White Paper DocuWare on-premises

DocuWare Version 7.8

Copyright DocuWare GmbH April 2023

Copyright © 2023 DocuWare GmbH
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without notice, and should not be construed as a commitment by DocuWare GmbH.
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Contents
1. Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
1.1 Objectives of this White Paper. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
1.2 Document management and workflow automation with DocuWare. . . . . . . . . . . . . . 5
1.3 Fit for the future thanks to cutting-edge technology and integration capability. . . . 6
1.4 Three-tier architecture. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
1.5 System requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
1.6 Using client licenses. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
1.7 Using server licenses. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

2. Client applications. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
2.1 Web-based applications. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
2.2 Windows-based applications. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
2.3 Mobile clients. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

3. Frontend Services. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
3.1 Platform Service and Web Client. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
3.2 Settings Service. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
3.3 Identity Service. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

4. Backend services. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
4.1 Authentication Server. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
4.2 Settings Service. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
4.3 Background Process Service. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
4.4 Workflow Server. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
4.5 Administrative applications and services. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

5. Databases, storage locations, and fulltext index. . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

5.1 Databases. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
5.2 Supported storage locations for file cabinets and document trays. . . . . . . . . . . . . . 27
5.3 Fulltext index. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

6. Architecture of the file cabinets. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30

6.1 The "disk" concept. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
6.2 Document structure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
6.3 File structure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
6.4 Fulltext functionality. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
6.5 Special characteristics of document trays. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
6.6 File cabinet synchronization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
6.7 Autonomous file cabinets - DocuWare Request. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39

7. Communication technologies. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
7.1 Protocols. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
7.2 Client-server communication. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41

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 7.3 Server-server communication. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
7.4 Message bus. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42

8. Security and external access . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44

9. Additional components. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
9.1 Intelligent Indexing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
9.2 Cloud service: Signature Service. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46

10. Integration. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47

11. Setup. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
11.1 Server setup. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
11.2 Client setup and DocuWare Update. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48

12. Scalability. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
12.1 Scaling forms of the system. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
12.2 Data management. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
12.3 Load balancing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
12.4 Availability and data backup. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55

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 Introduction

1 Introduction

1.1 Objectives of this White Paper

This White Paper explains the architecture of DocuWare as a locally installable software
(on-premises system). You will find out which components and technologies DocuWare
uses and how they interact. The document 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 shall enable you to form a technologically well-founded opinion
about DocuWare as a locally installed system and to assess its capability in terms of
flexibility, scalability, security 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, Document
Security, Intelligent Indexing, Electronic Signatures and DocuWare Cloud.

1.2 Document management and workflow automation with

DocuWare
DocuWare is a document management system for professional enterprise content
management and workflow automation. DocuWare lets you access and process 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 workplace environment and familiar working
procedures. Documents such as invoices, delivery notes or contracts can be indexed,
archived and thus made available and processed for all purposes in a fully automated
manner. They are first gathered in electronic document trays, a little like the in-tray on your
desk. Then you can edit the documents as usual – you sort them, clip them together if
necessary, and add notes, comments, signatures, or stamps.
Finally, the documents are always stored in digital archives, the file cabinets. These 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.
Thanks to its automation and integration capabilities, you always have all documents at
hand and easily use their data in your workflows and with all kinds of integrations. The
DocuWare Knowledge Center tells you all about the different applications.
DocuWare for an on-premises installation 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.

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 Introduction

1.3 Fit for the future thanks to cutting-edge technology and

integration capability
DocuWare uses the latest technologies in programming and designing its system
architecture. As a modern enterprise content management system, you can DocuWare
smoothly integrate it with all kinds of business applications, such as your accounting
system. Integration with DocuWare is done via simplified, wizard-guided configuration.
You can also benefit from the special DocuWare connectors or integrate customized
programming.
DocuWare works on a browser, to use its Web client, you just need an internet-capable
device with a browser. Therefore you can use DocuWare across all platforms: The system
can be called up on Windows, Mac OS and Linux devices. 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 HTML5 technology and thus supports all standard
browsers, even for highly complex operating scenarios.
DocuWare works with open communication standards and uses HTTPS between the
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.
DocuWare Cloud and DocuWare as an on-premises solution are based on the same code,
so both solutions offer an almost identical range of functions. On-premises customers also
benefit from technological enhancements for DocuWare Cloud, for example in
performance, stability and scalability.

1.4 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.

1.5 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, also
regarding possible limitations, see "System Requirements" in the DocuWare Knowledge
Center.

Web Client
DocuWare supports the latest versions of 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 here.
Use of the DocuWare Desktop Apps as remote apps is not supported.

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 Introduction

1.6 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:

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 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

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 Introduction

• DocuWare Configuration (provided it is not opened via the Web Client, but directly,
e.g. via the right mouse menu belonging to the DocuWare Desktop Apps in the
Windows taskbar)
• 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
5. DocuWare Configuration used in parallel in two browsers => 0 client licenses
(provided it is not opened via the Web Client, but directly, see above)
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.

1.7 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.

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 allows you to access the DocuWare system online without having to install a client
application.
The Web Client offers all the possibilities of modern document management and workflow
automation. You can store and search the documents in a file cabinet (among other
places) and display and edit them in the DocuWare viewer. You can also perform many of
the same actions as with paper storage, such as combining several documents into a
single file. Furthermore, you can handle all your document-based processes in automated
workflows, for example your invoice approval process.
The feature set of the Web Client 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.
The Web Client is based on HTML5 technology. The component is integrated in the
Platform Service (page 16), which it uses to communicate with backend servers.
The Web Client uses the Desktop Service to communicate with the components of the
DocuWare Desktop Apps.

Configuration
DocuWare Configuration consolidates the configuration interfaces of the applications, also
called modules, within a DocuWare system. The applications are based on HTML5.
The DocuWare Configuration technically consists of two components: the user interface
with the application components and the Settings Service (page 17) for saving the
settings.
In each configuration module, you can
• create, edit and delete configurations
• assign permissions for the configurations to other users

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 Client applications

In order for a configuration module to be displayed to you in the DocuWare Configuration,

you need the corresponding functional right to use it. A list of the available configuration
modules with the respective required function rights can be found here.

2.2 Windows-based applications

Windows-based applications in the DocuWare system include administrative applications
and services, the Client Setup and DocuWare Update, user applications as well as
DocuWare Request.

User applications (Windows)

User applications comprise all applications that run under Windows on a user's client
computer and are available for users. 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:
• Edit & Send
• Export
• Import
• Printer
• Scan
• Smart Connect
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 Desktop Apps access the Platform Service using the .NET API platform.

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 Client applications

The processes of the DocuWare Desktop Apps and other components that use these
processes
Desktop Apps are installed on the client PC directly from the Web Client.
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 16) 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 Client setup as part of the Desktop Apps.
Edit & Send: The Edit & Send application allows DocuWare Web Client to open and edit
documents in the user’s default application for the corresponding file type and to transfer
documents to the standard email client.
The application runs in the background without any user interface.
Export: With DocuWare Export, you export index data of documents for data exchange
with third party applications. This is especially useful to integrate DocuWare with ERP and
accounting systems. For example, export invoice index data to import them into your
accounting system. Any accounting and ERP system capable of accepting a flat CSV file as
input can utilize the data export.
DocuWare Export is configured in DocuWare Configuration under Export Data.
Exports are started using the DocuWare Export app, which is a standalone Desktop App.

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 Client applications

Import: DocuWare Import monitors selected directories in the file system or network and
moves the files stored there automatically to DocuWare document trays or file cabinets.
Processing documents when importing, for example indexing, can be controlled using
document processing configurations, which are determined in the DocuWare
Configuration under Document processing.
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
under Document Processing.
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.
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 user defines the settings for Scan directly in the client application. In order to be able
to store the documents in a DocuWare file cabinet, the user must also be assigned a
suitable processing configuration, which is created in the DocuWare Configuration under
Document Processing.
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 applying Smart Connect, a configuration created in DocuWare Configuration is
always executed.
Connect to Outlook: With Connect to Outlook, you archive your emails directly in
DocuWare from Microsoft Outlook and use quick search to access stored emails.
Configurations for Connect to Outlook are defined in the DocuWare Configuration.
The component accesses the DocuWare servers using the Platform Service.
Both the 32 and 64-bit versions of Microsoft Outlook as well as Office 365 are supported.
Windows Explorer Client: The Windows Explorer Client integrates 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. It receives the settings via the Settings Service. Windows
Explorer Client accesses the DocuWare servers using the Platform Service.
Administrative applications (Windows)

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 Client applications

The administrative applications are DocuWare Administration, Workflow Designer, User

Synchronization, URL Creator, and Index Cleaner.
DocuWare Administration: DocuWare is administrated using DocuWare Configuration and
DocuWare Administration. Use the DocuWare Administration to set up your DocuWare
system and manage a certain part of the settings. 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
• 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.
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.
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 target file cabinets match
for an import.
The Workflow Designer calls up the settings from the Background Process Service (page
20) and other backend services using the Settings Service (page 17).
Workflow Designer forwards all information for workflow task lists in the Web Client using
the DocuWare Platform Service (page 16).

14
 Client applications

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.

2.3 Mobile clients

With DocuWare mobile clients, also called Apps, you access DocuWare directly from your
mobile device, whether using iOS or Android.

DocuWare
You can also access all documents, participate in workflows and store documents, images
and files on your smartphone, even from other apps. The free app is connected to your
DocuWare system via QR code.
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 only stored locally. 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.

15
 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 48) 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 https://
<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.
The Platform Service accesses the Authentication Server and the databases directly.
By using HTTPS and 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.
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.
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.

16
 Frontend Services

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.
For more information, see the DocuWare Developer Documentation.

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 https://<Server 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 allows a user to authenticate via single sign-on (SSO). 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, 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 or to another provider of OenID Connet (like for
example Okta or Ping Identity).
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

17
 Frontend Services

within DocuWare, you 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.
If you use the internal mySQL database of DocuWare, a version 2 or higher is needed. If
you use an individual MySQL installation it must be updated to MySQL version 5.6 or
higher.

18
 Backend services

4 Backend services
Backend services are the servers in a DocuWare on-premises 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 48) 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.
The Authentication Server stores the settings in the DWSYSTEM database. The
Authentication Server transmits changes in settings to other components via Message Bus
(page 42).
The Authentication Server is managed in DocuWare Administration.

4.2 Settings Service

The Settings 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 Settings Service. An organization
thus comprises the following as a logical structure:
• Users and user groups
• File cabinets, including their associated disks
• Processes
• Templates for stamps, formats for recognizing text (OCR) and barcodes (OBR), select
lists
• Audit report

19
 Backend services

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.
Settings Service is therefore used by:
• One or more organizations each with
• At least one or more users
Additional information on the permissions concept

4.3 Background Process Service

The DocuWare system runs various background processes, the following of which are
hosted in the Background Process Service:
• Autoindex
• Creating and importing self-supporting DocuWare Request file cabinets
• Control of workflows
• Customer Experience Improvement Program (CEIP)
• Email notifications
• Export of documents
• Deletion policies
• File cabinet synchronization
• Fulltext structure
• General Email
• Intelligent Indexing
• Transfer
• Trash bin cleanup
The background processes are managed in DocuWare Configuration.

Autoindex
The Background Process Service checks the saved user ID against the Authentication
Server, calls up data from configured sources, and communicates with the Platform Service
for indexing. It also automatically starts Autoindex at a defined file cabinet event, for
example the storage of a new document.

Control of workflows
The Background Process Service stores and manages workflow configurations and
workflow instances from the Workflow Manager module.
One new workflow instance is generated per edited document. These workflow instances
are controlled by entries in the DWSYSTEM.DWTasksWFE table. The workflow
configurations and workflow instances are stored by the Background Process Service in the
DWWORKFLOWENGINE database and called up from there.

20
 Backend services

All settings that affect permissions and other sensitive data are called up by the
Background Process Service from the Authentication Server.

Fulltext structure
The Background Process Service is 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
DWDATA database and forwards it to the Fulltext server at the same time.

Deletion Policy
The Background Process Service manages the rules for deleting documents. These rules
are defined through filters.

Document Export
The Background Process Service 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.

Email Notifications
The Business Process Service 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 (DWSYSTEM.DWTASKS).
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.

General Email
For storage, the Background Process Service sends the documents to the Platform Service.

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.

21
 Backend services

Trash bin cleanup

A background process permanently deletes all documents that were moved to the trash
more than 30 days ago.

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
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
48) as standard.
• Message Bus Administration
DocuWare services use Message Bus for communication through use of the Message
Bus Administration.
The component is installed with the Server Setup (page 48) as standard.

22
 Backend services

• Migration of documents
With the Document 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 the Document 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.

23
 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.

5.1 Databases
For its operation, DocuWare requires several relational databases. These databases are
used for storing the structured index data of the documents, for searching them and for
the full-text index. In addition, DocuWare stores all essential system information (such as
Authentication Server data) in a database or saves workflow information there.

Supported database systems

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 48).
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 32 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.
• 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.

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 Databases, storage locations, and fulltext index

• 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 unique number within each
file cabinet. The DOCID refers to the complete document even if it consists of multiple
files.
The 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 Platform.NET API version 7.1 or higher.

25
 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]

26
 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.

27
 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.

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:
• 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

28
 Databases, storage locations, and fulltext index

documents. Files in NetApp storages cannot be edited and are assigned the "Read Only"
attribute. Even if disks on NetApp storage solutions can be set to different types in the
DocuWare Administration, we recommended to select the type "WORM" because it is best
suited for the NetApp behavior.

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. The optional Fulltext Server is based on the SolR 9 platform. For more
information, see the Fulltext Functionality (page 38) section.

29
 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 or in multiple file
cabinets.
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 for 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
• File cabinet fields / index fields
• Access rights and file cabinet profiles for the archive or for individual fields
• The user dialogs for file storage, searches, results list, and folder structures
• Additional functionalities, e.g. availability of a fulltext index, type, and extent of the
stamps that are available for document processing

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:

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 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 (see graphic above):
For a document, a 3-page PDF/A file generated by DocuWare and a 2-page Word file are
clipped together in the document tray.
Example 3:
For one document, a PDF/A file generated by DocuWare, a 3-page Word file and a 2-page
PDF file are clipped together in the tray. The document then consists of three files:
1. File of the document: PDF/A file with page 1
2. File of the document: Word file with pages 1, 2, and 3
3. File of the 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.

Metadata of the documents

The metadata contains information about the document, such as stamps, index data, and
annotations. The metadata,is automatically stored in the file cabinet database. Copies of
these data can optionally be saved in a ZIP-based file format (extension.DWX) 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.
This means that the documents with their index data are still completely available even if
the database fails completely without a backup. However, the restoration can be very time-
consuming and is therefore no substitute for a conventional database backup.
A command line tool is available for restoring database entries from the file cabinet
location in a DocuWare on-premises system.
When the user deletes a document from the file cabinet, it is moved to the recycle bin and
all metadata from the database is saved in a TBDWX file. This file is removed when the
document is restored or deleted from the trash bin.

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 Architecture of the file cabinets

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.

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 Architecture of the file cabinets

6.3 File structure

As with all contents of the white paper System Architecture, this chapter refers exclusively to DocuWare On-premises.

With DocuWare version 7, the file structure of the documents has changed. If you were
already using DocuWare version 6.12 or earlier and are now working with version 7 or
higher, your documents are stored in different structures.
• Since DocuWare version 7: The metadata is automatically stored in the file cabinet
database. Copies of this data can optionally be saved in a ZIP-based file format
(extension .DWX) in the file cabinet storage location. (However, if the option is not
used, this may result in a performance gain). The DWX files are updated
asynchronously and not as part of the document change.
• Up to DocuWare version 6.12: The metadata was always automatically stored in a
header file per document in the file cabinet storage location.
Documents stored with a DocuWare version 6.x or earlier are only transferred to the
new storage structure if they are edited or their index entries are changed. The
storage structure of documents stored with a DocuWare version 6.x or earlier is
therefore not changed and their header files continue to be used.
If such a document is changed in DocuWare version 7 or higher (e.g. if an annotation
is added in the viewer), the metadata of the document is copied to the database and
the header file is deleted. If the option to save DWX files is activated, a DWX file is
saved. The new file naming convention (GUID) is used.

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

Documents stored with DocuWare version 7 or higher

A metadata file in DWX format can be created for each stored document. 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.
For each file that is part of a DocuWare document, the DWX file contains a separate
section. Within the DWX file, the main elements are:

33
 Architecture of the file cabinets

• 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:

34
 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 F0.doc. A document that
consists of several parts would therefore be represented like this:
\00000001\ 0000000001.XML
\ F0.docx
\ F1.xlsx
\ F2.pdf
\ F3.pdf
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\0000000001.XML
D:\File_cabinets\Document.000001\000\000\000\0000000001\F0.doc
D:\File_cabinets\Document.000001\000\000\000\0000000001\F1.xls
D:\File_cabinets\Document.000001\000\000\000\0000000001\F2.pdf
...
D:\File_cabinets\Document.000001\000\000\000\0000000002\ (second document in file
cabinet)
D:\File_cabinets\Document.000001\000\000\000\0000000002\0000000002.XML
D:\File_cabinets\Document.000001\000\000\000\0000000002\F0.xls
...
...
D:\File_cabinets\Document.000001\000\000\000\0000000256\ (last document in
000\000\000)
D:\File_cabinets\Document.000001\000\000\000\0000000256\0000000256.XML
D:\File_cabinets\Document.000001\000\000\000\0000000256\F0.pdf
...
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\0000000257.XML

35
 Architecture of the file cabinets

D:\File_cabinets\Document.000001\000\000\001\0000000257\F0.doc
...
...
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.
For each file that is part of a DocuWare document the header file contains a separate
section.
Within the header file, the elements "Document description," "meta data," and "page
information" can be fundamentally distinguished:

36
 Architecture of the file cabinets

• 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.

37
 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. The
fulltext functionality operates as follows.
The Background Process Service (page 20) 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

The essential application scenario for document trays is the viewing of new documents
and their processing before archiving. For this reason, new documents are often first
imported into a document tray. This is also where the documents are evaluated using
Intelligent Indexing. In addition, a document tray can be used for copies of documents
that have already been archived.
Document trays are technically structured like archives and the data is stored in a
simplified format. Unlike archives, however, document trays do not have a structured
search or a full-text search, nor do they have a rights concept. They are usually configured
so that only one user has access to them. In comparison to the analog world, they
correspond to a filing basket for incoming documents on the desk.
In principle, it is also possible to give multiple users access to a document tray. However, it
is important to note that no logging takes place in the document tray and no more precise
assignment of rights is possible. Anyone who has access to a document tray may perform
any action there. An individual action cannot be assigned to a specific user in retrospect.

6.6 File cabinet synchronization

Two file cabinets can be synchronized with each other using DocuWare (documents and
database). This synchronization is managed in the DocuWare configuration. More
information can be found here.
In synchronization, both file cabinets to be synchronized are equivalent partners. The two
documents are matched using globally unique GUIDs. One of the file cabinets to be
synchronized must be located in the local system, the other one can be located in the
same or in another DocuWare system.

38
 Architecture of the 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 is executed through
Cloud-compatible HTTPS by the Background Process Service.

6.7 Autonomous file cabinets - DocuWare Request

DocuWare Request makes complete file cabinets or selected documents available on
external media 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.

39
 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.
• HTTPS (transmission of HTML or binary data)
HTTP is unencrypted by default. To communicate securely over the internet, you must
encrypt it with TLS/SSL (HTTPS). To do so, a certificate on the server with the IIS
(Internet Information Services) is required.
• HTTPS with REST (Representational State Transfer)
In particular, the DocuWare Platform Service is fully REST-based.
• 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

40
 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.

41
 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.

42
 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". Multicast is not supported by all virtualized networks but it is required
for DocuWare Multi-server installations because messages need to be exchanged
between servers. Multicast support is not required for installations on a single server.
If DocuWare is to be installed on Microsoft Azure, DocuWare will be happy to assist you
with the setup. For more information, see the DocuWare Knowledge Base or contact the
DocuWare Support.

43
 Security and external access

8 Security and 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 42) 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
• Remove the HTTP link for security reasons
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.

Split DNS
To be able to use the Identity Service of DocuWare, you must have set up Split DNS. This is
the only way to resolve the host name to an IP address in the internal network and another
IP address in the external network and to avoid certificate error messages.

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 54) section.

44
 Security and external access

Protecting sensitive data outside of DocuWare

Some of the data of DocuWare is unshielded and cannot be protected by specific
DocuWare security mechanisms. This include the index data of the documents and the
extracted full text, which are stored in their respective databases. Every system
administrator with sufficient privileges to view the database can access these data. Fulltext
is also stored in a separate index that is controlled by the fulltext server. The fulltext server
is based on Apache SolR, a widely used fulltext engine.
If these data repositories contain sensitive data, then access to the databases, to the index
location, and the access to the full text server URL - by default http://machinename:9012/
solrt need to be restricted by the administrator using common methods such as access
control lists for file directories or databases as well as a transparent Encrypted File System
(EFS) for the fulltext user.

Protection against malware

Cryptoviruses, for example, encrypt files in a file system so that they can no longer be used
afterwards. When a user accesses synchronized cloud storage such as DropBox or
Onedrive or a filesharing server with his infected computer, there is a risk that the virus will
encrypt the entire contents of the cloud storage.
This cannot happen with documents stored in DocuWare, as the files on the file storage
are read and written exclusively by DocuWare server components. Only the account for
DocuWare services requires write access. Since there is no bidirectional synchronization
with the file system, a crypto virus on a client computer cannot cause any damage to the
DocuWare system used.

45
 Additional components

9 Additional components

9.1 Intelligent Indexing

Intelligent Indexing is an application that automatically detects 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:
• Intelligent Indexing as a cloud service
The Intelligent Indexing Service is a web-based service that is installed on Microsoft
Azure and hosted by DocuWare. For more information, see the White Paper Intelligent
Indexing.
• Intelligent Indexing as an on-premises module
You can also use Intelligent Indexing as a local application that is 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.
For this, you need a license for the use of Workflow Manager. In addition, the signature
certificates and a signature quota must be purchased. To use the Signature Service, an
additional client license is required so that the service can log in to DocuWare.
The service is hosted by DocuWare. For more information, including on licensing and
Signature service providers see the White Paper Electronic signatures with DocuWare.

46
 Integration

10 Integration
The individual integration options make various functions available for archiving,
searching, synchronization, and importing. There are generally three integration options
for DocuWare on-premises:
• Generic or universal integration: This group includes integration options for multiple
programs or device types, for example DocuWare Printer (virtual printer driver), Smart
Connect or Autoindex.
• Connectors 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. Example are
Connect to Outlook, Connect to Teams or Connect to SAP.
• Programming can be used to integrate individual DocuWare resources and create
individual programs that provide extended DocuWare functionality in any third-party
applications, via URL integration or Platform/Platform .NET API.
The DocuWare "Integration" White Paper provides detailed information about all options
for the web integration of applications in DocuWare.

47
 Setup

11 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.

11.1 Server setup

With the server setup, you 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.
DocuWare Administration can be installed with both the server setup and the client setup.
To install the administrative Power Tools as client applications, you use the server setup.
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/dwmachine.config).

11.2 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.
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
• DocuWare Export
• Upload Service
• Windows Explorer Client (32- and 64-bit)
• Workflow Designer

48
 Setup

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.

Command-line interface for software distribution

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

49
 Scalability

12 Scalability
The DocuWare system is highly scalable and can be tailored to meet a wide range of
requirements. For smaller application scenarios, DocuWare can be installed as a
standalone system with all servers, databases and storage locations on a single computer.
In contrast, for very complex application scenarios, the entire system can be duplicated
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.

12.1 Scaling forms of the system

There are 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

50
 Scalability

Scaling form XS: 1 server

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: 2 servers

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: 3 servers

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.

51
 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 machine-to-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: 5 servers

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
5.
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).

52
 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: 9 servers

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 8 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 machine-to-machine
communication.

53
 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.

12.2 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 24).

12.3 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:

54
 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. (These are workflows specified in DocuWare Administration,
not workflows from the Workflow Manager module.) See also the notes on fail-safety (page
55).

12.4 Availability and data backup

To ensure business continuity, a DocuWare system and its services should be fully
operational. Users can access documents, data and applications at any time.

Availability
Since a document management system is usually embedded in a heterogeneous IT
infrastructure, a failure can nevertheless occur for reasons that initially have nothing to do
with the DMS - for example due to a hardware crash or an infection of client computers in
the company with malware.
DocuWare can prevent both of these problems through its scalability: servers and other
components can be installed multiple times, so that redundant components can
seamlessly take over the functions that have failed in the event of a hardware crash (see
previous chapter).

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 Scalability

The tasks of the Workflow Server are an exception: user synchronization, backup, and
restore as well as synchronization of file cabinets (synchronization version 2).
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.
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.

Data backup
Backup runs should be established for the data and documents in the DocuWare system
so that the data can be restored immediately in the event of a hardware crash.
The backup of DocuWare databases and storage locations is the responsibility of the
corporate IT department. There is no DocuWare mechanism that automatically backs up
databases and storage locations.
The following DocuWare components must be backed up externally so that they are
available again in the event of a hardware crash:
Databases
• DWSYSTEM: data relevant to the system and organization
• DWDATA: internal information for searching and finding documents
• DWNOTIFICATION: email notifications
Contents of the storage locations
A storage location is a file directory in the network or in a CAS system (Content Addressed
Storage), in which documents and files from file cabinets and document trays, among
others, are stored.
Fulltext text shots
The fulltext server stores the text shots in catalog files and uses them for the search
queries. By default, they are stored on the computer on which the fulltext server is also
installed. These catalog files can also be backed up as part of a backup and can be easily
restored.
Metadata
All metadata of documents such as index data, annotations, stamps and signatures are
automatically stored in the database and can be restored via an external database backup
after hardware damage.
In addition, it is possible to save the metadata in the ZIP-based DWX format (page 30) in
the file cabinet's storage location. With the console application Restore Index Data, these
redundantly stored metadata can be restored.

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