1. KTM Forms for Kofax Capture
Chris Maertz, CTO

2. Agenda What is KTM? KTM Functionality now in Kofax Capture FAQ Q&A
Thin Client Indexing and Validation
Advanced Forms Classification and Extraction
Test Ride Full KTM Functionality
FAQ
Q&A

3. What is KTM?

4. Kofax Transformation Modules
KTM automates the classification, separation, extraction and validation of structured, semi-structured, and unstructured documents for lower costs, faster processing and higher data quality for downstream business processes.
Add-on to Kofax Capture

5. KTM Functionality now in Kofax Capture

6. Kofax Capture 10 Now Includes….
KTM Thin Client Indexing and Validation
KTM Advanced Forms Classification and Extraction
Test Ride Full KTM Functionality
No Additional Cost!
* Available to customers current on software maintenance

7. KC + KTM Workflow Components
Batch Manager
Scan
Export
KTM Server
KTM/KC Validation
The Scan module (or import method) remains the same
The KTM Server replaces, or supplements, the KC Recognition
The KTM Validation module replaces, or supplements, the KC Validation
Just like Kofax Capture, KTM also offers a Verification module and Validation steps
In addition KTM provides a Correction Module
KTM Correction +
KTM/KC Verification
Kofax Capture Administration
KTM Project Builder

8. Thin Client Indexing and Validation

9. 4/25/2017
Customer Problem
Remote Scan
Remote Scan
Perform data validation and verification at a remote site to:
Take advantage of lower labor costs
Leverage local resource skills, e.g. language capabilities
Outsource data validation to field agents
KCNS remote validation not cost effective if:
Many smaller remote locations
No local IT skills
Changing locations
Remote
Validation
Remote
Validate
You’ll all be aware of the distributed capture capabilities of KC that allow customers to geographically distribute the capture solution in any manner desired. Batches of documents can be scanned and processed at the remote site, and then uploaded to the central site for further processing.
In some cases the validation and possibly also verification of data also needs to be performed at a remote site, for instance to take advantage of lower labor costs or to leverage local resource skills, for example to key data in a foreign language, or to outsource data validation to field agents, for example to have insurance brokers validate application forms they‘ve already submitted on behalf of a client.
In these cases, deploying KC validation may not be cost effective, for example when there are a high number of smaller remote locations (in the case of field agents every user is in a different location). Here, providing each user with a KC station install is not practical.
There may also be no local IT skills available to support and maintain software.
Or, the location of the remote sites may change often.
Central
Remote
Validate
Remote
Validate
Remote
Validate
Remote
Validate
Remote
Validate

10. Solution: Thin Client Validation
4/25/2017
Solution: Thin Client Validation
Remote Scan
Remote Scan
Thin client validation and verification allows extracted data to be reviewed over the internet using a web browser
Customer benefit
No local software install
Lower deployment, support costs
Rapid deployment
Thin Client
Central
KTM’s thin client functionality solves these problems by providing access to validation and verification capabilities over the internet simply using a web browser.
The benefits to the customer are that there is no local software required. The remote user simply needs a web browser, so deployment & support costs are lowered. There is no need for a KC station install.
Also, remote validation and verification can be rapidly deployed, you simply need to make a specific URL and login available to the correct set of people and they can start validating or verifying batches immediately.
Use of the KTM thin client requires installation of the KTM thin client web server at the central processing site. This server controls access to the batch data and also provides load balancing and session-based security.
Thin Client
Thin Client
Thin Client
Thin Client
Thin Client

11. KTM Thin Client Validation
4/25/2017
KTM Thin Client Validation
Kofax Capture 10 users now have access to KTM’s Thin Client indexing and validation!
No local software to install and maintain
Just open a browser and start entering data
No longer need Citrix outside the firewall
Lower TCO for remote and distributed capture
Easy-to-use UI designed for efficient data entry of dozens to hundreds of fields
Configurable forms layout maximizes productivity for each form and each user
Performance-optimized for data entry over the web
Configurable business rules drive process automation

12. KTM Thin Client Validation – Forms Design
4/25/2017
KTM Thin Client Validation – Forms Design
The validation form is customizable
Tabs
Image snippets
Combine fields
The KTM Validation Module has all the capabilities of Kofax Capture validation plus much more:
The validation form design is customizable, including field layouts and buttons. Customize to the form or the user.
Tabs – with information about how many fields need to be validated
Image snippets – are optional, the size can be changed and they can be placed anywhere on the validation form, i.e. above, below, left or to the right of the index field
Combine fields – for example, the Day, Month and Year fields have been read separately and KTM is capable of displaying them as one field
Combo boxes – allow fixed or variable lists, filled in with script or from a dictionary (text file)
Check boxes
Combo boxes
Check boxes
Design A
Design B

13. Production User Interface
4/25/2017
Here is the thin client user interface that Validation operators see.
KTM also offers a thick/rich client Validation, which looks very similar to this Thin Client user interface.
Production User Interface

14. Verification Vital when automatic validation not possible
Three modes / use cases
Confirm/edit existing data
Double-key data with cross check
Read-only verification
Customer benefit – reduce cost/delays due to downstream processing errors

15. Correction Boosts productivity for validation of fixed form fields
4/25/2017
Correction
Boosts productivity for validation of fixed form fields
Used to key single character OCR rejects, separately from Validation
Customer benefits:
Increase productivity
Decrease keying cost
KTM Correction (Rich and Thin Client)

16. KTM Thin Client vs. KCNS Remote Client
4/25/2017
KTM Thin Client vs. KCNS Remote Client
Use Thin Client Validation for:
Validation of many fields on a document
Validation/verification only at remote site – no scanning
Many smaller remote locations
When no local IT skills exist
Frequently changing locations
When LAN/WAN connection not available
Use KCNS Remote Client for:
Few fields to index
When scanning also done remotely
Multiple central sites
When LAN/WAN connection is available
Gaining access to the Thin Client Validation capabilities of KTM does not remove the need for KCNS, in fact Thin Client Validation complements the capabilities of KCNS and allows customers to address additional use cases and requirements.
Thin Client Validation is applicable to situations where many fields are being validated, only validation and verification are required at the remote site, so no scanning, when there are many smaller remote locations and installing a KC station is not cost effective, when there are no local IT skills available to deploy and maintain Kofax software, and when the location of the remote sites changes often. Of course, if no LAN/WAN connection is available, thin client makes the most sense.
KCNS is applicable when just a few fields are required to index the document, if the customer wants to scan remotely, or has multiple central sites that need to share processing. Also if a high bandwidth LAN or WAN exists between sites then KCNS is able to take advantage of this.
Finally, and very importantly, Thin Client Validation and KCNS are not mutually exclusive, customers have complete flexibility to use both technologies to deploy scanning and validation in different ways at remotes sites to suit the nature of the process and their business.
Complement KCNS Remote Client!

17. Advanced Forms Processing

18. Handling Paper Forms
Paper forms are still a fact of everyday life for many organizations in many different industries
Banking/finance - application forms, account opening
Government – tax forms, benefit forms
Healthcare – claim forms, CMS-1500s, EOBs
Gathering data from paper forms and entering data it into line of business applications is a huge burden
Despite the rise of e-forms and e-commerce, paper forms are still very much in evidence in many industries and a method for businesses to correspond with customers and suppliers.
For instance, banks still use application forms for account opening, loan applications, etc.
Governments continue to allow tax and VAT returns to be submitted on paper – in the UK only 10% of companies filed their VAT or end-of-year tax returns online in 2007.
In healthcare, the high volume of forms and the amount of information that needs to be gathered from claim forms, in the US particularly CMS-1500s and EOBs, represent a huge burden to businesses.
Even in situations where the majority of forms are submitted online and only a small number arrive on paper, the time spent gathering data from paper forms represents a huge burden to many organizations.
Also, customer expect the same level of service regardless of whether they communicate via paper or online, so delays in processing represent a major headache for customer service managers.
In some cases information is entered into on-line forms, which are then printed and signed by a customer and then mailed in to the organization. In this case a barcode printed on the form can be used to match the form to the information already gathered from the on-line form. So even though there is no need to recognize the information from the form there is still a need to read the barcode and check for presence of a signature.
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Gathering data from forms manually causes a number of business pains:
First there are high labor costs incurred in this manual process.
Second there are processing delays as a result of the need to read every form and then key the data.
Third there the issue of capturing information from non-OCR friendly legacy documents, where traditional recognition techniques will not achieve a high enough level of accuracy to provide a return on investment in automation
Finally there is the potential for errors in the data – humans are particularly poor at repetitive cognitive tasks such as manual data entry
All of these issues are magnified if there are many different form types and revisions.
Business Pains
High labor costs
Processing delays
Legacy documents
Errors 18

19. Automate with Advanced Forms Processing
KTM can automate the extraction of data from any form
Lower operational costs, speed processing, reduce errors
Ability to handle not just OCR-friendly forms, but legacy forms as well
Easy configuration of 100s of form types and revisions
KTM can be used to automatically process forms of any type to alleviate these pains, for maximum process efficiency and reduction of manual labor.
It has the ability to:
Handle all forms including non-OCR-friendly legacy forms – there is often a large number of these being used in an organization and it is too costly and time-consuming to remove them from use.
Provides easy configuration of many form types and revisions.
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There are three technology elements in KTM that are key to the success of a forms processing solution: layout and barcode classification, automatic forms clean-up and rapid forms definition. We will look at each of these in turn, and see how they compare with similar capabilities provided in KC.
Key elements
Layout / barcode classification
Automatic form clean-up
Rapid forms definition 19

20. Layout and Barcode Classification
Layout classification - removes the need for document sorting
Documents are delivered/scanned in unsorted batches
Each document auto classified by layout or barcode – fast, no OCR required!
Automatic document rotation is performed during classification
Documents are extracted using the correct classification for each layout
Let’s look at the first key technology element of a forms processing solution – layout classification as provided by KTM
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With layout classification the need for manual document analysis and sorting is removed.
Forms can simply be scanned or imported in batches as they are received and then each is automatically classified based on it’s layout – the information entered by the customer is ignored since it is irrelevant for determining form type.
Layout classification with KTM is fast since no OCR processing is required.
As part of the classification process any forms that are scanned upside down are automatically corrected.
Once the form type is determined, the data is extracted.
Key to the success of a forms processing solution is the use of learn-by-example techniques for classification, i.e. not rules, since they make the system quick to configure and simple to maintain.
The configuration process starts with an understanding of the document categories used in the existing manual system - in this simple example we have 5 categories but in many situations there can be 100’s.
Sample documents for each category are then gathered, usually less than 5 for each category but it can be more if there are a high number of classes or the documents are particularly complex.
The system is then trained by simply clicking a button – no manual extraction of keyword or programming is required.
The training process is quick, typically taking only a matter of minutes to train on many hundreds of sample documents.
Once training is complete the system can be used to reliably classify previously unseen documents to a high degree of accuracy.
If new document categories are required in the future, it is a simple and quick process to retrain the system on new samples.
These high-throughput, learn-by-example classification capabilities in KTM provide significant cost savings and efficiency benefits over the page-level recognition technology and separator sheet approaches used by Kofax Capture for document classification—especially for high page volumes, or when many document types are being processed. 20

21. Layout and Barcode Classification
Learn-by-example techniques make this simple to configure and maintain:
Form Type A
Form Type B rev 1
Form Type B rev 2
Form Type C
Form Type D
Let’s look at the first key technology element of a forms processing solution – layout classification as provided by KTM
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With layout classification the need for manual document analysis and sorting is removed.
Forms can simply be scanned or imported in batches as they are received and then each is automatically classified based on it’s layout – the information entered by the customer is ignored since it is irrelevant for determining form type.
Layout classification with KTM is fast since no OCR processing is required.
As part of the classification process any forms that are scanned upside down are automatically corrected.
Once the form type is determined, the data is extracted.
Key to the success of a forms processing solution is the use of learn-by-example techniques for classification, i.e. not rules, since they make the system quick to configure and simple to maintain.
The configuration process starts with an understanding of the document categories used in the existing manual system - in this simple example we have 5 categories but in many situations there can be 100’s.
Sample documents for each category are then gathered, usually less than 5 for each category but it can be more if there are a high number of classes or the documents are particularly complex.
The system is then trained by simply clicking a button – no manual extraction of keyword or programming is required.
The training process is quick, typically taking only a matter of minutes to train on many hundreds of sample documents.
Once training is complete the system can be used to reliably classify previously unseen documents to a high degree of accuracy.
If new document categories are required in the future, it is a simple and quick process to retrain the system on new samples.
These high-throughput, learn-by-example classification capabilities in KTM provide significant cost savings and efficiency benefits over the page-level recognition technology and separator sheet approaches used by Kofax Capture for document classification—especially for high page volumes, or when many document types are being processed.
1. Understand the categories
3. Train the system
2. Gather samples
4. Classify unknown documents 21

22. Automatic Form Registration and Clean-Up
Typical legacy form - no dropout, not OCR optimized
Automatic form registration and clean-up is key for processing legacy forms.
Here is a scanned image typical of a legacy form that is not designed to be OCR friendly and where the form background cannot be removed or ‘dropped out’, by filtering during the scanning process.
So the system is faced with the task of determining exactly where on the image to extract the data from and then cleaning the image up by removing the background to leave just the required information so it can be OCR’ed
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The first step for configuring a forms solution is field definition where the position and size of the fields to be extracted from each form type are defined by drawing zones on a sample image.
But during the scanning process the document may be skewed or scanned in a slightly different position, resulting in a misalignment of the defined zones.
KTM is able to correct for such problems automatically without the need to anchor onto specific registration marks or targets pre-printed on the document.
Once the zones have been aligned to the image KTM can automatically remove the form background from the image without removing significant parts of the data and thus compromising accuracy.
KTM does this using a learn-by-example technique, not difficult-to-configure rules like other systems.
It’s very easy to train and only requires 5 samples of each form type to get excellent results.
These advanced form auto-registration and image cleanup capabilities of KTM result in more accurate data extraction, better automation, and therefore less manual labor costs over comparable features provided in KC.
Zonal image pre-processing, background removal and character reconstruction
Auto-OMR thresholding for checkboxes
Learn-by-example system – no rules
Easy to train – only 5 samples required
Automatic registration of zones
No need for registration marks (esp. important for faxes)
Skew, stretch and shift are corrected up to 1 cm
Background Removal
Field Zone Definition
Registration of reading zones

23. Rapid Forms Definition for Zonal Data Extraction
Rapid forms definition – reduces set-up and maintenance costs
Definition of forms with approx 20 fields typically in <1 hour
Copy settings in ‘blocks’ to accelerate configuration of similar types/revisions
The ability to performs rapid forms definition is key to reducing set-up and maintenance costs.
KTM provides the ability to quickly set-up simple to complex forms. Typically most forms can be set up within one hour, including all steps such as zone definition, setting of OCR parameters, validation, etc.
Once a particular form type is defined, it’s possible to accelerate the definition of similar form types or revisions of the same form by copying settings in blocks and then making minor adjustments to what was copied.
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So in the example here we have two revisions of the same form with different fields positions.
With KTM’s rapid forms definition, the savings in forms extraction setup time over KC becomes significant when many different form document types or form variations/revisions are being captured.
Rev A
Rev B

24. KTM Advanced Forms Processing
4/25/2017
KTM Advanced Forms Processing
Barcodes
OCR Fields
ICR Fields
All these KTM forms processing capabilities just discussed are now provided to KC customers. Forms processing recognition capabilities in KTM include:
Barcode recognition – 1D and 2D
Recognition of OCR (machine print) and ICR (hand print) fields
Recognition of vertical texts
Recognition of OMR fields and groups
KC 10 Update includes KTM access to the ABBYY FineReader recognition engine. Use of Recostar requires purchase of the full KTM product.
OMR Fields & Groups
Vertical Text

25. Test Ride Full KTM Functionality

26. KTM Project Development Environment
4/25/2017
KTM Project Development Environment
Full KTM project development environment
Gain exposure to Advanced Recognition functionality for capture-to-process of any document type
Configure information capture of:
Invoices, mortgage documents, insurance claims, contracts, checks and letters, etc.
Used to:
Configure classification and extraction
Tune performance
Perform testing and benchmarking

27. Kofax Transformation Modules – Full Version
4/25/2017
Kofax Transformation Modules – Full Version
To use in production, upgrade to the full KTM version, which additionally provides:
Content-based classification
Automatic document separation
Freeform data extraction
Table cell data extraction
Database lookups
Online Learning and Knowledge Bases
Advanced recognition engines (Recostar)
Invoice processing add-on option
Medical Claims processing add-on option
Mortgage processing add-on option
Check processing add-on option
Cursive field and page recognition add-on option
Arabic recognition add-on option

28. Frequently Asked Questions

29. Frequently Asked Questions
What KTM Features are included?
INCLUDED in KC 10 Update:
Layout-based classification
Unlimited extraction fields
Advanced Zone Locator
Barcode Locator
ABBYY FineReader OCR
Document Review (thick client)
Validation, Verification, Correction (thick and thin client)
KTM Features NOT included:
Content-based classification
Automatic document separation
Freeform data extraction
Table cell data extraction
Database lookups (use scripting instead)
Online Learning and Knowledge Bases
Advanced recognition engines (Recostar)
Frequently Asked Questions

30. Frequently Asked Questions
Is this an update to the KC 10 product?
This is just a license update to enable select KTM features. No KC software updates are required. Simply re-activate your KC license. You should see the “561” product code in your license.
Frequently Asked Questions

31. Frequently Asked Questions
How do I obtain the KTM software?
You will see the KTM software in your product download area. Be sure to install both KTM 5.5 R2 and KTM
Frequently Asked Questions

32. Frequently Asked Questions
What is involved in upgrading my KTM software to the full version?
After purchase of KTM, re-activate your license to enable all KTM features. Existing projects and configurations will remain in-tact, and you can add additional document types to the project.
Frequently Asked Questions

33. Frequently Asked Questions
With this KC 10 Update, do KTM user stations consume KC station licenses?
Yes, KTM user stations consume KC station licenses, just like any KC user station would. You can run several KTM or KC modules on the same computer and require only one station license. However, a KC station license is needed for each KTM thin client in use.
Frequently Asked Questions

34. Frequently Asked Questions
With this KC 10 Update, must KTM volume be ordered to process pages through KTM?
No KTM volume needs to be ordered – only KC page volume is tracked. If/when full KTM (and associated volume) is ordered, any forms-related processing will not be counted against full KTM page volume.
Frequently Asked Questions

35. Availability and Requirements
4/25/2017
Availability and Requirements
Available Now
Requirements
No-charge KC license activation or re-activation
Installation of KC 10 and KTM 5.5 R2 & 5.5.2, including thin client server
Creation of a KTM project
Additional KC concurrent station licenses for KTM user stations, if necessary
No additional KTM page volume required
Support and Upgrades
Certification on KC 10 Update required to receive product support
Allows for easy upgrade to full KTM product (sold separately)

36. Chris Maertz | cmaertz@securitymicro.com
Thank you!
Chris Maertz |