White Paper System Architecture

DocuWare Version 7.4

Copyright DocuWare GmbH May 2021

Copyright © 2021 DocuWare GmbH
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The content of this guide is furnished for informational use only, is subject to change
without notice, and should not be construed as a commitment by DocuWare GmbH.
DocuWare GmbH assumes no responsibility or liability for any errors or inaccuracies that
may appear in the informational content contained in this guide.

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Contents
1. Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
1.1 Change History. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
1.2 Objectives of this White Paper. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
1.3 Document management and workflow automation with DocuWare. . . . . . . . . . . . . . 6
1.4 Fit for the Future Thanks to Cutting-Edge Technology. . . . . . . . . . . . . . . . . . . . . . . . . . 7
1.5 Three-tier Architecture. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
1.6 System Requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
1.7 Using Client Licenses. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
1.8 Using Server Licenses. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

2. Client Applications. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
2.1 Web-Based Applications. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
2.2 Windows-Based Applications. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
2.3 Mobile Clients. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

3. Frontend Services. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
3.1 Platform Service and Web Client. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
3.2 Settings Service. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
3.3 Identity Service. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

4. Backend Servers. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
4.1 Authentication Server. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
4.2 Settings Service. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
4.3 Background Process Service. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
4.4 Workflow Server. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
4.5 Administrative Applications and Services. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30

5. Databases, Storage Locations, and Fulltext Index. . . . . . . . . . . . . . . . . . . . . . . . . . . 32

5.1 Databases. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
5.2 Supported Storage Locations for File Cabinets and Document Trays. . . . . . . . . . . . 35
5.3 Fulltext Index. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37

6. Architecture of the File Cabinets. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38

6.1 The "Disk" Concept. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
6.2 Document Structure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
6.3 File Structure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
6.4 Fulltext Functionality. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
6.5 Special Characteristics of Document Trays. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
6.6 Export-Import Synchronization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
6.7 Autonomous File Cabinets. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46

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 7. Communication Technologies. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
7.1 Protocols. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
7.2 Client-Server Communication. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
7.3 Server-Server Communication. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
7.4 Message Bus. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49

8. External access . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51

9. Additional components. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
9.1 Intelligent Indexing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
9.2 Cloud Service: Signature Service. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52

10. Connectors. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
10.1 Connect to SAP, Version 2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
10.2 Connect to SharePoint. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
10.3 Connect to DATEV. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54

11. Integration. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55

12. Setup. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
12.1 Server Setup. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
12.2 Client Setup and DocuWare Update. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57

13. Scalability. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
13.1 Scaling Forms of the System. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
13.2 Data Management. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
13.3 Load Balancing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
13.4 Availability and Fail-safety. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64

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 Introduction

1 Introduction

1.1 Change History

The following changes have been made compared with the previous System Architecture
White Paper for DocuWare Version 7.3:

Subject Section

New sections Identity Service Frontend Services

Frontend Services > Background

Email notifications
Process Service

Client Applications > Web-based

Organization Settings >
Client Applications > DocuWare
Security Settings
Configuration

Client Applications > Web-based

Preconfigured Solutions Client Applications > DocuWare
Configuration

Client applications > Windows-

Modified Added: Export and import of
based applications > Administrative
sections workflows
applications > Workflow Designer

Deleted sections Notification Server Backend Services

Previous versions:
You can also download the System Architecture White Paper for previous versions of
DocuWare:
For DocuWare Version 7.3
For DocuWare Version 7.2
For DocuWare Version 7.1
For DocuWare Version 7

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 Introduction

1.2 Objectives of this White Paper

This White Paper explains the whole architecture of the DocuWare system. You will find out
which components and technologies DocuWare uses and how they interact in an on-
premise system.
The paper is aimed at readers with an interest in technology, particularly technical staff at
clients, sales partners, and consulting firms, as well as specialist media. It assumes a certain
level of technical knowledge about the structure of modern software applications, ideally
of document management systems. Detailed knowledge of current or previous DocuWare
systems is not required.
The aim of the White Paper is to enable you to form a technologically well-founded
opinion about the DocuWare system and to assess its capability in terms of flexibility,
scalability and performance when handling current requirements.
If you would like to know more about other technical aspects of DocuWare, go to the
DocuWare Knowledge Center to find additional White Papers on Integration, Security,
Intelligent Indexing, and DocuWare Cloud.

1.3 Document management and workflow automation with

DocuWare
DocuWare is a modern document management system for professional enterprise content
management. DocuWare lets you access your documents and the important information
they contain anytime, anyplace.
The DocuWare system architecture stands out due to full multi-client capability, its service-
oriented structure and cutting-edge technology for web and mobile applications.
DocuWare is based on the normal office environment and familiar working procedures.
Documents are first gathered in electronic document trays, a little like the in-tray on your
desk. Then you edit the documents as usual – you sort them, clip them together if
necessary, and add notes, comments, signatures, or stamps.
From the document trays, the documents are then stored in digital file cabinets. The file
cabinets form what is known as the document pool. It is up to you how many file cabinets
to create and how they are organized – you decide what makes sense for your company.
Using the highly efficient index functions, all types of documents are always filed in the
right place and displayed on screen with a few clicks.
These and many other functions such as workflow management make DocuWare a cutting-
edge, highly capable software that helps you optimize your business processes in a
targeted way. The comprehensive collection of DocuWare videos tells you all about the
different applications.
DocuWare is sold according to a licensing model that offers a basic solution and add-on
solutions. Function bundles can be bought later as licensed modules. For historical
reasons, some of the module names differ from the names of the related technical
components.

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 Introduction

1.4 Fit for the Future Thanks to Cutting-Edge Technology

The world of IT is undergoing a rapid transformation, with new and varied types of IT
devices and technologies emerging nearly every day. Against this backdrop, DocuWare
uses the latest technologies in programming and creating the architecture of its document
management system, and offers its customers software that still will meet the varied user
requirements of tomorrow.
To work with DocuWare you just need an internet-capable device with a browser, because
the DocuWare Web Client works entirely on a browser. DocuWare can therefore be used
across all platforms, because the system can be called up on Windows, Mac OS and Linux
devices via the browser. Only in a few cases are local Windows applications needed; these
are brought together in DocuWare Desktop Apps, which can easily be managed centrally.
The DocuWare Web Client is based on the latest HTML5 technology and thus supports all
standard browsers, even for highly complex operating scenarios.
DocuWare works with open communication standards and uses HTTP/HTTPS between
almost all components, mostly either based on the REST (Representational State Transfer)
or SOAP (Simple Object Access Protocol) technology.
The mobile applications of DocuWare are available in iOS and Android, and thus on all key
platforms. To install DocuWare, the latest Windows versions are always supported and for
the databases, all key server technology in a large number of versions, namely MS SQL,
MySQL, and Oracle.
And finally, DocuWare is not only available as an on-premise version, but can be used as a
cloud solution with DocuWare Cloud without its own server being installed. This White
Paper describes the on-premise version.

1.5 Three-tier Architecture

The DocuWare Server architecture is divided into three tiers:
1. Frontend services
A part of the application logic is found in several services of the frontend role.
2. Backend services
Another part of the application logic is found in several services of the backend role.
3. Infrastructure (storage locations, databases, fulltext functionality, message bus)
In principle, several servers share common resources on one or more central
background servers.
The frontend and backend roles are installed with DocuWare setup.
The three layers of the DocuWare system architecture communicate with the client
applications via the frontend services. All dialog-oriented functions run in the browsers of
the workstation systems and mobile devices used in the client applications.

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 Introduction

The term server here refers to a software service, not to a piece of hardware. A DocuWare
system therefore invariably consists of several (software) servers, all of which can – as a
minimal solution – simultaneously run on one hardware system.

1.6 System Requirements

DocuWare relies on sustainable technologies and the greatest possible compatibility
between the system and a wide range of different hardware and software components
from other manufacturers. System requirements are therefore adapted with each new
version. This section gives you an initial overview; for the most recent details, see "System
Requirements" in the DocuWare Knowledge Center.
Web Client
DocuWare supports the latest versions of Internet Explorer, Firefox, Chrome and Edge
Chromium browsers.
DocuWare servers
The servers of the DocuWare system are implemented on the basis of Microsoft's .NET
architecture. They can therefore be run on all platforms that support a common version of
Windows.
Infrastructure components
For databases, DocuWare supports the latest versions of Microsoft SQL Server, Oracle, and
MySQL.
Terminal Server
The Microsoft Terminal Server and Citrix Metaframe can be used as extensions of the
DocuWare system. However, the DocuWare Desktop Apps are not intended for use on a
terminal server by default. In order to be able to use the Desktop Apps remotely on a
terminal server, you have to make manual settings for each terminal server. You can find
more information at [Link]
KBA-35554
Use of the DocuWare Desktop Apps as remote apps is not supported.

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 Introduction

1.7 Using Client Licenses

DocuWare offers two types of client licenses: named client licenses and concurrent
licenses.
New or newly enabled users automatically receive a free named client license. This is
independent of how the user account was created – whether manually, via the platform
API, via user synchronization or otherwise. If the user is deleted or disabled, the named
client license can be assigned to other users again.
If you use both named client licenses converted from concurrent licenses and directly
purchased named client licenses, the named client licenses converted from the concurrent
licenses are used first.
A client license – regardless of whether it is named or concurrent – lets you use an instance
of Platform, Web Client, Connect to Outlook, Windows Explorer Client, and Mobile at the
same time. The following overview shows which DocuWare modules use these five
components:

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 Introduction

Windows
Web Connect
DocuWare Module Platform Explorer Mobile
Client* to Outlook
Client

Web Client, Forms, URL

Integration, Smart Search,
X
Quick Search for Connect to
Outlook

Connect to Outlook X

Windows Explorer Client X

Mobile X

PaperScan
X
(for access to DocuWare)

SDK X

Connect to DATEV X

Connect to SharePoint X

Connect to SAP Version 2 X

* Per browser on one device. In terms of the license requirement, whether a tab within a
browser is classified as a separate browser varies depending on the browser.
The following applications do not require any client license:
• Desktop Apps (Printer, Import, Scan)
• DocuWare Administration
• DocuWare Configuration
• Workflow Designer
• Web Client ReadOnly
• Additional function "Public form" (web forms in general, however, require client
licenses)
Examples for the client licenses requirement
1. Parallel work with Web Client, DocuWare Configuration, DocuWare Administration,
Connect to Outlook, and DocuWare Mobile => 1 client license
2. Web Client used in parallel in two different browsers => 2 client licenses
3. Web Client used in parallel with Windows Explorer Client on one device => 1 client
license
4. Web Client used in parallel with Windows Explorer Client on two devices => 2 client
licenses

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 Introduction

5. DocuWare Configuration used in parallel in two browsers => 0 client licenses

6. Web Client with the same user used in parallel for a public form => 1 client license
7. Mobile used in parallel on two different devices => 2 client licenses
Once a user has logged off, the client license will remain open for a further two minutes. If
the user closes the Web Client or the Platform just by closing the browser, but does not
explicitly log off, the license will also stay open for two minutes. Only if the browser is
closed unexpectedly will the license stay open for longer periods of time in certain
circumstances.

1.8 Using Server Licenses

For all servers there is a single license with the name "DocuWare Server."
• In the organization area of DocuWare Administration > General > Licenses you can
only see the total number of server licenses you have purchased:
- 1x Business: 1 server
- 1x Professional: 1 server
- 2x Professional: 2 servers
- 1x Enterprise: 2 servers
- 2x Enterprise: 4 servers
• You may install each DocuWare server role once for each server license (frontend
services, backend services, fulltext service).
- 1x Business: 1x frontend services, 1x backend services, 1x fulltext services
- 1x Professional: 1x frontend services, 1x backend services, 1x fulltext services
- 2x Professional: 2x frontend services, 2x backend services, 2x fulltext services
- 1x Enterprise: 2x frontend services, 2x backend services, 2x fulltext services
- 2x Enterprise: 4x frontend services, 4x backend services, 4x fulltext services

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 Client Applications

2 Client Applications
The DocuWare system comprises three types of client applications:
• Web-based applications
• Windows-based applications
• Applications for mobile end devices
The following sections provide information about components in these various areas.
Applications for multifunction printers are implemented as connectors at web services
level.

2.1 Web-Based Applications

The web-based applications include DocuWare Web Client and DocuWare Configuration.
The following sections provide information about their system components.
WEB CLIENT
The Web Client is at the heart of DocuWare's client applications from a user's point of
view. It can be used to access your DocuWare system online without having to install a
client application.
The Web Client offers all the possibilities of modern document management. You can
store and search the documents in a file cabinet (among other places) and display and edit
them in an HTML5 viewer. You can also perform many of the same actions as with paper
storage, such as combining several documents into a single file.
The Web Client's feature set has more functions – such as the workflow task list or the Task
Manager – depending on the modules, which can be licensed in addition to the standard
DocuWare features.
Web Client is based on HTML5 technology. The component is integrated in the Platform
Service (page 23), which it uses to communicate with backend servers.
Web Client communicates with the DocuWare Desktop Apps components using the
Desktop Service.
CONFIGURATION
DocuWare Configuration consolidates the configuration interfaces of various applications
that are not managed in the DocuWare Administration within a DocuWare system. The
applications are almost entirely based on HTML5, with only a few components still based
on Silverlight technology, which will soon no longer be used in the system.
The DocuWare Configuration technically consists of two components: the user interface
with the application components and the Settings Service (page 24) for saving the
settings.
The following sections show the individual components with the most important settings
they deal with. You can find more information on the applications themselves in the
Windows-based Applications (page 17) section.

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 Client Applications

Configuration: Organization Settings

Here you can make general settings for online editing of documents with Microsoft Office
Online, for diagnostics and feedback, as well as for time and language. Furthermore, you
define security settings for login, passwords, single sign-on (SSO) and the restriction of file
types.
Configuration: User Management
With this component you manage all users and rights within your DocuWare organization,
including the functions:
• Create users and equip them with rights, dialogs, and stamps
• Modify user rights
• Unblock users blocked by failed login attempts
• Change password for users or send corresponding email to users
• Delete users
Configuration: Audit Reports
With this component, you log the events within your file cabinet.
All audit reports can be downloaded in CSV format and used for evaluations in many
programs.
Example of events logged at each level, including date, time, and user:
Document: Store, index change with old and new value, display, print, send by email,
annotate, etc.
Configuration: Mail Services
For your email services, you can set up connections to IMAP and Exchange servers here.
Configuration: Text and Barcode Recognition
Here you create and manage configurations for Optical Character Recognition (OCR) and
Optical Barcode Recognition (OBR) with the settings for speed, accuracy, languages,
barcode types and permissions.
Con iguration: Preconfigured Solutions
With this component, you create and import Preconfigured Solutions from DocuWare that
contain all the necessary file cabinets, workflows, forms and settings, for example for
invoice processing.
Configuration: Document Processing
With this component you create and edit configurations for processing your documents.
These can be set up for different sources: scanner, folder, and DocuWare Printer.
In a configuration, you set the target file cabinet for the documents, make settings for
indexing, and define details such as adding a metadata file or electronic signature. To
store documents in a file cabinet, you need at least one processing configuration. Without
a processing configuration, you can only store documents in your default basket, but not in
a file cabinet.
In order to store documents in DocuWare using a scanner, from a folder or with a printer,
you need the DocuWare Desktop Apps.

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 Client Applications

Import with metadata

In addition, DocuWare provides the ability to import files with XML metadata in the
following formats:

Format Description

The dwcontrol format is used to store files that have been generated
DWCONTROL
with DocuWare Printer using dwcontrol commands in DocuWare.

The eCopy format is used to store files that have been generated by
eCopy Canon multifunction printers in DocuWare (eCopy ShareScan V5
SP4 / Quick Connect).

The GSNX format is used to store files that have been generated by
Ricoh Global Scan NX
Global Scan NX-compatible multifunction printers from Ricoh in
(GSNX)
DocuWare.

The HP format is used to store files that have been generated by

Hewlett-Packard (HP) multifunction printers in DocuWare. HP Digital
Hewlett-Packard (HP)
Sending software is required to generate XML meta data on HP
devices.

The Kyocera format is used to store files that have been generated
Kyocera
by Kyocera multifunction printers in DocuWare.

The Toshiba format is used to store files that have been generated
Toshiba
by Toshiba multifunction printers in DocuWare.

The PlanetPress format is used to store files that have been

PlanetPress
generated by Objectif Lune software solutions in DocuWare.

If you have set up several connections while working in the document processing
configuration area, the active connection changes to the system currently in use under
certain conditions. For example, a user has two connections in the Desktop Apps: one for
system X and another for system Y. The connection for system X is the active one. If the
user logs on to system Y and opens document processing, the connection automatically
changes to system Y as soon as he opens an existing or new configuration that contains an
example document.
Configuration: DocuWare Forms
With this component you create and manage configurations for Web Forms and Merge
Forms with the settings: Select and assemble form elements; Submission details; Store as
form or template; Select store dialog; Indexing; Permissions. You can integrate Web Forms
into the document workflow with DocuWare.
Configuration: Connect to Outlook
In this component you create and manage storage configurations for the Connect to
Outlook application with the settings, among others: Determine archiving type, enable
automatic invoice detection, use information from XML invoices in email attachments for

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 Client Applications

indexing, define store target, assign permissions. You can also create and manage quick
search configurations with the settings: Set quick search details, determine search type,
define search results and criteria, access DocuWare lists (Task Manager), assign
permissions.
Configuration: Importing emails in general
Here you create and manage configurations for the import of emails with the following
settings, among others: define storage destination, assign permissions, link email accounts
with storage configuration, determine mail server setting automatically.
Configuration: Indexing Assistance
This is where you create and manage select lists and field masks.
Select lists
Using this component you can create fixed select lists, assign fields to them and import
fixed select lists. Furthermore, you can create dynamic select lists and assign fields to them
as well.
Select lists in DocuWare Configuration have a limited scope of functions compared to
DocuWare Administration and are provided as an editing option in addition to DocuWare
Administration.
Field masks
Here you add individual field masks to the fields from the File Cabinets area. At each
position of the index word, the user can only enter those characters that are specified in
the mask definition.
Configuration: Intelligent Indexing
Here you configure DocuWare's Intelligent Indexing service. Intelligent Indexing classifies
documents and automatically searches for relevant index terms.
The component is based on HTML5 technology.
Configuration: Autoindex
With this component you can ensure that DocuWare also uses the metadata and search
words that already exist in other existing systems for archiving documents. Autoindex
transfers the data and adds it to the file cabinet as index entries.
The new index words are taken from an external data source. The external data source can
be a DocuWare file cabinet, a database (table, view or SQL command) or a file. A "match
code" is used to assign (match) the data records in the file cabinet and the external data
source to one another.
Autoindex jobs can be started in different ways: manually, according to a schedule, when
storing a new document or modifying an already stored document, or using an indexing
file (e.g. CRM). Contents of database connections can also be filtered via SQL.
Configuration: File Cabinets
Here you can create and manage file cabinets with different settings.

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 Client Applications

Index data can be validated with a separate web service. A standardized REST API lets you
ensure both the plausibility of index entries and the correct spelling of index data. Other
data sources available within the company, such as CRMs, can be used for the validation.
Configuration: Document Relations
To set up document relations, you can create links here that will be used in the result list
and in the viewer.
Configuration: Deletion Policy
DocuWare lets you delete selected documents after a specific time period – for example
once the legally required retention period is up. Here you set up rules for deletion
processes.
Configuration: Synchronisation
In this component, you manage the data exchange of various DocuWare systems with
settings for mirroring and synchronizing data. It is particularly suited for data reconciliation
of local organizations and Cloud organizations, as well as within hybrid Cloud systems:
Documents can be mirrored or synchronized from the DocuWare Cloud, for example, into
an on-premise system.
This synchronization option functions on the principle that all file cabinets involved are
equivalent.
You can find more information in the section Export-Import-Synchronization (page 45).
Configuration: Transfer
With this component large volumes of documents can be moved or copied from one on-
premises system to another file cabinet. The target file cabinet can be in another
organization or DocuWare system.
As well as the index entries, the system entries for a document and the fulltext information
are included in the transfer.
Configuration: Email Notifications
In this component you create and manage configurations for email notifications with the
settings: Specify file cabinet, determine triggers for events, define email properties, assign
permissions, set up scheduling.
Configuration: Request
With this component you create and manage configurations for the DocuWare Request
application with the settings, among others: Determine storage locations, set filters,
prepare exported Request file cabinet for electronic signing, import documents from
Request file cabinet into existing file cabinet, assign permissions.
Configuration: Stamps
Use this component to create and manage configurations for stamps. You can use a stamp
to place information on a document without changing the content. Depending on the
configuration, the stamp can modify or add index entries to pass documents through the
process.

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 Client Applications

You no longer need DocuWare Administration to set up stamps. When you update to
DocuWare Version 7.2 or higher, all existing stamps configured in DocuWare
Administration are transferred. Stamps that have been set up can still be used in the
DocuWare Client.
Configuration: Document Trays
This is where you create and manage document trays with the following settings: Define
capacity, determine connection to file cabinet, enable Intelligent Indexing, assign
permissions, create and edit document tray storage locations (Administrator).
Configuration: Smart Connect
In this component you create and manage configurations for the DocuWare Smart
Connect application. It reads content from the user interface of any application of your
choice, and transfers this to DocuWare as a search or index entry. In a Smart Connect
configuration, you determine, among other things, which content should be read from
which applications and where the extracted content will be used in DocuWare: as search
words in a search dialog (Smart Search, Highlight Search) or as index words in a store
dialog or info box (Smart Index).
Smart Connect is made available by DocuWare Desktop Apps and uses its connections.
Configuration: Webservices
Here you centrally store and manage all web services that you would like to integrate into
DocuWare. The stored web services are made available to you in selection lists in the
module configurations that work with web services: for workflows (SOAP) in the Workflow
Designer and for validations (REST) in the file cabinet configuration.

2.2 Windows-Based Applications

Windows-based applications in the DocuWare system include administrative applications
and services, the Client Setup and DocuWare Update, all Windows-based user
applications, as well as DocuWare Request. The following sections provide information
about their system components.
USER APPLICATIONS (WINDOWS)
User applications comprise all applications that run under Windows on a user's client
computer. An important portion of these are summarized under the DocuWare Desktop
Apps.
DocuWare Desktop Apps
The DocuWare Desktop Apps component runs in the Windows notification field (tray area).
It acts as a platform under which the following client components and functions are
consolidated:
• Scan
• Import
• Printer
• Smart Connect
• Edit & Send

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 Client Applications

The entry data for these applications and functions are sent to the Platform Service and,
respectively, to the Web Client (Smart Connect).
The DocuWare connections between the client and the DocuWare system are also
established here. The connections can be used by DocuWare Desktop Apps as well as by
the Connect to Outlook and Windows Explorer Client components.
Individual DocuWare Desktop Apps access the Platform Service using the .NET API
platform.

The processes of the DocuWare Desktop Apps and other components that use these
processes
DocuWare Desktop Apps are installed on the client PC via the DocuWare tray menu or
directly from the Web Client.
Desktop Apps: Scan
With DocuWare Scan, the user can scan paper documents, import the document scans in
DocuWare, and store them in the PDF/A long-term archiving format in his or her default
document tray or in a DocuWare file cabinet. Any scanner installed on the user's PC (which
has TWAIN and WIA drivers) can be used for this.
The use defines the settings for DocuWare Scan directly in the client application. In order
to be able to store the documents in another DocuWare file cabinet, at least one
processing configuration must have also been created in the DocuWare Configuration.
DocuWare Scan is a visual component by DocuWare Desktop Apps, which provides it as
standard.
Desktop Apps: Import
DocuWare Import monitors selected directories in the file system or network and moves
the data stored there automatically to DocuWare document trays or file cabinets.
Processing documents when importing, for example indexing, can also be controlled
using configurations, which are determined in the DocuWare Configuration in the "Import
Configurations" area.
The user or administrator created the configurations for DocuWare Import in the
DocuWare Configuration in the Import Configurations area.

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 Client Applications

DocuWare Import is a visual component by DocuWare Desktop Apps, which provides it as

standard.
Desktop Apps: Printer
DocuWare Printer allows you to archive documents in DocuWare using the print function
of your third-party applications. The documents can also be printed out on paper on a
printer. Processing documents when printing, for example indexing, can also be controlled
using configurations, which are determined in the DocuWare Configuration in the
DocuWare Printer area.
The component technically consists of a virtual print driver that generates PDFs. DocuWare
Printer only appears in the printer list of third-party applications and is not a visual
component by DocuWare Desktop Apps.
Desktop Apps: Desktop Service
Desktop Service is required for operating DocuWare Desktop Apps. It runs once on each
computer connected to a DocuWare installation and establishes the connection between
DocuWare Desktop Apps and DocuWare servers. The service serves as host for various
local services and allows them to access interfaces.
The Desktop Service retrieves the processing configurations for importing, processing,
and storing documents in DocuWare from the Settings Service.
The Desktop Service transfers the documents to the Platform Service (page 23) for
storage in the file cabinet. The fulltext generated by the DocuWare Desktop Apps is also
stored at the storage location by the Desktop Server using the Platform Service.
The component is installed with the setup.
Desktop Apps: Smart Connect
You can use DocuWare Smart Connect to connect any Windows application you like with
the DocuWare file cabinet without any programming. It helps the user search for
documents in DocuWare and index documents from third-party applications. To do this,
Smart Connect reads content from the user interface of any application of your choice, and
transfers this to DocuWare as a search or index entry.
When you use Smart Connect, a previously defined configuration is always run in the
DocuWare Configuration.
Smart Connect is a visual plug-in by DocuWare Desktop Apps.
Desktop Apps: Edit & Send
The Edit & Send application allows DocuWare Web Client to open and edit documents
and transfer them to the standard email client.
The application runs in the background and is not a visual plug-in of DocuWare Desktop
Apps.
Connect to Outlook
Use Connect to Outlook to archive your emails directly in DocuWare from Microsoft
Outlook and use quick search to access stored emails.
Create and edit configurations for Connect to Outlook in the DocuWare Configuration
section.

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 Client Applications

The component accesses the DocuWare servers using the Platform Service.
Both the 32 and 64-bit versions of Microsoft Outlook are supported.
Windows Explorer Client
The Windows Explorer Client integrates all the DocuWare file cabinets into the Windows
file directory and shows the file cabinets in the folder file structure that users are
accustomed to. The Windows Explorer Client is implemented as a Windows Explorer
name range enhancement and loaded with this process.
The component draws the connection information for the DocuWare system from
DocuWare Desktop Apps.
Windows Explorer Client accesses the DocuWare servers using the Platform Service.
ADMINISTRATIVE APPLICATIONS (WINDOWS)
The administrative applications are DocuWare Administration, Workflow Designer, User
Synchronization, URL Creator, and Index Cleaner.
DocuWare Administration
Use the DocuWare Administration to set up your DocuWare system and manage a certain
part of the functions. The application calls up the required information directly from the
backend servers, especially from the Authentication Server. Administration is divided into
two areas:
Under "DocuWare System," you can find general settings for the items:
• DocuWare Server
• Database connections
• Document storage locations
• External user directories
• Backup
• Web connections
Under "Organizations," you can find settings for the items:
• Licenses
• Web instances
• File connections
• User administration
• File cabinets: Disk management
DocuWare Administration can run on any computer which has access to the backend
servers. Every user with access to the .exe file can start the program. However, depending
on the permissions a user has been granted, certain nodes, menus, and dialog boxes may
not be visible. Data that is being edited by one user is locked for other users and can only
be accessed in read-only mode.
You make all other general settings and security settings in the DocuWare Configuration.

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 Client Applications

Workflow Designer
The Workflow Designer component allows you to create, edit, and publish workflow
configurations for the Workflow Manager module. When you use Workflow Manager, a
previously created configuration is always run and a new instance of the workflow is
therefore created each time.
Among other things, which task is to be completed and which decisions are to be made in
it are specified in a workflow configuration. In addition to a user or role, a task may also be
assigned to a substitution rule. This substitution rule can assign responsibilities for abstract
jobs such as cost centers, which include a group of people. The task then automatically
goes to the first of these employees who is shown as "in the office." In escalation levels,
you set deadlines for completing tasks and determine what should happen if an employee
spends too long on a task.
You can export a workflow and import it into another file cabinet. The selected file cabinet
can belong to your organization or be in another system. The import is possible as a new
workflow or as a new version. It is essential that the source and selected file cabinets match
for an import.
The Workflow Designer calls up the settings from the Background Process Service (page
27) and other backend services using the Settings Service (page 24).
Workflow Designer forwards all information for workflow task lists in the Web Client using
the DocuWare Platform Service (page 23).
The component draws the connection information for the DocuWare system from
DocuWare Desktop Apps.
User Synchronization
With this component, you automatically synchronize users and groups with your
DocuWare system from Microsoft Active Directory via LDAP (Lightweiht Directory Access
Protocol) or from Microsoft Graph.
The user synchronization does not obtain the connection information to the DocuWare
system from the Desktop Apps, but these must be explicitly specified and stored. This
ensures that the user synchronization is performed without the Desktop Apps and
unattended.
URL Creator
The DocuWare URL Creator is a wizard for creating URL integration. The tool automatically
compiles the URL and adopts the Base64 coding required for certain parameters and the
encryption.
Index Cleaner
Index Cleaner is a wizard for cleaning file cabinet index entries for which various spellings
have accumulated.
The component draws the connection information for the DocuWare system from
DocuWare Desktop Apps.

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 Client Applications

2.3 Mobile Clients

Directly access DocuWare from mobile device using the mobile DocuWare Clients, also
called Apps. The following sections provide information about their system components.
DocuWare
You can also access all documents, participate in workflows and store documents on your
smartphone. The free app is connected to your DocuWare system via QR code. You need a
mobile license for an unlimited number of mobile colleagues.
The app requires an active connection to your DocuWare system. Files are stored locally
on the mobile device.
DocuWare Mobile connects directly to the platform service.
PaperScan
With the PaperScan app, you can scan documents with the highest quality and upload
them to Dropbox, Google Drive or DocuWare, allowing other users to access them when
needed. The scans are stored locally only. Only when the user stores them in one of the
cloud services mentioned above, the data is transferred to an external server.
PaperScan connects directly to DocuWare's Platform Service.

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 Frontend Services

3 Frontend Services
The DocuWare Frontend Services are based largely on the Internet Information Services
(IIS), a service platform by Microsoft. This allows the services to be easily operated with
TLS/SSL encryption by adjusting the IIS configuration.
The following sections provide information about the components associated with the
DocuWare Web Servers:
• Platform Service and Web Client
• Settings Service
• Identity Service
Load balancing is possible for all three services.
Information on installing and managing the Web Servers can be found in the Server Setup
(page 57) section.

3.1 Platform Service and Web Client

The DocuWare Platform Service bundles access to all DocuWare services in an efficient
interface open for all programming languages. In addition, all third-party applications can
be very easily connected to DocuWare for access to the DocuWare resources.
The Platform Service is automatically installed during setup and can be accessed in the
Internet Information Services (IIS) on the used Web Server under the address http://
<Servername>/DocuWare/Platform. It enables uniform access for all clients and to any
device. This works both with DocuWare applications and with third-party applications
based on the DocuWare .NET SDK. For more information, see the DocuWare Developer
Documentation.
The Platform Service accesses the Authentication Server and the databases directly.
Thanks to the modern architectural style Representational State Transfer (REST), the
Platform Service is extremely efficient and acts as a uniform interface for very different
connections. Resources are embedded into the third-party application through XML or
JSON. The Platform Service contains an overview of the available resources and
documentation about how to use them. An annotated XML Schema Definition (XSD) is
attached to all data formats, from which documentation is automatically created and which
is always up-to-date. Thanks to XSD, libraries to simplify programming can be
automatically created for various target platforms. The libraries can easily be updated to
ensure that data formats remain up to date. DocuWare provides a .NET API on NuGet
for .NET developers to guarantee user-friendliness. Please contact DocuWare Support for
more information.
You can also directly log into a DocuWare system from the Platform Service in order to see
information such as search dialog IDs or file cabinet GUIDs. URI templates for integrating
resources also save the developer time.

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 Frontend Services

Applications that use the Platform Service are also compatible with future versions of
DocuWare. This means that when DocuWare is upgraded to a new version, client
applications do not necessarily have to be updated.
The Platform Service supports a diverse array of procedures which speed up HTTP-based
web applications. HTTP caching methods bring a significant increase in speed across
many scenarios. The platform also supports transparent compression and works behind
proxies.
Web Client
Web Client, which provides DocuWare's graphic user interface for working with
documents (see also the section Web Client in the chapter "Client Applications"), is
integrated in the Platform Service.
The Web Client can be accessed under the address [Link] name>/DocuWare/
Platform/WebClient and uses the same services provided by the Platform Service.
Workflows for Workflow Manager
This platform service processes for Workflow Manager the data that is generated by user
interaction in DocuWare Client, for example inputs like confirmation of tasks.

3.2 Settings Service

The Settings Service provides access to most DocuWare system settings. The DocuWare
Configuration runs in the Settings Service.
The Settings Service calls up settings directly from the databases and delivers them to
client applications. The interface is not approved for in-house programming.
The Settings Service transmits the storage capacities for administration of the DocuWare
document trays. The Settings Service manages the request workflow using the
Background Process Service.

3.3 Identity Service

Together with the Authentication Server, the Identity Service is responsible for user login.
The Identity Service handles authentication via single sign-on (SSO) and DocuWare
authentication. As a central service, it is responsible for all organizations within a
DocuWare system and thus also for the DocuWare login page. It ensures that the
DocuWare login page always opens, regardless of which DocuWare application (Web
Client, Configuration, Desktop Apps or Mobile) and to which organization a connection is
to be established.
As an additional feature, Single Sign-on (SSO) can be enabled and disabled. If it is
enabled, you will see the SSO button on the login page. By default, SSO is enabled and
set with Microsoft Active Directory via NTLM (Windows Login). This can be disabled or
switched to, for example, Azure AD or ADFS via OpenID Connect. Enforcing SSO is
optionally available for all identity providers. This allows you to specify that users can no
longer log in with DocuWare credentials, but only via SSO. Thus in a DocuWare system,
you use secure multi-factor authentication (MFA). By enforcing SSO within DocuWare, you

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 Frontend Services

can also indirectly force users to use MFA, as long as MFA is set up at the identity provider
(e.g. Azure AD or ADFS).
The Identity Service accesses the database directly and communicates with Platform
Service, Settings Service and Authentication Server.

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 Backend Services

4 Backend Services
Backend services are the servers in a DocuWare system that are managed via DocuWare
Administration. They are used to run all background processes and access document
storage locations as well as databases.
You will find information on backend services in the following:
• Authentication Server
• Background Process
Service
• Workflow Server

Information on installing and managing the backend services can be found in the Server
Setup (page 57) section.

4.1 Authentication Server

Authentication Server manages all users and resources of a DocuWare system. Before you
can use the system, you must always log in to the Authentication Server.
It handles the following tasks:
• User login
• License management
• Administration of several resources at system level such as database connections
Before you can use the system, you must always log in to the Authentication Server.
In order for DocuWare to be multi-client enabled, users are allocated to "organizations,"
which are managed by the Authentication Server. An organization thus comprises the
following as a logical structure:
The Authentication Server stores the settings in the DWSYSTEM database. The
Authentication Server transmits changes in settings to other components via Message Bus
(page 49).
The Authentication Server is managed in DocuWare Administration.

4.2 Settings Service

This service manages most resources of a DocuWare system including the users.
In order for DocuWare to be multi-client enabled, the users and other resources are
assigned to "organizations," which are managed by the Authentication Server. An
organization thus comprises the following as a logical structure:
• Users and user groups
• File cabinets, including their associated disks
• Processes

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 Backend Services

• Templates for stamps, formats for recognizing text (OCR) and barcodes (OBR), select
lists
• Audit report
DocuWare uses a role concept for permissions. A role for user groups or individual users
on one side connects to permissions profiles or individual permissions on the other.
Individual users can be assigned individual permissions independently from this process.
Authentication Server is therefore used by:
• One or more organizations each with
• At least one or more users
Additional information on the permissions concept can be found in DocuWare's White
Paper Security.

4.3 Background Process Service

The DocuWare system runs various background processes, the following of which are
hosted in the Background Process Service:
• Structure of the full text
• Autoindex
• General Email
• Customer Experience Improvement Program (CEIP)
• Intelligent Indexing
• Deletion policies
• Creating and importing self-supporting file cabinets (DocuWare Request module)
• Control of workflows
• Transfer
• File cabinet synchronization
• Export of documents
Structure of the Fulltext
The Background Process Service is also responsible for extracting fulltext in the event that
this data is not included by the client during the storage process. This is the case for
several DocuWare Desktop Apps. The Background Process Server stores the fulltext in the
data database and forwards it to the Fulltext server at the same time.
Autoindex
The process re-indexes documents within a file cabinet. Internal or external data sources
can be used as a basis.
Autoindex checks the saved user ID against the Authentication Server, calls up data from
configured sources, and communicates with the Platform Service for indexing.
The automatic start of Autoindex at a defined file cabinet event, for example the storage of
a new document, also takes place here.
The component is managed in DocuWare Configuration.

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 Backend Services

General Email
This process creates an integration with email accounts based on Google Mail or Microsoft
Exchange Server. It monitors folders in IMAP-based mailboxes to file the documents it
contains in DocuWare.
For storage, the server component sends the documents to the Platform Service.
The component is managed in DocuWare Configuration.
Intelligent Indexing
If there are conditions saved for the hosted Intelligent Indexing Service, the Background
Process Service starts the document indexing order, creates structure data, and sends it to
the Intelligent Indexing Service.
After indexing, the Intelligent Indexing Service returns the meta data, which the
Background Process Service stores in the data store after the suggested index data has
been corrected by the user.
Finally, the Background Process Service sends the corrected data to the Intelligent
Indexing Service, which takes it into account for future queries.
The component is managed in DocuWare Configuration.
Deletion Policy
The deletion process manages the rules for deleting documents. These rules are defined
through filters.
The component is managed in DocuWare Configuration.
Request
The Request service creates and imports self-supporting file cabinets (DocuWare Request
module). Furthermore, the workflow history of a document is retrieved. The workflow to
which such a document belongs is based on the Workflow Manager module.
The component is managed in DocuWare Configuration.
Control of workflows
The Background Process Service stores and manages workflow configurations and
workflow instances from the Workflow Manager module. Workflow Manager controls
working processes using document-based workflows, which are implemented with the
DocuWare system.
Here, one new workflow instance is generated per edited document. These workflow
instances are controlled by entries in the [Link] table. The workflow
configurations and workflow instances are stored by the Background Process Service in the
DWWORKFLOWENGINE database and called up from there.
All settings that affect permissions and other sensitive data are called up by the
Background Process Service from the Authentication Server.
The workflow configurations are created in the Workflow Designer application.

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 Backend Services

Email Notifications
The process manages email notifications for the Workflow Manager and the Task Manager
modules. If a trigger setting is set for a processed document, the DocuWare servers
generate an event. There are two possible trigger settings:
• A document is stored.
• A document's index data changes.
• A time trigger was set.
The DocuWare server generate an entry in the database table ([Link]).
The process reads the task from there and processes it.
Depending on which database subscriptions have been set up, the process multiplies the
events for email notifications and sends the notification using its SMTP connection.
Transfer
The transfer process exports file cabinets or partial file cabinets by creating a copy of a file
cabinet or individual documents. A DocuWare file cabinet transfer includes both the
documents and the database entries. File cabinets within the DocuWare system are the
target of the transfer. You can transfer into new or existing file cabinets within the
DocuWare system.
The component is managed in DocuWare Administration.
File Cabinet Synchronization
This process exists in synchronization as equivalent file cabinets .
File cabinets with enabled version management cannot be synchronized. To transfer file
cabinets with enabled version management, use the DocuWare Transfer module.
The component is managed in DocuWare Configuration.
For more information, see the section Export-Import Synchronization (page 45).
Document Export
The process exports file cabinets or partial file cabinets by creating a copy of a file cabinet
or individual documents. A DocuWare file cabinet export includes both the documents
and the database entries.
The target of the export are file cabinets within the DocuWare system. You can export into
new or existing file cabinets within the DocuWare system.
The component is managed in DocuWare Administration.
Customer Experience Improvement Program (CEIP)
By participating in DocuWare's Customer Experience Improvement Program (CEIP), you,
the customer, can contribute to further improving the quality, reliability, and performance
of DocuWare. For this, statistical information about use of the software is collected and
transferred to DocuWare at regular intervals. All procedures take place automatically and
in the background – participants are never interrupted while working and there is no
impact on the system performance.
You can give your consent to the collection of these data at the end of the DocuWare
setup.

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 Backend Services

The reports sent to DocuWare from your DocuWare system only with your consent (which
you can give during setup) contain, for example, information on which browser version
and language are used, which DocuWare components have been installed, how many file
cabinets, document trays, and store dialogs are created in the system, or how many
documents are stored on average. This is purely statistical information. No personally
identifiable user information or document content whatsoever are transferred.
The component is managed in DocuWare Administration.

4.4 Workflow Server

The following background processes are hosted on the Workflow Server:
• backup and restore of data
• user synchronization
• export of documents
Backup and restore
The backup and restore process saves the file cabinet settings, the users and permissions
of your DocuWare system, and also the Workflow Manager configurations.
The component is managed in DocuWare Administration.
User Synchronization
DocuWare permits the synchronization of its users and groups, both with Windows
directories and through LDAP. Configurations for the synchronization with external user
directories are specified on the system level and can be made available to the individual
organizations.
The configurations set up on the system level are used to set up the workflows. The
scheduling for the Synchronization workflow is also set on this level. The organization
administrator also assigns DocuWare groups and users of his organization to external
groups and users as the basis for the synchronization.
The component is managed in DocuWare Administration.

4.5 Administrative Applications and Services

The administrative applications and services in the backend servers include Service
Control and Message Bus Administration. The following sections provide information
about their system components.
Service Control
As a Windows administrator you can start and stop individual backend services in the
DocuWare Service Control.
The component is installed with the Server Setup (page 57) as standard.
Message Bus Administration
DocuWare services use Message Bus for communication through use of the Message Bus
Administration.

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 Backend Services

The component is installed with the Server Setup (page 57) as standard.
Migration of Documents
With a command line tool you can migrate documents within a file cabinet to another disk
with another disk number. As a rule, a migration is started in order to reduce the disk sizes
within a file cabinet or to combine disks. For example, a file cabinet can be saved to disks
in the same size as a CD/DVD in order to prepare the transfer to external media.
Index Restores
With a command line tool, you can restore the index entries of a DocuWare file cabinet in
the database from the stored documents. The database structure must be available in
order to restore the database information using the saved document.

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 Databases, Storage Locations, and Fulltext Index

5 Databases, Storage Locations, and Fulltext Index

DocuWare requires several databases and at least one file storage (file cabinet). Installing
the fulltext functionality is optional.
The following sections provide information about these components and functionalities.

5.1 Databases
For its operation, DocuWare requires several relational databases, which it uses both for
storing and for performing searches within the structured index data of the documents
and for the fulltext index. In addition, DocuWare stores all essential system information
(such as Authentication Server data) in a database or saves workflow information there.
The following sections provide information about supported database systems and the
structure of individual databases.
Supported Storage Locations for File Cabinets and Document Trays
All market-leading database systems can be coupled with a DocuWare system: MS SQL
Server, Oracle Server, and MySQL Server. The administrator has the option of specifying a
particular database to be used for each file cabinet. In addition, a cluster system can be
connected. Databases may reside on autonomous servers outside the DocuWare server
area. DocuWare can work with several database connections to different servers and
different databases simultaneously. Several simultaneous connections can be established
to one database.
To ensure optimum performance and maintainability, DocuWare recommends using the
Microsoft SQL Server database system for archives with more than 1 million documents
(without full-text functionality) or more than 200,000 document pages (with full-text
functionality). As an alternative, you can also connect an Oracle database. Please contact
DocuWare Professional Services for support in the migration of databases.
Internal Database Server
In the event that no external database server is provided or can be set up, DocuWare also
offers an integrated database server as part of the standard feature set (Internal Database).
This MySQL server can be optionally installed with the Server Setup (page 57).
If an MSSQL database is used, the archive name can be up to 128 characters long, with MySQL up to 64 and with Oracle up
to 23 characters.

The Structure of the Databases

A DocuWare system contains the following databases:
• System database (DWSYSTEM)
All data on rights, licenses, and settings are stored in this database. Auditing data at
system and organization level can also be found here.

32
 Databases, Storage Locations, and Fulltext Index

• Database for document data (DWDATA)

This database contains all internal system information for searching and finding
documents. You can create several such databases. For more details, see the
"Database for document data" section below.
• Notification database (DWNOTIFICATION)
This database contains all the events that the Background Process Service needs to
run workflows and email notifications.
• Workflow Engine database (DWWORKFLOWENGINE)
This database contains all information required by the Background Process Service for
creating, editing, and executing workflow configurations.
The database for document data (DWDATA)
Searching and finding documents stored in DocuWare always occurs in the database for
document data (DWDATA). This is where the DocuWare services store the index data of
each document in a structured form (relational) and optionally also in the form of a fulltext
index.
The database not only manages the search criteria that are relevant for the user, but also
the system-internal information needed for storing and retrieving the documents in the file
cabinets. The key characteristic of a document is its DOCID, a number for a document that
may consist of various files and is unique within each file cabinet.
The user-defined fields specify the keywords and categories by which documents are
stored and retrieved.
Thanks to separate keyword tables, it is theoretically possible to have an unlimited number
of keywords for each document. Moreover, it is possible to create several keyword fields in
one file cabinet. The speed for searching in keyword fields is very high since the keyword
column in the table is indexed. As soon as the corresponding entry is found, the DOCID
allows direct access to the database entries of the associated documents.
There are also separate tables for the table fields. The entries for the tables are only
available for the full text search. The table field tables are limited to 50 columns per table.
For each document, 1000 lines can be stored in the table.
If you are using a tool that addresses an archive of table fields, you may need to update it
to the [Link] API 7.1.

33
 Databases, Storage Locations, and Fulltext Index

The database for document data contains the following tables:

Counterpart in
Name Mandatory Usage DocuWare Versions up
to 6.12

<FCName> File cabinet main <FCName>

Yes
table

<FCName>_SEC Yes Section table <FCName>_SECT

<FCName>_PAG Yes Page table <FCName>_PAGE

<FCName>_PGT Yes Page textshots

<FCName>_VRS Old versions (not <FCName>_VER

Yes
current version)

<FCName>_AUD Yes Protocol table

<FCName>_DSK Yes Disk table <FCName>_DSKS

<FCName>_LCK Yes Locking table <FCName>_LOCK

<FCName>_IDT Yes Document ID table

<FCName>_DELz Table of deleted <FCName>_RD

Yes
documents (Sync)

<FCName>_ Per keyword

Keyword table Remained the same
<KeywordFieldName>[nn] field

<FCName>_
Per table field Table-field table
<TableFieldName>[nn]

34
 Databases, Storage Locations, and Fulltext Index

Name Usage

<FCName>_V5 Old documents (created with DocuWare up to Version 6.12;

not processed with DocuWare Version 7 or higher)

<FCName>_V5S Old sections (created with DocuWare up to Version 6.12;

not processed with DocuWare Version 7 or higher)

<FCName>_V5P Old pages (created with DocuWare up to Version 6.12; not

processed with DocuWare Version 7 or higher)

<FCName>_V5V Old versions (created with DocuWare up to Version 6.12;

not processed with DocuWare Version 7 or higher)

<FCName>_ Keyword fields for old versions (created with DocuWare up

<KeywordFIeldName>[nn]V5 to Version 6.12; not processed with DocuWare Version 7 or
higher)

Name Mandatory Usage

<FCName>_EVNT Yes Workflow Manager: Event sources

<FCName>_HTRY Yes Workflow Manager: History

<FCName>_SHOT Yes Workflow Manager: Snapshots

<FCName>_STTR Yes Workflow Manager: Read status

<FCName>_STTW Yes Workflow Manager: Write status

<FCName>_W[nnn] Per workflow Workflow Manager: Task list

configuration

5.2 Supported Storage Locations for File Cabinets and

Document Trays
DocuWare supports a broad spectrum of storage media for storing documents. This
includes local hard disks, (virtual) network storage media, and external storage systems.
Which media actually come into use depends on the volume of the documents to be
stored and requirements concerning access and safeguarding. As long as conventions for
Windows file systems are complied with, the technological basis of these systems is
irrelevant. You can also use storage procedures such as RAID systems (RAID = Redundant
Array of Independent Disks) or NetApp storage solutions, provided that these can be
incorporated into the Windows file system as a virtual system drive.

35
 Databases, Storage Locations, and Fulltext Index

DocuWare also supports special storage systems. DocuWare delivers software that can be
used to incorporate storage systems as DocuWare file deposits in the same way as in a file
cabinet, as is possible with Windows file deposits. You can set specific options to
determine whether files will be written directly to the target medium, which in the case of
WORM for example will ensure maximum security, or whether to go via the intermediary of
the virtual disk, because CD/DVDs cannot be burnt in succession.
Storage systems certified by DocuWare can be found in detail on the DocuWare website.
Hard disks, RAID
In addition to the ability to use individual hard disks, you have the option of combining
several hard disks in a "Disk Array." These arrays are the ideal solution for an archiving
system where magnetic storage technology does not present a problem. If a RAID is
selected, it increases security against loss of data in the event of hard disk failure thanks to
redundancy. This way you can swap a hard disk – depending on the RAID level – during
running operation.
Directories and drives can be used as document storage. It is irrelevant whether the
directories and drives are simple hard disks, virtual disks, RAID networks (hardware or
software RAID, storage spaces) or network drives.
For production systems, it is recommended to store the data on redundant storage
systems. The use of simple, non-redundant storage systems is not recommended.
If DocuWare is installed distributed over several servers, network storage should be used
and SMBv3 should be used as the protocol. SMBv1 should not be used for security
reasons.
For installations with a high volume and many users, the database files should be stored
on redundant flash memory. The same applies to the full text index files. The storage
locations for the documents can be distributed on classic disks even in large installations.
Platform Service and Background Process Service must have read and write access to all
storage locations and databases used by DocuWare:
• Since DocuWare version 7, all accesses to the memory take place under the Windows
account that was entered in the Server Setup for the service user. In addition, this user
must have full access to the memory to support the full functionality of the product.
- The app pools of the Frontend Services (like Platform) access the storage for
interactive requests, for example for storing a new document or repeating Intelligent
Indexing interactively.
- The Windows service of the Backend Services (like Background Process Service)
accesses the storage for queued background tasks, like extracting document text and
sending documents to Intelligent Indexing in the normal case.
• It does not matter which DocuWare user is served by the services. Access is always
done in the context of the service user, both in the Frontend (app pool) as well as in
Backend Services (Windows service).
NetApp storage
The NetApp storage solutions are based on NetApp's own operating system and can be
integrated in various storage area networks similarly to hard disks (NAS, SAN, iSCSI). They
are especially intended to manage large volumes of data and for the long-term archiving
of WORM documents. NetApp Storage can be used with DocuWare for storing

36
 Databases, Storage Locations, and Fulltext Index

documents. Files in NetApp storages cannot be edited and are assigned the "Read Only"
attribute. Disks on NetApp storage solutions can be set to "Read/Write", "Read Only", or
"WORM" in the DocuWare Administration. It is recommended that you select the WORM
type because it is best suited for the NetApp behavior.
Platform Service and Background Process Service must have read and write access to all
storage locations and databases used by DocuWare:
• Since DocuWare version 7, all accesses to the memory take place under the Windows
account that was entered in the Server Setup for the service user. In addition, this user
must have full access to the memory to support the full functionality of the product.
- The app pools of the Frontend Services (like Platform) access the storage for
interactive requests, for example for storing a new document or repeating Intelligent
Indexing interactively.
- The Windows service of the Backend Services (like Background Process Service)
accesses the storage for queued background tasks, like extracting document text and
sending documents to Intelligent Indexing in the normal case.
• It does not matter which DocuWare user is served by the services. Access is always
done in the context of the service user, both in the Frontend (app pool) as well as in
Backend Services (Windows service).
EMC Centera (Dell EMC ECS)
EMC Centera is a special content-addressed storage method (CAS) on hard disks, in which
the access to stored information is not based on its position on the physical medium, but
on the content of the information. This ensures that documents with identical content are
physically stored only once. The method allows access to individual documents while
ensuring that the stored information remains unalterable.
The functionality of EMC Centera has been integrated into the Dell EMC ECS. DocuWare
systems already configured for EMC Centera work with versions 7.2 and higher without
additional effort. Administration and document operations are the same with Dell EMC
ECS as with EMC Centera. Please note the following restrictions:
• Since DocuWare Version 7.2, deregistering hard disks and counting unregistered hard
disks does not work. Hard disks can only be added and/or set as current as in
previous versions.
• Since DocuWare Version 7, no header files are saved together with the documents.
The DWX files used since then are not saved in the Dell EMC ECS location. As a result,
the restore function in DocuWare's Document Tool is not available for locations based
on Dell EMC ECS (Centera).
• DocuWare uses the same connector as before ([Link]), but it now has 64 bits.
DocuWare only supports the Dell service for EMC Centera backward compatibility and no other functions provided by Dell
with EMC ECS.

5.3 Fulltext Index

During a fulltext search, the Fulltext Server lists the occurrences as well as the context
strings for the individual search terms in a fulltext index. At the same time, the estimated
relevance of a term is evaluated. The result list of a fulltext search is sorted according to
this relevance. For more information, see the Fulltext Functionality (page 45) section.

37
 Architecture of the File Cabinets

6 Architecture of the File Cabinets

DocuWare stores all documents in file cabinets where they can be saved long-term. Each
file cabinet is assigned to a DocuWare organization. Users access documents in the
DocuWare interface using a search query in the respective file cabinet.
Every organization has at least one file cabinet for storing documents. Under file cabinet
settings, you can determine:
• General file cabinet characteristics, e.g. name, etc.
• The database to be used with the documents' index information and any additional
database-related settings
• The storage location to be used for the documents and (if applicable) their
subdivision into logical disks with associated capacity limits
• Access rights and file cabinet profiles for the archive or for individual fields
• The user dialogs for file storage, searches, and results list
• Additional functionalities, e.g. availability of a fulltext index, type, and extent of the
stamps that are available for document processing as well as electronic signatures
The following sections provide information about various aspects of the file cabinet
architecture.

6.1 The "Disk" Concept

The documents of a file cabinet are stored on "DocuWare disks." DocuWare disks are
generally directories in the file cabinet identified by a name that DocuWare has assigned
them. The subdivision of the file cabinet into logical disks is a means of organizing the
storage media.
You can transfer these logical disks to another medium at any time you choose, for
example when they reach a certain size. Document management with DocuWare has the
advantage that documents can be swapped out either by pre-defined rules or
automatically. DocuWare offers features for conveniently automating the corresponding
steps.
The concept of logical disks and the open file structure gives the administrator a high
degree of transparency and flexibility when managing the DocuWare system.

6.2 Document Structure

A document in DocuWare can consist of one or more files. In addition, a document can be
composed of a combination of various file formats, e.g. PDF/A, PDF, MS Excel, for instance
if DocuWare accepts an email with several attachments as an associated document.
Again, each file comprises one or more pages:

38
 Architecture of the File Cabinets

The structure of a document that contains two files: one with three and one with two pages
Example 1:
A 3-page paper document that was scanned into DocuWare consists of a 3-page PDF/A
file.
Example 2:
For one document, a PDF/A file generated by DocuWare, a 3-page Word file, and a 2-
page PDF file are linked together. The document then consists of three files:
1. File of document: PDF/A file with page 1
2. File of document: Word file with pages 1, 2, and 3
3. File of document: PDF file with pages 1 and 2
Annotations can be made on every page of a file within a document, on multiple
annotation levels if required. Annotations are stored with their characteristics and
additional attributes and reproduced for the duration by the DocuWare Viewer.
Each document in DocuWare can have a maximum of 999 document files.
Documents scanned and printed with DocuWare applications are stored in the DocuWare
file cabinets as PDF/A files. All other documents that are read into DocuWare, such as PDF
and MS Office files, are stored in their original formats.
All additional metadata such as stamps, index data, and annotations are automatically
stored in the file cabinet database. Copies of these data can optionally be saved in a ZIP-
based file format ([Link]) in the file cabinet location. They are updated
asynchronously, not as part of the document change. After upgrading to DocuWare
Version 7, this redundant storage option for on-premises is set to ON. This also applies to
new file cabinets.
A command line tool is available for restoring database entries from the file cabinet
location.
Each document file has a unique name (GUID).
When a document file is updated, the file in the memory is not overwritten. Instead, a new
unique name (GUID) is generated. After the new file is created, the old one is deleted.
The file structure of documents stored with DocuWare Version 6.x or earlier is not changed
and their header files are still used. If such a document is changed in DocuWare from
Version 7 (e.g. if a comment is added in the viewer), the document's metadata is copied to
the database and the header file existing in previous DocuWare versions is deleted. When
a document file is updated, it uses the new file naming convention (GUID).

39
 Architecture of the File Cabinets

6.3 File Structure

In the file structure of your documents, it is important to consider whether your
organization:
• purchased a DocuWare version from Version 7: Then your organization only handles
documents stored with DocuWare Version 7 or higher. uses DocuWare Version 6.12 or
earlier and upgraded to Version 7: Then your organization also handles documents
stored in DocuWare's earlier file structure.

DocuWare Version 7 and

Up to DocuWare Version 6.12
higher

Document file name GUID Continuous number

Index data and

DWX file (optional) Header file
annotations

From DocuWare Version 7, the (double) storage of additional metadata in a DWX file per
document file is optional. If it is not used, this can result in a performance gain.
Documents Stored with DocuWare Version 7 or higher
All additional metadata such as index data, stamps, and annotations are automatically
stored in the file cabinet database.
Copies of these data can optionally be saved in a ZIP-based file format ([Link]) in
the file cabinet location. They are updated asynchronously, not as part of the document
change. When reinstalling DocuWare Version 7 or after updating to this version, this
redundant storage option is set to ON. This also applies to new file cabinets.
To restore database entries from the file cabinet location, use a command line tool.
The document files have unique names (GUIDs).
When a document file is updated, the file in the memory is not overwritten. Instead, a new
unique name (GUID) is generated. The old file is not deleted until the new file is created.
The index data and annotations of documents are stored twice in DocuWare Version 7 or
higher: in the database and in the document memory, from DocuWare Version 7 in a DWX
file, up to DocuWare Version 6.12 in a header file per document. This guarantees the
greatest possible amount of security, as in the event of a failure the documents and their
index data will still be accessible without backing up.
DWX File
A metadata file in DWX format can be created for each document stored with DocuWare
Version 7 or higher. To do this, the option Index data backup in the storage location for the
file cabinet must be enabled in the DocuWare configuration under File Cabinets.
The DWX file contains the index data assigned for the document, as well as annotations,
stamps, signatures, and more.

40
 Architecture of the File Cabinets

For each file that is part of a DocuWare document, the DWX file contains a separate
section.
Within the DWX file, the elements "Document description," "Meta data," and "Page
information" can be fundamentally distinguished:
• Document description: Information relating to the whole document, e.g. signatures,
versions, and encryption
• Meta data (Document meta data):
- System properties: All described data required by DocuWare for management from
the system's point of view e.g. DWDOCID
- User data All described data required from the user's point of view, e.g. index data,
field properties
- Store Properties: Information about the history and the logical file cabinet of the file.
- Application Properties: Information required for integration with other applications.
• Page information: Page-specific additions, e.g. text annotations, stamps, etc.
All data are identical to the data in the database and are therefore stored twice. This
guarantees the greatest possible amount of security, as in the event of a failure the
documents and all their information will still be accessible without backing up.
However, restoring can take a lot of time and therefore is not a replacement for conventional database backup.

The DWX files are created asynchronously to the document operations in the DocuWare system. This means that the
processes in DocuWare (e.g. storing a document and creating the DWX file) do not take place at the same time, but
independently of each other.

Documents Stored With DocuWare Version 6.12 Or Earlier

The structure of documents stored with DocuWare version 6.12 or earlier (and not
processed with DocuWare version 7 or higher) is as follows.
Under the file directory allocated by the administrator, the DocuWare directory is
addressed by file cabinet names, disk numbers, three directory levels, and the document
level. A maximum of around 2.15 billion documents may be stored in one file cabinet.
DocuWare creates a separate directory for each file cabinet in the selected storage
location on each disk. Each file cabinet directory is named with <file cabinet name>.<disk
number>. Here, the file cabinet name has a maximum of 8 characters and the disk number
is always 6 digits. The first disk of the document pool file cabinet is thus called
Document.000001.
On the three underlying directory levels, each directory has a 3-digit sequential number,
starting with 000. On the first of the three levels, a maximum of 128 folders are possible
(000 to 127), while the second and third levels each have a maximum of 256 (000 to 255).
The document directories can be found under these three directory levels. If for example
you allocate the directory D:\DOCS and the name SALE to the file cabinet, the documents
of the first disk will reside in the following subdirectory:

41
 Architecture of the File Cabinets

Each of these document directories contains all pages (files) of a document, and the
header file in XML format. The document directories are given the name of the DocID (a
10-digit document number which is unique within the file cabinet), which is also sequential
(from 0000000001 to (2 high 31)-1 = 2,147,483,647 ˜ 2.15b). With the DocID, each
document receives a unique sequential number which increases automatically by 1 for
each new document.
The header file is always called <Document number>.XML and has no size restriction.
The document files are always called F (File), followed by a sequential number starting
with 0, and the file extension (e.g. docx, xlsx, pdf), so for example [Link]. A document that
consists of several parts would therefore be represented like this:
\00000001\ [Link]
\ [Link]
\ [Link]
\ [Link]
\ [Link]
You can create up to 999,999 DocuWare disks, though not within one directory, since
Windows limits the number of sub-directories within each directory.
The example below shows the file structure within a DocuWare file cabinet. Here it is
assumed that all documents are stored on a single DocuWare disk.
Example file structure of a DocuWare file cabinet on the file system level
D:\File_cabinets\Document.000001\
D:\File_cabinets\Document.000001\000\
D:\File_cabinets\Document.000001\000\000\
D:\File_cabinets\Document.000001\000\000\000\
D:\File_cabinets\Document.000001\000\000\000\0000000001\ (first document in file
cabinet)
D:\File_cabinets\Document.000001\000\000\000\0000000001\[Link]
D:\File_cabinets\Document.000001\000\000\000\0000000001\[Link]
D:\File_cabinets\Document.000001\000\000\000\0000000001\[Link]
D:\File_cabinets\Document.000001\000\000\000\0000000001\[Link]
...
D:\File_cabinets\Document.000001\000\000\000\0000000002\ (second document in file
cabinet)
D:\File_cabinets\Document.000001\000\000\000\0000000002\[Link]
D:\File_cabinets\Document.000001\000\000\000\0000000002\[Link]
...
...
D:\File_cabinets\Document.000001\000\000\000\0000000256\ (last document in
000\000\000)
D:\File_cabinets\Document.000001\000\000\000\0000000256\[Link]
D:\File_cabinets\Document.000001\000\000\000\0000000256\[Link]
...
D:\File_cabinets\Document.000001\000\000\001\
D:\File_cabinets\Document.000001\000\000\001\0000000257\ (first document in
000\000\001)
D:\File_cabinets\Document.000001\000\000\001\0000000257\[Link]

42
 Architecture of the File Cabinets

D:\File_cabinets\Document.000001\000\000\001\0000000257\[Link]
...
...
D:\File_cabinets\Document.000001\000\000\001\0000000511\ (last document in
000\000\001)
...
...
D:\File_cabinets\Document.000001\000\000\002\
D:\File_cabinets\Document.000001\000\000\002\0000000512\ (first document in
000\000\002)
...
...
D:\File_cabinets\Document.000001\000\000\255\
D:\File_cabinets\Document.000001\000\000\255\0000065535\ (last document in
000\000\255)
...
D:\File_cabinets\Document.000001\000\001\000\
D:\File_cabinets\Document.000001\000\001\000\0000065536\ (first document in
000\001\000)
...
...
D:\File_cabinets\Document.000001\000\255\255\
D:\File_cabinets\Document.000001\000\255\255\0016777215\ (last document in
000\255\255)
...
...
D:\File_cabinets\Document.000001\001\000\000\
D:\File_cabinets\Document.000001\001\000\000\0016777216\ (first document in
001\000\000)
...
...
D:\File_cabinets\Document.000001\127\255\255\
D:\File_cabinets\Document.000001\127\255\255\2147483647\ (last document in file
cabinet)
Header File
Every document stored with a DocuWare Version up to 6.12 and not modified after
storage has a header file in XML format. The header contains the meta and index data
assigned for the document, as well as annotations, stamps, signatures, etc.
The index data are thus duplicated: they appear once in the database and once in the
document header file. This guarantees the greatest possible amount of security, as in the
event of a failure the documents and their index data will still be accessible without
backing up. However, this process can take a lot of time and therefore does not represent
a replacement for conventional data backup procedures.
For each file that is part of a DocuWare document the header file contains a separate
section.

43
 Architecture of the File Cabinets

Within the header file, the elements "Document description," "meta data," and "page
information" can be fundamentally distinguished:
• Document description:
Information relating to the whole document, such as signatures and encryption
• Meta data (Document meta data)
- All described data required by DocuWare for management from the system's point
of view (system properties), e.g. the Document ID. This data is identical to the index
data which the database maintains for every file.
- All described data on the document required from the user's point of view: index
data, field properties
- Store Properties contains information about the history and the logical file cabinet of
the file.
- Application Properties are information that is required for integration with other
applications, for example with SAP.
• Page descriptions:
Page-specific information, such as written or spoken annotations, levels, stamps, etc.
Write Access Conversion
The file structure of documents stored with DocuWare Version 6.x or earlier is not changed
and their header files are still used. If such a document is changed in DocuWare Version 7
or higher (e.g. if a comment is added in the viewer), the document's metadata is copied to
the database and the header file is deleted. When a document file is updated, it uses the
new file naming convention (GUID).

44
 Architecture of the File Cabinets

6.4 Fulltext Functionality

DocuWare provides its own fulltext functionality, which allows you to run an effective
search in the fulltext of documents and their index entries. The application is optional for
the user. The fulltext functionality operates as follows.
The Background Process Service (page 27) extracts text shots from the document and
stores these in the data store. The search terms of a document page and their position is
marked in the text shots. This allows the results to be marked in the document.
At the same time, the Backgournd Process Service transfers the text shots to the Fulltext
Server. This stores the text shots again in catalog files (index files) and uses them for the
search requests. The catalog files are created per DocuWare file cabinet. They are stored
on the computer where the Fulltext Server is installed by default.
If an error occurs during indexing for the fulltext search, for example if a server is not
accessible, the indexing of these documents is automatically repeated at a later time.

6.5 Special Characteristics of Document Trays

From the user's point of view, the DocuWare document trays correspond to physical
document trays at the workstation. Document trays include documents imported to that
location. These are documents that have not yet been archived or copies of documents
already in the file cabinet. However, unlike file cabinets, document trays do not have a
structured or fulltext search, a sophisticated permissions concept, or similar functions.
The document trays have a technical design similar to the file cabinets and the data are
stored in a simplified format.
The document trays are generated and managed in the DocuWare Configuration.

6.6 Export-Import Synchronization

Two file cabinets can be synchronized with each other using DocuWare (documents and
database). This synchronization is managed in the DocuWare configuration. For more
information, please go to Synchronization.
In synchronization, both file cabinets to be synchronized are equivalent partners. The two
documents are matched using globally unique GUIDs. The corresponding functions are
made available from the Platform Service interface from DocuWare version 6.10. They are
not available for earlier DocuWare versions.
Synchronization can either involve a local and a remote file cabinet or two local file
cabinets. It is not possible to synchronize two remote file cabinets.
The comparison between the file cabinets simply takes place in a text field column and so
it also only takes a short amount of time.
The synchronization process takes place through Cloud-compatible HTTP/HTTPS
(Background Process Service).
Synchronizing file cabinets as master and satellite is not supported.

45
 Architecture of the File Cabinets

6.7 Autonomous File Cabinets

Autonomous file cabinets make it possible to copy a (sub)archive to an external mass
storage medium. The DocuWare Request component makes available complete file
cabinets or selected documents available on external media (USB stick, CD/DVD, etc.) as a
ZIP file.
A request file cabinet is an independent component that can operate without installing
DocuWare. It comprises the document, an SQLite database, and a QtWebKit browser. The
browser offers a search function and a PDF viewer.

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 Communication Technologies

7 Communication Technologies
The DocuWare System components communicate with each other according to the latest
standards. The following sections tell you about the protocols used and which individual
components exchange information about which standards.

7.1 Protocols
DocuWare uses the following TCP-based protocols for communication among the
individual software components.
• HTTP/HTTPS (transmission of HTML or binary data)
HTTP is unencrypted by default. To communicate securely over the internet, you
should encrypt it with TLS/SSL (HTTPS). To do so, a certificate on the server with the IIS
(Internet Information Services) is required.
• HTTP/HTTPS with REST (Representational State Transfer)
In particular, the DocuWare Platform Service is fully REST-based.
• HTTP/HTTPS with SOAP (Simple Object Access Protocol)
SOAP is for sharing messages based on the XML Information Set. In the DocuWare
System, SOAP is used by various Frontend Services for communication with client
applications.

Communication between the layers of client applications, Frontend Services, and Backend
Services

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 Communication Technologies

7.2 Client-Server Communication

The matrix shows you which server communicates with which client applications. The
protocols used are indicated in brackets, and the ports used are indicated in a separate
line. Standard ports are used for all client applications. The only exception is DocuWare
Administration.

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 Communication Technologies

7.3 Server-Server Communication

In the matrix you can see which servers communicate with each other through which
protocols, and which databases they access. If you use several server machines for the
Frontend Services and Backend Services, please make sure that all necessary
communication ports are available for other server machines.

7.4 Message Bus

The Message Bus is the central platform for exchanging messages between the Web
Servers and most backend servers. It uses the Microsoft Message Queuing (MSMQ)
protocol. The Message Bus is responsible for sharing changes between server
components.
The Message Bus follows the publish-subscribe pattern. It implements a fire-and-forget
pattern that, for reasons of speed, requires the message to be delivered directly or it will
be lost. One typical application would be notification about newly arrived documents or
modified settings.
The messages are always sent to all subscribers. The subscribers decide whether they
want to reuse the messages or not.
The Message Bus is managed in the management console on the "Message Queuing"
node and can be installed multiple times in one DocuWare system.

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 Communication Technologies

The Message Bus is used for communication between the Frontend Services and a part of
the Backend Services.
The DocuWare setup installs the Windows functions "Microsoft Message Queue" and
"Multicast support". However, Multicast is not supported by all virtualized networks. In
multi-server installations, messages are not sent between servers. Single-server
installations are not affected.
If DocuWare is to be installed on Microsoft Azure, DocuWare will be happy to assist you
with the setup. In this case please contact the DocuWare Support.

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 External access

8 External access
To access your DocuWare system externally, for example via the Internet, you should note
of the following points. This also applies if you want to use public forms with DocuWare
Forms.
Required ports
If you set up external access to your DocuWare system, only the ports of the Web Client
(by default port 80 or 443) need to be approved in the firewall of your DocuWare system.
More information about ports can also be found in the "Server-Server Communication"
matrix (page 49) in the "Communication Technologies" chapter.
HTTPS (TLS/SSL)
The DocuWare Web Client and the DocuWare Desktop Apps support all current HTTPS. To
configure the DocuWare Web components for HTTPS (TLS/SSL), you must carry out the
following steps in IIS manager:
• Import the certificate or certificates ("server certificate", "Import" action)
• Adapt the website link and make it accessible via TLS
• If necessary, remove the HTTP link for security reasons (optional)
If you use a self-signed certificate, you must also ensure that your certification center is
defined as a trusted certification center on all clients. To do so, import the certificate into
the certificate store of all computer and user accounts in your domain, for example using a
Group Policy Object (GPO) from Microsoft.
Demilitarized Zone (DMZ)
The DocuWare Web components connect directly with the database. It is therefore not
recommended to install the DocuWare Platform Service in a DMZ, for example. All
components, including the Web components, should only be installed within the LAN. The
Web Server in the DMZ should route requests accordingly to the internal Web Server, for
example, using Application Request Routing (ARR). More information about ARR can be
found in the Load Balancing (page 63) section.

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 Additional components

9 Additional components

9.1 Intelligent Indexing

Intelligent Indexing is an application that automatically records the most important meta
data from your scanned documents and suggests them as index entries. At the same time,
the system learns with each process: If the system is familiar with a document type,
suggested index words are automatically and reliably assigned. The user only has to
confirm the suggestions or improve them. These confirmations or corrections
automatically feed into the self-learning system, which can use this feedback to
independently assign the index words after a brief learning period.
There are two different options for using Intelligent Indexing: the hosted service and the
application within the organization.
Intelligent Indexing Service
The Intelligent Indexing Service is a web-based service that is installed on an SQL Azure
Server and hosted by DocuWare.
Intelligent Indexing within an organization
You can also use Intelligent Indexing as a local application within your organization. Here,
Intelligent Indexing is installed as a part of your DocuWare system.

9.2 Cloud Service: Signature Service

For on-premises systems, the Signature Service is available as an add-on module that runs
in the DocuWare Cloud environment.
With the Signature Service you ensure that your documents are signed in a workflow via a
signature service provider. To do this, you need a license for using the Workflow Manager.
The signature certi icates must be purchased additionally.
DocuWare is currently working with the signature service providers Validated ID and
DocuSign. To use the Signature Service, an additional client license is required so that the
service can log on to DocuWare.
The service is hosted by DocuWare.

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 Connectors

10 Connectors
The web-based connectors connect the applications Connect to SAP, Version 2 and
Connect to SharePoint with DocuWare.
The connectors are set up using DocuWare Administration in the form of web instances.
They then access the Settings Service and the Platform Service.
The following sections provide information about connector system components. They are
not valid for DocuWare Cloud.

10.1 Connect to SAP, Version 2

Connect to SAP, Version 2 extends SAP with functionalities for archiving documents and
data, and uses DocuWare interfaces.
The SAP component ArchiveLink 4.7 is an OLE component facilitating scanning, viewing,
and printing, as well as storing documents directly from the SAP interface. SAP controls
the DocuWare Viewer using OLE automation to display the scanned document.
It works with extension modules developed by Varelmann Beratungsgesellschaft mbH.
The connector module is not installed through DocuWare setup, but made available by
DocuWare Professional Services as a separate application.

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 Connectors

10.2 Connect to SharePoint

Connect to SharePoint connects Microsoft Office SharePoint with DocuWare. To do this,
DocuWare is integrated into Microsoft Office SharePoint as a Records Center. The Records
Center is designed as the central storage location for documents and for the standard
connection of document management systems.
In SharePoint you can run search queries in different sources using Search Federation. The
Connect to SharePoint service returns the search results to SharePoint in the correct format.
The component features a web-based administration tool.

10.3 Connect to DATEV

With this component you extend your DATEV system with DocuWare. It consists of DATEV
Accounting (ReWe)and Connect to DATEV Enterprise Online (DUO). You can use them to
link bookings with the archived documents and access them from DATEV. The component
is only available for the German market.

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 Integration

11 Integration
DocuWare sets up its servers, web applications, and databases on the company's
infrastructure. Software services take on different user administration tasks within
DocuWare, from searching and document management to accessing databases and the
file system. Communication with the DocuWare system is primarily conducted using the
Platform Service. HTTP/HTTPS-capable devices such as network printers and smartphones
can also be used to access databases, servers, and programmed third-party applications
via the Platform Service.
The individual integration options make various functions available for archiving,
searching, synchronization, and importing. There are generally three integration options:
Generic or universal integration
This group includes integration options for multiple programs or device types:
• Virtual printer driver
• Monitored folder
• Smart Connect
• Autoindex (database synchronization)
• External select lists
• General Email
• DocuWare Scan app
• URL integration
• Log in to DocuWare using:
- Microsoft Active Directory (NTLM)
- Microsoft Azure Active Directory
- Microsoft Active Directory Federations Services 4.0 (OpenID Connect)
• Encryption of the entire URL with passphrase with optional noise for highest security
Connectors
They connect a specific software or specific device to DocuWare and enhance these
external components with numerous document management functions. These connectors
only work in combination with this one external component.
• Windows Explorer Client
• Local Data Connector
• Connect to Outlook
• Connect to SharePoint
• Connect to SAP, Version 2
For more information, see the "Connectors" chapter.
Programming
Programming can be used to integrate individual DocuWare resources and create
individual programs that provide extended DocuWare functionality in any third-party
applications, via:

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 Integration

• URL integration
• Platform/Platform .NET API
• Validating index entries and form entries
The DocuWare "Integration" White Paper provides detailed information about all options
for the web integration of applications in DocuWare.

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 Setup

12 Setup
The setup of the individual DocuWare components is split into Server Setup and Client
Setup. In addition to the Client Setup, DocuWare Update is available to update client
applications.

12.1 Server Setup

Use the server setup to install, update, and uninstall all frontend services and backend
services.
The Connect to SAP server is not installed through DocuWare setup, but made available
by DocuWare Professional Services as a separate application.
The administration and administration Power Tools are installed as client applications.
The server setup creates the databases and updates them during an upgrade. It also
creates configuration files for individual components and a machine-wide configuration
file (storage location: %programdata%/docuware/serverconfig/[Link]).

12.2 Client Setup and DocuWare Update

Use the Client Setup to install, update, and uninstall all applications required on the client
side. The applications in the Client Setup are not available via the DocuWare Setup except
for DocuWare Administration.
The Client Setup uses Windows Installer. The client components can be installed via Client
Setup or via DocuWare Update.
The following components are installed with the Client Setup:
• DocuWare Administration
DocuWare Administration can be used by regular users too, not just by administrators.
It is therefore the only component available both in Client Setup and DocuWare
Server Setup.
• User synchronization, Version 2
• Connect to Outlook
• DocuWare Desktop Apps
• DocuWare Update
• Upload Service
• Windows Explorer Client (32- and 64-bit)
• Workflow Designer
DocuWare Update
DocuWare Update automatically checks whether updates or hotfixes are available for the
applications installed on a client and reports the result to the user. If required, the client
setup opens so the user can install updated versions. In the update, the version numbers
are compared with the locally installed version numbers.

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 Setup

Command-line interface for software distribution

More information about this tool (Desktop Apps Silent Installation/Upgrade) can be found
here.

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 Scalability

13 Scalability
The DocuWare system is highly scalable and can be tailored to many different
requirements. In a small company, DocuWare can be installed as a standalone system with
all servers, databases, and storage locations on a single computer. By contrast, in a very
large company the whole system can exist in duplicate except for certain areas.
The following factors play a role in determining which form the DocuWare system should
be scaled in:
• Number of simultaneously active users
• Availability requirements
• Number of business processes covered by DocuWare and of document types
• Number of "living documents", i.e. documents that are simultaneously used in
workflows
The extent to which the DocuWare system scaling and load balancing measures described
in this chapter can be realized depends on the server edition bought.

13.1 Scaling Forms of the System

The DocuWare system can be scaled differently according to requirements. The following
sections provide information about five basic scaling forms. When installing your
DocuWare system, it is best to use one of these forms as a guide. Depending on
requirements and licenses bought, there may be differences in each individual installation.
Depending on the extent of use, we recommend one of the following five scaling forms
(XS-XL).

XS S M L XL

Users active at the same time: up

Yes Yes
to 50

Users active at the same time: up

Yes Yes
to 250

Users active at the same time: up

Yes Yes
to 500

Users active at the same time: up

Yes Yes
to 1000

Users active at the same time:

Yes
more than 1000

Fail Safety Yes Yes Yes

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 Scalability

Scaling Form XS
In this simplest form of scaling, the entire DocuWare system is installed on one server with
the frontend services, backend services, databases, and storage locations, as well as the
fulltext functionality.
You need one server license (Business, Professional or Enterprise).

DocuWare system on a server

Scaling Form S
In this scaling form, the DocuWare system is installed on two different servers. The
frontend services and backend services are installed on one server, while the databases,
storage locations, and fulltext functionality are installed on the other one.
You need a server license (Business, Professional or Enterprise).

DocuWare systems on two servers: Databases, fulltext functionality, and storage locations
are outsourced
Scaling Form M
With this scaling form, the frontend services and the backend services are each installed
once on Server 1 and Server 2. Servers 1 and 2 can therefore be accessed in the same way.
The databases, the storage locations, and the full text functionality are installed on Server
3.

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 Scalability

A load balancer is connected upstream of the complete DocuWare system. This can be
installed on separate machines or on the front-end machines Server 1 and Server 2. The
balancing can take place on Layer 7 (e.g. through Application Request Routing, ARR) or on
Layer 4 (e.g. through Network Load Balancing Services, NLBS).
To ensure that Servers 1-3 work independently of each other and can also be restarted, all
Authentication Servers work in "Local Mode." There is no further inter-machine
communication.
To enable Local Mode, in the configuration file of each Authentication Server, add the
value true to the element AuthenticationServerSettings as follows:
<DWConfig>
<AuthenticationServerSettings LocalServersOnly="true" />
</DWConfig>
Server 1 and Server 2 handle both user requests and background tasks. Therefore, the
processing of user requests may be delayed if there are many background tasks (e.g.
many incoming documents, rebuilding the full text).
For this scaling form you need either an ENTERPRISE server license or two PROFESSIONAL
server licenses.

This scaling form requires three servers and a load balancer.

Scaling Form L
With this scaling form, the frontend services are installed once each on Server 1 and Server
2, and the backend services are installed once each on Server 3 and Server 4. Server 1 to
Server 4 can therefore be accessed in the same way.
The databases, the storage locations, and the full text functionality are installed on Server
3.
A load balancer is connected upstream of the complete DocuWare system. This can be
installed on separate machines or also on the frontend machines Server 1 and Server 2.
The balancing can take place on Layer 7 (e.g. through Application Request Routing, ARR)
or on Layer 4 (e.g. through Network Load Balancing Services, NLBS).

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 Scalability

To ensure that Servers 1-5 work independently of each other and can also be restarted, all
Authentication Servers work in "Local Mode." There is no further inter-machine
communication.
To enable Local Mode, in the configuration file of each Authentication Server, add the
value "true" to the element AuthenticationServerSettings as follows:
<DWConfig>
<AuthenticationServerSettings LocalServersOnly="true" />
</DWConfig>
For this scaling form you need either an ENTERPRISE server license or two PROFESSIONAL
server licenses.

Scaling Form XL
With this scaling form, the frontend services are installed once on each of four servers
(1-4).
On four additional servers (5-8) the backend services are installed once each.
Servers 1 to 4 can therefore be accessed in the same way.
The databases, the storage locations, and the full text functionality are installed on Server
9.
A load balancer is connected upstream of the complete DocuWare system. This can be
installed on separate machines or also on the frontend servers 1-4. The balancing can take
place on Layer 7 (e.g. through Application Request Routing, ARR) or on Layer 4 (e.g.
through Network Load Balancing Services, NLBS).
To ensure that Servers 1-8 work independently of each other and can also be restarted, all
Authentication Servers work in "Local Mode." There is no further inter-machine
communication.

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 Scalability

To enable Local Mode, in the configuration file of each Authentication Server, add the
value true to the element AuthenticationServerSettings as follows:
<DWConfig>
<AuthenticationServerSettings LocalServersOnly="true" />
</DWConfig>
For this scaling form you need either two ENTERPRISE server licenses or four
PROFESSIONAL server licenses.

This scaling form requires nine servers and a load balancer.

13.2 Data Management

Databases, fulltext functionality and storage should be scaled by measures recommended
by the particular producer. For selecting the database server see section Supported
Database Systems (page 32).

13.3 Load Balancing

Once you have installed your DocuWare system based on one of the five recommended
scaling formats, it may make sense to take further individual scaling measures in certain
cases where there is a heavy load. However, you should always pay attention to the root
cause of the load: Three different scenarios that address the most important causes are
described below.
Three different technologies can be implemented for load balancing:

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 Scalability

• Application Request Routing (ARR): this is an Internet Information Services (IIS)

module from Microsoft that is installed separately upstream from the DocuWare
system. The ARR module acts as a reverse proxy and distributes HTTP requests to
underlying application servers. You can download the module from the Microsoft
website.
• Network Load Balancing Services (NLBS): NLBS is a component of Windows Server.
The idea is that various servers form a cluster. Machines acting as load balancers
distribute the requests to the application servers based on TCP. You can find more
information on the Microsoft website.
• Hardware Load Balancer
In all three load balancing options, users should always be routed to the same server for
performance reasons.
Scenario 1
Many DocuWare users are accessing the system at the same time, e.g. conducting
searches or processing tasks.
In this case, you need a scaling form with more frontend services and you should increase
the number of machines.
Scenario 2
Many predefined or some very extensive workflows run simultaneously, or many
documents that need to go through the fulltext are being filed at the same time. This may
apply to a system migration, for example.
In this case, you need more backend services and the workflow server should be installed
multiple times. The workflows must be explicitly assigned to different Workflow Servers in
order to distribute the load. See also the notes on fail-safety.
These are workflows specified in DocuWare Administration, not workflows from the Workflow Manager module.

13.4 Availability and Fail-safety

Most components can be installed multiple times in each DocuWare system for greater
fail-safety.
The tasks of the Workflow Server are an exception: user synchronization, backup, and
restore as well as synchronization of file cabinets (synchronization version 2). This situation
will be resolved with one of the next DocuWare versions.
Several Workflow Servers can be installed, but the workflows are assigned to fixed
individual Workflow Servers. If a Workflow Server fails, the workflows must be manually
configured for another server.
These limitations should be taken into account for workflows.
Geographically Dispersed Systems
A geographically dispersed solution requires a lot of effort to implement and is therefore
only recommended with the close support and guidance of DocuWare Professional
Services.

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