QMS Awareness Training

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 Agenda

• ISO 9001:2000

• Quality Management System Structure

• Process Framework

– Delivery Management Framework

– Application Development Framework
– Application Enhancement Framework
– Testing Framework
– Operations Maintenance Framework
– Data warehousing Framework

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 ISO 9001:2000

• International Organization for Standardization

• Geneva based organization (http://www.iso.ch)

• Several member countries including India

• Contractual standards released in 1987 based on BSI Standards

• First revision in 1994

• Latest version released in 2000

• Certifications carried out by Quality Registrars like KPMG, BVQI, DNV

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 ISO - Standards

• ISO 9000:2000, Quality management systems - Fundamentals and

vocabulary
– Starting point for understanding the standards and defines the fundamental
terms and definitions used in the ISO 9000 family
• ISO 9001:2000, Quality management systems - Requirements

– Standard used to assess ability to meet customer and applicable regulatory

requirements
– Only standard in the ISO 9000 family against which third-party certification can
be carried.
• ISO 9004:2000, Quality management systems - Guidelines for
performance improvements
– Guidance for continual improvement of quality management system

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 What is ISO 9001:2000

• ISO 9001:2000 is a model of a process-based Quality Management

System
• ISO 9001 specifies requirements for a quality management system that
can be used for internal application by organizations, or for certification,
or for contractual purposes. It focuses on the effectiveness of the quality
management system in meeting customer requirements
• Applicable to all types of Organizations with possible permissible
omissions of certain requirements

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 ISO – 9001:2000 Process Based Model

Continual Improvement
Of the
Quality Management System

5. Management
CUSTOMER’S

Responsibility

CUSTOMER
Satisfaction
8. Measurement
6. Resource
Analysis and
Management
Improvements
4.Quality
Management System

7. Product
Realization
Requirements Product Consumption

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 Quality Policy

UHGIS is committed to add value to UnitedHealth Group's

Business Segments, by doing the right thing, the right way,
and the very first time. Enabled by operational excellence,
continuous process improvement, and an environment that
promotes initiative, innovation and collaboration.

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 UHGIS Quality Management System Structure

Quality Policy Manual

Apex Manual for QMS

Quality Systems and Procedure

Manual
• Procedures and Templates of all
Software Engineering Lifecycle
stage activities for all Operational
model
• Support Document for SELC
activities
• Procedures and templates for all
support functions i.e. Real Estate,
Human Capital, IT infrastructure,
Finance etc.

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 Quality Organization Structure

Process Institutionalization
Metrics Data Collection
Process Compliance

ITO
QR
QC

BB
IT Infrastructure QR
QC

Quality &
Methodology BB QR
QC Human Capital
( Overall
Process
Establishment,
Definition,
Updation,
Improvement, BB HBS QR
QC
Metrics
Reporting)

Real Estate QR
QC
BB

Finance QR
QC
QR – Quality Representative
QC – Quality Champion
BB- Black Belt

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 Quality Reviewer Interface and Activities

PROJECTS / SUPPORT Functions

Facilitation PMP Conducting Follow-up and Providing Project

/ Training Review Audits close Non- Compliance Feedback
Conformances

QR

Provide Project Provide Process Provide Metrics for

Compliance Feedback Feedback Monitoring

Sr Management QC/BB QC

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 Process Framework

QMS Project
Requirements
Software
Life Cycle
Framework

Select Life Cycle

Tailoring Model
Guidelines AD/AE/Testing

Standard Develop Project’s Project Plan Project Execution

Process Software Process (Work Products)
Model

Organization
Process
Database

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 Process Framework
Delivery Management

Project Initiation
Application Development - AD

Project Planning Application Enhancement - AE

Operations Maintenance - OM
Project Execution
& Control Testing

Data Warehousing
Project Closure

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 Delivery Management Process

Inputs from Demand and Approved Project Plan, Accepted Project

Inputs Approved Project Scope
Capacity Management Schedule, Process Model Deliverables

Project
Phase Project Initiation Project Planning Execution Project Closur
And Control

1. Finalization of Project 1. Conduct Initiation Meeting 1.Work Management 1.Metrics Consolidation

Objectives & scope 2.Validate Project Estimation 2.Tracking Project Issues and Analysis
2. Preparation of SOW 3.Preparation of PMP 3.Tracking Project Risks 2.Project Lesson Learnt
3. Identification of PM & 4.Preparation of Risk Mgmt Plan 4.Tracking Scope Changes 3.Closure Audit
Activities
Core Team 5.Preparation of Metrics Plan 5.Tracking Project Progress
4. KT from UHGUS to 6.Preparation of QA Plan 6.Work Product Review
UHGIS. 7.Define communication and 7.Configuration Control
5. SPRF / WO Review Control Approach. 8.Quality Assurance Audit
8.Set up Project Team 9.Review Project Plan

Project Scope Approved PMP and Allied Plans Issue Log Updated Project Repository
Outputs
SPRF / WO Approved Process Model Defect Tracking Log Project Closure Memo

Minutes of Project Initiation Meeting Risk Management Log

Completed Transition

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 Testing Process

Signed Off BRD Test Plan/ Test Design Test Cases Test Log /
Inputs Test Requirements
Acceptance Criteria Strategy Test Scenarios Test Scripts Defect Log

Phase Test Requirement Test Test Test Delivery

Test Design
Analysis Planning Development Execution & UAT

1.Define Testing 1.Define Test Plan/ 1.Identify Test 1.Prepare Test 1.Receive Build 1.Prepare Test
Scope Test Strategy Scenario Cases 2.Study Application Summary Report
2.Define Test 2.Review Test Plan/ 2.Generate Auto- 3.Execute Test 2.Deliver Test
Requirements Strategy 2.Identify integration -mation Test Cases Summary report
Activities 3.Review & Analyze 3.Evaluate Test Tool / interface test Scripts 4.Record Test 3.Assist in UAT
requirements 4.Installation, Setup Scenario 3.Review Test Results Test data
4.Prepare Testing and customization of 3.Test Design Cases / Automation 5.Update RTM preparation
Traceability Matrix tool used for testing 4.Prepare Test Data scripts 4.Assist in UAT
5.Test Environment 4.Update RTM
setup

Test Summary
Test Requirements Tool Evaluation Report Test Scenarios Test cases/Scripts Test case Logs
Report
Outputs
RTM Test Plan / Strategy Test Data/Environ Updated RTM Defect Logs

Updated RTM Updated RTM Updated RTM

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 Application Development Process

Signed Off BRD

Functional Specs Approved Design Doc Unit Tested Code
Inputs Acceptance
Test Plan / Test Strategy Updated Test Plan / Strategy System/Integration Test Cases
Criteria

Phase Requirement Coding and Integration and

Design
Analysis Unit Testing System Testing

1.Architecture Evaluation System/Sub System Develop Code Perform Integration Testing

Design (User Interface,
2.Proof of Concept to Application, Data, Conduct Code Reviews Rework after Integration Testing
validate NFR and Common Components ) Update RTM
Activities underlying architecture Perform Unit testing and Perform System Testing
Update test Plan create Test Logs Rework after System Testing
3.Prepare Functional for Integration & Unit Testing
/Technical Spec Update RTM Document Operations Manual
Define Unit test cases and User manual
4.Define Test Plan \ Strategy Update RTM Setup Integration & System
& System Test Cases Test Environment Inputs for Data migrations

5.Prepare RTM RTM Completeness Check

Functional Specs Approved Design Developed Code System/Integration Test Logs

Outputs
Test Plan / Strategy Test Strategy Unit Test Logs Updated RTM

RTM Updated RTM Code Review Sheets

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 Application Development Process
Release Note UA Tested Application Completed
System Test Logs
Inputs Acceptance Criteria Environment for NFR Production
Data Migration Templates /Test Plan Validation Roll out

Implementation Post
Phase Delivery UAT Implementation
Support Support

1.Packaging Support UAT Support for Data Migration Incident Reporting

Environment Setup
2.Prepare Software Support for NFR Validation Performance Monitoring
Release Note Support User
Activities Acceptance Testing Define Post Production SLA Monitoring
3.Prepare Installation support process (if applicable)
Manual Fix UAT Defects
Support for Production Warranty support
4.Delivery Checklist roll out

Release Note Acceptance Test Logs Completion

Production Rollout Plan
Outputs of Warranty Period

Installation Manual UAT Defect analysis Rollback Plan

Delivery Defect Analysis

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 Data Warehousing Process
Dimensional model
Signed Off BRD Unit Tested Executables System Test Logs
Inputs Physical DB, ETL,
Acceptance Criteria System Test Procedures Data Migration Templates
Report Design

Integration
Phase Coding & / System
Design Delivery
Unit Testing Testing

1.Architecture Analysis 1.Setup Development 1.Perform Integration 1.Package

2.Define Physical and Logical Environment / System Testing
Data Model, ETL and Report 2.Coding ( Mappings, report 2.External data 2.Prepare Software
Design scripts and other interface testing release Note
Activities 3.Metadata Architecture Design development objects
4.Identify different sources of 3.Code Review 3.NFR testing 3.Final Package Review
metadata 4.Perform unit testing for ETL
5.Prepare Integration and System and OLAP 4.Inputs for Data 4.Delivery
6.Test Cases for ETL and 5.Fix Code review and Unit Migration
OLAP reports Test Defects 5.Delivery review
7.Plan for unit testing 6.Setup Integration /System 5.Data Migration
(ETL and OLAP reports) test environment Templates review
8.Prepare RTM 7.Integration /System
Test Data preparation 6.RTM completeness
8.Update RTM check

Approved Mapping,
Dimensional model System Test Logs Software Release Note
Report scripts
Outputs
Physical DB, ETL, Report Design Code Review / Unit Test Logs Data Migration Templates Delivery

RTM Updated RTM Defect Analysis Report Packaging Defect Analysis

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 Data Warehousing Process

Release Note UA Tested Application

Inputs Completed Production Roll out
Acceptance Criteria Environment for NFR Validation

Post
Phase User Acceptance Implementation
Implementation
Testing Support
Support

Support UAT Support for Data Migration Incident Reporting

Environment Setup
Support for NFR Validation Performance Monitoring
Support User
Activities Acceptance Testing Define Post Production SLA Monitoring (if applicable)
support process
Fix UAT Defects Warranty support
Support for Production roll out

Acceptance Test Log Production Rollout Plan Completion of Warranty Period

Outputs
UAT defect analysis Roll back Plan

Defect Analysis

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 Application Enhancement Process

Effort
Effort Effort Effort
Categorization X> 300 Phrs
0 < X <=40 Phrs 40 < X <=160 Phrs 160 < X <=300 Phrs

Type of Request Break Fix Minor Major Development

Request Enhancement Enhancement Request

1.Analysis, Coding 1.Analysis of Requests 1.Analysis of Requests 1.Follow Development

and unit testing Process Model
for Break Fix 2.Estimation and refinement 2.Estimation and refinement of
of effort estimation effort estimation
Activities 2.Support for UAT
and Deployment 3.Coding 3.Test Case Preparation (includes
unit, system and regression
4.Testing testing)

5.Support for UAT and 4.Coding

Deployment
5.Testing (includes unit, system
and regression testing)
Support for UAT and Deployment

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 OM – Problem Management Process

Problem Solution
Analysis Solution
Phase Estimation & Design Solution
of
Change & Testing
Problem Deployment
Ticket Development

1.Identify the root cause 1.Estimate the effort 1.Prepare program spec for 1.Prepare and review 1.Identify tickets to be
of the problem. Resolving the root cause the if new programs were System and bundled in the release
for Problem ticket written. Regression test
2.Engage the QA 2.Categorize the problem Cases 2.Define the deployment
Activities SME /SA SME based on the effort 2.Prepare unit test cases plan and back out plan
as required. estimation 2.Perform System /
3.Review Unit test cases Regression testing 3.Verify the deployment
3.Analyze the Problem 3.Communicate the readiness
requestor / SME to raise 4.Code for the problem 3.Follow-up testing
4.Review the Analysis the work order if the effort ticket defects and track to 4.Deployment approval
is more than 40 hours closure
5.Review the code 5.Deploy the Change
4.Raise the Change Ticket 4.Prepare Release in Production
for approval 6.Perform Unit testing Note
6.Verify the Deployment
5.Review the proposal for 7.Track testing defects to 5.Provide support for in Production
Change and approve it. closure UAT.
7.Production Checkout
6.Review & sign off the
Technology/Business 8.Close the Problem
/ functional changes Ticket

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 OM – Incident Management Process

Incident Detection Investigation Resolution Close

Phase Incident
& & &
Classification
Recording Diagnosis Recovery Incident

1.Tier 1 Contact places a 1.Classify the incidents. 1.Triage the incident 1.Refer to Knowledge 1.Close the Incident in
service call through UHT Assign the ticket to tickets to check if it Repository to check HPSD
Helpdesk/through HPSD Development team if is a data fix or if work around is
Website* the defect is under code fix. available
Activities Warranty period
2.Incase the Incident ticket 2.Close the incident 2.Apply the work
is not raised by Tier 1 2.Assign the ticket to OM Ticket if it is a Code around if it is
team then OM team Lead Developer if the defect is Fix and Open the available
directs the requestor/Caller post warranty period problem ticket.
to Tier 1 Team 3.Solicit assistance
3.If the incident ticket is 3.Communicate the from SME (QA/SA)
Priority 1 during non requestor about closing incase if work
US Working hours then the incident ticket and around is not
all stakeholders are opening of Problem ticket. available
informed and War Room
is arranged Resolution 4.Refer to Resolution 4.Test the work
for the Incident and Recovery if it is around and
is discussed and a Data fix. Update the
communicated to all. Knowledge
Database

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 SQA Audit

Client Audit External Audit

Suitability of Quality
Management System

Quantitative analysis
of audit findings
leads to measure of

Effectiveness of process
and implementation

SQAG Audit Internal Quality Audit

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 Continuous Process Improvements

Audit Findings

Process improvement
Inclusion in QMS initiated from the findings Process Improvement
and analysis

Input to Q&M

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 Expectation from Team

• Complete the task assigned to you.

• Understand the estimated effort and timelines for the assigned task.

• Log actual efforts into the identified tool.

• Ensure that all your deliverable is peer reviewed.

• Log all the review comments in Review log for the artifact reviewed.

• Fix all the defects assigned to you.

• Inform PM about any project related issues / risks and record it into Risk
Log / Issue Log.

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 Thank You

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