II. Implementation and Service Information

II. Implementation and Service Information

A. Responsibilities The procedure for setup with KeyBank s standard transmission services consists of three phases: 1) communications testing, 2) applications testing, and 3) production mode follow-through. Operational and technical contacts from both parties will establish the communication link to their satisfaction to ensure network communication is successful. The client will then collaborate with our operational areas to test and validate file formats. Once in production, the initial transmission will be verified for completeness. KeyBank will not supply any codes or programs other than the parameters that are necessary for interaction with the bank s transmission platform(s). It is the client s responsibility to be able to interface with KeyBank s file transfer system. Prior to the request for transmission services: 1. Clients must meet all hardware and software specifications described in this toolkit. If any of the hardware and/or software specifications cannot currently be supported by the client, clients may request a technical review session with Key Bank s Technical Support Team by calling the Transmission Hotline at 1-800-539-9630. 2. Clients must have the appropriate staff (technical or otherwise) available to work with KeyBank to establish communication links, test file formats, and run validity checks. 3. Clients must create test files according to the appropriate formats. Please refer to Section IV for samples. This requirement applies to clients that will be sending files to KeyBank for processing. Any questions regarding the creation of test files can be directed to the transmission Technical Support Team by calling the Transmission Hotline at 1-800-539-9630. 4. Clients internal applications must be capable of accepting files from KeyBank. Please refer to Section IV for sample formats. This requirement applies to clients receiving files from KeyBank. Please contact your Fulfillment Support Transmission Specialist (FSTS) at 1-800-539-9630 with any questions regarding the receipt of files. Requesting Transmission Services: 1. Your Cash Management Sales Officer will work with you to determine which method of transmitting data will best suit your needs. 2. The client will complete the Transmission Set Up Request Form. Please refer to the Appendix for a copy of this form. A sample form has also been included at the end of this section. 3. Once all the forms have been completed and submitted to your Cash Management Sales Officer, the implementation process will begin. II. A- 1

Implementation Process: 1. After the transmission setup forms and all necessary agreements have been received, the technical contact for your company will receive an email notifying them to expect a call the following business day. A copy of this toolkit will be included with the email. Sections of the toolkit that should be reviewed prior to the call will be identified. 2. A KeyBank Transmission Specialist will call the technical contact. During the call, the Transmission Specialist will verify the information on the setup form and discuss the following components of the implementation process: a. Client commitment, responsibilities, and scheduling b. Formatting requirements c. Submitting and retrieving test files Any questions and concerns will also be addressed during the call. 3. After the call, you will be emailed your mailbox ID and sign on instructions. 4. During the initial set-up phase, a process called the handshake takes place. This is the initial communication test between KeyBank and the client. This test establishes that the client can communicate electronically with KeyBank. It is done before a test file is sent or downloaded. 5. If the client will be retrieving files from KeyBank, KeyBank Operations will load a test file into the mailbox system after the handshake process has been completed and verified. The client will need to download and examine the file to ensure that it meets defined requirements. KeyBank must receive confirmation from the client that the downloaded file is satisfactory before transmission services begin. 6. KeyBank will work closely with your technical resources during the testing and approval phase. Clients MUST make themselves available to work with KeyBank during the transmission setup and testing process. The start of service(s) may be delayed until the testing cycle is complete. 7. Depending on the availability of your technical resources and the validity of the test file(s), completion of the entire process can take three to six weeks. Post Implementation 1. Once testing is complete and the client confirms that the service is setup correctly, the client is moved from the test environment to the production environment. Once the client has been moved to the production environment they must use that specific format for all future files transmitted to the bank. 2. There is no limit on the number of files that clients can send per day to KeyBank. Depending on the service, files will be processed as they are received or the new file(s) will be appended to the original file and the entire file will be processed during nightly batch processing. 3. Multiple accounts can be sent in the same file as long as they are in the same processing region (contact your Cash Management Sales Officer for details). If the accounts are from different banks within that region, then II. A- 2

4. Clients should not alter or add additional information, such as another account, to their file without notifying KeyBank. Proper procedures must be followed in order to ensure that all accounts are correctly setup, in the same layout, and appropriately formatted. 5. KeyBank cannot assist with correcting files due to a client s software problem. The client must utilize their internal technical support or contact the software vendor to address and resolve issues. 6. Once in production: All Communication Issues should be directed to the Transmission Hotline at 1-800-457-8257. All Application Issues (incorrect file, wrong format, etc.) should be directed to KeyBank s Corporate Client Services at 1-800-821-2829. For Clients using the Key Total Treasury application for file transfer should contact Commercial Client Services Internet Support at 1-800-539-9039. 7. Clients performing any upgrades to hardware or software that is used for transmissions must contact the Transmission Hotline to schedule preproduction testing to make certain the client upgrade will not affect transmission communications and/or prevent production files from being sent and/or received. Please allow a minimum of one business week prior to implementation for testing to be performed. II. A- 3

B. Transmission Set Up Request Form This form is used for all transmission types. Shaded areas are for bank use only. Please refer to the following page for explanations of form fields. Company Name: 1 Company Address: 2 Client Technical Contact: 3 Client Operations Contact: 7 E-Mail Address: 4 E-Mail Address: 8 Telephone: 5 Fax: Telephone: 9 Fax: Staffing Hours: 6 Staffing Hours: 10 Transmission Method: 11 Secure File Transfer Key Total Treasury WBT(Web-based File Transfer Module) FTP w/pgp Other FTP w/tls AS-2 Transmission Frequency: 12 Daily Weekly Semi-Monthly Annually Daily Plus Bi-Weekly Monthly Other Data Transfer Direction: 13 Inbound to Bank Outbound from Bank Both Internal Use: Applications: ACH ARP Batch Wire BAI2 Information Reporting EDI Lockbox Wire Transfer Key Capture Plus Consolidated Payables Returned Items Request Date: Implementation Date: Comments Section: 14 II. B- 1

1. Company Name Official Name of Company/Organization 2. Company Address Official Address 3. Client Technical Contact Person that will be assisting with data communications setup 4. E-Mail Address Technical Contact s E-Mail address 5. Telephone and Fax Technical Contact s phone and fax number 6. Staffing Hours Hours that the Technical Contact is available (usual schedule) 7. Client Operations Contact Person at the company that will be responsible for creating, transmitting, and/or sending files 8. E-Mail Address Operations Contact s E-Mail address 9. Telephone and Fax Operations Contact s phone and fax number 10. Staffing Hours Hours that the Operations Contact is available (usual schedule) 11. Transmission Method Method of transmission that will be utilized to send/receive files 12. Transmission Frequency How often the files will be sent/retrieved 13. Data Transfer Direction Inbound: Client sends files to KeyBank Outbound from Key: Client will retrieve the file 14. Comments Section Include any relevant comments. II. B- 2

C. Secure Transfer Request Form FTP Guidelines: Encryption Encryption is required for all File Transfer Protocols (FTP) with KeyBank. KeyBank provides three encryption options: 1. FTP with Pretty Good Privacy (PGP) encryption (signing optional) 2. FTP/Transport Layer Security (TLS) 3. AS-2 A file size of 100Meg after encryption is considered large. Firewall KeyBank requires trading partners to have a static public source IP address, or limited range of addresses. The source address must be added to our firewall policy prior to connection. Please notify KeyBank at least 10 business days in advance for changes to your IP address(es) to allow adequate time for firewalls to be updated. FTP/TLS TLS (Transport Layer Security) is generally compatible with FTP/Secure Sockets Layer (SSL). KeyBank s FTP server supports explicit (AUTH SSL) TLS using the control port 2021. KeyBank s firewall does not allow either inbound or outbound FTP/TLS connections on port 21. Client certificates are not required. Passive Mode Clients must connect to our FTP server using passive mode. In passive mode, KeyBank s FTP server listens for data connections on ports in the range 2030-2040. If necessary, configure your firewall to allow outgoing connections to KeyBank on these ports. Active Mode Generally, KeyBank does not support active mode. KeyBank may be able to accommodate a LIMITED range of data ports in active mode. Please note that most command line FTP clients (Solaris, Microsoft) use random high ports for data connections and cannot open data connections with KeyBank in active mode. SFTP KeyBank does not currently support S/FTP or Secure Copy using SSH. Test Server KeyBank s test FTP server uses port 2021 for control connections for all FTP traffic. V. B- 2

Port Summary Below are the destination IP addresses and ports to which your firewall should allow outbound connections: Server Control Data Ports Port Test/ DR FTP 156.77.66.171 21 2030-2040 Test/ DR FTP/TLS 156.77.66.171 2021 Production FTP sft.keybank.com (156.77.100.195) 21 2030-2040 D/R 156.77.68.142 FTP/TLS sft.keybank.com (156.77.100.195) D/R 156.77.68.142 2021 2030-2040 If the above specifications cannot be supported, do not fill out the Secure FTP Request Form (below). Please contact KeyBank regarding alternate means of file transfer. V. B- 2

Secure File Transfer Setups Request Form KeyBank Secure FTP Request Form Company Name Company Address Contact Name Contact Phone Email Data Classification: Please select one of the four classifications your data will fall under: Highly Confidential Confidential Internal Public Data Direction Inbound to Key Outbound From Key Both Frequency Daily: files a day Weekly Files a week Monthly Files a month Other Files Approximate File Size K Encryption Method FTP/ TLS FTP with PGP Encryption FTP with PGP Signing and Encryption FTP Incoming / Outgoing File Transfers Using Key s FTP Server (trading partner pushes or pulls data) Source IP address Alias V. B- 2

Key s firewall allows data connections on the standard port (2021) in active mode, and ports 2030-2040 in passive mode. Can your FTP client support passive mode? Yes No If No, what port(s) does your client listen on for data connections? Key FTP server: sft.keybank.com IP address 156.77.100.195 (156.77.66.171 for test) Username and Password will be sent via separate communication V. B- 2