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CAUSAL ANALYSIS REPORT

TOC
Defect Analysis Guidelines
Defects Register
Pareto Chart
RCA-Fishbone
Action Items
Pivot Tables
DP meeting records

Project ID:
Project Name:
Month of Analysis:
Prepared By :
Prepared Date:
Reviewed By:
Reviewed Date:

CARTMPL Ver. 5.5.0 26/04/2011

95557
HumanaOne IDE
Apr-16
Utkarsh Khamgaonkar
05/05/16
Amit Warudkar
05/06/16

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Home
Step 1
Download Defect Register from Equip [ Reports >> Export >> Defect Export ] and paste it in "Defect Register" sheet from col "A" to "L".
Step 2
For every defect, identify the appropriate Defect Cause Category (Col "M") from the below list.
Coding Error
Missed out Requirements
Incomplete Requirements
Improper Understanding of Requirements
Environmental Issues
Inconsistent requirements
Incomplete design
Lack of Standards
Lack of Standards Adherence
Incomplete Documentation
Lack of Tools
Lack of Knowledge
Lack of Testing
Others

Step 3
The Defect cause categories with their corresponding weighted defects are populated in the "Pareto Chart" sheet. Press the "Sort" button to sort the defect cause categories
based on the weighted defects, in descending order.
Step 4
From the Pareto Chart," identify the defect causes that contribute towards 80% of the defects ( Pareto Chart sheet ).
In case, Pareto chart reveals not a 80-20% situation, then 2 reason exists - 1) Less defects 2) Many defect with Many causes.
1) Less Defect - Choose defect that needs Causal Analysis on individual merits ( viz; Customer defect, Severe defect, etc)
2) Many defect Many causes scenario- Project team need brainstorming on "why we many defects on various causes." Make use of "Pivot tables" sheet for further Analysis
Step 5

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Conduct Defect Prevention meeting. Discuss the Defect Analysis


Brainstrom with the team, identify the root causes (For the defect cause categories that contribute towards 80% of defects) and fill the fish bone analysis chart.
Preserve Minutes of Meeting.
Steps to document Root causes:
Specify the Problem / Issue (Defect cause categories that contribute towards 80% of defects) in cell C4. (E.g. ; Maximum defects are occuring due to Coding errors.)
Categorise the sub causes and root causes under appropriate major categories ( People, Process, Tools, Technology ) and document the same in cells C7-F7 to C15-F15.
Sub causes and root causes documented are auto populated in the Fishbone Diagram. Hence enter values only in the cell specified (C7-F7 to C15-F15).

Note: Perform seperate RCA for all the defect cause categories that contribute towards 80% of defects. Root Causes can be documented in RCA-Fishbone-Defect Cause 1 & RC
Fishbone-Defect Cause 2 sheets. Copy and insert RCA sheets if required.

Step 6
For the identified root causes, list down action plans in the "Action Items" sheet and track them to closure.
Ensure the Action Plan is timebound and has identified measurments to track the effectiveness

Step 7
The effectiveness of action taken to be verified and recorded under "Action items" sheet and in case the action taken is found not effective, further plan of action to be identified an
Verification shall have objective evidences such as measurements that demonstrate the effectiveness of Action item.

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Legend :
ZZZZZZ

Problem / Issue statement

XXX

Sub Cause

NNNNN

Root Cause

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C-Customer
E-External
I-Internal
A-Assignment
B-Build/Package
C-Checking
D-Documentation
F-Function
G-Algorithm
I-Interface
T-Timing/Serialization
A-Program not operable
B-Major/Important function not operable
C-Minor function not operable
D-Superficial Error
06-Abend / system err Root cause analysis
10-Requirement Analysis
17-Impact analysis
180-Database Admin (Schema/ Table creation)
20-HLD - System Design
25-LLD - System Design
30-Coding
40-Unit Test Planning
42-Unit Testing
45-Integration Test planning
47-Integration Testing
50-System Test Planning
55-System Testing
58-Delivery/ Package creation
60-UAT Planning
62-UAT
70-Documentation
80-Abend resolution

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07-Root Cause Analysis of Abend/System Errors Review


11-RDD Review
18-Impact Analysis Review
181-Review Database change
20-HLD - system design
21-Review HLD - system design
25-LLD - System design
26-Review LLD - System design
30-Coding
31-Code Review
40-Unit Test Planning
41-Unit Test Plan Review
42-Unit testing
43-Review Unit Test result
45-Integration Test planning
46-Review Integration Test plan
47-Integration Testing
48-Review Integration test results
50-Systen Test Planning
51-Review System Test Plan
55-System testing
56-Review System Test Result
58-Delivery / package creation
59-Review delivery/ package creation
60-UAT Planning
61-Review UAT
62-UAT testing
63-Review UAT results
70-Documentation
71-Documentation Review
81-Review Abend resolution
85-Post acceptance

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ort the defect cause categories

es" sheet for further Analysis

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e analysis chart.

due to Coding errors.)


me in cells C7-F7 to C15-F15.
o C15-F15).

RCA-Fishbone-Defect Cause 1 & RCRCA-

her plan of action to be identified and recorded.

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Home

Defe

Task Name

Program
Name
(Object Id)

Defect Detection Phase


(Defect Detection Activity)

Defect No

Defect Raised
On
(Defect Date)

Internal Code Review

31-Code Review

04/04/16

Internal Code Review

31-Code Review

04/05/16

Internal Code Review

31-Code Review

04/06/16

Internal Code Review

31-Code Review

04/07/16

Internal Code Review

31-Code Review

04/08/16

Internal Code Review

31-Code Review

04/09/16

Unit Testing

42-Unit testing

04/10/16

Integration Testing

222859

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47-Integration Testing

222859

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04/13/2016

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Integration Testing

222897

47-Integration Testing

222897

04/13/2016

Integration Testing

223012

47-Integration Testing

223012

04/14/2016

Integration Testing

223062

47-Integration Testing

223062

04/14/2016

Integration Testing

223183

47-Integration Testing

223183

04/16/2016

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Defects Register

Description

Agency

Occurence
Phase

Severity Level

Defect Category
(Defect Type)

If Solar Manager and Order Manager are not used, then


please remove them from the controller

I-Internal

30-Coding

B-Major/Important
function not operable

F-Function

Add a test that checks what happens when an


invalid 'workflow' is passed.

I-Internal

30-Coding

B-Major/Important
function not operable

F-Function

All 'CO' on-exchange medical should have the Colorado


Exchange URL.

I-Internal

30-Coding

B-Major/Important
function not operable

F-Function

2015 On-Exchange medical for KY should have Kynect


URL.

I-Internal

30-Coding

B-Major/Important
function not operable

F-Function

Index of the added property in table row model should be


12 and not 11.
I-Internal

30-Coding

C-Minor function not


operable

F-Function

Use .Equals in place of '==' operator.

I-Internal

30-Coding

D-Superficial Error

F-Function

Insert true null in the StateCompliance table,


instead of "Null".

I-Internal

30-Coding

D-Superficial Error

F-Function

SIT-16.06-Medical tab is available in SAP page after


indicating Dental and/or vision plan in TUAY

C-Customer

30-Coding

B-Major/Important
function not operable

F-Function

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SIT-16.06-"Option" Ordering issue in Review & Apply page C-Customer

30-Coding

C-Minor function not


operable

F-Function

SIT-16.06-Missing email validation in Save quote pop up in


Review & Apply page
C-Customer

30-Coding

C-Minor function not


operable

F-Function

SIT 16.06 Off Exc Vision-administrave fee incorrect format C-Customer

30-Coding

C-Minor function not


operable

F-Function

SIT-16.06-Plan conflict error message is missing when


trying to select OnEX with Vision plan selected

30-Coding

C-Minor function not


operable

F-Function

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Causes of Defect

Code was not optimised before giving for


review.
One of the testing scenarios was missed
during implemetation of unit test cases.
Wrong value was used to update the table
column in the table script.
Wrong value was used to update the table
column in the table script.

Defect Resolution Date

SYNTEL

Defect Cause Category

Others
04/05/16

Coding Error
04/06/16

Coding Error
04/07/16

Coding Error
04/08/16

Coding Error
Incorrect index was used in the table row
model for newly added table column.

04/09/16

==' operator in place of .Equals method was


used for string comparison.
04/10/16

While doing DB testing of story


changes, null was inserted in string
format instead of true null.
Scenario of showing Dental and Vision only
plans was handled incorrectly in Block and
MedicalDetail sections of the Select A Plan
page.

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Lack of Standards Adherence


Coding Error

04/11/16

Lack of Testing
04/14/2016

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Missed out Requirements


Scenario of handling ordering of selected
plans on Select A Plan page was missed
during implementation.

04/14/2016

Coding Error
Code logic for email validation on Save
Quote pop up was missed during the
implementation.

4/15/2016

Coding Error
Dollar value of Administrative fee was not
formatted correctly in the ViewModel.

4/15/2016

Coding Error
Logic to return correct ExchangeType based
on LineOfCoverage was missed in
CheckAddedPlans method.

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Home

DEFECT ANALYSIS REPORT

Current Phase of the project

Defect Severity
Defect Cause Category
Coding Error
Others
Lack of Testing
Missed out Requirements
Lack of Standards Adherence
Lack of Knowledge
Improper Understanding of Requirements
Environmental Issues
Incomplete design
Incomplete Requirements
Lack of Tools
Inconsistent requirements
Incomplete Documentation
Lack of Standards

A
4
0
0
0
0
0
0
0
0
0
0
0
0
0

B
3
1
1
0
0
0
0
0
0
0
0
0
0
0

C
4
0
0
1
0
0
0
0
0
0
0
0
0
0

Cumulative
53
57
61
63
64
64

Cumulative %
82.81
89.06
95.31
98.44
100.00
100.00

D
1
0
0
0
1
0
0
0
0
0
0
0
0
0

Weighted
Defects
53
4
4
2
1
0
0
0
0
0
0
0
0
0

Major Defects Distribution Table


Defect Cause Category
Coding Error
Others
Lack of Testing
Missed out Requirements
Lack of Standards Adherence
Lack of Knowledge

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Weighted Defects
53
4
4
2
1
0

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Improper Understanding of Requirements
Environmental Issues
Incomplete design
Incomplete Requirements
Lack of Tools
Inconsistent requirements
Incomplete Documentation
Lack of Standards
Total

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0
0
0
0
0
0
0
0
64

64
64
64
64
64
64
64
64

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100.00
100.00
100.00
100.00
100.00
100.00
100.00
100.00

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Lack of Standards

Incomplete Documentation

Inconsistent requirements

Lack of Tools

Incomplete Requirements

Incomplete design

Env ironmental Issues

60

Defect Cause Category

Improper Understanding of Requirements

Lack of Knowledge

Lack of Standards Adherence

Missed out Requirements

Lack of Testing

Others

Coding Error

Defects

Defects Pareto
100.00

50
90.00

80.00

40
70.00

30
60.00

50.00

20

10

Cumulative. %

CAUSAL ANALYSIS REPORT


SYNTEL

40.00

30.00

20.00

10.00

0.00

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SYNTEL

Sort

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SYNTEL

90.00
80.00
70.00
60.00
50.00

Cumulative. %

100.00

40.00
30.00
20.00
10.00
Lack of Standards

Incomplete Documentation

0.00

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Home

FISHBONE ANALYSIS - Defect Cause 1


Problem / Issue

Coding Error
People

Sub Cause 1
>> Root Cause 1A

Sub Cause 2
>> Root Cause 2A

Sub Cause 3
>> Root Cause 3A

Sub Cause 4
>> Root Cause 4A

Process

Improper coverage of testing scenarios


Corrsponding test cases were not covered
during story implementation
Human error
Lack of Self Review
Team was unaware of performance impact
of using null as a string.
Unaware of DB best practices
Improper coverage of Story Acceptance
Criteria
Team did not ensure that the output
required from the story is completely
achieved.

FISHBONE DIAGRAM

People
Corrsponding test cases were not covered
during story implementation
Improper coverage of testing
scenarios

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SYNTEL

Lack of Self Review

Human error

Unaware of DB best practices

Team was unaware of performance


impact of using null as a string.

Team did not ensure that the output required


from the story is completely achieved.
Improper coverage of Story
Acceptance Criteria

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SYNTEL

Tools

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SYNTEL

- Defect Cause 1

Tools

Technology

AGRAM

Process

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SYNTEL

performance
a string.

Coding Error

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Technology

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CARTMPL Ver. 5.5.0 26/04/2011

Internal Use only

SYNTEL

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Internal Use only

SYNTEL

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SYNTEL

Coding Error

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SYNTEL

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SYNTEL

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SYNTEL

Home

FISHBONE ANALYSIS - Defect Cause 2


Problem / Issue
People

Process

Sub Cause 1
>> Root Cause 1A
>> Root Cause 1B
>> Root Cause 1C

Sub Cause 2
>> Root Cause 2A
>> Root Cause 2B

Sub Cause 3
>> Root Cause 3A
>> Root Cause 3B
FISHBONE DIAGRAM

People

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SYNTEL

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SYNTEL

Tools

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SYNTEL

- Defect Cause 2

Tools

Technology

AGRAM

Process

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SYNTEL

Technology

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CARTMPL Ver. 5.5.0 26/04/2011

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SYNTEL

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Internal Use only

SYNTEL

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SYNTEL

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Action Item Tracker


(Open Items from previous Causal Analysis also needs to be tracked here)
Sl No.

Identified Root Cause ( after Fishbone Analysis )

Improper coverage of testing scenarios

Team will target 100% code coverage in Unit


Test Cases by writing steps for corresponding
story implementation effective from 15th May.

Human error

Team members will avoid copy-pasting of code


and always do the coding only when the
requirements and purpose are fully clear
effective from 15th May.

Team was unaware of performance impact of using null as a string.

CARTMPL Ver. 5.5.0 26/04/2011

Internal Use only

Proposed Action Item

Team will incorporate query optimisation


techniques while working with DB which are
updated in Backend Coding Guidelines
effective from15th May.

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Action Owner(s)

Effectivenes Indicators

(This can be metrics to be tracked,


Process artifacts to be updated, Training
records, etc)

Unit Tests

SYNTEL

Monitoring duration /
effectiveness check date

Evidence of verifying
effectiveness

(Verification remarks in
accordance with Effectiveness
Indicators)
6/30/2016 Unit Tests

Team

Occurance of similar issues.

Till the project completion

Occurance of similar issues.

Backend Coding Guidelines

Till the project completion

Backend Coding Guidelines

Team

Team

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Status of effectiveness

SYNTEL

Action Status

(Effective implementation, Need (remains Open till


to monitor further, ineffective, 'Status of verification'
Verification not applicable)
is not 'Effective
implementation')
Need to monitor further

Open

Verification not applicable

Closed

Verification not applicable

Closed

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Home

Defect distribution Cause category V/s Severity


Defect Cause Category
Coding Error
Others
Lack of Testing
Lack of Standards Adherence
Missed out Requirements
Grand Total

CARTMPL Ver. 5.5.0 26/04/2011

Severity Level
D-Superficial Error

Internal Use only

1
2

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B-Major/Important function not operable

C-Minor function not operable


3
1
1

Grand Total
8
1
1
1
1
1
5
12
4

CARTMPL Ver. 5.5.0 26/04/2011

SYNTEL

Internal Use only

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Home

Defects
Occured in Phase
30-Coding
Grand Total

CARTMPL Ver. 5.5.0 26/04/2011

Detected at phase
31-Code Review

42-Unit testing
6
6

Internal Use only

1
1

47-Integration Testing Grand Total


5
12
5
12

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Home

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Defect trend
Causes of Defect
Code was not optimised before giving for review.
One of the testing scenarios was missed during implemetation of unit test cases.
Wrong value was used to update the table column in the table script.
Incorrect index was used in the table row model for newly added table column.
==' operator in place of .Equals method was used for string comparison.
While doing DB testing of story changes, null was inserted in string format instead of true null.
Scenario of showing Dental and Vision only plans was handled incorrectly in Block and MedicalDetail sections of the Select A Plan pag
Scenario of handling ordering of selected plans on Select A Plan page was missed during implementation.
Code logic for email validation on Save Quote pop up was missed during the implementation.
Dollar value of Administrative fee was not formatted correctly in the ViewModel.
Logic to return correct ExchangeType based on LineOfCoverage was missed in CheckAddedPlans method.
Grand Total

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Months
4/4/2016
1

4/5/2016

4/6/2016

4/7/2016

4/8/2016

4/9/2016

SYNTEL

4/10/2016 04/13/2016 04/14/2016

1
1
1
1
1
1
1
1
1

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04/16/2016 Grand Total


1
1
2
1
1
1
1
1
1
1
1
1
1
12

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Home

Date

Agenda of discussion

Updates on Defect Analysis

Defect Analysis

Defect Closed

Defect Analysis

Defect Closed

Defect Analysis

Defect Open

Defect Analysis

Defect Closed

Defect Analysis

Defect Closed

Defect Analysis

Defect Closed

Defect Analysis

Defect Closed

Defect Analysis

Defect Closed

4-May-16

4-May-16

4-May-16

4-May-16

4-May-16

4-May-16

4-May-16

4-May-16

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Defect Analysis

Defect Closed

Defect Analysis

Defect Closed

Defect Analysis

Defect Closed

Defect Analysis

Defect Closed

SYNTEL

4-May-16

4-May-16

4-May-16

4-May-16

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Defect Prevention Meetings - Minutes

Options discussed for Corrective actions


(This can be outcome of any
Brainstorming sessions)

Action items

Team will ensure that the code sent for review


is optimised to the maximum possible extent,
by referring code review guidelines, pre and
post implementation guidelines effective from
15th May.

Team will ensure that the code sent for review is optimised to
the maximum possible extent, by referring code review
guidelines, pre and post implementation guidelines effective
from 15th May.

Team will target 100% code coverage in Unit


Test Cases by writing steps for corresponding
story implementation effective from 15th May.

Team will target 100% code coverage in Unit Test Cases by


writing steps for corresponding story implementation effective
from 15th May.

Team members will avoid copy-pasting of code


Team members will avoid copy-pasting of code and always do
and always do the coding only when the
the coding only when the requirements and purpose are fully
requirements and purpose are fully clear
clear effective from 15th May.
effective from 15th May.

Team members will avoid copy-pasting of code


Team members will avoid copy-pasting of code and always do
and always do the coding only when the
the coding only when the requirements and purpose are fully
requirements and purpose are fully clear
clear effective from 15th May.
effective from 15th May.

Team members will avoid copy-pasting of code


Team members will avoid copy-pasting of code and always do
and always do the coding only when the
the coding only when the requirements and purpose are fully
requirements and purpose are fully clear
clear effective from 15th May.
effective from 15th May.
Team will refer and validate against Backend
Coding Standards document while self
reviewing story changes, to avoid repeatition
violation of already established coding
standards effective from 15th May.

Team will refer and validate against Backend Coding Standards


document while self reviewing story changes, to avoid
repeatition violation of already established coding standards
effective from 15th May.

Team will incorporate query optimisation


techniques while working with DB which are
updated in Backend Coding Guidelines
effective from15th May.

Team will incorporate query optimisation techniques while


working with DB which are updated in Backend Coding
Guidelines effective from15th May.

Team will create a checklist for all the scenerios


impacted by the story changes, before writing
test cases to get the maximum coverage and
will get it reviewed with the leads effective from
15th May.

CARTMPL Ver. 5.5.0 26/04/2011

Team will create a checklist for all the scenerios impacted by


the story changes, before writing test cases to get the maximum
coverage and will get it reviewed with the leads effective from
15th May.

Internal Use only

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Team will validate and ensure that the story


Team will validate and ensure that the story changes address
changes address each and every acceptance
each and every acceptance criteria of a story while self
criteria of a story while self reviewing before
reviewing before giving code for review effective from 15th May.
giving code for review effective from 15th May.
Team will validate and ensure that the story
Team will validate and ensure that the story changes address
changes address each and every acceptance
each and every acceptance criteria of a story while self
criteria of a story while self reviewing before
reviewing before giving code for review effective from 15th May.
giving code for review effective from 15th May.
Team will validate and ensure that the story
Team will validate and ensure that the story changes address
changes address each and every acceptance
each and every acceptance criteria of a story while self
criteria of a story while self reviewing before
reviewing before giving code for review effective from 15th May.
giving code for review effective from 15th May.
Team will validate and ensure that the story
Team will validate and ensure that the story changes address
changes address each and every acceptance
each and every acceptance criteria of a story while self
criteria of a story while self reviewing before
reviewing before giving code for review effective from 15th May.
giving code for review effective from 15th May.

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Action Owner

Action Status

Team

Closed

SYNTEL

Updated as on

6-May-16
Team

Closed
4-May-16
Closed

Team
6-May-16
Closed

Team

5-May-16
Closed
Team
5-May-16
Closed
Team
5-May-16
Closed
Team
6-May-16
Closed
Team
6-May-16

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Closed
Team
6-May-16
Closed
Team
6-May-16
Closed
Team
6-May-16
Closed
Team
6-May-16

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