NAM Q4a 2011 UAT Strategy Document v1 0

NAM 2011 Q4A Change Release

NAM 2011 Q4A Change Release(Including first part of Automated Data Gathering)

User Acceptance Test Strategy

Version: v 1.1Date: September 21, 2011

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Document HistoryVersion Changes Author Date1.0 1st Draft David Crane 8/3/2011

1.1

2nd Draft – Added description for acronyms, update to Show All History, change name of release, move ECIF testing to first in the list

David Crane 8/9/2011

1.2 Final Draft – Added Closeout to the items being tested, Added Reviewers and Approvers, Update LOBs Affected

David Crane 8/10/2011

Document Reviewers/ApproversName

PositionReviewer (only)

Reviewer and

ApproverSteve Dayton UAT Manager / Delivery Manager XAlan Parsowith AML Operations Director XVirginia Hibbard AML Advisory Compliance XKaushik Sinha Technology – Project Manager X

Kavya Kalyana Production Support Lead, Americas HUB

X

Rachael Blanchard PMO PM XChristie Vita AML Operations XDavid Roset AML Operations XMaryjane Noberto PMO PM XDavid Crane UAT Coordinator XKisha Merrell UAT Project Manager XManoj Jejware Technology XPrerak Vora AML Operations PM X


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Table of Contents

Table of Contents 3

1. Introduction 4

1.1. Purpose of this document 4

2. Scope 4

2.1. In Scope 4

2.2. Out of Scope 5

3. System Access 5

3.1. System Access 5

4. UAT Strategy 6

4.1. Assumptions 6

4.2. Entry Criteria 6

4.3. Specific Deliverables 6

4.4. UAT Dates 7

4.5. UAT Testing Strategy 7

4.6 Exit Criteria 15

5 Progress, Issue Tracking & Resolution 16

6. Roles and Responsibilities 17


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1. Introduction

1.1. Purpose of this document

This document describes the key activities for the NAM User Acceptance Test (UAT) required for successful implementation of the Q3 (Third Quarter) Change Release.

This project delivers enhancements to the QuickScreens NAM software system by introducing new functionality to create Manual cases, rollup household focus LSB alerts and team lead assignment of cases. It will introduce productivity enhancements for Quick Clearing and showing all transaction history, and will incorporate functionality for automated data gathering from the ECIF system.

2. Scope

The goal of this project is to produce fully functional and acceptable software product that satisfies the high level requirements defined below

2.1. In ScopeThis project delivers enhancements to the QuickScreens NAM software module of the AML-M: AML MANTAS Analytic system (CSI App Id 34916), by introducing the following new functionality:

1. Automated Data Gathering from ECIF.(Americas Data Gathering BRD #3.1.1.4; Global Technology WorkSlate #3c-2)

This functionality will allow AML users to view data related to an AML case from ECIF as required by the AML review processes without having to log into ECIF directly.

2. Ability to create Manual cases for CPB, IPB, IAML and LSB.(Global Technology WorkSlate #94; CR3575 or CR11147)Following manual case types can be created:

1) Know Your Customer (KYC) 2) Suspicious 3) Subpoena 4) Senior Public Figures (SPF)5) Non Government Organization (NGO)6) Embassy Credit Card 7) Cash Sales Logs (CSL) 8) Payable Upon Proper ID (PUPID)

3. Rollup Household focus alertsFor LSB business line, Household focus cases should be rolled up to Customer focus cases.

4. Show All Transaction History - Americas Data Gathering(Americas Data Gathering BRD #3.1.6; Global Technology WorkSlate #3c)


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This functionality will provide a way to view all transactions associated with an alert’s account’s customer, not just those transactions that triggered the alert.

This feature utilizes only MANTAS data and therefore only goes back to the extent that the MANTAS data is available (current month and previous six months)

5. Quick Clearing Functionality - Americas Data Gathering(Americas Data Gathering BRD #3.1.8; Global Technology WorkSlate #3c-7)

This functionality will allow for the ‘quick clearing’ of cases such as those where a similar case was recently reviewed. Identify previously closed cases when a new case generates.

6. Team Lead Case Assignment(Global Technology WorkSlate #95; CR3580 or CR11152)This functionality will allow Team Lead roles to have functionality to assign cases to themselves without ability to disposition cases.

7. Closeout(Global Technology WorkSlate #75; CR10984 or PID 20081110-100)This functionality will create a link between the Closeout case and the underlying case, to track the case number from which the Closeout case stems from. This is an item from 2010 QSQ4 being added to this Change Release.

2.2. Out of ScopeThe following areas are out-of-scope of testing:

1. General systems efficiency testing is out of scope of UAT testing.

2. Updates or creation of procedures for AML Monitoring Operations, Production Support, Staffing, and Communications about changes within Citi are out of scope of the UAT portion of the effort.

3. System Access

3.1. System Access

Access to source systems (production access), Mantas, QSCM UAT UI and QSCM back-end will be arranged for the System Implementation Support Group team prior to starting of the UAT activities.

UAT testers should have access to all systems used for alert monitoring as well as ECIF.


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4. UAT Strategy

4.1. Assumptions All entry criteria for UAT have been met. It is assumed that all UAT activities and tests are carried out on the basis of successful

completion of Technology SIT testing, as well as successful implementation of rules defined in the FRD.

UAT should focus on end to end business processes from an end user perspective to confirm usability. All UAT activities will be carried out on the production data loaded in UAT environment.

4.2. Entry CriteriaThe following will be the entry criteria that must be met prior to the commencement of UAT:

Approval of UAT Strategy document (this document) Confirmed availability of UAT testing resources Confirmed availability of systems (Mantas, QS, ECIF) Confirm performance of UAT systems to similar level of Production Access to all necessary systems and applications for each respective UAT tester Completion of required data loads Coding logic changes deployed to Quick Screens By end of 1st week of UAT: New Alerts from prospective business groups will be

identified:o CPBo IPBo IAMLo LSBo CBNAo GTS

4.3. Specific Deliverables

This section describes the specific deliverables from Technology & Compliance to help facilitate the testing, and when those deliverables need to be provided; whilst some are required before UAT starts, others are only needed when a particular test is being executed.

Team Business Deliverables Due Date

Technology ICG/GCG All evidence entry criteria are met UAT start date

Technology ICG/GCG Status on all issues found (on daily basis) Ongoing


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Technology ICG/GCG Any scenario rerun, as necessary Ongoing

Compliance ICG/GCG Approvals, as needed Ongoing

Compliance ICG/GCG Attendance on Project level calls Ongoing

Compliance ICG/GCG Escalation, when necessary Ongoing

Operations ICG/GCG Approvals, as needed Ongoing

Operations ICG/GCG Attendance on Project level calls Ongoing

4.4. UAT Dates

Q3 Release START DATE END DATE

UAT Commence 08/08/2011 08/12/2011UAT Testing 08/15/2011 09/07/2011UAT Closure 09/08/2011 09/09/2011Move to Production 09/09/2011 09/12/2011

Data Testing Plan Start End ResourceSystems Setup Testing 08/10/2011 08/12/2011 ITIngested Data Testing 08/10/2011 08/12/2011 ITUAT Test – Functionality (tests below) 08/15/2011 09/05/2011 UAT

ECIF Automated Data Gathering 08/15/2011 08/19/2011 UAT Create Manual Cases 08/22/2011 08/23/2011 UAT

Rollup Household Focus Alerts 08/24/2011 08/24/2011 UAT Show All Transactions 08/25/2011 08/30/2011 UAT

Quick Clearing Functionality 08/31/2011 09/01/2011 UATTeam Lead Case Assignment 09/02/2011 09/03/2011 UAT

Closeout 09/04/2011 09/05/2011 UAT

4.5. UAT Testing StrategyListed below are details of the tests that are to be performed for NAM. The scripts will need to be updated and modified to match to the specific test plan. Test Plan is available here:

The table below summarizes the tests that should be performed as part of the UAT phase.


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Test #

Title Type Purpose Test Applicability

Line of Business Affected

1 Automated Data Gathering from ECIF

Quickscreens UI Functionality

Test new feature which allows AML users to view data related to an AML case from ECIF without having to log into ECIF directly

NAM GTS

2Create Manual Cases for CPB, IPB, IAML, and LSB

QuickscreensUI Functionality

Test that the QuickScreens environment will be able to accommodate the new functionality to be able to add the following case types:

1) Know Your Customer (KYC) 2) Suspicious 3) Subpoena 4) Senior Public Figures (SPF)5) Non Government Organization (NGO)6) Embassy Credit Card 7) Cash Sales Logs (CSL) 8) Payable Upon Proper ID (PUPID)

NAMCPB, IPB, IAML, LSB

3Rollup Household focus alerts for LSB line

MANTAS Data

Test to check for successful rollup of alerts to Customer focus cases NAM LSB

4Show All Transaction History – Americas Data Gathering


Test functionality of new feature to view all transactions associated with an alert’s account customer, not just those that triggered the alert

NAM All

5

Quick Clearing Functionality – Americas Data Gathering

Quickscreens UI Functionality Test functionality of new feature to ‘quick

clear’ cases and identify previously closed cases when a new case generates

NAM All

6 Team Lead Case Assignment


Test functionality of new feature to allow Team Lead roles to assign cases to themselves without ability to disposition cases

NAM All

7 Closeout Quickscreens UI Functionality

Test functionality of new “Initiate Closeout” button which will initiate the closeout process. Also test link between Closeout case and the underlying case.

NAMCPB, IPB, IAML, LSB

4.5.1. Automated Data Gathering from ECIF (Test 1)OverviewPurpose To test that QS front end performs in expected manner. Test to ensure new


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enhancements work as expected and existing functionality is not impacted by changes.

Strategy Create test scripts based on the existing QS application. The script should encompass verification for all functionalities (new fields/functionality, amendments to user roles, permissions and workflow, etc.). Execute test scripts( in the UAT environment and test that QS interface behaves as expected.

Expected Outputs / Acceptance Criteria

QS user interface behaves as expected including requested enhancements.

No severity High, Medium level issues outstanding. Any severity Low level issues outstanding have agreed workaround’s in

place.Testing RequirementsDependencies Technology SIT complete on SIT data.

Mantas UAT environment loaded with required data (Mantas data pre-processing and data loading complete).Completeness of data ingestion from source system to Mantas.

Supporting Documentation To enable creation of test scripts, availability of: BRD and MDD

Inputs / Data Requirements Sufficient data sets available to enable sample checking of customers, accounts, and transaction data covering data items required for all applicable scenario types.Data feed from Source Systems.Transaction details in Mantas and source systems.

Access Requirements Access to sample data extracts from Mantas back-end database.Access to Mantas UAT environment.Access to QSCM UAT environment.Access to Source systems or to output files for the sample identified for testing.Access to Mantas and Source systems or to output files for the sample identified for testing.

Known Issues / Potential Feedback

Access to source systems

Planning ConsiderationsWho Project UAT teamTiming As soon as data is available in QS UAT environment.Effort 4 DaysLocation Americas Hub.Linked ActivitiesLinked Activities

4.5.2. Create Manual Cases for CPB, IPB, IAML, and LSB (Test 2)OverviewPurpose To test that QS front end performs in expected manner. Test to ensure new

enhancements work as expected and existing functionality is not impacted by changes.

Strategy Create test scripts based on the existing QS application. The script should encompass verification for all functionalities (new fields/functionality,


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amendments to user roles, permissions and workflow, etc.). Execute test scripts( in the UAT environment and test that QS interface behaves as expected.












4.5.3. Rollup Household focus alerts for LSB line (Test 3)OverviewPurpose Test that the Rollup up of Household focus alerts rolls up properly with

Customer focus. Strategy Create test scripts based on the previous roll-ups. Test script should be

organized to find cases in the database and be able to match it to a result using Quick Screens.



place.


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Testing RequirementsDependencies Technology SIT complete on SIT data.







Planning ConsiderationsWho Project UAT teamTiming As soon as data is available in QS UAT environment.Effort 1 DayLocation Americas Hub.Linked ActivitiesLinked Activities

4.5.4. Show All Transaction History – Americas Data Gathering (Test 4)

OverviewPurpose To test that QS front end performs in expected manner in regards to the new

screen. Test to ensure new enhancements work as expected and existing functionality is not impacted by changes.

Strategy Create test scripts based on the existing QS application. The script should encompass verification for all functionalities (including checking the new hyperlink, populating the MANTAS Transaction Request Search parameters and submit, validating that the data response from the All MANTAS Transaction Request search, etc...) Execute test scripts in the UAT environment and test that QS interface behaves as expected.






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4.5.5. Quick Clearing Functionality – Americas Data Gathering (Test 5)

OverviewPurpose Allows for the ‘quick clearing’ of cases such as those where a similar case

was recently reviewed. Identifies previously closed cases when a new case generates. When a new case is generated, identifies any cases closed in the last 45 days on the same Focus Name or Focus ID. If so, these cases are flagged in the Case Details screen.







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4.5.6. Team Lead Case Assignment (Test 6)OverviewPurpose This functionality will allow Team Lead roles to have functionality to assign

cases to themselves without ability to disposition cases. Such cases must be in Research category and in Initiated status.When the Team Leads click on the Assign/Reassign button in Case Details screen, they will be able to see themselves in the "Assign to" dropdown.






Mantas UAT environment loaded with required data (Mantas data pre-


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processing and data loading complete).Completeness of data ingestion from source system to Mantas.







4.5.7. Closeout (Test 7)OverviewPurpose This functionality will allow users to initiate the closeout process with one

button click.








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4.6 Test Script

4.7 Exit Criteria

The following are the UAT exit criteria that need to be satisfied prior to obtaining UAT Sign-off:

Completed test scripts with test results Resolution of all ‘Showstopper’ & ‘High’ severity defects List of defects that are outstanding after UAT, including the workaround, resolution and

resolution date Updated UAT RICA log Closure Document (template attached below)


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5 Progress, Issue Tracking & Resolution

The Project Team should ensure that:

A RICA log (Risks, Issues, Change requests, Actions) is maintained - providing detailed description, severity(High, Medium, Low, Showstopper), date found, target resolution date, responsible team/individual for resolution.

Issues in the RICA log will be categorized and tracked as follows:

Category DescriptionID Sequential Reference NumUAT Phase <Comment: can category be based on Test number?>

One from: Data Existing data feeds + new sources -> EDW Data Feeds, EDW -> Mantas Data Transfer Mantas -> QSCM

Description Issue descriptionStatus Open, Closed, On HoldTechnology Component

“Data Feeds”, “Mantas”, “Quickscreens”, Thresholds.

Severity To assist testing team in understanding impact:

Showstopper- Critical Issue that is stopping further progress being made; project timelines are at risk, very severe impact to other issues and continued testing. Should be worked as the most urgent type of issue. Should be escalated if a swift resolution is not possible.

High- Severe impact to ability to meet stated requirements, application / data feed could not go-live without resolution of this issue, and other UAT is dependent on, and will be delayed pending resolution of this issue.Severe impact, application / data feed could not go-live without resolution of this issue, other UAT activities may be affected but can continue whilst this issue is resolved

Medium - High impact, application / data feed could go live without resolution of this issue, but resolution of the issue would be a high priority post-live and / or significant re-work to processes / procedures will be required in the interim.

Low - Moderate impact, application / data feed could go live without resolution of this issue, resolution would be a medium priority post-live and some re-work of processes / procedures would resolve the issue.Moderate / Low impact, application / data feed could go-live without resolution of this issue, simple or no re-work to processes / procedures


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Category Descriptionrequired to resolve.

Priority To assist Tech team in prioritizing issue resolution work:Showstopper – to be addressed as urgently as possible.High - to be addressed asapMedium - to be addressed to agreed timescaleLow - to be addressed as “nice to have” time allowing

Owner Business (Operational Readiness Team) Owner (Testing Team Stream Leader)

Action Plan Record of action to be taken to resolve issueOpen Date Date issue identifiedTechnology Contact

Technology team member assigned responsibility for resolution of the issue

Target Date Target date for resolution – to be discussed and agreed with Technology contact

Revised Target Date

If applicable

Resolution / Decision / Outcome

Outcome of the issue

Resolved By Who decision, resolution, outcome reached byDate Closed Date issue resolved / closed

Attached below are Templates for RICA Log.

6. Roles and Responsibilities

User Acceptance Test planning work, including UAT will be carried out in Tampa, Florida for the migration of AML Monitoring activities from Puerto Rico to the NAM Hub. Listed below is the UAT Testing Team and key contact:

Name Role Key ResponsibilitiesKisha Merrell UAT Project Manager - Coordinate and manage UAT level activities.David Crane UAT Coordinator - Support UAT team/PM

Steve Dayton UAT Test Lead - Overall UAT senior project coordination.

Alan Shen Apps. Dev. Group Manager

- Development, configuration and implementation of application (Mantas & QSCM.

- Development, configuration and


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implementation of data (data feeds to Mantas) components.

- Issue resolution – applications.- Issue resolution – data.- Scenarios.

Alan Parsowith Sr. Group Manager, Americas Hub Operations

Approver

Kavya Kalyana Production Support Lead, Americas Hub

Reviewer

Othniel Alexandre Global Production Support Manager

Approver

Dennis Carey UAT Test Team Writing test scripts , adding into QC

Abbreviation Expanded FormAML Anti –Money LaunderingBAU Business As UsualBO XI Business Objects version XI (11)CSIS Citi Systems Information SecurityDIS Data Information Specification DW Data WarehouseGIW Global Information WarehouseFIU Financial Investigations UnitGTS Global Transaction Services ICG Institutional Clients GroupKL Kuala Lumpur (Asia Pacific business region) NAM North American business regionTRP Targeted Review ProgramUAT User Acceptance Testing


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