Abstract: An image-based transaction processing system which captures and stores images of debit and credit transaction documents, while also extracting document data for storage in a computer data base. The computer processes the extracted document data to identify out-of-balance transactions. The document images of an out-of-balance transaction are sent to a balancing workstation which provides a multi-window display for controllably displaying the transaction in a manner which permits the cause of the out-of-balance condition to be readily determined and corrected. The multi-window display includes windows for displaying selected images of debit and credit documents as well as windows for displaying credit and debit amounts and the out-of-balance amount of the transaction.

Abstract: An image-based document processing system comprised of a plurality of hardware components arranged as a platform for processing documents using document images. The system employs a layered software architecture comprised of application programs, system services and a plurality of native operating systems provided for particular ones of the hardware components. The system services are callable by the application programs to provide an interface between the application programs and the native operating systems during operation of the system.

Abstract: An image-based transaction processing system employing automatic reading of machine-printed and handwritten financial amounts on transaction documents to enhance transaction balancing by reducing the number of transactions which have to be balanced by an operator. The automatic reader provides a second choice as well as a first choice for one or more digits. When an out-of-balance transaction is detected, one or more second choice digits are substituted for corresponding first choice digits in order to obtain automatic transaction balancing even through an automatically read amount is incorrect.

Abstract: A method for summarizing document characteristics of documents processed by a document image processing system so that the document characteristics can be quickly identified and analyzed. Document characteristics are stored in an audit file for each document processed as the document is processed by the system so that the document characteristics can be summarized and analyzed at a later time. An analyzer processes a request for an analysis of document characteristic data. The analyzer provides a summary of information stored in the audit file in combination with results of previous summaries which have been accumulated in a history file. The analyzer accumulates information stored in the audit file for classes of documents. The accumulated information is then merged with information stored in the history file. During the merge process, information the history file is updated and information for the summary is accumulated.

Abstract: A method which provides for handling misplaced transaction documents in an image based transaction processing system which performs transaction balancing. A preferred form of the method provides for displaying out-of-balance transactions such that transaction debit and credit data are displayed along with one or more document images. Using this transaction display, it is determined whether a transaction includes a misplaced document which does not belong, or whether a document is missing from the transaction. If a transaction is found to include a document which does not belong, data corresponding to the document is stored in a free item store. If a transaction is found to have a missing document, the free item store is accessed and one or more documents therefrom are displayed to permit determining whether any of these candidates correspond to the missing document.

Abstract: A method for obtaining priority document shipment in an image-based transaction processing system, wherein each transaction comprises a plurality of debit and credit documents which should be balanced. Images of documents are captured while sorting the documents into groups in accordance with document shipment. The captured images are then viewed for extracting amount data. The extracted amount data is used for identifying out-of-balance transactions. When a group is selected for priority document shipment, only those document images from the selected group which are also part of an out-of-balance transaction are viewed again, a previously extracted amount from a document being changed if the amount extracted as a result of this additional viewing causes the corresponding transaction to balance.

Abstract: A bank document processing system for processing checks, deposit slips and other financial documents which advantageously combines an automatic expert reconciliation system with conventional multi-tasking document processing apparatus so as to enable the expert reconciliation system to function as an integral part of the overall document processing system. In particular, the combined system allows expert and conventional data processing systems to efficiently and automatically communicate with one another and an operator so that expert solutions as well as conventional prebalancing results can be displayed to the operator to permit him to expeditiously perform transaction balancing functions without the need for the operator to have special expertise in finding these solutions.

Abstract: A method which provides for controlling the ordering of document images in an image based document processing system so as to minimize the likelihood of an operator making an incorrect entry. In a particular preferred embodiment, transactions comprised of a single deposit ticket and a single check are reordered when displayed for amount entry so that they are separated by at least one document image. This minimizes data entry errors, since an operator cannot assume that successively displayed items are related.

Abstract: A method for recovering lost or unavailable images in an image based document processing system. Images of documents having an ordered relationship are captured and stored while the documents are sorted by a document processor into respective pockets based on data read from the documents during sorting. If images are lost or unavailable after sorting, it would be very time consuming to collect the corresponding documents from the pockets and arrange them back into their original order for a re-pass by the document processor. This problem is solved by re-passing the documents without reordering, while using previously recorded document identification and sequence data derived during the first pass on the document processor, to electronically reestablish the original ordered relationship for the document images captured on re-pass when they are stored.

Abstract: An image-based transaction processing system which captures and stores images of debit and credit transaction documents, while also extracting document data for storage in a computer data base. The computer processes the extracted document data to identify out-of-balance transactions. The document images of an out-of-balance transaction are sent to a balancing workstation which provides a multi-window display for controllably displaying the transaction in a manner which permits the cause of the out-of-balance condition to be readily determined and corrected. The multi-window display includes windows for displaying selected images of debit and credit documents as well as windows for displaying credit and debit amounts and the out-of-balance amount of the transaction. A dialogue window is additionally provided for dialoguing with the computer.