NAM 2011 Q4A Change Release
Version: v 1.1
Date: September 21, 2011
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NAM 2011 Q4A Change Release
(Including fi...
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Document History
Version Changes Author D...
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Table of Contents
Table of Contents 3
1. ...
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1. Introduction
1.1. Purpose of this docu...
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This functionality will provide a way to ...
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4. UAT Strategy
4.1. Assumptions
 All en...
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Technology ICG/GCG Any scenario rerun, as...
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4.5.1. Automated Data Gathering from ECIF...
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Purpose To test that QS front end perform...
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encompass verification for all functiona...
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place.
Testing Requirements
Dependencies...
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Dependencies Technology SIT complete on ...
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Dependencies Technology SIT complete on ...
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Mantas UAT environment loaded with requi...
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Supporting Documentation To enable creat...
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5 Progress, Issue Tracking & Resolution
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Category Description
resolution of this ...
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- Development, configuration and
impleme...
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NAM Q4a 2011 UAT Strategy Document v1 0

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Transcripts - NAM Q4a 2011 UAT Strategy Document v1 0

  • 1. NAM 2011 Q4A Change Release Version: v 1.1 Date: September 21, 2011 Page 1 of 18 NAM 2011 Q4A Change Release (Including first part of Automated Data Gathering) User Acceptance Test Strategy
  • 2. NAM 2011 Q4A Change Release Version: v 1.1 Date: September 21, 2011 Page 2 of 18 Document History Version Changes Author Date 1.0 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/Approvers Name Position Reviewe r (only) Reviewer and Approver Steve Dayton UAT Manager / Delivery Manager X Alan Parsowith AML Operations Director X Virginia Hibbard AML Advisory Compliance X Kaushik Sinha Technology – Project Manager X Kavya Kalyana Production Support Lead, Americas HUB X Rachael Blanchard PMO PM X Christie Vita AML Operations X David Roset AML Operations X Maryjane Noberto PMO PM X David Crane UAT Coordinator X Kisha Merrell UAT Project Manager X Manoj Jejware Technology X Prerak Vora AML Operations PM X
  • 3. NAM 2011 Q4A Change Release Version: v 1.1 Date: September 21, 2011 Page 3 of 18 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
  • 4. NAM 2011 Q4A Change Release Version: v 1.1 Date: September 21, 2011 Page 4 of 18 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 Scope This 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 alerts For 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)
  • 5. NAM 2011 Q4A Change Release Version: v 1.1 Date: September 21, 2011 Page 5 of 18 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 Scope The 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.
  • 6. NAM 2011 Q4A Change Release Version: v 1.1 Date: September 21, 2011 Page 6 of 18 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 Criteria The 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 CPB o IPB o IAML o LSB o CBNA o 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
  • 7. NAM 2011 Q4A Change Release Version: v 1.1 Date: September 21, 2011 Page 7 of 18 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, w hen 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 08/12/2011 UAT Testing 08/15/2011 09/07/2011 UAT Closure 09/08/2011 09/09/2011 Move to Production 09/09/2011 09/12/2011 Data Testing Plan Start End Resource SystemsSetupTesting 08/10/2011 08/12/2011 IT IngestedDataTesting 08/10/2011 08/12/2011 IT UAT Test – Functionality(testsbelow) 08/15/2011 09/05/2011 UAT ECIF AutomatedDataGathering 08/15/2011 08/19/2011 UAT Create Manual Cases 08/22/2011 08/23/2011 UAT RollupHouseholdFocusAlerts 08/24/2011 08/24/2011 UAT ShowAll Transactions 08/25/2011 08/30/2011 UAT QuickClearingFunctionality 08/31/2011 09/01/2011 UAT Team LeadCase Assignment 09/02/2011 09/03/2011 UAT Closeout 09/04/2011 09/05/2011 UAT 4.5. UAT TestingStrategy Listed 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.
  • 8. NAM 2011 Q4A Change Release Version: v 1.1 Date: September 21, 2011 Page 8 of 18 4.5.1. Automated Data Gathering from ECIF (Test 1) Overview 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 2 Create Manual Cases for CPB, IPB, IAML, and LSB Quickscreens UI 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) NAM CPB, IPB, IAML, LSB 3 Rollup Household focus alerts for LSB line MANTAS Data Test to check for successful rollup of alerts to Customer focus cases NAM LSB 4 Show All Transaction History – Americas Data Gathering Quickscreens UI Functionality 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 Quickscreens UI Functionality 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. NAM CPB, IPB, IAML, LSB
  • 9. NAM 2011 Q4A Change Release Version: v 1.1 Date: September 21, 2011 Page 9 of 18 Purpose 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, 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 Requirements Dependencies 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 Considerations Who Project UAT team Timing As soon as data is available in QS UAT environment. Effort 4 Days Location Americas Hub. Linked Activities Linked Activities 4.5.2. Create Manual Cases for CPB, IPB, IAML, and LSB (Test 2) Overview Purpose 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
  • 10. NAM 2011 Q4A Change Release Version: v 1.1 Date: September 21, 2011 Page 10 of 18 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 Requirements Dependencies 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 Considerations Who Project UAT team Timing As soon as data is available in QS UAT environment. Effort 2 Days Location Americas Hub. Linked Activities Linked Activities 4.5.3. Rollup Household focus alerts for LSB line (Test 3) Overview Purpose 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. Expected Outputs / Acceptance Criteria  No severity High, Medium level issues outstanding.  Any severity Low level issues outstanding have agreed workaround’s in
  • 11. NAM 2011 Q4A Change Release Version: v 1.1 Date: September 21, 2011 Page 11 of 18 place. Testing Requirements Dependencies 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 Considerations Who Project UAT team Timing As soon as data is available in QS UAT environment. Effort 1 Day Location Americas Hub. Linked Activities Linked Activities 4.5.4. Show All Transaction History – Americas Data Gathering (Test 4) Overview Purpose 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. 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 Requirements
  • 12. NAM 2011 Q4A Change Release Version: v 1.1 Date: September 21, 2011 Page 12 of 18 Dependencies 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 Considerations Who Project UAT team Timing As soon as data is available in QS UAT environment. Effort 4 Days Location Americas Hub. Linked Activities Linked Activities 4.5.5. Quick Clearing Functionality – Americas Data Gathering (Test 5) Overview Purpose 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. 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 Requirements
  • 13. NAM 2011 Q4A Change Release Version: v 1.1 Date: September 21, 2011 Page 13 of 18 Dependencies 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 Considerations Who Project UAT team Timing As soon as data is available in QS UAT environment. Effort 2 Days Location Americas Hub. Linked Activities Linked Activities 4.5.6. Team Lead Case Assignment (Test 6) Overview Purpose 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. 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 Requirements Dependencies Technology SIT complete on SIT data.
  • 14. NAM 2011 Q4A Change Release Version: v 1.1 Date: September 21, 2011 Page 14 of 18 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 Considerations Who Project UAT team Timing As soon as data is available in QS UAT environment. Effort 2 Days Location Americas Hub. Linked Activities Linked Activities 4.5.7. Closeout (Test 7) Overview Purpose This functionality will allow users to initiate the closeout process with one button click. 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 Requirements Dependencies 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.
  • 15. NAM 2011 Q4A Change Release Version: v 1.1 Date: September 21, 2011 Page 15 of 18 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 Considerations Who Project UAT team Timing As soon as data is available in QS UAT environment. Effort 2 Days Location Americas Hub. Linked Activities Linked Activities 4.6 Test Script Draft Script.xlsx 4.7 ExitCriteria 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) UAT Test Closure Memo Template.doc
  • 16. NAM 2011 Q4A Change Release Version: v 1.1 Date: September 21, 2011 Page 16 of 18 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 Description ID Sequential Reference Num UAT 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 description Status Open, Closed, On Hold Technology 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
  • 17. NAM 2011 Q4A Change Release Version: v 1.1 Date: September 21, 2011 Page 17 of 18 Category Description resolution of this issue, simple or no re-work to processes / procedures required to resolve. Priority To assist Tech team in prioritizing issue resolution work: Showstopper – to be addressed as urgently as possible. High - to be addressed asap Medium - to be addressed to agreed timescale Low - 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 issue Open Date Date issue identified Technology 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 by Date Closed Date issue resolved / closed Attached below are Templates for RICA Log. RICA Log Template.xls 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 Responsibilities Kisha Merrell UAT Project Manager - Coordinateand 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.
  • 18. NAM 2011 Q4A Change Release Version: v 1.1 Date: September 21, 2011 Page 18 of 18 - Development, configuration and implementation of data (data feeds to Mantas) components. - Issueresolution –applications. - Issueresolution –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 Writingtest scripts ,addinginto QC Abbreviation Expanded Form AML Anti –Money Laundering BAU Business As Usual BO XI Business Objects version XI (11) CSIS Citi Systems Information Security DIS Data Information Specification DW Data Warehouse GIW Global Information Warehouse FIU Financial Investigations Unit GTS Global Transaction Services ICG Institutional Clients Group KL Kuala Lumpur (Asia Pacific business region) NAM North American business region TRP Targeted Review Program UAT User Acceptance Testing

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