Digital Report Library (DRL)

1. Digital Report Library (DRL) On-Line Training Tutorial

2. Objectives • Provide an overview of Digital Report Library (DRL) and the associated workflow • Provide an overview of the functionality and capabilities of DRL • Demonstrate how to access, append, save and print reports and navigate within the application

3. What is the Digital Report Library (DRL)? A web-based application to support the ability to: • access report images via the website my.statestreet.com • view reports online, append multiple reports, print reports, and save reports • download reports in PDF, TXT and CSV (Excel) formats

4. Benefits of DRL • Offers greater functionality than Mantissa • Accessible in all Investment Services locations and some client locations • Stability and growth potential • Eliminates paper flow

5. Workflow/System Change • Mantissa, the mainframe report management system within MCH was retired in January 2006. • Mantissa was replaced by IBM’s Content Management On Demand (CMOD) product. CMOD is the back end report repository where users send reports. • To meet critical Mutual Funds business requirements, the Digital Report Library (DRL) is being used to access CMOD. • DRL is the front-end system where users can search for reports, view, append and print reports, and execute workflow.

6. DRL Workflow/Report Distribution • Client server/lease line - Reports on DRL can be saved to either PDF, TXT or CSV (depending on the report). The reports can then be sent to a client’s server or lease line for distribution. • CDs - Many groups have CD profiles set up through the Mantissa area. These profiles will be available on DRL shortly. There are also groups that use CD burners. The reports can be downloaded to the desired format and then burned to a CD for distribution to the client or for internal storage. • Overnight mail - Reports not on DRL, or required by the client or auditor in hardcopy, can be sent to the group’s mainframe printer and distributed via overnight mail.

7. DRL Workflow/Report Retention • Storage - Long term storage of reports was turned on in September, 2005. The report list matrix notes the storage length of each report id. Most common regions reports (i.e. List of Assets) are stored for 7 years and most accounting reports are currently stored indefinitely. • Users should not print reports for internal storage purposes only, since the reports are stored on-line. • The COLD/AMMO system (CI110) will remain active for historical reports only until the reports are converted to CMOD. New reports no longer feed to COLD.

8. DRL Workflow/Administration • To gain access to DRL, user must submit a new user request via http://workplace.statestr.com • To add a new user to DRL, follow the Administration Procedures document for step by step instructions by accessing http://deploymentservices.statestr.com/forms_procedures_mystatestreet.htm, Security Access Manager – ID Request Procedures • For password reset contact SAS Help Desk at 5-HELP (4357) option 3 • For DRL or My.statestreet.com system issues, Client Level Enhancements, and overall questions contact Online Information Delivery Help Desk at 5-8888, option 2 • For changes to MRRF choices on MCH and BRRF review, generate the “1509_TA_Screens” macro available via the GMAS Library at: http://gmas.statestr.com/macros/MacroDetails.aspx?which=1509and/or • Submit an On-line IIS Request Form via the Global Systems Support website: http://gss.statestr.com

9. How to Send a Report to CMOD/DRL • Reports should be requested to go ‘O’ for on-line. • For session driven reports, default one access session to CMOD or directly to CMOD as a printer.* • For op id driven reports add CMOD as a printer to your MCH/RACF id.* • To run overnight batch process, set up reports via MRRF by generating the “1509_TA_Screens” macro available via the GMAS Library at: http://gmas.statestr.com/macros/MacroDetails.aspx?which=1509 This macro allows users to pull down a list of all the reports set up to generate for any frequency in BRRF. *For more information refer to the following link: http://deploymentservices.statestr.com/forms_procedures_mystatestreet.htm

10. How to Log into my.statestreet.com To log onto my.statestreet.com: • Type the address http://my.statestreet.com in your browser’s Address box. The Site Login page appears. • In the User ID box type your user ID • In the Password box, type your password • Click Login. The my.statestreet.com application appears • Click the Report Center tab and then click the Digital Report Library tab.

11. How to Search for a Report on DRL • From the Folder Repository page, click on a report folder icon below Folder Name. • Refer to the DRL List of Reports for accurate folder names. • For a quicker response time, choose a specific report folder icon instead of the All Reports folder.

12. How to Search for a Report on DRL • The search criteria for the selected folder appears. The Report End Date and Load Date have a pre-selected default search criteria. • Report Title – Select a title from the All Available Report Titles list. You must select at least one report title or ID, but not both. • Report End Date – Accept the default date or click the link, and then select the Equal To or Between operator. Select specific or relative date criteria. See the topic Understanding Search Criteria for information on this field. • Fund Name/Number - Select specific fund numbers or names from the All Available Funds list. You search must contain at least one fund. • Load Date/Time - Accept the default date or click the link, and then select the Equal To or Between operator. Select specific or relative date criteria. See the topic Understanding Search Criteria for information on this field. • Report Id - Select a specific report ID from the All Available Report IDs list. You must select at least one report ID or report title, but not both. • Report Status – Select Approved, Unapproved, Autorun, Prepared, or use the default of All Statuses. (Internal users only) • When you are satisfied with your criteria, to save this search, from the left frame, click Save Search, In the Enter Save Search Name box, type a name for your search. Otherwise, click Search. The Available Reports list appears. • Note: You use Saved searches to quickly access search criteria you previously utilized. You can save up to 30 searches.

13. How to Access a Report on DRL • Default for Search Criteria Summary frame (left frame) • The right frame defaults to the report titles that are available for the selected folder. Examples of report titles from the Income folder)

14. How to Access a Report on DRL Do the following to view, append, save, or print reports: • To view a single report, click one of the view icons next to a report (default viewer, Adobe PDF, or Excel). • To view multiple reports, select the check box next to each report you want to view and then click View. From the View menu, select a viewer. • To append multiple reports, select the check box next to each report you want to concatenate and then click Append. From the Append menu, select a viewer. At this time, there is a limit of 5 reports and 3,000 pages for each append. To save the concatenated report, click the File menu and then click Save As. You can save as Web Pages-HTML Only, or for Excel files as a CSV file. • To save reports as TXT files, select a report and click Save As and then Save As Text on the Hit List page. Navigate to the directory where you want to save the report and click Save. The report name defaults as: report title_fund number_load date and time. • To send reports to a host printer, select the check box next to each report you want to print and then click Print. From the Print menu, select a printer and click OK in the confirmation box. • To add/remove columns or change the column order, click Customize.

15. Frequently Asked Questions • The “Frequently Asked Questions” section addresses questions on the following topics: • DRL functionality • Sending reports to CMOD • Browser specific information • Append and PDF limitations • Printing from DRL- lan and mainframe • Hit list information • Downloading from DRL • Report specific information

16. FAQs – DRL Functionality How do I access the Digital Report Library? • The Digital Report Library is accessed through the website my.statestreet.com. A user signs on to my.statestreet.com with an assigned id. The user clicks on the “Report Center” tab and then clicks the “Digital Report Library” tab. What is the difference between CMOD and DRL? • CMOD is the report repository behind the scenes for the Digital Report Library. From MCH, users send reports to CMOD rather than a printer or Mantissa. DRL is the front-end system where the users can search for these reports, view and print the reports, as well as execute workflow. I tried to approve a report, but am unable to do so. Why? • During id setup, each user is assigned a user classification that determines their workflow permission. A ‘PA/FA’ can view reports but can only change the status to ‘Prepared’. A ‘Senior’ and ‘Manager’ can view and approve reports. If you are unsure of your user classification, ask your manager. If they do not know, contact the SAS Help Desk at 5-HELP (4357), option 1, 3. Can I use the back button? • You should not hit the back button on your web browser. You should instead follow the breadcrumbs to return to prior pages. If you accidentally hit the back button, hit refresh to try to return to the previous field or you may need to re-log on. How does the “find” function work? • Within a report in the applet viewer, the find function will only return results if the text is exact. For instance, typing in 1200 will not return something on the report that says 1,200. However, there is an automatic wildcard on both sides of the field so if 1,200 is typed in, it will find a result of 1,200.83.

17. FAQs - Sending Reports to CMOD How do I send intra day reports to DRL? • Users request reports to go ‘O’ on-line, similar to the way that reports are currently sent to on-line Mantissa. All reports that are sent to Mantissa automatically go to DRL as part of the conversion process. I ordered a report to go to DRL but it never went. What happened? • Currently, only reports that are sent on-line (and currently go to Mantissa) will go to DRL. Not all reports currently go through Mantissa, so those may not be available on DRL (i.e. reports ordered via screens RPIE, MTAR, POMS, POMT, BGCI, GCSH and GREL). All reports will be set up to go to DRL in the upcoming months, but for now, DRL is available as a straight Mantissa replacement product. I ran an MTMI “All” income report on DRL but the number of pages does not match the same report that I sent to my printer directly from MCH. Why? • DRL matches what is currently sent to Mantissa and not always does that match the hard copy print. For some reports, code was identified in the JCL to suppress sections of the reports when printing. For example, when the MTMI hard copy reports are printed, it does not include the "Fund Totals for Income Receivables" and "Fund Totals for Income Payables" reports.  However, when the reports are sent to Mantissa and or DRL those two reports are included in the job stream. 

18. FAQs – Browser Specific Information Why are the page numbers on some reports not sequential? • DRL breaks many reports by section, similar to Mantissa, based on the title change of each section. For reports such as the Appraisal, each section restarts the numbering at page 1. For some reports, such as the Dividend Income Summary, DRL breaks each section into its own hit on the hit list. The numbering on these reports may restart at #1 for each section, or may combine to create the sequential report. When attempting to view reports in the DRL via the “View/Adobe PDF” option, I received a blank white screen.  Are there any PC settings that must be modified so that I can view PDF's through MySS?  I am not having problems launching/viewing PDF's through Insight. • To view reports in Adobe Acrobat from the DRL, the "display pdf in browser" option must be checked/enabled.   This is an Adobe Acrobat setting: Edit/Preferences/Options.  Location of this setting varies with adobe version. In some cases, it must be unchecked to view pdf's for Insight. • Users of CNET cannot enable this option, as it will disable their ability to view/print the CNET reports that are available in a Landscape format. • Depending on the combination of IE and Adobe versions, this option, if enabled, may prevent the user from being able to view Insight reports in PDF.  IE 5.0 and 5.5 requires the disabling of this option for most versions of Adobe. IE 6.0 does not appear to have this limitation. Most of our Insight users prefer to view their PDF’s outside the browser. This will not be an option for DRL users who also require Insight. Modification of this option will be required when DRL is implemented. When I select the default viewer to view a report, a blank screen appears. What should I do? • To view reports via the default viewer, you must download Sun Java version 1.4.2 or higher. This download was pushed out from the lan team to all the users. If you do not have this download, it is available by clicking on “Site Requirements” which is located on the log in screen, under the id and password boxes. The Java download is a link at the bottom of the page. If you experience problems, contact your lan administrator at 5-HELP and ask them to install it for you. Why can’t I view the entire page of a report? • When a report is initially viewed, the report may not fit to screen. A user can either scroll across to view the whole report or apply a smaller font to the report. (Recommended font is Monospaced Plain 12.)

19. FAQs - Saving Reports on DRL Can I save multiple reports to text at one time? • A user can download 5 reports at a time to text by doing the following: • From the hit list, click on each report that you wish to download. • Click on the “Save As” tab in the header, and then the “Save as Text” in the drop down. • A “Save” box is presented with a default report destination on your C: drive. You do not need to input any information in this screen. Select “Save”. • DRL will automatically download each report, one at a time, to the destination selected. The report will automatically be named according to the following naming convention: Report Name_Fund Number_Load Date_Load Time. If a user downloads the exact same report/hit more than once, the old file will be overwritten with the new one. Different versions of the same report can be distinguished by the load time in the download name. • Note: Large reports may take a few minutes to download and display that the process is complete.

20. FAQs – Append and PDF Limitations How do I save appended reports? • When saving an appended report in PDF, the default may be “Web page, complete”. This file type will not work and needs to be changed to either “Text File” or “Web Page, HTML only.” Is there a limit to the number of reports that I can append? • User can select up to 25 reports to append • The maximum number of appended pages cannot exceed 3000. • The user will get an error message at the request step if the append request will result in over 3,000 pages. The page number count is based on the “No. of Pages” column.

21. FAQs - Printing from DRL How do I print a report from DRL? • Lan printing: The default lan print setting is portrait. Users need to change the setting to landscape to view reports properly. To do this, you need to hit the print button and then click on properties. Future printing will default to your last setting, so you only need to change this once. This is not applicable when printing PDF. • Mainframe printing: To print to your mainframe printer (i.e. Typhoon), select the check box next to each report that you want to print and then click “Print”. From the Print drop down, select a printer and click “OK” in the confirmation box. Up to 25 reports can be sent to a mainframe printer at one time. Will changes to font types, styles and size be reflected on the printed version of a report? • Changes to font type (i.e. Courier) and font styles (i.e. Bold) will appear on the screen and printed version. Changes to font size will show only on the screen and not show on printed copy. • Also, you cannot change the fonts for a portion of a report. Any changes made will apply to the entire report. • The last setting will default in future views.

22. FAQs - Hit List Information When I am viewing a hit list, does this include all reports found? • The hit list returns the first 500 hits. If the desired report is not on the returned hit list, refine your search criteria to limit results to less than 500. What does the “No. of Pages” index on the hit list refer to? • The “No. of Pages” index on the hit list refers to the Report Viewer format only. PDF and Excel files may be different lengths. Some Excel files will be significantly shorter because they do not include summary sections. Does the hit list show reports that have no pages? • No, if a report that meets the search criteria has zero pages, then the report will not appear on the hit list.

23. FAQs – Downloading from DRL Opening Reports in Excel • Different versions of Excel have different requirements for opening a DRL report in Excel. For instance, Excel XP requires Excel to be open on the user's desktop before downloading a file. Older versions do not. In addition, Excel downloads may be created with the same filename, so if one is open, the user will need to close or rename it before opening another. Why don’t all reports have the ability to download to CSV? • So far, 19 reports have been set up with the ability to download to CSV. These reports are identified on the “DRL Report List” spreadsheet in your packet. Is there a limit to the size of a CSV, PDF or Text download? • A download to CSV, PDF or Text cannot exceed 3,000 pages. The download will process, but will cut off at page 3,000 and not download the rest of the report. The user will NOT get a warning message for this limitation.

24. FAQs – Report Specific Information Which MCH reports are available on DRL? What reports are in each folder? • Refer to the “DRL report list” for a list of reports, including the job name, subfolder category and whether it goes into ‘Autorun’ or ‘UnApproved’ status when generated. If a report has issues on MCH, will the report have the same issues on DRL? • Yes. DRL is strictly an image of the MCH report, so any issues (i.e. data, format…) that exist in MCH will exist on the DRL image. (i.e. detail versus summary data issues with the Detailed Gain/Loss Report). How long is a report available on DRL? • DRL is expected to implement permanent retention on all reports soon. Currently, though, all Mutual Fund reports will be available for 60 days and then purged.

25. FAQs – Report Specific Information Account Position Appraisal (M910) • If you order the SIC Appraisal and the Alpha Appraisal at the same time, they will show as one large report on the hit list with both reports included, one after another. Also this report breaks on fund number only and not fund and title. The title for this report is defaulted to always read “Account Position Appraisal” and will not include the words SIC and Alpha on the search criteria or hit list although it will be specified on the actual report. (If it was not a defaulted title, the report would break into 8 hits for 8 different titles within the report). • As a result, a user should only set up one APA on MRRF to avoid both appearing as one hit. AICPA Reports (M494) • Report End date and report period for the AICPA (MARQ) reports will be equal to run date. There is not a consistent date format across all reports that could be used. Capstock Report (RM015) and OEIC/UT Capstock Detail Report (M504) • The report title on the hit list appears as “monthly capstock” for all capstock reports instead of the full title on the reports such as "monthly capstock subscriptions report,” “monthly capstock redemptions report,” or “monthly capstock dividends report".  Because DRL combines all three reports into one hit, the report title needs to be generic. Also this report breaks on fund number only and not fund and title

26. FAQs – Report Specific Information Pre-Setup Investment Holdings Report (M369) • In order not to pick up the date within the title off of this report, the title was defaulted to always read “PRE-SETUP INVESTMENT TYPES/HOLDINGS” regardless of what the report actually says. This report is on MTMI for London users. SEC Yield Reports (F112) • Report end date and Report Period will default to Run Date in upper left hand corner, as no other date is consistent across the 10 reports. Scientific Amortization Schedule (G222A) • When multiple schedules are requested at the same time for the same fund, all the schedules will be generated to one file in CMOD/DRL. If schedules are generated a few minutes apart, they may be processed in separate batches on MCH, which will result in separate hits for schedules generated during separate batches. Wash Sales Review (M158) • Report End date and report period for the Wash Sales Review reports will be equal to DATE in the top right corner. There is not a consistent date format across all reports that could be used.

27. FAQs – Report Specific Information Dividend Income Summary (M890) Why does the Dividend Income Summary show as 3 separate reports on the hit list? • The Dividend Income Summary report breaks on section and, at this time, each section cannot be combined back into one report in CMOD. As a result, each section will appear individually on the hit list, each having the same report id, but with different titles, reflecting the section name. The section names are as follows: • Dividend Income Summary – Fund Totals for Dividend Income Summary Report • Dividend Income Summary – Fund Totals for Dividend Income Summary Report (Sorted by NRA Tax Country) • Dividend Income Summary ERISA Reporting (M204A) • This report has a date in the title so a change was made in CMOD to have the title always read “Securities Initially Bought” and leave the date information off of the hit list. NAV Trial and Working Trial (M648/649) • It is not possible to send a trial or working trial using the BGLM, browse, then pf6 key to DRL. An on demand trial and working trial can only be sent to DRL in the same way as it is currently sent to Mantissa.

28. Exercise #1:Execute a search for a Detailed Realized Gain/Loss Report Steps to Complete Exercise #1: • Refer to the Report information spreadsheet to gather necessary information. • The Detailed Realized Gain/Loss Report can be found in the Transactions folder. (The user can also search from the All Reports folder). • 3 pieces of information are needed to execute an effective search. Click on each field and perform the following: • Report Title: Choose the Detailed Realized Gain/Loss Report from the list of reports. Double click on it or highlight it and click on “Add Selected”. • Report End Date: Click on the calendar widget, , then click on the left arrow next to the month to display the Sept calendar. Select Dec 31st. • Fund Name/Number: Select fund TED1 by double clicking on it or highlighting it and clicking on “Add Selected”. The user can sort the column by fund name by selecting the “Name” option. The user can also search for the fund inputting to the Search box and clicking on “Find”. • A user can choose to search by Report Id, rather than Report Title. To do this, leave the Report Title section blank and instead choose the Report ID criteria. • Report ID: Select report id M393 by double clicking or highlighting and clicking on “Add Selected”. • Note: Using this option will yield all reports with the M393 report id. For this example, the hit list will also show other gain loss reports such as the Summary Realized Gain/Loss Report and Interim MT Gain/Loss Report that were generated for that time period, since they all have the same Report ID. • Now that you have input the search criteria, click on the “Search” button. • You will then be presented with a list of reports that meet this search criteria. We call this the Hit List. • From here you can choose to view the report via the applet viewer or in PDF.

29. Exercise #2:Download the Detailed Realized Gain/Loss Report from Exercise #1 into CSV format. Steps to complete Exercise #2: • From the hit list that was created in Exercise #1, either click on the CSV icon or click on the box to the left of the report that you want, then click on “View” and then “View Excel”. • The report in CSV format will open in a separate window as shown on the opposite side. The user can save this file, as necessary.

30. Exercise #3:View the Detailed Realized Gain/Loss Report from Exercise #1 in the default viewer Steps to complete Exercise #3: • From the hit list that was created in Exercise #1, either click on the PDF icon or click on the box to the left of the report that you want, then click on “View” and then “View Adobe PDF Viewer”. • The report in Adobe PDF format will open in a separate window. The user can save this file, as necessary

31. Exercise #4:Append an Interest Receivable Report and a Dividend Payable Report in the PDF format Steps to complete Exercise #4: • Execute a search the way you did in Exercise #1, but instead choose the Interest Receivable Report and the Dividend Payables Report in the Report Title field. You can also choose these reports by Report ID, which is M198 for these reports.

32. Exercise #4:Append Interest Receivable Report and Dividend Payable Report in the PDF format • From the hit list, check off the two reports that you want to append. Click on “Append” (which is in blue just above the column headings) and then from the drop down, click on “Append PDF”. • This request will put the two reports in one PDF file, one after the other. From here, the user may choose to perform a review or save it to their server. (Note: Only 25 reports can be appended together at one time).

33. Exercise #5:Create a custom fund group and a custom report group Steps to complete Exercise #5: • At the Folder Repository select “Manage Fund Group” button and select “New Fund Group” • Next select funds by highlighting them and selecting “Add Selected” or by double clicking on the report. • Before saving the newly created fund group, the group must be named. Under the “Group Name” line, input a name for the fund group and then select “Save” to save the funds to be used in future searches. • A confirmation message “Group successfully added” will appear when the group is added.

34. Exercise #5:Creating a report group to be used for future searches • At the Folder Repository select “Manage Report Group” button and select “New Report Group” • Use the drop down under “Select a DRL Folder” to select the folder that you wish the group to appear. For this example, choose the “All Reports” folder. • Next, choose reports to be used in future searches by highlighting them and selecting “Add Selected” or double clicking on the report. • Before saving the newly created report group, the group must be named. Under “Report Group Name” Name”, input a name for the report group and then select “Save”. • A confirmation message “Group successfully added” will appear when the group is added.

35. Exercise #6:Execute a search using fund groups and reports groups Steps to complete Exercise #6: • From the Report Repository, select any of the report folders. • To use the report group that was created, select “Report Title” under the Search Criteria Summary. • Go to “Select a Report Group to Add below” dropdown and select the report group that was created and click on “Apply”. • Select “Report End Date” under the Search Criteria Summary and choose the appropriate date of the reports wanted. • Select “Fund Name/Number” under the Search Criteria Summary and go to “Select a Fund Group to add below” drop down. Select the fund group that was created and click on “Apply”. • After all fields are completed, select search and a search will execute for only the funds and reports indicated in search results.

36. Exercise #7:Save the search from Exercises #1 & #6 Steps to complete Exercise #7: • Refer to the Report information spreadsheet to gather necessary information. • The Detailed Realized Gain/Loss Report can be found in the Transactions folder. (The user can also search from the All Reports folder). • 3 pieces of information are needed to execute an effective search. Click on each field and perform the following: • 1. Report Title: Choose the Detailed Realized Gain/Loss Report from the list of reports. Double click on it or highlight it and click on “Add Selected”. . • 2. Report End Date: Click on the calendar widget, , then click on the left arrow next to the month to display the Sept calendar. Select Dec 31st. • 3. Fund Name/Number: Select fund TED1 by double clicking on it or highlighting it and clicking on “Add Selected”. The user can sort the column by fund name by selecting the “Name” option. The user can also search for the fund inputting to the Search box and clicking on “Find”. . • A user can choose to search by Report Id, rather than Report Title. To do this, leave the Report Title section blank and instead choose the Report ID criteria. • Report ID: Select report id M393 by double clicking or highlighting and clicking on “Add Selected”. • Note: Using this option will yield all reports with the M393 report id. For this example, the hit list will also show other gain loss reports such as the Summary Realized Gain/Loss Report and Interim MT Gain/Loss Report that were generated for that time period, since they all have the same Report ID. • Once the necessary information is provided for the search click on save search. You are prompted to name the search. After you enter a name you click on save and you are notified that the saved search was a success. You will see the saved search on DRL Home page under My Favorites.

37. Exercise #7:Save the search from Exercises #1 & #6 • A user can choose to search by Report Id, rather than Report Title. To do this, leave the Report Title section blank and instead choose the Report ID criteria. • Report ID: Select report id M393 by double clicking or highlighting and clicking on “Add Selected”. • Note: Using this option will yield all reports with the M393 report id. For this example, the hit list will also show other gain loss reports such as the Summary Realized Gain/Loss Report and Interim MT Gain/Loss Report that were generated for that time period, since they all have the same Report ID. • Once the necessary information is provided for the search click on save search. You are prompted to name the search. After you enter a name you click on save and you are notified that the saved search was a success. You will see the saved search on DRL Home page under My Favorites.

38. Step to complete Exercise #8: On the DRL Home page under My Favorites drill into modify and make any changes. You can then save the modified search over the original search or rename it to have a second search. Exercise #8:Modify a saved search from Exercise #7

39. Exercise #9:Delete a saved search from Exercise #7 Step to complete Exercise #9: • On the DRL Home page under My Favorites click on delete. You are asked to confirm the deletion. Once you answer OK, the saved search is deleted.