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 selected outcomes and take action to improve process performance.
Introductory Notes
Causal analysis and resolution improves quality and productivity by preventing the introduction of defects or problems and by identifying and appropriately incorporating the causes of superior process performance.
The Causal Analysis and Resolution process area involves the following activities:
• Identifying and analyzing causes of selected outcomes. The selected outcomes can represent defects and problems that can be prevented from happening in the future or successes that can be implemented in work groups or the organization.
• Taking actions to complete the following:
• Remove causes and prevent the recurrence of those types of defects and problems in the future
• Proactively analyze data to identify potential problems and prevent them from occurring
• Incorporate the causes of successes into the process to improve future process performance
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 work lifecycle.
Since similar outcomes may have been previously encountered in other work or in earlier phases or tasks of the current work activity, Causal Analysis and Resolution activities are mechanisms for communicating lessons learned among work groups.
Types of outcomes encountered are analyzed to identify trends. Based on an understanding of the defined process and how it is implemented, root causes of these outcomes and future implications of them are determined.
Since it is impractical to perform causal analysis on all outcomes, targets are selected by tradeoffs on estimated investments and estimated returns of quality, productivity, and cycle time.
Measurement and analysis processes should already be in place. Existing defined measures can be used, though in some instances new measurement definitions, redefinitions, or clarified definitions may be needed to analyze the effects of a 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 work groups 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 submitted to the organizational level for potential deployment in the organizational processes.
The specific practices of this process area apply to a process that is selected for quantitative management. Use of the specific practices of this process area can add value in other situations, but the results may not provide the same degree of impact to the organization’s quality and process performance objectives.
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 Performance Management process area for more information about selecting and implementing improvements for deployment.
Refer to the Quantitative Work Management process area for more information about quantitatively managing the work to achieve the established quality and process performance objectives for the work.
Specific Practices by Goal
SG 1 Determine Causes of Selected Outcomes
Root causes of selected outcomes are systematically determined.
A root cause is an initiating element in a causal chain which leads to an outcome of interest.
SP 1.1 Select Outcomes for Analysis
Select outcomes for analysis.
This activity could be triggered by an event (reactive) or could be planned periodically, such as at the beginning of a new phase or task (proactive).
Example Work Products
1. Data to be used in the initial analysis
2. Initial analysis results data
3. Outcomes selected for further analysis
Subpractices
1. Gather relevant data.
2. Determine which outcomes to analyze further.
When determining which outcomes to analyze further, consider their source, impact, frequency of occurrence, similarity, the cost of analysis, the time and resources needed, safety considerations, etc.
3. Formally define the scope of the analysis, including a clear definition of the improvement needed or expected, stakeholders affected, target affected, etc.
Refer to the Decision Analysis and Resolution process area for more information about analyzing possible decisions using a formal evaluation process that evaluates identified alternatives against established criteria.
SP 1.2 Analyze Causes
Perform causal analysis of selected outcomes and propose actions to address them.
The purpose of this analysis is to define actions that will address selected outcomes by analyzing relevant outcome data and producing action proposals for implementation.
Example Work Products
1. Root cause analysis results
2. Action proposal
Subpractices
1. Conduct causal analysis with those who are responsible for performing the task.
Causal analysis is performed, typically in meetings, with those who understand the selected outcome under study. Those who have the best understanding of the selected outcome are typically those who are responsible for performing the task. The analysis is most effective when applied to real time data, as close as possible to the event which triggered the outcome.
Refer to the Quantitative Work Management process area for more information about performing root cause analysis.
2. Analyze selected outcomes to determine their root causes.
Analysis of process performance baselines and models can aid in the identification of potential root causes.
Depending on the type and number of outcomes, it can be beneficial to look at the outcomes in several ways to ensure all potential root causes are investigated. Consider looking at individual outcomes as well as grouping the outcomes.
3. Combine selected outcomes into groups based on their root causes.
In some cases, outcomes can be influenced by multiple root causes.
Where appropriate, look for trends or symptoms in or across groupings.
4. Create an action proposal that documents actions to be taken to prevent the future occurrence of similar outcomes or to incorporate best practices into processes.
Process performance models can support cost benefit analysis of action proposals through prediction of impacts and return on investment.
SG 2 Address Causes of Selected Outcomes
Root causes of selected outcomes are systematically addressed.
Work groups operating according to a well-defined process systematically analyze where improvements are needed and implement process changes to address root causes of selected outcomes.
SP 2.1 Implement Action Proposals
Implement selected action proposals developed in causal analysis.
Action proposals describe tasks necessary to address root causes of analyzed outcomes to prevent or reduce the occurrence or recurrence of negative outcomes, or incorporate realized successes. Action plans are developed and implemented for selected action proposals. Only changes that prove to be of value should be considered for broad implementation.
Example Work Products
1. Action proposals selected for implementation
2. Action plans
Subpractices
1. Analyze action proposals and determine their priorities.
Process performance models can be used to help identify interactions among multiple action proposals.
2. Select action proposals to be implemented.
Refer to the Decision Analysis and Resolution process area for more information about analyzing possible decisions using a formal evaluation process that evaluates identified alternatives against established criteria.
3. Create action plans for implementing the selected action proposals.
4. Implement action plans.
To implement action plans, the following tasks should 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.
Actions may be assigned to members of the causal analysis team, members of the work group, or other members of the organization.
5. Look for similar causes that may exist in other processes and work products and take action as appropriate.
SP 2.2 Evaluate the Effect of Implemented Actions
Evaluate the effect of implemented actions on process performance.
Refer to the Quantitative Work Management process area for more information about selecting measures and analytic techniques.
Once the changed process is deployed across the work group, the effect of changes is evaluated to verify that the process change has improved process performance.
Example Work Products
1. Analysis of process performance and change in process performance
Subpractices
1. Measure and analyze the change in process performance of the affected processes or subprocesses for the work.
This subpractice determines whether the selected change has positively influenced process performance and by how much.
Statistical and other quantitative techniques (e.g., hypothesis testing) can be used to compare the before and after baselines to assess the statistical significance of the change.
2. Determine the impact of the change on achieving the quality and process performance objectives for the work.
This subpractice determines whether the selected change has positively influenced the ability of the work group to meet its quality and process performance objectives by understanding how changes in the process performance data have affected the objectives. Process performance models can aid in the evaluation through prediction of impacts and return on investment.
3. Determine and document appropriate actions if the process or subprocess improvements did not result in expected benefits.
SP 2.3 Record Causal Analysis Data
Record causal analysis and resolution data for use across work groups and the organization.
Example Work Products
1. Causal analysis and resolution records
2. Organizational improvement proposals
Subpractices
1. Record causal analysis data and make the data available so that other work groups can make appropriate process changes and achieve similar results.
Record the following:
• Data on outcomes that were analyzed
• Rationale for decisions
• Action proposals from causal analysis meetings
• Action plans resulting from action proposals
• Cost of analysis and resolution activities
• Measures of changes to the process performance of the defined process resulting from resolutions
2. Submit process improvement proposals for the organization when the implemented actions are effective for the working group as appropriate.
When improvements are judged to be effective, the information can be submitted to the organizational level for potential inclusion in the organizational processes.
Refer to the Organizational Performance Management process area for more information about selecting improvements.