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Invoice Capture Center

Administrator's Guide
Invoice Capture Center
Administrator's Guide
Rev.: V7.0 (2012-12-11)
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Contents
About This Guide 1
Audience .................................................................................................................................... 1
Conventions ............................................................................................................................... 1

Introduction 3
Functional Overview ................................................................................................................. 3
Components of Invoice Capture Center ..................................................................................... 5
Customizing ............................................................................................................................... 6
Hot Spots ................................................................................................................................... 7
Achieving Optimum Recognition Results ................................................................................. 8

Installation 9
Planning the Installation ............................................................................................................ 9
System Requirements .................................................................................................. 9
Image Formats ........................................................................................................... 11
Configurations ........................................................................................................... 11
Preparing Installation ............................................................................................................... 14
Configuring Vendor Invoice Management ................................................................ 14
Creating a Domain User for Windows Services ........................................................ 14
Preparing SAP ERP User Accounts .......................................................................... 14
Preparing SAP ERP Login Data ................................................................................ 14
Installing Microsoft .NET Framework ...................................................................... 14
Installing SAP Connector for Microsoft .NET .......................................................... 15
Installing Microsoft Visual C++ Redistributables ..................................................... 15
Switching Off User Account Control ........................................................................ 15
Installing the Microsoft SQL Server ......................................................................... 15
Installation Process .................................................................................................................. 16
Stand-alone Installation ............................................................................................. 16
Installation of the Server ........................................................................................... 17
Installing a Validation Client ..................................................................................... 17
Installation of a Recognition Node ............................................................................ 18
Creating Installation Log Files .................................................................................. 18
Follow-up Activities ................................................................................................................ 19
Configuring the Cluster ............................................................................................. 19
Configuring the Archive Server ................................................................................ 19
Creating and Configuring Applications ..................................................................... 19
Configuring the Windows Firewall for Validation Clients ........................................ 19
Configuring SAP GUI ............................................................................................... 19
Upgrading Existing Applications .............................................................................. 20
Moving the Caches to a Different Location .............................................................. 20
Installing Patches and Service Packs ....................................................................................... 21

Invoice Capture Center Administrator's Guide Contents  iii


Technical Operations 23
Overview of the Customizing Client ....................................................................................... 23
Structure .................................................................................................................... 23
Overview of Components ........................................................................................................ 25
ICC Dispatcher Infrastructure in SAP ....................................................................... 25
ICC Windows Components ....................................................................................... 25
Further Involved Components ................................................................................... 26
Overview of Technical Runtime Scenarios ............................................................................. 27
Recognition and Validation of an Invoice ................................................................. 27
Downloading Data from SAP ERP ........................................................................... 27
Supervised Learning on the Customizing Client ....................................................... 28
Monitoring ............................................................................................................................... 28
Monitoring Hot Spots ................................................................................................ 28
Monitoring Jobs ......................................................................................................... 29
Monitoring the Recognition Cluster .......................................................................... 30
Logging and Tracing................................................................................................................ 31
Logging ..................................................................................................................... 31
Overview of Tracing.................................................................................................. 31
Tracers ....................................................................................................................... 31
Trace Listeners .......................................................................................................... 31
Trace Root Path ......................................................................................................... 32
Trace Levels .............................................................................................................. 33
Trace Configuration................................................................................................... 33
Location of Trace Files and Trace Configuration Files ............................................. 36
Format of Traces ....................................................................................................... 36
Analyzing Trace Files................................................................................................ 37
Trace Viewer ............................................................................................................. 37
SAP ERP Format Tracing ......................................................................................... 44
Configuration Data (Production System) ................................................................................. 46
Technical Configuration Data ................................................................................... 46
Application Configuration Data (Customizing Data) ................................................ 47
Runtime Files ............................................................................................................ 47
Registry Entries ......................................................................................................... 47
Databases ................................................................................................................... 48
Services ..................................................................................................................... 48
Backup and Restore ................................................................................................................. 49
Backups of the Database ........................................................................................... 49
Periodic Tasks .......................................................................................................................... 50
Monitoring the System .............................................................................................. 50
Deleting Trace Files .................................................................................................. 50
Restricting the Growth of the ICC Database ............................................................. 50
Creating Backups of Learning Data .......................................................................... 50
Load Balancing ........................................................................................................................ 51
DOKuStar Load Manager .......................................................................................... 51
Recognition Cluster Setup ......................................................................................... 52
Increasing Throughput ............................................................................................... 56
High Availability ..................................................................................................................... 57
Using more than one Recognition Cluster ................................................................. 57
Installing Two Recognition Servers in One Recognition Cluster .............................. 58

iv  Contents Invoice Capture Center Administrator's Guide


Starting and Stopping .............................................................................................................. 58
Starting and Stopping of Hot Spots on the Recognition Server ................................. 58
Starting and Stopping of Services on the Recognition Server and the Recognition
Nodes ......................................................................................................................... 59
Starting and Stopping of Customizing Client and Validation Client ......................... 59
Administering ICC Using the SAP Solution Manager ............................................................ 60
Providing Technical Configuration Information ....................................................... 60
Troubleshooting ....................................................................................................................... 61
Port Usage................................................................................................................................ 61
Deleting an Application ........................................................................................................... 62
Version Information................................................................................................................. 63
Customizing Client .................................................................................................... 63
Validation Client ....................................................................................................... 63
File System ................................................................................................................ 63
Registry ..................................................................................................................... 63
SLD Registration ....................................................................................................... 63

Security 65
User Management and Authorization Concept ........................................................................ 65
Windows Users.......................................................................................................... 65
ERP Users.................................................................................................................. 66
Creating a New Role with RFC Authorizations in SAP ERP for Recognition .......... 68
Creating a New Role with RFC Authorizations in SAP ERP for Validation ............ 73
Creating a New Role with RFC Authorizations in SAP ERP for Customizing ......... 74
Delivered Users ....................................................................................................................... 75
Emergency User Concept ........................................................................................................ 75
Logging of Security Relevant Events ...................................................................................... 75
Logging of Application Configuration Data Changes ............................................................. 76
Encryption of Communication Channels ................................................................................. 76
Files and Databases ................................................................................................... 76
SAP ERP ................................................................................................................... 76
Secure configuration ................................................................................................................ 77
Responsibilities ........................................................................................................................ 78

Glossary of Terms 79

Index 85

Invoice Capture Center Administrator's Guide Contents  v


About This Guide
The Invoice Capture Center Administrator’s Guide describes several installation configurations for an Invoice Capture
Center system and provides comprehensive installation instructions.
It provides information about the various monitoring facilities of the Customizing Client and contains detailed
information about load balancing, achieving high availability and security. Further this guide covers the subjects tracing,
and licensing, and it gives an overview about configuration data, runtime files, services, and databases of an Open Text
Invoice Capture Center (ICC) system.

Audience
The Invoice Capture Center Administrator’s Guide is designed to help both new and experienced administrators to
install, configure, monitor, and administer ICC production systems using the tools and facilities of the ICC Customizing
Client.

Conventions
Example Description
FlowService.dcf This format is used for file names, paths, URLs, and
commands in the command line. It is also used for
example data, text to be entered in text boxes, and other
literals.
System page This format is used for elements of the graphical user
interface (GUI), such as buttons, names of icons, menu
items, names of dialog boxes, and fields. It is also used to
introduce new terms, emphasize particular terms,
concepts.
CTRL+V Key names appear in ALL CAPS.
http://www.opentext.com This format is used for hyperlinks to the Internet and for
internal cross references. Click the link to move to the
respective target page.
<TraceRoot> The brackets < > are used to denote a variable or
placeholder. Enter the correct value for your situation.

Invoice Capture Center Administrator's Guide About This Guide  1


Introduction

Functional Overview
As an option for Vendor Invoice Management for SAP Solutions, Invoice Capture Center extends VIM’s capabilities to
automate the capture of machine-printed paper invoices.
For electronic processing invoices are scanned on entry to the financial accounting department. The digital images of the
invoices are stored in an archive. Invoice Capture Center Recognition is indirectly triggered by the early archiving
mechanism of SAP ERP.

Invoice Capture Center Recognition extracts the essential invoice data (date, amount, order number etc.) from the
scanned invoices in the archive. ICC Recognition uses a knowledge base that has been trained on samples of thousands
of invoices from multiple countries around the world. In addition, it uses fuzzy database matching: ICC Recognition
maps the read data – such as names, addresses, vendor numbers, purchase order numbers etc. – to SAP ERP vendor
master data and SAP ERP purchase order data during analysis.
The extracted information is passed on to Vendor Invoice Management.

Invoice Capture Center Administrator's Guide Introduction  3


Based on business rules, Vendor Invoice Management decides whether the automatically extracted invoice data have to
be reviewed and eventually corrected or completed by a clerk. In this case Vendor Invoice Management transfers the
invoices to ICC Validation. ICC Validation is a Windows program that is used by a clerk to check, correct, and complete
the extracted invoice data. The validated invoice data are then passed on to Vendor Invoice Management.

4  Introduction Invoice Capture Center Administrator's Guide


Components of Invoice Capture Center
An Invoice Capture Center system consists of the following components:
 ICC Dispatcher Infrastructure
 Recognition Server, Recognition Node
 Customizing Client (user interface)
 Validation Client (user interface)
The heart of an Invoice Capture Center system is the ICC Dispatcher Infrastructure. The ICC Dispatcher Infrastructure is
the part of the Vendor Invoice Management in SAP ERP that the other non-SAP parts of ICC interact with.
Invoice recognition is performed on a special server PC, normally a multi-processor machine. This server PC is the
Recognition Server. In huge ICC systems the Recognition Server can be supported by additional recognition PCs, called
Recognition Nodes. The Recognition Server and its Recognition Nodes make up a Recognition Cluster. The Recognition
Server distributes the workload among the nodes of the Recognition Cluster.
The Recognition Server owns a local database instance. The databases of this instance contain data that the Recognition
Server (and the Recognition Nodes) needs to deliver good extraction results:
 Vendor master data and purchase order data are compared with read information.
 Recipient data are used to determine the recipient of an invoice.
 Learning data are used to extract invoice data for custom fields.
Vendor master data, purchase order data, and learning data are downloaded from SAP ERP periodically.
An Invoice Capture Center system has to be customized to meet the needs of the customer. Customizing is done with a
Windows program, the Customizing Client. In addition, the Customizing Client provides monitoring facilities that can be
used to monitor and control an ICC system at runtime. The Customizing Client is always installed on the Recognition
Server.
Finally, an Invoice Capture Center system contains several Validation Clients. The ICC Validation Client is a Windows
program that permits to review and eventually complete or correct the extraction results of the ICC Recognition.

Invoice Capture Center Administrator's Guide Introduction  5


Customizing
Customizing is done by creating invoice applications with the Customizing Client. An invoice application bundles all
settings that are needed to process invoices of a certain kind, e.g. the country in which the recipients of the invoices
reside or which fields have to be extracted by which extraction method.
For each invoice application you have to define the archive document type of the invoices that will be processed with
this application. At runtime, when the Recognition Server receives a new invoice image to process, it also obtains the
archive document type of the corresponding invoice; so it can decide which invoice application is to use to process the
invoice image.
The invoice applications usually are created in a development environment on a special development Recognition Server
connected to a SAP ERP development system. The invoice applications created with the Customizing Client on this
development Recognition Server are stored in a shared folder on the Recognition Server and can immediately be used to
process invoices for testing purposes by the Recognition Server and all its Recognition Nodes.
At any development state, the invoice applications can be saved to the SAP ERP system. The Validation Clients also
need the invoice applications to control invoice validation. As soon as the invoice applications have been saved in a SAP
ERP system, they are available for the Validation Clients connected to this SAP ERP system.

Besides the facility to save an invoice application in SAP ERP (export), the Customizing Client also provides the facility
to load an invoice application from SAP ERP to the Recognition Server (import). Using the SAP ERP export and import
facilities the Customizing Client user can copy an invoice application from a development system to a test system or
from a test system to a production system.

6  Introduction Invoice Capture Center Administrator's Guide


Hot Spots
The Recognition Server periodically fetches recognition jobs and download data from the SAP ERP system. These
periodical tasks are performed by using the Hot Spot technology. A Hot Spot becomes active regularly after expiring of a
specified interval or at a specified time on specified days and then tries to fetch new data.
Each invoice application uses Hot Spots of two different types. A SAP Extraction Link is used to fetch new recognition
jobs from SAP ERP. Two SAP Download Links are used to fetch new data, such as vendor master data and purchase
order data; the first is configured to perform a weekly full download, while the second is configured to perform daily
delta-download of PO data.
The Hot Spots have to be configured with the Customizing Client.

Invoice Capture Center Administrator's Guide Introduction  7


Achieving Optimum Recognition Results
To achieve optimum recognition results you will have to take into account all aspects of testing and production.
To achieve optimum character recognition results you should optimize quality of scanned images not only on the
production system but also during testing. Therefore, take the following into account:
 Use professional scanning equipment to achieve optimum image quality.
 Optimize scanner settings. Invoice should be scanned with 300 dpi and compressed with Fax4. Lower
resolution or other compression modes may deteriorate recognition results. It is not recommended to use a
resolution higher than 300 dpi because this would increase data volume but would not improve recognition
quality.
 If possible, you should not use color scanning because color images would increase data volume considerably
slowing down processing while it wouldn't increase recognition quality in most cases.
 If invoices of specific vendors have bad printing quality, bad paper quality, or an unsuitable layout, contact the
vendors.
Reduce possible errors or performance problems by using suitable operating procedures and suitable ICC settings taking
the following into account:
 Use separator sheets or barcode for attachment separation. Automatic separation should only be used if PDF
files have to be processed.
 Use ICC parameters to limit runtime: stop character recognition on attachments, skip terms and conditions
pages.
 Do not use invoices that have run through a manual invoice approval process. Invoices should not be stamped
or marked. This deteriorates recognition results.
 Achieve good quality of master data. If downloaded data do not match the invoice material they can't be used to
support recognition.
To be able to optimize your ICC applications, the operating procedures, and master data, testing environment is
important. It should be as similar to production environment as possible. With regard to testing, you should take the
following into account:
 Use the production scanning equipment already during development and test of your applications. Otherwise
recognition results during production may differ from result during testing making testing less efficient.
 Scan original images, i.e. don't use copies.
 Test with real invoices, i.e. don't use synthetic test invoices.
 Take care to achieve a good relationship between invoice and PO, i.e. an invoice should refer to a single PO. In
addition, use realistic PO and vendor data; e.g. copy live data from the production system.

8  Introduction Invoice Capture Center Administrator's Guide


Installation

Planning the Installation


System Requirements
Hardware
Recognition Server and Recognition Node
 x86-compatible processing unit , current design
 3 GB RAM
 20 GB disk space
These are minimum requirements.
For each processor node, 1.5 GB RAM should be available. Thus on a machine with four processing nodes, 6 GB RAM
should be available.
The disk space required for production depends on the size of the invoices (medium number of pages), size of the
download data (number of downloaded PO lines), and the number of applications.
On the Recognition Server and each Recognition Node, Recognition and download data each use a separate cache per
application where data of the recently processed items are stored. Each cache can have up to 32 entries; as soon as this
maximum number is reached, the oldest entries will be replaced. As default, the caches will reside below the temporary
files folder of the user used for the Load Manager service (or the Windows\temp folder for a standalone test system
where Local System has been specified as user account for the services) on the system drive.
For Recognition you should plan 150MB disk space for processing single page invoices per application. So if you have
five application with four pages per invoice on average, you should plan 5 * 4 * 150 MB = 3 GB.
For PO download data you should plan 300 MB disk space for 100,000 data records per download for a single
application. So if you have five applications and 400,000 data records to be downloaded on average, you should plan 5 *
4 * 300 MB = 6 GB for download data.
In addition, you should plan several GB disk space for trace files, and for data of documents waiting for processing.
Add these requirements to the minimum of 20GB. For the above examples, you should have at least 35 GB available on
the system drive.
The caches can be moved to another location, as described under “Follow-up Activities”.
Validation Client
 x86-compatible processing unit , current design
 1.5 GB RAM
 1 GB disk space

Invoice Capture Center Administrator's Guide Installation  9


Software
The following Windows versions are supported (including 64-bit versions: WOW):
 Windows XP (for Validation Client)
 Windows 2003 Server
 Windows 2008 Server
 Windows 7 (for Validation Client)
 Windows 2008 Server R2

Note: While for development and testing, a workstation operating system such as Windows 7 may be used, it is strongly
recommended to use a server operating system such as Windows 2008 Server R2 for Recognition Server and
Recognition Nodes of a production system.

SAP GUI is required on Windows 2008 Server 64 bit systems.


Invoice Capture Center can be used with VMWare (ESX-Server).
Invoice Capture Center needs a database in an instance of the Microsoft SQL Server.
NET Framework 3.5 SP1 is required.
SAP Connector for Microsoft .NET for Windows 32bit, compiled with .NET Framework 2.0 is required.
Internet Explorer 6.0 or higher is required.
Invoice Capture Center 7.0 needs access to a SAP REP system containing Vendor Invoice Management 5.2.
The following SAP ERP versions are supported:
 SAP 4.6c
 SAP 4.7
 SAP ERP 5.0
 SAP ERP 6.0
To process Japanese invoices, SAP ERP 6.0 is required.

Network
The protocol TCP/IP must be supported. Windows File Sharing is needed for the Recognition Server and the
Recognition Nodes.
Take notice that the HTTPS protocol is not supported for connection to archive systems.

10  Installation Invoice Capture Center Administrator's Guide


Image Formats
Invoice Capture Center processes TIFF 6.0 binary images in the compression modes:
 uncompressed
 Fax Group 3
 Fax Group 4
 Packbits
 LZW
In addition, color and gray images in JPEG format can be processed.
Maximum image resolution:
 400 dpi.
Maximum image format: up to DIN A3.
Minimum font size:
 Characters must be at least 1.5 mm high and 0.5 mm wide.
In addition, Invoice Capture Center can process PDF files.

Configurations
Invoice Capture Center allows different configurations ranging from a stand-alone system on a single computer to a
production system for high throughput with a Recognition Server, several Recognition Nodes for automatic recognition,
and several Validation Clients for document correction.
ICC needs a database in a Microsoft SQL Server instance that is used for download data and learning data of all
applications. You can either install an instance with a database on the ICC Server or use suitable instance on a different
computer. During installation of the Invoice Capture Center a dialog box will ask for instance and database name.
The Server manages the connections to the SAP ERP system that provide the applications with recognition tasks and
required download data.
The Server includes the Customizing Client that is used for application development and for configuration of the Invoice
Capture Center and its applications. On a production system, the server also performs load balancing, distributing
recognition tasks to the different Recognition Nodes.
The Recognition Nodes process recognition tasks assigned to them by the Server. They use the applications and
downloaded data that are stored on the Server.
The Validation Clients log on to the SAP ERP system and fetch documents available for correction. They work
independently from the Server and its Recognition nodes.
It is recommended to install Invoice Capture Center on a separate server, i.e. don't install other application software, e.g.
an archive server, on the ICC Server.

Standalone System
Invoice Capture Center can be installed on a single computer for testing purposes. In this case, all features will be
installed on a single computer that is used as recognition server, as validation client, and for customizing.

Invoice Capture Center Administrator's Guide Installation  11


Configuration for Application Development
For application development, you can use a single computer installed as a Recognition Server that includes the
Customizing Client and that is connected to the SAP ERP development system. Optionally you can install a Validation
station on a separate computer to be able to test document correction at a Validation client:

The Server is used as server, for recognition, customizing and monitoring.

Configuration for Application Testing


For testing you will use a computer installed as Server including the Customizing Client, and an additional Validation
Client. Both will be connected to the SAP ERP test system:

The Server is used as server, for recognition, customizing, and monitoring.

12  Installation Invoice Capture Center Administrator's Guide


Configuration for a Production System
Compared to a test system, you will need additional Recognition Nodes and additional Validation Clients depending on
the required throughput that all work with the SAP ERP production system:

Invoice Capture Center Administrator's Guide Installation  13


Preparing Installation
Configuring Vendor Invoice Management
Vendor Invoice Management has to be configured for Invoice Capture Center. Refer to the Vendor Invoice Management
documentation.
Invoice Capture Center uses a 60 minute timeout for recognition jobs and a 600 minute timeout for downloads. Take care
to specify matching timeout values in Vendor Input Management.

Creating a Domain User for Windows Services


Invoice Capture Center installs some Windows services that must be accessed from several computers of your
configuration. For these services prepare a domain user account and add it to the local administrators group.
Only for a stand-alone test system this is not necessary. In this case Local System can be used instead.

Preparing SAP ERP User Accounts


To fetch recognition jobs and download data, Invoice Capture Center needs several SAP ERP user accounts with certain
authorization. For details, see User Management and Authorization Concept.

Preparing SAP ERP Login Data


On all computers of the Invoice Capture Center system connections to a SAP ERP system have to be established.
To make this comfortable, you should supply a saplogon.ini file with login data of all required SAP ERP systems.
You can either install SAPGui and use it to configure the login data that will be stored in the saplogon.ini file,
or you can copy a file with the needed login data to the Windows folder of the system drive.

Installing Microsoft .NET Framework


On all computers of the ICC system, including the Validation Clients, Microsoft .NET Framework 3.5 is needed.
On Windows 2008 Server and Windows 2008 Server R2 systems, Microsoft .NET Framework 3.5 must be installed
using the Control Panel (Turn Windows features on or off) before Invoice Capture Center is installed.
On other Windows versions, you must install it before you start the ICC installation. You can download the .NET
Framework from the Microsoft Download Center on the Internet.

14  Installation Invoice Capture Center Administrator's Guide


Installing SAP Connector for Microsoft .NET
On all computers of the ICC system, including the Validation Clients, SAP Connector for Microsoft .NET must be
installed.
The SAP Connector can be downloaded from http://service.sap.com/connectors. To be able to access the download site,
you will need OSS and download authorization.
Select SAP Connector for Microsoft .NET. On the SAP CONNECTOR FOR MICROSOFT .NET
DOWNLOAD SECTION, under Compiled with .NET Framework 2.0 click SAP Connector for
Microsoft .NET <version> for Windows 32bit (x86).
Unpack the downloaded ZIP file and then double-click the MSI file. Install SAP Connector to its standard location; ICC
will copy the needed files during installation.

Installing Microsoft Visual C++ Redistributables


On all computers of the ICC system, including the Validation Clients, SAP Connector for Microsoft .NET must be
installed.
ICC needs the current version of the Microsoft Visual C++ 2005 Redistributable (x86), and of the Microsoft Visual C++
2010 Redistributable (x86). You can download these packages from the Microsoft Download Center on the Internet.

Switching Off User Account Control


On Windows Vista and Windows 2008 Server, switch off User Account Control. On Windows 7 and Windows 2008
Server R2 set User Account Control to Never Notify.
On all these operating systems, you can alternatively start the installation with Run as Administrator. In this case,
you must also start the Customizing Client with Run as Administrator each time.

Installing the Microsoft SQL Server


The ICC Server needs a database in an instance of the Microsoft SQL Server.
You can use the free Express edition of Microsoft SQL Server 2008 R2. This edition has several restrictions: it only
supports 1 GB RAM, database size is restricted to 10 GB, and it will use only a single processing node. Therefore it is
recommended to use another edition, e.g. the Standard or the Enterprise edition, on large production systems.
If you install ICC for the first time, you must provide a suitable instance of the Microsoft SQL Server and a database in
that instance before you install ICC. If you upgrade from an earlier ICC version, you can reuse the existing instance that
will typically have the name DOKUSTAR containing a database RdaDb10.
When you install ICC, setup will show a dialog box where you can select the SQL Server instance and the database that
should be used by ICC.
If you install a new SQL Server instance on the ICC Server, it is recommended to use the following parameters when
calling the SQL Server setup:
/ACTION=Install /FEATURES=SQL /INSTANCENAME=DOKUSTAR
/SQLSYSADMINACCOUNTS="BUILTIN\Administrators" /TCPENABLED=1 /NPENABLED=1
/SQLSVCACCOUNT="NT AUTHORITY\Network Service" /ADDCURRENTUSERASSQLADMIN
/IACCEPTSQLSERVERLICENSETERMS /SQLCOLLATION=Latin1_General_CI_AS
If you use a different instance, make sure that the user account that is specified for the services during ICC installation
and the user that works with the Customizing Client have the right to create tables in the ICC database.

Invoice Capture Center Administrator's Guide Installation  15


Installation Process
Stand-alone Installation
For testing purposes, all components of Invoice Capture Center can be installed on a single computer.
When you insert the Invoice Capture Center DVD, installation should start automatically. Otherwise, start the program
setup.exe in its root folder.
As a first step, the required Microsoft software components will be checked.
Installation starts with a Welcome dialog box. When you click on Next, the license agreement is shown. To be able to
proceed with the installation, accept the license agreement by selecting the respective check box and click Next.
In the Installation Mode dialog box, accept the default installation mode Stand-alone.
A click on Advanced will show the Custom Setup dialog box. This dialog box shows which features will be
installed depending on the selected installation mode.
If you want to install Invoice Capture Center at a different location, click Browse and choose the desired path in the
appearing folder dialog box.
A click on Disk Usage opens the Disk Space Requirements dialog box. It will show a list of all your disk
drives and for each drive the available and the required disk space with your current installation location setting. This
will help you to decide where to install Invoice Capture Center if there is not enough space on your system drive.
To proceed with the installation, click Next. The Service Account dialog box opens. This dialog box is used to
specify a user account that can be used for the Windows services created for Invoice Capture Center. For a stand-alone
installation you can click Local System. If you want to work with a domain user, enter domain name, user name, and
the corresponding password.
When you confirm with Next, setup is ready. Click Install in the next dialog box to start installation.

16  Installation Invoice Capture Center Administrator's Guide


Installation of the Server
A single computer in your configuration has to be installed as Server. The Customizing Client is always installed on the
Server.
When you insert the Invoice Capture Center DVD, installation should start automatically. Otherwise, start the program
setup.exe in its root folder.
As a first step, the required Microsoft software components will be checked.
Installation of the product starts with a Welcome dialog box. When you click on Next, the license agreement is
shown. To be able to proceed with the installation, accept the license agreement by selecting the respective check box
and click Next.
In the Installation Mode dialog box, click Server.
A click on Advanced will show the Custom Setup dialog box. This dialog box shows which features will be
installed depending on the selected installation mode.
If you want to install Invoice Capture Center at a different location, click Browse and choose the desired path in the
appearing folder dialog box.
A click on Disk Usage opens the Disk Space Requirements dialog box. It will show a list of all your disk
drives and for each drive the available and the required disk space with your current installation location setting. This
will help you to decide where to install Invoice Capture Center if there is not enough space on your system drive.
To proceed with the installation, click Next. The Service Account dialog box opens. This dialog box is used to
specify a user account that can be used for the Windows services created for Invoice Capture Center. The account must
be a domain account with administrator rights. Enter domain name, user name, and password.
When you confirm with Next, setup is ready. Click Install in the next dialog box to start installation.
When ICC has been installed, the Select Database dialog box opens. If you upgrade from an earlier version, the
previously used instance and database file will already be selected. If you install ICC for the first time, select the instance
you installed for ICC use. If possible, use the default database name RdaDB10 because there are many references to
this file name in the documentation.

Installing a Validation Client


A Validation Client is used for correcting documents. A Validation Client can’t be used for recognition, or for
customizing and monitoring.
When you insert the Invoice Capture Center DVD, installation should start automatically. Otherwise, start the program
setup.exe in its root folder.
As a first step, the required Microsoft software components will be checked.
Installation of the product starts with a Welcome dialog box. When you click Next, the license agreement is shown.
To be able to proceed with the installation, accept the license agreement by selecting the respective option and click
Next.
In the Installation Mode dialog box, click Validation.
A click on Advanced opens the Custom Setup dialog box. This dialog box shows which features will be installed
depending on the selected installation mode.

Invoice Capture Center Administrator's Guide Installation  17


If you want to install Invoice Capture Center at a different location, click Browse, and choose the desired path in the
appearing folder dialog box.
A click on Disk Usage opens the Disk Space Requirements dialog box. It will show a list of all your disk
drives and for each drive the available and the required disk space with your current installation location setting. This
will help you to decide where to install Invoice Capture Center if there is not enough space on your system drive.
When you confirm with Next, setup is ready. Click Install in the next dialog box to start installation.

Note: For unattended installation of Validation Clients, command script examples are available. Comments in the
example files describe how you can adapt the scripts to your configuration.

Installation of a Recognition Node


A Recognition Node is used for automatic data extraction in larger configurations. Customizing, monitoring, or
validation of documents can’t be performed on a Recognition Node.
When you insert the Invoice Capture Center DVD, installation should start automatically. Otherwise, start the program
setup.exe in its root folder.
As a first step, the required Microsoft software components will be checked.
Installation of the product starts with a Welcome dialog box. When you click Next, the license agreement is shown.
To be able to proceed with the installation, accept the license agreement by selecting the respective check box and click
Next.
In the Installation Mode dialog box, click Recognition.
A click on Advanced opens the Custom Setup dialog box. This dialog box shows which features will be installed
depending on the selected installation mode.
If you want to install Invoice Capture Center at another location, click Browse and choose the desired path in the
appearing folder dialog box.
A click on Disk Usage opens the Disk Space Requirements dialog box. It will show a list of all your disk
drives and for each drive the available and the required disk space with your current installation location setting. This
will help you to decide where to install Invoice Capture Center if there is not enough space on your system drive.
To proceed with the installation, click Next. In the Invoice Capture Server dialog box, enter the name of the
computer used as Server and then click Next.
The Service Account dialog box opens. This dialog box is used to specify a user account that can be used for the
Windows services created for Invoice Capture Center. The account must be a domain account with administrator rights.
Enter domain name, user name, and password.
When you confirm with Next, setup is ready. Click Install in the next dialog box to start installation.

Creating Installation Log Files


To create a standard log file during installation, start installation calling:
Setup.exe /L <logfilename>
To create a full log, call:
Setup.exe /L*v <logfilename>

18  Installation Invoice Capture Center Administrator's Guide


Follow-up Activities
Configuring the Cluster
To enable Load Balancing on several computers and on several processors of a computer, the DOKuStar Load Manager
has to be configured on the Server. For the Servers and its processors this is done automatically during installation or
when processing is started, respectively.
If your configuration contains additional Recognition Nodes, you will have to configure them manually. Refer to
Recognition Cluster Setup for further information.

Configuring the Archive Server


Invoice Capture Center stores recognition data as an XML data stream on the archive server using the content type
application/datapool at the archive link interface. For some archive servers, e.g. Documentum, you have to
register this content type.

Creating and Configuring Applications


Following installation, you will have to create and configure applications before you can work with Invoice Capture
Center (refer to Customizing Guide, chapter “Configuration and Customizing”).

Configuring the Windows Firewall for Validation Clients


To be able to use an active Windows Firewall on the Validation Clients, all ports used by the Validation Client must be
released. The Validation Clients use the TCP ports specified by SAP ERP for Gateway, Secure Gateway, and Message
Server. Therefore the TCP port 3300+SID (Gateway), and/or 4800+SID (Secure Gateway), and/or 3600+SID (Message
Server) will be used, depending on your configuration.
For details refer to “TCP/IP Ports Used by SAP Applications” (SAP Developer Network).

Configuring SAP GUI


While SAP GUI stored the saplogon.ini file globally in the Windows folder of the system drive in previous
versions, SAP GUI 7.20 stores it user-specific under the ApplicationData folder by default. Thus the HotSpot
service (DOKuStar HotSpot 3.0) that is configured to work with the user Local System can’t find the file
and the Extraction and Download link don’t work.
Therefore if you work with SAPGUI 7.20, specify the location of the saplogon.ini file in the respective
environment variable (refer to the SAP documentation). Then SAPGUI 7.20 and the HotSpot service will use the
environment variable to find the file.
Alternatively, you could modify the configuration of the HotSpot service and specify the same Windows user that works
with SAP GUI.

Invoice Capture Center Administrator's Guide Installation  19


Upgrading Existing Applications
After installing a new version or a support package, you will have to upgrade existing applications before invoice
processing is being started.
To upgrade your applications, start the Customizing Client and for each application perform the following steps:
 Open the application.
 Click Settings in the Setup group of the Application tab.
 In the appearing Settings dialog box, click OK; the application will now be upgraded.
 On the application menu point to Export Application and click To SAP to export the application.
 Close the application.

Moving the Caches to a Different Location


The caches used to store temporary Recognition and download data will reside on the system drive below the subfolder
DOKuStar Professional/3.0/Cache of the temp folder of the user account that you specified in the
Service Account dialog box during installation.
To move the caches to a different location, e.g. to another partition or disk drive, log in with the respective user account
and use the Windows Control Panel to modify the user environment variable tmp accordingly. For the change to take
effect, the service DOKuStar Load Manager 3.0 must be restarted.

20  Installation Invoice Capture Center Administrator's Guide


Installing Patches and Service Packs
We recommend that you check the OpenText Knowledge Center (https://knowledge.opentext.com/) for Service Packs or
Patches that may have been posted after the initial release of Invoice Capture Center.
Service Packs are cumulative, i.e. a Service Pack will contain all changes contained in previous Service Packs of the
respective ICC version. Therefore, it is sufficient to install only the latest Service Pack after installing Invoice Capture
Center. For the same reason, the Release Notes of a Service Pack list the changes of all previous Service Packs.
On the other hand, a Service Pack can be installed on ICC with any previous Service Pack.
Patches are related to a Service Pack, i.e. a Patch can only be installed on an ICC system where the corresponding
Service Pack has been installed. Patches are cumulative, i.e. a Patch contains all changes contained in previous Patches
for the same Service Pack.
To install a Service Pack or a Patch, perform the following steps:
1. Stop all Hot Spots, i.e. Extraction Link Hot Spots and Download Link Hot Spots of all applications.
2. Click Cluster in the Server group of the General tab and wait until all Cluster Nodes have finished
processing, i.e. until all are in state Ready.
3. Terminate the Customizing Client and all Validation Clients.
4. Install the Service Pack or Patch on all participants (Recognition Server, Recognition Nodes, and Validation
Clients).
5. Upgrade each application: Open it, open the Settings dialog box and then close it with a click on OK.
6. Export all applications to SAP ERP. The Validation Clients will download the upgraded applications
automatically.
7. In Vendor Invoice Management, reset all documents to Recognition that are waiting for Validation.
8. Start all Hot Spots.
9. Start Validation Clients, as needed.
Afterward, the applications can no longer be used with an earlier Service Pack.
For further details refer to the Release Notes of a Service Pack, or the read-me file of a Patch, respectively.

Invoice Capture Center Administrator's Guide Installation  21


Technical Operations

Overview of the Customizing Client


The Customizing Client provides tools for the technical configuration and for monitoring of an Invoice Capture Center
production system.

Structure
In the Customizing Client you can switch between several monitoring views to monitor a special aspect of your Invoice
Capture Center system and you can open several tools for the technical configuration of your system.
The views and the tools are accessible in the ribbon of the Customizing Client: There are buttons to open views and
buttons to start configuration tools.
When you click on a configuration tool button, the tool is opened in a new window. When you click on a view button,
the view is opened within the Customizing Client window; the according view button in the ribbon stays pressed to
indicate which view is currently open in the Customizing Client.
The view buttons and tool buttons are provided on different tabs of the ribbon. View buttons and tool buttons that belong
together in a way are presented on the same tab. A tab of the ribbon corresponds to a scope of the ICC system.
Selecting a different tab in the ribbon will automatically change the view.

Invoice Capture Center Administrator's Guide Technical Operations  23


Tabs, Views, and Tools
The ribbon of the Customizing Client presents two tabs:
 Application
 General
On each tab you will find the views and tools of one of the functional scopes of the Customizing Client:
The Application tab presents the Application view, and all tools needed for application development. It provides
the Settings dialog box and the Adaptive dialog box. In addition the Application tab provides all facilities of the
Validation Client to test Validation within the Customizing Client.

During application development you will work mainly with the Application view.
The General tab provides monitoring facilities to the Customizing Client user. On the General tab you can switch
between several technical monitoring views: HotSpot view, Jobs view, and Cluster view. In addition, the
General tab provides the tools Trace Viewer and Load Manager Configuration tool that are described in detail in this
Guide.

The views and tools of the General tab are needed for the technical configuration and for monitoring of an Invoice
Capture Center production system.
All tools of the Application tab work on the currently opened application whereas the General tab permits to show
global data of the Recognition Server – independently of the opened application.
The tools and views of the Application tab are not discussed in detail in this guide. For detailed information about
application development please refer to the Customizing Guide; for detailed information about validation refer to the
User`s Guide. This guide concentrates on monitoring and technical configuration.

24  Technical Operations Invoice Capture Center Administrator's Guide


Overview of Components
An Invoice Capture Center system consists of a central component in SAP ERP, the ICC Dispatcher Infrastructure, and
of several Windows components.

ICC Dispatcher Infrastructure in SAP


The ICC Dispatcher Infrastructure is part of the Vendor Invoice Management product in SAP ERP. Please refer to the
Vendor Invoice Management Configuration Guide, chapter “ICC Dispatcher” for further information.

ICC Windows Components


Each Invoice Capture Center system contains the following Windows components:
 Recognition Server
 Customizing Client (user interface)
 Validation Client (user interface)
The Recognition Server processes invoice images and provides recognition results. The Customizing Client is used by a
user to configure the Recognition Server. The Customizing Client is always installed together with a Recognition Server.
The Validation Client is used by a user to validate, correct, and complete the recognition results. The Validation Client
and the Recognition Server don’t interact with each other; both interact only with the ICC Dispatcher Infrastructure.
Huge Invoice Capture Center systems may also contain one or several
 Recognition Node(s)
A Recognition Node receives recognition jobs by the Recognition Server and provides recognition results.
The following constellations are possible for the Windows parts of an Invoice Capture Center system:

Standalone System
Usually, a standalone system is used for developing, for testing, and for demo systems. All Windows components of the
Invoice Capture Center system are installed on one PC:
 Standalone PC
o Recognition Server with Customizing Client and databases
o Validation Client

Invoice Capture Center Administrator's Guide Technical Operations  25


Recognition Server and Validation Clients
This constellation is used for testing and for production. According to the number of processors of the Recognition
Server machine, this scenario is suitable for small applications up to huge applications with thousands of invoices to be
processed.
 Recognition Server Machine
o Recognition Server with Customizing Client and databases
 Validation PCs
o Validation Client

Recognition Server, Recognition Nodes, and Validation Clients


This constellation is also used for production. It is suitable to process a very high number of invoices.
 Recognition Server Machine
o Recognition Server with Customizing Client and databases
 Recognition Node Machine(s)
o Recognition Node
 Validation PCs
o Validation Client

Further Involved Components


The following components are involved in an Invoice Capture Center system, but are not part of the Invoice Capture
Center system:
 Enterprise Scan
 SAP ERP archive

26  Technical Operations Invoice Capture Center Administrator's Guide


Overview of Technical Runtime Scenarios
Recognition and Validation of an Invoice
Involved components:
 Enterprise Scan
 SAP ERP Archive
 VIM ICC Dispatcher Infrastructure
 Recognition Server (optional: Recognition Node)
 Validation Client
For a specific archive document type, Enterprise Scan scans an invoice and archives the invoice image in the SAP ERP
archive using the early archiving scenario of SAP ERP. The VIM OCR Preprocess Workflow that is assigned to the
archive document type triggers the ICC Dispatcher Infrastructure. In the ICC Dispatcher Infrastructure an entry for the
invoice is added. This entry has the status Ready for OCR.
The Recognition Server periodically asks the ICC Dispatcher Infrastructure for new recognition jobs and gets a
recognition job for the invoice. The ICC Dispatcher Infrastructure changes the status of the invoice entry to Sent to
OCR.
The Recognition Server fetches the invoice image from the archive, processes the invoice image, sends the recognition
results to the ICC Dispatcher Infrastructure, and archives a result XML file in the SAP ERP archive. If there are
additional Recognition Nodes, the Recognition Server may delegate job processing and result export to a Recognition
Node.
After receiving the recognition results, the ICC Dispatcher Infrastructure changes the status of the invoice entry to
Extraction Completed. Based on business rules, the ICC Dispatcher Infrastructure decides whether or not the
recognition results have to be validated by a user. If validation is required, the ICC Dispatcher Infrastructure will change
the status of the invoice entry to Ready for Validation.
The user working at a Validation Client asks the ICC Dispatcher Infrastructure for new validation jobs and gets a
validation job for the invoice. The ICC Dispatcher Infrastructure changes the status of the invoice entry to Sent to
Validation.
The Validation Client fetches the result XML file from the archive. The Validation Client user validates, corrects, and
completes the recognition results and sends the validated results to the ICC Dispatcher Infrastructure. The ICC
Dispatcher Infrastructure changes the status of the invoice entry to Validation Completed.

Downloading Data from SAP ERP


Involved components:
 VIM ICC Dispatcher Infrastructure
 Recognition Server
The Recognition Server periodically asks the ICC Dispatcher Infrastructure for vendor master data and purchase order
data. The ICC Dispatcher Infrastructure provides the requested data. The Recognition Server imports the data into its
local database.

Invoice Capture Center Administrator's Guide Technical Operations  27


Supervised Learning on the Customizing Client
Involved components:
 Recognition Server
 Customizing Client
The user working at the Customizing Client validates an invoice image. The user adds a missing field value by clicking
on the appropriate value on the invoice image shown in the Customizing Client. Then the user clicks Train. The
information where the missing field value can be found will immediately be used by the Recognition Server. The Server
will add the information to the learning database.

Monitoring
To monitor an Invoice Capture Center system, use the ICC Admin Tool of the Vendor Invoice Management product
in SAP ERP. For further information refer to the Vendor Invoice Management Administration Guide, chapter “Working
with the ICC Admin Tool”.
The Customizing Client (installed on the Recognition Server) provides views to monitor the Recognition Cluster of an
Invoice Capture Center system.

Monitoring Hot Spots


In the Customizing Client, click HotSpot in the Server group of the General tab to show the list of Hot Spots:

The State column indicates which Hot Spots are active. In a production system, all Hot Spots of all applications should
be in state Scheduled most of the time.
The Last run column shows when the Hot Spot was running last time and the amount of data that were processed
during this run.

28  Technical Operations Invoice Capture Center Administrator's Guide


Monitoring Jobs
To monitor jobs, click Jobs in the Server group of the General in the Customizing Client.
A list of all jobs that are being processed or waiting for processing is shown:

The State column indicates the operation state by a symbol:

Symbol State
Start state of the operation.
Job waits for processing.
Job is being processed.
Job has been completed successfully.
Job has terminated with error(s).
Job is about to be removed from the list.

The remaining columns show the following status information:

Column Description
Cluster Node Name of the cluster node that currently processes this
operation.
Profile Profile used by the operation.
Client Client ID started by the operation.
Started at Time when the Operation started.

The first column shows the state of each job. If several processing nodes are available in your configuration, several jobs
may be in state Processing at the same time. Additional jobs that have already been downloaded from SAP ERP but
are still waiting for a free processing node will be in state Pending.
The second column indicates the cluster node a job that is currently being processed has been assigned to. As long as a
job is waiting for processing, this field is empty.

Invoice Capture Center Administrator's Guide Technical Operations  29


Monitoring the Recognition Cluster
To monitor the Recognition Cluster, click Cluster in the Server group of the General tab in the Customizing
Client.
A list of all cluster nodes with state information is shown:

The first column indicates the cluster state by a symbol:

Symbol State
Cluster node has not yet been started (after start or restart of the cluster node).
Cluster node is ready for operation.
Cluster node is executing an operation.
Cluster node is suspended. No operations will be assigned to this node.
Network disturbance. Cluster node is not available.
Cluster node is in a state of error and will be reset
Cluster node is blocked due to a reset or a configuration change.
Cluster node is about to be removed from the list.

The remaining columns show the following state information:

Column Description
Name Cluster node name composed of computer name, service type, and
instance number.
Profile Currently loaded profile.
Client Client ID that started the currently active operation.
Total Time Total active time of the cluster node since start of the Load Manager.
Operations Number of processed operations since start of the cluster node.

30  Technical Operations Invoice Capture Center Administrator's Guide


To configure a cluster node, click on the cluster node line with the right mouse button. A context menu with the
following commands appears:

Command Description
Suspend Cluster Node Excludes the cluster node from load balancing. A currently active
operation will be completed before suspension takes effect.
Release Cluster Node Releases a suspended cluster node to rejoin the load balancing.
Lookup Cluster Node Updates the cluster node state (normally the Load Manager updates it once
per minute).
Reset Cluster Node Terminates the current instance of the cluster node and starts a new one.

Logging and Tracing


Logging
Logging is done on the SAP ERP side of an Invoice Capture Center system. Refer to the Vendor Invoice Management
Administration Guide, chapter “Working with the system log” for further information.

Overview of Tracing
Invoice Capture Center permits to generate trace data that can be used to analyze and fix problems at runtime. The
tracing component has the following features:
 Output to multiple tracing targets
 Hierarchical tracing architecture
 Easy configuration on-the-fly through XML configuration files or software
 Trace Viewer to view trace files, filter and search trace data and observe applications on several hosts

Tracers
A tracer represents the source of a trace message. Tracers are named entities with a hierarchical structure. Hierarchy
levels are separated by dots. This corresponds to the naming of .NET classes including namespaces. Therefore usually
the class name, e.g. DOKuStar.Runtime.Server, is used as name of the respective tracer.
The tracer name is used to configure the properties of the tracer such as the trace level. You may use the full name of the
trace or only a part of the name. If a particular trace has not been configured explicitly, it will inherit its configuration
from its parent tracer.
E.g. DOKuStar.Runtime is a parent of DOKuStar.Runtime.Server, DOKuStar is a parent of
DOKuStar.Runtime.
A special tracer, called the RootTracer, is the parent of all tracers; it has no name.

Trace Listeners
Trace listeners represent the destination of trace messages. The tracing system ships with a collection of trace listeners:

Invoice Capture Center Administrator's Guide Technical Operations  31


RollingFileListener
This trace listener writes trace messages to a file. It generates a new file with a unique file name for every
process by merging the current time and the process identifier into the file name. The output is flushed every
30 seconds. A new file is created each day. Files older than 10 days (configurable) will be removed.
RemotingTraceListener
This listener writes trace messages to a remote sink, e.g. the trace viewer in order to display trace messages
on-the-fly.
ConsoleTraceListener
Writes trace messages to console output.
Trace listeners may trace at different levels. Every tracer may have assigned its own collection of trace listeners but
usually only the root tracer has them all and all other tracers inherit them.

Trace Root Path


Invoice Capture Center writes trace messages to trace files located relative to a root path for all applications. The default
root path is %ALLUSERSPROFILE%\Application Data\Open Text\Trace. Please take notice that
the folder Application Data is a hidden folder. So the Windows Explorer will only show it, if you have marked
the respective option in the Folder Options.
You can change the default trace folder by setting the registry value TraceRootPath (type REG_SZ) at the key
HKLM\SOFTWARE\Open Text and on 64-bit systems also at the key
HKLM\SOFTWARE\Wow6432Node\Open Text to a new path.
Tracing is done by the Tracing Service running in the context of the LocalSystem account. If you want to use a
remote trace folder, the Tracing Service will not have the afforded access rights to write the trace files. You have to run
the service with a domain user account.
Afterwards you should restart the Invoice Capture Center participant: On a Validation Client restart the Validation Client
program; on the Recognition Server restart the Invoice Capture Center services and the Customizing Client program; on
a Recognition Node restart the Invoice Capture Center services.
Trace configuration files will be stored directly under the root path. Trace files are written to a subdirectory; typically the
directory name is the application name, e.g. DOKuStar Load Manager.

32  Technical Operations Invoice Capture Center Administrator's Guide


Trace Levels
Tracers and trace listeners have trace levels used to control the volume of the tracing output.
Fatal Used in case of errors where the administrator has to be called immediately. Those errors risk to crash
down processing e.g. disk full.
Error Used in case of errors that aborted the current job. Probably processing continues with the next job.
Warning An unexpected issue occurred and should be traced in order to be able to analyze it later especially if it
occurs again.
Info This is the default level. It is use to trace normal progressing as an administrator would see it in a
monitor, e.g.
- service has been started
- job … has been started
- job … has terminated status …
- service has been stopped
Fine First debug level, e.g. to additionally trace failed polling calls or important parameters etc.
Finer Next debug level.
Finest Highest debug level.
Note the default level is Info. Do not stress tracing using this level Info with your debug messages.
Configuration will be reread on-the-fly when the configuration file changes; you don’t need to restart the load manager
service.

Trace Configuration
Several trace configuration files in the trace folder specify what trace messages a distinct Invoice Capture Center
component will write to the trace folder. For example, a trace configuration file defines the trace level for the trace
messages. Only trace messages with this specified trace level or higher will be written to the trace folder.
You may configure traces by editing the appropriate trace configuration file directly or selecting a predefined trace
configuration in the Trace Viewer (see Trace Viewer). Notice that selecting a predefined trace configuration in the Trace
Viewer will change the trace configuration files automatically.
The trace configuration file has three types of elements:
listener
This element configures a trace listener by specifying:
name any describing name,
type the full qualified name of the class which implements the listener,
threshold trace level (optional, default is Finest)
and other trace listener specific parameters.

<listener name="file" type="DOKuStar.Diagnostics.Tracing.RollingFileTraceListener">


<file value="DOKuStar Load Manager\\DOKuStarClusterNode.log" />
</listener>

<listener name="remote" type="DOKuStar.Diagnostics.Tracing.RemoteTraceListener">


<url value="tcp://localhost:20304/DOKuStar.Diagnostics.Tracing" />
<threshold value="fine" />
</listener>

Invoice Capture Center Administrator's Guide Technical Operations  33


root
This element configures the root tracer by specifying:
level the trace level
listener-ref the listeners (usually all listeners are configured only at the root tracer, not at the categories).

<root>
<listener-ref ref="file" />
<listener-ref ref="remote" />
<level value="fine" />
</root>

category
This element configures certain tracers by specifying:
name name of the tracer or part of its hierarchical name
level trace level

<category name="DOKuStar.Cluster.Operation">
<level value="fine" />
</category>

There are two types of configuration files: merge (default) and overwrite.
A file of type merge configures only a few items and merges them with a configuration that may have been initialized
by software and already has specified its root tracer and trace listeners so that you only want to change trace levels of
certain categories.
Example:
<?xml version="1.0" encoding="utf-8" ?>
<trace>
<category name="DOKuStar.Cluster.Operation">
<level value="fine" />
</category>
<category name="DOKuStar.Cluster.ClusterNode">
<level value="fine" />
</category>
<category name="DOKuStar.Cluster.Extraction">
<level value="fine" />
</category>
</trace>

A file of type overwrite configures all features and will completely reset an initial configuration made through
software. You must specify the root tracer and its listeners.
Example:

34  Technical Operations Invoice Capture Center Administrator's Guide


<?xml version="1.0" encoding="utf-8" ?>
<trace update="overwrite">
<listener name="file" type="DOKuStar.Diagnostics.Tracing.RollingFileTraceListener">
<file value="DOKuStar Load Manager\\DOKuStarClusterNode.log" />
</listener>

<listener name="remote" type="DOKuStar.Diagnostics.Tracing.RemoteTraceListener">


<url value="tcp://localhost:20304/DOKuStar.Diagnostics.Tracing" />
<threshold value="fine" />
</listener>

<root>
<listener-ref ref="file" />
<listener-ref ref="remote" />
<level value="fine" />
</root>

<category name="DOKuStar.Cluster.Operation">
<level value="fine" />
</category>
<category name="DOKuStar.Cluster.ClusterNode">
<level value="fine" />
</category>
<category name="DOKuStar.Cluster.Extraction">
<level value="fine" />
</category>
</trace>

Examples for trace configuration files you will find in the folder TraceConfig in the Invoice Capture Center
installation folder.

Invoice Capture Center Administrator's Guide Technical Operations  35


Location of Trace Files and Trace Configuration Files
The following table shows where the trace files and trace configuration files of the particular programs are located.

Program / Service Trace File / Trace Configuration File


DOKuStar Load Usually the Runtime and Extraction run within a cluster controlled by the Load Manager. There
Manager and Cluster are separate trace files for the Load Manager service and every cluster node. There are two
Nodes configuration files, one for the Load Manager service and one shared by all cluster nodes.
Trace files
<TraceRoot>\DOKuStar Load Manager\ DOKuStarLoadManager*.log
<TraceRoot>\DOKuStar Load Manager\ DOKuStar.ClusterNode*.log
Trace config file
<TraceRoot>\DOKuStarLoadManager.traceconfig
<TraceRoot>\DOKuStarClusterNode.traceconfig
Hot Spot The Hot Spot service is the connection between the Load Manager and the SAP ERP system.
Trace files
<TraceRoot>\DOKuStar Professional\HotSpot*.log
Trace config file
<TraceRoot>\HotSpot.traceconfig
Customizing Client and Trace files
Validation Client <TraceRoot>\rda1\rda1*.log
Trace config file
<TraceRoot>\rda.traceconfig
All services The windows event log is used to log creating, starting and stopping of the services.

Format of Traces
Traces written to trace files have the following format:
<DateTime> <Level>:<Computer> <Application> <PID> <Category> <ThreadId> [[<Message>]]
DateTime: Time when the trace message was written, sortable format yyyy.MM.ddTHH:mm:ss
Level: Trace level Fatal, Error, Warning, Info, Fine, Finer or Finest
Computer: Name of the host where the trace message was written
Application: Name of the application that wrote the trace message
PID: ID of the process that wrote the trace message
Category: Trace category (hierarchically to reflect classes and modules)
ThreadId: ID of the thread that created the trace message
Message: Trace message enwrapped with 2 squared brackets at begin and end. Note: A trace message is multi-
line; it may contain carriage return and line feed.
Example:
2011.03.04T10:17:45 Error: SYS2186 DOKuStarLoadManager 2264 DOKuStar.Cluster.Configuration 1 [[this is the
error message]]

36  Technical Operations Invoice Capture Center Administrator's Guide


Analyzing Trace Files
All trace files can be viewed and analyzed with the Trace Viewer that can be started from the Invoice Capture Center
program group or from the Customizing Client by clicking Trace viewer in the Tools group of the General tab.

Trace Viewer
Trace Viewer Window
The Trace Viewer can be started from the Customizing Client by clicking Trace viewer in the Tools group of the
General tab. You can also start it directly from the Invoice Capture Center program group of the Windows start menu.
It is used to show trace messages created by the Invoice Capture Center components and permits to
- view trace files,
- search text using regular expression,
- filter trace messages,
- record trace information on-the-fly even on multiple computers simultaneously,
- drop files into the viewer.
When you start the Trace Viewer, it will show a list of all trace files found on the local machine on the left side. The list
is grouped by the different components:

The header shows the path of the trace folder as a link. If you click on the link, the folder is opened in a Windows
Explorer.

Invoice Capture Center Administrator's Guide Technical Operations  37


By default, all trace files are listed. When you click Only errors, or Only errors and warnings in Filter list,
the trace file list will only show trace files containing messages of the respective types.

Trace Viewer: Main Menu


File Menu
Open
This command can be used to open a trace that is not available in the file list.
Exit
Terminates the Trace Viewer.
Edit Menu
Clear all
Removes all messages from the messages view. To empty the trace file, use Save from the File menu
afterwards.
Find
Opens the Find dialog box that permits to search in the currently open file.
Find next
When you have specified search parameters in the Find dialog box, this command searches the next
appearance.
Find previous
When you have specified search parameters in the Find dialog box, this command searches the previous
appearance.
View Menu
Filter
Opens the Filter dialog box where you can control which messages should be shown in the messages view.
Top window
When you click this command, the Trace Viewer window stays on top. To switch this feature off, use the
command again.
Columns
With this command you can control which columns will be shown in the messages view. A click on a column
name adds a column if it is not shown currently, or removes it otherwise.
Tools Menu
Trace Configurations
This command permits to select one of three trace configurations:

38  Technical Operations Invoice Capture Center Administrator's Guide


Debugging production system: This configuration can be used to search for errors. Here all trace
levels are set to the level finest. This mode will produce a large amount of trace data.
Development: This configuration can be used to search for errors in your own code. Here the trace level
for all namespaces starting with DOKuStar is set to info, while all other levels are set to finest. So you
will get the maximum amount of trace data for project modules and plug-ins if you use a separate namespace.
Production: This configuration is intended for production systems. It will trace all errors, warnings, and
info traces, but won’t produce too much trace data.
This configuration affects the local computer. If you want to search an error on a processing cluster, you may
need to modify the trace configurations on all computers of the cluster.

Note: The dialog box can’t indicate the current trace configuration, because you could modify the trace configuration
files using a text editor at any time, creating a custom configuration differing from all three default configurations
described above.

Options
Opens the Options dialog box where you can change the language of the Trace Viewer user interfaces.
Help Menu
About Trace Viewer
Shows a dialog box with version information.

Invoice Capture Center Administrator's Guide Technical Operations  39


Trace Viewer: Messages List View
When you double-click on a file in the list, the contents of the file will be shown in the messages list view on the right
side:

The toolbar buttons above the messages list view permit to control which messages will be displayed in the list view, see
below.
By double-clicking on a message in the list view you can open a Trace Message dialog box showing the complete
message and its details:

40  Technical Operations Invoice Capture Center Administrator's Guide


Trace Viewer – Messages List View: Tool Bar
If the toolbar is not shown, click on the header line of the messages view with the right mouse button and then click
Toolbar on the context menu.

Trace Configuration
Opens the Trace Configuration dialog box where you can select one of three trace configurations:
Debugging production system: This configuration can be used to search for errors. Here all trace
levels are set to the level finest. This mode will produce a large amount of trace data.
Development: This configuration can be used to search for errors in your own code. Here the trace level
for all namespaces starting with DOKuStar is set to info, while all other levels are set to finest. So you
will get the maximum amount of trace data for project modules and plug-ins if you use a separate namespace.
Production: This configuration is intended for production systems. It will trace all errors, warnings, and
info traces, but won’t produce too much trace data.
This configuration affects the local computer. If you want to search an error on a processing cluster, you may
need to modify the trace configurations on all computers of the cluster.
Display Level
Permits to specify one of seven different trace levels. In the most restrictive level only fatal error messages are
shown. In the most talkative trace level, messages of all message types are shown.
The toolbar text indicates the currently selected trace level. In the above example, trace level Debug Fine is
just being used.
Display filter
A dialog box permits to set different kinds of filters that control which log messages are shown.
Find
The Find dialog box opens. It permits to search messages containing a string, word, or a regular expression.
When the command has already been used, the F3 function key can be used to jump to the next occurrence.
Auto scroll
If this button is pressed, the view will show the last lines, when trace messages are added.

Trace Viewer – Messages List View: Context Menu

Open…
Opens a log file. The contents of the file is loaded and shown in the messages list view.

Invoice Capture Center Administrator's Guide Technical Operations  41


Save
If a log file has been saved in the current session, this command overwrites this file with the current contents
of the message list view. Otherwise a file dialog box opens.
Save as
Saves the contents of the messages list view to a file. A file dialog box opens that permits to select path and
file name.
Clear
Deletes the current contents of the view.
Filter
The Filter dialog box opens. It permits to set different kinds of filters that control which log messages are
shown. E.g. the Type filter permits to switch messages of the types Error, Info, Log and Warning on or
off separately.
Find
The Find dialog box opens. It permits to search messages containing a string, word, or a regular expression.
When the command has already been used, the F3 function key can be used to jump to the next occurrence.
Auto scroll
If this option is selected, the view will show the last lines, when log messages are added.
Columns
A submenu permits to control which columns of the trace messages are shown in the view.
Toolbar
If this option is selected, the view shows a separate tool bar that permits to use the most important functions of
the view with a single mouse click.
Header
If this option is selected, the messages list view shows a header line with the column titles. The header line
can also be used to change the column widths by dragging the column borders of the header line with the
mouse.

42  Technical Operations Invoice Capture Center Administrator's Guide


Trace Viewer – Messages List View: Filter Dialog Box
The Filter dialog box permits to specify which messages should be written to the messages list view:

Take notice that specified filters only affect the messages view of the Trace Viewer. They don’t modify the contents of
the trace files and they don’t control which messages will be written to trace files.
To open the Filter dialog box, use the Filter command in the context menu of the messages list view or the
corresponding toolbar button.
Different kinds of filters can be specified:
Level
This filter permits to switch all trace messages off or to specify a trace level. If the trace level is set to Error,
only error messages will be shown. The other values will add messages of other types successively. If the
trace level is set to Finest, messages of all types will be shown.
The trace level can also be set using the toolbar of the messages list view. This toolbar is not shown by
default. It can be switched on or off with the Tool Bar command in the context menu of the messages list
view.
Computer
Here all computers of the cluster used by the project are listed. By default, messages from all computers are
shown. If you work with a cluster you can exclude some computers or restrict output to the messages of a
single computer.
Application
Here all applications of the current project are listed. By default, all applications are enabled.
PID
Here the process IDs of all processes of the current project are listed. By default, all processes are enabled.

Invoice Capture Center Administrator's Guide Technical Operations  43


Category
A category is a group of classes. This filter permits to restrict messages of the type Info to functional units
within DOKuStar Professional during debugging.
Find filter
If the text box in this section is not empty, only matching messages will be shown in the messages list view.
The check boxes permit to control text matching. If the Match case check box is selected, the message
must contain the string in exactly the same spelling with respect to upper and lower case letters. If the Match
whole word only check box is selected, the string will not be matched against a part of a word. If the
Regular expression check box is selected, the specified string will be used as a regular expression.

Trace Viewer – Messages List View: Find Dialog Box


The Find dialog box permits to search for strings in the trace messages shown in the messages list view:

To open the dialog box, use the Find command in the context menu of the messages list view or the respective button in
the toolbar of the view.
If you just enter a string into the text box, this string will be searched. If you select the Match case check box, the
string will be searched in exactly the same spelling with regard to upper and lower case letters. If you select the Match
whole word check box, the search string will not be matched to a part of a word or stretching over two or more words
but only to a single word. If you select the Use regular expression check box, the search string is interpreted as a
regular expression.
If you click Find Previous or Find Next, the previous or next matching trace message is selected in the messages
list view.

SAP ERP Format Tracing


In addition to the ICC tracing described above, ICC also writes trace messages in SAP ERP format to a further trace
folder named Trace ICC. This additional trace folder is always located in the same folder as the regular ICC trace
root folder Trace. By default Trace and Trace ICC are located in
%ALLUSERSPROFILE%\Application Data\Open Text.
Changing the location of the regular trace folder by creating a registry entry like described above will also change the
location of the additional trace folder for SAP ERP format trace files.
There are no special trace configuration files for tracing in SAP ERP format. The regular trace configuration files control
both regular tracing and SAP ERP format tracing.
Changing the trace configuration with the Trace Configuration dialog box will also change the trace configuration
for SAP ERP format tracing.

44  Technical Operations Invoice Capture Center Administrator's Guide


The following table gives an overview of the SAP ERP format trace files:

Program / Service Trace File / Trace Configuration File


DOKuStar Load Usually the Runtime and Extraction run within a cluster controlled by the Load Manager. There
Manager and Cluster are separate trace files for the Load Manager service and every cluster node. There are two
Nodes configuration files, one for the Load Manager service and one shared by all cluster nodes.
Trace files
<SAPFormatTraceRoot>\DOKuStar Load Manager\DOKuStarLoadManager*.trc
<SAPFormatTraceRoot>\DOKuStar Load Manager\DOKuStar.ClusterNode*.trc
Trace config file
<TraceRoot>\DOKuStarLoadManager.traceconfig
<TraceRoot>\DOKuStarClusterNode.traceconfig
Hot Spot The Hot Spot service is the connection between the Load Manager and the SAP ERP system.
Trace files
<SAPFormatTraceRoot>\DOKuStar Professional\HotSpot*.trc
Trace config file
<TraceRoot>\HotSpot.traceconfig
Customizing Client and Trace files
Validation Client <SAPFormatTraceRoot>\rda1\rda1*.trc
Trace config file
<TraceRoot>\rda.traceconfig

Invoice Capture Center Administrator's Guide Technical Operations  45


Configuration Data (Production System)
After performing the installation steps described in chapter Installation, your Invoice Capture Center configuration
consists of a Recognition Server (=Cluster Master) and optionally several simple Recognition Cluster Nodes (Cluster
Slaves), and one or many Validation Clients. On each machine participating in an Invoice Capture Center system you
have installed a different selection of Invoice Capture Center components and you have performed some configuration.
As a result, the participants differ in terms of configuration files, databases, available tools, and running Windows
services.
The following sections describe which components are located on which participants and how the different participants
interact in respect to the components.

Technical Configuration Data


Load Manager Files
An Invoice Capture Center Recognition Cluster contains one Recognition Cluster Master (= Recognition Server). The
Cluster Master distributes the workload on the hardware of the Recognition Cluster. The Cluster has to be configured on
the Master with the Load Manager Configuration tool (see Recognition Cluster Setup). The Load Manager Configuration
tool saves the cluster configuration files into the folder %ALLUSERSPROFILE%\Application
Data\Captaris\DOKuStar Load Manager on the Cluster Master.

Hot Spot Files


The connection of the Recognition Server to the SAP VIM system is provided by the Hot Spot Service. The Hot Spot
configuration files are saved into the folder %ALLUSERSPROFILE%\Application
Data\Captaris\DOKuStar Professional\3.0\HotFolders on the Recognition Server.

Trace Configuration Files


Each participant of an Invoice Capture Center system writes trace files to its local trace folder
%ALLUSERSPROFILE%\Application Data\Open Text\Trace. In the trace folder there are several
trace configuration files specifying e.g. the trace level of the trace messages. See Logging and Tracing for further
information.

Customizing Client
The Customizing Client runs on the Recognition Server and keeps configuration data in the folder
%ALLUSERSPROFILE%\Application Data\Open Text\DOKuStar Dispatch\data\config\RdaProject as
described in the section Application Configuration Data (Customizing Data) on the next page.

46  Technical Operations Invoice Capture Center Administrator's Guide


Application Configuration Data (Customizing Data)
The application configuration data are saved in a SAP ERP table and are downloaded to an Invoice Capture Center
participant on demand. The Recognition Server and the Validation Clients keep the downloaded configuration data in the
folder %ALLUSERSPROFILE%\Application Data\Open Text\DOKuStar
Dispatch\data\config\RdaProject. The Recognition Nodes use the application configuration data of the
Recognition Server; they don’t copy the configuration data to a local folder.
The Validation Clients download the application configuration data automatically after the Validation user has logged in
to SAP ERP. The download of the application configuration data on the Recognition Server is not performed
automatically. The administrator has to download the application configuration data using the Customizing Client after a
new version of the application configuration is available in SAP ERP.

Runtime Files
Temporary Files of DOKuStar Professional and DOKuStar Extraction
On the Recognition Cluster Nodes the actual extraction is done by a component named DOKuStar Extraction.
Superordinate tasks, like splitting of pages or export of results are done by a component named DOKuStar Professional.
Both components write temporary files into the Windows temp directory.
If the Load Manager Service of a Recognition Cluster Node is running using the LocalSystem account, the
temporary files are written in the temp directory defined in the system temp variable.
If the Load Manager Service is running using a domain account, the temporary files are written into the temp directory
defined in the user temp variable.

Trace folder
Each participant of an Invoice Capture Center system writes trace files to its local trace folder
%ALLUSERSPROFILE%\Application Data\Open Text\Trace.
The location of the Trace folder can be changed by creating a registry entry. See Logging and Tracing for further
information.

Registry Entries
During installation Invoice Capture Center adds some entries to the Windows registry, e.g. installation paths and version
information.

Invoice Capture Center Administrator's Guide Technical Operations  47


Databases
SQL Server Instance
Invoice Capture Center needs a database in a suitable Microsoft SQL Server instance that must be available when
Invoice Capture Center is installed. During installation, a dialog box will ask for instance and database name. You can
either install a SQL Server instance on the ICC Recognition Server or use a database in an instance that is installed on a
different computer.
The database is accessed by the Recognition Cluster and by the user who customizes the system. The Validation users
have no access to the database.

ICC Database
Vendor master data and purchase order data are periodically downloaded from SAP ERP and stored into the ICC
database. In addition, this database includes recipient data that have been imported during customizing.
Several tables in the ICC database contain the learning data for Adaptive Recognition (ART) and Adaptive Classification
(ACT). For each Invoice Capture Center application there is a single table with learning data for all adaptive recognition
fields of the respective application. For each adaptive classification field that has been added to an Invoice Capture
Center application there is a single table with learning data.
The ICC database is used for all Invoice Capture Center applications running on the Recognition Server, but each
application uses its own set of tables.

Services
Invoice Capture Center is based on Open Text Capture Center. The runtime environment of Open Text Capture Center
consists of several programs and Windows services. In the standard configuration the following Capture Center
Windows services run on the Recognition Server (Master), on the Recognition Nodes (Slaves) and on the Validation
Clients:
 Recognition Server
o Load Manager Service (DOKuStar Load Manager 3.0)
o Hot Spot Service (DOKuStar HotSpot 3.0)
o Tracing Service (DOKuStar Tracing)
 Recognition Node
o Load Manager Service (DOKuStar Load Manager 3.0)
o Tracing Service (DOKuStar Tracing)
 Validation Client
o Tracing Service (DOKuStar Tracing)
The Load Manager Service on the Recognition Server distributes the workload on the Recognition Nodes by
communicating with the Load Manager Services on the Nodes.
The connection of the Recognition Server to the SAP VIM system is provided by the Hot Spot Service. The Hot Spot
Service polls for recognition jobs provided by the VIM Dispatcher Infrastructure. It also polls for vendor master data and
purchase order data that will be imported into the database of the Recognition Server.

48  Technical Operations Invoice Capture Center Administrator's Guide


The Tracing service provides tracing.
In addition to the Capture Center Windows services, there is also a special Invoice Capture Center service, the SLD Data
Supplier Service (Invoice Capture Center SLD Data Supplier). This service runs on each Windows component of an
Invoice Capture Center. It registers Invoice Capture Center in the SAP System Landscape Directory.

Backup and Restore


Backups of the Database
The ICC database contains PO and vendor data of all applications that typically are updated by daily downloads.
Therefore periodical backups of the database are not useful because they would become outdated within a few days.
The ICC database also contains learning data of Adaptive Recognition and Adaptive Classification. Typically training is
performed on a separate ICC system. In this case backup will be done by exporting the learning data to a file that is then
imported on the production system following a training session. If training is done on the production system, it is
recommended to regularly backup learning data using the Export Application command of the Customizing Client.
For further information refer to How to: Back Up a Database (SQL Server Management Studio) and How to: Restore a
Database Backup (SQL Server Management Studio).
The backup can occur while the databases are online and being used by the Recognition Server.
It is recommended to schedule backups and download operations for different times.
For further information on backup operations in SQL Server refer to Backup Overview (SQL Server).

Invoice Capture Center Administrator's Guide Technical Operations  49


Periodic Tasks
Monitoring the System
It is recommended to monitor your Invoice Capture Center system at least twice a day. The monitoring is done using the
ICC Admin Tool of the Vendor Invoice Management product in SAP ERP. Refer to the Vendor Invoice Management
Administration Guide, chapter “Working with the ICC Admin Tool” for further information about the ICC Admin Tool.

Deleting Trace Files


Normally, each trace file will be deleted automatically after ten days, but trace files reporting an error will not be deleted
automatically. So check the trace folder twice a week and eventually delete the trace files. You can do this while the
system is running.

Restricting the Growth of the ICC Database


The ICC database provides vendor master data, purchase order data, and recipient data for each invoice application that
is processed on the Recognition Server. In addition it contains learning data of applications that use Adaptive
Recognition or Adaptive Classification. For each invoice application there is a distinct set of database tables in the
database.
The recipient data are imported once for each invoice application during configuration time from a file.
Vendor master data and purchase order data are imported periodically by SAP Download Link Hot Spots. To optimize
download performance of daily downloads and to restrict growth of the Database, two SAP Download Hot Spots are
created when you create or import an application.
The first Hot Spot is configured for weekly full download of all data where all data in the database will be deleted before
the complete data are downloaded from SAP ERP restricting growth of the database.
The second Hot Spot is configured for daily delta-download excluding vendor data which reduces the volume of
download data and ensures that purchase order data are up-to-date. During a delta-download, only new data will be
downloaded and added to the respective database. In this case the database will grow continually because old data are not
deleted from the database.

Creating Backups of Learning Data


If training is performed on the production system, create a backup of the learning data on the Recognition Server daily
using the Export Application command of the Customizing Client for each affected application. If training is only
performed by the administrator at certain times, create a backup after each training session. You can create a backup
while the system is running.

50  Technical Operations Invoice Capture Center Administrator's Guide


Load Balancing
DOKuStar Load Manager
In an Invoice Capture Center system the actual data extraction from an invoice image and super-ordinate tasks, like
splitting of pages or export of results, are performed by a component named DOKuStar Professional.
The DOKuStar Load Manager enables load balancing of multiple instances of DOKuStar Professional Runtime within a
configured cluster of PCs and/or a multi-processor system. This provides a scalable performance, and a load balancing
capable of both multi-client and multi-application.
The DOKuStar Load Manager is a Windows service that runs on the Recognition Server and on each Recognition Node
of the Recognition Cluster. This Windows service is started automatically after installation and at every system start. The
Load Manager on the Recognition Server is the master; it controls the load balancing. This master receives job requests
and distributes these tasks over Cluster Nodes within the Recognition Cluster. Usually the Recognition Cluster contains
as many Cluster Nodes as processors. If the Recognition Server is a two-processor machine and if there are no further
Recognition Nodes, the Recognition Cluster will consist of two Cluster Nodes. If the Recognition Server is a two-
processor machine and if there are two additional two-processor Recognition Nodes, the Recognition Cluster will consist
of six Cluster Nodes.

A Cluster Node hosts a service of a specified type called the Service Type. For DOKuStar Professional there are services
for DOKuStar Extraction and DOKuStar Professional Runtime.
In order to process a job request, a Cluster Node usually must be initialized: for example a DOKuStar Professional
Runtime Cluster Node is initialized with the name of a DOKuStar Professional project file. There may be more complex
initializations on other service types. Such initialization data are stored within Profiles, which are also configured at the
master. A job refers only to this profile name instead of specifying all initialization data to carry out the task.
DOKuStar Professional automatically creates and configures the appropriate profiles at the Load Manager; you do not
need to configure them manually.
The Load Manager processes a job request by creating an Operation. The Load Manager keeps a list of waiting and
active operations and manages them until their execution has been completed.
The Jobs view and the Cluster view of the Customizing Client on the Recognition Server permit to monitor the Load
Manager. For information about monitoring refer to Monitoring.
The Cluster configuration is managed centrally at the Recognition Server. The Load Manager Configuration tool
(provided by the Customizing Client) permits to configure the Recognition Cluster.

Invoice Capture Center Administrator's Guide Technical Operations  51


Recognition Cluster Setup
After installation of the Recognition Server the Recognition Cluster is already pre-configured. It contains one Runtime
Node for each processor of the Recognition Server. If your Recognition Cluster only consists of the Recognition Server
and doesn’t contain any further Recognition Nodes the pre-configuration will be sufficient. If your Recognition Cluster
consists of a Recognition Server and several Recognition Nodes you will have to configure the Recognition Cluster
using the Load Manager Configuration tool.
To modify the cluster configuration of the Recognition Cluster, start the Customizing Tool on the Recognition Server.
Click Cluster Setup in the Tools group of the General tab. The Configuration dialog box of the DOKuStar
Load Manager opens:

In the explorer view on the left side yon can use the context menus of the different nodes, to add or delete computers or
to add or remove cluster nodes. If you select a node, its properties are shown in the right part of the dialog box.
During installation, a Runtime Node for the computer acting as server will be configured automatically. At runtime
additional Runtime Nodes for each processor on that computer will be added automatically. Therefore you need to
modify configuration only if you have installed Invoice Capture Center on additional Recognition Nodes.

52  Technical Operations Invoice Capture Center Administrator's Guide


Configuring Cluster Nodes
To configure the cluster, create a computer node for each additional Recognition Node using the command Add
Computer to Cluster in the context menu of the Cluster node:

The URL Editor dialog box opens:

Enter the computer name and confirm with OK. A new computer node appears for the respective computer.

Note: The context menu of the computer nodes permit to add Extraction as well as Runtime nodes. Whether
Extraction nodes are needed, depends on the DOKuStar Professional project. Within Invoice Capture Center,
Extraction nodes are not needed!

At each additional Recognition node add one Runtime node for each processor. In the context menu you can specify
the number of needed Runtime Nodes:

For a computer with two processors, the configuration should look as follows:

Invoice Capture Center Administrator's Guide Technical Operations  53


With a high number of processing nodes you will also need more RAM to be able to use them effectively or throughput
will decrease because of increased swapping. Typically, you will need about 1.5 GB per Runtime Node.
When a Runtime Node is selected, its properties are shown on the right side:

Property Description
Name Cannot be edited; comprised from the computer name, service type and instance number.
AgentUrl Specifies the URL of the agent service for this cluster node within the cluster. To edit the
computer name, select the parameter line and then click the ellipsis button at the end of the
line.
Description Only for logging purposes.
Exclusive Profiles Permits to restrict a cluster node to specified profiles.
Priority Specifies the priority of the cluster node. The Load Manager will prefer cluster nodes with
higher priority.

Within Invoice Capture Center you don’t need to modify any properties.

54  Technical Operations Invoice Capture Center Administrator's Guide


Properties of the Cluster Node
When you select the Cluster node, its properties are displayed on the right side:

Property Description
LookupInterval Specifies the time interval after which the Load Manager will check whether the cluster
node is still alive.
Profiles This property can be used to view the profiles. Select the property and click the ellipsis
button that appears at the end of the line to open the Profile dialog box.
Reset Cycle After the specified number of operations the cluster node will be reset automatically. This
can also be used to ensure that the project will be reloaded. This may be needed to activate
new versions of database files for an Extraction project-
Reset on failure If this property has the value True, the Load Manager will try to reset the cluster node in
case of failure.
Startup Time Specifies the maximum time the cluster node should need for start-up.

Invoice Capture Center Administrator's Guide Technical Operations  55


Increasing Throughput
The throughput of an Invoice Capture Center system can be increased by adding further Recognition Nodes to the
Recognition Cluster or by setting up further Recognition clusters.
The suitable configuration for an Invoice Capture Center system depends on different factors:
 number of invoices to be processed per hour,
 number of needed Validation stations,
 used hardware and system environment.

Increasing the Number of Recognition Nodes


To increase the number of Recognition Cluster Nodes, install further Recognition Nodes as described in Installation of a
Recognition Node. Add the respective computers to the Recognition Cluster of the Recognition Server. See Recognition
Cluster Setup for further information.

Increasing the Number of Recognition Clusters


If you have to process millions of documents per year and if you process several Invoice Center applications you can
setup several Recognition Clusters (= Recognition Server with Recognition Nodes). Each Recognition Cluster is
responsible for a distinct set of invoice applications. On each Recognition Server download and configure only this
distinct set of invoice applications.

56  Technical Operations Invoice Capture Center Administrator's Guide


High Availability
The most critical part of an Invoice Capture Center system is the ICC Dispatcher Infrastructure. The ICC Dispatcher
Infrastructure is part of the Vendor Invoice Management product in SAP ERP. Therefore the high availability of the ICC
Dispatcher Infrastructure is guaranteed.
The invoice application configuration data are stored in SAP ERP. Therefore the high availability of the application
configuration data is guaranteed.
The Validation Clients and the Recognition Nodes are not critical at all. So there is no failover scenario defined for them.
The high availability of the Recognition Server can be achieved with different scenarios.
For details about high availability in SAP ERP refer to the SAP Netweaver Technical Operations Manual
(http://help.sap.com/saphelp_nw04/Helpdata/EN/08/5741114ae611d1894f0000e829fbbd/frameset.htm).

Using more than one Recognition Cluster


If you process several invoice applications on two or more Recognition Clusters and if one Recognition Server fails, the
other Cluster will still work but it won’t automatically process the invoice applications of the failed server. To achieve
that the working Recognition Server will process the invoice applications of the failed one, the following steps have to be
performed:
 If the failed Recognition Server is supported by extra Recognition Node PCs, change the cluster configuration
of the working Recognition Server and add the Recognition Nodes of the failed Recognition Server to the
cluster configuration of the working one. The Recognition Nodes will then support the working Recognition
Server.
 Download the invoice applications of the failed Recognition Server from SAP ERP to the working Recognition
Server.
 Adjust the technical configuration (Hot Spots) for the downloaded applications on the working Recognition
Server.
 Restore the backups of the ART and ACT databases of the failed Recognition Server on the working
Recognition Server.
 Run the Download Hot Spots of the downloaded applications to import the vendor master data and purchase
order data to the database of the working Recognition Server.
 Import the recipient data for the downloaded applications.

Invoice Capture Center Administrator's Guide Technical Operations  57


Installing Two Recognition Servers in One Recognition
Cluster
You can install and configure two Recognition Servers in your Recognition Cluster and configure the Recognition
Cluster on both Servers. Start the Hot Spots only on one Recognition Server. Now the second Recognition Server
behaves as a normal Recognition Node. In case of failure of the first Recognition Server, simply perform the following
steps:
 Restore the backups of the ART and ACT databases of the failed Recognition Server on the new Recognition
Server.
 Run the Download Hot Spots to import the vendor master data and purchase order data to the database of the
new Recognition Server.
 Import the recipient data for the applications.
 Start the Hot Spots on the new Recognition Server.

Starting and Stopping


Starting and Stopping of Hot Spots on the Recognition
Server
On the Recognition Server there are two different Hot Spots for each invoice application running on the Server:
 Extraction Link Hot Spot
 Download Link Hot Spot
These Hot Spots are automatically created when an invoice application is created or downloaded from SAP ERP, but
they are not active. They have to be configured and activated manually.
When an Extraction Link Hot Spot is active (= running), the Recognition Server periodically asks the ICC Dispatcher
Infrastructure for recognition jobs.
When a Download Link Hot Spot is active, the Recognition Server periodically asks the ICC Dispatcher Infrastructure
for new download data (vendor master data and purchase order data) and imports the new download data to the local
database.
To start a Hot Spot, open the Customizing Client on the Recognition Server and click HotSpot in the Server group of
the General tab. Select the appropriate Hot Spot and click Start on the toolbar. Notice that the Hot Spot’s task won’t
be performed immediately, but according to the scheduling configuration of the Hot Spot. To immediately perform the
Hot Spot’s task click Run now on the toolbar.
To stop a Hot Spot, click Stop on the toolbar.

Note: If the Extraction Link Hot Spot is not running, the Recognition Server won’t ask for recognition jobs and won’t
deliver recognition data for Vendor Invoice Management!

58  Technical Operations Invoice Capture Center Administrator's Guide


Starting and Stopping of Services on the Recognition
Server and the Recognition Nodes
On the Invoice Capture Center participants the following Windows services are running:
 Recognition Server:
o DOKuStar HotSpot 3.0
o DOKuStar Load Manager 3.0
o DOKuStar Tracing
o Invoice Capture Center SLD Data Supplier
 Recognition Node:
o DOKuStar Load Manager 3.0
o DOKuStar Tracing
o Invoice Capture Center SLD Data Supplier
 Validation Client:
o DOKuStar Tracing
o Invoice Capture Center SLD Data Supplier
These services are started automatically after installation and at every system start. In case of failures it can be affordable
to stop, start, or restart a service. To start or stop an Invoice Capture Center service, use the Services window of the
Windows control panel.

Starting and Stopping of Customizing Client and


Validation Client
The Customizing Client and the Validation Client are normal Windows programs. They can be started by selecting the
appropriate items in the Invoice Capture Center program group or by double-clicking the respective shortcut on the
Windows desktop.
To exit an Invoice Capture Center client program, open the application menu and then click Exit ICC.
The Validation can be configured to open an application automatically during startup. Create a copy of the ICC
Validation icon on the Windows desktop, open its Properties dialog box, and add the parameter
/app:<application name> to the command line at the Target property.

Invoice Capture Center Administrator's Guide Technical Operations  59


Administering ICC Using the SAP Solution
Manager
Invoice Capture Center can be administered using the SAP Solution Manager. For details, refer to the SAP Solution
Manager documentation
(http://help.sap.com/saphelp_sm71_sp01/helpdata/en/45/51fbdbd4941803e10000000a1553f7/frameset.htm).

Providing Technical Configuration Information


To provide technical configuration information, open the start menu on the ICC Server, go to Invoice Capture
Center 7.0, and under Tools click Product Config Info Tool. An XML file ProductConfigInfo.xml
will be created in the data share DOKuStarDispatchData. Its tags contain the following information:

Tag Information
DataShare Path of the data share, i.e. \\<servername>\DOKuStarDispatchData
User User account used for the DOKuStar Load Manager 3.0 service
Cluster List of ClusterNode tags containing the names of all configured cluster nodes.
The first part of the name indicates the computer the cluster is running on.
Trace Path of the trace folder
SqlServer Contains:
Server tag with the computer name,
Instance tag with the instance name,
Database tag with the name of the database file,
User tag with the user name in case of SQL Server Authentication,
IntegratedSecurity tag has value true in case of Windows
Authentication, false in case of SQL Server Authentication.
Product Product name (Invoice Capture Center)
Version Version number (7.0)
Build Build number
ServicePack Installed service pack
OwnerName Name of the product owner (Open Text)

60  Technical Operations Invoice Capture Center Administrator's Guide


Troubleshooting
The invoices to be processed by the Recognition Server or to be validated by a Validation Client are managed by the ICC
Dispatcher Infrastructure in SAP ERP. The Recognition Server asks the ICC Dispatcher Infrastructure for recognition
jobs and delivers recognition results to the ICC Dispatcher Infrastructure. The Validation Client asks the ICC Dispatcher
Infrastructure for validation jobs and delivers the correction results to the ICC Dispatcher Infrastructure. The ICC
Dispatcher Infrastructure manages a list of all invoices and their current states.
This list can be monitored with the ICC Admin Tool in SAP ERP.
If the Recognition Server fails when processing an invoice image, the corresponding invoice entry in the ICC Dispatcher
Infrastructure will get the status 87 = Error in OCR Extraction Application. If the Validation
Client fails when correcting an invoice image, the corresponding invoice entry in the ICC Dispatcher Infrastructure will
get the status 89 = Error in OCR Validation Application.
In the ICC Admin Tool you can open an application log for each invoice entry. The application log of a job with error
status shows the more specific ICC error code. The following table gives an overview of the ICC error codes and the
appropriate actions to solve the problem:

Error Scenario ICC Error Code SAP ERP Error Message Administrator Action
87 Recognition Errors
Recognition service broken 001 Recognition service broken Check Recognition Server, restart
Recognition Services, retry
Empty image 002 Empty image Check image, delete job, and rescan
document
Unknown image format 003 Unknown image format Check image, delete job, and rescan
(Extraction) document
License error 004 License error (Extraction) Check license file, install license file,
order new license file, retry
Archive not accessible 005 Archive not accessible Check archive connection, set job back
(Recognition gets no image (Extraction) to retry
data)
Other 006 Other error (Extraction) Check error details for more information
89 Validation Errors
Unknown image format 003 Unknown image format Delete document
(Validation)
Archive not accessible 005 Archive not accessible Cancel and retry to get document data
(Validation gets no image (Validation)
and result files)
Other 006 Other error (Validation) Check error details for more information

Port Usage
The following table lists ports used by Invoice Capture Center:

Invoice Capture Center Administrator's Guide Technical Operations  61


Port # Protocol Component Computer
135 TCP+UDP SQL Server (ICC instance) Server
1033 TCP+UDP SQL Server (ICC instance) Server
1433 TCP+UDP SQL Server (ICC instance) Server
1434 TCP+UDP SQL Server (ICC instance) Server
3300+SID TCP Validation Client (depending on SAP ERP Validation Client
configuration)
3600+SID TCP Validation Client (depending on SAP ERP Validation Client
configuration)
4800+SID TCP Validation Client (depending on SAP ERP Validation Client
configuration)
4022 TCP+UDP SQL Server (ICC instance) Server
20304 TCP Tracing Server,
Recognition Nodes,
Validation Clients
23000 TCP Load Manager Service Server + Recognition
Nodes
23062 TCP Hot Spot Service “DOKuStar Hot Spot 3.0” Server
Instance- TCP SQL Server (ICC instance) Server
specific
Dynamic TCP DOKuStarClusterNode.exe (used only locally) Server + Recognition
port Nodes

To determine the instance-specific port number used by the SQL Server, start the SQL Server Configuration Manager.
Under SQL Server Network Configuration click Protocols for <instance>, click the protocol TCP/IP
with the right mouse button and then click Properties on the context menu. On the appearing TCP/IP Properties
dialog box click the IP Addresses tab. By default, a dynamic port number is used. Switch to static port number as
described in the online help of the Configuration Manager, and then use the specified static port number for
configuration of the Firewall.

Deleting an Application
To delete an application, click the Invoice Capture Center button in the top left corner of the Customizing Client
window. Then click Delete Application, and select the appropriate application in the sub-menu.
To delete the current application, first close the application.

Note: The application will be deleted locally on the Recognition Server. It won’t be deleted in SAP ERP. Refer to the
Vendor Invoice Management Administration Guide, chapter “Deleting an ICC application from SAP tables” for
information about deleting an application in SAP ERP.

62  Technical Operations Invoice Capture Center Administrator's Guide


Version Information
Customizing Client
The version information is shown in the About dialog box. In the Customizing Client on the Invoice Capture
Center menu, click About to open the About dialog box.

Validation Client
The version information is shown in the About dialog box. In the Validation Client on the Invoice Capture
Center menu, click About to open the About dialog box.

File System
You find the version information in the Invoice Capture Center installation folder ( C:\Program Files\Open
Text\Invoice Capture Center 7.0) in the file Invoice Capture Center Version.xml.

Registry
You find the version information in the registry key
HKEY LOCAL MACHINE/Software/Open Text/Invoice Capture Center/7.0 on Windows
x86 systems
or
HKEY LOCAL MACHINE/Software/ Wow6432Node/Open Text/Invoice Capture
Center/7.0 on Windows x64 systems.

SLD Registration
All Windows components of an Invoice Capture Center system register in the SAP System Landscape Directory. The
SLD registration is provided by a Windows service named Invoice Capture Center SLD Data Supplier that is running on
each component. The registration takes place automatically when the SLD Data Supplier Service starts and periodically
twice a day.
The Data Supplier has to be configured once after installation. To open the configuration dialog box, select Tools –
SLD Data Supplier in the Invoice Capture Center program group of the Windows start menu. Enter the NetWeaver
settings SLD host, port, user, and password. To test the configuration click Test collect and send SLD data.

Invoice Capture Center Administrator's Guide Technical Operations  63


Security

User Management and Authorization Concept


Invoice Capture Center has no own user management; it uses both Windows user management and SAP ERP user
management. It is not possible to define or change Windows users or SAP ERP users within Invoice Capture Center. The
needed user accounts have to be provided using the respective Windows and SAP ERP tools.

Windows Users
For further information about using the Windows user management refer e.g. to Best Practice Guide for Securing Active
Directory Installations or to the Windows Server 2003 Security guide (downloadable at
http://www.microsoft.com/downloads).

Validation Client Windows User


To start the Validation Client, the Validation user has to be logged in to Windows. The Windows user account of the
Validation user doesn’t need any special rights or restrictions. As soon as the Validation user starts the Validation Client,
the user has to log in to SAP ERP using a prepared SAP ERP user (see below). Without logging in to SAP, the
Validation user can't work at all.

Recognition Server / Recognition Node Windows User


The Load Manager services on the Recognition Server and on the Recognition Nodes are running using a domain user
account.
This account has to be prepared before installation and must be entered during installation. The Load Manager Service
user must have local administrator rights.

Customizing Client Windows User


To be able to start the Customizing Client, the Customizing Client user has to be logged in to Windows. The
Customizing Client user can either use the Load Manager Service user or another user. This other user has to be a local
administrator.
After starting the Customizing Client, the user can work locally. For communication with SAP ERP the user must log in
to SAP using a prepared SAP ERP user (see below).

Invoice Capture Center Administrator's Guide Security  65


ERP Users
Validation Client SAP ERP User
As soon as the Validation user has started the Validation Client, the user has to log in to SAP ERP using a prepared SAP
ERP user. This user needs the following authorizations:
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=RFC1
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=RFC_METADATA
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=SDIFRUNTIME
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=SYSU
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=SYST
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=SRFC
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=/OPT/VIM_ICC
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=/OPT/VIM_ICC_CFG

Working with Single Sign-On


Single Sign-On can be used for the Validation Client. If this feature is not yet supported by your current version and
service pack of VIM, you will have to apply a Correction Instruction.
Single Sign-On can’t be used if several SAP ERP users are associated with an SNC name. Otherwise an error message
"Login failed: System found several suitable SAP users for the SNC name of the caller." will occur. On the other hand, it
is still possible to use several clients for an SNC name.
To be able to work with Single Sign-On, you must specify a value in the Client box of the SAP Login dialog box.

Recognition Server / Recognition Node SAP ERP User


The Recognition Server communicates with the SAP ERP system to ask for recognition jobs, for download data, and for
learning data. Both the Recognition Server and the Recognition Nodes export results to SAP ERP. The Recognition
Server and the Recognition Node use a prepared SAP ERP user. This user needs the following authorizations:
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=RFC1
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=RFC_METADATA
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=SDIFRUNTIME
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=SYSU
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=SYST
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=SRFC
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=/OPT/VIM_ICC
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=/OPT/VIM_ICC_CFG
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=/OPT/VIM_ICC_DL
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=/OPT/VIM_ICC_TR
This SAP ERP user has to be defined in the technical configuration of the SAP Extraction Link Hot Spot and of the SAP
Download Link Hot Spot on the Recognition Server.

66  Security Invoice Capture Center Administrator's Guide


Customizing Client SAP ERP User
When the Customizing Client user wants to import an application configuration from SAP ERP or wants to export an
application configuration to SAP ERP, the user has to log in to SAP ERP using a prepared SAP ERP user. This user
needs the following authorizations:
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=RFC1
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=RFC_METADATA
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=SDIFRUNTIME
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=SYSU
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=SYST
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=SRFC
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=/OPT/VIM_ICC_CFG
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=/OPT/VIM_ICC_CFGA
The Customizing Client user interface includes a Validation user interface for testing purposes. When the Customizing
Client wants to open a recognition job from SAP ERP in this interface, the user has to log in using a prepared Validation
Client SAP ERP user (see above).

Training Module SAP ERP User


If you want to perform document training within the customizing client, you need the following authorizations:
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=RFC_METADATA
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=RFC1
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=SDIFRUNTIME
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=SYSU
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=SYST
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=SRFC
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=/OPT/VIM_ICC
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=/OPT/VIM_ICC_CFG
 S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=/OPT/VIM_ICC_TR

Note: This user type includes the authorizations for validation.

If you want to store images as training module SAP ERP user, you need two additional authorizations:
 S_TCODE:TCD=OAWD
 S_WFAR_OBJ:OAARCHIV=*,OAOBJEKTE=/OPT/V1001,OADOKUMENT=*,ACTVT01

Invoice Capture Center Administrator's Guide Security  67


Creating a New Role with RFC Authorizations in SAP
ERP for Recognition
The Recognition Server communicates with the SAP ERP system to ask for recognition jobs, for download data, and for
learning data. Both the Recognition Server and the Recognition Nodes export results to SAP ERP. The Recognition
Server and the Recognition Node use a prepared SAP ERP user. This SAP ERP user has to be defined in the technical
configuration of the SAP Extraction Link Hot Spot, of the SAP Download Link Hot Spot, and of the SAP Learning Link
Hot Spot on the Recognition Server.
This prepared user is a RFC user with user type Communications and logon language EN. In the following
example, this user is called ICC_EXTR.
To provide the needed authorizations for this user you have to create a new role with RFC authorizations in SAP.
To create a new role, use transaction /nPFCG. Enter the role name (e.g. ICC_EXTRACTION) and click Single
Role.

Now click the Authorizations tab. You will be asked to save the role. Save the role and proceed.

68  Security Invoice Capture Center Administrator's Guide


Click Change Authorization Data. The Choose Template pop-up is shown:

Click Do not select templates. On the Change role: Authorizations screen, click Manually to add the
needed RFC authorizations.

Enter the authorization object S_RFC and click OK.


Expand the role Authorization Objects as shown below.

Edit the fields Activity, Name of RFC to be protected, and Type of RFC object to be protected under
Authorization Check for RFC Access.

Invoice Capture Center Administrator's Guide Security  69


Click the pencil next to Activity. In the pop-up, select 16 Execute and click Save.

Click the pencil next to Name of RFC to be protected. In the pop-up enter the values as shown below and click
Save.

For current versions, add lines with values RFC1, RFC_METADATA, SDIFRUNTIME and SYSU.

70  Security Invoice Capture Center Administrator's Guide


Click the pencil next to Type of RFC object to be protected. In the pop-up, mark FUGR Function group,
and click Save.

When all field values have been entered, click Save in the Change role screen.

Invoice Capture Center Administrator's Guide Security  71


A pop-up will ask you to save the new profile:

Leave the default values and click Execute to continue.


If the profile has not been generated automatically, click Generate to generate the profile.
Click Back to return to the Change Roles screen. The Authorizations tab should now be green.
Click the User tab to assign your RFC user to this role. Enter the User ID of your RFC user.

Click User comparison.


The Compare Role User Master Record pop-up will appear. Click Complete comparison.

You will be asked to save the role again. Click OK.

72  Security Invoice Capture Center Administrator's Guide


When the comparison will have been finished, you will return to the Change Roles screen. Now the User tab
should be green.

Click the Back button twice to exit.


Now your RFC user has the needed authorizations.

Creating a New Role with RFC Authorizations in SAP


ERP for Validation
As soon as the Validation user has started the Validation Client, the user has to log in to SAP ERP using a prepared SAP
RFC user. To provide the afforded authorizations for this RFC user create a new role by following the instructions
described in Creating a New Role with RFC Authorizations in SAP ERP for Recognition.
The following values must be used for RFC to be protected.

For current versions, add lines with values RFC1, RFC_METADATA, SDIFRUNTIME and SYSU.

Invoice Capture Center Administrator's Guide Security  73


Creating a New Role with RFC Authorizations in SAP
ERP for Customizing
When the Customizing Client user wants to import an application configuration from SAP ERP or wants to export an
application configuration to SAP ERP, the user has to log in to SAP ERP using a prepared SAP RFC user. To provide
the afforded authorizations for this RFC user create a new role by following the instructions described in Creating a New
Role with RFC Authorizations in SAP ERP for Recognition.
The following values must be used for RFC to be protected.

For current versions, add lines with values RFC1, RFC_METADATA, SDIFRUNTIME and SYSU.
In SAP ERP versions newer then release 7.10 (EHP 4 and later), you can choose a finer granularity for your
authorizations (see SAP Note 460089). Instead of the authorizations for RFC function groups, you can use authorizations
for each single function module.
The following authorizations can be replaced:
1. S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=SYST
replace by:
S_RFC:ACTVT=16,RFC_TYPE=FUNC,RFC_NAME=RFCPING
2. S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=SRFC
replace by:
S_RFC:ACTVT=16,RFC_TYPE=FUNC,RFC_NAME=RFC_PING
3. S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=RFC1
replace by:
S_RFC:ACTVT=16,RFC_TYPE=FUNC,RFC_NAME=RFC_FUNCTION_SEARCH
S_RFC:ACTVT=16,RFC_TYPE=FUNC,RFC_NAME=RFC_GET_FUNCTION_INTERFACE
4. S_RFC:ACTVT=16,RFC_TYPE=FUGR,RFC_NAME=SDIFRUNTIME
replace by:
S_RFC:ACTVT=16,RFC_TYPE=FUNC,RFC_NAME=DDIF_FIELDINFO_GET
Replacing the other function group authorizations by the function module authorizations is possible, but it does not make
much sense, because nearly each function module within the groups is used.

74  Security Invoice Capture Center Administrator's Guide


Delivered Users
Invoice Capture Center does not deliver any users.

Emergency User Concept


Invoice Capture Center uses Windows user management. An Invoice Capture Center Customizing Client user is a
Windows administrator with administrator rights on all systems involved (including databases). All customizing tasks of
Invoice Capture Center can be done with certain Windows and database rights.
Therefore, an emergency user concept is not applicable. If a user is locked or disabled, a different Windows user,
provided with the needed rights, can carry ut the Invoice Capture Center customizing task.

Logging of Security Relevant Events


As Invoice Capture Center uses the Windows user management, the Windows features can be used to log security events
in the Windows event folder. In order to define which security events should be logged by Windows, you have to
implement an audit policy (see Windows Server 2003 Security guide (downloadable at
http://www.microsoft.com/downloads) for further information).
The security events occurring with respect to the databases also can be logged to the Windows event log. You just have
to change the settings of the SQL Server instance (see e.g. SQL Server 2005 Security Best Practices
(http://www.microsoft.com/sqlserver/2005/en/us/white-papers.aspx) for further information).
Security-relevant events on the SAP ERP side can be logged using SAP ERP means.

Invoice Capture Center Administrator's Guide Security  75


Logging of Application Configuration Data
Changes
The application configuration is developed locally on a PC using the Customizing Client and is then exported to the
Vendor Invoice Management system in SAP ERP. Each time the configuration changes have been finished, the
Customizing Client user uploads the configuration from the development PC to the SAP ERP development system, test
system, or production system. Then new configuration has to be downloaded from SAP ERP to the test or production
Recognition Server.
So you can log the application configuration changes on the SAP ERP side using SAP ERP means or you can log the
application configuration changes on the production Recognition Server side using Windows means.
On the Recognition Server, the application configuration can be found in the folder
%ALLUSERSPROFILE%\Application Data\Open Text\DOKuStar Dispatch\data\
config\RdaProject. Changes to this folder can be logged to the Windows event log. If you want to log the
changes, you have to enable object access auditing by defining auditing policy settings for the object access event
category on the Server (see Define or modify auditing policy settings for an event category for further information).
Then you have to apply appropriate auditing policy settings for the RdaProject folder (see Apply or Modify
Auditing Policy Settings for a Local File or Folder for further information).

Encryption of Communication Channels


Files and Databases
By default all network communication in a Windows network is protected by the standard Windows security protocol
IPSec. IPSec supports network-level peer authentication, data origin authentication, data integrity, encryption, and replay
protection (see IPSec for further information).
So, all network communication to file systems and databases in Invoice Capture Center is protected by IPSec.

SAP ERP
All participants of an Invoice Capture Center system communicate with the ICC Dispatcher Infrastructure in SAP ERP
by making RFC calls using the SAP .NET connector. You can use Secure Network Communication (SNC) to secure
RFC connections (see Encryption for RFC for further information).
SAP archives are accessed using HTTP or HTTPs – depending on the configuration of the archive.

76  Security Invoice Capture Center Administrator's Guide


Secure configuration
Invoice Capture Center provides a secure configuration by default:
 The application configuration is stored in SAP ERP.
 The application configuration can be downloaded to a Recognition Server using the Customizing Client. The
Customizing Client user has to log in to SAP ERP with a prepared SAP ERP user to download the application
configuration.
 The application configuration can be exported from a Recognition Server to SAP ERP using the Customizing
Client. The Customizing Client user has to log in to SAP ERP with a prepared SAP ERP user to upload the
application configuration.
 After the Validation Client user has logged in to SAP ERP, the application configuration is automatically
downloaded to the Validation Client.
 The Validation Client user has to log in to SAP ERP to get invoices to validate. Without logging in to SAP
ERP, the Validation Client user can't work at all.
 SAP ERP user management controls which invoices a Validation Client user has to validate.
 The Customizing Client user has to log in to SAP ERP to get invoices to validate for testing purposes. Without
logging in to SAP ERP, the Customizing Client user doesn’t get invoices to validate.
 The databases on the Recognition Server are private databases of the Recognition Cluster.
 The Validation Client user has no access to these databases.
 By default, only the Recognition Server Windows user and all local administrators have access to the databases.
Instead of using the administrators group, access to the databases can be restricted to users belonging to a user-
defined Windows group, for example “ICC users”.
 The heart of the Invoice Capture Center system, the ICC Dispatcher Infrastructure, is a SAP ERP component.
 The recognition jobs are managed by the ICC Dispatcher Infrastructure in SAP.

Invoice Capture Center Administrator's Guide Security  77


Responsibilities
In an Invoice Capture Center system, there are two types of real users: the Customizing Client user and the Validation
Client user.
The Customizing Client user has the following responsibilities:
 creating, testing, modifying application configurations,
 uploading finished configurations to SAP,
 downloading configurations from SAP to test or production Recognition Servers,
 setting technical configuration parameters,
 training of fields.
The user working at a Validation Client has the following responsibilities:
 validating and completing recognition results.
On the SAP side of an Invoice Capture Center system there are additional user types and responsibilities. Refer to the
Vendor Invoice Management Documentation for further information.

78  Security Invoice Capture Center Administrator's Guide


Glossary of Terms

ACT
Abbreviation of Adaptive Classification Technology

Adaptive Classification
An adaptive classification field does some sort of classification of a document. Normally the field value is one of a set of
terms. The term itself is not contained in the text of the document but can be determined by examining the entire contents
of the document. When configuring an adaptive classification field you will enter the set of valid terms for the field. At
runtime the adaptive classification field will be presented to the user with a combo box containing the list of terms. The
Recognition Server and the Recognition Nodes have to learn how to select the correct term for an adaptive classification
field from the set of terms. They need a sample for each kind of invoice and the correct term for each sample. These
samples and the according term have to be provided by training. During training, the term is selected manually by the
user. The document and the term are then stored in a learning database. If a similar document is processed later on,
adaptive classification will then find a matching sample in the learning database, and will then use the learned term.

Adaptive Recognition
The Recognition Server and the Recognition Nodes have to learn how to extract data for an adaptive recognition field.
They need a sample for each kind of invoice, e.g. for each vendor, and the position where the field can be extracted on
this kind of invoice. These samples (=templates) and the according position information have to be provided by training.
During training, the field is captured manually using the mouse. The layout of the document and the positions of the
respective field are then stored in a learning database. If a similar document is processed later on, adaptive recognition
will then find a matching sample in the learning database, and will then extract the field at the learned position.

Application
An invoice application bundles all settings that are needed to process invoices of a certain kind, e.g. the country in which
the recipients of the invoices reside, or which fields have to be extracted by which extraction method, or which fields
should be visible in the Validation Client.

ART
Abbreviation of Adaptive Recognition Technology

Cluster
See Recognition Cluster

Cluster Node
A Cluster Node is a component of a Recognition Cluster performing job processing. The Recognition Cluster contains
one Cluster Node for each processor of the Recognition Cluster. The DOKuStar Load Manager performs load balancing
and distributes recognition jobs among all Cluster Nodes of the Recognition Cluster. If there is only a Recognition
Server and no Recognition Nodes, there will be as many Cluster Nodes as processors in the Recognition Server machine.

Invoice Capture Center Administrator's Guide Glossary of Terms  79


If the Recognition Cluster consists of a Recognition Server and several Recognition Nodes, there will be as many Cluster
Nodes as processors in the Recognition Server machine and in all Recognition Node machines.

Content-Based Classification
See Adaptive Classification

Customizing
Invoice Capture Center provides various settings to adapt the system to customer needs. These customizing settings are
bundled in invoice applications. To customize Invoice Capture Center for customer needs you have to create invoice
applications.

Customizing Client
The Customizing Client is a Windows program that is used on the development system to customize Invoice Capture
Center, i.e. to create and configure applications. It is also used to test applications, to export them to a SAP ERP system,
and to import them on a test or production System. In addition, it is used to monitor and administer an Invoice Capture
Center system.

DOKuStar Professional
In an Invoice Capture Center system the actual data extraction from an invoice image and super-ordinate tasks, like
splitting of pages or export of results, are performed by a component named DOKuStar Professional.

DOKuStar Load Manager


Invoice Capture Center uses load balancing in order to distribute recognition jobs on several processors of the
Recognition Server and on additional Recognition Nodes. Load balancing is performed by the DOKuStar Load Manager.
During configuration of the Invoice Capture Center system, you configure the Load Manager on the Recognition Server
and create computer nodes for all additional Recognition Nodes and Runtime Nodes for all processors on each
Recognition Node.

Download Link Hot Spot


For each application, a separate SAP Download Link Hot Spot is created. This link is used to fetch download data such
as vendor master data or purchase order data from SAP ERP regularly according to the configuration of the Hot Spot.
During customizing you specify whether vendor master table, purchase order data, or also purchase order item data
should be downloaded.

Extraction Link Hot Spot


For each application, a separate SAP Extraction Link Hot Spot is created. This link is used to fetch recognition jobs from
SAP ERP regularly according to the configuration of the Hot Spot.

Hot Spot
The Recognition Server uses Hot Spots to fetch recognition jobs, download data, and learning data from its SAP ERP
system. A Hot Spot becomes active regularly after expiring of a specified interval or at a specified time on specified days
and then tries to fetch new data. Each application uses Hot Spots of two different types. A SAP Extraction Link is used
to fetch new recognition jobs from SAP ERP. A SAP Download Link is used to fetch new data, such as vendor master
data and purchase order data.

80  Glossary of Terms Invoice Capture Center Administrator's Guide


ICC
Abbreviation of Invoice Capture Center

ICC Dispatcher Infrastructure


The ICC Dispatcher Infrastructure is a component of Vendor Invoice Management in SAP ERP. This component
provides recognition jobs, learning data, download data, and validation jobs for the Invoice Capture Center components.

Invoice Application
See Application

Learning
While special, optimized methods are used to extract the standard fields, for adaptive recognition fields and adaptive
classification fields Invoice Capture Center has to learn how to fill the field values. The learning data have to be
provided by training. The Recognition Server keeps the learning data in its local database.

Link
Links are used to download recognition jobs and download data from SAP ERP. Links are implemented as so-called Hot
Spots. The Hot Spots used for the Links connect to SAP ERP regularly at specified times and fetch available jobs or
data.

Load Manager
See DOKuStar Load Manager

Master
On a Recognition Cluster, the DOKuStar Load Manager performs load balancing over all processors of the Server and
the Recognition Nodes. The Load Manager on the Server acts as Master. It transfers recognition jobs that are fetched
from SAP ERP regularly to free Cluster Nodes for processing.

Purchase Order Data


Invoice Capture Center is able to check the purchase order number and the invoice line items against downloaded data.
To use this feature, download of a purchase order table, and optionally additional purchase order item data have to be
enabled in the configuration of the SAP Download Link Hot Spot. In the application settings you can then specify that
PO numbers should be checked, or that line items should be checked against downloaded purchase order item data.

Recipient Data
Invoice Capture Center can derive the company code and target SAP ERP system automatically using recipient address
data found on the invoice. During application configuration, a database containing recipient data together with the
corresponding company codes and SAP ERP system names has to be supplied if automatic company code detection shall
be used.

Recognition
Recognition comprises the extraction of essential invoice data, such as date, amount, order number etc., from the scanned
invoices and the intelligent verification of these data. Recognition is performed by the Recognition Cluster.

Invoice Capture Center Administrator's Guide Glossary of Terms  81


Recognition Cluster
The Recognition Cluster is used for automatic data extraction. On smaller systems with low throughput it consists of the
Recognition Server - typically a computer with several processors - that also hosts the Customizing Client. On large
systems with high throughput, further Recognition Nodes can be added. The DOKuStar Load Manager performs load
balancing and distributes recognition jobs among all processors of the Server and the Recognition Nodes.

Recognition Job
Scanned documents are first stored in an archive (early archiving). Then a workflow is started that creates entries for the
documents in the ICC Dispatcher Infrastructure. The Recognition Server fetches available entries from Vendor Invoice
Management regularly, creates Recognition jobs, and transfers them to the input queue of the Load Manager. The Load
Manager assigns the first waiting recognition job to the next Cluster Node that becomes available. The Cluster Node
fetches the document from the archive, processes it, and transfers the result data to SAP ERP. The document is then
made available for Validation.

Recognition Node
For huge systems the Recognition Server can be supported by additional machines, installed as Recognition Nodes. The
DOKuStar Load Manager on the Recognition Server fetches jobs from SAP ERP using a SAP Extraction Link and
distributes the jobs among all processors of the Server and the different Recognition Nodes. By adding Recognition
Nodes, the processing power of the whole Recognition Cluster can be adapted to the required throughput.

Recognition Server
Document processing is performed on a Recognition Cluster consisting of a Recognition Server and possibly additional
Recognition Nodes. The Recognition Server comprises the Customizing Client that is used to customize, configure, and
monitor the Invoice Capture Center system. It also comprises the databases containing vendor master data, purchase
order data, and learning data. It also hosts the Hot Spots that are used to fetch jobs and download data from the SAP ERP
system regularly. The DOKuStar Load Manager of the Recognition Server is the master of the recognition cluster. It
contains the cluster configuration and distributes recognition jobs on the processors of the Server and additional
Recognition Nodes.

Requester Email Data


Invoice Capture Center tries to extract the requester email address on invoices. To be able to use this feature, the
expected email addresses have to be entered during configuration of an application.

Slave
On a Recognition Cluster, the DOKuStar Load Manager performs load balancing over all processors of the Server and
the Recognition Nodes. The Load Manager acts as a Slave on each Recognition Node. When a Runtime Node terminates
a job, it waits until the Load Manager on the Server that acts as Master supplies it with a new job.

Server
See Recognition Server

Standalone System
For development and testing of applications, all components of Invoice Capture Center can be installed on a standalone
system, i.e. on a single computer.

82  Glossary of Terms Invoice Capture Center Administrator's Guide


Template-Based Recognition
See Adaptive Classification

Training
To be able to extract adaptive recognition fields or adaptive classification fields automatically, some training has to be
performed first. Training can be performed manually by the user on the Customizing Client.

Validation
The extracted invoice data can be checked and eventually corrected or completed by a user. The validation facilities of
Invoice Capture Center are provided by the Validation Client program and also by the Customizing Client program.
Validation on the Customizing Client is only performed for developing and testing purposes.

Validation Client
The Validation Client is a Windows program that is used by a clerk to check and correct data that have been extracted
automatically and to capture additional fields that could not be read automatically. The corrected and completed data are
then passed on to Vendor Invoice Management.

Vendor Invoice Management


Vendor Invoice Management is a complete application for optimizing vendor invoice processes in SAP ERP
applications, along with built-in reporting and analytics to continuously improve processes.

Vendor Master Data


Using the SAP Download Link Hot Spot, Invoice Capture Center periodically loads vendor master data from SAP ERP
to its local database. Invoice Capture Center compares the vendor information that has been extracted from an invoice
image with vendor master data downloaded from SAP to identify the vendor id.

VIM
Abbreviation of Vendor Invoice Management

Invoice Capture Center Administrator's Guide Glossary of Terms  83


Hot Spots 28
Jobs 29
Recognition Cluster 30

Index P
Port Usage 61

R
A
Recognition Node 5, 25, 27
Application Adding Recognition Nodes 56
Configuration Data 47, 76 Configuring 51, 52, 53
Deleting 62 Installation 18
Upgrading 20 Port Usage 61
Archive Server 19 Requirements 9
Hardware 9
C Software 10
Cache 9
Configuration Data 46 S
Databases 48 SAP ERP
Location 46 Configuration Data 47
Configuring SAP GUI 19
H Preparing SAP ERP Login Data 14
RFC Authorizations 65
Hardware Requirements 9
SAP Solution Manager 60
High Availability 57, 58
SLD Registration 63
Hot Spots 7
Tracing 44
Files 46
User Management and Authorization 65
Monitoring 28
Secure Configuration 77
Starting and Stopping 58
Security 65
Trace Files 36
Encryption 76
Logging 75, 76
I Responsibilities 78
Secure Configuration 77
Installing 9
User Management and Authorization Concept 65
Planning 9
Services 48
Preparing 14
DOKuStar Load Manager 47, 51, 65
Recognition Node 18
Port Usage 61
Server 17
SLD Data Supplier 63
Stand-alone System 25
Starting and Stopping 58
Two Recognition Servers 58
Single Sign-On 66
Upgrading Applications 20
Software Requirements 10
Validation Client 17
SQL Server
Installing 15
L Port Usage 61
Load Manager 51 Starting and Stopping 58
Clients 59
Configuration 19, 52
Hot Spots 58
Configuration Files 46
Services 59
Location of Temporary Files 47
Logging 31, 76
T
M Trace Viewer 37
Filter Dialog 43
Monitoring 28

Invoice Capture Center Administrator's Guide Index  85


Find Dialog 44
Menus 38, 41
Messages List View 40
Toolbar 41
Tracing 31
Configuration 33, 36, 46
Format of Traces 36
Root Path 32
SAP Format Tracing 44
Trace Files 36
Trace Levels 33
Trace Listeners 31
Troubleshooting 61

V
Validation Client 25, 27
Configuring the Windows Firewall 19
Installing 17
RFC Authorizations 68, 73, 74
Single Sign-On 66
Starting and Stopping 59
Testing 12, 16
Trace Files 36
Wiindows User 65
Version Information 63

W
Windows Firewall 19

86  Index Invoice Capture Center Administrator's Guide