Causal Analysis and Resolution
A Support Process Area at Maturity Level 5
Purpose
The purpose of Causal Analysis and Resolution (CAR) is to identify causes of defects and problems and take action to prevent them from occurring in the future.
Introductory Notes
The Causal Analysis and Resolution process area involves the following activities:
• Identifying and analyzing causes of defects and problems
• Taking actions to remove causes and prevent the occurrence of those types of defects and problems in the future
Causal analysis and resolution improves quality and productivity by preventing the introduction of defects and occurrence of problems. Reliance on detecting defects and problems after they have been introduced is not cost effective. It is more effective to prevent defects and problems by integrating causal analysis and resolution activities into each phase of the project.
Since similar defects and problems may have been previously encountered on other projects or in earlier phases or tasks of the current project, causal analysis and resolution activities are a mechanism for communicating lessons learned among projects.
Types of defects and problems encountered are analyzed to identify trends. Based on an understanding of the defined process and how it is implemented, root causes of defects and problems and future implications of them are determined.
Causal analysis may be performed on problems unrelated to defects. For example, causal analysis may be used to improve coordination and cycle time with one supplier or multiple suppliers.
When it is impractical to perform causal analysis on all defects and problems, targets are selected by tradeoffs on estimated investments and estimated returns of quality, productivity, and cycle time.
A measurement process should already be in place. Already defined measures can be used, though in some instances new measures may be needed to analyze the effects of the process change.
Refer to the Measurement and Analysis process area for more information about aligning measurement and analysis activities and providing measurement results.
Causal Analysis and Resolution activities provide a mechanism for projects to evaluate their processes at the local level and look for improvements that can be implemented.
When improvements are judged to be effective, the information is extended to the organizational level.
Refer to the Organizational Innovation and Deployment process area for more information about selecting and deploying incremental and innovative improvements that measurably improve the organization’s processes and technologies.
The informative material in this process area is written assuming that the specific practices are applied to a quantitatively managed process. The specific practices of this process area may be applicable, but with reduced value, if this assumption is not met.
See the definitions of “stable process” and “common cause of process variation” in the glossary.
Related Process Areas
Refer to the Measurement and Analysis process area for more information about aligning measurement and analysis activities and providing measurement results.
Refer to the Organizational Innovation and Deployment process area for more information about selecting and deploying incremental and innovative improvements that measurably improve the organization’s processes and technologies.
Refer to the Quantitative Project Management process area for more information about applying statistical methods to understand variation and monitoring performance of the selected subprocesses.
Specific Practices by Goal
SG 1 Determine Causes of Defects and Problems
Root causes of defects and problems are systematically determined.
A root cause is a source of a defect or problem such that if it is removed, the defect or problem is decreased or removed.
SP 1.1 Select Defects and Problems
Select defects and problems for analysis.
Typical Work Products
1. Defect and problem data selected for further analysis
Subpractices
1. Gather relevant defect and problem data.
Examples of relevant defect data include the following:
• Defects reported by the customer
• Defects reported by service teams
• Defects found in service verification
Examples of relevant problem data include the following:
• Project management problem reports requiring corrective action
• Process capability problems
• Process duration measurements
• Resource throughput, utilization, or response time measurements
• Help desk calls, by time and incident category
• Inadequate availability of the service system
Refer to the Quantitative Project Management process area for more information about statistical management.
2. Determine the defects and problems to be analyzed further.
When determining which defects and problems to analyze further, consider their impact, their frequency of occurrence, the similarities among them, the cost of analysis, the time and resources needed, safety considerations, etc.
Examples of methods for selecting defects and problems include the following:
• Pareto analysis
• Histograms
• Cause and effects analysis (e.g., design failure mode and effects analysis for the service system being developed, process failure mode and effects analysis for service system development or service delivery)
SP 1.2 Analyze Causes
Perform causal analysis of selected defects and problems and propose actions to address them.
The purpose of this analysis is to develop solutions to identified defects and problems by analyzing relevant data and producing action proposals for implementation.
Typical Work Products
1. Action proposal
2. Root cause analysis results
Subpractices
1. Conduct causal analysis with those responsible for performing the task.
Causal analysis is performed, typically in meetings, with those who understand the selected defect or problem under study. Those who have the best understanding of the selected defect or problem are typically those responsible for performing the task.
Examples of when to perform causal analysis include the following:
• When a stable subprocess does not meet its specified quality and process-performance objectives
• During the task, if and when problems warrant a causal analysis meeting
• When a work product exhibits an unexpected deviation from its requirements
Refer to the Quantitative Project Management process area for more information about monitoring performance of selected subprocesses.
2. Analyze selected defects and problems to determine their root causes.
Depending on the type and number of defects and problems, it may make sense to first group them before identifying their root causes.
Examples of methods to determine root causes include the following:
• Cause-and-effect (fishbone) diagrams
• Check sheets
3. Group selected defects and problems based on their root causes.
Examples of cause groups or categories include the following:
• Inadequate training
• Breakdown of communication
• Not accounting for all details of a task
• Making mistakes in manual procedures (e.g., typing)
• Process deficiency
4. Propose and document actions to be taken to prevent the future occurrence of similar defects and problems.
Examples of proposed actions include changes to the following:
• The process in question
• Training
• Tools
• Methods
• Communication
• Work products
Examples of actions include the following:
• Providing training in common problems and techniques for preventing them
• Changing a process so that error-prone steps do not occur
• Automating all or part of a process
• Reordering process activities
• Adding process steps to prevent defects and problems, such as task kickoff meetings to review common defects and problems as well as actions to prevent them
An action proposal usually documents the following:
• Originator of the action proposal
• Description of the defect or problem
• Description of the cause of the defect or problem
• Defect or problem cause category
• Phase when the defect or problem was introduced
• Phase when the defect or problem was identified
• Description of the action proposal
• Action proposal category
SG 2 Address Causes of Defects and Problems
Root causes of defects and problems are systematically addressed to prevent their future occurrence.
Projects operating according to a well-defined process systematically analyze where in the operation problems still occur and implement process changes to eliminate root causes of selected problems.
SP 2.1 Implement Action Proposals
Implement selected action proposals developed in causal analysis.
Action proposals describe tasks necessary to remove root causes of analyzed defects and problems and avoid their reoccurrence. Only changes that prove to be of value should be considered for broad implementation.
Typical Work Products
1. Action proposals selected for implementation
2. Improvement proposals
Subpractices
1. Analyze action proposals and determine their priorities.
Criteria for prioritizing action proposals include the following:
• Implications of not addressing the defect or problem
• Cost to implement process improvements to prevent the defect or problem
• Expected impact on quality
2. Select action proposals to be implemented.
3. Create action items for implementing the action proposals.
Examples of information provided in an action item include the following:
• Person responsible for implementing it
• Description of the areas affected by it
• People who are to be kept informed of its status
• Next date that status will be reviewed
• Rationale for key decisions
• Description of implementation actions
• Time and cost required to identify the defect or problem and to correct it
• Estimated cost of not fixing the problem
To implement action proposals, the following tasks must be performed:
• Make assignments
• Coordinate the people doing the work
• Review the results
• Track action items to closure
Experiments may be conducted for particularly complex changes.
Examples of experiments include the following:
• Using a temporarily modified process
• Using a new tool
Action items may be assigned to members of the causal analysis team, members of the project team, or other members of the organization.
4. Identify and remove similar defects and problems that may exist in other processes and work products.
5. Identify and document improvement proposals for the organization’s set of standard processes.
Refer to the Organizational Innovation and Deployment process area for more information about collecting and analyzing improvement proposals.
SP 2.2 Evaluate the Effect of Changes
Evaluate the effect of changes on process performance.
Refer to the Quantitative Project Management process area for more information about selecting measures and analytic techniques.
Once the changed process is deployed across the project, the effect of changes must be evaluated to gather evidence that the process change corrected the problem and improved performance.
Typical Work Products
1. Measures of performance and performance change
Subpractices
1. Measure the change in performance of the project’s defined process or of subprocesses as appropriate.
This subpractice determines whether the selected change has positively influenced process performance and by how much.
An example of a change in the performance of a service would be the change in the cost of delivering the service after a change in the subprocess for integrating revised service system components. This change in performance would be determined through monitoring the delivered service before and after the improvement has been made and comparing these differences statistically (e.g., through a hypothesis test). On a statistical process control chart, this change in performance would be represented by a change in the mean.
2. Measure the capability of the project’s defined process or of subprocesses as appropriate.
This subpractice determines whether the selected change has positively influenced the ability of the process to meet its quality and process-performance objectives as determined by relevant stakeholders.
An example of a change in the capability of a service would be a change in the ability to deliver the service so that the resulting service stays within its cost boundaries. This change can be statistically measured by calculating the range in the cost of delivering the service through monitoring before and after the improvement has been made. On a statistical process control chart, this change in cost would be represented by narrowed control limits.
SP 2.3 Record Data
Record causal analysis and resolution data for use across the project and organization.
Data are recorded so that other projects and organizations can make appropriate process changes and achieve similar results.
Record the following:
• Data on defects and problems that were analyzed
• Rationale for decisions
• Action proposals from causal analysis meetings
• Action items resulting from action proposals
• Cost of analysis and resolution activities
• Measures of changes to the performance of the defined process resulting from resolutions
Typical Work Products
1. Causal analysis and resolution records