Business Control Control Control

Sub Process Risk Number Risk Name Control number Control Name Control Type Description Control Owner SOX In Scope
Process Frequency Automation Assertions
Data migration Project planning RXXX1 The objectives and strategy of the data migration are not clear to the project C01 The migration P Adhoc Manual 0 The migration charter is created according to the principles of the 0 N
& Organization team members charter adheres to generic Project Management Methodology.
the principles of the
Project
management
methodology
Data migration Project planning RXXX1 The objectives and strategy of the data migration are not clear to the project C02 A project charter is P Adhoc Manual 0 A Migration charter is established at the start of the migration project. 0 N
& Organization team members established and This charter outlines at least following topics:
approved at the 1. Aims and objectives of the data migration project
start of the 2. Scope and rationalization on any exclusions
migration project. 3. Nature of migration project
4. Assign data ownership to appropriate business responsible
5. Identify tools to be used
6. Assign roles and responsibilities
7. Planning of tasks
8. Document constraints, risks and dependencies
This charter is approved by the project steering committee.

Data migration Project planning RXXX1 The objectives and strategy of the data migration are not clear to the project C06 The approved P Adhoc Manual 0 After approval the Migration charter is communicated to the project 0 N
& Organization team members Migration Charter is team members.
communicated to
the project team.

Data migration Project planning RXXX2
& Organization
Responsibilities are not clearly assigned within the migration team C02 A project charter is P Adhoc Manual 0 A Migration charter is established at the start of the migration project. 0 N
established and This charter outlines at least following topics:
approved at the 1. Aims and objectives of the data migration project
start of the 2. Scope and rationalization on any exclusions
migration project. 3. Nature of migration project
4. Assign data ownership to appropriate business responsible
5. Identify tools to be used
6. Assign roles and responsibilities
7. Planning of tasks
8. Document constraints, risks and dependencies
This charter is approved by the project steering committee.

Data migration Project planning RXXX2 Responsibilities are not clearly assigned within the migration team C06 The approved P Adhoc Manual 0 After approval the Migration charter is communicated to the project 0 N
& Organization Migration Charter is team members.
communicated to
the project team.

Data migration Project planning RXXX3 Ownership of data is assigned to the wrong persons or departments C03 The ownership of P Adhoc Manual 0 In the Migration charter the ownership of data is assigned to the 0 Y
& Organization data is assigned to impacted business responsibles.
the business
Data migration Project planning RXXX4 The tools used to extract, modify and upload data do not ensure the accuracy C04 Approved tooling is P Adhoc Automatic 0 The IT department selects a number of tools to be used during data 0 N
& Organization and completeness of the data. used for data migrations. These tools are tested and approved for use by IT and
migrations business management. Whenever the approved tooling kit can not be
used, the use of alternative tools is documented in the project charter
and testing of the alternative tools is performed.
Data migration Project planning RXXX5 Data contained in the source system is lost C05 Data Owners P Adhoc Manual 0 The steering committee decides on the approach that needs to be 0 N
& Organization decide on the taken towards the source system and its data:
approach for source - can the data be removed
system and source - must the data be archived for a defined period
data - must the source system continue to run for a defined period
This decision is documented in the Migration Charter
Data migration Data RXXX5 Data contained in the source system is lost C07 A description is P Adhoc IT dependent 0 The IT project team establishes a formal description of the data 0 Y
Identification & made of the Source structure in the source system. This description clarifies:
Preparation Data Model - the fieldnames used
- the size of each field
- the format of the field
- the meta-data store
- the meaning
- the relationships to other data
- the origin
- the usage of the data
-…

Data migration Data RXXX5 Data contained in the source system is lost C08 A description is P Adhoc IT dependent 0 The IT project team establish a formal description of the data structure 0 Y
Identification & made of the Target in the target system. This description clarifies:
Preparation Data Model - the fieldnames used
- the size of each field
- the format of the field
- the meta-data store
- the meaning
- the relationships to other data
- the origin
- the usage of the data
-…
Data migration Data RXXX5 Data contained in the source system is lost C09 The Steering P Adhoc Manual 0 A formal Migration Strategy is developed which is formally approved 0 Y
Identification & Committee by the Steering Committee. The Migration Strategy specifies which
Preparation approves the data enrichment, enhancement, cleansing or clean-up activities need
Migration Strategy to be performed on the source data before uploading it to the target
system.
The Migration Strategy should cover at least following topics with
relation to the data migration:
- Completeness
- Integrity
- Consistency
- Continuity
- Confidentiality
Data migration Go-Live RXXX5 Data contained in the source system is lost C19 The Final Data P Adhoc IT dependent 0 The final data migration and Clean-up activities are performed 0 Y
Migration is according to the Approved Migration Plan and Cut-over Plan. The
performed Approved Migration Plan specifically describes the Data Adjustment
according to the (enrichment, cleansing & enhancement) and Clean-up activities that
Approved Migration need to be performed.
Plan and the Cut-
over Plan
Data migration Data RXXX6 Data uploaded in the target system is incomplete C07 A description is P Adhoc IT dependent 0 The IT project team establishes a formal description of the data 0 Y
Identification & made of the Source structure in the source system. This description clarifies:
Preparation Data Model - the fieldnames used
- the size of each field
- the format of the field
- the meta-data store
- the meaning
- the relationships to other data
- the origin
- the usage of the data
-…

Data migration Data RXXX6 Data uploaded in the target system is incomplete C08 A description is P Adhoc IT dependent 0 The IT project team establish a formal description of the data structure 0 Y
Identification & made of the Target in the target system. This description clarifies:
Preparation Data Model - the fieldnames used
- the size of each field
- the format of the field
- the meta-data store
- the meaning
- the relationships to other data
- the origin
- the usage of the data
-…

Data migration Data RXXX6 Data uploaded in the target system is incomplete C09 The Steering P Adhoc Manual 0 A formal Migration Strategy is developed which is formally approved 0 Y
Identification & Committee by the Steering Committee. The Migration Strategy specifies which
Preparation approves the data enrichment, enhancement, cleansing or clean-up activities need
Migration Strategy to be performed on the source data before uploading it to the target
system.
The Migration Strategy should cover at least following topics with
relation to the data migration:
- Completeness
- Integrity
- Consistency
- Continuity
- Confidentiality
Data migration Go-Live RXXX6 Data uploaded in the target system is incomplete C19 The Final Data P Adhoc IT dependent 0 The final data migration and Clean-up activities are performed 0 Y
Migration is according to the Approved Migration Plan and Cut-over Plan. The
performed Approved Migration Plan specifically describes the Data Adjustment
according to the (enrichment, cleansing & enhancement) and Clean-up activities that
Approved Migration need to be performed.
Plan and the Cut-
over Plan
Data migration Go-Live RXXX7 Data is uploaded multiple times in the target system, resulting in duplicate C16 A cut-over plan is in P Adhoc Manual 0 Before the go/no-go decision is taken a cut-over plan needs to be in 0 Y
records place before the place which specifies on which date, at what time and by which person
move to production. the migration to production will be performed.

Data migration Go-Live RXXX7 Data is uploaded multiple times in the target system, resulting in duplicate C19 The Final Data P Adhoc IT dependent 0 The final data migration and Clean-up activities are performed 0 Y
records Migration is according to the Approved Migration Plan and Cut-over Plan. The
performed Approved Migration Plan specifically describes the Data Adjustment
according to the (enrichment, cleansing & enhancement) and Clean-up activities that
Approved Migration need to be performed.
Plan and the Cut-
over Plan
Data migration Go-Live RXXX7 Data is uploaded multiple times in the target system, resulting in duplicate C21 The access rights P Adhoc IT dependent 0 The required access rights for performing data migrations are only 0 Y
records required to perform given to a limited number of IT employees.
data migrations are
limited to authorized
individuals only.
Data migration Data RXXX8 The source and target system contain records with equal information C09 The Steering P Adhoc Manual 0 A formal Migration Strategy is developed which is formally approved 0 Y
Identification & Committee by the Steering Committee. The Migration Strategy specifies which
Preparation approves the data enrichment, enhancement, cleansing or clean-up activities need
Migration Strategy to be performed on the source data before uploading it to the target
system.
The Migration Strategy should cover at least following topics with
relation to the data migration:
- Completeness
- Integrity
- Consistency
- Continuity
- Confidentiality
Data migration Go-Live RXXX8 The source and target system contain records with equal information C19 The Final Data P Adhoc IT dependent 0 The final data migration and Clean-up activities are performed 0 Y
Migration is according to the Approved Migration Plan and Cut-over Plan. The
performed Approved Migration Plan specifically describes the Data Adjustment
according to the (enrichment, cleansing & enhancement) and Clean-up activities that
Approved Migration need to be performed.
Plan and the Cut-
over Plan
Data migration Testing RXXX9 The source and target system contain records with conflicting information C10 The Test Plan P Adhoc IT dependent 0 The Test Plan outlines the test steps to be taken to assure the 0 Y
contains a number completeness and accuracy of the data migration. To achieve these
of mandatory test goals, a number of comparisons are made between the data in the
categories source and target system. During this comparison, at least following
test categories need to be performed:
- the total number of lines in the source system is compared with the
total number of lines in the target system.
- a manual verification is performed between the source and target
system for at least 25 data lines
- a number of standard control totals are checked for equality between
both systems
- The business activities traditionally performed on the data (e.g.
calculation of depreciations) are performed on both systems and
compared for equality.
- The results of the management reporting are compared between
source and target system
If the project team decides not to perform one of the mandatory test
categories. The exclusion of test categories is rationalized, formally
documented.
Data migration Testing RXXX9 The source and target system contain records with conflicting information C11 Approval of Test P Adhoc Manual 0 The final test plan is formally approved by the Steering Committee. 0 Y
Plan before start of
testing
Data migration Testing RXXX9 The source and target system contain records with conflicting information C12 The data migration D Adhoc Manual 0 The full data migration is tested in a specific test environment 0 N
is tested in a test separated from the production environment.
environment
Data migration Testing RXXX9 The source and target system contain records with conflicting information C13 Testing is D Adhoc Manual 0 Testing of the data migration is performed by: 0 Y
performed by - IT employees responsible for the source and target system
business and IT - Owners of both source and target data
Data migration Testing RXXX9 The source and target system contain records with conflicting information C14 Testing is D Adhoc Manual 0 The tests are performed according to the approved test plan. Formal 0 Y
performed documentation is kept of the testing approach and the results of each
according to the test step.
Approved Test Plan

Data migration Testing RXXX9 The source and target system contain records with conflicting information C15 Testing results are D Adhoc Manual 0 The results of the testing are discussed during the project steering 0 N
formally approved committee and where required corrective actions are decided upon.
by the Steering The testing results as drafted by the test executors are formally
Committee approved by the Steering Committee.
Data migration Go-Live RXXX9 The source and target system contain records with conflicting information C17 The Steering P Adhoc Manual 0 The full data migration to the production environment is only performed 0 Y
Committee gives a after a formal go/no-go decision of the steering committee. The go/no-
final approval go decision is made based on the Approved Testing Results, the
before Go-Live Approved Migration Strategy and the Cut-over Plan. The formal go/no-
go is documented in the Readiness Review document which is made
available to all members of the project team.

Data migration Go-Live
Data migration Go-Live
RXXX9 The source and target system contain records with conflicting information C19 The Final Data P Adhoc IT dependent 0 The final data migration and Clean-up activities are performed 0 Y
Migration is according to the Approved Migration Plan and Cut-over Plan. The
performed Approved Migration Plan specifically describes the Data Adjustment
according to the (enrichment, cleansing & enhancement) and Clean-up activities that
Approved Migration need to be performed.
Plan and the Cut-
over Plan
RXXX9 The source and target system contain records with conflicting information C22 The target system P Adhoc Automatic 0 When automatic upload of data files is performed in the target system, 0 Y
performs all the system will automatically perform all business application controls
application controls as it would perform in the case of manual input. Any records or data
in the case of batch lines that fail these controls will be included in an error report
upload automatically created by the system. Based on this error report the
data owners will decide what to do with these faulty records/lines.
Data migration Validation RXXX9 The source and target system contain records with conflicting information C24 The final data D Adhoc
migration to the
production
environment is
tested and validated
by IT and the
business according
to the Approved
Test Approach
Data migration Validation RXXX9 The source and target system contain records with conflicting information C25 The Validation D Adhoc
Results are
approved by the
Steering Committee
Data migration Data RXXX10 The format of the source data is different from the format of the target data, C07 A description is P Adhoc
Identification & resulting in faulty interpretation by the target system made of the Source
Preparation Data Model
Data migration Data RXXX10 The format of the source data is different from the format of the target data, C08 A description is P Adhoc
Identification & resulting in faulty interpretation by the target system made of the Target
Preparation Data Model
Data migration Data RXXX10 The format of the source data is different from the format of the target data, C09 The Steering P Adhoc
Identification & resulting in faulty interpretation by the target system Committee
Preparation approves the
Migration Strategy
Data migration Go-Live RXXX10 The format of the source data is different from the format of the target data, C19 The Final Data P Adhoc
resulting in faulty interpretation by the target system Migration is
performed
according to the
Approved Migration
Plan and the Cut-
over Plan
Data migration Go-Live RXXX11 Tables used to store data in-between extraction and upload are not C20 In-between tables P
appropriately secured resulting in unauthorized use, disclosure, modification, are stored on a
damage or loss of data drive only
accessible by IT
employees
Data migration Testing/Validatio RXXX12 Data is uploaded incorrectly C10 The Test Plan P Adhoc
n contains a number
of mandatory test
categories
IT dependent 0 After the final data migration to the production environment, the 0 Y
migration is tested according to the approved test plan. Formal
documentation is kept of the testing approach and the results of each
test step. The results of the testing are discussed during the project
steering committee and where required corrective actions are decided
upon.
Manual 0 The test executors develop the Draft Validation Results which are 0 Y
reviewed and approved by the steering committee. Only after the
approval of the Validation Results the Migration Close phase can be
initiated.
IT dependent 0 The IT project team establishes a formal description of the data 0 Y
structure in the source system. This description clarifies:
- the fieldnames used
- the size of each field
- the format of the field
- the meta-data store
- the meaning
- the relationships to other data
- the origin
- the usage of the data
-…
IT dependent 0 The IT project team establish a formal description of the data structure 0 Y
in the target system. This description clarifies:
- the fieldnames used
- the size of each field
- the format of the field
- the meta-data store
- the meaning
- the relationships to other data
- the origin
- the usage of the data
-…
Manual 0 A formal Migration Strategy is developed which is formally approved 0 Y
by the Steering Committee. The Migration Strategy specifies which
data enrichment, enhancement, cleansing or clean-up activities need
to be performed on the source data before uploading it to the target
system.
The Migration Strategy should cover at least following topics with
relation to the data migration:
- Completeness
- Integrity
- Consistency
- Continuity
- Confidentiality
IT dependent 0 The final data migration and Clean-up activities are performed 0 Y
according to the Approved Migration Plan and Cut-over Plan. The
Approved Migration Plan specifically describes the Data Adjustment
(enrichment, cleansing & enhancement) and Clean-up activities that
need to be performed.
Adhoc Automatic 0 After extraction from the source system, during enhancement, 0 Y
enrichment and cleansing activities and before migration to the target
system, the data is stored on a drive only accessible by IT employees.
IT dependent 0 The Test Plan outlines the test steps to be taken to assure the 0 Y
completeness and accuracy of the data migration. To achieve these
goals, a number of comparisons are made between the data in the
source and target system. During this comparison, at least following
test categories need to be performed:
- the total number of lines in the source system is compared with the
total number of lines in the target system.
- a manual verification is performed between the source and target
system for at least 25 data lines
- a number of standard control totals are checked for equality between
both systems
- The business activities traditionally performed on the data (e.g.
calculation of depreciations) are performed on both systems and
compared for equality.
- The results of the management reporting are compared between
source and target system
If the project team decides not to perform one of the mandatory test
categories. The exclusion of test categories is rationalized, formally
documented.
Data migration Testing/Validatio RXXX12 Data is uploaded incorrectly C11 Approval of Test P Adhoc Manual 0 The final test plan is formally approved by the Steering Committee. 0 Y
n Plan before start of
testing
Data migration Testing RXXX12 Data is uploaded incorrectly C12 The data migration D Adhoc Manual 0 The full data migration is tested in a specific test environment 0 N
is tested in a test separated from the production environment.
environment
Data migration Testing/Validatio RXXX12 Data is uploaded incorrectly C13 Testing is D Adhoc Manual 0 Testing of the data migration is performed by: 0 Y
n performed by - IT employees responsible for the source and target system
business and IT - Owners of both source and target data
Data migration Testing/Validatio RXXX12 Data is uploaded incorrectly C14 Testing is D Adhoc Manual 0 The tests are performed according to the approved test plan. Formal 0 Y
n performed documentation is kept of the testing approach and the results of each
according to the test step.
Approved Test Plan

Data migration Testing
Data migration Go-Live
RXXX12 Data is uploaded incorrectly C15 Testing results are D Adhoc Manual 0 The results of the testing are discussed during the project steering 0 N
formally approved committee and where required corrective actions are decided upon.
by the Steering The testing results as drafted by the test executors are formally
Committee approved by the Steering Committee.
RXXX12 Data is uploaded incorrectly C17 The Steering P Adhoc Manual 0 The full data migration to the production environment is only performed 0 Y
Committee gives a after a formal go/no-go decision of the steering committee. The go/no-
final approval go decision is made based on the Approved Testing Results, the
before Go-Live Approved Migration Strategy and the Cut-over Plan. The formal go/no-
go is documented in the Readiness Review document which is made
available to all members of the project team.

Data migration Go-Live
Data migration Go-Live
RXXX12 Data is uploaded incorrectly C19 The Final Data P Adhoc IT dependent 0 The final data migration and Clean-up activities are performed 0 Y
Migration is according to the Approved Migration Plan and Cut-over Plan. The
performed Approved Migration Plan specifically describes the Data Adjustment
according to the (enrichment, cleansing & enhancement) and Clean-up activities that
Approved Migration need to be performed.
Plan and the Cut-
over Plan
RXXX12 Data is uploaded incorrectly C22 The target system P Adhoc Automatic 0 When automatic upload of data files is performed in the target system, 0 Y
performs all the system will automatically perform all business application controls
application controls as it would perform in the case of manual input. Any records or data
in the case of batch lines that fail these controls will be included in an error report
upload automatically created by the system. Based on this error report the
data owners will decide what to do with these faulty records/lines.

Data migration Validation RXXX12 Data is uploaded incorrectly C24 The final data D Adhoc IT dependent 0 After the final data migration to the production environment, the 0 Y
migration to the migration is tested according to the approved test plan. Formal
production documentation is kept of the testing approach and the results of each
environment is test step. The results of the testing are discussed during the project
tested and validated steering committee and where required corrective actions are decided
by IT and the upon.
business according
to the Approved
Test Approach

Data migration Validation RXXX12 Data is uploaded incorrectly C25 The Validation D Adhoc Manual 0 The test executors develop the Draft Validation Results which are 0 Y
Results are reviewed and approved by the steering committee. Only after the
approved by the approval of the Validation Results the Migration Close phase can be
Steering Committee initiated.

Data migration Testing/Validatio RXXX13 The testing approach does not ensure the accuracy and completeness of the C10 The Test Plan
n data. The testing approach is not complete and does not cover all risks related contains a number
to the data migration. of mandatory test
categories
Data migration Testing RXXX14 Errors identified during testing are not appropriately recorded or dealt with. C15 Testing results are
formally approved
by the Steering
Committee
Data migration Testing/Validatio RXXX15 Tests are not performed by users with the appropriate knowledge C13 Testing is
n performed by
business and IT
Data migration Testing RXXX16 Faults in the data migration methodology are not detected or are only detected C12 The data migration
during the final upload. is tested in a test
environment
P Adhoc IT dependent 0 The Test Plan outlines the test steps to be taken to assure the 0 Y
completeness and accuracy of the data migration. To achieve these
goals, a number of comparisons are made between the data in the
source and target system. During this comparison, at least following
test categories need to be performed:
- the total number of lines in the source system is compared with the
total number of lines in the target system.
- a manual verification is performed between the source and target
system for at least 25 data lines
- a number of standard control totals are checked for equality between
both systems
- The business activities traditionally performed on the data (e.g.
calculation of depreciations) are performed on both systems and
compared for equality.
- The results of the management reporting are compared between
source and target system
If the project team decides not to perform one of the mandatory test
categories. The exclusion of test categories is rationalized, formally
documented.
D Adhoc Manual 0 The results of the testing are discussed during the project steering 0 N
committee and where required corrective actions are decided upon.
The testing results as drafted by the test executors are formally
approved by the Steering Committee.
D Adhoc Manual 0 Testing of the data migration is performed by: 0 Y
- IT employees responsible for the source and target system
- Owners of both source and target data
D Adhoc Manual 0 The full data migration is tested in a specific test environment 0 N
separated from the production environment.
Data migration Go-Live
Data migration Go-Live
Data migration Go-Live
Data Migration Migration Close
RXXX16 Faults in the data migration methodology are not detected or are only detected C17 The Steering P Adhoc Manual 0 The full data migration to the production environment is only performed 0 Y
during the final upload. Committee gives a after a formal go/no-go decision of the steering committee. The go/no-
final approval go decision is made based on the Approved Testing Results, the
before Go-Live Approved Migration Strategy and the Cut-over Plan. The formal go/no-
go is documented in the Readiness Review document which is made
available to all members of the project team.
RXXX17 Data in the source system is changed after the data extraction, resulting in a C18 A freeze period is P Adhoc Automatic 0 Before the final extraction of data is started, access to the source 0 Y
situation where not all required information is migrated to the target system. Initiated before the system is blocked for all end users, hereby ensuring that no more
start of the final activities can be performed during or after the extraction. During the
data migration Freeze period all activities in the Source System are logged.
RXXX17 Data in the source system is changed after the data extraction, resulting in a C23 Activities performed P Adhoc IT dependent 0 After the final data extract is moved to production the IT project team 0 Y
situation where not all required information is migrated to the target system. during the Freeze Checks the logs and Captures any transactions made during the
period are only Freeze Period. These transactions are validated by the Business
uploaded after project team. After validation the transactions are included in the target
validation by the data.
Business Project
Team
RXXX18 Procedures and controls are not appropriately executed, resulting in problems C26 The correct D Adhoc Manual 0 At the end of the migration project the Steering Committee checks if 0 Y
or issues not being detected. execution of the the Migration Charter was correctly followed and if all required
Migration Charter is documentation was collected. Only if this is the case, the Steering
checked at the end Committee formally signs off on the migration.
of the migration
project
Risk Name
The objectives and strategy of the data migration are not clear to the project
team members
Responsibilities are not clearly assigned within the migration team
Ownership of data is assigned to the wrong persons or departments
The tools used to extract, modify and upload data do not ensure the accuracy
and completeness of the data.
Data contained in the source system is lost
Data uploaded in the target system is incomplete
Data is uploaded multiple times in the target system, resulting in duplicate
records
The source and target system contain records with equal information
The source and target system contain records with conflicting information
The format of the source data is different from the format of the target data,
resulting in faulty interpretation by the target system
Tables used to store data in-between extraction and upload are not
appropriately secured resulting in unauthorized use, disclosure, modification,
damage or loss of data
Data is uploaded incorrectly
The testing approach does not ensure the accuracy and completeness of the
data. The testing approach is not complete and does not cover all risks related
to the data migration.
Errors identified during testing are not appropriately recorded or dealt with.
Tests are not performed by users with the appropriate knowledge
Faults in the data migration methodology are not detected or are only detected
during the final upload.
Data in the source system is changed after the data extraction, resulting in a
situation where not all required information is migrated to the target system.

Procedures and controls are not appropriately executed, resulting in problems

or issues not being detected.
 Control Control Control
Control Name Control Type Description Control Owner Sox in scope
Frequency Automation Assertions
C01 The migration P Adhoc Manual The migration charter is created according to the principles of the N
charter adheres to generic Project Management Methodology.
the principles of the
Project
management
methodology
C02 A project charter is P Adhoc Manual A Migration charter is established at the start of the migration project. N
established and This charter outlines at least following topics:
approved at the 1. Aims and objectives of the data migration project
start of the 2. Scope and rationalization on any exclusions
migration project. 3. Nature of migration project
4. Assign data ownership to appropriate business responsible
5. Identify tools to be used
6. Assign roles and responsibilities
7. Planning of tasks
8. Document constraints, risks and dependencies
This charter is approved by the project steering committee.

C03 The ownership of P Adhoc Manual In the Migration charter the ownership of data is assigned to the Y
data is assigned to impacted business responsibles.
the business
C04 Approved tooling is P Adhoc Automatic The IT department selects a number of tools to be used during data N
used for data migrations. These tools are tested and approved for use by IT and
migrations business management. Whenever the approved tooling kit can not be
used, the use of alternative tools is documented in the project charter
and testing of the alternative tools is performed.
C05 Data Owners decide P Adhoc Manual The steering committee decides on the approach that needs to be N
on the approach for taken towards the source system and its data:
source system and - can the data be removed
source data - must the data be archived for a defined period
- must the source system continue to run for a defined period
This decision is documented in the Migration Charter
C06 The approved P Adhoc Manual After approval the Migration charter is communicated to the project N
Migration Charter is team members.
communicated to
the project team.

C07 A description is P Adhoc IT dependent The IT project team establishes a formal description of the data Y
made of the Source structure in the source system. This description clarifies:
Data Model - the fieldnames used
- the size of each field
- the format of the field
- the meta-data store
- the meaning
- the relationships to other data
- the origin
- the usage of the data
-…
C08 A description is P Adhoc IT dependent The IT project team establish a formal description of the data structure Y
made of the Target in the target system. This description clarifies:
Data Model - the fieldnames used
- the size of each field
- the format of the field
- the meta-data store
- the meaning
- the relationships to other data
- the origin
- the usage of the data
-…

C09 The Steering P Adhoc Manual A formal Migration Strategy is developed which is formally approved by Y
Committee the Steering Committee. The Migration Strategy specifies which data
approves the enrichment, enhancement, cleansing or clean-up activities need to be
Migration Strategy performed on the source data before uploading it to the target system.
The Migration Strategy should cover at least following topics with
relation to the data migration:
- Completeness
- Integrity
- Consistency
- Continuity
- Confidentiality

C10 The Test Plan P Adhoc IT dependent The Test Plan outlines the test steps to be taken to assure the Y
contains a number completeness and accuracy of the data migration. To achieve these
of mandatory test goals, a number of comparisons are made between the data in the
categories source and target system. During this comparison, at least following
test categories need to be performed:
- the total number of lines in the source system is compared with the
total number of lines in the target system.
- a manual verification is performed between the source and target
system for at least 25 data lines
- a number of standard control totals are checked for equality between
both systems
- The business activities traditionally performed on the data (e.g.
calculation of depreciations) are performed on both systems and
compared for equality.
- The results of the management reporting are compared between
source and target system
If the project team decides not to perform one of the mandatory test
categories. The exclusion of test categories is rationalized, formally
documented.
C11 Approval of Test P Adhoc Manual The final test plan is formally approved by the Steering Committee. Y
Plan before start of
testing
C12 The data migration D Adhoc Manual The full data migration is tested in a specific test environment N
is tested in a test separated from the production environment.
environment
C13 Testing is D Adhoc Manual Testing of the data migration is performed by: Y
performed by - IT employees responsible for the source and target system
business and IT - Owners of both source and target data
C14 Testing is D Adhoc Manual The tests are performed according to the approved test plan. Formal Y
performed documentation is kept of the testing approach and the results of each
according to the test step.
Approved Test Plan

C15 Testing results are D Adhoc Manual The results of the testing are discussed during the project steering N
formally approved committee and where required corrective actions are decided upon.
by the Steering The testing results as drafted by the test executors are formally
Committee approved by the Steering Committee.
C16 A cut-over plan is in P Adhoc Manual Before the go/no-go decision is taken a cut-over plan needs to be in Y
place before the place which specifies on which date, at what time and by which person
move to production. the migration to production will be performed.

C17 The Steering P Adhoc Manual The full data migration to the production environment is only performed Y
Committee gives a after a formal go/no-go decision of the steering committee. The go/no-
final approval go decision is made based on the Approved Testing Results, the
before Go-Live Approved Migration Strategy and the Cut-over Plan. The formal go/no-
go is documented in the Readiness Review document which is made
available to all members of the project team.

C18 A freeze period is P Adhoc Automatic Before the final extraction of data is started, access to the source Y
Initiated before the system is blocked for all end users, hereby ensuring that no more
start of the final activities can be performed during or after the extraction. During the
data migration Freeze period all activities in the Source System are logged.
C19 The Final Data P Adhoc IT dependent The final data migration and Clean-up activities are performed Y
Migration is according to the Approved Migration Plan and Cut-over Plan. The
performed Approved Migration Plan specifically describes the Data Adjustment
according to the (enrichment, cleansing & enhancement) and Clean-up activities that
Approved Migration need to be performed.
Plan and the Cut-
over Plan
C20 In-between tables P Adhoc Automatic After extraction from the source system, during enhancement, Y
are stored on a enrichment and cleansing activities and before migration to the target
drive only system, the data is stored on a drive only accessible by IT employees.
accessible by IT
employees
C21 The access rights P Adhoc IT dependent The required access rights for performing data migrations are only Y
required to perform given to a limited number of IT employees.
data migrations are
limited to authorized
individuals only.

C22 The target system P Adhoc Automatic When automatic upload of data files is performed in the target system, Y
performs all the system will automatically perform all business application controls
application controls as it would perform in the case of manual input. Any records or data
in the case of batch lines that fail these controls will be included in an error report
upload automatically created by the system. Based on this error report the
data owners will decide what to do with these faulty records/lines.
C23 Activities performed P Adhoc IT dependent After the final data extract is moved to production the IT project team Y
during the Freeze Checks the logs and Captures any transactions made during the
period are only Freeze Period. These transactions are validated by the Business
uploaded after project team. After validation the transactions are included in the target
validation by the data.
Business Project
Team
C24 The final data D Adhoc IT dependent After the final data migration to the production environment, the Y
migration to the migration is tested according to the approved test plan. Formal
production documentation is kept of the testing approach and the results of each
environment is test step. The results of the testing are discussed during the project
tested and validated steering committee and where required corrective actions are decided
by IT and the upon.
business according
to the Approved
Test Approach

C25 The Validation D Adhoc Manual The test executors develop the Draft Validation Results which are Y
Results are reviewed and approved by the steering committee. Only after the
approved by the approval of the Validation Results the Migration Close phase can be
Steering Committee initiated.

C26 The correct D Adhoc Manual At the end of the migration project the Steering Committee checks if Y
execution of the the Migration Charter was correctly followed and if all required
Migration Charter is documentation was collected. Only if this is the case, the Steering
checked at the end Committee formally signs off on the migration.
of the migration
project