Enclosure15_CATS_Sept_2020_Release_Notes_2020_4_Redacted Update.pdf

Comptroller of the Currency Office of Management

PLM

Platform Management

CATS

Release 2020.4

September 11, 2020 Version 1.0

C A T S R e l e a s e 2 0 2 0 . 4 N o t e s

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Document Control

Project Name Central Application Tracking System Project Acronym CATS Document Title CATS –September Release 2020.4 Notes Document Date September 11, 2020 Document Version 1.0

Client Organization Chief Counsel’s Office (CCO)

OpenText Document Category SYSTEM DEVELOPMENT OpenText Document Type Build Documentation OpenText Document Number 9760137

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Table of Contents

1 Introduction to September Release Notes

2 Stories

2.1 Detailed Stories

2.1.1 Story 271426 – Added a new column and filter for subtype/sub-subtype in the Submitted

Filings Records List, My Active Filings, All Active Filings, and Unassigned Filings Reports

2.1.2 Story 271425 - All filing folders will display for the Analyst Review Team (Other OCC Depts.)

2.1.3 Story 269617 - Added new fields to CA Investment Data Sheet

2.1.4 Story 269615 - Updated to FSD to display new CSA fields

2.1.5 Story 269614 – Updated to Bank Profile dashboards to display new CSA fields

2.1.6 Story 269294 - Updated Institution Record Dashboard to display the Covered Savings

Institution Indicator, start date and end date

2.1.7 Story 269293 - Updated Initiate Filing workflow to allow Covered Savings Associations to submit National Bank Filing Types

2.1.8 Story 264391 - Add Take Ownership Related action shortcut

3 Defects

3.1 Detailed Defects

3.1.1 Defect 265289 – Branch Closing Customer Notice Letter Upload is missing standard document upload validations

3.1.2 Defect 264939 - Institution Maintenance should time out

Appendix A All Stories and Defects for September Release

Appendix B Acronyms

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1 Introduction to September Release Notes The September Release Notes provide practical information on the Central Application Tracking System (CATS) for Licensing and Community Affairs’ users. This note explains the system enhancements to improve the usability of CATS and its performance to fulfill our users’ needs.

Quality testing has been completed to ensure the implementation of change requests and defect fixes as part of the system improvement process. Defect fixes are resolved functions and features, and stories are implemented change requests in CATS to improve user experience.

The release notes describe the stories implemented and the defects resolved from June 2020 to September 2020:

Detailed Stories Detailed descriptions of the stories are found in Section 2 of the release notes.

The simplified list of all Stories can be found in Appendix A.

Detailed Defects Detailed Defect descriptions are in Section 3 of the release notes. A simplified list of all the defects for CATS are in Appendix A.

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2 Stories Stories are requested improvements, or any desired change not specified during the initial stages of CATS development. Below you will find short descriptions, Story (change request) IDs, and summaries explaining the change request in this release. If you have any questions or concerns you may contact the CATS Help Desk and provide them with the Story ID, to help them recognize the specific item you would like to discuss.

This section contains descriptions of each implemented change request.

2.1 Detailed Stories

2.1.1 Story 271426 – Added a new column and filter for subtype/sub-subtype in the Submitted Filings Records List, My Active Filings, All Active Filings, and Unassigned Filings Reports

The Search filter on the Submitted Filings record list is a now a free text field, where you can search by subtype or sub-subtype for a given filing. The search results in this list will display a new text row under each filing displaying the “Filing Type Title – subtype” if a filing type is associated with a subtype. The filters for the My Active Filings, All Active Filings, and Unassigned Filings reports will now contain a Filing SubType filter to narrow down results. This will not apply to My Active Filings, All Active Filings, and Unassigned Filings for PWI/Community Affairs reports.

2.1.2 Story 271425 - All filing folders will display for the Analyst Review Team (Other OCC Depts.)

When the Analyst Review Team is updated, the system will update the folder security for all folder in the filing portfolio to grant read-only access to the users added to the analyst review team (Other OCC Depts).

2.1.3 Story 269617 - Added new fields to CA Investment Data Sheet The Investment Data Sheet and the generated PDF version will now display the new CSA fields:

CSA Indicator, CSA Start and End Dates.

2.1.4 Story 269615 - Updated to FSD to display new CSA fields The Licensing and CA Filing Summary Details will display new CSA fields: CSA Indicator, CSA Start and End Dates.

2.1.5 Story 269614 – Updated to Bank Profile dashboards to display new CSA fields All of the Bank Profile PDFs and the Bank Profile dashboards for both CA and Licensing should display new CSA fields: CSA Indicator, CSA Start and End Dates.

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2.1.6 Story 269294 - Updated Institution Record Dashboard to display the Covered Savings Institution Indicator, start date and end date

The institution record dashboard will display new CSA fields: CSA Indicator, CSA Start and End Dates.

2.1.7 Story 269293 - Updated Initiate Filing workflow to allow Covered Savings Associations to submit National Bank Filing Types

Licensing Filing Types include:

Branch Filings - All national bank sub-subtypes are available to CSAs.

Op Subs - All national bank sub-subtypes are available to CSAs.

Relocations - All national bank sub-subtypes are available to CSAs.

FSA’s operating as a CSA will only see sub-types/sub-subtypes for the National Bank (NB) filing types listed above. FSA subtypes/sub-subtypes should not be displayed in this case.

FSA’s Operating as a CSA will use the already established filing timeframes for NB filing types listed above.

CA Filing Types: An FSA operating as a CSA should be able to initiate any of the PWI filing types.

Updated the institution dashboards to display new CSA fields:

o Added New fields to Bank Details section on Institution Dashboard Updated the Bank Profile dashboards (institution and filing) to display new CSA fields:

o Added New fields to both CA and Licensing (separately) institution and Filing Bank Profiles

Updated FSD to display new CSA fields:

o Added New fields to both CA and Licensing (separately) FSD o The fields were added under the general info for applicants, target, and resultant on the FSD for Licensing o Added new field to CA Investment Data Sheet (both web and PDF).

o Updated reports to accurately show which filings submitted by CSAs, FSAs, and

NBs

2.1.8 Story 264391 - Add Take Ownership Related action shortcut The Take Ownership (shortcut) button is now found on the right upper corner of the summary dashboard.

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3 Defects This section provides simple explanations and details on defects that were resolved in this release.

Below you will find the recorded Defect ID, summary, and a short description on the functional issue and final resolutions.

Appendix A contains an excel spreadsheet listing all the defects found in production, resolved, and deployed.

3.1 Detailed Defects

3.1.1 Defect 265289 – Branch Closing Customer Notice Letter Upload is missing standard document upload validations

The document upload field was updated for the Branch Closing input wizard to use the standard validation rule to prevent invalid document types from being uploaded.

3.1.2 Defect 264939 - Institution Maintenance should time out The screens of the Institution Maintenance wizard will follow the standard time-out used in the rest of CATS, rather than leaving open tasks if they are closed.

“Institution Maintenance” related action should be available to the user only if it is a supported institution type, i.e., National Banks, FSAs, FB&A, National Bank branches and FSA branches.

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Appendix B Acronyms

Table B–1 Acronyms

Acronym Definitions

ASD Application Services Delivery

ATF After The Fact

BC Business Combination

CAIS Corporate Applications Information System

CAS Corporate Applications Search

CATS Central Application Tracking System

CCB Change in Control Board

CR Change Request

DB Database

FLIN Filing Institution

FOIA Freedom of Information Act

FSB Federal Savings Bank

FSD Filing Summary Details

GSA Google Search Application

HQ Headquarters

Id Unique defect or story identification number

NB National Bank

OBE Overcome by Events

P & A Purchase and Assumption (Form of Transaction)

PWI Public Welfare Investments

WBS Working Branches Spreadsheet