Converted/Migrated Data Acceptance Criteria for UAT

1.     DATA MIGRATION TESTING (DMT) - OBJECTIVE

The objective of any Data Migration Testing is to perform post-migration validation to ensure the database structure and data integrity. This includes consistent data formats between the source and the target data, and continued interfacing capabilities of post-data migration.

2.     DMT SCOPE

The scope of DMT is to verify if the COB run results for the pre-identified data set from Legacy works correctly as per the process being applied. E.g. of processes being calculation of accruals, interest capitalization, etc.

·         Data must be migrated completely and accurately from the source location to the target location and according to the following:

• Bank requirements
• Regulatory policies on information controls
• Security.

·         There cannot be dropped or incomplete records nor any data fields that fail validation or other quality controls in the target environment.

·         The process needs to be done quickly with as short a downtime window as possible.

·         The data should be verified for:

COMPLETENESS: (For every Trial Run before go-live)

•       Reconciling Totals

•       Reconciling SUMS

•       CHECKSUMS

CORRECTNESS: (For every Trial Run before go-live)

•       On-Screen Verification on the enquiry screens.

•       Validate calculated fields.

3.     ENTRY/EXIT CRITERIA FOR TRIAL RUN

SNO	PARAMETER	ENTRY CRITERIA FOR TRIAL RUN
1	Defects	All CRITICAL and MAJOR defects must be Resolved unless agreed by all stakeholders
2	Defects	Not more that 10% Average severity defects are Unresolved based on the Agreed list of Defects/ Bugs.

SNO	PARAMETER	EXIT CRITERIA FOR TRIAL RUN
1	Defects	No Re-opened CRITICAL and MAJOR defects from the Agreed list of Defects/ Bugs
2	Defects	Not more than 10% of Average defects that are re-opened based on the Agreed list of Defects/ Bugs
3	Reports	Each reconciliation reports are 100% accurate with discrepancies accounted for

4.     PROCESS INTEGRITY TESTS (PIT):

For Trial Run(s) before accepting data into UAT based on the agreed criteria.

5.     PIT OBJECTIVE AND APPROACH

Process integrity ensures the successful continuation of business processes in FIS Profile with respect to the business requirements for the converted data. It also helps in identifying the inconsistencies and the behavior of converted data in the FIS Profile.

·            Objective of PIT is to identify behavior of data processing when it is processed post migration from legacy is consistent to Bank processes laid down and if any issue occurs in doing so

·            PIT will be performed after completion of data integrity tests and identified defects closure.

·            Two rounds of PIT of 1 week duration each. Each of the PIT should be executed in subsequent trial run and should start at least 4 weeks before UAT with CD. This will allow any defect fixes to be applied to the CD before accepting for UAT and also ensures Process Integrity of data to be continued in UAT with CD.

Following is the approach by which process integrity will be checked as part of the DM testing phase.

1.    Identification of business processes: Includes the processes that are executed as part EOD/EOM/EOQ/EOY. COB dependent processes will be validated.

2.    Pre COB Validation: Data set that will get processed during COB will be identified before the execution of COB for expected changes for e.g., Account records that are to be marked as ‘Dormant’ in the COB.  .

3.    Data Verification: Before Running the COB the Extract provided will be queried and the dataset will be captured which will get affected by COB.

Post COB execution the Extract will be taken from target system, and the data will be queried for the already identified data set to verify the correctness of Data. (i.e., results of the processes identified) This will ensure that the migrated data is behaving as expected in the target system

The following Processes/ Transactions will be tested in DM environment to ensure Converted Data is accepted for UAT based on the outcome. The below is not a complete list. Business modules can add/modify/delete the transactions to identify critical processes are working and can continue in UAT with CD.

Note: Migrated data usage with respect to their functionality and Business process will be performed as part of UAT with migrated data.

6.     ENTRY CRITERIA FOR PIT EXECUTION:

SNO	PARAMETER	ENTRY CRITERIA FOR PIT EXECUTION
1	Data Conversion	TR Completed and exit criteria met
2	Environment	UAT environment available with latest code drop and data.
3	Execution	SIT  Completed.

7.     ACCEPTANCE CRITERIA FOR UAT WITH CD:

SNO	PARAMETER	ENTRY CRITERIA
1	Execution	100% of the PIT execution completed.
2	Execution	All agreed CRITICAL functions to work as expected and passed.
3	Execution	Greater than 85% transaction should be passed from the agreed list.
4	Defects	No open CRITICAL or MAJOR defects without acceptable correction tasks defined (Data and Functional).
5	Execution	Day End to execute without Manual Intervention
6	Defects	Not more than 10% Average/Minor Defects on the Overall Defects raised (Data Related only not functional)

8.     UAT ENVIRONMENT:

·         Target systems capacity not to exceed 40% as measured after loading converted data.

·         Data Refresh in middle of the UAT cycle, if there are major data related fixes which impacts the functionality or Business process.

·         Reduced turnaround time for roll back of the data in case of issues.

·         Any issues identified in transformation and loading can be fixed and data refreshed in the DM environment for further testing. This will reduce the issue fix time and effective testing.

·         Subset of the converted data to be used in UAT with CD. This will help to trouble shoot the resolve issues quicker.

9.     RISK AND CHALLENGES

There are also risks and challenges associated with a data migration that must be considered:

·         Migration data may be part of a larger chain of dependencies which can increase the complexity

·         ill-defined rules for integrity, controls, security, availability, and recoverability can result in an incorrect migration

·         data may be too distributed to migrate easily

Data conversions are a leading cause of schedule and quality issues in Core Banking Transformations. Research from several sources, including Gartner, confirms that over 80% of data conversion efforts either fail outright or suffer significant cost overruns and delays. As a result, they jeopardize IT projects that depend on them.

10.  GLOSSARY

·         PIT – Process Integrity Testing

·         CD – Converted Data

·         DMT – Data Migration Testing

·         DM – Data Migration

·         TR – Trial Run

·         UAT – User Acceptance Testing

COB – Close of Business