06.210_User_Test_Plan-Main_v1.0-Revised

User Acceptance Test Plan - MainframeGlobal Securities Technology Technology Delivery Department

PDR 1434INVEST ONE Annual Release Implementation (07.210)

FUNCTIONAL SPECIFICATION ANDUSER ACCEPTANCE TEST PLAN

(Mainframe)

Version 1.0

Global Securities Technology

Prepared by: Michael P. DeasyDate: May 10, 2007

document.doc A Mellon Financial Company Page 1 of 43

TABLE OF CONTENTS

1.0 EXECUTIVE SUMMARY..........................................................................4

2.0 SYSTEM AND TEST OVERVIEW............................................................52.1 Background.............................................................................................................................. 52.2 Scope....................................................................................................................................... 72.3 Objectives................................................................................................................................ 72.4 Deployment Characteristics......................................................................................................72.5 Volume Statistics..................................................................................................................... 72.6 Constraints............................................................................................................................... 72.7 Dependencies........................................................................................................................... 72.8 Assumptions............................................................................................................................ 72.9 Risks........................................................................................................................................ 8

3.0 TEST MANAGEMENT.............................................................................93.1 Organization of the User Acceptance Test Team......................................................................93.2 User Acceptance Testing Environment...................................................................................10

3.2.1 Testing Strategy.......................................................................................................103.2.2 Testing Methodology...............................................................................................103.2.3 Contacts................................................................................................................... 103.2.4 Problem Reports and Log.........................................................................................10

3.3 Test Schedule......................................................................................................................... 113.3.1 Structured Testing....................................................................................................113.3.2 Test Phases............................................................................................................... 12

3.4 Acceptance Criteria and Objectives........................................................................................123.5 Completion Criteria................................................................................................................ 12

4.0 SET-UP AND EXECUTION PROCEDURES..........................................134.1 Test Setup Procedures...........................................................................................................134.2 Test Execution Procedures....................................................................................................134.3 Error Correction and Reporting.............................................................................................13

5.0 TESTING DETAILS................................................................................145.1 Regression Testing................................................................................................................. 145.2 Regression Test Scenarios.....................................................................................................15

General System Processing.....................................................................................................15Trades.................................................................................................................................... 16Securities Processing.............................................................................................................. 17Reports................................................................................................................................... 19Pricing................................................................................................................................... 23SSR........................................................................................................................................ 24CIBC Mellon - Apollo............................................................................................................24CIBC Mellon – Invest One Enhancements..............................................................................26

5.3 New Release Features............................................................................................................27Release 06.210....................................................................................................................... 27

General Enhancements................................................................................................27General Ledger............................................................................................................ 29Pooled Funds............................................................................................................... 29GCR............................................................................................................................ 29


Pricing........................................................................................................................ 29Messaging................................................................................................................... 30SPECTRA Enhancements............................................................................................30New/Changed Screens.................................................................................................31Transaction Codes, Class Codes, Routing Codes and Files..........................................33Inbound Messages.......................................................................................................34Standard Extract Records............................................................................................34

Release 06.030....................................................................................................................... 34General Enhancements................................................................................................34Dual Accounting/Multiple Book Accounting...............................................................35General Ledger............................................................................................................ 36Separate Accounts.......................................................................................................36Global Client Reporting..............................................................................................36Pooled Funds............................................................................................................... 36Pricing........................................................................................................................ 37Multi-Class.................................................................................................................. 37Spectra and EDW Enhancements................................................................................37Screens........................................................................................................................ 38Transaction Codes, Class Codes, Routing Codes and Files..........................................40Inbound Messages.......................................................................................................40Standard Extract Records............................................................................................40

Maintenance Memos.............................................................................................................. 41

Appendix A: Problem Log & Form......................................................................42


1.0 EXECUTIVE SUMMARY

INVEST ONE is a trust accounting and reporting application initially installed in 1986 when it was purchased by Mellon. Because INVEST ONE functionality supports a wide range of Mellon accounts, subsequent Middle Market account conversions were undertaken in 1999 to support the CIBC Mellon Joint Venture. During the same year, the INVEST ONE Global Client Reporting package was also installed to provide the capability to generate client statements. To meet changing client business requirements, Mellon Global Securities Technology continues to develop and customize additional features that interface with clients and other systems, both internal and external to Mellon.

To maintain INVEST ONE current business functionality and to ensure continued vendor technical support from SunGard, Mellon installs one system software release per year. This annual release is a composite of the multiple software releases that SunGard distributes throughout the year.

The annual release installation consists of the following tasks performed by Global Securities Technology:

Analysis – Technical review of the vendor release information to determine impact on the existing operations system environment.

Test Installation – Installation of the new release in a test region; system test new software to verify proper installation. GSS Fund Valuation will assist the technical team in the initial shakedown.

User Acceptance Testing – Business Unit testing of new release features; regression testing to ensure that non-release business functions are not adversely impacted.

Production Turnover – Upon completion of User Acceptance Testing and Business Unit approval, installation of the new release into the production environment.

This document represents the Functional Specifications and User Acceptance Test Plan because this project is the installation of software developed external to Mellon and is not a software development task. As such, the vendor release notes, contained in a separate document, “Combined Release Notes 06.210 & 06.030,” represent the Business Requirements and system functions.


2.0 SYSTEM AND TEST OVERVIEW

2.1 BackgroundMellon operates and maintains a trust accounting system, INVEST ONE, provided by an outside vendor, SunGard. The system is an online, real-time fund valuation and investment management system utilized for accounting and fund valuation functions by Mellon’s Global Securities Services Fund Valuation, Mellon Capital Management, CIBC Mellon, Wheaton College, Christian Brothers, Global Securities Lending, and Corporate Actions Accounting.

The Mellon INVEST ONE installation consists of the following SunGard core modules and Mellon customized components:

Component DescriptionINVEST ONE Core Accounting System Core System:

Release 05.210 (installed on October 20, 2006) Batch component for transaction generation, reporting, and

interfaces Real-time, online processing screensOptional Modules: Common User Interface (CUI) Global Client Reporting GNMA Generator Interest Only/Principal Only (IO/PO/IOette) Securities

Processing Manager Reporting Messaging Multi-Manager/Multi-Class Fund Processing Multiple Classes of Shares SPECTRA (distributed component for ad hoc reporting)


Component DescriptionInternal Interfaces (Customized) Developed and maintained by Global Securities Technology:

Inbound CMS cash transactions Inbound CMS trades Inbound CMS security adds Inbound CMS FX rates Inbound CMS global corporate action announcements Inbound CMS reorg corporate action announcements Inbound Corporate Price File from IAS Inbound supplemental file of FRI Prices from the GST Ad

Hoc Reporting Group Inbound IDC prices from IAS Inbound Lehman prices from IAS Inbound SVC prices from IAS Outbound reports (Mobius and hardcopy options) to GCR

and GCR Run Now Outbound price portfolio request to IDC via IAS Outbound price portfolio request to SVC via IAS Outbound performance measurement to Russell Mellon Outbound TAS amortization adjustments to the GST Ad

Hoc Reporting Group Outbound data link to PACE and Information Delivery

(One Link) Outbound positions and transactions to SmartStream

Reconciliation (SSR) Outbound NAV to Mellon Equity business unit

External Interfaces Developed and maintained by Global Securities Technology: Inbound SEI trade transactions Inbound IDC domestic corporate action announcements

(received via CMS/TAS) Inbound trades from PIMCO (transactions, pending trades

and cancelled trades) Outbound performance measurement to SEI Outbound audit data to PricewaterhouseCooper (PwC) Outbound holdings and reconciliation data to PIMCO Outbound tax information to Omega Tax Reporting (via

the GST Ad Hoc Reporting Group) Outbound daily NAV and price information to clients

(Hewitt)Ad Hoc Reporting Ad hoc reports developed and maintained by Global Securities

Technology, GSS Fund Valuation, and CIBC Mellon

Mellon provides an annual system release that contains updates distributed by SunGard throughout the year. The annual release installation is necessary to maintain current business functionality and to ensure continued vendor technical support.


2.2 Scope

Within Scope User acceptance testing of the new release functions identified in Section 5.3 of this document. The functions

to be tested are expanded on in the “Combined Release Notes 06.210 & 06.030” document. Testing of SPECTRA, GCR, PARM, Ad Hoc, and FOMI reports Regression testing of other (non-release) system business functions. Coding, unit, and integrated testing of applicable new release Mellon customized batch processes and

interfaces. Installation of the new release upon approval from the appropriate Business Unit Representatives.

Note: User acceptance testing of the Mellon Analytical Solutions (MAS) Performance Measurement interface is not part of this test plan. The testing will be conducted independently by Mellon Analytical Solutions (MAS) and coordinated by Global Securities Technology. Successful testing of the Performance Measurement interface is required for installation of the new release.

Outside of Scope Release items not selected by the Businesses to test, as shown in Section 5.3 “New Release Features.”

2.3 ObjectivesThe business objective of the INVEST ONE Annual Release Installation task is to implement and integrate applicable New Release system functionality into the current business processing environment. The Business Units—Global Securities Services Fund Valuation, Mellon Capital Management, and CIBC Mellon—will conduct user acceptance testing on identified new release functions and will also conduct regression testing on all applicable (non-release) functions. Regression testing will ensure that current business operations are not adversely impacted.

Note: Corporate Actions Accounting and Mellon Analytical Solutions (MAS) (Performance Measurement) will also perform user acceptance testing on the features that impact their area of accountability. GSS Global Pricing will not participate in testing; they will proxy off the test results of GSS Fund Valuation.

The Systems objective of the INVEST ONE Annual Release Installation task is to install the New Release software into the current processing environment. This includes the coding, unit, and integrated testing of applicable new release items and Mellon customized batch processes and interfaces.

2.4 Deployment Characteristics Not applicable

2.5 Volume Statistics Not applicable

2.6 Constraints None identified.

2.7 Dependencies None identified.

2.8 Assumptions Availability of all Business Units to conduct user acceptance testing and complete the timely review and

approval of task deliverables.


Mainframe system availability during the systems and user acceptance testing.

2.9 Risks None identified.


3.0 TEST MANAGEMENT

3.1 Organization of the User Acceptance Test Team

Roles and Responsibilities

Role Name ResponsibilitiesTesters CIBC Mellon: *Paul Wilkins, Brenda

Montgomery, Pattie Persaud, Shilpa Savla, Felisa Espedido, Cory Shannon, Kathy Kenny, Trisha Gaskin, Margo Mould, John Orzel (cc only), Brent Dietrich (cc only),

Corporate Actions Accounting: *Mark Roope, Scott Sillars, Tin Mai, Nicole Scapellati

GSS Fund Valuation: *John Nastal, Tom Seifert, *Seth Newcomer, *Darlene Atwater

Mellon Cap Mgmt: *Diana Staudenmaier

GSS Global Pricing: Maureen Pankowski, *Kerri Torrisi (see the note below)

Mellon Analytical Solutions Performance Measurement: *Lynn Griswold, Robert Martelli, *Tom LeClair, Krishnaraj Raveendran Nair,

*Key contact

Note: GSS Christian Brothers, GSS Wheaton College, Global Securities Lending, and GSS Global Pricing will not be active test participants. They will proxy off of GSS Fund Valuation’s test results.

- Identify detailed test data- Conduct testing- Record and report test results- Retest as necessary- Coordinate all UAT activities with the Business

Analyst

Test Approval Margaret BarrettSandy MacDonaldAdam StevensKaren Nussbaum

- Review, provide approval sign-off on User Acceptance Testing (UAT) plan and results

- Assist with issue resolution as needed- Support the UAT team’s efforts


Role Name ResponsibilitiesBusiness Analysts

Michael DeasyGeorge Bolanis (Apollo)Hardin Lynn, Business Analyst Manager

- Coordinate all test activities with each Business Unit and Technical Team

- Monitor UAT progress- Manage testing issues - Assess/resolve testing problems - Obtain approval sign off

Systems Analysts

Pam Caughey, Project Manager and Technical Manager

Patty Hughes, Technical Team LeaderKatie DoyleRichard MarshallJohn SandonasDave Faletto (Apollo)

- Coordinate all test activities, run jobs with the Business Analyst

- Maintain and monitor test environment- Monitor UAT progress- Manage technical testing issues, coordinate with

Technical Team- Assess/resolve testing problems

Programmers Katie DoyleRichard MarshallJohn SandonasDave Faletto (Apollo)

- Execute interface run jobs- Address and resolve technical issues- Assess/resolve testing problems

3.2 User Acceptance Testing Environment

3.2.1 Testing StrategyThe following Business Units will conduct the new release user acceptance testing in test region CQ: CIBC Mellon Global Securities Services— Corporate Actions Accounting Global Securities Services—Fund Valuation Mellon Capital Management Mellon Analytical Services (Performance Measurement)

3.2.2 Testing MethodologyGlobal Securities Technology conducted a preliminary analysis of the new release notes with each Business Unit to compile a subset of those to be included within the scope of the testing. Some of the release items were eliminated either because Mellon has not purchased specific modules or because specific modules were purchased but have not been implemented in production.

The subset list of release items will subsequently be reviewed with each Business Unit to determine business impacts, specific test scenarios, and items to be tested by each unit. This information will be obtained and verified against actual results. It will be incorporated into the combined final test results upon completion of user acceptance testing.

3.2.3 ContactsEach Business Unit has identified a contact who will coordinate all testing activity and a contact to approve test results. These contacts will coordinate applicable activities with the Business Analyst.

3.2.4 Problem Reports and LogAny system problem, regression test discrepancy, or abend must be recorded and documented in a problem report and submitted to the Business Analyst. The report should contain supporting documentation such as screen prints, report output, or any other test data source. After resolution of the problem, the test scenario will be repeated.

The Business Analyst will maintain a record of all problem reports in a summary problem log. The problem log and problem notification form are in Appendix A.


3.3 Test SchedulePrior to testing, the most current SPECTRA release will be loaded onto at least one of the PCs of identified users in the following Business areas: CIBC Mellon, Mellon Capital Management, GSS Fund Valuation, Global Securities Lending, and Wheaton College.

User Acceptance Testing will begin following completion of unit and system testing. It will be done in a structured manner with specific test scenarios defined by the Businesses. Events and batch cycles to be executed throughout the test period are listed in the document “Release 06.210 UAT Calendar.”

Test scenarios and functionality are specified in: Section 5.1: Regression Testing Section 5.2: Regression Test Scenarios Section 5.3: New Release Features

Problems discovered will be reported on the standard problem notification form (Appendix A).

3.3.1 Structured Testing

Testing will begin with data captured from production as of the opening of business on Friday, March 30, 2007 (after the batch cycle on the night of March 29). The detailed test calendar is in the document “Release 06.210 UAT Calendar.”

Global Securities Technology will execute normal intraday and nightly batch processes and user-submitted processes for transaction and security messaging and pricing. Global Securities Technology will also execute the following batch processes and events throughout the structured test period: Archival and Compaction (including Mellon’s archival patch), Archival Retrieval, Security Renumber, Account Renumber, Account Delete, GL Generator, Stale Pricing, SEI, NAV, PwC, and INVEST ONE Online Delivery (formerly known as “One Link”).

Using the CQ region dates defined in the test calendar will cross a month-end and ensure that the following are addressed: Intraday and nightly batch processing Friday processing Weekend processing

The Businesses will test GNMA Generator using online screens. GNMA Generator jobs are not installed in any batch processes.

The Businesses will input requests for PARM, GCR and GCR RUNNOW reports, and the Technical Team will run them. The Business Analyst will coordinate the requests.

Prior to UAT the Business Units will make any changes required for SPECTRA, Ad Hoc, and FOMI jobs. During UAT the Business Units will run these jobs as needed.


3.3.2 Test PhasesTesting will be conducted using a structured approach beginning with regression testing. Specific test cases are not defined as part of this document. Regression and new functionality testing will be conducted following the proposed test calendar.

Because business operations and client fund types vary within each Business Unit, testers will identify their unique system functions for both the Regression and New Release testing. These functions will be recorded in the tables provided in the Regression and New Release Testing Sections (5.2 and 5.3) of this test plan. Following are some additional testing considerations to include in user acceptance testing: User banks Accounts, securities, security types Fund types

3.4 Acceptance Criteria and Objectives Upon completion of all test scenarios, the following criteria will be applied to support the approval and sign-off of successful user acceptance testing. With the receipt of sign-off, the Business Analyst will coordinate the system turnover from the test region to production.

All applicable new release and regression functions have been tested and successfully completed; functionality is consistent with vendor release notes.

Test results met expected results.

Note: The new release installation project does not identify Mellon business requirements but rather new system functionality provided by the vendor. Therefore, the evaluation of user acceptance test results is based solely upon the vendor’s functional descriptions.

3.5 Completion CriteriaAs the Business Unit testers complete each scenario that they have elected to test, they will assemble supporting documentation (screen prints, reports, etc.) and note the scenario number on the documents. Sections 5.2 and 5.3 list all test scenarios. When user acceptance testing is complete, the Businesses will submit the completed documentation to the Business Analyst. The Business Analyst will compile all test results returned by the Business Units and document the results. This document will subsequently provide a complete history of all testing as well as a reference guide for future system capabilities and functionality issues.


4.0 Set-up and Execution Procedures

4.1 Test Setup Procedures Release 06.210 will be loaded in INVEST ONE Test Region CQ. Prior to beginning the UAT, SPECTRA will be loaded onto the PCs of identified individuals in each

Business. Production data will be copied to test region CQ. Appropriate test accounts and/or securities sufficient to test functionality will be manually added to test

region CQ by the Business Units.

4.2 Test Execution Procedures A separate document “Combined Release Notes 06.210 & 06.030” contains details on the New Release

functionality and is a key tool to use throughout the test. The document contains a description of each change and the effect on screens and reports. This document can be used by the Business to help identify test cases.

The Business Analyst will co-ordinate the test events with the Businesses and Technical Team. The Businesses will conduct tests for each feature specified in sections 5.2 and 5.3. The Businesses will verify test results in a timely manner. The Businesses will report problems and forward supporting documentation to the Business Analyst in a

timely manner. Once a problem is resolved, the Business Analyst will notify the Business and the problem will be re-tested in

a timely manner.

4.3 Error Correction and ReportingAny system problem, regression test discrepancy, or abend must be recorded and documented in a problem report and submitted to the Business Analyst. The report should contain supporting documentation such as screen prints, report output, or any other test data source. After resolution of the problem, the test scenario will be repeated.

The Business Analyst will maintain a record of all problem reports in a summary problem log. The problem report and report log are in Appendix A.


5.0 Testing Details

Sections 5.1 and 5.2 address regression testing. The functions being tested are not changing as a result of the new release implementation. Testing completed in Section 5.2 will confirm that existing functionality will continue to perform as expected with the new release functionality installed.

Section 5.3 lists each of the INVEST ONE system functional components that have either been added or modified since the last INVEST ONE Annual Release, 05.210 installed in 2006. The details for the current INVEST ONE releases have been documented and provided by the vendor throughout the year in Release Notes 06.210 and 06.030. Information from the releases is combined in the “Combined Release Notes 06.210 & 06.030” document.

These system functional components affect many areas of the current Business processing environment. Each item in Section 5.3 identifies new or modified functionality. Current business impacts and specific test scenarios will be identified by the Business Units and documented during user acceptance testing.

5.1 Regression Testing Regression testing on all applicable (non-release) functions will be done to ensure that current business operations are not adversely impacted. All PARM, SPECTRA, GCR, Ad Hoc, and FOMI reports will be tested and verified.

Business Units will create test scenarios and set up or select accounts to use for each function or process that they will test.

Notes on the columns in the following charts: Scenario: This column is a sequential numbering of the function or process to be tested. The “R” preceding the number indicates that this is a regression

testing scenario. Function or Process: This column describes the function or process to be tested. Verification Tool: This column contains suggested tools for verifying the function or process. User Bank: The Business will indicate the user bank in which the regression testing was conducted. Expected & Actual Results: The expected results are listed. After the test is complete, the Business will document the actual result in this column

following the word “actual” and forward to the Business Analyst. The Business Analyst will compile the results from all the Businesses in one document. The last four columns of this chart are Business specific. In their respective columns, each business will document the initials of the tester and the date

the test was successfully completed.


5.2 Regression Test Scenarios

General System Processing

Business Unit(s) Testing the Item

Scenario Function or ProcessVerification

ToolUser Bank Expected & Actual Results

CIBC Mellon

Corp. Actions

Fund Valuation

Mellon Cap

R1 Verify access to system FUND, VSAS

Expected: Ability to access INVEST ONE.Actual:

D6 X X

R2 Verify Chop and user bank/ account inquiry capabilities

CHOP, VSAS

Expected: Ability to change user banks.Actual: D6

X X

R3 Verify security assigned to chop codes are still active

CHOP, VSAS, AAAD

Expected: Chop security access matches access on the Pittsburgh mainframe (i.e., view, add, modify, etc.).Actual:

D6X X

R4 Verify restored data Various Screens

Expected: Restored data in the system matches production.Actual:

D6X X

R5 Opening Fund AAIN Expected: Ability to create a new date periodActual: D6

X X

R6 Closing Fund AAUV Expected: Additional data cannot be entered to the assign date.Actual:

D6X X

R7 Move Verification Date Back AAUV Expected: Closed periods can be opened.Actual: D6

X X

R8 Open a new period AARS Expected: A new period can be opened.Actual: D6

X X

R9 Batch Generator VSDT Expected: This screen generates the correct transactions. Actual:

D6 X





CIBC Mellon

Corp. Actions

Fund Valuation

Mellon Cap

R10 Data, including NAV, on the following screens should be verified.

ANCF, AAVB, EQUITY, INVS, STAS, INGL, DANA

Expected: Data verified.Actual:

X X

R11 Account Valuation balances AAVB2 Expected: Futures processing verified.Actual:

X X

R12 GNMA generation and reporting BGGG Expected: Paydowns are pulled in.Actual:

X X

R13 New security setup STST Expected: Functionality remains unchanged.Actual: D6

X X

R14 Multi-share patch (Fund Valuation only)

Expected: Functionality remains unchanged.Actual:

X

R15 Unit CUSIPs and expense CUSIPs Expected: Functionality remains unchanged.Actual: D6

X X

Trades




CIBC Mellon

Corp. Actions

Fund Valuation

Mellon Cap

R16 Trade Tickets-Buy, Sell, Paydown DETD, DEFT

Expected: Trades can be manually entered from trade tickets.Actual:

D6X X

R17 Rbuy, Rsell DARV, DATD, DDTD

Expected: Trades can be reversed and corrected, deleted.Actual:

D6X X

R18 Buy, Sell 6133 job Expected: Trades can be entered via batch job 6133.Actual:

X





CIBC Mellon

Corp. Actions

Fund Valuation

Mellon Cap

R19 Intraday Trade Capture BOBD, BOSB

Expected: Intraday trade entry can be verified in INVEST ONE.Actual:

X

R20 Overnight trade capture VSTD Expected: Overnight trade entry can be verified in INVEST ONE.Actual:

D6 X

R21 SEI trade testing AAIN, VSTD

Expected: SEI trades can be verified in INVEST ONE.Actual:

X

Securities Processing




CIBC Mellon

Corp. Actions

Fund Valuation

Mellon Cap

R22 Dividends DECR Expected: Dividends can be verified.Actual:

D6 X X

R23 Corporate Actions DECORP Expected: Corporate actions can be verified.Actual:

D6 X X

R24 Verify Transaction Generator BGTG, VSDT

Expected: This screen generates the correct transactions.Actual:

X X X

R25 Variable Rates DECR, DEBE

Expected: Variable rates can be modified and verified.Actual:

X X

R26 Verify Income/ Amortization Use income and amort reports in SPECTRA

Expected: Required information is available and can be verified in INVEST ONE. SPECTRA can access the correct information. Actual:

X X





CIBC Mellon

Corp. Actions

Fund Valuation

Mellon Cap

R27 Currency Contracts DECCT Expected: Currency contracts can be manually entered.Actual:

D6X

R28 Rate Changes DAHO Expected: Variable rates can be modified and verified.Actual:

D6X

R29 Unit Activity DETD Expected: Unit activity can be entered or modified.Actual: D6

X X

R30 International Dividends DECR Expected: International dividends can be entered.Actual: D6

X X

R31 International Exchange Rates DECX Expected: Foreign exchange rates can be entered and adjusted.Actual:

D6X

R32 Balancing Financials STAS, STAL, GLSTAS, INGL, GLINGL, UNUV, EQUITY, INVS

Expected: Transactions and NAV are properly reflected on the financials.Actual:

D6X X

R33 Price Sweep AAPS Expected: The same securities are listed on the AAPS screen as being missing in both test and production.Actual:

D6X X





CIBC Mellon

Corp. Actions

Fund Valuation

Mellon Cap

R34 Un-run and re-run BGTG generator to un-post and re-post corrected (if necessary) stock dividends, splits and cash dividend collections for stock funds, and bond interest collections.

BGTG Expected: The system backs off collections and splits and then subsequently reposts corrected (if necessary) collections and splits when generator is re-run.Actual:

X X

R35 Generate daily marks to market using the BGVMG screen and verify mark to market calculated back to Mellon Capital database

BGVMG Expected: The system calculates the correct variation margin for all future contracts held in the fund.Actual:

X X

R36 Global Translator GLTR Expected: The system correctly translates local to base currency.Actual:

D6X

R37 Use BGTGDL screen to un-post entries

BGTGDL Expected: Transaction generator deleteActual:

X X

R38 Verify Cash activity ANCF Expected: Cash activity is posted correctly. Actual: D6

X

R39 Balancing Face INVS Expected: Required information is available on INVEST ONE. Actual:

D6X

Reports




CIBC Mellon

Corp. Actions

Fund Valuation

Mellon Cap

R40 SEI Face Report TSO – Ad Hoc job

Expected: Report matches to productionActual:

X





CIBC Mellon

Corp. Actions

Fund Valuation

Mellon Cap

R41 Generate the following INVEST ONE domestic and international PARM reports: R014, RO54, RO55, RO57, R058, R059, R066, R067, R068, R069, R080, R081, R083, R097, R0106, R0108, R0109, R0113, R0115, R0118 for all applicable funds

Fund Valuation: Also generate standard and alternate (qualified dividends) versions of R215.

MCM: Test the Remote Printer option.

PARM reports

Expected: Generated reports reconcile to production; any differences can be explained.Actual:

X X

R42 Run the following report in SPECTRA: earnings, buys, sales, ending accrual (bond fund only) and market

SPECTRA reports

Expected: SPECTRA generated reports reconcile to production; any differences can be explained.Actual:

X X

R43 SPECTRA SPECTRA reports

Expected: Overall system functionality remains unchanged, with the exception of new release items.Actual:

X X

R44 GCR Reporting

Fund Valuation and/or CIBC Mellon: Include sending report output to file via AASR – Output=B or C. Implemented for selected userbanks.

CIBC Mellon: Include French statements.

AARR, AARA, AAWG, AASR, AAOP

Expected: GCR reports reconcile to production; any differences can be explained.Actual:

D6 X

R45 Ad Hoc Reporting

Note: Testing should include the non-production job that pulls data for the Omega Tax Reporting System.

Ad Hoc reports

Expected: Ad Hoc reports reconcile to production; any differences can be explained.Actual:

X





CIBC Mellon

Corp. Actions

Fund Valuation

Mellon Cap

R46 FOMI Reporting FOMI reports

Expected: FOMI reports reconcile to production; any differences can be explained.Actual:

X

R47 Manual Pricing DEPR Expected: Securities can be manually priced.Actual: D6

X X

R48 Applying Pricing, Exchange Rates MU0, AAPS, DECX

Expected: Prices and exchange rates are applied to the user banks.Actual:

X X

R49 Applying Overnight Batch Pricing; Exchange Rates

MU0, VSPS, DECX

Expected: Overnight batch prices and exchange rates are applied to the user banks.Actual:

D6 X

R50 PricewaterhouseCooper (PwC) reports for accounts with fiscal year endNote: A report can be run for any month-end date from the previous December 31 on.Global Securities Technology (GST) will run the reports using criteria supplied by the business.

Screen prints from production (a report for the same date can be run in production to compare to the report run for UAT)

Expected: Data on the file produced for PwC in UAT matches the file produced from Production.Actual:

X X





CIBC Mellon

Corp. Actions

Fund Valuation

Mellon Cap

R51 PIMCO: three inbound trade files

(Transactions-FV272, Pending Trades-FV273, Cancelled Trades-FV274)

inbound holdings file (FV271) production of PMED 778

reports production of datasets from

PARM extract (daily ZFV1275 and monthly ZFV4275)

production of datasets from FOMI (daily ZFV1276 and monthly ZFV4276)

Notes: GST will run the jobs and the business will verify results.Outbound transmissions will not be tested.

Expected: Data is as expected.Actual:

X

R52 INVEST ONE Online DeliveryNote: The implementation of INVEST ONE Online Delivery (formerly known as “One Link”) is proceeding as an independent project. Only very high-level checks will be performed this year. The Business Analyst will closely coordinate the testing with the GST team and the Business Units.

Excel spreadsheets prepared by GST and online screens

Expected: In a spot check of data for selected accounts, the data on the spreadsheets agree with the online data.Actual:

X


Pricing




CIBC Mellon

Corp. Actions

Fund Valuation

Mellon Cap

R53 Verify the downloaded prices by comparing the prices available on the DANA screen in production and test for a sampling of securities in each fund.

DANA Expected: The same prices were entered into the system in both production and test and are consistent in the securities sample.Actual:

D6X

R54 Verify that the stock prices received from MCM, uploaded to TSO and dumped into INVEST ONE using the 6210 job in TSO are processed in TSO successfully and are applied correctly in INVEST ONE (use MU2 screen to apply stock and bond prices)

MU2 Expected: The jobs process through TSO successfully and apply the prices correctly in INVEST ONE.Actual:

Note: This is an MCM scenario.

X

R55 Post future prices to INVEST ONE using the DEPS screen

DEPS Expected: Future prices are entered and applied correctly in INVEST ONE.Actual:

D6X X

R56 Pricing Verification

Mellon Cap and CIBC Mellon (C5): Include stale pricing.

SPECTRA, BGEX Ad Hoc report

Expected: SPECTRA reports and the BGEX Ad Hoc report are available and function correctly.Actual:

X X

R58 Hierarchical Pricing for Multiple Pricing Feeds (added in 01.270 in 2002; MCM began using in March 2004). Entered on AAFP.

DANA, VSPR, VSPS, Hierarchical Compare Report (R189)

Expected: Prices are applied correctly.Actual:

D6 X

R59 Hierarchical Pricing Account Override. Entered on HPAO.

DANA, VSPR, VSPS






CIBC Mellon

Corp. Actions

Fund Valuation

Mellon Cap

R60 Yield calculation (to be based on 366 days in leap year). Applies only to Fund Valuation.

UNUV, Unit Income and Unit Valuation Report (R064)

Expected: Yields are calculated correctly.Actual:

X

R61 Fair Value Pricing for CIBC Mellon:


R62 Stale Pricing for MCM and CIBC Mellon (C5 user bank)

VSPR Expected: Prices are applied correctly. Z1 stale pricing indicator is present when appropriateActual:

SSR




CIBC Mellon

Corp. Actions

Fund Valuation

Mellon Cap

R63 Produce SSR files, review accounts (to be tested by SSR)

SSR Expected: SSR accounts reconcile correctly. Actual:

R64 SSR Enhancements: Change and Delete Transactions

SSR

CIBC Mellon - Apollo




CIBC Mellon

Corp. Actions

Fund Valuation

Mellon Cap

R64.1 Regression test of Browser CUI Expected: Actual:

Apollo

R64.2 Regression test of Browser Reporting

Will be able to request any and all templates without issue for daily reporting

R64.3 Regression test of Process Mgr/Rpt Packaging

Will be able to create, edit and delete processes. Will be able to run processes/packages as well as schedule recurring processes.





CIBC Mellon

Corp. Actions

Fund Valuation

Mellon Cap

R64.4 Regression test of Engine ReportsR64.5 Regression test of CUI Test screens inside of Apollo to make they interface

correctly without error: AAAD, AAMF, DECAL, DETD, GNMA, DETD, AAIN, VSDT

R64.6 Regression test of Apollo Administration

R64.7 Apollo Income Processing Trust Distribution Activity report

R64.8 R169 DTR Reconciliation (Double Taxation Relief)

R64.9 Reversal/Rebook for Swap codes - Verify the following reports are updated to include the new reversal and rebook codes for this parm reports: R's 145, 148, 149, 57, 70, 72, 77, 103, 113, 147, 150, 13, 102, 116, 186

R64.10 R114 Update - Sort filter, Income OptionsR64.11 R102 GL Profit and Loss Transaction analysis pulls 4 new spectra data items

to match 102R64.12 Corporate Action Analysis Report

(pg 2 release notes) Verify new CFD (Contracts for Difference) field

R64.13 Pooled Funds - Auto Reinvestment of Income trom TLFs to Pools

Batch reports 79 & 92 modified to report Investment Payable & Invest menet Receivable separately

R64.14 Multi-Class Currency Hedging @ Class Level

R 118, 126, 127, 129 have been modified. New parm 44Y added: sort by currency, long/short and then class


CIBC Mellon – Invest One Enhancements




CIBC Mellon

Corp. Actions

Fund Valuation

Mellon Cap

R65 Dual Accounting – Run user submit jobs to post transactions to target account including reversal transactions

Expected: Transactions post to target account appropriatelyActual:

R66 GL Generator for C5 User Bank – Run GL Generator for C5 user bank

Expected: Actual:

R67 NAV Transmissions – Set up control tables for Fund Serv, Fund Data, and Corfax. Initiate srstat jobs, run job to create output reports.

Expected: Review output job resultsActual:

R68 Add Security Cross-References & MT Description – ISIN, SEDOL, CUSIP/CINS, TICKER fields are being populated on Invest One from CMS security add feed. MT description is being populated in Invest One.

STAD, STSS, STDE, FUDE, BODE, and OPDE

Expected: Actual:

R69 MAS Enhancements – MAS D Indicator on AAUD screen

AAUD Expected: Review output job results Actual:

R70 Fund Distribution Generator – Canadian Distribution Module

Expected: Actual:

R71 RK Unit Holder - automate the file delivery and data processing of the five unit holder record keepers for the current capital stock process

Expected: Actual:

R72 Swift - SWIFT MT535 messaging capability to support the CIBC Mellon IAS daily clients converting to Invest One

Expected: Actual:


5.3 New Release FeaturesEach Business will create test scenarios and identify the test user bank for each function or process that they will test. They will select/set up accounts and securities as needed to complete each test. Screens, reports, and transaction types that can be used as verification tools are included in the “Combined Release Notes 06.210 & 06.030” document.

Notes on columns in the following chart: Scenario: This column is a sequential numbering of the function or process to be tested. Item numbers in the charts correspond to the item numbers in

the release notes. Items not applicable to Mellon and/or UAT are not listed in this document and therefore item numbers are not consecutive. Function or Process: This column describes the function or process to be tested. Details about each item are in the “Combined Release Notes 06.210 &

06.030” document. Test Case: The Business will enter relevant information regarding the scenario being tested. Examples of relevant information are account number,

security number, user bank, and what the test entails. Actual Results: After the test scenario is complete, the Business will document the actual result in this column. The last four columns of this chart are Business specific. In their respective columns, each Business will document the initials of the tester and the date

the test was successfully completed.

Release 06.210

General Enhancements


Scenario Function or Process Test Case Actual ResultsCIBC Mellon

Corp. Actions

Fund Valuation

Mellon Cap

A.1.1 Allow for DESO Changes to be recognized by INGL and EQUITY

X

A.1.2 Discount Note Accrual Methods T/N, Yield, Discount Rate, Price and Duration

D6 X (may test)

A.1.3 Add Date/Time Stamp to Account Lock

A.1.4 NASDAQ Interface Upgrade

A.1.5 Capture Additional Fee Data to Security History




Corp. Actions

Fund Valuation

Mellon Cap

A.1.6 Increase Size of DAYS Field on DEFX

X

A.1.7 Allow Cross Reference Records to Remain after Transactions are Deleted

X

A.1.8 Introduce Limited Sweep X

A.1.9 Income Processing - Income Trust Units

Apollo

A.1.10 New DTR Reconciliation Report: R169

Apollo

A.1.11 Permit Purchased/Sold Interest for Credit Default, Currency, and Interest Rate Swaps

D6 X

A.1.12 Accrue, Calculate and Post Interest on the Non-Index Leg of a Total Return Swap

D6 X

A.1.13Reversal and Rebook Processing for Swaps

D6

Apollo

X

A.1.14Pending Trade Processing for Swaps

D6 X

A.1.15Provide "Sort By" Parameter Options for the R114

Apollo

X


General Ledger



Corp. Actions

Fund Valuation

Mellon Cap

A.2.1 Increase Access to R102 Profit and Loss Data

Apollo

Pooled Funds



Corp. Actions

Fund Valuation

Mellon Cap

A.3.1 Eliminate Non - Business Days for Pooling

GCR



Corp. Actions

Fund Valuation

Mellon Cap

A.4.1 Add Memo Number of MTM+/-C to CREX 998T Futures Close Transactions

Pricing



Corp. Actions

Fund Valuation

Mellon Cap

A.5.1 Negative Prices for Credit Default Swaps on IDC3B Pricing Feed

D6 X


Messaging



Corp. Actions

Fund Valuation

Mellon Cap

A.6.1 Add Account Lock Date Trigger

A.6.2 Add Inbound Messaging for DEEY Screen

A.6.3 Tran Messaging Input Codes for Trade Exchange & Settle Exchange Rates

A.6.4 Create Expense Adjustment Messaging for DEFE, AAFS and AAFB

A.6.5 Add IO OLE Option to Prevents Storage of Operator's Password to PCs

SPECTRA Enhancements



Corp. Actions

Fund Valuation

Mellon Cap

A.7.1 Extract Acct. Number 'Zero' from Transaction Analysis on Pending Transactions

A.7.2 Increase Field Size for SIC, Sector, Industry and Issuer Descriptions

A.7.3 Added Net Assets Spectra Codes for Weekend Accrual Methodology

Apollo

A.7.4Spectra Codes Added to Represent Variable Rate Data (Prior Rate and Prior Date)

Apollo

A.7.5Multi-Period Spectra Data Item for Earned Expense




Corp. Actions

Fund Valuation

Mellon Cap

A.7.6Concatenate Account Number and Share Class Number in Fund Trend Analysis

Apollo

A.7.7 Batch Spectra to Allow Different Dates with Different Accounts in the Same Run

D6

A.7.8Report NAV Impact Market Value Change in EMS

A.7.9Create Spectra Data Items for Dual Priced Funds

Apollo

A.7.10Spectra Modules and Codes

D6 Apoll

o

New/Changed Screens



Corp. Actions

Fund Valuation

Mellon Cap

A.8.1.1 New Screens The test will consist only of verifying that the screen is available. If after installation any Business Units decide to use new functionality they will need to test the functionality before using the screen in production.

RXF0 - Transaction Cross Reference ViewDEINTR - Income Trust DistributionDAINTR, VSINTR, DDINTR - Income Trust Distribution

A.8.1.2 Changed Screens: The test will consist only of verifying that the screen is available. If after installation any Business Units decide to use new functionality they will need to test the functionality before using the screen in production.




Corp. Actions

Fund Valuation

Mellon Cap

DARC, DETE, TRN7, UTDADT - Trade EntryDATE, DETY, DDTE, PDETY, TRN8, UTDATE, VSTE - Trade CorrectionMDCC, MDCU, VSCU - Currency DefinitionDEFX, DAFX, DDFX,VSFX - Foreign Exchange RatesDEPS, DAPS,VSPS - Price Scan

X

DEPSE, DAPSE, VSPSE - Price Scan IIDEPS5, DAPS5, VSPS5 - Price Scan VDEPC, DAPC, VSPC - Collateral Price InputSECEX2 - Scty Exposure Inq II

DEPSUT, DAPSUT, VSPSUT - Unit Trust Price ScanMULTBK - Multiple Book Accounting

PLP - Position Level PricingDECDSO - Credit Dflt Swap Open TransDACDSO - Credit Dflt Swap Open TransAAMF, AAMF1, ACTA - Account Definition II – More FeaturesDECSWO - Currency Swap Open EntryDACSWO, DDCSWO, VSCSWO - Currency Swap Trans Entry




Corp. Actions

Fund Valuation

Mellon Cap

SCT2, SASS, STSS, STSSI - Security Definition – StockDEIRS - Swap Transaction Entry – AddDAIRS - Swap Transaction Entry – ChangeDACSWC, DDCSWC, VSCSWC - Currency Swap TransactionsDETRS - Total Return Swap EntryDATRS, DDTRS, VSTRS - Total Return Swap EntryDACDSC, DDCDSC, VSCDSC - Credit Default Swap CloseAAFS, ACT7 - Orig Face Position ReconAAUV - Update Verification Date

Transaction Codes, Class Codes, Routing Codes and Files

A.8.2.1 New Transaction Codes Transaction Codes, Class Codes, Routing Codes and Files will be tested as appropriate for Mellon. See Annotated Release Notes for details

A.8.2.2 Changed Transaction Codes Transaction Codes, Class Codes, Routing Codes and Files will be tested as appropriate for Mellon. See Annotated Release Notes for details


A.8.2.1 New Transaction Codes Transaction Codes, Class Codes, Routing Codes and Files will be tested as appropriate for Mellon. See Annotated Release Notes for details

A.8.2.3 Changed Class Codes Transaction Codes, Class Codes, Routing Codes and Files will be tested as appropriate for Mellon. See Annotated Release Notes for details

A.8.2.4 Changed Report Routing Codes Transaction Codes, Class Codes, Routing Codes and Files will be tested as appropriate for Mellon. See Annotated Release Notes for details

Inbound Messages

A.8.3 Inbound Messages

Standard Extract Records

A.8.4 Standard Extract Records

Release 06.030

General Enhancements



Corp. Actions

Fund Valuation

Mellon Cap

B.1.1 Edit Check Overselling/Overcovers

X X X




Corp. Actions

Fund Valuation

Mellon Cap

B.1.2 Display Effective Yield on Floating Rate Notes (CIBC Mellon D6 will test)

D6

B.1.3 New Equity Future Type: Contracts for Difference

Apollo

B.1.4 Code Added to Allow Minus Adjustment Entries to INSL Postings

B.1.5 Include Amortization in the 30 SEC Yield Report

Dual Accounting/Multiple Book Accounting



Corp. Actions

Fund Valuation

Mellon Cap

B.2.1 Simplify Access To Source and Target User Banks (MELLON DOES NOT HAVE DA/MBA MODULES)


General Ledger



Corp. Actions

Fund Valuation

Mellon Cap

B.3.1 General Ledger P-Rules Enabled for Class Level of an M account in MM/MCS

Separate Accounts



Corp. Actions

Fund Valuation

Mellon Cap

B.4.1 Allow Conversion to MCS of existing Non-MCS Separate Account Mutual Funds

Global Client Reporting



Corp. Actions

Fund Valuation

Mellon Cap

B.5.1 Enhance CREX 998T Extract to allow Truncation

Pooled Funds



Corp. Actions

Fund Valuation

Mellon Cap

B.6.1 Automatic Reinvestment of Income from TLFs to Pools

D6 Apoll

o

B.6.2 Make Pool Lot Data Extractable to Top Level Funds




Corp. Actions

Fund Valuation

Mellon Cap

B.6.3 Simultaneous Long/Short Positions Processing for Pools and TLFs

Pricing



Corp. Actions

Fund Valuation

Mellon Cap

B.7.1 Automate Conversion of Forward Currency Rates to Exchange Rates

X

B.7.2 Allow new XM Price Type for IDC4 Currency Exchange Rate File

B.7.3 Add New Currency Code and IDC Identifier to Price Distribute

Multi-Class



Corp. Actions

Fund Valuation

Mellon Cap

B.8.1 Allow Currency Hedging at Class Level

Apollo

Spectra and EDW Enhancements



Corp. Actions

Fund Valuation

Mellon Cap

B.9.1 OLE Percentages Extract Codes for Spectra/Browser Spectra

D6 Apoll

o

B.9.2 Add TIIS Fields to EDW




Corp. Actions

Fund Valuation

Mellon Cap

B.9.3 Add Spectra Data Item for Relieved Inflation Compensation

B.9.4 Spectra Modules and Codes D6 Apoll

o

B.9.5 EDW Codes

Screens



Corp. Actions

Fund Valuation

Mellon Cap

B.10.1.1 New Screens: The test will consist only of verifying that the screen is available. If after installation any Business Units decide to use new functionality they will need to test the functionality before using the screen in production.

MBAOP - Source / Target Bank

FDSL/I1SPP - Spectra / LoadB.10.1.2 Changed Screens The test will consist only of verifying

that the screen is available. If after installation any Business Units decide to use new functionality they will need to test the functionality before using the screen in production.

Apollo

US00

GLOS

SVEQ

DACL,DECL,DDCL,VSCL

CLCEQ

DACCT, DDCCT, VSCCT

DECCT

DARVC




Corp. Actions

Fund Valuation

Mellon Cap

DACCL

VSR1

VSRP

VSCCL

PARMSY

VSPH

VSPHDA

AARC

AAUV

VSVB3

FUSF

RPTRSL

VSVB9

SECEX3

DASWAS


Transaction Codes, Class Codes, Routing Codes and Files



Corp. Actions

Fund Valuation

Mellon Cap

B.10.2.1 New Transaction Codes: Transaction Codes, Class Codes, Routing Codes and Files will be tested as appropriate for Mellon. See Annotated Release Notes for details

B.10.2.2 New Class Codes Transaction Codes, Class Codes, Routing Codes and Files will be tested as appropriate for Mellon. See Annotated Release Notes for details

B.10.2.3 Changed Report Routing Codes Transaction Codes, Class Codes, Routing Codes and Files will be tested as appropriate for Mellon. See Annotated Release Notes for details

Inbound Messages



Corp. Actions

Fund Valuation

Mellon Cap

B.10.3 No inbound messages were added, changed, or deleted for this release

Standard Extract Records




Corp. Actions

Fund Valuation

Mellon Cap

B.10.4 No Standard Extract Records have been added for this release.

Maintenance Memos




CIBC Mellon

Corp. Actions

Fund Valuation

Mellon Cap

MM1 MM# 12747: R113 report: The global report will show the words “Sorted by Income Category” at the top of the report whether it was ordered with the default or with the sort option. PS log #354

R113 report Expected Result: The global R113 report should not show ‘Sorted by Income Category’ at the top of the report when the default option is used.

X

MM2 MM#12710: Cannot change AAAD amort to call to either K or L if OID is set at 3 or 4. PS Log #351.NOTE: SunGard website indicates that MM#12710 is closed in release 07.030 and is not in the 06.210 move sheets. The MM was included in 05.210 maintenance tape. Unclear if this MM is in the release.

AAAD screen

Expected Result: On AAAD, change amort to call to K or L if OID is 3 or 4.

X

MM3 MM#12790: Reversal descriptions are not working. Apollo issue #101

Apollo Expected Result: Reversal descriptions work properly on Apollo.

Apollo


Appendix A: Problem Log & Form

The following problem log will be used during user acceptance testing to record any system problem, regression test discrepancy, or abend.

Problem Log: PDR 1434 INVEST ONE Release 06.210 Implementation

The Business Analyst will maintain the Problem Log. Reports or updates will be distributed periodically for review.

Issue No. Status

Date Reported

Reported By Name/Business

GroupPriority H/M/L

Business Function

SystemTest Date Problem Resolution

Date Fixed

Date Re-

testedDate

Closed


Problem Notification FormUser Acceptance Testing

PDR 1434INVEST ONE Release 06.210 Implementation

Defect Number

Date Submitted Submitted By Phone Number Department

Date Problem Occurred

Criticality

User Bank(s)

Account Number(s) or Security Number(s), if applicableProblem Description

Systems/Functions Affected

Status

Date Resolved

Please complete the unshaded blocks.Attach examples (screen prints, reports, etc.)E-mail (preferred method) or fax to Michael Deasy at 412-236-1699.


Documents

06.210_User_Test_Plan-Main_v1.0-Revised