Voluntary Work Flow

1. ABC receives Corporate Action (CA) Notification ABC retrieves voluntary information via intranet portal. ABC Creates Service Request (SR) and attaches VCA info. ABC creates activity and assigns to Portfolio Mgr Portfolio Mgr Receives Activity Notice Portfolio Mgr navigates to SR via activity. Portfolio Mgr Updates VCA Response template ABC locates all ‘pending’ Service Requests Portfolio Mgr Changes Activity Status to ‘Done’ ABC updates ACRM and changes SR Status to ‘Closed’. Portfolio Mgr Changes SR status to ‘Pending’ Voluntary Work Flow • Open Questions About Current Work/Data Flow • Do all Corporation Action Notifications come from ABC Operations? • What is the difference between a voluntary and mandatory action? • Is there any relationship between a mandatory and a voluntary action? • Are mandatory Corporate Actions created after a portfolio manager has completed work? Acct Num = 0199ABC0009 Sub-Type = Voluntary Commit Time 24 hrs. prior to CA expiration date Assigned to Portfolio Manager

2. Mandatory Work Flow ABC Creates SR ABC creates activity and assigns to Senior Investment Officer Senior Investment Officer Changes SR status to ‘Closed’. Acct Num = 0199ABC0009 Sub-Type = Mandatory Assigned to Senior Investment Officer If ABC Associate has already updated ACRM, Portfolio Manager must email changes to ABC Operations. Why would this happen? Does this affect the SR Closed Date? What other steps are missing?

3. [Acct Num = 0199ABC0009] Sub-Type = Voluntary Status = ‘Open’ Created Date is ‘Begin Date’ [Closed Date is null.] [Acct Num = 0199ABC0009] Sub-Type = Mandatory Status = ‘Closed’ [Created Date is ‘Begin Date’] [Closed Date is not null.] Acct Num = 0199ABC0009 Sub-Type = Voluntary Status = ‘Pending’ [Created Date is ‘Begin Date’] Closed Date is null. [Acct Num = 0199ABC0009] Sub-Type = Voluntary Status = ‘Closed’ [Created Date is ‘Begin Date’] [Closed Date is not null.] Voluntary Work Flow Mandatory Work Flow ABC creates Corporate Action Service Request ABC creates Corporate Action Service Request For each month-year, count the number of Service Requests that are open and have a create date in the month-year. Why aren’t there any ‘open mandatory’ service requests? For each month-year, count the number of Service Requests that are pending and have a create date in the month-year. For each month-year, count the number of Service Requests that are closed and have a Closed Date in the month-year.