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TEST PLAN

INFORMATION TECHNOLOGY DEPARTMENT

IT GOVERNANCE - QUALITY ASSURANCE TEAM

Test Plan
CR# 350431-Backend Client Data Enhancement for KYC
compliance
Prepared by: Islam Gouda

Creation Date: 29/08/2016

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TEST PLAN

TABLE OF CONTENTS

1. INTRODUCTION
2. OBJECTIVES AND TASKS
3. SCOPE
4. TESTING STRATEGY
5. TEST SCHEDULE
6. FEATURES TO BE TESTED
7. FEATURES NOT TO BE TESTED
8. RESOURCES/ROLES & RESPONSIBILITIES
9. BACKUP AND RECOVERY OF TEST DATA
10. RISKS/ASSUMPTIONS
11. ITEM PASS/FAIL CRITERIA
12. FACILITY REQUIREMENTS
13. OBSERVATIONS
14. APPROVALS

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TEST PLAN

1.0 Introduction
1.1 Document Purpose

The purpose of this document is to describe the testing procedure CR# 350431-Backend Client Data
Enhancement for KYC compliance

2.0 Objectives and Tasks

2.1 Objectives
Objective of this test plan is to identify the test strategy , Resources, Tasks and Schedule for
testing CR# 350431-Backend Client Data Enhancement for KYC compliance.
3.0 Scope
The testing mainly targets the CR# 350431-Backend Client Data Enhancement for KYC compliance based
upon the requirements provided by the Planning & delivery team.

4.0 Testing Strategy

 Requirement specifications will be sent by Business.
 Understanding of requirements will be done by UAT.
 Preparing test cases.
 Creating Test data.
 Executing test cases.
 Defect logging and reporting.
 Retest and Regression testing.
 Business testing and approval
5.0 Test Schedule

Planned Planned
Phases Activities
Start Date End Date

Understanding Application and Identification of the Scope 29/8/2016 29/8/2016

Test
Test Plan Preparation 29/8/2016 29/8/2016
Planning
Test Plan Review 29/8/2016 29/8/2016

Preparation of the Test scripts for identified Scope (UAT and Regression) 30/8/2016 30/8/2016
Test Design
Review of Test Scripts 30/8/2016 30/8/2016

Test
UAT Testing 30/8/2016 27/9/2016
Execution

UAT – Business User 10/8/2016 8/09/2016

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TEST PLAN

Test
Preparation of Final Test Report and Sign-off 8/09/2016 8/09/2016
Closure

6.0 Features to be tested

 New tabs & fields to be added for individual and entity customer.
 System shall display Clear and meaningful error messages associated with required action/field.
 Add the ‘KYC updated?’
 corporate customer creation process flow will remains as it
 For individual customer has selected ‘PEP/PEP related’ AML Classification, then the profile will
be forwarded to compliance for their approval, and System should send the alert email to
compliance dept. that the account (entities or High AML Risk ) is created
 The solution shall alert the user/customer for ID expired.
 ID expired customer can’t perform any transaction by any channels, and customer will be blocked till change
ID expiry.
 When CR will go live, No IDs will be marked as blocked even if expiry date already passed.
 After one month of CR deployment the ID expiry will be effective and it will give customer to 45 days to
update
 Message(SMS/email) will be sent two times to the client, one SMS 45 days before(configurable) and one
on the date of expiry
 The solution shall alert the user/customer for KYC update
 KYC review requirement will be optional and business user have the rights to enabled/disabled
functionality
 If the current date is greater than the date in ‘KYC review date’, Customer will not be able to perform the
following functions
o Buy
o Subscribe
o Cash Redeem
o Service Subscriptions
 Update KYC for Existing Customer
 All the documents types that will be provide by Customer or signed by should be archived in the system
with the time stamp and version number and later on can be retrieved/viewed
 System will keep track(audit) of # of email & SMS reminders sent to clients for updating KYC and ID expiry
 When KYC is updated previous details should be available for tracking/viewing

7.0 Features not to be tested

 Power of Attorney will be handled in a separate CR.
 Changes to RCOL are covered in separate BRS(CR#330002)

8.0 Resources Roles / Responsibilities

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TEST PLAN

Resource Role Responsibilities

Islam Gouda Kamal
Abduljawad Al-Ghamdi
Mohammed S Alsoor
Abdul Jaffar
Naif Al-Moammar
9.0 Backup and recovery of test data
Systems Tester  Manage the testing process
 Testing
 Contact with related teams for
development, fixing, approval .. etc
Mgr. Brokerage  Business Testing
Services Dept.  Reporting defects
 Business Approval
Mgr. Compliance &  Business Testing
MLC  Reporting defects
 Business Approval
E - Channels  Business Testing
 Reporting defects
 Business Approval
Mgr. Branch  Business Testing
Services  Reporting defects
 Business Approval

10.0 Risk
 Issues faced during testing from the application will increase the time frame of testing
 Delay in delivery of test items might require increasing of the schedule time or to work on
weekends if needed to meet the delivery time.
 Resources capacity.
 Delay in business reports.
 ATM isn’t available in current location.
11.0 Item pass/fail criteria
 Systems send Notification for expired KYC and ID.
 Systems Prevent customer with expired ID to do any action unless modify date
 Systems Prevent customer with expired KYC to use this functions (Buy, Subscribe, Cash Redeem,
Service Subscriptions) by all channels.
 Systems track KYC, and ID changes.

12.0 Facility Requirements

 Access IOMSS, IVR, RCOL, New RCOL, RT extra, Mobile, RCOL litte, ATM, and IOT.

13.0 Observations
 N/A

14.0 Approval
 Approval will be given by the QA manager

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