CMS XLC Data Conversion Plan: Project X Data Migration Strategy Report

This document presents a comprehensive data conversion plan, specifically designed for Project X, detailing the strategy, preparation, and specifications for migrating data from source systems to target systems. The plan encompasses a thorough system overview, outlining the purpose and data storage methods of both source and target systems, along with clearly defined data conversion objectives. It addresses critical aspects such as assumptions, constraints, and potential risks associated with the conversion process. The core of the plan focuses on the data conversion strategy, including the scope of conversion, the chosen approach, roles and responsibilities, and a detailed conversion schedule. It emphasizes data quality assurance and control, along with prerequisites for data conversion, including backup and restore processes. The document further provides detailed data conversion specifications, offering a cross-reference of source and target data elements, transformation rules, and cleansing procedures. The plan also includes appendices for change records, acronyms, a glossary, referenced documents, approvals, and instructions, ensuring a complete and well-documented approach to the data conversion project. The document adheres to the CMS XLC template and provides guidance for data conversion activities.

For instructions on using this template, please see Notes to Author/Template Instructions on page 17.
Notes on accessibility: This template has been tested and is best accessible with JAWS 11.0 or higher.
For questions about using this template, please contact CMS IT Governance
([e-mail]). To request changes to the template, please submit an XLC Process
Change Request (CR) (https://www.cms.gov/Research-Statistics-Data-and-Systems/CMS-Information-
Technology/XLC/Downloads/XLCProcessChangeRequestCR.docx).
<Project Name/Acronym>
Data Conversion Plan
Version X.X
MM/DD/YYYY
Document Number: <document’s configuration item control number>
Contract Number: <current contract number of company maintaining document>

CMS XLC Table of Contents
Table of Contents
1. Introduction...............................................................................................................1
1.1 Purpose of the Data Conversion Plan................................................................1
2. System Overview...................................................................................................... 2
3. Data Conversion Objectives....................................................................................3
4. Assumptions/Constraints/Risks..............................................................................4
4.1 Assumptions......................................................................................................4
4.2 Constraints.........................................................................................................4
4.3 Risks.................................................................................................................. 4
5. Data Conversion Strategy........................................................................................6
5.1 Conversion Scope..............................................................................................6
5.2 Conversion Approach........................................................................................6
5.3 Roles and Responsibilities.................................................................................7
5.4 Conversion Schedule.........................................................................................7
5.5 Data Quality Assurance and Control..................................................................9
6. Data Conversion Preparation................................................................................ 10
6.1 Prerequisites....................................................................................................10
6.2 Backup Strategy...............................................................................................10
6.3 Restore Process.............................................................................................. 10
7. Data Conversion Specifications............................................................................11
Appendix A: Record of Changes................................................................................12
Appendix B: Acronyms................................................................................................13
Appendix C: Glossary..................................................................................................14
Appendix D: Referenced Documents.........................................................................15
Appendix E: Approvals................................................................................................16
Appendix F: Notes to the Author/Template Instructions..........................................17
Appendix G: XLC Template Revision History............................................................18
Appendix H: Additional Appendices..........................................................................19
List of Figures
No table of figures entries found.
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CMS XLC Table of Contents
List of Tables
Table 1 - Conversion Schedule........................................................................................8
Table 2 - Data Conversion Specifications......................................................................11
Table 3 - Record of Changes.........................................................................................12
Table 4 - Acronyms........................................................................................................ 13
Table 5 - Glossary..........................................................................................................14
Table 6 - Referenced Documents.................................................................................. 15
Table 7 - Approvals........................................................................................................ 16
Table 8 - XLC Template Revision History......................................................................18
DCP Version X.X iii <Project and release name>

CMS XLC Data Conversion Strategy
1. Introduction
1.1 Purpose of the Data Conversion Plan
Instructions: Describe the purpose of the Data Conversion Plan. Provide full identifying
information for the automated system, application, or situation for which the Data
Conversion Plan applies, including as applicable, identifications number(s),
title(s)/name(s), abbreviation(s)/acronym(s), part number(s), version number(s), and
release number(s). Summarize the purpose of the document, the scope of activities that
resulted in its development, the intended audience for the document, and expected
evolution of the document. Also describe any security or privacy considerations
associated with use of the Data Conversion Plan.
This Data Conversion Plan (DCP) describes the strategy, preparation, and specifications for
converting data from <source system(s)> to the <target system(s) or within an existing system>.
This plan describes the overall approach, assumptions, and processes that will be used in the
data conversion. It includes an inventory and cross reference of source and target data
elements, schema, metadata and all self-describing files; process for data extraction,
transformation and loading for each data source; tools needed to execute the conversion; and
strategy for data quality assurance and control.
The intended audience of the <Project Name> DCP is the Business Sponsor and the Integrated
Project Team.
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CMS XLC Data Conversion Strategy
2. System Overview
Instructions: Provide a technical overview of the source and target system and major
components involved in the conversion. At a high-level, describe the purpose of the
applications, how the data are stored, the criticality of the data, the sensitivity of the
data, etc. Describe the function of the data in the old system and identify if the use will
be the same or different in the new system.
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CMS XLC Data Conversion Strategy
3. Data Conversion Objectives
Instructions: Describe objectives of the Data Conversion Plan.
 Insert here the description of the first objective.
 Insert here description of the second objective.
 Add additional bullets as necessary
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CMS XLC Data Conversion Strategy
4. Assumptions/Constraints/Risks
4.1 Assumptions
This section identifies the statements believed to be true for the DCP.
Instructions: Describe any assumptions or dependencies regarding the data conversion
effort. These may concern such issues as: related software or hardware, operating
systems, end-user characteristics, and/or the data that must be available for the
conversion.
 Insert here the description of the first assumption.
 Insert here the description of the second assumption.
 Add additional bullets as necessary
4.2 Constraints
This section identifies any limitation that must be taken into consideration prior to the data
conversion from the old to the new product or IT system.
Instructions: Describe any limitations or constraints that have a significant impact on the
data conversion effort. Such constraints may be imposed by any of the following (the list
is not exhaustive):
 Hardware or software environment
 End-user environment (e.g., user work and delivery schedules, timeframes for
reports, etc.)
 Availability of resources
 Interoperability requirements (e.g., the order that data is processed by each
system involved in the conversion)
 Interface/protocol requirements
 Data repository and distribution requirements (e.g., volume considerations, such
as the size of the database and amount of data to be converted; the number of
reads and the time required for conversions)
 Referential data integrity
 Time allowed to complete the conversion process
 Security Requirements
 Insert here the description of the first constraint.
 Insert here the description of the second constraint.
 Add additional bullets as necessary.
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CMS XLC Data Conversion Strategy
4.3 Risks
Instructions: Describe any risks associated with the data conversion and proposed
mitigation strategies. Include any risks that could affect conversion feasibility, technical
performance of the converted system, the conversion schedule, costs, backup and
recovery procedures, etc.
 Insert description of the first risk.
 Insert description of the second risk.
 Add additional bullets as necessary.
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CMS XLC Data Conversion Strategy
5. Data Conversion Strategy
5.1 Conversion Scope
Instructions: Provide a rationale for the conversion and a general description of the
boundaries of the data conversion effort. This may include, but not be limited to, specific
system functions affected and functions/data not affected/converted. Provide a high-
level mapping of the data and data types to be converted or migrated to the new system
(e.g., the amount, type, and quality of the data; the original and target sources and
formats; and any cross-reference complexities.)
**ATTENTION**: Any external data modification/cleanup or pre-loading of the database
(prior to production) with data other than the application’s “runtime properties” is
considered a data conversion process. Data conversion and validation procedures must
be developed and executed as part of the XLC.
5.2 Conversion Approach
Instructions: Describe the approach that will be used to extract, transform/cleanse and
load data from the source to target destinations during the conversion/migration
process. The following should be considered and addressed in this section and/or
appropriate subsections, if applicable:
 Identify if the conversion process will be implemented in phases or stages, and if
so, identify which components will undergo conversion in each phase.
 Identify what data related to specific business processes will be converted first.
 Describe any automated data conversion tools that will be used (e.g., Extract,
Transform, and Load (ETL) tools).
 Identify and describe any part of the conversion process that will be performed
manually.
 Identify and describe any custom-developed conversion programs that will be
needed, and associated performance tuning.
 Identify criteria for a Go/No-Go decision.
 Identify staffing approach.
 Identify if parallel runs of the old and new systems will be necessary during the
conversion process, or if there will be a one-time cut-over to the new system.
 Identify whether data availability and use should be limited during the conversion
process.
 Describe security and privacy controls required for the conversion process.
 Describe the disposition of obsolete or unused data that is not converted
 Identify the retention policy for the data that has been converted in case of fall-
back and have to rerun the conversion process.
 Consider NARA retention policies.
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CMS XLC Data Conversion Strategy
5.3 Roles and Responsibilities
Instructions: List all stakeholders and document their roles and responsibilities in the
conversion process.
5.4 Conversion Schedule
Instructions: Provide a schedule of conversion activities to be accomplished in
accordance with this Data Conversion Plan. Show the required tasks in chronological
order, with beginning and ending dates of each task, the key person(s) responsible for
the task, dependencies, and milestones. If appropriate, tables and/or graphics may be
used to present the schedule. Ensure that this information is appropriately integrated
into the overall project schedule. The schedule should be as comprehensive as
possible; however, the schedule may be revised as needed at later points in the
lifecycle. Rather than providing this schedule in the table below, the schedule may be
added as an Appendix and may be developed in a project management tool.
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CMS XLC Data Conversion Strategy
Table 1 - Conversion Schedule
Task # Task Description Begin Date End Date Key Person(s) Responsible Dependencies Milestones
<#> <Description> <MM/DD/
YYYY>
<MM/DD/
YYYY>
<First Name Last Name> <Dependencies
>
<Milestones
>
<#> <Description> <MM/DD/
YYYY>
<MM/DD/
YYYY>
<First Name Last Name> <Dependencies
>
<Milestones
>
<#> <Description> <MM/DD/
YYYY>
<MM/DD/
YYYY>
<First Name Last Name> <Dependencies
>
<Milestones
>
DCP Version X.X 8 <Project and release name>

CMS XLC Data Conversion Specifications
5.5 Data Quality Assurance and Control
Instructions: Identify the types of data quality problems that may occur, including but not
limited to the following considerations:
 Data type redefinitions (e.g., alphas in dates and numbers, embedded
information in codes and intelligent keys, implied content);
 Garbled content (e.g., multiple uses for a single field, freeform text values,
corrupted data, un-initialized data);
 Invalid record relationships (e.g., broken chains in set relationships, orphan
records (on natural key), mismatched keys (set vs. natural key));
 Invalid content (e.g., values out of defined range, code fields not on a valid list of
values or lookup table, blank fields (optionality), inconsistent use of defaults);
 Context changes (e.g., import of external data, historic changes to operational
parameters (system upgrades), synchronization timing of duplicated
denormalized data); and
 Behavior issues (e.g., variations in actual data from planned constraints of size,
data type, validation rules, and relationships).
Describe the strategy to be used to ensure data quality before and after all data
conversions. Also describe the approach to data scrubbing and quality assessment of
data before they are moved to the new or converted system. Describe the manual
and/or automated controls and methods to be used to validate the conversion and to
ensure that all data intended for conversion have been converted. Describe the process
for data error detection and correction, and the process for resolving anomalies.
DCP Version X.X 9 <Project and release name>