RCA Neptune Apr-16

CAUSAL ANALYSIS REPORT
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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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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
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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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
31-Code Review
04/05/16
31-Code Review
04/06/16
31-Code Review
04/07/16
31-Code Review
04/08/16
31-Code Review
04/09/16
Unit Testing
42-Unit testing
04/10/16
Integration Testing
222859
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Integration Testing
222897
222897
04/13/2016
Integration Testing
223012
223012
04/14/2016
Integration Testing
223062
223062
04/14/2016
Integration Testing
223183
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
F-Function
All 'CO' on-exchange medical should have the Colorado

Exchange URL.
I-Internal
30-Coding
B-Major/Important
F-Function
2015 On-Exchange medical for KY should have Kynect

URL.
I-Internal
30-Coding
B-Major/Important
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
F-Function
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SIT-16.06-"Option" Ordering issue in Review & Apply page C-Customer
30-Coding

operable
F-Function
SIT-16.06-Missing email validation in Save quote pop up in

Review & Apply page
C-Customer
30-Coding

operable
F-Function
SIT 16.06 Off Exc Vision-administrave fee incorrect format C-Customer
30-Coding

operable
F-Function
SIT-16.06-Plan conflict error message is missing when

trying to select OnEX with Vision plan selected
30-Coding

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
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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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Coding Error
04/11/16
Lack of Testing
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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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DEFECT ANALYSIS REPORT
Current Phase of the project
Defect Severity
Coding Error
Others
Lack of Testing
Lack of Knowledge
Incomplete design
Lack of Tools
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

Coding Error
Others
Lack of Testing
Lack of Knowledge
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Weighted Defects
53
4
4
2
1
0
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Incomplete design
Lack of Tools
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
Lack of Tools
Incomplete design
Env ironmental Issues
60
Lack of Knowledge
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. %

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40.00
30.00
20.00
10.00
0.00
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90.00
80.00
70.00
60.00
50.00
Cumulative. %
100.00
40.00
30.00
20.00
10.00
Lack of Standards
0.00
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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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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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Tools
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- Defect Cause 1
Tools
Technology
AGRAM
Process
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performance
a string.
Coding Error
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Technology
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Coding Error
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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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- Defect Cause 2
Tools
Technology
AGRAM
Process
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Technology
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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.
131 of 146
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
CARTMPL Ver. 5.5.0 26/04/2011
Internal Use only
132 of 146
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
CARTMPL Ver. 5.5.0 26/04/2011
Internal Use only
133 of 146
SYNTEL
Home
Defect distribution Cause category V/s Severity

Coding Error
Others
Lack of Testing
Grand Total
CARTMPL Ver. 5.5.0 26/04/2011
Severity Level
D-Superficial Error
Internal Use only
1
2
134 of 146
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
135 of 146
SYNTEL
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
136 of 146
SYNTEL
Home
CARTMPL Ver. 5.5.0 26/04/2011
Internal Use only
137 of 146
SYNTEL
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
CARTMPL Ver. 5.5.0 26/04/2011
Internal Use only
138 of 146
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
CARTMPL Ver. 5.5.0 26/04/2011
Internal Use only
139 of 146
SYNTEL
04/16/2016 Grand Total

1
1
2
1
1
1
1
1
1
1
1
1
1
12
CARTMPL Ver. 5.5.0 26/04/2011
Internal Use only
140 of 146
SYNTEL
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
CARTMPL Ver. 5.5.0 26/04/2011
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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
CARTMPL Ver. 5.5.0 26/04/2011
Internal Use only
142 of 146
SYNTEL
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 and always do
the coding only when the requirements and purpose are fully
clear 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
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
143 of 146
SYNTEL
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.
CARTMPL Ver. 5.5.0 26/04/2011
Internal Use only
144 of 146
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
CARTMPL Ver. 5.5.0 26/04/2011
Internal Use only
145 of 146
SYNTEL
Closed
Team
6-May-16
Closed
Team
6-May-16
Closed
Team
6-May-16
Closed
Team
6-May-16
CARTMPL Ver. 5.5.0 26/04/2011
Internal Use only
146 of 146

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CAUSAL ANALYSIS REPORT

CAUSAL ANALYSIS REPORT

CARTMPL Ver. 5.5.0 26/04/2011

Internal Use only

CAUSAL ANALYSIS REPORT

CARTMPL Ver. 5.5.0 26/04/2011

Internal Use only

CAUSAL ANALYSIS REPORT

CARTMPL Ver. 5.5.0 26/04/2011

Internal Use only

CAUSAL ANALYSIS REPORT

Conduct Defect Prevention meeting. Discuss the Defect Analysis

CARTMPL Ver. 5.5.0 26/04/2011

Internal Use only

CAUSAL ANALYSIS REPORT

Problem / Issue statement

CARTMPL Ver. 5.5.0 26/04/2011

Internal Use only

CAUSAL ANALYSIS REPORT

CARTMPL Ver. 5.5.0 26/04/2011

Internal Use only

CAUSAL ANALYSIS REPORT

07-Root Cause Analysis of Abend/System Errors Review

CARTMPL Ver. 5.5.0 26/04/2011

Internal Use only

CAUSAL ANALYSIS REPORT

ort the defect cause categories

es" sheet for further Analysis

CARTMPL Ver. 5.5.0 26/04/2011

Internal Use only

CAUSAL ANALYSIS REPORT

due to Coding errors.)

RCA-Fishbone-Defect Cause 1 & RCRCA-

her plan of action to be identified and recorded.

CARTMPL Ver. 5.5.0 26/04/2011

Internal Use only

CAUSAL ANALYSIS REPORT

CARTMPL Ver. 5.5.0 26/04/2011

Internal Use only

CAUSAL ANALYSIS REPORT

CARTMPL Ver. 5.5.0 26/04/2011

Internal Use only

CAUSAL ANALYSIS REPORT

CARTMPL Ver. 5.5.0 26/04/2011

Internal Use only

CAUSAL ANALYSIS REPORT

CARTMPL Ver. 5.5.0 26/04/2011

Internal Use only

CAUSAL ANALYSIS REPORT

CARTMPL Ver. 5.5.0 26/04/2011

Internal Use only

CAUSAL ANALYSIS REPORT

CARTMPL Ver. 5.5.0 26/04/2011

Internal Use only

CAUSAL ANALYSIS REPORT

CARTMPL Ver. 5.5.0 26/04/2011

Internal Use only

CAUSAL ANALYSIS REPORT

CARTMPL Ver. 5.5.0 26/04/2011

Internal Use only

CAUSAL ANALYSIS REPORT

CARTMPL Ver. 5.5.0 26/04/2011

Internal Use only

CAUSAL ANALYSIS REPORT