QC RPD Process Migration To QC Tool - Documentation

QC RPD Process migration to QC Tool - Documentation
Prepared by: George Salvania

Documented by: George Salvania
Project Status: Executing
Copyright © 2019 FactSet Research Systems Inc. All rights reserved. FactSet Research Systems Inc. | www.factset.com
DEFINITIONS
Currently, the quality control process is using RPD and manual intervention of quality control associates
in doing random sampling audits to the tickets of the portfolio services coordinators. As well as, manual
intervention of QCAs on different audit sources like RPD mention, Outlook emails and PSPC QC Audit
tags.
This project was started since 21st of June 2018 until now. The QC RPD Process migration to QC Tool
with static form is a project effort that will help the QCAs to do automatic random sampling of tickets from
the coordinators and audit it through the QC form tool, as well as to the coordinator to easily made
disputes on their end and record all the changes that will happen on every valid and invalid disputes of
the coordinator.
QC Tool is used by Quality Control Analysts (QCA) responsible for auditing production work to perform
random sampling quality control processes. Collection tools send production data to the QC Tool, and
QCAs pull samples for grading based on established thresholds and quotas. The QC Tool holds
metadata about each field that can be graded, and the QCA records any errors made during collection.
The QC Tool also facilitates a dispute process whereby researchers can disagree with any errors
recorded by the QCA. These disputes are ultimately resolved and are tracked to identify inconsistencies
in QC methodology and training opportunities. QC Tool data is fed directly to CMIS for Accuracy
reporting.
OBJECTIVE
The objectives of QC RPD Process migration to QC Tool are follows:
 To establish and automate time-saving process of ticket random sampling audit
 To have proper validation of disputes that will acknowledged and completed on timely manner
 To have timely manner of distribution of QC audits to each coordinator
 To perform audits on common internal FactSet tool
PROCESS MIGRATION DEFINITION

I. Auditing production work
 Audit new records for every QC finding that can be found on our QC sources that are listed
below.
 QC Sources
 Curator Miss – An audit performed using outlook email messages
 RPD mentions – An audit performed using outlook email messages and
RPD Views
 Client facing errors – An audit performed using outlook email messages
and RPD Tags
 QC Group Chat – An audit performed using shared one note page to all
QCAs
 Peer Coordinator Feedback – An audit performed using RPD Tags that
can be viewed using RPD Views
II. Perform random sampling

 Perform random sampling using a RPD view on every coordinator’s acknowledged notices
III. Manages QC metadata
 QCAs will manage all the records that came from auditing and random sampling. Fields of
access in managing metadata
 RPD Link – Field on where the RPD Links listed this will include all the records that
will came from the QC audits and random sampling
 Date Added – Audits on when the RPD was added on the database
 QC Checker – Person who will performed auditing and random sampling on
coordinators’ work or acknowledged notices/RPD.
 Employee ID – Employee ID of all coordinators
 Coordinator Name – Name of the coordinator that subject for QC within the PSPC
team
 Issue Type – List of all issue that currently present on our dashboard. Please see
below list of issue type
 Late Missing File
 Parse Consistency Issue
 Job/ Parse Failure
 Runtime Issue
 Out of Order Workflow
 NRS/Stale Data
 Late Workflow/Job
 File Failed Transfer
 Out of Sync Workflow
 Incorrect Escalation
 Dashboard Production Run Linking
 Curator Error
 Failed ECS Production FIAB Batch Jobs
 Common Errors Category
 Shift Report Handoffs
 Issue Category – List of all specific issue/error that related on all Issue Type
categories
 Error Severity – Each Coordinator starts with a base score of 100%. When an error
is found during an audit, corresponding scores are deducted. These scores are
dependent on the severity level of the error. Findings are categorized and scored
by severity listed below
 No Error. 0 points will be deducted to the base score
 Low. 5 points will be deducted to the base score
 Medium. 10 points will be deducted to the base score
 High. 20 points will be deducted to the base score
 Error Type – This will be categorized as Accuracy or Procedural Errors

 QC Comments – Field on where the QCAs will input their comments and
investigations on the records that came from QC audits and random sampling
 Curator? – This will be answer as Yes or No
 Yes – The coordinator are granted an additional 2.5 points on their
initial accuracy points
 No – The coordinator are granted an additional 0 points on their initial
accuracy points
 Holiday? – This will be answer as PH and US Holiday, PH or US Holiday, and No

Holiday
 PH and US Holiday – The coordinator are granted an additional 5
points on their initial accuracy points
 PH or US Holiday – The coordinator are granted an additional 2.5
points on their initial accuracy points
 No Holiday – The coordinator are granted an additional 0 points on
their initial accuracy points
 Finding Source – This will be categorized on where the QC audits and random
sampling came from
 RPD Random Sampling
 Curator Miss
 RPD Mentions
 Client Facing Errors
 Peer Coordinator Feedback
 Is Dispute Valid? – This will be answer as Valid and Not Valid. Decreasing of error
are discussed in “IV. Facilitate dispute process & calibration”
 Disputed Error points – This field indicates the QCA’s decisions on the points that
will be given to the coordinator that will serve as consideration points
 Initial Accuracy – This field indicates initial score in every QC audits and random
sampling. Formula are shown below.
Initial Accuracy = 100 + [Disputed Error Points] + [Holiday Points]
+ [Curator Points] – [Error Severity Points]
 Final Accuracy – This field indicates the overall accuracy on every QC audits and
random sampling. Formula and conditions are shown below
 If the Initial Accuracy is greater than or equal to 100, then the Final
Accuracy will be equal to 100%, or else the Final Accuracy will be
equal to Initial Accuracy
if(Initial Accuracy >= 100){

Final Accuracy = “100”;
}
else {
Final Accuracy = Initial Accuracy;
}
IV. Facilitate dispute process & calibration

 Document disputes between QCAs and Coordinators which will be tagged as valid disputes, not
valid disputes, and for further review disputes. Status of disputes are defined below.
 Valid Disputes – Error’s severity can be lowered once the coordinator provides
proof that the error was made by a different coordinator. Details are included on
the attached PSPC QC Audit Process Document v2.0.pdf
 Not Valid Disputes – Error’s severity will be remain as the original
V. QC data linked to reporting page

 QCA’s are doing reporting using PIVOT table on excel features
METHODOLOGIES
In order to migrate the current QC process to QC tool, the engineers and developer will need to based
on our own QC Tool Template Specs that will be discuss below.
QC Tool Template Specs are entailed of the following areas:

 QC Process Checklist
o Process Information – The QC tool request will use the type of data field source which is
“Data Field with Static Update Count”. This is where all the data fields available for the
workflow are going to be added on a QC sample. Update count is default as one but can
be changed based on the Default Update Count value provided.
o User Permission – list of employees will have different secured access based on their
positions that will be divided into Researcher, QC Access, QC on QC, Calibration, and
Moderator.
 Metadata - This is the set of fields that will help the QC Analyst to easily identify a QC sample.
Our QC Metadata will consists of the following based on the nature of work in Portfolio Services.
Please see table below.
 Error Types - Type of Error that will be used as definitions on every severity of errors. Each
corresponding kind of issues has equivalent scoring value that need to be inputted or update
on the QC form tool once there was an error on the audits for both issue and error type which
is “Research High”, “Missing Data”, and “Research Low”.
 Data Fields – Fields that will be used and DB Table Name, CTX Weight, Update Count.
o CTX Weight – Weight Value on which the Error type scoring will reflect in the Total
Accuracy Points
o Update Count – the value will be on constant “1” to reflect to the product of CTX Weight
and Update Count
 Excel Plug in Format – The template will be used in doing manual upload on the QC Workflow
Tool to QC Form Tool
o Primary ID
o RPD Number
o RPD Date
o Coordinator Name
o Employee ID
o QC Checker
o Finding Source
SUMMARY TIMELINE
Target Final
Date Action Goals Owners Status Initial Remarks Remar
(EST) ks
Found out that each Issue
Type and Category and Error
type must have definite CTX
Arlene Retamal will To have clear and correct Weight that will ratio on the
7/10/18 3:30 discuss the important understanding on the Total opportunity points.
Arlene Rematal Completed DONE
PM definitions and challenges and definitions The opportunity points
challenges of QC Tool of the QC Tool should be inline on how we
compute ratings in each
audits of our current QC
process.
To have a prepared
Discuss all definitions inquiries and clarifications George Salvania
7/10/18 4:00 Created questions regarding
and methodology of during Saeed's QC Tool and Ronald Renz Completed DONE
PM static qc form
the QC Tool Manual Demo for Data Field with Amante
Static Update Count
Create a invitation for
a QC Tool Demo to To be prepare on Prepare a email or invitation
Saeed and request for upcoming QC Tool Demo and share it to the
7/10/18 10:00
a sample QC Tool and know if Saeed is George Salvania Completed Managers, QC and DONE
PM
Specs for Data Field available on the proposed Representatives if they will
with Static Update time of QC Tool Demo agree
Count
Create and set up a meeting
To distinguish correct
QC Tool Demo for for Saeed's QC Tool Demo
7/12/18 4:30 application of Data Field
Data Field with Static George Salvania Completed (Target Data is not yet sure, DONE
PM with Static Update Count
Update Count its depend on the
to PSPC QC
availability of Saeed)
To determine whether the George Salvania, Create a draft for QC Tool
Discuss possible ways
7/19/18 4:30 QC Tool-Data Field with Ronald Renz Specs and endorse it to the
on how to overcome Completed DONE
PM Static Update Count is still Amante, Lyn developers to try for a beta
challenges on QC Tool
applicable on PSPC-QC Retamal version for PSPC
Provide QC Tool Specs
Target Date is not yet final
to the developers and
7/26/18 4:30 To create a test for a QC because it is still depends on
share it to the George Salvania Completed DONE
AM Tool Beta Mode the output of discussions on
Managers, QC and
challenges on 7/19
Representatives
Access was granted to
Request access to for George Salvania and Mel
8/3/18 11:00 Data Field with Static To familiarize in operating Macam, but we also added
George Salvania Completed DONE
AM Update Count QC a static QC form Renz and Akhilesh on the
Form RPD:43295557 for QC Tool
Access
Request to create new George Salvania
QC form for PSPC and Ronald Renz RPD was created to by
9/13/18 3:29 To establish beta
(Portfolio services Amante and Completed providing the whole QC DONE
AM development on QC Form
process Akhilesh Kumar Specs
coordinators) Singh
Provide clarification to
Simhadri regarding Provided response to the SE
inquiry on regarding https://is.factset.com/rpd/s
9/30/18 12:00 To finalize and analyze the George Salvania
data source, Completed ummary.aspx?messageId=4 DONE
AM spec template and Akhilesh
getnextlogic, and 4464556&commentId=4683
metadata field 6646
mapping
Agreed to focus first and
Discuss current
To create and synchronize George Salvania random sampling audit and
1/30/19 12:00 template that will be
the current QC Template and Akhilesh and Completed provide the Final QC DONE
AM used on QC Workflow
to QC Workflow Tool Cyrus Template to the RPD
Tool
request
Poset the QC Template on
Provide Final QC To create and synchronize George Salvania https://is.factset.com/rpd/s
2/4/19 12:00
Template with the current QC Template and Akhilesh and Completed ummary.aspx?messageId=4 DONE
AM
Primary ID to QC Workflow Tool Cyrus 4464556&commentId=4866
6397
Present and
understant on how To establish connection George Salvania
2/13/19 12:00
the QC Template will between QC Workflow and Akhilesh and Pending
AM
work on QC Workflow tool to QC Form Tool Cyrus
tool
Perform beta auditing
to using the Perform at least beta George Salvania
2/20/19 12:00
connection of QC version of the tool for a and Akhilesh and Pending
AM
Workflow tool to QC week to month Cyrus
Form
REFERENCES
RPD Link Request: https://is.factset.com/rpd/summary.aspx?messageid=44464556

QC Tool Manual: http://is.factset.com/Docs/cctcommon/QCToolManual.html

QC RPD Process Migration To QC Tool - Documentation

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QC RPD Process migration to QC Tool - Documentation

Prepared by: George Salvania

PROCESS MIGRATION DEFINITION

II. Perform random sampling

III. Manages QC metadata

 Error Type – This will be categorized as Accuracy or Procedural Errors

 Holiday? – This will be answer as PH and US Holiday, PH or US Holiday, and No

if(Initial Accuracy >= 100){

IV. Facilitate dispute process & calibration

V. QC data linked to reporting page

QC Tool Template Specs are entailed of the following areas:

RPD Link Request: https://is.factset.com/rpd/summary.aspx?messageid=44464556

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