IBM Global Business Services © Copyright IBM Corp. 1987, 2011 All Rights Reserved OnDemand Process Asset Library (OPAL) Root Cause Analysis Procedure (IMSP525)

IBM Global Business Services

© Copyright IBM Corp. 1987, 2011 All Rights Reserved

OnDemand Process Asset Library (OPAL)

Root Cause Analysis Procedure (IMSP525) Training

OPAL | Root Cause Analysis Procedure (IMSP525)2



Agenda

Policy Process Flow Procedure Purpose Procedure Scope Procedure Overview Assets Procedure Tasks and Steps Unified Method Framework and WWPMM Assets Asset Location




OPAL Policy

All data, such as project data, plans, and measurements data that are required by procedures and applicable to the project must be collected, documented and stored in the project data repository in use by the local organization.

Every organization will have a local Organizational Measurement Program, and will gather and report measurements in accordance with it.

All project resources will be qualified for the roles assigned to them, or training will be provided.

All stakeholders for the project will be identified and appropriately involved in the project.

Every project will have an approved set of plans, created in accordance with the planning procedures.




Process FlowTo understand how the OPAL procedures relate to each other, refer to the OPAL Procedure Map




Procedure Purpose

Use this procedure to: Analyze and identify the situation (root cause) of outcomes in order to determine: a) Corrective or preventive actions to resolve the outcomes and prevent their

recurrence. b) Identify opportunities for improving the quality of both the work product deliverable

and the process with which it was created.

Target audience: Project Managers, Quality Assurers, Senior Management, Organization's

Measurements & Reporting Analysts and Root Cause Analysis (RCA) Coordinators.




Procedure ScopeThis procedure applies to:

All projects and activities.

This procedure starts when:

A situation (root cause) analysis is requested, due to:

a) A strong suspicion that the project is in troubleb) A severe outcome is occurring, which is identified through an issue, corrective action, preventive

action, change request, or client complaint c) A number of instances of the same type of outcome or a pattern of similar outcomes is detected d) An increase in the number of outcomes is detected over time e) A significant positive or negative trend in the outcome of any activity is detected f) A preliminary situation (root cause) analysis was done during the execution of the Defect

Management Procedure (IMSP520), which resulted in the need for an in-depth situation (root cause) analysis

Refer to the Defect Management Procedure (IMSP520) for information on conducting a preliminary causal analysis.

This procedure ends when:

The analysis findings have been addressed and recorded for future reference.

Note: This asset is required for attainment of SEI Capability Maturity Model Integration (CMMI) level 4 or 5. This asset is optional for organizations not using CMMI as a basis for process improvement or organizations targeting a lower maturity level. However, such organizations may find it helpful to implement this asset.




Overview Diagram - procedure tasks




Related assets

Procedures: IMSP605: Action Management Procedure IMSP610: Change Management Procedure IMSP520: Defect Management Procedure IMSP240: Project Close Procedure

Guidelines: Causal Analysis and Resolution Process Asset Library Usage Project Control Book Project Tailoring




Related assets (continued)

Work Products: Action Log (ENG 314) Cause and Effect Matrix Defect Analysis Document (APP 320) Defect Log (APP 414) Events and Causal Factor Charting Failure Mode Effect Analysis (FMEA) Fishbone Diagram Generator for RCA Issue Log (ENG 332) Meeting Documentation (ENG 334) Pareto Chart Generator for RCA Project Evaluation Report (ENG344) Project Management System Summary (ENG 339)

a) Operational Schedule (ENG 336) b) Project Management Schedule (ENG 345)

Project Status Report (ENG 348) Project Quality Plan (ENG 347) Root Cause Analysis Record (APP 412) Situation Analysis Documentation (ENG 354) Solution Selection Matrix Staff Schedule (ENG 355)




Task: Investigate issue and plan for situation analysis The Project Manager: Review the issue documentation to understand the concerns about the project situation:

for example recurrent conflicts, sponsor uneasiness and estimates to complete which keep increasing, etc.

Select issues for analysis using Pareto analysis or Histogram techniques Determine whether or not to authorize a Root Cause Analysis (RCA). Selection of

outcomes for root cause analysis must be based on organization’s defined criteria.

If the Root Cause Analysis is NOT authorized, performs the following:a) Notify the originator of the decision b) Exit this task

If the Root Cause Analysis is authorized, perform the following: a) Assign the RCA Coordinator.

In special situations, senior management may request a Quality Assurer to perform the Root Cause Analysis, which may take the form of a Project Management Review.Refer to the Quality Assurance section of process asset library usage guideline for information about performing a project management review.It is essential the assigned RCA Coordinator or Quality Assurer be trained in the techniques for conducting a Root Cause Analysis.

b) Estimate the effort for performing the RCA.

Ensure that outcomes selected for root cause analysis are originating from a statistically controlled process.




Task: Investigate issue and plan for situation analysis (continued)

The Project Manager: (continued)- If the effort for performing the situation (root cause) analysis results in a project

change, perform the Change Management Procedure (IMSP610). - Update the project status report with the Root Cause Analysis information. - Update the outcome information section of the RCA record - Update the situation analysis documentation, as appropriate.

Update the operational schedule, project management schedule and/or staff schedule, as needed.

Collect data from the project plans and records to learn more about the project situation, and build an agenda for specific project reviews and interviews for analyzing the causes of the situation.

Acquire any additional resources required to perform the situation root cause analysis. Update the project status report with the priority, status and comments, as appropriate.




Task: Analyze situation root causes (1 of 4)

The Project Manager: Interview selected team members to obtain their view of the situation, its causes and

what should be improved. Analyze all relevant project documentation and update the situation analysis

documentation. Determine if a formal RCA meeting is required.





The Project Manager: (continued) If a formal situation (root cause) analysis meeting is required, based on the criteria established in the

Project Quality Plan, schedule a meeting to perform root cause analysis and arrive at action

proposals:a) Schedule the meeting and invite the participants.

b) Appoint a recorder to take minutes and completes the meeting documentation.

c) Facilitate the situation (root cause) analysis meeting.

The Root Cause Analysis meeting agenda includes, but is not limited to, the following items: Review the most recent situation analysis documentation and obtain attendees agreement

that the information is correct and complete Reach agreement on the identification of the "true" situation (root cause) of the outcome

using technique such as Cause Effect Diagram Reach agreement on the action proposals needed to prevent recurrence Reach agreement on the agreed to corrective action(s) ownership Reach agreement on the appropriate resolution date

d) Finalize the situation finalized situation analysis documentation and completed meeting documentation to analysis documentation.





The Project Manager: (continued)

Distribute the finalized root cause analysis record, situation analysis documentation and completed meeting documentation to all appropriate individuals, including the situation (root cause) participants and stakeholders

Refer to the Causal Analysis and Resolution Techniques Guideline for information on tools and techniques that can be used during various phases of root cause analysis, including using the following templates: a) Cause and Effect Matrix

b) Events and Causal Factor Charting

c) Fishbone Diagram Generator for Root Cause Analysis

d) Failure Mode Effect Analysis (FMEA)

e) Pareto Chart Generator for Root Cause Analysis

f) Solution Selection Matrix





The Project Manager: (continued)

If a formal RCA analysis meeting is not required:

a) Review the most recent situation analysis documentationb) Conduct any addition analysis and interviews.c) Determine the “true” root causes of the issues.d) Prioritize the issues and determine corrective actions to resolve the key issue(s) and

return the project to a sound position.e) Finalize the situation analysis documentation. f) Discuss the conclusions with the project stakeholders and team members that are

concerned, and finalize the plans to return the project to a sound position. Updates the action control document as appropriate and notifies the Project Manager of all corrective action item(s).

Complete the appropriate action log to initiate all approved corrective actions. Refer to the Action Management Procedure (IMSP605) for information about raising and managing actions.

If a corrective action impacts the project’s plans or other base-lined elements, raises a change request in accordance with the Change Management Procedure (IMSP610).




Task: Report conclusions and finalize actions

The Project Manager: Review the Root Cause Analysis conclusions with the Originator. Obtain agreement on the identified actions to address the outcome

a) Priority to be given to actions which have a direct impact on the organization business objectives and goals

Assemble findings by reviewing meeting documentation and completing the root cause analysis documentation

Notify individuals not present at the situation (root cause) analysis meeting of any assignments and their urgency.

Distribute the approved root cause analysis documentation and finalized action to all appropriate individuals, such as the Originator of the situation (root cause) analysis, senior management, and the organization's measurements & reporting analyst.




Task: Track and report status

The Project Manager: Update the project status report, with the approved corrective action item(s), agreed to

owner(s) and commit dates for resolution. Evaluate the effectiveness of actions implemented to prevent recurrence of an outcome

Measure and analyze the change in process performance of the project’s affected processes or sub processes:

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.

Determine the impact of the change on achieving the project’s process performance objectives

Analyze situation (root cause) analysis measures: Update the project status report with the appropriate Root Cause Analysis measures. Track and report status of Root Cause Analysis, using the Root Cause Analysis status

and corresponding action items in the project status report. Track and report the results and effectiveness of the actions, using the situation analysis

documentation and action control document. Refer to the Action Management Procedure (IMSP605) for information about raising and

managing actions.




Task: Track and report status (continued)

The Project Manager: (Continued) Track and report the improvement information, from the situation analysis

documentation or a project evaluation report created in a Project Completion Workshop. Refer to the Project Close Procedure (IMSP240) for information about conducting a Project Completion Workshop and creating a project evaluation report.

Place the measurements associated with the Root Cause Analysis in the organization's metrics repository.

Store the root cause analysis records in the organization repository(s).




Related Unified Method Framework References

GBS PM Full (WWPMM) Model GBS PM Minimal (WWPMM) Model GBS PM Standard (WWPMM) Model




LocationThe OnDemand Process Asset Library can be viewed at:

http://opal.ibm.com

Training Materials can be accessed by:

• Using the Training Navigation button on the OPAL homepage

OR

• Using the link to the IGSDF Training Page




Document Control Page

Version Release Description of Change Authors

1.0 R 10.0 Initial release Content-Team

1.1 R 10.2 Updated the presentation to make content\format consistent and changed the id for Root Cause Analysis Record from ENG 412 to APP 412

Content-Team

1.2 R 10.3 Updated OPAL procedures to further align with WWPMM models in Method.

Content-Team

1.3 R 12.0 Updated to align with RMC OPAL Content Content-Team

1.4 R 12.1 Removed concept of OPAL customization Content-Team

1.5 R 15.0 Added reference to Causal analysis and Resolution Techniques guidelineRemoved task numbers as part of the task cleanup process

Content-Team

1.6 R 15.1 Changed the work product names and updated the task content as part of the cleanup process

Content-Team

1.7 R 15.3 Removed Account references, Take-up/Next Steps, Example placeholder slide, and training feedback

Content-Team

1.8 R 16.0 Added Root Cause Analysis record and cleaned up the presentation

Content-Team

1.9 R 17.0 Updated for high maturity practices as per CMMi Dev 1.3 Model. (WR-285)Updated training material for accessibility features (WR-392).

Content-Team

Course Owner Opal Team/India/Contr/IBM

Documents

IBM Global Business Services © Copyright IBM Corp. 1987, 2011 All Rights Reserved OnDemand Process Asset Library (OPAL) Root Cause Analysis Procedure (IMSP525)