Guidelines: Testing Techniques by Quality Risk/ Test Type

     Data and Database Integrity Testing

The databases and the database processes should be tested as an independent subsystem. This testing should test the subsystems without the target-of-test's User Interface as the interface to the data. Additional research into the Database Management System (DBMS) needs to be performed to identify the tools and techniques that may exist to support the testing identified in the following table.

Technique Objective:	Exercise database access methods and processes independent of the UI so you can observe and log incorrectly functioning target behavior or data corruption.
Technique:	Invoke each database access method and process, seeding each with valid and invalid data or requests for data. Inspect the database to ensure the data has been populated as intended and all database events have occurred properly, or review the returned data to ensure that the correct data was retrieved for the correct reasons.
Oracles:	Outline one or more strategies that can be used by the technique to accurately observe the outcomes of the test. The oracle combines elements of both the method by which the observation can be made and the characteristics of specific outcome that indicate probable success or failure. Ideally, oracles will be self-verifying, allowing automated tests to make an initial assessment of test pass or failure, however, be careful to mitigate the risks inherent in automated results determination.
Required Tools:	The technique requires the following tools: Test Script Automation Tool base configuration imager and restorer backup and recovery tools installation-monitoring tools (registry, hard disk, CPU, memory, and so on) database SQL utilities and tools data-generation tools
Success Criteria:	The technique supports the testing of all key database access methods and processes.
Special Considerations:	Testing may require a DBMS development environment or drivers to enter or modify data directly in the database. Processes should be invoked manually. Small or minimally sized databases (with a limited number of records) should be used to increase the visibility of any non-acceptable events.

     Function Testing

Function testing of the target-of-test should focus on any requirements for test that can be traced directly to use cases or business functions and business rules. The goals of these tests are to verify proper data acceptance, processing, and retrieval, and the appropriate implementation of the business rules. This type of testing is based upon black box techniques; that is, verifying the application and its internal processes by interacting with the application via the Graphical User Interface (GUI) and analyzing the output or results. The following table identifies an outline of the testing recommended for each application.

Technique Objective:	Exercise target-of-test functionality, including navigation, data entry, processing, and retrieval to observe and log target behavior.
Technique:	Exercise each use-case scenario's individual use-cases flows or functions and features, using valid and invalid data, to verify that: the expected results occur when valid data is used the appropriate error or warning messages are displayed when invalid data is used each business rule is properly applied
Oracles:	Outline one or more strategies that can be used by the technique to accurately observe the outcomes of the test. The oracle combines elements of both the method by which the observation can be mad, and the characteristics of specific outcome that indicate probable success or failure. Ideally, oracles will be self-verifying, allowing automated tests to make an initial assessment of test pass or failure, however, be careful to mitigate the risks inherent in automated results determination.
Required Tools:	The technique requires the following tools: Test Script Automation Tool base configuration imager and restorer backup and recovery tools installation-monitoring tools (registry, hard disk, CPU, memory, and so on) data-generation tools
Success Criteria:	The technique supports the testing of: all key use-case scenarios all key features
Special Considerations:	Identify or describe those items or issues (internal or external) that impact the implementation and execution of function test.

     Business Cycle Testing

Business Cycle Testing should emulate the activities performed on the <Project Name> over time. A period should be identified, such as one year, and transactions and activities that would occur during a year's period should be executed. This includes all daily, weekly, and monthly cycles, and events that are date-sensitive, such as ticklers.

Technique Objective:	Exercise target-of-test and background processes according to required business models and schedules to observe and log target behavior.
Technique:	Testing will simulate several business cycles by performing the following: The tests used for target-of-test's function testing will be modified or enhanced to increase the number of times each function is executed to simulate several different users over a specified period. All time or date-sensitive functions will be executed using valid and invalid dates or time periods. All functions that occur on a periodic schedule will be executed or launched at the appropriate time. Testing will include using valid and invalid data to verify the following: The expected results occur when valid data is used. The appropriate error or warning messages are displayed when invalid data is used. Each business rule is properly applied.
Oracles:	Outline one or more strategies that can be used by the technique to accurately observe the outcomes of the test. The oracle combines elements of both the method by which the observation can be made, and the characteristics of specific outcome that indicate probable success or failure. Ideally, oracles will be self-verifying, allowing automated tests to make an initial assessment of test pass or failure, however, be careful to mitigate the risks inherent in automated results determination.
Required Tools:	The technique requires the following tools: Test Script Automation Tool base configuration imager and restorer backup and recovery tools data-generation tools
Success Criteria:	The technique supports the testing of all critical business cycles.
Special Considerations:	System dates and events may require special support activities. A business model is required to identify appropriate test requirements and procedures.

     User Interface Testing

User Interface (UI) testing verifies a user's interaction with the software. The goal of UI testing is to ensure that the UI provides the user with the appropriate access and navigation through the functions of the target-of-test. In addition, UI testing ensures that the objects within the UI function as expected and conform to corporate, or industry, standards.

Technique Objective:	Exercise the following to observe and log standards conformance and target behavior: Navigation through the target-of-test reflecting business functions and requirements, including window-to-window, field-to- field, and use of access methods (tab keys, mouse movements, accelerator keys). Window objects and characteristics can be exercised-such as menus, size, position, state, and focus.
Technique:	Create or modify tests for each window to verify proper navigation and object states for each application window and object.
Oracles:	Outline one or more strategies that can be used by the technique to accurately observe the outcomes of the test. The oracle combines elements of both the method by which the observation can be made and the characteristics of specific outcome that indicate probable success or failure. Ideally, oracles will be self-verifying, allowing automated tests to make an initial assessment of test pass or failure, however, be careful to mitigate the risks inherent in automated results determination.
Required Tools:	The technique requires the Test Script Automation Tool.
Success Criteria:	The technique supports the testing of each major screen or window that will be used extensively by the end user.
Special Considerations:	Not all properties for custom and third party objects can be accessed.

     Performance Profiling

Performance profiling is a performance test in which response times, transaction rates, and other time-sensitive requirements are measured and evaluated. The goal of Performance Profiling is to verify performance requirements have been achieved. Performance profiling is implemented and executed to profile and tune a target-of-test's performance behaviors as a function of conditions, such as workload or hardware configurations.

Note: Transactions in the following table refer to "logical business transactions". These transactions are defined as specific use cases that an actor of the system is expected to perform using the target-of-test, such as add or modify a given contract.

Technique Objective:	Exercise behaviors for designated functional transactions or business functions under the following conditions to observe and log target behavior and application performance data: normal anticipated workload anticipated worst-case workload
Technique:	Use Test Procedures developed for Function or Business Cycle Testing. Modify data files to increase the number of transactions or the scripts to increase the number of iterations that occur in each transaction. Scripts should be run on one machine (best case is to benchmark single user, single transaction) and should be repeated with multiple clients (virtual or actual, see Special Considerations below).
Oracles:	Outline one or more strategies that can be used by the technique to accurately observe the outcomes of the test. The oracle combines elements of both the method by which the observation can be made and the characteristics of specific outcome that indicate probable success or failure. Ideally, oracles will be self-verifying, allowing automated tests to make an initial assessment of test pass or failure, however, be careful to mitigate the risks inherent in automated results determination.
Required Tools:	The technique requires the following tools: Test Script Automation Tool an application performance profiling tool, such as Rational Quantify installation-monitoring tools (registry, hard disk, CPU, memory, and so on resource-constraining tools; for example, Canned Heat
Success Criteria:	The technique supports testing: Single Transaction or single user: Successful emulation of the transaction scripts without any failures due to test implementation problems. Multiple transactions or multiple users: Successful emulation of the workload without any failures due to test implementation problems.
Special Considerations:	Comprehensive performance testing includes having a background workload on the server. There are several methods that can be used to perform this, including: "Drive transactions" directly to the server, usually in the form of Structured Query Language (SQL) calls. Create "virtual" user load to simulate many clients, usually several hundred. Remote Terminal Emulation tools are used to accomplish this load. This technique can also be used to load the network with "traffic". Use multiple physical clients, each running test scripts, to place a load on the system. Performance testing should be performed on a dedicated machine or at a dedicated time. This permits full control and accurate measurement. The databases used for Performance Testing should be either actual size or scaled equally.

     Load Testing

Load testing is a performance test that subjects the target-of-test to varying workloads to measure and evaluate the performance behaviors and abilities of the target-of-test to continue to function properly under these different workloads. The goal of load testing is to determine and ensure that the system functions properly beyond the expected maximum workload. Additionally, load testing evaluates the performance characteristics, such as response times, transaction rates, and other time-sensitive issues.

Note: Transactions in the following table refer to "logical business transactions". These transactions are defined as specific functions that an end user of the system is expected to perform using the application, such as add or modify a given contract.

Technique Objective:	Exercise designated transactions or business cases under varying workload conditions to observe and log target behavior and system performance data.
Technique:	Use Transaction Test Scripts developed for Function or Business Cycle Testing as a basis, but remember to remove unnecessary interactions and delays. Modify data files to increase the number of transactions or the tests to increase the number of times each transaction occurs. Workloads should include-for example, daily, weekly, and monthly-peak loads. Workloads should represent both average as well as peak loads. Workloads should represent both instantaneous and sustained peaks. The workloads should be executed under different Test Environment Configurations.
Oracles:	Outline one or more strategies that can be used by the technique to accurately observe the outcomes of the test. The oracle combines elements of both the method by which the observation can be made and the characteristics of specific outcome that indicate probable success or failure. Ideally, oracles will be self-verifying, allowing automated tests to make an initial assessment of test pass or failure, however, be careful to mitigate the risks inherent in automated results determination.
Required Tools:	The technique requires the following tools: Test Script Automation Tool Transaction load scheduling and control tool installation-monitoring tools (registry, hard disk, CPU, memory, and so on) resource-constraining tools; for example, Canned Heat data-generation tools
Success Criteria:	The technique supports the testing of Workload Emulation, which is the successful emulation of the workload without any failures due to test implementation problems.
Special Considerations:	Load testing should be performed on a dedicated machine or at a dedicated time. This permits full control and accurate measurement. The databases used for load testing should be either actual size or scaled equally.

     Stress Testing

Stress testing is a type of performance test implemented and executed to understand how a system fails due to conditions at the boundary, or outside of, the expected tolerances. This typically involves low resources or competition for resources. Low resource conditions reveal how the target-of-test fails that is not apparent under normal conditions. Other defects might result from competition for shared resources, like database locks or network bandwidth, although some of these tests are usually addressed under functional and load testing.

Note: References to transactions in the following table refer to logical business transactions.

Technique Objective:	Exercise the target-of-test functions under the following stress conditions to observe and log target behavior that identifies and documents the conditions under which the system fails to continue functioning properly: little or no memory available on the server (RAM and persistent storage space) maximum actual or physically capable number of clients connected or simulated multiple users performing the same transactions against the same data or accounts "overload" transaction volume or mix (see Performance Profiling above)
Technique:	Use tests developed for Performance Profiling or Load Testing. To test limited resources, tests should be run on a single machine, and RAM and persistent storage space on the server should be reduced or limited. For remaining stress tests, multiple clients should be used, either running the same tests or complementary tests to produce the worst-case transaction volume or mix.
Oracles:	Outline one or more strategies that can be used by the technique to accurately observe the outcomes of the test. The oracle combines elements of both the method by which the observation can be made and the characteristics of specific outcome that indicate probable success or failure. Ideally, oracles will be self-verifying, allowing automated tests to make an initial assessment of test pass or failure, however, be careful to mitigate the risks inherent in automated results determination.
Required Tools:	The technique requires the following tools: Test Script Automation Tool Transaction load scheduling and control tool installation-monitoring tools (registry, hard disk, CPU, memory, and so on resource-constraining tools; for example, Canned Heat data-generation tools
Success Criteria:	The technique supports the testing of Stress Emulation. The system can be emulated successfully in one or more conditions defined as stress conditions, and an observation of the resulting system state, during and after the condition has been emulated, can be captured.
Special Considerations:	Stressing the network may require network tools to load the network with messages or packets. The persistent storage used for the system should temporarily be reduced to restrict the available space for the database to grow. Synchronize the simultaneous clients accessing of the same records or data accounts.

     Volume Testing

Volume testing subjects the target-of-test to large amounts of data to determine if limits are reached that cause the software to fail. Volume testing also identifies the continuous maximum load or volume the target-of-test can handle for a given period. For example, if the target-of-test is processing a set of database records to generate a report, a Volume Test would use a large test database, and would check that the software behaved normally and produced the correct report.

Technique Objective:	Exercise the target-of-test functions under the following high volume scenarios to observe and log target behavior: Maximum (actual or physically-capable) number of clients connected, or simulated, all performing the same, worst case (performance) business function for an extended period. Maximum database size has been reached (actual or scaled) and multiple queries or report transactions are executed simultaneously.
Technique:	Use tests developed for Performance Profiling or Load Testing. Multiple clients should be used, either running the same tests or complementary tests to produce the worst-case transaction volume or mix (see Stress Testing) for an extended period. Maximum database size is created (actual, scaled, or filled with representative data), and multiple clients are used to run queries and report transactions simultaneously for extended periods.
Oracles:	Outline one or more strategies that can be used by the technique to accurately observe the outcomes of the test. The oracle combines elements of both the method by which the observation can be made and the characteristics of specific outcome that indicate probable success or failure. Ideally, oracles will be self-verifying, allowing automated tests to make an initial assessment of test pass or failure, however, be careful to mitigate the risks inherent in automated results determination.
Required Tools:	The technique requires the following tools: Test Script Automation Tool Transaction load scheduling and control tool installation-monitoring tools (registry, hard disk, CPU, memory, and so on resource-constraining tools; for example, Canned Heat data-generation tools
Success Criteria:	The technique supports the testing of Volume Emulation. Large quantities of users, data, transactions, or other aspects of the system use under volume can be successfully emulated and an observation of the system state changes over the duration of the volume test can be captured.
Special Considerations:	What period of time would be considered an acceptable time for high volume conditions, as noted above?

     Security and Access Control Testing

Security and Access Control Testing focuses on two key areas of security:

Based on the security you want, application-level security ensures that actors are restricted to specific functions or use cases, or they are limited in the data that is available to them. For example, everyone may be permitted to enter data and create new accounts, but only managers can delete them. If there is security at the data level, testing ensures that "user type one" can see all customer information, including financial data, however, "user type two" only sees the demographic data for the same client.

System-level security ensures that only those users granted access to the system are capable of accessing the applications and only through the appropriate gateways.

Technique Objective:	Exercise the target-of-test under the following conditions to observe and log target behavior: Application-level Security: an actor can access only those functions or data for which their user type is provided permissions. System-level Security: only those actors with access to the system and applications are permitted to access them.
Technique:	Application-level Security: Identify and list each user type and the functions or data for which each type has permissions. Create tests for each user type and verify each permission by creating transactions specific to each user type. Modify user type and rerun tests for same users. In each case, verify those additional functions or data are correctly available or denied. System-level Access: See Special Considerations below.
Oracles:	Outline one or more strategies that can be used by the technique to accurately observe the outcomes of the test. The oracle combines elements of both the method by which the observation can be made and the characteristics of specific outcome that indicate probable success or failure. Ideally, oracles will be self-verifying, allowing automated tests to make an initial assessment of test pass or failure, however, be careful to mitigate the risks inherent in automated results determination.
Required Tools:	The technique requires the following tools: Test Script Automation Tool "Hacker" security breach and probing tools OS Security Administration tools
Success Criteria:	The technique supports the testing of the appropriate functions or data affected by security settings can be tested for each known actor type.
Special Considerations:	Access to the system must be reviewed or discussed with the appropriate network or systems administrator. This testing may not be required as it may be a function of network or systems administration.

     Failover and Recovery Testing

Failover and recovery testing ensures that the target-of-test can successfully failover and recover from a variety of hardware, software, or network malfunctions with undue loss of data or data integrity.

For those systems that must be kept running, failover testing ensures that when a failover condition occurs, the alternate or backup systems properly "take over" for the failed system without any loss of data or transactions.

Recovery testing is an antagonistic test process in which the application or system is exposed to extreme conditions, or simulated conditions, to cause a failure, such as device Input/Output (I/O) failures, or invalid database pointers and keys. Recovery processes are invoked, and the application or system is monitored and inspected to verify proper application, or system, and data recovery has been achieved.

Technique Objective:	Simulate the failure conditions and exercise the recovery processes (manual and automated) to restore the database, applications, and system to a desired, known state. The following types of conditions are included in the testing to observe and log behavior after recovery: power interruption to the client power interruption to the server communication interruption via network servers interruption, communication, or power loss to DASD (Direct Access Storage Devices) and DASD controllers incomplete cycles (data filter processes interrupted, data synchronization processes interrupted) invalid database pointers or keys invalid or corrupted data elements in database
Technique:	The tests already created for Function and Business Cycle testing can be used as a basis for creating a series of transactions to support failover and recovery testing, primarily to define the tests to be run to test that recovery was successful. Power interruption to the client: power down the PC. Power interruption to the server: simulate or initiate power down procedures for the server. Interruption via network servers: simulate or initiate communication loss with the network (physically disconnect communication wires or power down network servers or routers). Interruption, communication, or power loss to DASD and DASD controllers: simulate or physically eliminate communication with one or more DASDs or DASD controllers. Once the above conditions or simulated conditions are achieved, additional transactions should be executed and upon reaching this second test point state, recovery procedures should be invoked. Testing for incomplete cycles utilizes the same technique as described above except that the database processes themselves should be aborted or prematurely terminated. Testing for the following conditions requires that a known database state be achieved. Several database fields, pointers, and keys should be corrupted manually and directly within the database (via database tools). Additional transactions should be executed using the tests from Application Function and Business Cycle Testing and full cycles executed.
Oracles:	Outline one or more strategies that can be used by the technique to accurately observe the outcomes of the test. The oracle combines elements of both the method by which the observation can be made and the characteristics of specific outcome that indicate probable success or failure. Ideally, oracles will be self-verifying, allowing automated tests to make an initial assessment of test pass or failure, however, be careful to mitigate the risks inherent in automated results determination.
Required Tools:	The technique requires the following tools: base configuration imager and restorer installation-monitoring tools (registry, hard disk, CPU, memory, and so on backup and recovery tools
Success Criteria:	The technique supports the testing of: One of more simulated disasters involving one or more combinations of the application, database, and system. One or more simulated recoveries involving one or more combinations of the application, database, and system to a known desired state.
Special Considerations:	Recovery testing is highly intrusive. Procedures to disconnect cabling (simulating power or communication loss) may not be desirable or feasible. Alternative methods, such as diagnostic software tools may be required. Resources from the Systems (or Computer Operations), Database, and Networking groups are required. These tests should be run after hours or on an isolated machine.

     Configuration Testing

Configuration testing verifies the operation of the target-of-test on different software and hardware configurations. In most production environments, the particular hardware specifications for the client workstations, network connections, and database servers vary. Client workstations may have different software loaded (for example, applications, drivers, and so on) and, at any one time, many different combinations may be active using different resources.

Technique Objective:	Exercise the target-of-test on the required hardware and software configurations to observe and log target behavior under different configurations and identify changes in configuration state.
Technique:	Use Function Test scripts. Open and close various non-target-of-test related software, such as the Microsoft® Excel® and Microsoft® Word® applications, either as part of the test or prior to the start of the test. Execute selected transactions to simulate actors interacting with the target-of-test and the non-target-of-test software. Repeat the above process, minimizing the available conventional memory on the client workstation.
Oracles:	Outline one or more strategies that can be used by the technique to accurately observe the outcomes of the test. The oracle combines elements of both the method by which the observation can be made and the characteristics of specific outcome that indicate probable success or failure. Ideally, oracles will be self-verifying, allowing automated tests to make an initial assessment of test pass or failure, however, be careful to mitigate the risks inherent in automated results determination.
Required Tools:	The technique requires the following tools: base configuration imager and restorer installation-monitoring tools (registry, hard disk, CPU, memory, and so on)
Success Criteria:	The technique supports the testing of one or more combinations of the target test items running in expected, supported deployment environments.
Special Considerations:	What non-target-of-test software is needed, is available, and is accessible on the desktop? What applications are typically used? What data are the applications running; for example, a large spreadsheet opened in Excel or a 100-page document in Word? The entire systems' netware, network servers, databases, and so on, also need to be documented as part of this test.

     Installation Testing

Installation testing has two purposes. The first is to ensure that the software can be installed under different conditions (such as a new installation, an upgrade, and a complete or custom installation) under normal and abnormal conditions. Abnormal conditions include insufficient disk space, lack of privilege to create directories, and so on. The second purpose is to verify that, once installed, the software operates correctly. This usually means running a number of tests that were developed for Function Testing.

Technique Objective:	Exercise the installation of the target-of-test onto each required hardware configuration under the following conditions to observe and log installation behavior and configuration state changes: new installation: a new machine, never installed previously with <Project Name> update: a machine previously installed <Project Name>, same version update: a machine previously installed <Project Name>, older version
Technique:	Develop automated or manual scripts to validate the condition of the target machine. new: <project Name> never installed <project Name> same or older version already installed Launch or perform installation. Using a predetermined subset of Function Test scripts, run the transactions.
Oracles:	Outline one or more strategies that can be used by the technique to accurately observe the outcomes of the test. The oracle combines elements of both the method by which the observation can be made and the characteristics of specific outcome that indicate probable success or failure. Ideally, oracles will be self-verifying, allowing automated tests to make an initial assessment of test pass or failure, however, be careful to mitigate the risks inherent in automated results determination.
Required Tools:	The technique requires the following tools: base configuration imager and restorer installation-monitoring tools (registry, hard disk, CPU, memory, and so on)
Success Criteria:	The technique supports the testing of the installation of the developed product in one or more installation configurations.
Special Considerations:	What <project Name> transactions should be selected to comprise a confidence test that <project Name> application has been successfully installed and no major software components are missing?

Rational Unified Process