1.0 Getting Started Guide

(1)

(2)

Third-party software is copyrighted and licensed from Kofax’s suppliers. THIS SOFTWARE CONTAINS CONFIDENTIAL INFORMATION AND TRADE SECRETS OF KOFAX, INC. USE, DISCLOSURE OR REPRODUCTION IS PROHIBITED WITHOUT THE PRIOR EXPRESS WRITTEN PERMISSION OF KOFAX, INC.

Kofax, the Kofax logo, Kofax Transformation Modules, Xtrata Pro, Indicius, Ascent Capture, Kofax Capture, VirtualReScan, the “VRS VirtualReScan” logo, and VRS are trademarks or registered trademarks of Kofax, Inc. or its affiliates in the U.S. and other countries.

U.S. Government Rights Commercial software. Government users are subject to the Kofax, 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.

(3)

Additional Information ... 16 Configuration ... 17 Customer Settings ... 17 Purchase Order ... 17 Configuration ... 17 Invoice Date ... 18 Days Before ... 18 Configuration ... 18 Check Before ... 19 Configuration ... 19 Days After ... 19 Configuration ... 19 Check After ... 20 Configuration ... 20 Reference Date ... 20 Configuration ... 21

Allow Empty Field ... 21

Configuration ... 21

Database Settings ... 22

(5)

Locale Field ... 23

Supplier ID Field ... 24

Invoice Regular Expression Field ... 24

Configuration ... 25 OCR Confidence ... 25 Confidence ... 25 Configuration ... 26 Locale Settings ... 26 Language Locale ... 26 Configuration ... 26

Default Classification Locale ... 27

Kofax Capture Integration ... 27

(6)

How to Use This Guide

Introduction

This guide introduces the Kofax Invoice Pack which provides a generic invoice processing capability for the Kofax Transformation Modules. The Invoice Pack enables high-performance extraction of invoice header information, with minimal change or configuration, and without requiring an in-depth knowledge of the Kofax Transformation Modules. This guide also covers how to install and configure your Invoice Pack.

This guide assumes that you have a thorough understanding of Windows, as well as experience with Kofax Capture and Kofax Transformation Modules. Some

knowledge of XML files and regular expressions is also expected.

Kofax Transformation Modules

The following documents are included within Kofax Transformation Modules.

Installation Guide for Kofax Transformation Modules

(7)

User Guide for Kofax Transformation Modules

This user guide gives an overview of Kofax Transformation Modules. It contains information about the modules and how to use them as well as detailed information about the technology provided by Kofax Transformation Modules.

Help

Kofax Transformation Modules Help is available from the application components as follows:

From any of the Kofax Transformation Modules components, click Help from

the toolbar or select Help|Contents (or Index) from the menu bar.

From any application window, click Help to display context sensitive Help

information for the window.

Scripting Help

Information about scripting is available from the Help menu of any Project Builder interface that allows you to write or access scripts. Select Help and then the desired help component.

Kofax Transformation Modules Release Notes

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

Kofax Transformation Modules Invoice Pack

The following documents are included within Kofax Transformation Modules Invoice Pack.

Kofax Transformation Modules Invoice Pack Configuration Guide

This guide gives an in-depth view into the functionality offered in the Invoice Pack. This is intended for people who wish to make significant changes or additions to the standard functionality, and is suitable for advanced users only.

(8)

Kofax Transformation Modules Invoice Pack Release Notes

This document gives information on changes since the last release (where applicable) and known issues.

Training

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

Kofax Technical Support

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 knowledge base.

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 Transformation Modules software version

Kofax Transformation Modules Invoice Pack 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

(9)

Chapter 1 Overview

About Kofax Transformation Modules Invoice Pack

Invoice Packs are a Kofax Transformation Modules project which has been optimized for invoice header capture, along with some additional components to implement advanced logic.

It has been designed to be extensible and easy to set up and customizable for individual countries while providing common functionality which is required for invoice processing in any country.

The Invoice Pack consists of multiple locale-specific distributions. Each solution consists of a Kofax Transformation Modules project file along with locale-specific keywords and taxation rules. Additional logic outside of the Kofax Transformation Modules environment keeps project scripting as easy to follow as possible. They also come with a selection of sample images and a supplier database, making them ideal for demonstration projects as well as being useable as a simple out of the box solution for single country

installations.

Features of Kofax Transformation Modules Invoice Pack

This section contains the features within the Kofax Transformation Modules Invoice Pack.

Classification

(10)

Chapter 1

Modules project class, which allows it to run country-specific invoice rules, such as special tax rates.

Supplier Lookup

During classification, there is some additional processing that performs a lookup against the supplier database in an attempt to find information about the supplier on the invoice. This information can be used to retrieve supplier specific regular expressions (see “Extraction” section below), as well as to confirm locale.

Credit Note Detection

During classification, the solution checks for common keywords that indicate whether the document being processed is a credit note. If a credit note

keyword is found the document is flagged as such so that a validation operator can perform any additional processing.

Extraction

Multiple steps are taken during extraction to find the correct value for a given field. The behavior for most fields follows the following patterns.

Generic Knowledge Base

The first locators that run to find header information are the generic

knowledge bases. These knowledge bases are trained on a wide selection of invoices for a given locale, in order to give the solution the best possible chance of getting the required information.

Specific Knowledge Base

Specific knowledge bases allow the system to learn over time and constantly improve recognition rates. If a document has been marked for online learning during validation, the system stores information on where to find keywords for invoices of a certain type.

Regular Expressions

(11)

Overview

However, in the case of Invoice Number and Purchase Order Number, if an invoice has been matched to a supplier, it may be possible to retrieve a regular expression from the supplier database that has been written expressly for that supplier’s invoices. If a customized regular expression can be found, any results that match this regular expression are passed through with a high confidence. If no customized expression is present, a generic regular expression is used, and results passed on for further logic as with other fields.

Format Locators

Once the results have been retrieved by the regular expression locators, keywords are used to pick out possibilities. These keywords have been generated based on an analysis of a large numbers of invoices for a given locale. The Invoice Pack projects can be extended further to include additional keywords as and when required.

Special Locators

For some fields, special locators exist that perform additional logic. In

particular, the Invoice Header Locator enables high-performance extraction of subtotals, tax amounts and totals based on the relationship between these values. Where available, this functionality is used.

The results of the various methods above are combined together using standard evaluators, based either on the highest confidence result, or in some cases, the first available result. This decision is based on the type of locator used – some locators are more reliable than others.

After extraction, the results are copied into the invoice fields.

Additional logic then determines the OCR confidence of the best result. If the confidence is below a user defined percentage threshold (see configuration section of this document), the result is marked as invalid.

Validation

The Invoice Pack ships with a pre-defined validation form.

(12)

Chapter 1

The Kofax Transformation Modules Invoice Pack validation form has the following enhancements.

Specific Knowledge Bases

The Invoice Pack is pre-configured to use specific knowledge bases. This allows the Kofax Transformation Modules to learn where information can be found given a particular document layout. In order to use this functionality, the validation operator needs to click the “Make available for online learning” button on the toolbar when they have finished validating a document which was incorrectly extracted.

Database Lookup Integration

The validation form includes information on the supplier associated with the invoice. This information can be modified by the user with a look-up to the supplier database. The form has three buttons for this purpose.

The Alternatives button lists all possible alternatives suppliers found during extraction.

The Search button opens a search window to manually find a supplier. The No Match button uses the blank record within the supplier database to indicate that the supplier does not exist .

The operator can also search by typing any look-up information in the supplier ID field before pressing the enter key or using the Search button.

Localized Field Names

For each Invoice Pack, field names on the validation form are localized.

Localized Error Messages

(13)

Overview

Additional Features

As well as enhancements to the basic Kofax Transformation Modules configuration, there are some additional features available to users of the Invoice Pack.

Financial Amounts Resolver

The UK Invoice Pack includes a new feature which allows the tax on invoices with early payment discounts to be extracted correctly. The default

functionality cannot handle this case, because the tax amount appears to be less than the standard rate.

Error handling

All methods and functions in the Invoice Pack are covered by an external error handling routine which ensures all unrecoverable errors are logged in the Kofax Capture logging directory.

Localized Logging

Any errors are logged to the Kofax Capture logging directory, with the error messages fully localized.

Kofax E-Transactions interface

The Invoice Pack is ready to integrate with the Kofax E-Transactions product, which adds the capability to process electronic invoices. For more information

(14)

Chapter 2

Chapter 2 Installation

Overview

This section will cover the installation and configuration of Kofax Transformation Modules Invoice Pack.

System Requirements

The Invoice Pack works with Kofax Capture and Kofax Transformation

Modules. The supported versions are listed below. Other system requirements are as for Kofax Capture and Kofax Transformation Modules themselves.

Kofax Capture

Kofax Capture 8.0

Kofax Capture 7.5 with Service Pack 6 or later

Kofax Transformation Modules

Kofax Transformation Modules 3.5 with Service Pack 1

Installing the Invoice Pack

Installing a Kofax Transformation Modules Invoice Pack involves the following basic steps, which you should perform in the order listed.

Step 1 – Install Kofax Capture

(15)

Installation

Step 2 – Install Kofax Transformation Modules

Refer to the Installation Guide for Kofax Transformation Modules for instructions.

In a Kofax Capture Network Server environment, Kofax Transformation - Project Builder must be installed on any remote sites.

Step 3 – Install Kofax Transformation Modules Invoice Pack

You must install the Invoice Pack on each workstation that will be running either the Kofax Transformation Modules Server or Validation client.

X To install the Invoice Pack

1 Download the latest version of the Kofax Tranformation Modules

Invoice Pack from the Kofax support website at www.kofax.com/support.

2 Copy the Invoice Pack installer to the workstation running Kofax

Tranformation Modules.

3 At the workstation, shut down any applications (including the Control

Panel, virus detection software, and toolbars) that might be running. 4 Double click on the installer file to start the installation.

5 The installer will check the workstation configuration. Click Next to

proceed when prompted.

6 After reading the End-User License Agreement, click on the checkbox

to accept the terms-and-conditions of the license.

7 Click Next to proceed.

8 You will be presented with the default installation path for the Invoice

Pack. Click Browse to select an alternative install path.

9 Click Next to proceed with the installation.

10 A status bar will highlight the progress of the installation. Click Finish once the installation has been completed.

11 A dialog box will appear allowing you to view the Invoice Pack

(16)

Chapter 2

Additional Information

All of the files are installed under the path given during the installation. Kofax Transformation Modules Invoice Pack installs the following files:

A Kofax Transformation Modules project file

Dictionary and Database files associated with the project file

A config.xml file which contains settings for the Invoice Pack

Resource files which contain locale-specific error messages

LanguageDict xml files which contain language-specific keywords

(17)

Configuration

Chapter 3 Configuration

This section contains information on configuring the Kofax Transformation Modules Invoice Pack.

All configuration settings are performed in the configuration file located in your installation directory under

\Project\Knowledgebases\Config\config.xml. To edit this file, you must be familiar with XML and comfortable with regular expressions.

Customer Settings

This is intended to deal with scenarios where the end user is the customer, receiving invoices from suppliers. With this in mind, access is provided to certain information that will enable enhancement of extraction results.

Purchase Order

In situations where the purchase order number is being extracted from the document, extraction can be improved by prior knowledge of the format of the purchase order number. As this number is usually a reference number with a specific format, it is possible to create a regular expression which details the expected structure of the purchase order.

Configuration

The regular expression entered should describe the format of the Purchase Order/Customer Reference Number. All special characters must also be escaped.

X To configure a Purchase Order regular expression

(18)

Chapter 3

2 Locate <CustomerSettings PONumberRegExp="" />.

3 Add a regular expression between the quotation marks.

4 Check and escape any special characters.

5 Save the file.

6 Test your expression and modify as necessary.

Invoice Date

The invoice date (also known as the Tax Point) is often difficult to capture, but with the right information can be accurately obtained. Several settings are available to the user to enhance this validation.

Days Before

For any invoice, the invoice date is usually before the current date. How many days before depends on the business processes of the company, but the smaller the number the better validation for this field becomes. By default, this value is set to 3650 days, to allow for demonstration scenarios. This means that an invoice date that has been extracted from the form must be within 10 years of the reference date in order to be valid.

Configuration

When setting this value, you should try to set a range as small as possible; any invoice with an invoice date outside the limit will be flagged to the validation operators.

X To configure Days Before

1 Open the config.xml file using any text editor.

2 Locate the element <InvoiceDate…/>. 3 Edit the element attribute DaysBefore="3650"

4 Enter a numeric value greater than zero within the quotes.

5 Save the file.

(19)

Configuration

Check Before

As stated above, it can be safely assumed that an invoice cannot be dated after the reference date, which is the default configuration. This setting uses the DaysBefore setting mentioned above to determine how far in the past an invoice date may be and still remain valid.

Configuration

There are only two acceptable values for this setting, “true,” which indicates an invoice must be dated before the reference date or “false,” which allows any date in the past to be treated as valid. If an empty value is provided, then the attribute will default to “true.”

X To configure Check Before

2 Locate the element <InvoiceDate…/>. 3 Edit the element attribute CheckBefore="true" 4 Enter true or false within the quotes.

5 Save the file.

6 Test your changes and modify as necessary.

Days After

This attribute is dependent on the attribute CheckBefore. The Invoice Pack’s default installation behavior is not to allow invoice dates to occur after the reference date. If the CheckBefore attribute is set to ”false,” then setting DaysAfter will declare how many days after the reference date an invoice date must be within to be valid.

Configuration

When setting this value, you should try to set a range as small as possible; any invoice with an invoice date outside the limit will be flagged to the validation operators.

X To configure Days After

(20)

Chapter 3

2 Locate the element <InvoiceDate…/>. 3 Edit the element attribute DaysAfter="0"

4 Enter the a positive numeric values within the quotes.

5 Save the file.

Check After

Under normal operation, it can be safely assumed that an invoice cannot be dated after the reference date, which is the default configuration. In some scenarios however, it may be necessary to allow for future dated invoices, which is what this setting allows. This setting uses the DaysAfter value for validation.

Configuration

There are only two acceptable values for this setting, “true,” which indicates that the invoice date validation will check that the date falls within the amount of days specified by the DaysAfter value or “false,” which allows any date in the future to be treated as valid. If an empty value is provided, then the attribute will default to “true.”

X To configure Check After

2 Locate the element <InvoiceDate…/>. 3 Edit the element attribute CheckAfter="true" 4 Enter true or false within the quotes.

5 Save the file.

Reference Date

(21)

Configuration

This setting is useful in demonstration scenarios where the invoices being used are somewhat older. For example, if you have a batch of invoices which all date back to June 2003, setting the reference date to June 29th_{, 2003 will make the}

system treat the given date as the “current” dates. Thus, allowing historical invoices to be processed as intended.

Configuration

There are three ways of populating this attribute:

Enter an empty value (i.e. “”), which will set the reference date to the current date

Enter the word “today,” which will set the reference date to the current

date.

Enter a specific date such as “17.10.2001” following the format

“dd.mm.yyyy”.

X To configure Reference Date

2 Locate the element <InvoiceDate…/>.

3 Edit the element attribute ReferenceDate="today"

4 Enter the a positive numeric values within the quotes.

5 Save the file.

Allow Empty Field

By default, invoice date must exist in order for the document to be valid. If this is not required, then changing this setting will allow a document without an invoice date to be processed as valid.

Configuration

(22)

Chapter 3

X To configure Allow Empty Fields

2 Locate the element <InvoiceDate…/>.

3 Edit the element attribute AllowEmptyField ="false" 4 Enter true or false within the quotes.

5 Save the file.

Database Settings

A database containing a list of suppliers is used by the Invoice Pack solution to check for a locale and supplier information. The format of the database is a list of comma-separated variables stored under the specific locale installation for a given Invoice Pack. For example, the en_GB (UK English locale identifier) supplier database can be found under the chosen install location as follows: \InvoicePack_en-GB\Databases\en-GB\suppliers.txt.

The fields and structure of the database are fixed. If you are comfortable with CSV files and wish to update the database with supplier specific information, then either:

1. Manually edit the file to add the key information.

2. Export data from another supplier database as a CSV file.

In both cases, it is essential that the header row of the database file be retained as well as the field order.

Validate Supplier Match

(23)

Configuration

Configuration

There are two permitted values for this attribute. Entering “false” will return the first match found within the supplier database, while entering a value of “true” will use fuzzy matching. If empty an value is provided, then the attribute will default to “false.”

X To configure Validate Supplier Match

2 Locate the element < DatabaseSettings …/>.

3 Edit the element attribute ValidateSupplierMatch ="true" 4 Enter true or false within the quotes.

5 Save the file.

Locale Field

The locale field in the supplier database is used to confirm locale during classification. This setting allows you to choose the name of the field in the supplier database which contains the locale information

Configuration

The expected value for this setting is a field name within the supplier database containing the RFC4646 compliant locale identifier (e.g. en-GB).

X To configure Locale Field

1 Open the supplier.txt file using any text editor.

2 Note the field name within the header row to be used.

3 Close the file without saving.

5 Locate the element < DatabaseSettings …/>. 6 Edit the element attribute LocaleField ="Locale"

7 Enter the field name from the database header row within the

(24)

Chapter 3

8 Save the file.

Supplier ID Field

The Supplier ID, is used to differentiate between multiple supplier results. This becomes especially important if your supplier has multiple business names at the same address, creating duplicate supplier entries within the database. This setting allows you to choose the name of the field in your supplier database which contains the unique identifier for a supplier.

Configuration

The expected value for this setting is a field name within the supplier database.

X To configure Supplier ID Field

2 Note the field name within the header row to be used.

3 Close the file without saving.

5 Locate the element < DatabaseSettings …/>.

6 Edit the element attribute SupplierIDField ="SupplierID"

7 Enter the field name from the database header row within the

quotation marks. 8 Save the file.

Invoice Regular Expression Field

(25)

Configuration

Configuration

The expected value for this setting is the field name in the supplier database that will be used to hold a regular expression for supplier invoice numbers. Any special characters used should be escaped.

X To configure Invoice Field regular expression

2 Locate the supplier row to be edited.

3 Edit the column value for the supplier that is associated with

InvoiceRegExp field name.

4 Enter a valid regular expression within the comma separators.

5 Check and escape any special characters.

6 Save the file.

7 Test your expression and modify as necessary.

OCR Confidence

One of the major enhancements to the extraction offered by Kofax

Transformation Modules Invoice Pack is field level OCR Confidence. This allows you to set a threshold value, so that any extracted result which is not sufficiently confident will be flagged for review in validation.

Confidence

You can set the confidence threshold for each field in Kofax Transformation Modules. This allows full control, and ensures that any business critical information can be forced to be as confident as possible before it bypasses a validation operator.

(26)

Chapter 3

Configuration

The valid values that can be entered are between 0-100. If you wish to disable the confidence level for a given field, the enter a value of zero.

X To confidence OCR Confidence

2 Locate the element < OCRConfidence …/>.

3 Locate the sub-element < FieldOCRConfidence …/> .

4 Edit the FieldName=””element attribute associated with the Kofax

Transformation field to be edited.

5 Locate the Confidence=”” element attribute associated with the

FieldName=””.

6 Enter a valid numeric value between 0-100 within the quotes.

7 Save the file.

Locale Settings

The locale settings control how the invoices running through the solution are classified and processed, as well as the language that the validation operator sees.

Language Locale

The language locale defines which of the supported languages is used for logging, error messages, validation field names and validation field status messages. This can be modified at any time to any of the supported languages.

Configuration

The correct values for this setting is a string containing and RFC4646 compliant locale identifier supported for this configuration. The following locales are currently supported:

en-GB (UK English)

(27)

Configuration

X To configure Language Locale

2 Locate the element < LocaleSettings …/>. 3 Edit the element attribute LanguageLocale =""

4 Enter a supported locale value within the quotation marks.

5 Save the file.

Default Classification Locale

Do not modify this setting.

Kofax Capture Integration

In order to use the Kofax Transformation Modules Invoice Pack, it is necessary to set up a compatible Kofax Capture batch class.

This section assumes that all computers that will be using the Kofax Transformation Modules Invoice Pack solutions already have the following components installed:

Kofax Capture

Kofax Transformation Modules

Kofax Transformation Modules Invoice Pack

In the Kofax Capture Administration module, create a new batch with the following queues: Scan KTM Server KTM Validation KTM KB Learning Server Release

(28)

Chapter 3

(29)

Index

Classification ... 9 Confidence Threshold ... 11, 25 config.xml ... 17 Configuration ... 17

Allow Empty Field ... 21

Check After ... 20 Check Before ... 19 Confidence ... 25 Customer Settings ... 17 Database Settings ... 22 Days After ... 19 Days Before ... 18

Default Classification Locale ... 27

Invoice Date ... 18

Invoice Regular Expression Field ... 24

Language Locale ... 26 Locale Field ... 23 Locale Settings ... 26 OCR Confidence... 25 Purchase Order ... 17 Reference Date ... 21 Supplier ID Field ... 24

Validate Supplier Match ... 22

Configuration Guide ... vii

Credit Note Detection ... 10

Customer Settings ... 17

Database ... 12

Error handling ... 13

Extraction ... 10

Features ... 9

Financial Amounts Resolver ... 13

Format Locators ... 11

Fuzzy Logic ... 22

Fuzzy Matching ... 23

Generic Knowledge Base... 10

Installation ... 14

Kofax Capture... 27

Batch Class ... 27

Queues ... 27

Kofax Capture Network Server ... 15

Kofax E-Transactions interface ... 13

Kofax Transformation Modules ... vi

Locale Indentifier RFC4646 ... 27

Localized Error Messages ... 12

Localized Field Names ... 12

Localized Logging ... 13 logging ... 13 Logging... 13 No Match ... 12 online learning ... 12 Regular Expressions ... 10 Related Documentation ... vi

Release Notes ... viii

Special Locators ... 11

Specific Knowledge Base ... 10, 12 Supplier Database ... 22

Supplier Lookup... 10

suppliers.txt ... 22

System Requirements ... 14

Taxation ... 10, 13 Technical Support ... viii