Spreadsheet: 764890d1643055119-need-help-excluding-some-data-report632
Sheet: Updates

ProjRegistryFiltered:ID | Weekly Update Section | Task Name | Due Date | Priority | Task Status | Mitigation | Milestone Health
209 | Recent Accomplishments | Review initial AML policy with [NAME] | 2020-01-15 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Estimation to develop exception reports internal CFN to support ongoing AML program | 2020-01-24 00:00:00 | (2) Normal | Completed
209 | Milestones | Complete high level requirements for the project from AML, Compliance and Trade Surveillance | 2020-01-31 00:00:00 | (2) Normal | Completed |  | Green
209 | Milestones | Signed Agreement with Actimize | 2020-12-31 00:00:00 | (2) Normal | Completed |  | Green
209 | Milestones | Ready final list of short term reports that needs to be developed | 2020-01-24 00:00:00 | (2) Normal | Completed |  | Green
209 | Milestones | Final scope for 2020 and Stakeholders communication | 2020-09-30 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | [NAME] from AML vendors | 2020-02-04 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Finalize the [NAME] of Request for Proposal | 2020-03-07 00:00:00 | (2) Normal | Completed
209 | Milestones | Approval of Business Requirements Document and Configuration Workbook | 2021-07-23 00:00:00 | (2) Normal | Completed |  | Amber
209 | Recent Accomplishments | Review updated AML Policy with Risk Governance | 2020-04-15 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Review updated AML Policy with Risk Committee | 2020-04-15 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Get NDA in place with vendors selected after RFI before moving forward for RFP | 2020-03-06 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Complete the initial draft of RFP document and review it with stakeholders | 2020-02-28 00:00:00 | (2) Normal | Completed
209 | Milestones | Complete Risk Assessment | 2020-02-28 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Develop a method to evaluate RFP responses from vendors | 2020-04-10 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Submit vendor NDA request on COMM Ave | 2020-02-21 00:00:00 | (2) Normal | Completed
209 | Milestones | AML Policy and Procedure Finalized | 2021-03-31 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Add high level user stories and acceptance criteria in AML RFP draft. | 2020-03-06 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Send out RFP to vendors once drafted and approved | 2020-03-17 00:00:00 | (2) Normal | Completed
209 | Key Issues / Risks | There could be a few reports where A360 needs to be involved for development. | 2020-06-30 00:00:00 | (2) Normal | Completed
209 | Key Issues / Risks | High estimates for developing exception reports. | 2020-07-31 00:00:00 | (2) Normal | Completed
209 | Key Issues / Risks | Due to uncertainty on data, timelines provided for Actimize implementation varies between vendors. | 2021-04-30 00:00:00 | (1) High | Completed | Project timelines will be adjusted based on the data exploration work that will be done with implementation vendor.
209 | Recent Accomplishments | Development of Hub n Spoke 1 and 2 exception reports | 2020-07-15 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Planning and preparation for [NAME] | 2020-05-02 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Update AML Policy as per the feedback provided by Risk Committee | 2020-05-31 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Confirm business requirements on Hub n Spoke 1 and 2 exception report | 2020-06-30 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Confirm business requirements on Rapid movement report | 2020-06-15 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Evaluate vendor RFP responses | 2020-05-01 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Develop AML RAPID Decision matrix | 2020-05-07 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Finalize steering committee members for AML project | 2020-04-23 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | RFP response has been received from all vendors. | 2020-04-17 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Demo with Risk Canvas was done on May 20th | 2020-05-20 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Evaluate Demonstration and provide scorecards | 2020-06-02 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Select and recommend AML vendor to steering committee | 2020-06-15 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Schedule reports/cases in production using BOT/BOS. | 2021-04-15 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Demo with Actimize was done on May 14th | 2020-05-14 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Final evaluation before signing contract with Actimize | 2020-09-30 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Get estimates and resource count for development of data source for AML vendor | 2020-10-02 00:00:00 | (2) Normal | Completed
209 | Key Issues / Risks | Due to year end holidays a few vendors has requested extension to submit RFP. | 2021-01-07 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Development of Large Deposit and Withdrawal report | 2020-07-15 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Development of Rapid Movement of Funds report | 2020-07-15 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Data Requirement discussion with Actimize | 2020-09-30 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Set up meeting to evaluate RFP responses | 2020-12-31 00:00:00 | (2) Normal | Completed
209 | Milestones | Completion of BATES engagement | 2020-06-10 00:00:00 | (2) Normal | Completed |  | Green
209 | Milestones | Prod deploy selected of exception  reports | 2021-04-30 00:00:00 | (2) Normal | Completed |  | Green
209 | Key Issues / Risks | Actimize software fee mentioned in MSA is 5 times of fee that was shared during RFP. | 2020-08-31 00:00:00 | (1) High | Completed
209 | Recent Accomplishments | Steering committee was updated on AML project progress | 2020-08-11 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Final price received from Actimize after negotiations. | 2020-08-14 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | New AML policy has been shared with editorial for review. | 2020-08-26 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Executive updates on AML project | 2020-09-02 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Complete Due Diligence forms requested by Vendor management | 2021-01-02 00:00:00 | (2) Normal | Completed
209 | Key Issues / Risks | Delay from business on providing timely feedback on Exception reports due to ongoing AML audit. | 2020-12-31 00:00:00 | (1) High | Completed
209 | Recent Accomplishments | New AML policy has been approved by risk committee. | 2020-08-08 00:00:00 | (2) Normal | Completed
209 | Key Issues / Risks | Additional resources required on business side for tuning and testing the new AML solution. | 2021-03-31 00:00:00 | (2) Normal | Completed
209 | Key Issues / Risks | There is only one dev resource assigned to AML project. | 2020-12-31 00:00:00 | (1) High | Completed | [NAME] is planning to hire FTE. [NAME] will be backup of [NAME] in case we don’t have resource hired.
209 | Recent Accomplishments | Data requirements document  session completed with Actimize. | 2020-09-18 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Contract received from Actimize reviewed internally. Redline draft will be sent back Actimize. | 2020-09-25 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Initial high-level analysis on DRD has been completed by business and technology team | 2020-10-22 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Communication to Advisors on new AML policy | 2021-03-31 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Provide feedback on remaining 2 exception reports | 2021-02-01 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Write pseudo logic of reports for reference. Waiting for Heather confirmation on two reports | 2021-01-01 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Steering committee has ben updated on issues with data and need of additional resources on AML project. | 2020-10-27 00:00:00 | (2) Normal | Completed
209 | Milestones | Signed Agreement with Actimize Implementation vendor | 2021-05-15 00:00:00 | (2) Normal | Completed |  | Amber
209 | Recent Accomplishments | Complete Due Diligence process for vendors | 2021-02-06 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Contract Negotiation with implementation partner. | 2021-05-07 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Sign Contract  with implementation partner. | 2021-05-09 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | RFP has been reviewed, approved and released to selected three vendors. | 2020-12-09 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Technology team has delivered all four exception reports. Two reports have been signed by business. | 2020-12-02 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Completed initial conversation with all four Actimize implementation vendors. | 2020-12-09 00:00:00 | (2) Normal | Completed
209 | Milestones | Select AML vendor | 2020-10-30 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | In December, Commonwealth signed a five-year contract with Actimize. | 2021-01-30 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Commonwealth has an open RFP for an implementation partner | 2021-01-30 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Received [NAME] on available models and rules for Actimize modules | 2021-01-30 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | [NAME] has been hired as AML Technology Manager.  She brings vast knowledge of Actimize including two implementations | 2021-01-30 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Reference checks have been completed for Crowe. | 2021-02-15 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Design and create a data source for AML attributes. | 2021-05-15 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Schedule kick-off meeting with CFN and Actimize | 2021-06-04 00:00:00 | (2) Normal | Completed
209 | Milestones | AML ODS Development MVP | 2021-05-15 00:00:00 | (2) Normal | Completed |  | Amber
209 | Recent Accomplishments | Create an AML Governance Group for oversight and approval of model selection, and configuration changes | 2021-04-30 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | BOS cases for Large Deposit Withdrawal report have been generated in production. | 2021-03-10 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Technology team shared the sprint plan for development of AML ODS. | 2021-03-10 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Development of four AML tables have been completed by team in first sprint. | 2021-03-10 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Advisor communication has been sent out new AML policy. | 2021-03-10 00:00:00 | (2) Normal | Completed
209 | Key Issues / Risks | Contract negotiations with Crowe include fixed as well as T&M workstreams and the scope of the work is extensive. | 2021-04-30 00:00:00 | (2) Normal | Completed | Contract was signed with Crowe.
209 | Key Issues / Risks | Performance issues identified in Hubble due to which there was no data available in transaction tables. | 2021-04-23 00:00:00 | (1) High | Completed | Performance issues were resolved.
209 | Recent Accomplishments | AML sign-off received for Low Priced Security and Restricted stock reports. BOS case validation for reports is complete. | 2021-04-16 00:00:00 | (2) Normal | Completed
209 | Recent Accomplishments | Request VDI access etc. for Crowe's Team | 2021-06-04 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Business sign-off on AML Exception reports | 2021-04-15 00:00:00 | (2) Normal | Completed |  | Green
209 | Key Issues / Risks | Number of records are low in transaction table. Minimum 3-month data is needed for Crowe to get started and 13 months data for Actimize implementation | 2021-05-19 00:00:00 | (2) Normal | Completed | [NAME] is working to estimate the effort to load additional data in transaction tables. | Green
209 | Milestones | [NAME] and milestone plan | 2021-06-25 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Plan to find a resolution on customer data integrity issues | 2021-06-04 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Enrich customer, account and transactions tables | 2021-06-30 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Create an integrated Actimize implementation plan | 2021-06-25 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Created engagement model with A360 for requests on data attributes for AML project. | 2021-05-15 00:00:00 | (2) Normal | Completed |  | Green
209 | Key Issues / Risks | Customer and data integrity issues found during data analysis | 2022-01-31 00:00:00 | (1) High | In Progress | A work-around is in place however an issue with the work-around has been identified.  A meeting with A360 to discuss data structure has been requested. | Green
209 | Recent Accomplishments | Actimize implementation kick-off was held last week with all three teams:  Commonwealth, Crowe and Actimize. | 2021-06-08 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Crowe resources have been set up with access and VDI in Commonwealth network. | 2021-06-07 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Transaction Monitoring Governance Group had its kick-off meeting | 2021-06-15 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Deploy views in Dev environment | 2021-06-21 00:00:00 | (1) High | Completed |  | Green
209 | Recent Accomplishments | Create a QA environment with views deployed for Crowe | 2021-06-21 00:00:00 | (1) High | Completed |  | Green
209 | Recent Accomplishments | Business requirements for Actimize Implementation | 2021-07-15 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Coverage Assessment | 2021-07-15 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Data sourcing Strategy | 2021-07-15 00:00:00 | (2) Normal | Completed |  | Green
349 | Milestones | [NAME] | 2021-05-17 00:00:00 | (2) Normal | Completed |  | Green
349 | Milestones | RRDD and Workflow Finalized | 2021-07-06 00:00:00 | (2) Normal | Completed |  | Green
349 | Milestones | IT Requirements Completed | 2021-07-20 00:00:00 | (2) Normal | Completed |  | Green
349 | Milestones | Advisor Training Part 1 Launch | 2021-09-30 00:00:00 | (2) Normal | Completed |  | Green
349 | Milestones | Forms, Policy and Procedures Ready | 2022-03-16 00:00:00 | (2) Normal | In Progress |  | Green
349 | Milestones | [NAME] | 2021-12-23 00:00:00 | (2) Normal | Completed |  | Green
349 | Milestones | DOL Webpage on Commlink | 2021-08-12 00:00:00 | (2) Normal | Completed |  | Green
349 | Key Issues / Risks | Prioritization of DOL related technology items with A360 | 2021-09-30 00:00:00 | (1) High | Completed | Received dates from A360 on 9/10. | Red
349 | Recent Accomplishments | Identified forms that need to be updated for DOL | 2021-07-20 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | Create a reference documents to update forms | 2021-08-06 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | Rollover recommendation workflow has been created and all requirements are documented. | 2021-07-20 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | Get technology items prioritized with A360 | 2021-07-30 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | Initial draft of DOL form was completed | 2021-06-18 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | High level technology requirements for A360 and CFN technology teams have been documented | 2021-06-18 00:00:00 | (2) Normal | Completed |  | Green
209 | Milestones | Approval of Coverage Selection Documentation | 2021-07-23 00:00:00 | (2) Normal | Completed |  | Green
209 | Milestones | Approval of Data Sourcing Strategy | 2021-08-09 00:00:00 | (2) Normal | Completed |  | Green
209 | Milestones | Approval of DQA Report | 2021-08-23 00:00:00 | (2) Normal | Completed |  | Green
209 | Milestones | Data Mapping Sign Off | 2021-10-08 00:00:00 | (2) Normal | Completed |  | Green
209 | Milestones | [NAME] | 2021-11-19 00:00:00 | (2) Normal | Completed |  | Amber
209 | Milestones | Prod Deployment of ODS | 2021-11-17 00:00:00 | (2) Normal | Completed |  | Green
209 | Milestones | Actimize UAT & Tuning - Sign Off | 2022-08-26 00:00:00 | (2) Normal | Not Started |  | Green
209 | Milestones | [NAME] | 2022-09-09 00:00:00 | (2) Normal | Not Started |  | Green
209 | Milestones | Approval of CDD Tuning Report | 2022-06-08 00:00:00 | (2) Normal | Not Started |  | Green
209 | Milestones | Receive Sign-off On WLF Tuning Report | 2022-07-21 00:00:00 | (2) Normal | Not Started |  | Green
209 | Milestones | [NAME] and SIT Validation | 2022-03-25 00:00:00 | (2) Normal | Not Started |  | Green
209 | Milestones | Approval of the Output Validation Report | 2022-05-05 00:00:00 | (2) Normal | Not Started |  | Green
209 | Milestones | Data Validation 1 Sign-off | 2021-12-14 00:00:00 | (2) Normal | Completed |  | Green
349 | Milestones | Forms Mockup completed | 2021-09-30 00:00:00 | (2) Normal | Completed |  | Green
349 | Milestones | All Manuals updated and submitted to editorial | 2021-10-08 00:00:00 | (2) Normal | Completed |  | Green
349 | Milestones | CFN Compliance Date | 2022-01-31 00:00:00 | (2) Normal | In Progress |  | Green
349 | Milestones | Technology Development Completed/UAT Started | 2021-11-19 00:00:00 | (2) Normal | Completed |  | Green
209 | Key Issues / Risks | List Provider: Commonwealth to select a list provider to support in the configuration of the WLF module | 2021-12-10 00:00:00 | (2) Normal | Completed | MSA  submitted with vendor management to sign a contract by the end of this month. | Green
209 | Key Issues / Risks | Transaction count mismatch between source (PPS Select) and ODS tables | 2021-09-30 00:00:00 | (2) Normal | Completed | Transaction count mismatch issue is fixed. Additional anaysis is needed to check entry date. | Green
209 | Recent Accomplishments | Review and approval of Data Sourcing Strategy by Commonwealth | 2021-08-03 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Approval of DQA report | 2021-08-13 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Deliver Data Quality Assessment (DQA) report to Commonwealth | 2021-07-30 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Trade, Accounts, Check, Wire, EFT - Data mapping | 2021-09-17 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Account & Transactions - ETL Review and Sign-off | 2021-09-17 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Crowe delivered the Integrated Scoping Document (Data sourcing strategy) to Commonwealth. | 2021-07-19 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Crowe delivered the Coverage Assessment Executive Summary and Matrix to the Firm. | 2021-07-02 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Crowe delivered the Business Requirements Document and Configuration Workbook to the Firm. | 2021-07-02 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | ODS data mapping document and data model have been created and shared with Crowe. | 2021-07-02 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | Editorial review of internal FAQ | 2021-08-06 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | Initial draft of DOL training | 2021-08-30 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | Create a DOL webpage on Community Link for Advisors | 2021-08-12 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | August advisor communication | 2021-08-12 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | RFP evaluation and analysis | 2021-08-19 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | After signing NDA, an RFP has been issued to find a vendor who could provide plan comparison data. | 2021-07-20 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | Forms review has been completed and list of forms that that may need an update for DOL fiduciary rule has been created | 2021-07-20 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | All technology requirements have been shared with A360 team. | 2021-07-20 00:00:00 | (2) Normal | Completed |  | Green
366 | Milestones | Search functionality - Search functionality in QA | 2021-09-10 00:00:00 | (2) Normal | Completed |  | Green
366 | Recent Accomplishments | Search functionality - UI | 2021-07-16 00:00:00 | (2) Normal | Completed |  | Green
366 | Recent Accomplishments | Test search functionality | 2021-10-04 00:00:00 | (2) Normal | Completed |  | Green
366 | Next Steps | [NAME] search to ensure featured results are displaying as intended | 2022-02-28 00:00:00 | (2) Normal | Deferred |  | Green
366 | Milestones | Launch new search functionality | 2022-02-28 00:00:00 | (2) Normal | In Progress |  | Amber
366 | Next Steps | Internal outreach to RMs re:  featured search | 2022-02-28 00:00:00 | (2) Normal | Deferred |  | Green
366 | Recent Accomplishments | Login page design finalized | 2021-07-23 00:00:00 | (2) Normal | Completed |  | Green
366 | Recent Accomplishments | [NAME]:  ticket created for IT | 2021-07-27 00:00:00 | (2) Normal | Completed |  | Green
366 | Recent Accomplishments | Login page:  prioritize with IT | 2021-08-05 00:00:00 | (2) Normal | Completed |  | Green
366 | Recent Accomplishments | Login page:  test | 2021-10-04 00:00:00 | (2) Normal | Completed |  | Green
366 | Milestones | Launch revised login page | 2021-10-06 00:00:00 | (2) Normal | Completed |  | Green
366 | Recent Accomplishments | Prospect Tour:  guided video resourcing decision | 2021-07-22 00:00:00 | (2) Normal | Completed |  | Green
366 | Milestones | Prospect Tour:  guided video kick-off meeting | 2021-08-02 00:00:00 | (2) Normal | Completed |  | Green
366 | Milestones | Content Strategy/Governance:  update decision tree for technology request | 2021-08-02 00:00:00 | (2) Normal | Completed |  | Green
366 | Recent Accomplishments | Content Strategy/Governance:  ticket created for IT | 2021-08-02 00:00:00 | (2) Normal | Completed |  | Green
366 | Milestones | Content Strategy/Governance:  push form live | 2021-12-31 00:00:00 | (2) Normal | Deferred |  | Green
366 | Milestones | Content Strategy/Governance:  update decision tree for COMMLink request | 2021-08-02 00:00:00 | (2) Normal | Completed |  | Green
366 | Milestones | Update icons + imagery to reflect new brand:  final design approved | 2021-12-31 00:00:00 | (2) Normal | Deferred | Decided to defer this item | Green
366 | Milestones | Update icons + imagery to reflect new brand:  Launch | 2021-12-31 00:00:00 | (2) Normal | Deferred |  | Green
366 | Recent Accomplishments | Streamline Navigation Menu (Visual and IA):  UI Approved | 2021-07-16 00:00:00 | (2) Normal | Completed |  | Green
366 | Recent Accomplishments | Streamline Navigation Menu (Visual and IA):  Prioritize with IT | 2021-08-05 00:00:00 | (2) Normal | Completed |  | Green
366 | Recent Accomplishments | Streamline Navigation Menu (Visual and IA):  Test | 2021-10-04 00:00:00 | (2) Normal | Completed |  | Green
366 | Milestones | Launch Streamlined Navigation Menu (Visual and IA) | 2021-10-06 00:00:00 | (2) Normal | Completed |  | Green
366 | Milestones | Launch home page | 2021-10-06 00:00:00 | (2) Normal | Completed |  | Green
366 | Milestones | Home page update:  final design approved | 2021-08-05 00:00:00 | (2) Normal | Completed |  | Green
366 | Recent Accomplishments | Streamline Navigation Menu (Visual and IA):  [NAME] sent to IT | 2021-07-28 00:00:00 | (2) Normal | Completed |  | Green
209 | Key Issues / Risks | The data source (ODS) is being tested and modified as needed at this time. This may have an impact to the effort/timeline on the data ingestion related tasks. | 2021-09-30 00:00:00 | (2) Normal | Completed | Commonwealth technology team confirmed that any changes being made in ODS will not impact the views that were created for Crowe to complete data quality assessment. | Green
209 | Recent Accomplishments | AML team met with Refinitiv to review potential CIP and WLF solutions. | 2021-07-02 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | ODS data mapping document and data model have been created and shared with Crowe. | 2021-07-02 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Deliver Data Quality Assessment (DQA) report to Commonwealth | 2021-08-04 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Account & Transactions - Design ETL Integration Jobs | 2021-09-15 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Develop mapping documents for Accounts | 2021-08-24 00:00:00 | (2) Normal | Completed |  | Green
349 | Key Issues / Risks | Scope of the project has increased due to addition of RFP to find a vendor who could provide data for plan comparison. This could result in some additional work that would have to be completed by CFN technology team | 2021-09-10 00:00:00 | (2) Normal | Completed | Contract will be signed with vendor by tomorrow or early next week. | Green
366 | Recent Accomplishments | Guided Prospect Tour Create Brief | 2021-08-13 00:00:00 | (2) Normal | Completed |  | Green
366 | Recent Accomplishments | Guided Prospect Tour Concept Design - draft 1 | 2021-11-19 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Trade, Accounts, Check, Wire, EFT - mapping review and sign-off | 2021-09-17 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Completed mapping of the Accounts and Transactions tables. | 2021-08-03 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Gap Analysis and Development of Design Documentation have been completed by Actimize. | 2021-08-04 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Project plan has been updated based on data quality assessment performed by Crowe. | 2021-08-24 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | Confirmation/estimates on technology items from A360 | 2021-09-10 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | Start Development of workflow | 2021-09-10 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | Complete vendor demos | 2021-08-31 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | NFS statement [NAME] approval | 2021-08-30 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | September Advisor Communication | 2021-09-10 00:00:00 | (2) Normal | Completed |  | Green
366 | Key Issues / Risks | Login page:  A360 dependency | 2021-12-30 00:00:00 | (2) Normal | Completed | Login page has been rebranded so the main goals were to make it more visually appealing.  We are able to update the banner to provide a visual update until the code can be updated by A360, but this work will not get prioritized in 2021. | Green
209 | Recent Accomplishments | Trade, Accounts, Check, Wire, EFT - Development, Design and Unit testing ETL Jobs | 2021-09-17 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Account & Transactions - Development, Design and Unit testing ETL Jobs | 2021-09-17 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Accounts, Transactions, Checks, Wire - ETL Review and Sign-off | 2021-09-28 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Accounts and Transactions - Approval on mapping documents | 2021-08-04 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Project plan has been updated based on data quality assessment performed by Crowe. | 2021-08-24 00:00:00 | (2) Normal | Completed |  | Green
349 | Milestones | Advisor Training Part 2 Launch | 2022-02-03 00:00:00 | (2) Normal | In Progress |  | Green
349 | Recent Accomplishments | Draft of DOL training – Marketing Review | 2021-09-08 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | Update manuals for DOL | 2021-10-07 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | DOL training part 1 – Beta Review | 2021-09-23 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | Draft of DOL training – Compliance Review | 2021-09-17 00:00:00 | (2) Normal | Completed |  | Green
280 | Recent Accomplishments | Issued RFP and recieved responses from vendors. | 2021-08-09 00:00:00 | (2) Normal | Completed |  | Green
280 | Recent Accomplishments | Prepared evaluation criteria with business units | 2021-08-18 00:00:00 | (2) Normal | Completed |  | Green
280 | Recent Accomplishments | Removed Eastern Bank from vendor candidate list | 2021-08-23 00:00:00 | (2) Normal | Completed |  | Green
280 | Next Steps | Complete scoring evaluations and analysis from three vendors | 2021-09-03 00:00:00 | (2) Normal | Completed |  | Green
280 | Next Steps | Invite vendors for demo | 2021-09-20 00:00:00 | (2) Normal | Completed |  | Green
280 | Next Steps | Review demo findings and proposals from three banks | 2021-10-22 00:00:00 | (2) Normal | Completed |  | Green
280 | Next Steps | Select Bank for implementation | 2021-09-29 00:00:00 | (2) Normal | Completed |  | Green
280 | Key Issues / Risks | InfoSec was not part of the RFP process; resource has now been assigned to be part of the scoring process. | 2021-09-03 00:00:00 | (3) Low | Completed | Resource from InfoSec has been assigned to review vendor responses and be part of the evaluation and selection process going forward. | Green
280 | Milestones | Complete evaluation of vendors | 2021-09-17 00:00:00 | (2) Normal | Completed |  | Green
280 | Milestones | Select vendor bank | 2021-11-19 00:00:00 | (2) Normal | Completed |  | Green
280 | Milestones | Complete vendor due diligence including infosec review | 2022-03-31 00:00:00 | (2) Normal | Not Started |  | Green
280 | Milestones | Vendor contract signed | 2022-03-31 00:00:00 | (2) Normal | Not Started |  | Green
280 | Milestones | New Bank rollout complete | 2022-06-30 00:00:00 | (2) Normal | Not Started |  | Green
349 | Milestones | Vendor implementation complete | 2021-10-18 00:00:00 | (2) Normal | Completed |  | Green
349 | Milestones | RFP/Sign contract with vendor | 2021-09-30 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Trade, Reference Data – Development, Design and Unit testing ETL Jobs | 2021-10-22 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Trade, Reference Data  – Review and obtain signoff of ETL Jobs | 2021-10-26 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Reviewed potential solutions for Negative news, PEP and OFAC screening including move to single source vendor | 2021-09-08 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | NFS statement [NAME] – Editorial approval received. Shared with [NAME] to take it forward with NFS. | 2021-09-01 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | Rollover Recommendation Summary form has been reviewed with outside counsel | 2021-10-02 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | Changes on Investor Disclosure Brochure have been reviewed internally and by outside counsel. | 2021-09-07 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | Complete vendor [NAME] and sign Contract | 2021-09-30 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | Initiate to review desktop procedures with all departments | 2021-10-27 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | SSO and configuration with Fiduciary Decisions from Comm Link | 2021-10-22 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | Advisor training Part 1 Launch | 2021-09-30 00:00:00 | (2) Normal | Completed |  | Green
349 | Key Issues / Risks | UAT dates shared by A360 are cutting too close to compliance date | 2021-12-31 00:00:00 | (2) Normal | Completed | Workflow development is complete. A360 is working to set up NFS feed in QA for UAT. | Green
366 | Recent Accomplishments | Guided Prospect Tour Content Development | 2021-10-29 00:00:00 | (2) Normal | Completed |  | Green
366 | Recent Accomplishments | Content updated on various COMMLink pages:  Oceans, RCS, ESG + Transition | 2021-09-02 00:00:00 | (2) Normal | Completed |  | Green
366 | Recent Accomplishments | Guided Prospect Tour Key Features List Defined | 2021-09-03 00:00:00 | (2) Normal | Completed |  | Green
209 | Key Issues / Risks | The data source (ODS) is being tested and modified as needed at this time. These changes resulting in additional effort by the Crowe team | 2021-12-31 00:00:00 | (2) Normal | Completed | 10/7 - Code freeze would be done over the weekend. [09/15]: Additional information added and moved from [NAME] to High risk. [09/08]: Additional details added to risk. Commonwealth technology team confirmed that any changes being made in ODS will not impact the views that were created for Crowe to complete data quality assessment | Green
209 | Key Issues / Risks | The [NAME] team's ability to test and validate the accuracy of data mapping and ETL development is being impacted by referential integrity issues that exist between the transaction views. | 2021-10-30 00:00:00 | (1) High | Completed | Impact to the effort/timeline on the data ingestion related tasks such as Data Mapping and ETL development efforts are being actively communicated to Commonwealth by Crowe. | Green
366 | Recent Accomplishments | Communication draft received for 10.6 release | 2021-09-22 00:00:00 | (2) Normal | Completed |  | Green
366 | Recent Accomplishments | Communication finalized for 10.6 release | 2021-09-29 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | NFS  – Review and obtain signoff of ETL Jobs | 2021-10-19 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | NFS – Development, Design and Unit testing ETL Jobs | 2021-10-19 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Actimize Configuration | 2021-11-25 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Initial Data Load and Sanity Check | 2021-11-23 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | September/October communication on DOL training and infographic | 2021-10-01 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | Review desktop procedures with all departments | 2021-12-20 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | Advisor council meeting for DOL | 2021-10-22 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | Vendor (Fiduciary Decision) Implementation Complete | 2021-10-20 00:00:00 | (2) Normal | Completed |  | Green
280 | Recent Accomplishments | Received and assessed evaluation scorings from business | 2021-09-10 00:00:00 | (2) Normal | Completed |  | Green
280 | Recent Accomplishments | Shortlisted two banks – [NAME] and TD Bank | 2021-09-20 00:00:00 | (2) Normal | Completed |  | Green
280 | Recent Accomplishments | Scheduled demos with Citizens and TD Bank including Infosec sessions | 2021-09-24 00:00:00 | (2) Normal | Completed |  | Green
280 | Next Steps | Review demo findings and proposals from both banks | 2021-10-15 00:00:00 | (2) Normal | Completed |  | Green
280 | Next Steps | Determine preferred vendor | 2021-11-19 00:00:00 | (2) Normal | Completed |  | Green
280 | Next Steps | Complete vendor due diligence | 2022-01-10 00:00:00 | (2) Normal | Not Started |  | Green
280 | Next Steps | Review vendor contract | 2022-01-11 00:00:00 | (2) Normal | Not Started |  | Green
209 | Key Issues / Risks | Negative News Screening: Actimize confirmed that screening is not available in WLF module. During RFP, it was confirmed that negative news screening is available in WLF. | 2021-12-10 00:00:00 | (2) Normal | Completed | Ammenment is ready for signature. | Green
209 | Key Issues / Risks | QA confirmed that QA sign-off on AML ODS tables could not be provided before ETL completion. Previously, expectations were set to receive sign-off before ETL completion. | 2022-01-31 00:00:00 | (2) Normal | In Progress | [NAME] and Poonam R confirmed that QA will be completed (all test cases executed, and bugs reported) on all data domains by 12/15. Completion dates for individual domains will be shared today. An additional QA resource will also help team to pull completion date earlier. | Green
209 | Recent Accomplishments | Technical solution implemented to place files to the requisite target server/location. | 2021-10-19 00:00:00 | (1) High | Completed |  | Green
209 | Recent Accomplishments | Delivery of Historical and Daily Data Files to Actimize for DV1 | 2021-11-01 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Change request form for list provider has been approved  by SteerCo | 2021-10-12 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Daily Batch Processing set up has been completed in QA | 2021-10-13 00:00:00 | (2) Normal | Completed |  | Green
366 | Recent Accomplishments | Create page to host Guided Prospect Prototype | 2021-11-17 00:00:00 | (2) Normal | Completed |  | Green
366 | Recent Accomplishments | Research password protection for hosting prospect prototype on commonwealth.com page | 2021-11-17 00:00:00 | (2) Normal | Completed |  | Green
366 | Milestones | Prospect Tour:  guided video complete + posted on site | 2022-01-03 00:00:00 | (2) Normal | Completed |  | Green
349 | Key Issues / Risks | PTE recommendations to participants in a firm’s home office plan by their employees or advisors | 2021-11-30 00:00:00 | (2) Normal | Completed | [NAME] and [NAME] had a call with our ES ERISA outside counsel and discussed our questions regarding whether PTE 2020-02 can be relied upon in situations where a financial institution's own advisor provides recommendations to participants in the firm’s retirement plan.   This is a legal gray area.  After discussing the limited times this may occur, the fact that rollovers in these instances would often be unsolicited and the difficulty in knowing when they might occur, we agreed that following our current PTE 2020-02 process is a reasonable approach | Green
349 | Recent Accomplishments | New rollover recommendation workflow – [NAME] | 2021-11-22 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | Update all desktop procedures for DOL | 2021-12-20 00:00:00 | (2) Normal | Completed |  | Green
366 | Recent Accomplishments | Meet with Searchblox to determine next steps on firewall issues to fix search | 2021-10-27 00:00:00 | (2) Normal | Completed |  | Green
349 | Milestones | New DOL RRS form becomes mandatory | 2022-04-01 00:00:00 | (2) Normal | Not Started |  | Green
349 | Recent Accomplishments | New rollover recommendation workflow – UAT Complete | 2021-12-23 00:00:00 | (2) Normal | Completed |  | Green
280 | Recent Accomplishments | Completed all business and [NAME] demos with TD Bank and Citizens | 2021-10-07 00:00:00 | (2) Normal | Completed |  | Green
280 | Recent Accomplishments | Received responses from post demo follow up with banks; pending business review. | 2021-10-15 00:00:00 | (2) Normal | Completed |  | Green
280 | Recent Accomplishments | Obtained reference checks from banks | 2021-10-22 00:00:00 | (2) Normal | Completed |  | Green
280 | Next Steps | Setup meetings with vendor references | 2021-11-12 00:00:00 | (2) Normal | Completed |  | Green
209 | Key Issues / Risks | Actimize mentioned that there would be a delay on reporting data validation 1 issues due to holidays at offshore. | 2021-12-17 00:00:00 | (2) Normal | Completed | Project team has concern with Actimize support model during holidays and vacation. Discussions in progress. | Green
209 | Milestones | Data Validation 2 Sign-off | 2022-01-17 00:00:00 | (2) Normal | Completed |  | Green
209 | Milestones | Approval of UAT Test Plan and Cases | 2022-01-31 00:00:00 | (2) Normal | In Progress |  | Green
209 | Recent Accomplishments | Data load in Actimize for DV#2 | 2022-01-01 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Delivery of Historical and Daily Data Files to Actimize for DV#2 | 2022-01-01 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | New rollover recommendation form was reviewed with advisor council on 10/22. | 2021-10-22 00:00:00 | (2) Normal | Completed |  | Green
209 | Key Issues / Risks | Production database - Configuration work items | 2021-11-12 00:00:00 | (1) High | Completed | In preparation for data validation cycle #2, need A360 to make some config changes since CFN no longer has access to do so.    o	Additional server space has been added.  A360 is working on updating permissions needed for Commonwealth DBAs. This is needed to proceed with data validation cycle 2. | Green
366 | Recent Accomplishments | Guided Prospect Tour Concept Design - draft 2 | 2021-11-24 00:00:00 | (2) Normal | Completed |  | Green
366 | Recent Accomplishments | Guided Prospect Tour Concept Design - Final Design Approved | 2021-12-31 00:00:00 | (2) Normal | Completed |  | Green
209 | Key Issues / Risks | Delays from Actimize and errors during initial data load and sanity check for data validation #1 may impact overall schedule by four weeks | 2021-12-31 00:00:00 | (1) High | Completed | Initial data load and sanity check have been delayed due to delays from Actimize side on reporting issues in timely manner, and absence of sufficient support. Issue has been escalated with Actimize account executive. Since data validation is in critical path, overall impact on go-live date is being evaluated. Actimize will try to pull dates by speeding up the process in data validation cycle 1 and 2. | Red
366 | Key Issues / Risks | A360 SearchBlox dependency putting 12/31 timeline at risk.  Moved project end date to 2/28/22 to account for this. | 2022-02-28 00:00:00 | (1) High | In Progress | SearchBlox is being upgraded to V10, current version is at EOL and other options are not suggested by SB and CFN dev teams as viable solutions. | Red
366 | Recent Accomplishments | Finalize content and images for guided prospect tour | 2021-12-31 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | Update language on WMC and Financial agreement | 2022-01-04 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | Finalize requirements for Business Line Changes PAW | 2022-01-17 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | DOL Mandatory Training – Compliance Review | 2021-12-20 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Sign contract with Dow Jones and ammendment with Actimize | 2021-12-14 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Data Load for data validation 2 | 2022-01-05 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Delivery of UAT Test Plan and Cases to Commonwealth | 2022-01-01 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Data Validation #2 - sign off | 2022-01-05 00:00:00 | (2) Normal | Completed |  | Green
366 | Recent Accomplishments | Guided Prospect Tour - Approved by Editorial + Compliance | 2021-12-15 00:00:00 | (2) Normal | Completed |  | Green
280 | Recent Accomplishments | Determined vendor of choice - Citizens Bank | 2021-12-01 00:00:00 | (2) Normal | Completed |  | Green
280 | Recent Accomplishments | Completed Pricing negotiation with TD Bank and Citizens | 2021-12-15 00:00:00 | (2) Normal | Completed |  | Green
280 | Recent Accomplishments | Completed reference check meetings | 2021-12-06 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | The UAT Test Plan and Script Development workstream kicked off on 11/29/2021. | 2021-12-07 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Data validation cycle #1 is complete. Report was delivered by Actimize and reviewed by Commonwealth & Crowe teams on 12/14. | 2021-12-14 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | ETL changes and Data Extraction to Address DV1 Findings | 2021-12-28 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | DOL Mandatory Training – Marketing Review has been completed | 2021-12-10 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | New DOL RRS - Instructions to fill the form have been drafted. | 2021-12-10 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | Advisor Announcement regarding updated Reg BI RRS and mandatory use as of January 14 was on 12/10 | 2021-12-10 00:00:00 | (2) Normal | Completed |  | Green
209 | Next Steps | Review clone rule and policy manager design document | 2022-01-28 00:00:00 | (2) Normal | In Progress |  | Green
209 | Next Steps | Finalize DataIQ requirements for Adverse media/Update BRD & CW | 2022-02-28 00:00:00 | (2) Normal | In Progress |  | Green
209 | Recent Accomplishments | Address DV#2 and QA Findings prioritized for SIT | 2022-01-14 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Fix ETL bugs reported by business | 2022-01-14 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Delivery of Historical and Daily Data Files to Actimize for SIT | 2022-01-18 00:00:00 | (2) Normal | Completed |  | Green
209 | Recent Accomplishments | Data load in Actimize for SIT | 2022-01-20 00:00:00 | (2) Normal | Completed |  | Green
209 | Next Steps | UAT Test Plan and Cases Review | 2022-01-31 00:00:00 | (2) Normal | Not Started |  | Green
209 | Next Steps | Approval of UAT Test Plan and Cases | 2022-01-31 00:00:00 | (2) Normal | Not Started |  | Green
209 | Next Steps | Complete data validation for SIT | 2022-02-01 00:00:00 | (2) Normal | Not Started |  | Green
209 | Next Steps | Load Data and [NAME] – SIT | 2022-02-11 00:00:00 | (2) Normal | Not Started |  | Green
209 | Next Steps | SIT and [NAME] | 2022-02-18 00:00:00 | (2) Normal | Not Started |  | Green
209 | Key Issues / Risks | Business has reported a bunch of ETL issues to Crowe after initial round of testing and raised a concern with support plan from offshore team as more time is needed to validate all domains | 2022-01-31 00:00:00 | (2) Normal | In Progress |  | Green
349 | Recent Accomplishments | DOL Mandatory Training – Compliance Review | 2021-12-20 00:00:00 | (2) Normal | Completed |  | Green
349 | Next Steps | All manuals - Editorial review complete | 2022-02-28 00:00:00 | (2) Normal | In Progress |  | Green
349 | Recent Accomplishments | DOL Mandatory Training - Beta Review | 2022-01-07 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | DOL Mandatory Training - Test course in QA CLink | 2022-01-10 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | DOL Training available to Home Office employees only on DOL webpage | 2022-01-13 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | Workflow – Carrier deployment in production | 2022-01-13 00:00:00 | (2) Normal | Completed |  | Green
349 | Recent Accomplishments | PAW – DOL changes deployment in production | 2022-01-13 00:00:00 | (2) Normal | Completed |  | Green
349 | Milestones | Enable disciplinary process for all (Cashiering, TOA, BLC) | 2022-06-16 00:00:00 | (2) Normal | Not Started |  | Green
349 | Key Issues / Risks | As there are uncertainties around Privacy mailing this year, decision has been made to do separate mass mailing for DOL project in February instead of June | 2022-01-31 00:00:00 | (1) High | In Progress |  | Green
349 | Next Steps | Create a list of clients for Mass mailing | 2022-01-31 00:00:00 | (2) Normal | In Progress |  | Green
349 | Next Steps | [NAME] fiduciary acknowledgement for clients | 2022-01-31 00:00:00 | (2) Normal | In Progress |  | Green
349 | Next Steps | Advisor communication for Feb 3rd changes | 2022-01-31 00:00:00 | (2) Normal | Not Started |  | Green
349 | Next Steps | Form (WMC, IDB) updates and go live | 2022-01-31 00:00:00 | (2) Normal | In Progress |  | Green
349 | Next Steps | DOL training case trigger to advisors | 2022-02-03 00:00:00 | (2) Normal | Not Started |  | Green
349 | Next Steps | Make Fiduciary Decisions tool available to advisors | 2022-02-03 00:00:00 | (2) Normal | In Progress |  | Green
349 | Next Steps | Send list of clients to mass mailing vendor | 2022-02-08 00:00:00 | (2) Normal | Not Started |  | Green
349 | Key Issues / Risks | A360 rolled back new DOL workflow ([NAME]) release which was planned for Jan 13. | 2022-01-19 00:00:00 | (1) High | Completed | Rollovers cases created in cashiering are impacted as they are not being closed automatically. Cashiering receives around hundred of these cases every day.  Jan 13 release was rolled back as A360 had some connectivity issues with exchange server during the release. These connectivity issues were resolved and A360 team is planning to do an emergency release on Jan 18. Post deployment, A360 will also help cashiering team to clean up cases created after Jan 13. | Green
357 | Recent Accomplishments | Confirm In Scope Policy + Procedure Changes | 2021-12-31 00:00:00 | (2) Normal | Completed |  | Green
357 | Milestones | Update Policies + Procedures | 2022-03-31 00:00:00 | (2) Normal | In Progress |  | Green
357 | Milestones | Update Policies + Procedures | 2022-03-31 00:00:00 | (2) Normal | In Progress |  | Green
357 | Milestones | Communication plan for HO + Advisors | 2022-06-30 00:00:00 | (2) Normal | Not Started |  | Green
357 | Milestones | A360 [NAME] Updates | 2022-08-31 00:00:00 | (2) Normal | In Progress |  | Green
357 | Milestones | Train Advisors on New Rule + Procedures | 2022-09-30 00:00:00 | (2) Normal | Not Started |  | Green
357 | Recent Accomplishments | Presented Policy Recommendations to Compliance/Legal Teams | 2022-01-21 00:00:00 | (2) Normal | Completed |  | Green
357 | Next Steps | Document requirements for technology build with A360 | 2022-02-28 00:00:00 | (2) Normal | In Progress |  | Green
357 | Next Steps | Finalizing policy recomendations across impacted business units | 2022-02-28 00:00:00 | (2) Normal | In Progress |  | Green
357 | Next Steps | Finalize recommendaitons internally with compliance | 2022-01-24 00:00:00 | (2) Normal | Not Started |  | Green