06.210 User Test Plan-Main V1.0-Revised

User Acceptance Test Plan - Mainframe
Global Securities Technology Technology Delivery Department
PDR 1434
INVEST ONE Annual Release Implementation (07.210)
FUNCTIONAL SPECIFICATION AND

USER ACCEPTANCE TEST PLAN
(Mainframe)
Version 1.0
Global Securities Technology

Prepared by: Michael P. Deasy
Date: May 10, 2007
50215197.doc A Mellon Financial Company Page 1 of 41

TABLE OF CONTENTS
EXECUTIVE SUMMARY........................................................................................4
2.0 SYSTEM AND TEST OVERVIEW....................................................................5

2.1 Background............................................................................................................................................5
2.2 Scope......................................................................................................................................................7
2.3 Objectives...............................................................................................................................................7
2.4 Deployment Characteristics...................................................................................................................7
2.5 Volume Statistics..................................................................................................................................7
2.6 Constraints..............................................................................................................................................7
2.7 Dependencies.........................................................................................................................................7
2.8 Assumptions...........................................................................................................................................7
2.9 Risks.......................................................................................................................................................8
3.0 TEST MANAGEMENT.....................................................................................9

3.1 Organization of the User Acceptance Test Team.................................................................................9
3.2 User Acceptance Testing Environment...............................................................................................10
3.2.1 Testing Strategy...................................................................................................................10
3.2.2 Testing Methodology...........................................................................................................10
3.2.3 Contacts................................................................................................................................10
3.2.4 Problem Reports and Log....................................................................................................10
3.3 Test Schedule......................................................................................................................................10
3.3.1 Structured Testing...............................................................................................................11
3.3.2 Test Phases...........................................................................................................................12
3.4 Acceptance Criteria and Objectives ...................................................................................................12
3.5 Completion Criteria............................................................................................................................12
4.0 SET-UP AND EXECUTION PROCEDURES.................................................13

4.1 Test Setup Procedures.........................................................................................................................13
4.2 Test Execution Procedures................................................................................................................13
4.3 Error Correction and Reporting.........................................................................................................13
5.0 TESTING DETAILS.......................................................................................14

5.1 Regression Testing ..............................................................................................................................14
5.2 Regression Test Scenarios..................................................................................................................15
General System Processing...........................................................................................................15
Trades............................................................................................................................................16
Securities Processing....................................................................................................................17
Reports..........................................................................................................................................19
Pricing...........................................................................................................................................22
SSR................................................................................................................................................23
CIBC Mellon - Apollo..................................................................................................................23
CIBC Mellon – Invest One Enhancements..................................................................................25
5.3 New Release Features..........................................................................................................................26
Release 06.210..............................................................................................................................26
General Enhancements......................................................................................................26
General Ledger ................................................................................................................28
Pooled Funds.....................................................................................................................28
GCR...................................................................................................................................28
Pricing................................................................................................................................28
Messaging..........................................................................................................................29

SPECTRA Enhancements.................................................................................................29
New/Changed Screens.......................................................................................................30
Transaction Codes, Class Codes, Routing Codes and Files ............................................32
Inbound Messages.............................................................................................................33
Standard Extract Records..................................................................................................33
Release 06.030..............................................................................................................................33
General Enhancements......................................................................................................33
Dual Accounting/Multiple Book Accounting ..................................................................34
General Ledger..................................................................................................................34
Separate Accounts.............................................................................................................34
Global Client Reporting....................................................................................................35
Pooled Funds ....................................................................................................................35
Pricing................................................................................................................................35
Multi-Class........................................................................................................................36
Spectra and EDW Enhancements.....................................................................................36
Screens...............................................................................................................................36
Transaction Codes, Class Codes, Routing Codes and Files.............................................38
Inbound Messages.............................................................................................................38
Standard Extract Records..................................................................................................38
Maintenance Memos.....................................................................................................................39
APPENDIX A: PROBLEM LOG & FORM.........................................................40

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 Background
Mellon 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 Description
INVEST 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 screens
Optional 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)
Internal 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

Component Description
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 Objectives
The 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
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

3.0 TEST MANAGEMENT
3.1 Organization of the User Acceptance Test Team
Roles and Responsibilities
Role Name Responsibilities

Testers CIBC Mellon: *Paul Wilkins, Brenda - Identify detailed test data
Montgomery, Pattie Persaud, Shilpa - Conduct testing
Savla, Felisa Espedido, Cory Shannon, - Record and report test results
Kathy Kenny, Trisha Gaskin, Margo - Retest as necessary
Mould, John Orzel (cc only), Brent - Coordinate all UAT activities with the Business
Dietrich (cc only), Analyst
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.
Test Approval Margaret Barrett - Review, provide approval sign-off on User

Sandy MacDonald Acceptance Testing (UAT) plan and results
Adam Stevens - Assist with issue resolution as needed
Karen Nussbaum - Support the UAT team’s efforts
Business Michael Deasy - Coordinate all test activities with each Business
Analysts George Bolanis (Apollo) Unit and Technical Team
Hardin Lynn, Business Analyst - Monitor UAT progress
Manager - Manage testing issues
- Assess/resolve testing problems
- Obtain approval sign off

Role Name Responsibilities
Systems Pam Caughey, Project Manager and - Coordinate all test activities, run jobs with the
Analysts Technical Manager Business Analyst
Patty Hughes, Technical Team Leader - Maintain and monitor test environment
Katie Doyle - Monitor UAT progress
Richard Marshall - Manage technical testing issues, coordinate with
John Sandonas Technical Team
Dave Faletto (Apollo) - Assess/resolve testing problems
Programmers Katie Doyle - Execute interface run jobs
Richard Marshall - Address and resolve technical issues
John Sandonas - Assess/resolve testing problems
Dave Faletto (Apollo)
3.2 User Acceptance Testing Environment
3.2.1 Testing Strategy

The 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 Methodology

Global 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 Contacts
Each 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 Log

Any 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 Schedule

Prior 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 Phases
Testing 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 Criteria

As 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 Reporting

Any 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

Verification User CIBC Corp. Fund Mellon
Scenario Function or Process Tool Bank Expected & Actual Results Mellon Actions Valuation Cap
R1 Verify access to system FUND, Expected: Ability to access INVEST ONE. D6 X X
VSAS Actual:
R2 Verify Chop and user bank/ CHOP, Expected: Ability to change user banks. X X
account inquiry capabilities VSAS Actual: D6
R3 Verify security assigned to chop CHOP, Expected: Chop security access matches access on X X
codes are still active VSAS, the Pittsburgh mainframe (i.e., view, add, modify, D6
AAAD etc.).
Actual:
R4 Verify restored data Various Expected: Restored data in the system matches X X
Screens production. D6
Actual:
R5 Opening Fund AAIN Expected: Ability to create a new date period X X

Actual: D6
R6 Closing Fund AAUV Expected: Additional data cannot be entered to the X X

assign date. D6
Actual:
R7 Move Verification Date Back AAUV Expected: Closed periods can be opened. X X
Actual: D6
R8 Open a new period AARS Expected: A new period can be opened. X X

Actual: D6
R9 Batch Generator VSDT Expected: This screen generates the correct D6 X

transactions.
Actual:

R10 Data, including NAV, on the ANCF, Expected: Data verified. X X
following screens should be AAVB, Actual:
verified. EQUITY,
INVS,
STAS,
INGL,
DANA
R11 Account Valuation balances AAVB2 Expected: Futures processing verified. X X
Actual:
R12 GNMA generation and reporting BGGG Expected: Paydowns are pulled in. X X
Actual:
R13 New security setup STST Expected: Functionality remains unchanged. X X

Actual: D6
R14 Multi-share patch (Fund Valuation Expected: Functionality remains unchanged. X

only) Actual:
R15 Unit CUSIPs and expense CUSIPs Expected: Functionality remains unchanged. X X
Actual: D6
Trades

R16 Trade Tickets-Buy, Sell, Paydown DETD, Expected: Trades can be manually entered from X X
DEFT trade tickets. D6
Actual:
R17 Rbuy, Rsell DARV, Expected: Trades can be reversed and corrected, X X
DATD, deleted. D6
DDTD Actual:
R18 Buy, Sell 6133 job Expected: Trades can be entered via batch job 6133. X
Actual:
R19 Intraday Trade Capture BOBD, Expected: Intraday trade entry can be verified in X
BOSB INVEST ONE.
Actual:

R20 Overnight trade capture VSTD Expected: Overnight trade entry can be verified in D6 X
INVEST ONE.
Actual:
R21 SEI trade testing AAIN, Expected: SEI trades can be verified in INVEST X
VSTD ONE.
Actual:
Securities Processing

R22 Dividends DECR Expected: Dividends can be verified. D6 X X
Actual:
R23 Corporate Actions DECORP Expected: Corporate actions can be verified. D6 X X

Actual:
R24 Verify Transaction Generator BGTG, Expected: This screen generates the correct X X X
VSDT transactions.
Actual:
R25 Variable Rates DECR, Expected: Variable rates can be modified and X X
DEBE verified.
Actual:
R26 Verify Income/ Amortization Use income Expected: Required information is available and X X
and amort can be verified in INVEST ONE. SPECTRA can
reports in access the correct information.
SPECTRA Actual:
R27 Currency Contracts DECCT Expected: Currency contracts can be manually X

entered. D6
Actual:

R28 Rate Changes DAHO Expected: Variable rates can be modified and X
verified. D6
Actual:
R29 Unit Activity DETD Expected: Unit activity can be entered or modified. X X
Actual: D6
R30 International Dividends DECR Expected: International dividends can be entered. X X

Actual: D6
R31 International Exchange Rates DECX Expected: Foreign exchange rates can be entered X
and adjusted. D6
Actual:
R32 Balancing Financials STAS, Expected: Transactions and NAV are properly X X
STAL, reflected on the financials. D6
GLSTAS, Actual:
INGL,
GLINGL,
UNUV,
EQUITY,
INVS
R33 Price Sweep AAPS Expected: The same securities are listed on the X X
AAPS screen as being missing in both test and D6
production.
Actual:
R34 Un-run and re-run BGTG generator BGTG Expected: The system backs off collections and X X
to un-post and re-post corrected (if splits and then subsequently reposts corrected (if
necessary) stock dividends, splits necessary) collections and splits when generator is
and cash dividend collections for re-run.
stock funds, and bond interest Actual:
collections.
R35 Generate daily marks to market BGVMG Expected: The system calculates the correct X X
using the BGVMG screen and variation margin for all future contracts held in the
verify mark to market calculated fund.
back to Mellon Capital database Actual:

R36 Global Translator GLTR Expected: The system correctly translates local to X
base currency. D6
Actual:
R37 Use BGTGDL screen to un-post BGTGDL Expected: Transaction generator delete X X
entries Actual:
R38 Verify Cash activity ANCF Expected: Cash activity is posted correctly. X
Actual: D6
R39 Balancing Face INVS Expected: Required information is available on X

INVEST ONE. D6
Actual:
Reports

R40 SEI Face Report TSO – Ad Expected: Report matches to production X
Hoc job Actual:
R41 Generate the following INVEST PARM Expected: Generated reports reconcile to X X
ONE domestic and international reports production; any differences can be explained.
PARM reports: R014, RO54, Actual:
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.
R42 Run the following report in SPECTRA Expected: SPECTRA generated reports reconcile to X X
SPECTRA: earnings, buys, sales, reports production; any differences can be explained.
ending accrual (bond fund only) Actual:
and market

R43 SPECTRA SPECTRA Expected: Overall system functionality remains X X
reports unchanged, with the exception of new release items.
Actual:
R44 GCR Reporting AARR, Expected: GCR reports reconcile to production; any D6 X
AARA, differences can be explained.
Fund Valuation and/or CIBC AAWG, Actual:
Mellon: Include sending report AASR,
output to file via AASR – AAOP
Output=B or C. Implemented for
selected userbanks.
CIBC Mellon: Include French

statements.
R45 Ad Hoc Reporting Ad Hoc Expected: Ad Hoc reports reconcile to production; X
reports any differences can be explained.
Note: Testing should include the Actual:
non-production job that pulls data
for the Omega Tax Reporting
System.
R46 FOMI Reporting FOMI Expected: FOMI reports reconcile to production; X
reports any differences can be explained.
Actual:
R47 Manual Pricing DEPR Expected: Securities can be manually priced. X X
Actual: D6
R48 Applying Pricing, Exchange Rates MU0, Expected: Prices and exchange rates are applied to X X
AAPS, the user banks.
DECX Actual:
R49 Applying Overnight Batch Pricing; MU0, Expected: Overnight batch prices and exchange D6 X
Exchange Rates VSPS, rates are applied to the user banks.
DECX Actual:

R50 PricewaterhouseCooper (PwC) Screen Expected: Data on the file produced for PwC in X X
reports for accounts with fiscal year prints from UAT matches the file produced from Production.
end production Actual:
Note: A report can be run for any (a report for
month-end date from the previous the same
December 31 on. date can be
Global Securities Technology run in
(GST) will run the reports using production
criteria supplied by the business. to compare
to the report
run for
UAT)
R51 PIMCO: Expected: Data is as expected. X
• three inbound trade files Actual:
(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.
R52 INVEST ONE Online Delivery Excel Expected: In a spot check of data for selected X
Note: The implementation of spreadsheets accounts, the data on the spreadsheets agree with the
INVEST ONE Online Delivery prepared by online data.
(formerly known as “One Link”) is GST and Actual:
proceeding as an independent online
project. Only very high-level screens
checks will be performed this year.
The Business Analyst will closely
coordinate the testing with the GST
team and the Business Units.

Pricing

R53 Verify the downloaded prices by DANA Expected: The same prices were entered into the X
comparing the prices available on system in both production and test and are consistent D6
the DANA screen in production and in the securities sample.
test for a sampling of securities in Actual:
each fund.
R54 Verify that the stock prices MU2 Expected: The jobs process through TSO X
received from MCM, uploaded to successfully and apply the prices correctly in
TSO and dumped into INVEST INVEST ONE.
ONE using the 6210 job in TSO are Actual:
processed in TSO successfully and
are applied correctly in INVEST
ONE (use MU2 screen to apply
stock and bond prices) Note: This is an MCM scenario.
R55 Post future prices to INVEST ONE DEPS Expected: Future prices are entered and applied X X
using the DEPS screen correctly in INVEST ONE. D6
Actual:
R56 Pricing Verification SPECTRA, Expected: SPECTRA reports and the BGEX Ad X X
BGEX Ad Hoc report are available and function correctly.
Mellon Cap and CIBC Mellon Hoc report Actual:
(C5): Include stale pricing.
R58 Hierarchical Pricing for Multiple DANA, Expected: Prices are applied correctly. D6 X
Pricing Feeds (added in 01.270 in VSPR, Actual:
2002; MCM began using in March VSPS,
2004). Entered on AAFP. Hierarchical
Compare
Report
(R189)
R59 Hierarchical Pricing Account DANA, Expected: Prices are applied correctly.
Override. Entered on HPAO. VSPR, Actual:
VSPS
R60 Yield calculation (to be based on UNUV, Unit Expected: Yields are calculated correctly. X
366 days in leap year). Applies Income and Actual:
only to Fund Valuation. Unit
Valuation
Report
(R064)

R61 Fair Value Pricing for CIBC Expected: Prices are applied correctly.
Mellon: Actual:
R62 Stale Pricing for MCM and CIBC VSPR Expected: Prices are applied correctly. Z1 stale
Mellon (C5 user bank) pricing indicator is present when appropriate
Actual:
SSR

R63 Produce SSR files, review accounts SSR Expected: SSR accounts reconcile correctly.
(to be tested by SSR) Actual:
R64 SSR Enhancements: Change and SSR

Delete Transactions
CIBC Mellon - Apollo

R64.1 Regression test of Browser CUI Expected: Apollo
Actual:
R64.2 Regression test of Browser Will be able to request any and all templates without
Reporting issue for daily reporting
R64.3 Regression test of Process Mgr/Rpt Will be able to create, edit and delete processes.
Packaging Will be able to run processes/packages as well as
schedule recurring processes.
R64.4 Regression test of Engine Reports
R64.5 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 Options
R64.11 R102 GL Profit and Loss Transaction analysis pulls 4 new spectra data items
to match 102
R64.12 Corporate Action Analysis Report Verify new CFD (Contracts for Difference) field
(pg 2 release notes)
R64.13 Pooled Funds - Auto Reinvestment Batch reports 79 & 92 modified to report Investment
of Income trom TLFs to Pools Payable & Invest menet Receivable separately
R64.14 Multi-Class Currency Hedging @ R 118, 126, 127, 129 have been modified. New
Class Level parm 44Y added: sort by currency, long/short and
then class

CIBC Mellon – Invest One Enhancements
R65 Dual Accounting – Run user submit Expected: Transactions post to target account
jobs to post transactions to target appropriately
account including reversal Actual:
transactions
R66 GL Generator for C5 User Bank – Expected:
Run GL Generator for C5 user bank Actual:
R67 NAV Transmissions – Set up Expected: Review output job results

control tables for Fund Serv, Fund Actual:
Data, and Corfax. Initiate srstat
jobs, run job to create output
reports.
R68 Add Security Cross-References & STAD, Expected:
MT Description – ISIN, SEDOL, STSS, Actual:
CUSIP/CINS, TICKER fields are STDE,
being populated on Invest One FUDE,
from CMS security add feed. MT BODE, and
description is being populated in OPDE
Invest One.
R69 MAS Enhancements – MAS D AAUD Expected: Review output job results
Indicator on AAUD screen Actual:
R70 Fund Distribution Generator – Expected:

Canadian Distribution Module Actual:
R71 RK Unit Holder - automate the file Expected:

delivery and data processing of the Actual:
five unit holder record keepers for
the current capital stock process
R72 Swift - SWIFT MT535 messaging Expected:
capability to support the CIBC Actual:
Mellon IAS daily clients converting
to Invest One

5.3 New Release Features
Each 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

CIBC Corp. Fund Mellon
Scenario Function or Process Test Case Actual Results Mellon Actions Valuation Cap
A.1.1 Allow for DESO Changes to be X

recognized by INGL and
EQUITY
A.1.2 Discount Note Accrual Methods D6 X (may
T/N, Yield, Discount Rate, test)
Price and Duration
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

A.1.6 Increase Size of DAYS Field on X

DEFX
A.1.7 Allow Cross Reference Records X
to Remain after Transactions
are Deleted
A.1.8 Introduce Limited Sweep X
A.1.9 Income Processing - Income Apoll
Trust Units o
A.1.10 New DTR Reconciliation Apoll

Report: R169 o
A.1.11 Permit Purchased/Sold Interest D6 X

for Credit Default, Currency,
and Interest Rate Swaps
A.1.12 Accrue, Calculate and Post D6 X
Interest on the Non-Index Leg
of a Total Return Swap
Reversal and Rebook
A.1.13 D6 X
Processing for Swaps
Apoll
o
Pending Trade Processing for
A.1.14 D6 X
Swaps
Provide "Sort By" Parameter
A.1.15 Apoll X
Options for the R114 o

General Ledger
A.2.1 Increase Access to R102 Profit Apoll

and Loss Data o
Pooled Funds
A.3.1 Eliminate Non - Business Days

for Pooling
GCR
A.4.1 Add Memo Number of MTM+/-

C to CREX 998T Futures Close
Transactions
Pricing
A.5.1 Negative Prices for Credit D6 X

Default Swaps on IDC3B
Pricing Feed

Messaging
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
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 Apoll
Codes for Weekend Accrual o
Methodology
Spectra Codes Added to
A.7.4 Apoll
Represent Variable Rate Data o
(Prior Rate and Prior Date)
Multi-Period Spectra Data Item

A.7.5 for Earned Expense

Concatenate Account Number
A.7.6 Apoll
and Share Class Number in o
Fund Trend Analysis
Batch Spectra to Allow
A.7.7 D6
Different Dates with Different
Accounts in the Same Run
Report NAV Impact Market
A.7.8
Value Change in EMS
Create Spectra Data Items for
A.7.9 Apoll
Dual Priced Funds o
Spectra Modules and Codes
A.7.10 D6
Apoll
o
New/Changed Screens
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 View
DEINTR - Income Trust
Distribution
DAINTR, VSINTR, DDINTR -
Income Trust Distribution
A.8.1.2 Changed Screens: The test will consist only of verifying
DARC, DETE, TRN7, UTDADT -
Trade Entry

DATE, DETY, DDTE, PDETY,
TRN8, UTDATE, VSTE -
Trade Correction
MDCC, MDCU, VSCU -
Currency Definition
DEFX, DAFX, DDFX,VSFX -
Foreign Exchange Rates
DEPS, DAPS,VSPS - Price X
Scan
DEPSE, DAPSE, VSPSE - Price
Scan II
DEPS5, DAPS5, VSPS5 - Price
Scan V
DEPC, DAPC, VSPC -
Collateral Price Input
SECEX2 - Scty Exposure Inq II
DEPSUT, DAPSUT, VSPSUT -
Unit Trust Price Scan
MULTBK - Multiple Book
Accounting
PLP - Position Level Pricing
DECDSO - Credit Dflt Swap
Open Trans
DACDSO - Credit Dflt Swap
Open Trans
AAMF, AAMF1, ACTA -
Account Definition II – More
Features
DECSWO - Currency Swap
Open Entry
DACSWO, DDCSWO,
VSCSWO - Currency Swap
Trans Entry
SCT2, SASS, STSS, STSSI -
Security Definition – Stock
DEIRS - Swap Transaction
Entry – Add

DAIRS - Swap Transaction
Entry – Change
DACSWC, DDCSWC,
VSCSWC - Currency Swap
Transactions
DETRS - Total Return Swap
Entry
DATRS, DDTRS, VSTRS - Total
Return Swap Entry
DACDSC, DDCDSC, VSCDSC
- Credit Default Swap Close
AAFS, ACT7 - Orig Face
Position Recon
AAUV - 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,
details
A.8.2.3 Changed Class Codes Transaction Codes, Class Codes,
details

A.8.2.1 New Transaction Codes Transaction Codes, Class Codes,
details
A.8.2.4 Changed Report Routing Codes Transaction Codes, Class Codes,
details
Inbound Messages
A.8.3 Inbound Messages
Standard Extract Records

A.8.4 Standard Extract Records
Release 06.030
General Enhancements
B.1.1 Edit Check X X X

Overselling/Overcovers
B.1.2 Display Effective Yield on D6
Floating Rate Notes (CIBC
Mellon D6 will test)
B.1.3 New Equity Future Type: Apoll
Contracts for Difference o
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

B.2.1 Simplify Access To Source and

Target User Banks (MELLON
DOES NOT HAVE DA/MBA
MODULES)
General Ledger
B.3.1 General Ledger P-Rules

Enabled for Class Level of an M
account in MM/MCS
Separate Accounts
B.4.1 Allow Conversion to MCS of

existing Non-MCS Separate
Account Mutual Funds

Global Client Reporting
B.5.1 Enhance CREX 998T Extract to

allow Truncation
Pooled Funds
B.6.1 Automatic Reinvestment of D6

Income from TLFs to Pools Apoll
o
B.6.2 Make Pool Lot Data Extractable
to Top Level Funds
B.6.3 Simultaneous Long/Short
Positions Processing for Pools
and TLFs
Pricing
B.7.1 Automate Conversion of X

Forward Currency Rates to
Exchange Rates
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
B.8.1 Allow Currency Hedging at Apoll

Class Level o
Spectra and EDW Enhancements

B.9.1 OLE Percentages Extract Codes D6

for Spectra/Browser Spectra Apoll
o
B.9.2 Add TIIS Fields to EDW
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
B.10.1.1 New Screens: The test will consist only of verifying
MBAOP - Source / Target Bank
FDSL/I1SPP - Spectra / Load

B.10.1.2 Changed Screens The test will consist only of verifying Apoll
that the screen is available. If after o
US00
GLOS
SVEQ
DACL,DECL,DDCL,VSCL
CLCEQ
DACCT, DDCCT, VSCCT
DECCT
DARVC
DACCL
VSR1
VSRP
VSCCL
PARMSY
VSPH
VSPHDA
AARC
AAUV
VSVB3
FUSF
RPTRSL
VSVB9
SECEX3
DASWAS

Transaction Codes, Class Codes, Routing Codes and Files

B.10.2.1 New Transaction Codes: Transaction Codes, Class Codes,
details
B.10.2.2 New Class Codes Transaction Codes, Class Codes,
details
B.10.2.3 Changed Report Routing Codes Transaction Codes, Class Codes,
details
Inbound Messages

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

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

Maintenance Memos
MM1 MM# 12747: R113 report: The R113 report Expected Result: The global R113 report should not X
global report will show the words show ‘Sorted by Income Category’ at the top of the
“Sorted by Income Category” at the report when the default option is used.
top of the report whether it was
ordered with the default or with the
sort option. PS log #354
MM2 MM#12710: Cannot change AAAD Expected Result: On AAAD, change amort to call X
AAAD amort to call to either K or screen to K or L if OID is 3 or 4.
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.
MM3 MM#12790: Reversal descriptions Apollo Expected Result: Reversal descriptions work Apollo
are not working. Apollo issue #101 properly on 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.
Reported By System Date

Issue Date Name/Business Priority Business Test Date Re- Date
No. Status Reported Group H/M/L Function Date Problem Resolution Fixed tested Closed

Problem Notification Form
User Acceptance Testing
PDR 1434
INVEST ONE Release 06.210 Implementation
Defect Date
Number Submitted Submitted By Phone Number Department
Date Problem Occurred
Criticality
User Bank(s)
Account Number(s) or
Security Number(s), if
applicable
Problem 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.

06.210 User Test Plan-Main V1.0-Revised

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User Acceptance Test Plan - Mainframe

Global Securities Technology Technology Delivery Department

FUNCTIONAL SPECIFICATION AND

Global Securities Technology

50215197.doc A Mellon Financial Company Page 1 of 41

2.0 SYSTEM AND TEST OVERVIEW....................................................................5

3.0 TEST MANAGEMENT.....................................................................................9

4.0 SET-UP AND EXECUTION PROCEDURES.................................................13

5.0 TESTING DETAILS.......................................................................................14

50215197.doc A Mellon Financial Company Page 2 of 41

APPENDIX A: PROBLEM LOG & FORM.........................................................40

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50215197.doc A Mellon Financial Company Page 4 of 41

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2.4 Deployment Characteristics

2.5 Volume Statistics

50215197.doc A Mellon Financial Company Page 7 of 41

50215197.doc A Mellon Financial Company Page 8 of 41

3.1 Organization of the User Acceptance Test Team

Roles and Responsibilities

Role Name Responsibilities

Corporate Actions Accounting: *Mark

GSS Fund Valuation: *John Nastal,

Mellon Cap Mgmt: *Diana

GSS Global Pricing: Maureen

Mellon Analytical Solutions

Note: GSS Christian Brothers, GSS

Test Approval Margaret Barrett - Review, provide approval sign-off on User

50215197.doc A Mellon Financial Company Page 9 of 41

3.2 User Acceptance Testing Environment

3.2.1 Testing Strategy

3.2.2 Testing Methodology

3.2.4 Problem Reports and Log

3.3 Test Schedule

50215197.doc A Mellon Financial Company Page 10 of 41

3.3.1 Structured Testing

50215197.doc A Mellon Financial Company Page 11 of 41

3.4 Acceptance Criteria and Objectives

3.5 Completion Criteria

50215197.doc A Mellon Financial Company Page 12 of 41

4.1 Test Setup Procedures

4.2 Test Execution Procedures

4.3 Error Correction and Reporting

50215197.doc A Mellon Financial Company Page 13 of 41

5.1 Regression Testing

Notes on the columns in the following charts:

50215197.doc A Mellon Financial Company Page 14 of 41

General System Processing

Business Unit(s) Testing the Item

R5 Opening Fund AAIN Expected: Ability to create a new date period X X

R6 Closing Fund AAUV Expected: Additional data cannot be entered to the X X

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

R9 Batch Generator VSDT Expected: This screen generates the correct D6 X

50215197.doc A Mellon Financial Company Page 15 of 41

R13 New security setup STST Expected: Functionality remains unchanged. X X

R14 Multi-share patch (Fund Valuation Expected: Functionality remains unchanged. X

Business Unit(s) Testing the Item

50215197.doc A Mellon Financial Company Page 16 of 41

Business Unit(s) Testing the Item

R23 Corporate Actions DECORP Expected: Corporate actions can be verified. D6 X X

R27 Currency Contracts DECCT Expected: Currency contracts can be manually X