The QA Governance Methodology

The QA Governance Methodology

The Importance of the QA Process The complexities of today s quality assurance (QA) function require a strategic approach, not unlike the other complicated business processes a financial institution addresses with some regularity. Planning plays a large part in this; the initiative must be thought out in detail in advance all the way through to the desired end result. Figure 1 shows the three strategic planks that form the foundation upon which the structure of the QA process is built: The set of support activites (including facilitation, training, measurement and anlysis) needed to provide adequate confidence that processes are established and continuously improved to CSQA_CBOK, QAI v6.2 produce products that meet specifications and are fit for use. QUALITY ASSURANCE Establish Process QUALITY CONTROL Testing/Validation QUALITY ASSURANCE MANAGEMENT Managing the Process Figure 1: The foundation of the QA process 2

QA Is More Than testing The financial services industry often underestimates the QA requirements in large-scale projects, wrongly assessing QA to be not much more than the sophisticated execution of a software testing plan. But the QA function should not be undervalued, as it is critical in addressing challenges posed by the automation upgrades, system conversions and wide-scale integration initiatives. One of the keys to creating high-quality systems is following an effective QA governance methodology. This ebook explores the six phases in a comprehensive QA governance model. We will describe the activities in each of the phases as well as the output or deliverables clients can expect from a QA initiative managed by FIS Technology Consulting. 3

The Six Phases of QA Governance Figure 2 shows the six interdependent phases of QA governance. These distinct phases provide a management framework to ensure that quality is retained throughout the process and that the product or service meets the expectations of the customer. In essence, they provide the structure in the governance of QA initiatives. TRANSITION AND CONTROL EXECUTE INITIATE SETUP TAILOR PLAN Figure 2: The six interlocking phases of QA governance 4

INITIATE Quality Policy QA Strategy Success Criteria Measurement Plan During the initiation phase, the QA manager begins work on the test and acceptance strategy to be applied to the initiative or program. QA practices and methodologies are defined. All stakeholders and program participants gain a clear understanding of QA ownership and measurements. The Quality Policy, Quality Strategy, Success Criteria and Measurement Plan are key deliverables at this initial phase in the process. 5

TAILOR QA Deliverables Identified QA Governance Processes Quality Control Processes Quality Records Identified In the tailor phase, the QA solution becomes more customized to the financial institution s environment, taking into account culture and unique operational requirements. All critical QA deliverables are identified. Other outputs from this step are the QA Governance Processes, Quality Control Processes and the identification of Quality Records. 6

PLAN Deliverable Acceptance Criteria Fine-tuned QA Governance Processes Document Control Joint Review Assessment Failure Mode Effects Analysis (FMEA) Verification During the planning phase, the QA manager ensures that resources are identified to fill needed QA roles across all organizations participating in the program. A test plan is established that includes input from the data management, environment, resource, defect management and communication plans. Key deliverables from this step include Deliverable Acceptance Criteria, Fine-tuned QA Governance Processes, Quality Standards and Validation Plans. Validation Problem Resolution Quality Standards Schedules Defined Roles and Responsibilities Verification Plans Validation Plans Joint Review Schedule Assessment Schedule 7

SETUP QA Governance Processes Implemented QA Contact List Problem Tracking Tools and Reports In the setup phase, the finalized plans and processes are implemented in preparation for the execution phase. The document control systems and measurement tools are set up, and the QA governance processes are implemented. Other deliverables are the QA Contact List and the Problem Tracking Tools and Reports. Document Control Systems Measurement Tools 8

EXECUTE AND CONTROL Solution Testing Considerations FMEA Reporting Assessment Reports Joint Review Reports Verification Reports Requirements Verification Design Verification Requirements Traceability Matrix (RTM) Development Oversight Test Summit Validation Status Reports Logged Problems Problem Status Data Analysis Transition Plan In the execute and control phase, the QA manager monitors the entire QA process across internal teams, the bank client and any third-party vendors. The QA manager works on many tasks in this phase, including: Review and ensure completion and correctness of test cases (both internally and with the bank) Ensure all teams are providing consistent documentation for defect and test execution reporting Consolidate all teams defect and test execution reports Ensure environment and all preconditioned test data is ready for execution Monitor execution process across all program participants Manage overall defect management process Coordinate and support internal, client and end-to-end testing efforts Conduct quality checkpoints/gates to ensure overall quality and ultimate success of the initiative Deliverables from this phase include Assessment Reports, Verification Reports, Problem Resolution Reports and a Transition Plan. 9

TRANSITION QA Summary Report Approach for Any Deferred Problem (if applicable) Lessons Learned In the transition phase, a program debriefing is created and conclusions from the completed initiative are summarized. The deliverables included a QA Summary Report, Lessons Learned documentation and an approach for any deferred problems or issues (if applicable). 10

FIS Technology Consulting QA Governance QA Deliverables Phase INITIATE Quality Policy QA Strategy Success Criteria Measurement Plan TAILOR QA Deliverables Identified QA Governance Processes Quality Control Processes Quality Records Identified PLAN Deliverable Acceptance Criteria Fine-tuned QA Governance Processes Document Control Joint Review Assessment Failure Mode Effects Analysis (FMEA) Verification Validation Problem Resolution Quality Standards Schedules Defined Roles and Responsibilities Verification Plans Validation Plans Joint Review Schedule Assessment Schedule SETUP QA Governance Processes Implemented QA Contact List Problem Tracking Tools and Reports Document Control Systems Measurement Tools EXECUTE AND CONTROL Solution Testing Considerations FMEA Reporting Assessment Reports Joint Review Reports Verification Reports Requirements Verification Design Verification Requirements Traceability Matrix (RTM) Development Oversight Test Summit Validation Status Reports Logged Problems Problem Status Data Analysis Transition Plan TRANSITION QA Summary Report Approach for Any Deferred Problem (if applicable) Lessons Learned Summary QA governance plays a significant role in driving intended program or project results on time and on budget. A strong QA governance methodology provides the backbone of the QA initiative and helps ensure satisfied bank customers, stakeholders and shareholders. 11

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