The purpose of Causal Analysis and Resolution (CAR) is to identify causes of defects and other problems and take action to prevent them from occurring in the future.
The Causal Analysis and Resolution process area involves the following activities:
• Identifying and analyzing causes of defects and other 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 into a product. Reliance on detecting defects after they have been introduced is not cost-effective. It is more effective to prevent defects from being introduced by integrating causal analysis and resolution activities into each phase of the project.
Hint
Integrating CAR activities into each project phase will help prevent many defects from being introduced and is thus important to successful implementation of this process area.
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 other 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 future implications of defects are determined.
Causal analysis may also 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, defect targets are selected by tradeoffs on estimated investments and estimated returns of quality, productivity, and cycle time.
Hint
It is impractical to analyze all defects and problems; instead, focus on defects and problems that have the largest risk or impact.
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 establishing objectives for measurement and analysis, specifying measures and analyses to be performed, obtaining and analyzing measures, and reporting 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.
Causal Analysis and Resolution activities also include the evaluation of acquirer processes that interface with supplier processes, as appropriate. A jointly performed causal analysis may lead to such improvement actions as the supplier improving its processes to more effectively execute in the context of the project or the acquirer improving its supplier interfaces.
Tip
Unlike OID, which looks at many sources to trigger improvement activities, CAR is triggered by actual defects or problems that have been reported.
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 improving organizational level processes through proposed improvements and action proposals.
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.
Tip
Successful implementation of CAR requires significant management commitment and process maturity to ensure that defect and problem data is consistently recorded, causal analysis meetings are adequately supported, and CAR activities are consistently performed across the organization.
See the definitions of “stable process” and “common cause of process variation” in the glossary.
Refer to the Quantitative Project Management process area for more information about analyzing process performance and determining process capability.
Refer to the Organizational Innovation and Deployment process area for more information about the selection and deployment of improvements to organizational processes and technologies.
Refer to the Measurement and Analysis process area for more information about establishing objectives for measurement and analysis, specifying the measures and analyses to be performed, obtaining and analyzing measures, and reporting results.
Root causes of defects and other problems are systematically determined.
A root cause is a source of a defect, such that if it is removed, the defect is decreased or removed.
Select defects and other problems for analysis.
Hint
Let your data help you determine which defects, if corrected, will realize the most benefit to your organization. Of course, this approach assumes that you have useful and valid data.
- Defect and problem data selected for further analysis
- Gather relevant defect or problem data.
Tip
A successful implementation of CAR requires a mature approach to measurement and analysis and the handling of defect and problem data.
- Determine the defects and other problems to be analyzed further.
When determining which defects to analyze further, consider the impact of the defects, their frequency of occurrence, the similarity between defects, the cost of analysis, the time and resources needed, the safety considerations, etc.
Perform causal analysis of selected defects and other problems and propose actions to address them.
The purpose of this analysis is to develop solutions to identified problems by analyzing relevant data and producing action proposals for implementation.
Tip
An action proposal typically documents the defect or problem to be resolved, when it was introduced and detected, its causes, and specific actions that, when taken, will prevent it from reoccurring.
- Action proposal
- Root cause analysis results
Typical Supplier Deliverables
- Root cause analysis results
- Recommended action proposals
- 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 are typically those responsible for performing the task.
Tip
There are secondary benefits to causal analysis meetings. Participants develop an appreciation for how upstream activities affect downstream activities, as well as a sense of responsibility and accountability for problems that might otherwise remain unaddressed.
Refer to the Quantitative Project Management process area for more information about achieving the project’s quality and process-performance objectives.
- Analyze selected defects and other problems to determine their root causes.
Depending on the type and number of defects, it may make sense to first group the defects before identifying their root causes.
- Group selected defects and other problems based on their root causes.
- Propose and document actions to be taken to prevent the future occurrence of similar defects or other problems.
Root causes of defects and other problems are systematically addressed to prevent their future occurrence.
Tip
The real focus of this goal is defect and problem prevention. Defect and problem detection is addressed in real time by verification, validation, and project monitoring activities.
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.
Implement selected action proposals developed in causal analysis.
Action proposals describe tasks necessary to remove root causes of analyzed defects or problems and avoid their reoccurrence.
Only changes that prove to be of value should be considered for broad implementation.
- Action proposals selected for implementation
- Improvement proposals
Tip
When changes are piloted, measure the results of those changes to determine their value, and whether they should be considered for similar projects.
Typical Supplier Deliverables
- Improvement proposals
- Analyze action proposals and determine their priorities.
Criteria for prioritizing action proposals include the following:
• Implications of not addressing the defects
• Cost to implement process improvements to prevent the defects
• Expected impact on quality
- Select action proposals to be implemented.
- Create action items for implementing the action proposals.
To implement action proposals, the following tasks must be done.
• Make assignments.
• Coordinate the people doing the work.
• Review the results.
• Track action items to closure.
Experiments may be conducted for particularly complex changes.
X-Ref
For more information on designing experiments to understand the impact of certain changes, consult a good reference on Six Sigma and Experimental Design.
Action items may be assigned to members of the causal analysis team, members of the project team, or other members of the organization.
- Identify and remove similar defects that may exist in other processes and work products.
- 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 the selection and deployment of improvement proposals for the organization’s set of standard processes.
Evaluate the effect of changes on process performance.
Refer to the Quantitative Project Management process area for more information about analyzing process performance, stabilizing selected subprocesses, and determining their capability to achieve objectives.
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.
Hint
Use the measures associated with a process or subprocess (perhaps supplemented by other measures) to evaluate the effect of changes. If the change affects a subprocess being statistically managed, recalculate the natural limits to obtain insight into the effects of the change.
- Measures of performance and performance change
Typical Supplier Deliverables
- Base and derived supplier measurements
- 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.
- 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.
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.
Hint
It is often too costly to correct every defect or problem. Collect data to know that you are improving project performance relative to your business objectives and to prevent selected defects from reoccurring.
Record the following:
• Data on defects and other 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
- Causal analysis and resolution records