Kofax Transformation Modules (KTM)

General Information

Technologies must be operated and maintained in accordance with Federal and Department security and privacy policies and guidelines. More information on the proper use of the TRM can be found on the TRM Proper Use Tab/Section.

Website:	Go to site
Description:	Kofax Transformation Modules (KTM) software facilitates the transformation of business documents into structured electronic information by automating the process of document classification and data extraction. KTM features document recognition technologies that can classify, separate, and extract data from documents, regardless of type, content, or format. Once documents are classified, data is extracted and the system automatically routes them to the appropriate systems and staff within the organization. KTM integrates closely with Kofax Capture by giving access to document scanners and its backend storage solutions. Kofax Capture is VA-approved and required for KTM usage. Kofax Capture stores transitory data in a Microsoft Structured Query Language (SQL) Server or Oracle Database. The connections are Open Database Connectivity (ODBC) based and handled internally by the software. Data in process is intended to be transient, with permanent storage intended to be in a system of record. As such, data is only kept while the process is live. Upon completion, data is stored in the client`s content repository or system of record. Data in process is managed by Kofax Capture. Data stored in Kofax Capture, while in transit, can be encrypted with Microsoft Encrypting File System (EFS). This technology can use Oracle database to store data.
Technology/Standard Usage Requirements:	Users must ensure their use of this technology/standard is consistent with VA policies and standards, including, but not limited to, VA Handbooks 6102 and 6500; VA Directives 6004, 6513, and 6517; and National Institute of Standards and Technology (NIST) standards, including Federal Information Processing Standards (FIPS). Users must ensure sensitive data is properly protected in compliance with all VA regulations. Prior to use of this technology, users should check with their supervisor, Information Security Officer (ISO), Facility Chief Information Officer (CIO), or local Office of Information and Technology (OI&T) representative to ensure that all actions are consistent with current VA policies and procedures prior to implementation.
Section 508 Information:	This technology has not been assessed by the Section 508 Office. The Implementer of this technology has the responsibility to ensure the version deployed is 508-compliant. Section 508 compliance may be reviewed by the Section 508 Office and appropriate remedial action required if necessary. For additional information or assistance regarding Section 508, please contact the Section 508 Office at Section508@va.gov.
Decision:	View Decisions

Decision Source:	TRM Mgmt Group
Decision Process:	One-VA TRM v22.12
Decision Date:	12/05/2022 at 17:52:47 UTC
Aliases:	KTM
Introduced By:	TRM Request
Vendor Name:	Kofax Inc.

Vendor Release Information

The Vendor Release table provides the known releases for the TRM Technology, obtained from the vendor (or from the release source).

Version	Release Date	Vendor End of Life Date	Vendor Desupport Date
4.0	10/27/2009
4.5	05/21/2010
5.0	02/09/2011
5.5	01/31/2012
6.0	07/26/2013
6.0.1	04/29/2014
6.0.2	09/26/2014
6.1	07/25/2015
6.2.x	05/19/2017
6.3.x	04/19/2019
7.0.x	11/11/2022

Current Decision Matrix (11/21/2022)

Users must ensure their use of this technology/standard is consistent with VA policies and standards, including, but not limited to, VA Handbooks 6102 and 6500; VA Directives 6004, 6513, and 6517; and National Institute of Standards and Technology (NIST) standards, including Federal Information Processing Standards (FIPS). Users must ensure sensitive data is properly protected in compliance with all VA regulations. Prior to use of this technology, users should check with their supervisor, Information Security Officer (ISO), Facility Chief Information Officer (CIO), or local Office of Information and Technology (OI&T) representative to ensure that all actions are consistent with current VA policies and procedures prior to implementation.

The VA Decision Matrix displays the current and future VA IT position regarding different releases of a TRM entry. These decisions are based upon the best information available as of the most current date. The consumer of this information has the responsibility to consult the organizations responsible for the desktop, testing, and/or production environments to ensure that the target version of the technology will be supported. Any major.minor version that is not listed in the VA Decision Matrix is considered unapproved for use.

Legend:

White	Approved: The technology/standard has been approved for use.
Yellow	Approved w/Constraints: The technology/standard can be used within the specified constraints located below the decision matrix in the footnote[1] and on the General tab.
Gray	Unapproved: This technology or standard can be used only if a POA&M review is conducted and signed by the Authorizing Official Designated Representative (AODR) as designated by the Authorizing Official (AO) or designee and based upon a recommendation from the POA&M Compliance Enforcement, has been granted to the project team or organization that wishes to use the technology.
Orange	Divest: VA has decided to divest itself on the use of the technology/standard. As a result, all projects currently utilizing the technology/standard must plan to eliminate their use of the technology/standard. Additional information on when the entry is projected to become unapproved may be found on the Decision tab for the specific entry.
Black	Prohibited: The technology/standard is not (currently) permitted to be used under any circumstances.
Blue	Planning/Evaluation Constraint:The period of time this technology is currently being evaluated, reviewed, and tested in controlled environments. Use of this technology is strictly controlled and not available for use within the general population. If a customer would like to use this technology, please work with your local or Regional OI&T office and contact the appropriate evaluation office displayed in the notes below the decision matrix. The Local or Regional OI&T office should submit an inquiry to the TRM if they require further assistance or if the evaluating office is not listed in the notes below.

Release/Version Information:

VA decisions for specific versions may include a ‘.x’ wildcard, which denotes a decision that pertains to a range of multiple versions.

For example, a technology approved with a decision for 7.x would cover any version of 7.(Anything) - 7.(Anything). However, a 7.4.x decision would cover any version of 7.4.(Anything), but would not cover any version of 7.5.x or 7.6.x on the TRM.

VA decisions for specific versions may include ‘+’ symbols; which denotes that the decision for the version specified also includes versions greater than what is specified but is not to exceed or affect previous decimal places.

For example, a technology approved with a decision for 12.6.4+ would cover any version that is greater than 12.6.4, but would not exceed the .6 decimal ie: 12.6.401 is ok, 12.6.5 is ok, 12.6.9 is ok, however 12.7.0 or 13.0 is not.

<Past

CY2023

CY2024

CY2025

Future>

Release

Q1

Q2

Q3

Q4

Q1

Q2

Q3

Q4

Q1

Q2

Q3

Q4

4.0

Unapproved

4.5

Unapproved

5.0

Unapproved

5.5

Unapproved

6.0

Unapproved

6.0.1

Unapproved

6.0.2

Unapproved

6.1

Unapproved

6.2.x

Unapproved

6.3.x

Divest
[3, 6, 8, 9]

Divest
[3, 6, 9, 10]

Divest
[3, 6, 10, 11]

Unapproved

7.0.x

Approved w/Constraints
[3, 6, 8, 9]

Approved w/Constraints
[3, 6, 9, 10]

Approved w/Constraints
[3, 6, 10, 11]

Decision Constraints


[1]	Veterans Affairs (VA) users must ensure VA sensitive data is properly protected in compliance with all VA regulations. All instances of deployment using this technology should be reviewed by the local ISO (Information Security Officer) to ensure compliance with VA Handbook 6500.

[2]	Veterans Affairs (VA) users must ensure VA sensitive data is properly protected in compliance with all VA regulations. All instances of deployment using this technology should be reviewed by the local ISO (Information Security Officer) to ensure compliance with VA Handbook 6500.

[3]	Technology must remain patched and operated in accordance with Federal and Department security policies and guidelines in order to mitigate known and future security vulnerabilities.

[4]	Users must ensure that Microsoft .NET Framework and Microsoft Internet Information Services (IIS) are implemented with VA-approved baselines. (refer to the ‘Category’ tab under ‘Runtime Dependencies’)

[5]	Veterans Affairs (VA) users must ensure VA sensitive data is properly protected in compliance with all VA regulations. All instances of deployment using this technology should be reviewed by the local ISO (Information Security Officer) to ensure compliance with VA Handbook 6500.

[6]	Users must ensure that Microsoft Internet Information Services (IIS) and Oracle Database are implemented with VA-approved baselines. (refer to the ‘Category’ tab under ‘Runtime Dependencies’)

[7]	Per the May 5th, 2015 memorandum from the VA Chief Information Security Officer (CISO) FIPS 140-2 Validate Full Disk Encryption (FOE) for Data at Rest in Database Management Systems (DBMS) and in accordance with Federal requirements and VA policy, database management must use Federal Information Processing Standards (FIPS) 140-2 compliant encryption to protect the confidentiality and integrity of VA information at rest at the application level. If FIPS 140-2 encryption at the application level is not technically possible, FIPS 140-2 compliant full disk encryption (FOE) must be implemented on the hard drive where the DBMS resides. Appropriate access enforcement and physical security control must also be implemented. All instances of deployment using this technology should be reviewed to ensure compliance with VA Handbook 6500 and National Institute of Standards and Technology (NIST) standards. It is the responsibility of the system owner to work with the local CIO (or designee) and Information Security Officer (ISO) to ensure that a compliant DBMS technology is selected and that if needed, mitigating controls are in place and documented in a System Security Plan (SSP).

[8]	Veterans Affairs (VA) users must ensure VA sensitive data is properly protected in compliance with all VA regulations. All instances of deployment using this technology should be reviewed by the local ISSO (Information System Security Officer) to ensure compliance with VA Handbook 6500.

[9]	Per the May 5th, 2015 memorandum from the VA Chief Information Security Officer (CISO) FIPS 140-2 Validate Full Disk Encryption (FOE) for Data at Rest in Database Management Systems (DBMS) and in accordance with Federal requirements and VA policy, database management must use Federal Information Processing Standards (FIPS) 140-2 compliant encryption to protect the confidentiality and integrity of VA information at rest at the application level. If FIPS 140-2 encryption at the application level is not technically possible, FIPS 140-2 compliant full disk encryption (FOE) must be implemented on the hard drive where the DBMS resides. Appropriate access enforcement and physical security control must also be implemented. All instances of deployment using this technology should be reviewed to ensure compliance with VA Handbook 6500 and National Institute of Standards and Technology (NIST) standards. It is the responsibility of the system owner to work with the local CIO (or designee) and Information System Security Officer (ISSO) to ensure that a compliant DBMS technology is selected and that if needed, mitigating controls are in place and documented in a System Security Plan (SSP).

[10]	Veterans Affairs (VA) users must ensure VA sensitive data is properly protected in compliance with all VA regulations. All instances of deployment using this technology should be reviewed by the local ISSO (Information System Security Officer) to ensure compliance with both VA Handbook 6500 and VA Directive 6500.

[11]	Per the May 5th, 2015 memorandum from the VA Chief Information Security Officer (CISO) FIPS 140-2 FIPS 140-2 Validate Full Disk Encryption (FOE) for Data at Rest in Database Management Systems (DBMS) and in accordance with Federal requirements and VA policy, database management must use Federal Information Processing Standards (FIPS) 140-2 or its successor to protect the confidentiality and integrity of VA information at rest at the application level. If FIPS 140-2 encryption at the application level is not technically possible, FIPS 140-2 or 140-3 compliant full disk encryption (FOE) must be implemented on the storage device where the DBMS resides. Appropriate access enforcement and physical security control must also be implemented. All instances of deployment using this technology should be reviewed to ensure compliance with VA Handbook 6500 and National Institute of Standards and Technology (NIST) standards. It is the responsibility of the system owner to work with the local CIO (or designee) and Information System Security Officer (ISSO) to ensure that a compliant DBMS technology is selected and that if needed, mitigating controls are in place and documented in a System Security Plan (SSP). By September 22, 2026, all FIPS 140-2 certificate validations will be placed on the Historical List, please refer to FIPS Transition Effort for further guidance and timeline of changes.

Note:

At the time of writing, version 7.0.0.5 is the most current version, released 11/11/2022.

References

The following reference(s) are associated with this entry:
Type	Name	Source	Description
Vendor Provided*	Kofax Transformation Modules Documentation		This link provides documentation such as release notes, installation guide, and end-user documentation.
*NOTE: Vendor provided information is subject to the accuracy of the manufacturer.

Technology Components

Note: This list may not be complete. No component, listed or unlisted, may be used outside of the technology in which it is released. The usage decision for a component is found in the Decision and Decision Constraints.
Name	Description
Correction Module	Correction Module is used to review extraction results for individual fields and correct low confidence characters extracted with zonal optical character recognition (OCR) in a speed-optimized environment.
Document Review Module	Document Review Module is used to review batch structure and ensure that each document contains the correct pages and is correctly classified.
Knowledge Base Learning Server	Knowledge Base Learning Server performs online learning tasks to improve recognition based on validation input for documents with unsatisfactory extraction results.
Kofax Search and Matching Server	Kofax Search and Matching Server is a standalone product that is used with Kofax Transformation Modules (KTM) to improve database interactions by providing a fuzzy search functionality.
Kofax Transformation Modules (KTM) Server	KTM Server automatically separates a batch into documents and then classifies and extracts information from each document. KTM Server also groups documents into folders based on common features if foldering is enabled.
Kofax Transformation Toolkit	Kofax Transformation Modules (KTM) Toolkit provides a set of application programming interfaces (APIs), written in .NET.
Project Builder	Project Builder is a configuration module that is used to develop, train, and test Kofax Transformation Modules configurations.
Thin Client Correction Module	Thin Client Correction Module is a web-based user-interactive module. The module is used to review extraction results for individual fields and correct low confidence characters extracted with zonal OCR in a speed-optimized environment.
Thin Client Validation Module	Thin Client Validation Module is a web-based user-interactive module. The module is used to review extraction results for an entire document and to ensure that all information is valid.
Thin Client Verification Module	Thin Client Verification Module is a web-based user-interactive module. The module is used to double key critical data to ensure greater accuracy from extracted data.
Validation Module	Validation Module is used to review extraction results for an entire document and to ensure that all information is valid. Documents can also be marked for online learning.
Verification Module	Verification Module is used to double key critical data to ensure greater accuracy from extracted data.

VA Categories View the VA Categorization Framework

Domain Area	Category	Customer Guidance	Category Locked By ELT Date
Collaboration and Electronic Workplace Productivity Software	Miscellaneous Productivity Tools and Utilities

Operating Systems Supported by the Technology

Windows Client - Approved w/Constraints
Windows Server - Approved w/Constraints

Technologies/Standards Relationships

Runtime Dependencies:

Comparable Technologies:

Companion Technologies/Supported Standards:

General Analysis

Adoption Benefits

At the time of writing, no National Institute of Standards and Technology (NIST) vulnerabilities had been reported and no VA Cyber Security Operations Center (CSOC) bulletins had been issued for the latest versions of this technology.
This is a mature technology.
This is a well-documented technology.
This technology supports several industry standard file formats.
This technology integrates with other TRM approved technologies such as Kofax Capture and provides enhanced functionality.

Adoption Risks

This technology can integrate with and alter database technologies.
The potential exists to store Personally Identifiable Information (PII), Protected Health Information (PHI) and/or VA Sensitive data and proper security standards must be followed in these cases.
Due to the rapid release schedule of this technology, the VA may be unable to update to the most recent patch and may require a deployment model requiring the use of specific versions.

Architectural Risks

This technology is not portable as it runs only on Windows platforms.

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Current Decision Matrix (11/21/2022)

Decision Constraints

References

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VA Categories View the VA Categorization Framework

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Comparable Technologies:

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General Information

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Current Decision Matrix (11/21/2022)

Decision Constraints

References

Technology Components

VA Categories View the VA Categorization Framework

Operating Systems Supported by the Technology

Technologies/Standards Relationships

Runtime Dependencies:

Comparable Technologies:

Companion Technologies/Supported Standards:

General Analysis

Adoption Benefits

Adoption Risks

Architectural Risks

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