WHITE PAPER
Why Banks Need a Test Strategy and a Test Plan
Jennifer Biewer
FIS Consulting Services
Why Banks Need a Test Strategy and a Test Plan
WHITE PAPER
Introduction
Tough economic times and competitive conditions require financial institutions to make product development
investments with constrained resources. Banks may never have all the dedicated quality assurance (QA)
resources necessary to test new solutions as completely as they would like. Therefore, they must be highly
efficient with the QA resources they do have.
One of the best ways to ensure efficient QA performance is to provide quality assurance and IT resources with a
well-constructed test strategy combined with a thorough test plan. This paper will highlight the importance and
differences between these two crucial quality assurance documents. The individuals responsible for writing and
working with each QA tool will be described, and then a case study will demonstrate how both a test strategy and
a test plan lead to successful development initiatives within financial institutions.
Your bank may have skilled QA resources and proven methodologies, but this paper will focus specifically on how
a comprehensive strategy can govern and complement an effective test plan.
Test Strategy and Test Plan Defined
Bankers often have a hard time distinguishing between strategies and plans, but one can’t exist without the other.
Plans are concrete while strategy documents provide vision and governance. In the IT world a test strategy
defines the quality assurance activities to be performed during the software lifecycle. It describes the
responsibilities and authorities for accomplishing software quality assurance activities, and identifies the required
coordination of those activities with other activities within a project.1
A test plan, on the other hand, describes the plans for quality testing of software applications and software
systems. It describes the software test environment to be used for the testing, identifies the tests to be performed
and provides schedules for test activities.2
The Critical Differences
The test strategy is a governance document that helps stakeholders, project and program management, and
other team members understand the approach to follow in meeting testing objectives. The value of the test
strategy isn’t in the wording or the format of the document; it is in the formalizing of the approach for testing and
documenting it. It brings all parties to a common understanding of the efforts and responsibilities needed
to be planned.
1
2
International Organization for Standards, Software Lifecycle Process, August 1995
ibid
2
Why Banks Need a Test Strategy and a Test Plan
WHITE PAPER
The test plan provides a more detailed understanding of a test strategy. It describes the testing activities and
workflows to be implemented in a detailed and systematic manner. The following table provides an overview of
some of the key distinguishing points between a test strategy and a test plan.
Test Strategy
Test Plan
Purpose
Governance and ownership assigned
defines approaches
Defines scope of testing including what
functionality will be tested
Test
Approach
Defines test approach for each phase
within the strategy: SIT, UAT,
performance testing, etc.
Covers when specific testing
techniques will be employed, e.g.,
regression testing, data validation,
test limits, etc.
Timing
Defines entry, exit and acceptance
criteria for test phases
Provides testing schedule and calendar
to stage specific activities
Deliverables
Include
Test communications, reporting and
metrics, allocation release plan, defect
management and approach for
change requests
Reference to test scripts, documents
existing testing constraints, defines
defect levels and test criteria
Other
Defines testing terminology and
testing objectives
Different types of test plans, for
integrated testing, application testing,
systems testing, etc.
Relationship of the Test Strategy to the Test Plan
The test strategy and test plan are interdependent documents. The strategy should lay the groundwork for the
tactics within the plan. The plan should support the program objectives articulated in the strategy. Given that it is a
higher level document, the test strategy should be created before the test plan. Early on in a development
initiative, it is important to define who will perform QA testing and who is responsible for critical test activities.
The test strategy is not a substitute for a test plan. The bank’s goals and objectives are covered in the strategy.
Once those are understood, the tactical plans support the goals and objectives.
These tactical plans may change and conform to new requirements within a program or project. Test plans are
more dynamic than test strategies in a software development effort. Test plans reflect changes and timing
requirements in the program, changes in test strategy documents are much less frequent.
The test strategy governs the test plan. As such, the two documents should remain separate. This clean break
helps program stakeholders better understand the responsibilities and the tactics of the QA testing efforts.
3
Why Banks Need a Test Strategy and a Test Plan
WHITE PAPER
Test Strategy Relationship to Test Plan
Test Strategy



Objectives
Governance
Communications Plan
Guides
the
Test Plan



Tactics
Schedule
Constraints
Who is Responsible and Who Uses the Documents?
The test strategy is a broad document that the program manager or the senior QA manager will compose in the
case of a large initiative. The test plan, containing more specific details, can be written by the QA lead or by a
senior QA analyst. The test plan requires an author familiar with test processes, outcomes and expectations.
Documents are signed off by individuals involved in project or program management, business team leads,
development team leads, IT administration and bank executive management. Summary of review changes should
be tracked at the beginning of each document along with approver name, date and comment. The test plan,
containing more specific details, will become a more dynamic document and likely change more frequently than
the test strategy. It’s a living document that will be continuously reviewed and updated with testing
process enhancements.
Only one individual should write and be responsible for the test strategy and test plan. This person will need to
understand the purpose and content of the strategy and plan and treat them as distinctly different tools.
Timing of the Documents
The test strategy is written well before the test plan. As the governance document, it provides the framework for
the more detailed test plan. The business requirements should be known prior to the test strategy’s completion.
The test plan should be written after completion of the more detailed solution definition and design documents
are completed.
Case Study – Test Strategy Complementing a Test Plan
A global financial services provider worked with FISTM Technology Consulting during the initiation of a new
program to build a comprehensive test strategy, which in turn guided test plan development. Together FIS QA
experts and the client reviewed processes, first to develop a QA test and acceptance strategy, and then
to develop the detailed test plans.
4
Why Banks Need a Test Strategy and a Test Plan
WHITE PAPER
Developing the Test Strategy
In developing the test strategy, the team had in-depth discussions regarding the program organization structure,
various test phases, and QA terminology. All parties involved established common ground in order to move
forward together. Once the test phases became clear, an overall milestone schedule was defined. Important
elements of the test strategy included:

A plan for how to handle change requests

A plan for how to determine data needs

What test plans would be written for the specific phases of the program
Third-Party Complexity
This was a very complex program, as testing with several outside parties had to be coordinated, as well as testing
within multiple teams at FIS and the client. From a testing perspective, the test strategy helped govern the many
moving program components. The participating third parties and FIS agreed on the base expectations of quality
to be met as defined by the client.
Test Strategy Guides Test Plan Development
The test and acceptance strategy was endorsed by program leadership as the principle guiding document
for testing throughout the entire program. Following the test strategy completion, the next phase focused on the
actual testing detail. FIS teams wrote detailed test plans, including an Integrated plan which covered aspects
of end-to-end testing between FIS, the client and the third parties.
Test Plan Focused on Requirements
During development of the test plans, the team zeroed in on the business requirements, the scope of the program
and how each requirement would be tested. If, due to constraints, a requirement could not be tested in one phase,
it was addressed in other testing phases. The test plan documented the risks and mitigations associated with
the program.
The Timing of the Test Strategy Versus Test Plans
Program leadership made key decisions on test timing and components of the end-to-end testing process.
They dealt with detailed questions during test plan development. It should be noted that most of a program’s
specific details are usually not known early in the program because requirements and designs have not been
completed. Thus, it was critical to the program’s success to first build a comprehensive test strategy that could
then be utilized prior to the development of the test plans. It was important to communicate early in the program
that there were two distinct phases of testing, so program stakeholders did not feel that 'something was missing',
or that the 'the test plan is insufficient'.
5
Why Banks Need a Test Strategy and a Test Plan
WHITE PAPER
Delivering the Goods
How did the test strategy and test plans work out for this client? The program was a resounding success.
The program’s executive sponsor sent out the following email in wrapping up the initiative:
“Before the entire implementation team winds down, I want to congratulate you
all on a job well done! This was a massive undertaking complete with twists,
turns, ups, downs and potential financial penalties.
The client has been delighted with the results. We, too, are very pleased.
Clearly the effort and process refinement paid dividends. The defect backlog is
very low and integrity errors are in check. After the code load today there will
be 34 defects and no integrity errors. Excellent!”
Summary
Trying to achieve any level of testing detail at the beginning of the program can be futile and very difficult.
It is important for program stakeholders to clearly understand the difference between these two quality assurance
deliverables – the test strategy and the test plan. The test strategy provides a framework that contributes to
making the program governance clear and defined. The test plan provides guidance that defines how and when
specific testing activities are to be accomplished. You can’t have one without the other.
Contact Us
For more information on QA test strategies and test plans, contact FIS Consulting Services at
800-822-6758 or visit fisglobal.com.
6
©2017 FIS and/or its subsidiaries. All Rights Reserved.