GOFILEROOM TECHNICAL & INTEGRATION OVERVIEW

Transcription

1 GOFILEROOM TECHNICAL & INTEGRATION OVERVIEW REVISION 3 MAY 2016 Copyright Information Text copyright by Thomson Reuters Tax & Accounting. All rights reserved. Video display images copyright by Thomson Reuters Tax & Accounting. All rights reserved. Thomson Reuters Tax & Accounting hereby grants licensees of GoFileRoom software the right to reprint this document solely for their internal use. Trademark Information The trademarks used herein are trademarks and registered trademarks used under license. All other brand and product names mentioned in this guide are trademarks or registered trademarks of their respective holders. 1

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3 Table of Contents Introduction 5 Application Integration 5 Lookup List Service 5 File Importer Service 6 File Importer Service as a Conversion Tool -- CCH Document 7 GoFileRoom QuickLaunch 7 GoFileRoom Control Panel 8 Tax Preparation Applications: 9 GoSystem Tax RS (Thomson Reuters) 9 ProSystem fx Tax (CCH) 10 UltraTax CS (Thomson Reuters) 12 Thomson Reuters Virtual Office (VO) 14 Lacerte Tax (Intuit) 14 Practice Management Applications: 15 Practice CS, ProSystem fx Practice Management, STAR, & Other Practice Management Applications 15 Practice CS (Thomson Reuters) 16 Engagement Applications: 17 Engagement CS (Thomson Reuters) 17 CaseWare Working Papers (CaseWare) 18 ProSystem fx Engagement (CCH) 19 Other Critical Applications 20 GoFileRoom Infrastructure 20 Eagan, MN Data Center 20 Plano, TX Data Center 20 GoFileRoom Production Environment 20 Redundancy 20 Operating Procedures and Protocols 21 Compliance 21 Application Security 21 Document Level Security 22 Performance Optimization 22 Compression 22 PDF Linearization & Web Optimization 22 Bandwidth 23 3

4 .NET/Local Cache Solution 23 Industry & Regulatory Compliance 24 SAS Treasury Reg SEC Rule 17a

5 GOFILEROOM TECHNICAL & INTEGRATION OVERVIEW IMPLEMENTATION INTRODUCTION The Technical & Integration Overview is a comprehensive summary of GoFileRoom s infrastructure, security, and its integration with accounting and other applications. This overview is targeted at IT professionals and those who will be involved in the implementation process. The intent of this overview is to guide you in the understanding of some of the complex integration and security GoFileRoom offers your firm. It is not intended to answer all ITrelated questions nor should it be used as a training document. Thank you for reviewing the GoFileRoom Technical & Integration Overview documentation. Your firm is making a very prudent choice by seriously reviewing the leading, integrated document management, workflow, and scanning solution available to accounting firms today. APPLICATION INTEGRATION GoFileRoom s ApplicationFlow is a collection of services that integrate with critical applications in a typical accounting firm namely tax preparation, engagement/audit, practice management and other standard outof the box software (e.g., Adobe Acrobat and Office). The core of ApplicationFlow is the Lookup List Service, the File Importer Service, GoFileRoom QuickLaunch, and the GoFileRoom Control Panel. LOOKUP LIST SERVICE The Lookup List Service allows data from any ODBC data source (e.g., client database within a practice management system) to be processed and formatted into a customer specific format and then uploaded into GoFileRoom this then forms the content that populates the Lookup List (e.g., Client Name and Client Number in the Clients Drawer, Vendor Name and Vendor Number in the AP Drawer and/or Employee Name and Employee Number in the HR Drawer) that are associated with important indexing fields. The utility is run as a Windows Service and has a graphical user interface (GUI), which can be installed on a workstation or on any available Windows server. A configuration file (INI file) controls the functionality of 5

6 the application and can be tailored to meet the needs of each customer via the GUI front end. Once the utility is configured, the application runs on a regular scheduled basis (as a service) to automatically generate a fresh complete list of values as often as desired (set to automatically run every 4 hours on Virtual Office or every 30 minutes if installed on your network). A log file can also be created to help troubleshoot problems and monitor results. Note: each time the service runs it uploads and replaces the existing list in GoFileRoom. It is not an incremental update. Any values no longer on the list (e.g. because they are no longer an active client) will still be available in the search function if there are documents indexed with that value. Prerequisites: before the utility can be run, the user must first set up the ODBC data source via Administrative Tools>Data Sources (ODBC) and then configure the utility via the GoFileRoom _LookupListSync INI (Manage).exe GUI. Any ODBC compliant data source can be used (e.g. Advantage, Excel, SQL Server, Access, CSV file, etc). Note: Your software vendor (e.g., time & billing software) can assist with creating an ODBC connection to your database. After the service is installed, configured, and started; the following steps are executed: 1. The configuration file (INI file) is read. 2. The query is run against the ODBC data source. 3. The database returns the query results as a pipe delimited text file named for their GoFileRoom Drawer & List ID (e.g., txt). 4. The data is uploaded directly into GoFileRoom, creating the list values in the appropriate GoFileRoom drawer. 5. A detailed Log file is written that logs program events and errors. The diagram below illustrates the process: FILE IMPORTER SERVICE The File Importer Service is used to facilitate the automated import into GoFileRoom of files existing on network drives. Imported files are indexed in GoFileRoom according to rules defined in a vbs script file and can include, but are not limited to, the following criteria: File Name Type of file (PDF, Word, etc.) File Path Database lookups The File Importer Service is commonly used to automatically import tax return PDF files directly into any drawer in GoFileRoom with automatic indexing of the document (could also include the import of files 6

7 generated by third party intelligent scanning products such as Copanion s GruntWorx and SurePrep s 1040 Scan). Documents must be saved in a designated network location (any network location is fine, including any sub folders in that location if desired) and typically using a special file naming convention (e.g., 06C_ GOVT_v1.pdf). The utility may also be used to facilitate the back file import of existing files in network folders into GoFileRoom if formatted consistently. The utility is run as a Windows Service and has a simple graphical user interface (GUI), which can be installed on a scanner workstation or on an available server. An INI configuration file controls the functionality of the application and can be tailored to meet the needs of each customer via the GUI frontend. Once the utility is configured, the application runs as a service to automatically import files from the designated file folder and any sub folders on a regular scheduled basis (generally set to run every 30 minutes). A log file is created to help troubleshoot problems and monitor results. The diagram below illustrates the process: FILE IMPORTER SERVICE AS A CONVERSION TOOL -- CCH DOCUMENT When migrating documents from CCH Document to GoFileRoom, a report (Microsoft Excel file) is generated from CCH Document which provides information on necessary document filing structure. This report is then used to generate customized vbs scripts which works in conjunction with the File Importer Service. The File Importer Service then migrates these documents from CCH Document into GoFileRoom while also providing monitoring and log files that indicate document migration success. GOFILEROOM QUICKLAUNCH GoFileRoom QuickLaunch is a system tray application this is installed on a user s desktop as part of the GoFileRoom Client AddIn. This powerful tool will allow users to search for documents or workflow folders using highlighted text from any application. 7

8 Here are some of desktop productivity capabilities provided by QuickLaunch: Search for and/or access Documents or Folders instantly by highlighting text in another application and initiating the command that is conveniently found in your system tray. Open your My Work dashboard directly from your desktop. Configure personal search criteria for future queries. Open multiple sessions of GoFileRoom to view several areas of the system simultaneously. GOFILEROOM CONTROL PANEL Another desktop productivity tool provided by GoFileRoom is the Control Panel, which allows users to: Send a single file, multiple files, or an entire folder of files to GoFileRoom by dragging and dropping onto a desktop shortcut. Send a single , multiple s to GoFileRoom by dragging and dropping onto an Outlook folder. Upload files to GoFileRoom through a Windows Explorer "Send to GoFileRoom" right click option. Perform uploads in Silent mode using multi threaded technology for optimal performance Note: Send to GoFileRoom profiles can be configured to run in Interactive or Silent mode. When Silent mode is enabled, an indexing window will not appear when uploading files to GoFileRoom. 8

9 Monitor the status of uploaded files. View uploaded files. Maintain your files, other than Word, Excel, and PDF, which are currently checked out for editing from GoFileRoom (a.k.a. generic editing). The Control Panel is a part of the GoFileRoom Client AddIn by default and is a great tool for adding large amounts of documents with little to no user intervention (indexing) to GoFileRoom. TAX PREPARATION APPLICATIONS: GOSYSTEM TAX RS (THOMSON REUTERS) Using GoFileRoom s ApplicationFlow integration, the GoSystem Tax RS tax return may be added directly into GoFileRoom as a fully bookmarked PDF file using the Print option File> Print> Select GoFileRoom printer from the Print drop down list> click OK. You will be prompted to log into GoFileRoom if not already logged in. Then, enter the values for the necessary index fields and click on Save. Note: some index fields may already be populated from GoSystem Tax RS if the GoFileRoom (DMS) client number and corresponding index fields are preconfigured by your GoSystem Firm Administrator. It is most advantageous for maximizing the number of prepopulated index fields if the client numbers in GoSystem Tax RS match those used in GoFileRoom (DMS client number). From within a client s GoFileRoom FirmFlow folder, direct integration also exists to open the live tax return in GoSystem Tax RS by clicking on the Tax Return button in GoFileRoom. 9

10 Once a client s tax return is open in GoSystem Tax RS, using GoFileRoom s QuickLaunch application, the functionality also exists to highlight the client s name (e.g., Leong ) > right click, copy > double click on the QuickLaunch icon in your system tray and be seamlessly directed into GoFileRoom to automatically search for related documents or FirmFlow folders matching the selected name (e.g., Leong ) or to your MyWork page in FirmFlow (these are user customizable settings). PROSYSTEM FX TAX (CCH) Using GoFileRoom s ApplicationFlow integration, the File Importer Service can be used to automatically import and index tax return PDF files generated from ProSystem fx Tax directly into GoFileRoom as a fully bookmarked PDF file (with automatic indexing of the document). Documents must be saved in a designated network location (any network location is fine, including any sub folders in that location, if desired) and typically using the default file naming convention (e.g., 15C_ GOVT_v1.pdf). The application runs as a service to automatically import files from the designated file folder and any sub folders on a scheduled basis (generally set to run every 30 minutes). A log file is created to help 10

11 troubleshoot problems and monitor results. A special script_tax.vbs file is used to convert the default filename into GoFileRoom index values. For instance: Filename 15C_ GOVT_v1.pdf would be used determine that: 1. Imported file will appear as a PDF document in GoFileRoom 15C_ GOVT_v1.pdf extension 2. The following GoFileRoom index values will be used to import the document: a. Client Number: C_ GOVT_v1.pdf a) File Section: BUSINESS TAX C_ GOVT_v1.pdf according to the above script_tax.vbs, character C stands for BUSINESS TAX 1120 as per ProSystem fx Tax s standard tax type naming convention b) Document Type: Tax Return predefined in script_tax.vbs file d. Year: C_ GOVT_v1.pdf c) Period End: 12/31 predefined in script_tax.vbs file d) Description: v1 09C_ GOVT_v1.pdf Note: in order for the automated indexing into GoFileRoom to work, the client numbers used in ProSystem fx Tax must match those used in GoFileRoom. Alternatively, the PDF of the tax return can be manually imported into GoFileRoom immediately after it has been created as a PDF, using the Save to GoFileRoom icon in Adobe Acrobat: In this instance, the PDF file can be saved to any network location path and file name. The file will need to be manually indexed in GoFileRoom and when saved, the bookmarks will remain intact. If desired, the Print to GoFileRoom functionality may be utilized to directly import a PDF copy of the tax return into GoFileRoom (the file will need to be manually indexed). However, the Print to GoFileRoom method will not include any bookmarks. Once a client s tax return is open in ProSystem fx Tax, using GoFileRoom s QuickLaunch application, the functionality also exists to highlight the client s name (e.g., Leong ) > right click, copy > double click on the QuickLaunch icon in your system tray and be seamlessly directed into GoFileRoom to automatically search for related documents or FirmFlow folders matching the selected name (e.g., Leong ) or to your MyWork page in FirmFlow (these are user customizable settings). 11

12 ULTRATAX CS (THOMSON REUTERS) In additional to a File Importer script available for UltraTax CS the program also has direct integration with GoFileRoom. You can print returns, extensions, and input screens from UltraTax CS to GoFileRoom (with automatic indexing of the document). UltraTax CS automatically generates a bookmarked PDF of the document. To configure the integration between GoFileRoom and UltraTax CS, choose Setup / System Configuration click the GoFileRoom tab, and then click the GoFileRoom Options button. To print the returns, extensions, and input screens from UltraTax CS to GoFileRoom choose the option for GoFileRoom in the print where section of the print dialog in UltraTax CS. A bookmarked PDF of the preparer copy will print to the GoFileRoom Drawer selected based on the configuration from above. A confirmation window will appear for each document indexed into o GoFileRoom (as seen below). 12

13 Note: If the client does not exist in GoFileRoom, then it will be added to the lookup list of values. Once a client s tax return is open in UltraTax CS, using GoFileRoom s QuickLaunch application, the functionality also exists to highlight the client s name (e.g. Leong ) > right click, copy > double click on the QuickLaunch icon in your system tray and be seamlessly directed into GoFileRoom to automatically search for related documents or FirmFlow folders matching the selected name (e.g. Leong ) or to your MyWork page in FirmFlow (these are user customizable settings). 13

14 THOMSON REUTERS VIRTUAL OFFICE (VO) GoFileRoom has been tailored to integrate with products hosted on Thomson Reuters Virtual Office environment. Support for VO includes the following: Practice CS integration (sending invoices, viewing firmflow, printing reports) GoFileRoom Lookup List Service used to integrate Client Numbers from Practice CS on VO Microsoft Office Integration (Word /Excel that are hosted in VO) Creative Solutions Accounting Integration UltraTax CS integration Print to GoFileRoom (for apps that do not have direct integration) Adobe Currently VO has support for Adobe Reader (only) when Adobe is hosted in VO. Plans are in place to offer Adobe Standard in an upcoming release The following GoFileRoom components are Client side applications that work directly with GFR and do not require VO but must be installed on the user s desktop. GFR Control Panel GFR QuickLaunch LACERTE TAX (INTUIT) Using GoFileRoom s ApplicationFlow integration, the File Importer Service can be used to automatically import PDF tax returns generated from Lacerte Tax directly into GoFileRoom (with automatic indexing of the document). Note: The PDF documents must be saved in a designated network location (any network location is fine, including any sub folders in that location, if desired) and typically using the default file naming convention. The application runs as a service to automatically import files from the designated file folder and any sub folders on a scheduled basis (generally set to run every 30 minutes). A log file is created to help troubleshoot problems and monitor results. A special script_tax.vbs file is used to convert the default filename into GoFileRoom index values (see information under ProSystem fx Tax, above). Note: in order for the automated indexing into GoFileRoom to work, the client numbers used in Lacerte Tax must match those used in GoFileRoom. Alternatively, the PDF of the tax return can be manually imported into GoFileRoom immediately after it has been created as a PDF, using the Save to GoFileRoom icon in Adobe Acrobat: In this instance, the PDF file can be saved to any network location path and file name. As an alternative to the above methods, for overall simplicity (if desired), the Print to GoFileRoom functionality can be utilized to directly import a PDF copy of the tax return into GoFileRoom (the file will need to be manually indexed). 14

15 Once a client s tax return is open in Lacerte Tax, using GoFileRoom s QuickLaunch application, the functionality also exists to highlight the client s name (e.g., Leong ) > right click, copy > double click on the QuickLaunch icon in your system tray and be seamlessly directed into GoFileRoom to automatically search for related documents or FirmFlow folders matching the selected name (e.g., Leong ) or to your MyWork page in FirmFlow (these are user customizable settings). PRACTICE MANAGEMENT APPLICATIONS: PRACTICE CS, PROSYSTEM FX PRACTICE MANAGEMENT, STAR, & OTHER PRACTICE MANAGEMENT APPLICATIONS Using GoFileRoom s ApplicationFlow integration, the Lookup List Service allows data from any ODBC data source (such as a practice management system) to be tailored, processed and formatted into a customerspecific format and then uploaded into GoFileRoom on a regular scheduled basis. This forms the content that populates the Lookup List (Examples: the client name and client number in the Clients Drawer and/or the vendor name and vendor number in the AP Drawer) that are associated with key index fields. 15

16 The Lookup List Service integrates will all popular Practice Management applications: Practice CS (Thomson Reuters) Thomson Elite ProSystem fx Practice (CCH) Visual Practice Management (CCH) CPA Practice Manager (Sage/CCH) Mize Houser CPAMIS STAR PowerPM Microsoft Excel files, Access & SQL databases See the Auto List Service section above for more details. In addition, when users are actively in a practice management application they may use GoFileRoom s QuickLaunch application to automatically search for related documents or FirmFlow folders matching the selected name (e.g. Leong ) or to your MyWork page in FirmFlow (these are user customizable settings). PRACTICE CS (THOMSON REUTERS) Documents such as reports, invoices, statements, letters and labels from Practice CS can be printed directly into GoFileRoom (mapping of GoFileRoom indexes to database fields in Practice CS is first required). The GoFileRoom Configuration dialog must be used to select which Practice CS database fields correspond to which GoFileRoom indexes. 16

17 The GoFileRoom Portlet that gives GoFileRoom users access to all of their documents has been added to the Firm, Staff and Client dashboards. You can open the GoFileRoom Portlet Options dialog at any time by rightclicking the GoFileRoom Documents portlet and choosing Options from the context menu. You can click any of the column headers to sort the list of documents by that column in ascending or descending order. You can click and drag one or more column headings to the top of the portlet to group the list of documents by those columns. You can also click the title bar of the portlet to open the GoFileRoom login screen. ENGAGEMENT APPLICATIONS: GoFileRoom, via ApplicationFlow, consists of a collection of services that integrate with the critical applications used in a typical accounting firm, including leading Paperless Audit/Engagement applications. ENGAGEMENT CS (THOMSON REUTERS) Upon finalization of the engagement and once a client engagement is opened in the Engagement ES application, the File> Send Engagement to> GoFileRoom menu option can be utilized to directly import a 17

18 fully bookmarked PDF copy of the engagement file into GoFileRoom (with the choice of password protecting the PDF if desired). In addition, once a client engagement is opened in the Engagement CS application, right click functionality can be utilized to directly import a fully bookmarked PDF copy of one or more reports/deliverables from the engagement file into GoFileRoom. Right click on any desired workpapers and select the Print option. Then, using the GoFileRoom option in the Store Image in menu that appears, select each workpaper that that you wish to be included and then click on the GoFileRoom button to import the workpapers into GoFileRoom as a single bookmarked PDF document. After the PDF document is processed, GoFileRoom will open the document will need to be manually indexed as required. CASEWARE WORKING PAPERS (CASEWARE) Using GoFileRoom s customized Auto Link Service, a link can be automatically created for every CaseWare binder file and then the link is imported into GoFileRoom, whether it be a.ac (binder package, uncompressed) or a.ac_ (binder package, compressed) file. The link resides inside GoFileRoom with its own distinct icon. 18

19 When the link is activated from within GoFileRoom, it opens the live CaseWare file stored on the client s network (Note: to open the live binder file, the user requires access to CaseWare and the client network). Upon finalization of the engagement, once the.ac or.ac_ binder file is created and saved to the client s network, it may be automatically imported and indexed in GoFileRoom via ApplicationFlow s File Importer Service. Alternatively, it may be manually added and indexed (e.g., using the right click Send to GoFileRoom method; or the drag and drop method). The binder file will be stored in GoFileRoom as a finalized archived version and is identified using the same icon as displayed above for the live engagement file. When the archive file is activated in GoFileRoom, it opens in the CaseWare application (Note: to open the file, the user requires access to CaseWare). The client can also store a PDF copy of the finalized Audit binder in GoFileRoom once the binder package is created, the entire file is printed to the generic Adobe PDF print driver and saved to a specified network location using a specified file name. Then, using the ApplicationFlow File Importer Service, it will sweep the PDF binder file/s and automatically import and index the file/s into GoFileRoom, with all of the bookmarks remaining intact. Alternatively, the PDF finalized audit binder file can be manually imported into GoFileRoom immediately after it has been created as a PDF, using the Save to GoFileRoom icon in Adobe Acrobat: In this instance, the PDF file can be saved to any network location path and file name. The file will need to be manually indexed in GoFileRoom and when saved, the bookmarks will remain intact. If desired, the Print to GoFileRoom functionality may be utilized to directly import a PDF copy of the finalized audit binder into GoFileRoom (the file will need to be manually indexed). However, the Print to GoFileRoom method will not include any bookmarks. PROSYSTEM FX ENGAGEMENT (CCH) Upon finalization of the engagement, GoFileRoom s ApplicationFlow utilities can integrate with ProSystem fx Engagement (PFX Engagement) via the File Importer Service to store a finalized copy of the audit engagement binder package (.azp file) in GoFileRoom. Thebinder file, once created, is automatically imported and indexed within GoFileRoom (Note: this requires additional implementation services from the GoFileRoom Support Team or your GoFileRoom Consultant). The file has its own special icon. All the underlying data is retained in the binder package and when the file is accessed from within GoFileRoom, it can be saved and then opened within PFX Engagement (Note: users will require access to their PFX Engagement application in order to be able to open the binder file). The binder package (.azp file) can also be manually imported into GoFileRoom (e.g., using the right click Send to GoFileRoom method; or the drag and drop method) and will be identified using the same icon and will work in the same manner. In addition to the binder package (.azp file), our best practices recommends client s use the Print to GoFileRoom method to store a PDF copy of the finalized engagement binder file in GoFileRoom (Note: no bookmarks are created when printing from PFX Engagement). If bookmarks are desired, they need to be manually created in PDF Edit mode after the document has been imported. 19

20 Note: Should ProSystem fx Engagement ultimately provide the ability to create a bookmarked PDF like their tax application, ApplicationFlow s auto-file import service can be used to automatically store and index these PDF files. OTHER CRITICAL APPLICATIONS GoFileRoom also integrates with other critical applications used by today s accounting firm, such as Microsoft Office (Word, Excel, and Outlook) and Adobe Acrobat. GoFileRoom has also established relationships with the leading scan and fill vendors, SurePrep and Copanion, where our integration may be leveraged to automatically store and index the bookmarked PDFs generated by 1040Scan and GruntWorx, respectively. In addition, GoFileRoom has backend integration available through APIs and.net Web Services. These can be leveraged when there is a need for additional functionality outside of the normal GoFileRoom implementation. GOFILEROOM INFRASTRUCTURE GoFileRoom s servers are co located at two hardened data center facilities that are located in different geographic regions of the U.S Eagan, MN (primary data center) and Plano, TX (secondary data center). The facilities have multiple layers of physical protection and entrance is not permitted without company authorization. Access to the data center is logged by the data center security personnel. Access to GoFileRoom servers is restricted as they are maintained in a secure, locked cabinet at the data center facility. The digital lock restricts access to the servers by user assigned PIN number. The data centers have many aspects to ensure high availability. These include redundant paths and connections to the internet. Diesel generators with dual sources of fuel are onsite to ensure power availability and special fire retardant systems and ventilation systems are in the data centers to ensure proper operating temperatures and avoid fires. The entire system is firewalled and configured to ensure access is limited only through legitimate ports. Data center operators monitor the availability and uptime of the GoFileRoom servers 24x7x365. Both data centers are SAS 70 Type II certified. EAGAN, MN DATA CENTER Our production data center is located in Eagan, MN. PLANO, TX DATA CENTER Our disaster recovery data center is located in Plano, TX. GOFILEROOM PRODUCTION ENVIRONMENT REDUNDANCY The entire production system (documents & data) is mirrored (data is replicated in real time) to the secondary data center. The secondary data center can act as a full production site in the event of a disaster whereby the primary data center becomes inoperable. In the event that GoFileRoom fails over to secondary site, transition to the users will be seamless. Thomson Reuters provides regular fail over testing between primary & secondary sites. 20

21 The entire production data center is also backed up to tape. As an option, customers may receive on a regular basis USB copies of their documents. The USB includes a viewer that allows for easy access to the documents and all documents are provided in their native format (e.g.,.doc,.xls,.pdf). OPERATING PROCEDURES AND PROTOCOLS The following are some key aspects of GoFileRoom s security procedures to ensure maintenance of the application s security: Update Management GoFileRoom monitors the availability of updates regularly. Security updates are made available immediately, applied to a test environment and then released to production. GoFileRoom has regularly scheduled maintenance windows for applying system updates to the hardware & firmware. Virus Management Server based antivirus software is updated regularly to ensure the latest antivirus databases. No foreign software or disks is allowed on the servers without running through virus detection software. Security Testing GoFileRoom performs monthly security analysis including, but not limited to, penetration testing, known exploits & overall system stability. In addition to this, we conduct security analysis through various outside vendors. All potential risks to the system are addressed immediately. COMPLIANCE Audit trails are maintained on user activity within the system. Security reports provide access to audit trails and access to all documents is audited (including searching, viewing, editing, deleting and ing). Audit reports may be viewed by document, drawer, user, and more. Audit trail records cannot be modified but the configuration of audit preferences are customizable by the client GoFileRoom system administrator. Some custom audit reports are only available through our GoFileRoom Professional Services team. As an option to be selected by the customer, GoFileRoom supports rules based archiving of documents onto Write Once (WORM) media. This is a requirement for specific industries (i.e., SEC regulated companies) for electronic record keeping. APPLICATION SECURITY Access to GoFileRoom.com is through HTTPS this is a 128 bit encrypted SSL certificate. The certificate is registered with VeriSign. All access to GoFileRoom requires username and password. Passwords must be minimum length of 8 characters, must contain both alpha and numeric characters and are case sensitive. Customer Administrators can apply rules for password expiration. Passwords are encrypted and stored encrypted. Even if the database is compromised in anyway, passwords cannot be interpreted. Security can be assigned at the File Room level, Drawer level, and Document level. Security can be assigned to a user or to a group of users. Security rights can restrict viewing, adding, editing and more. In addition, customers can restrict user access by their IP Address. 21

22 User access security is managed by the customer through GoFileRoom s System Administration module. DOCUMENT LEVEL SECURITY Document Security provides an additional layer of security to the Drawer Permissions, and with appropriate planning can be implemented effectively. Document Level Security is configured according to the following accessibility rules : (i) Deny Access, (ii) Allow Access, or (iii) No Edit access. These rules are applied to documents based on any combination of the index values in the relevant Drawer. Our Best Practices recommendation is to configure Document Security at the Group level. If there are exceptions to the Group Document Security rules, then we recommend you configure these exceptions at the User Document Security level for the individual users affected. If Document Security is configured to Deny Access to documents with certain values (such as Business Tax File Sections), then the User or Group will have access to all documents within the Drawer except those with the specified Tax File Section(s). Conversely, if Document Security is configured to Allow Access to documents with certain values (such as Client Number), then the User or Group will only have access to documents within the Drawer that have the specified values. No Edit configuration allows users to view documents with certain values (such as Tax File Sections) but without the capability to edit/download them (toolbars and right click menu option to Edit will be removed) this allows read only rights to the applicable documents (Note: the ability to print the documents remains). PERFORMANCE OPTIMIZATION COMPRESSION GoFileRoom uses the latest in image compression technology to make the most compact web friendly PDF files available to users of the system. Additionally, all PDF files are OCR d to support text searching (Google style) capabilities. PDF LINEARIZATION & WEB OPTIMIZATION GoFileRoom optimizes PDF documents to take advantage of PDF Linearization. This in conjunction with our servers enabling byte serving allows for the efficient streaming of PDFs to browsers. 22

23 BANDWIDTH Bandwidth refers to the amount of information that can be carried in a given time period (usually a second) over a wired or wireless communication link. In digital systems, bandwidth is expressed as bits per second (bps). The higher the bandwidth, the more data can be transferred in bits per second. Available bandwidth becomes very important when you're running web based products. GoFileRoom is more sensitive to low bandwidth than other web pages and as a result, requires more bandwidth, processing power and memory than standard internet browsing. If your network does not meet the system requirements for GoFileRoom, you may have inadequate bandwidth. If data does not flow fast or freely enough, the performance of GoFileRoom may suffer and the end user may encounter sluggishness and/or error messages. In your office, there are many factors to take into account when determining your bandwidth requirements, including your current systems and applications, how many people will be utilizing GoFileRoom and the frequency of utilizing GoFileRoom. A GoFileRoom consultant can work with your Network/IT technicians to determine the optimal bandwidth requirements for your office. Note: Many Internet activities may occupy bandwidth that would otherwise be used for GoFileRoom e.g., streaming video/music, peer to peer file sharing services, chat software, network gaming, voice over IP, web based meeting services and other web based applications. There are many tools that can provide you with bandwidth utilization. As general guidelines, your network is healthy in these conditions: Utilization is running up to 15 percent most of the time. Utilization is peaking at 30 to 35 percent for a few seconds at a time, with large gaps of time between peaks. Utilization is peaking at 60 percent for a few seconds, with large gaps of time between peaks. However, in this instance, locate the reason for the peak. Determine if the problem might get worse or if you can isolate it. If the 30 percent utilization peaks start occurring very close together, your network starts showing signs of degraded performance. The web offers free tools that you can use to check your internet connection speed and bandwidth, or monitor the flow of internet traffic. Speed tests can tell you if certain regions of the internet are currently slowed down, which helps you determine if your internet connection speed is a global or local problem. Note: GoFileRoom data centers are contracted for 50 Mbps with unlimited burstability..net/local CACHE SOLUTION.NET Local Cache storage enables customers to store copies of documents on their local network. When accessing documents, retrieval will be from the local server unless the synchronization of the document has not been completed. In this case, the document will be retrieved from the GoFileRoom server via the internet. The implementation of the.net Local Cache storage is transparent to users. Users continue to log into GoFileRoom.com with no user interface changes or restrictions. Users continue to upload their documents to GoFileRoom.com. Once documents are on the GoFileRoom server, a synchronization module transmits copies of the new and updated documents to the.net Local Cache storage server. The local server is a GoFileRoom managed server, so backups are not required. The following chart provides an overview of the.net Local Cache server architecture. 23

24 INDUSTRY & REGULATORY COMPLIANCE SAS 70 The primary GoFileRoom data center undergoes regular SAS 70 audits. A detailed report can be obtained from the GoFileRoom data center for a fee. However, a copy of a compliance letter from QTS or Online Tech can be provided for no fee. In addition, clients may request a facility tour hosted by data center personnel. TREASURY REG Maintaining the confidentiality of taxpayer return information is a core policy of Thomson Reuters, and we have designed our systems to ensure that such information is protected. Thomson Reuters is well aware of the application of the rules under sections 6713 and 7216 of the Internal Revenue Code, and we make every effort to be fully compliant with them. In addition, GoFileRoom supports the manual or automated redaction of PDFs stored in GoFileRoom to assist firms in complying with this regulation by blocking out sensitive information such as Social Security Numbers. SEC RULE 17A-4 Compliancy with SEC Rule 17a 4 requires that a firm implement policies and procedures that are beyond the control of GoFileRoom including mandates that stipulate which records are to be retained and preserved. As such, total compliancy with Rule 17a 4 is beyond the scope of the GoFileRoom document management system where GoFileRoom has no control over which information is added to the system. There are sections of the rule however, that do apply to GoFileRoom as it pertains to the usage of GoFileRoom as a firm s chosen electronic storage media [Rule 17a 4(f)(2)(ii)] including; A. Preserve the records exclusively in a non rewritable, non erasable format; B. Verify automatically the quality and accuracy of the storage media recording process; C. Serialize the original and, if applicable, duplicate units of storage media, and time date for the required period of retention the information placed on such electronic storage media; and D. Have the capacity to readily download indexes and records preserved on the electronic storage media to any medium acceptable under this paragraph (f) as required by the Commission or the self regulatory organizations of which the member, broker, or dealer is a member.

25 Analysis of these items, reveal areas where GoFileRoom can enhance our procedure to more fully comply with the intent of the rule. These enhancements could include; 1. Preserving additional records Currently, only the latest version of a document is being backed up to WORM media. The procedure could be changed so that all versions of a document (including those flagged as deleted, replaced, or purged) are also included in the backup. In addition to backing up documents, and their associate indexes and history, the backup methodology could also be changed to include other information such as FirmFlow data, transactions, etc. 2. Backup Redundancy Redundant procedures can be put in place to ensure that the WORM backup is running appropriately and that the data collected represents an accurate picture of the data for a given day Thomson Reuters. All rights reserved. Republication or redistribution of Thomson Reuters content, including by framing or similar means, is prohibited without the prior written consent of Thomson Reuters. 'Thomson Reuters' and the Thomson Reuters logo are registered trademarks and trademarks of Thomson Reuters and its affiliated companies. For more information Sales Customer Service Support Read more about our products at cs.thomsonreuters.com