “Xtrata Forms Setup” become available on the context menu for the batch class.

• “Work On Dropped Out Image” and “Load Original Sample Page” become available on the context menu for form types with background removal enabled. (Only one of these items is available on the context menu at a time. If “Work On Dropped Out Image” is selected, the context menu will show “Load Original Sample Page” and vice versa.)

• “Add Classification Sample Images” becomes available on the context menu for the sample pages.

Refer to Xtrata Settings on page 23, Background Removal on page 74 and Additional

Sample Images for Classification on page 36 for more information about these items.

The procedure below describes how to add Xtrata Server to an existing batch class. Refer to your Ascent Capture documentation for details about creating batch classes. X To add Xtrata Server to an existing batch class

1 From the Administration module’s Definitions panel, select the Batch class tab.

2 Right-click the batch class to which you want to add Xtrata Server.

3 From the context menu, select Properties. The Batch Class Properties dialog box will display.

4 Select the Queues tab.

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Note Xtrata Server is registered as a custom module when you install it. If it is installed but not in the list of Available Queues, you can use the Ascent Capture Custom Module Manager to register Xtrata Server. Refer to

Registering Custom Components on page 13 for information on registering

Ascent Xtrata components.

Figure 3-2. Xtrata Server in List of Selected Queues

6 Click Apply to save your settings without closing the Batch Class Properties dialog box. Click OK to save your settings and close the dialog box.

Xtrata Settings

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X To open Xtrata Settings

2 Right-click a batch class that includes Xtrata Server. The context menu for the batch class will display.

Note The Xtrata Settings option (shown below) will only be available in the context menu if the selected batch class includes Xtrata Server as a processing queue. If Xtrata Settings is not an option, verify that you selected the desired batch class, and that the batch class includes Xtrata Server as a processing queue. Refer to Adding Xtrata Server to a Batch Class on page 22.

Figure 3-3. Xtrata Settings in Context Menu for a Batch Class

3 From the context menu, select Xtrata Settings. The Xtrata Settings for the Batch Class dialog box will display. The options available from this dialog box are described in the following sections.

Runtime Tab

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Figure 3-4. Xtrata Settings for Batch Class - Runtime Tab

Classification

The Classification area provides two sliders that allow you to set the absolute confidence and difference required for confident classification during Xtrata Server processing. Only images that are classified with a confidence above the configured threshold are assigned a form type by Xtrata Server. Images that cannot be classified within the configured threshold remain unclassified by Xtrata Server.

In addition, you can select a default form type that Xtrata Server will use for any documents that it cannot confidently classify.

Minimum confidence

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fewer unclassified images, but can increase the error rate. Typical values are from 65% to 70%, depending on the images.

Minimum difference

This is the minimum difference required between one confidence result and the next best confidence result for classifying an image. If the difference between the returned confidence values is less than the minimum difference, Xtrata Server will not consider the image a match for the form type. Valid values are from 0% to the Minimum confidence. A value of 10% is recommended as a good value to discriminate between similar forms, but can be adjusted depending on the images.

A value of 0% means that no difference is required for valid classification. The best confidence will win with no respect to the second best. If the confidences of the first two results are equal, the first match found will be taken. This could result in incorrect classification if the form types are very similar.

Default form type

The combo box allows you to select one form type as a default form type from the list of all Ascent Capture form types for the batch class. If a default form type is selected, any unclassified document is assigned that form type in Xtrata Server. This means that all documents will be assigned a form type in Xtrata Server, and no documents will be left unclassified. By default, no default form type is selected as a runtime option.

Note A default form type is not assigned to documents that have an eDocument as the first page. Refer to eDocuments in Xtrata Server on page 34 for more

information.

Settings

The Settings area allows you to select various Xtrata Server runtime processing options.

Auto rotation 180 degrees

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the pages in the batch, thus reducing manual batch preparation time. Auto rotation is enabled by default.

Black border removal

If enabled, Xtrata Server performs black border removal on the images. When scanning in color, the black borders are cropped from both the color image and the bitonal image used internally by Ascent Capture. Black border removal is disabled by default.

If you know that the images in your batches will not have black borders when they are processed by Xtrata Server, you can disable this option to speed up Xtrata Server runtime performance. This might be the case if black border removal is performed at scan time.

Note It is recommended that you perform black border removal at scan time using a VRS-enabled scanner. This is the fastest, most secure and highest quality method of getting clean deskewed images. If this is not possible (for example, you are importing images or scanning with a non-VRS-enabled scanner), it is

recommended that you perform black border removal in Xtrata Server.

While it is possible to configure black border removal with cropping as permanent image clean up in Ascent Capture, you should not use this Ascent Capture feature with Ascent Xtrata. Xtrata Server registers zones based on uncropped images, and the zones will be misaligned if Ascent Capture changes the image size by

cropping the image. OMR

When enabled, OMR recognition for all index zones set for OMR processing will be performed by Xtrata Server, rather than Ascent Capture Recognition Server. Xtrata Server will use its own built-in OMR reader to find OMR boxes and return the results to Ascent Capture. OMR (for Xtrata Server) is disabled by default. Classification only

If enabled, Xtrata Server will perform classification only. It will not perform registration of zones. Enabling this option is recommended if no index zone processing is required or you want to perform registration with the Ascent Capture Recognition Server module. For this case, you can enable Classification only to improve Xtrata Server runtime performance. Classification only is disabled by default.

Undefined scanning

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module and make them available for the set up of new form types. Undefined scanning is disabled by default.

If you select this option, a new button is added to the toolbar of the Xtrata Form Type Correction panel available in Quality Control. The button allows the operator to remove images representing new sample pages from the batch and store them in the folder for definition images for later use in setting up forms. Refer to Folder for Definition Images on page 30 for more information about . For example, the images in the folder can be processed in an Xtrata definition batch, and the results used in Xtrata Forms Setup to define new form types and set up zones.

Refer to Chapter 4 – Using Xtrata Forms Setup on page 43 for information about Xtrata Forms Setup and definition batches.

Refer to Chapter 6 – Correcting Classification Results on page 115 for information about Xtrata Form Type Correction.

OCR registration

Standard Ascent Xtrata registration corrects small shifts, skew, and linear stretching by adjusting the image using graphical elements such as lines, company logos, address labels, or other background items. With OCR

registration, the image is aligned to the machine printed text of the document. The advantage of this option is that it can correct for larger shifts, skew, and linear stretching than standard registration, or can be used for documents having only a few graphical elements. The disadvantage is that it requires more computing time, because full text OCR must be performed for all pages.

OCR registration is most effective for images with varying layout, and where at least 80-90% of the image text matches the text on the sample pages. In general a scan resolution of 300 dpi is recommended to get good OCR results, but it is not obligatory.

To enable OCR registration, select the OCR registration option from the Xtrata Settings for Batch Class dialog box.

Multipage Options

The Multipage Options area allows you to select a special option for processing fixed length form types.

Enforce fixed page length for form type

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Note You cannot define more sample pages than the number of fixed pages defined for the form type. Otherwise a publishing error occurs.

Normally, Xtrata Server creates a new document only when a page is classified as the first page of a document. However, when this option is set and the current document already has the maximum number of pages for the form type, Xtrata Server creates a new document from the next loose page even if that loose page cannot be classified. No form type is assigned to the new document, unless a default form type is selected as a classification option on the Runtime tab. Then, this document is assigned to the default form type.

Note For a batch that contains only documents and no loose pages (for example, when you have set the “Kofax fixed pages” option on the Separation and Form Identification tab for the batch class properties), this option is not taken into account.

Error Options

The Error Options area provides various Xtrata Server error options. Ignore classification errors

If Xtrata Server cannot classify a document, by default the document will be rejected and routed to Quality Control. If this option is checked, Xtrata Server will not reject the document. Instead, it will route the document to Recognition Server with no form type assigned. Recognition Server can then try to classify the document (for example, using form identification zones), and will reject the document if that is not possible. This option is disabled by default.

Ignore reordering errors

If this option is checked, Xtrata Server will not reject a document when a

reordering error occurs. Instead, it will route the document to Recognition Server. Recognition Server will check the document for page length but not for the sequence of pages. Note that “Document Reordering” is an advanced feature that must be configured within Xtrata Forms Setup. Refer to Xtrata Form Type

Properties on page 74 for further information. This option is disabled by default.

Ignore fixed page errors

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Setup Tab

Options on the Setup Tab allow you to specify settings that impact setting up form types with Xtrata Forms Setup.

Figure 3-5. Xtrata Settings for Batch Class - Setup Tab

Folder for Definition Images

With “Undefined scanning,” images representing a new sample page can be removed from a batch in the Xtrata Classification Correction panel available in Ascent Capture Quality Control, and made available to Xtrata Forms Setup in the Administration module. These images are stored in the specified folder, and can then be re-imported as a definition batch to create new unassigned sample pages for Xtrata Forms Setup. Or, the images can be imported directly into Xtrata Forms Setup as classification sample images.

Refer to Definition Batches on page 46 for more information about creating definition batches.

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Similarity

When a new classification sample image is added to a sample or unassigned sample page in Xtrata Forms Setup, the similarity of the image is compared to existing sample images. If the similarity is lower than the value configured here, a warning is

displayed. The value you choose depends on whether the forms to be processed are very similar or have very different physical layouts.

For example, if similarity is set to 90%, but you attempt to add a new classification sample image that returns a similarity of 32%, this means that the new sample image is very different from existing samples. If the forms to be processed within the batch are very similar, you may not want to add that particular sample.

The default value for required similarity is 90%.

Refer to Additional Sample Images for Classification on page 36 for more information about adding sample images.

Batch Class Considerations

The following sections describe the requirements and limitations for batch classes that include Xtrata Server as a processing queue. Refer to your Ascent Capture

documentation for details about Ascent Capture processing options.

Separation and Form Identification

If you use Xtrata Server, all document separation tasks will be performed by the Scan module or by Xtrata Server. All document separation options concerning Kofax page recognition in Recognition Server will be disregarded. Ascent Xtrata always creates separated documents for the recognition process.

If you want Recognition Server to perform form identification for images that could not be classified with Xtrata Server, you can specify form identification options for the batch class. Create a custom separation and form identification profile or select the desired form identification method. Make sure to select the option “Ignore

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Document Separation by Xtrata

If a batch contains only documents that are already separated during the scan process by patch code, bar code, fixed length, or any other method, Xtrata Server uses these documents for further processing and performs no further document separation. In contrast, if a batch contains loose pages created by the Scan module, Xtrata Server performs document separation. Loose pages may also be created manually in the Quality Control module. For these loose pages, documents are created when processed by Xtrata Server.

Document separation in Xtrata Server uses classification to detect the start of a new document. Loose pages are classified one by one. If one of the loose pages is recognized as the first page of a form type, then a new document is created. Loose pages following the first one are classified and added to this document until another first page is detected.

Xtrata Server checks the documents that are created for correct length. Xtrata can enforce the maximum length of a document with a fixed page count if the

corresponding setting has been chosen in the “Xtrata Settings” dialog box of the batch class. (See Figure 3-4.) Documents must match the number of fixed pages of a form type set for the “Fixed number of pages“ option of the form type properties in the Ascent Capture Administration module. Optionally, the sequence of pages in a document is checked using Xtrata classification technology.

Black Border Removal

It is recommended that you perform black border removal at scan time using a VRS-enabled scanner. This is the fastest, most secure, and highest quality method to get clean, deskewed images for further processing. If this is not possible (for example, you are importing images or scanning with a non-VRS-enabled scanner), it is recommended that you perform black border removal in Xtrata Server.

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Registration

Since Xtrata Server performs registration on each page that has index zones defined, there is no need to specify registration settings or registration zones in Ascent Capture.

Sample Pages

For classification, all form types must have at least one sample page. Xtrata Server will not classify form types that do not have sample pages.

Note When you publish a batch class that contains form types having no sample pages, a warning is displayed.

You add a sample page by right-clicking the form type and selecting Add Sample Pages from the context menu.

Figure 3-6. Add Sample Page in Context Menu

Note In addition to the sample page, it is recommended that you use additional samples images for classification. Refer to Additional Sample Images for Classification on page 36 for more information about adding sample pages.

Recognition Scripts

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Server for OMR processing. Refer to OMR on page 27 for more information about enabling OMR processing for Xtrata Server.

ACI Server

Batch classes that include Xtrata Server can be used with Ascent Capture Internet Server. However, Xtrata Server must be set to run at the central site.

The Xtrata Form Type Correction panel will only be available in Quality Control at the central site: It will not be available in Quality Control at the remote site.

In addition, do not install Xtrata Server at your remote sites. For this release, Xtrata relies on files that are not downloaded with the batch classes when the remote sites synchronize with the central site.

Ascent Ricochet

Ascent Xtrata has not been certified with Ascent Ricochet. Therefore, batch classes that include Xtrata Server cannot be used with Ascent Ricochet.

eDocuments in Xtrata Server

Xtrata Server handles eDocuments in two ways, depending on whether a batch contains an eDocument as part of a document or as a loose page. When an eDocument is a part of a document, then it is passed through Xtrata Server. If it is present in the batch as a loose page, then Xtrata Server creates a document out of it and no form type is assigned.

Publishing Batch Classes

Once Xtrata Server is added as a processing queue and batch class, document class, and form type settings are defined, the batch class must be published for the settings to take effect. Ascent Xtrata settings are stored and managed like other batch class information in Ascent Capture.

X To publish a batch class

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3 Click Publish. The publishing process checks your batch class selections, including any Ascent Xtrata-specific settings, and returns the results to the Results box.

4 Assess any warnings and correct them if necessary and republish if changes are made. If errors are found, you must correct them and republish.

Xtrata Classification Sample Images

Ascent Xtrata sample images are not stored and managed like other Ascent Capture settings. They are stored in their own internal structure, which is synchronized with Ascent Capture batch class data when batch classes that contain Xtrata Server are successfully published.

Republishing a batch class and synchronizing the Ascent Xtrata data with Ascent Capture data does not impact batches in the system. The batches will be processed with the settings that were in place when the batches were created. Only new batches created after republishing will use the new settings.

Warning Do not delete or alter the XtrataDB folder located in your Ascent Capture installation folder, or any of the items contained in it. Doing so will compromise your Ascent Xtrata installation and cause loss of data, and the results will be unpredictable.

Importing/Exporting Batch Classes

Batch classes that include Xtrata Server need an additional export step besides the Ascent Capture import/export feature if they include:

• Additional classification sample images

Note When you export batch classes that contain Xtrata Server, the additional classification sample images or segmentation results from Xtrata Forms Setup and other information is not saved within the export cab file. No error or warning will display, but the exported batch class will not contain Ascent Xtrata data. You can use the export feature of Xtrata Forms Setup to export the additional Xtrata batch class information. Refer to Exporting/Importing Xtrata Batch Classes on page 104 for further information.

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Additional Sample Images for Classification

Ascent Xtrata uses the first sample page of each form type to learn the pattern of the form type for classification. For multipage forms, additional sample pages can optionally be used for checking the sequence of the document. Only form types that have at least one sample page can be classified with Xtrata Server. Form types without sample pages will be left as unclassified during Xtrata Server processing. In addition to the sample page, it is recommended that additional classification images be used.

Adding Classification Sample Images

Adding more classification sample images for a sample page results in superior classification quality without affecting performance. To enhance classification in Xtrata Server without negatively impacting performance, you should use, besides the sample page, from 4 -9 classification sample images for each form type.

Note You can add additional Ascent Xtrata classification sample images for sample pages of a form type as defined within Ascent Capture, and which are associated with a batch class that contains Xtrata Server as a processing queue.

X To add additional classification sample images

2 Select the batch class that you want to edit, and expand it to view its form types.

3 Right-click the sample page that you want to edit. A context menu for the sample page will display.

Note The Add Classification Sample Images option (shown below) will only be available in the context menu if the selected sample page is associated with a batch class that includes Xtrata Server as a processing queue. If Add Classification Sample Images is not an option, verify that you selected the sample page of a form type from the desired batch class, and that the batch class includes Xtrata Server as a processing queue. Refer to Adding Xtrata

Server to a Batch Class on page 22.

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Figure 3-7. Context Menu for Sample Page

4 From the context menu, select Add Classification Sample Images. The Add Classification Sample Images dialog box will display.

Figure 3-8. Add Classification Sample Images Dialog Box

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(Figure 3-8 shows only the sample page without additional classification images in the list.) The viewer on the right displays the currently selected sample image.

6 Click on the “Add Classification Sample Images” button ( )to display the “Select Image File(s)” dialog box.

Figure 3-9. Select Image File Dialog Box

7 Browse to locate and select one or more image files. (Multiple selection is supported.)

8 Click Open to add the selected image files as new samples. New classification sample images are listed with an internal name in blue color and marked with an asterisk. This allows you to easily find and validate the new classification sample images before you save them.

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Figure 3-10. New Classification Sample Images in List

Note If Xtrata Server will be used for classification and registration of index zones, it is recommended that you add only similar images for a sample page. This is because proper registration is only possible if the sample images have very similar layouts. However, if Xtrata Server will perform classification only, then using very similar sample images is not required. Refer to

Classification only on page 27 for more information about setting Xtrata Server

to perform classification only.

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Removing Sample Images

If necessary, you can remove classification sample images from a form type. X To remove sample images for classification

2 Select the batch class that you want to edit, and expand it to view its form types.

3 Right-click the sample page that you want to edit. A context menu for the form type will display.

4 From the context menu select Add Classification Sample Images. The Add Classification Sample Images dialog box will display.

Note The Add Classification Sample Images option (shown in Figure 3-7) will only be available in the context menu if the selected sample page is associated with a batch class that includes Xtrata Server as a processing queue. If Add Classification Sample Images is not an option, verify that you selected the sample page of a form type from the desired batch class, and that the batch class includes Xtrata Server as a processing queue. Refer to Adding

Xtrata Server to a Batch Class on page 22.

5 Select the classification sample image that you want to delete and click the Remove button ( ).

• Previously saved sample images will be marked with a red X to indicate that they are marked for deletion.

• Sample images that were not previously saved are immediately removed. This would be the case if you added a new sample classification image and then deleted it without saving it.

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Figure 3-11. Classification Sample Images Marked for Deletion

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Using Xtrata Forms Setup

Introduction

With Xtrata Forms Setup, an optimized user interface is provided for quick and easy forms set up using sample images and segmentation results from Xtrata processing. Xtrata Forms Setup is integrated and accessible from the Ascent Capture

Administration module.

Sample images and segmentation results can be set up for Xtrata Forms Setup in two ways. You can:

• Scan or import images with a special-purpose Xtrata definition batch class. This batch class has the purpose of importing new images and segmentation results from Xtrata processing to Xtrata Forms Setup. Similar images are clustered into an unassigned sample page with classification sample images. When at least five images exist in a cluster, segmentation is performed. • Create new form types and sample pages, and add classification sample

images directly in Xtrata Forms Setup. For these, manual segmentation can be initiated.

Note Segmentation results can easily be updated. Refer to Manually Initiating

Segmentation on page 82.

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Functionality Overview

The Xtrata Forms Setup interface is available from the Ascent Capture Administration module to assist with form type set up and index zone definition. A form type is defined by various sample pages. Xtrata Forms Setup uses additional sample images to perform segmentation for the sample page. It can be used in conjunction with normal Ascent Capture methods for defining form types and zones during batch class definition.

Xtrata Forms Setup displays all existing form types for the selected batch class and their sample pages and respective classification sample images. It allows you to assign sample pages to a form type and to add more sample images or delete sample images as desired. Segmentation can be performed if at least four sample images exist for a sample or an unassigned sample page. If segmentation has been performed, the results can be used for quick assisted index zone creation without having to draw the zones by hand.

In addition, Xtrata Forms Setup allows you to create new form types, add new sample pages, add new classification sample images, add new index zones, and change the coordinates of any existing index zones. All items defined in Xtrata Forms Setup are stored with other Ascent Capture settings when Xtrata Forms Setup is closed. Note Only images with resolutions of 200 and 300 DPI are supported. Images with different resolutions in vertical and horizontal directions are not supported. For classification purposes, the classification sample images can be mixed (200 and 300 DPI), but sample images in both resolutions must be provided. If you want to use the segmentation functionality, you must provide images of the same resolution (either 200 or 300 DPI). Otherwise, you will get unpredictable results for registration and segmentation. You will not get a warning if you mix the resolution for registration.

Typical Workflow

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Figure 4-1. Typical Workflow with Xtrata Server Using Advanced Features

In the example workflow, Xtrata Forms Setup is used from the Ascent Capture Administration module to set up form types and sample pages and define zones for batch classes that contain Xtrata Server as a processing queue.

Once the batch class is published, batches can be scanned or imported into Ascent Capture, and then sent to Xtrata Server where Xtrata runtime processing occurs.

Production batches closed from Xtrata Server are passed through the normal Ascent Capture workflow.

Documents that cannot be classified, or have errors due to the number of pages or the document sequence, are routed directly to the Ascent Capture Quality Control module, where the Xtrata Form Type Correction panel can be used to manually classify forms. If the “Undefined scanning” option is enabled for the batch class, the images of the unclassified documents are copied to the specified folder for definition images. They can be automatically clustered by an Xtrata definition batch or manually added as new sample pages or sample images to a form type.

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Definition batches are created with the special-purpose definition batch class installed with Ascent Xtrata. You can import the definition batch class just like any other Ascent Capture batch class, publish it, and then use it to create definition batches.

Definition Batches

Ascent Xtrata allows you to scan or import definition batches that automatically prepare images and segmentation data for easy set up of sample pages. Definition batches use a special-purpose definition batch class that is installed with Ascent Xtrata. Xtrata Server processes definition batches in a different way compared to production batches.

For definition batches, Xtrata Server automatically clusters similar images in a batch into an unassigned sample page with classification images, and performs

segmentation as soon as four images exist for the unassigned sample page. The unassigned sample pages and segmentation results are automatically made available to Xtrata Forms Setup to facilitate setting up new sample pages for form types and defining index zones.

Note It is recommended that you use Xtrata definition batches to cluster images and segment zones for easy forms set up.

The name of the special-purpose definition batch class is “XtrataDefinition.” You can import this batch class into Ascent Capture from the Ascent Capture Export folder, publish it, and then use it to create definition batches.

Note Do not change the name of the definition batch class. Xtrata Server identifies definition batches by the name of the batch class.

Do not change any of the properties in the definition batch class. Specific properties are required for the definition batches to return the necessary data to Xtrata Forms Setup, and the properties have all been set in the definition batch class installed with Ascent Xtrata.

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Importing the Definition Batch Class

You can import the Xtrata definition batch class from the Ascent Capture Export folder.

X To import the definition batch class

1 From the Administration module’s menu bar, select File | Import. The Open dialog box will display.

2 If necessary, browse to the Ascent Capture Export folder. (Installing Ascent Xtrata installs the definition batch class to this folder.)

Note If the definition batch class (XtrataDefinition.cab) is not available from the Ascent Capture Export folder, you must repair your Ascent Xtrata installation. Refer to Application Maintenance on page 15 for instructions on repairing your installation.

3 Select XtrataDefinition.cab and click Open. The Import/Export dialog box will display, and the contents of the cabinet file (cab file) will unpack. When the cab file is unpacked, the Import dialog box will display.

Figure 4-2. Xtrata Definition as an Available Batch Class

4 Select XtrataDefinition from the list of Available Batch Classes and click Add. The batch class will move to the list of Selected Batch Classes.