1. Root Cause Analysis Procedure (IMSP525) Training
OnDemand Process Asset Library (OPAL)

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 | Root Cause Analysis Procedure (IMSP525)

3. 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.
OPAL | Root Cause Analysis Procedure (IMSP525)

4. Process Flow
To understand how the OPAL procedures relate to each other, refer to the OPAL Procedure Map
This is a conceptual representation of the OPAL procedures that shows how the procedures relate to each other to form a comprehensive management system.
OPAL | Root Cause Analysis Procedure (IMSP525)

5. 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.
OPAL | Root Cause Analysis Procedure (IMSP525)

6. Procedure Scope This 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 trouble
b) 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.
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.
OPAL | Root Cause Analysis Procedure (IMSP525)

7. Overview Diagram - procedure tasks
The first step is to investigate the issue and plan for a situation analysis. The second step is to Analyze the situation root cause. The third step is to report conclusions and determine actions. The fourth step is to Track and report status.
OPAL | Root Cause Analysis Procedure (IMSP525)

8. 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
OPAL | Root Cause Analysis Procedure (IMSP525)

9. 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)
OPAL | Root Cause Analysis Procedure (IMSP525)

10. 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.
Ensure that outcomes selected for root cause analysis are originating from a statistically controlled process.
OPAL | Root Cause Analysis Procedure (IMSP525)

11. 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.
OPAL | Root Cause Analysis Procedure (IMSP525)

12. 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.
OPAL | Root Cause Analysis Procedure (IMSP525)

13. Task: Analyze situation root causes (2 of 4)
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.
OPAL | Root Cause Analysis Procedure (IMSP525)

14. Task: Analyze situation root causes (3 of 4)
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
OPAL | Root Cause Analysis Procedure (IMSP525)

15. Task: Analyze situation root causes (4 of 4)
The Project Manager: (continued)
If a formal RCA analysis meeting is not required:
a) Review the most recent situation analysis documentation
b) 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).
OPAL | Root Cause Analysis Procedure (IMSP525)

16. 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.
OPAL | Root Cause Analysis Procedure (IMSP525)

17. 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.
OPAL | Root Cause Analysis Procedure (IMSP525)

18. 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).
OPAL | Root Cause Analysis Procedure (IMSP525)

19. Related Unified Method Framework References
GBS PM Full (WWPMM) Model
GBS PM Minimal (WWPMM) Model
GBS PM Standard (WWPMM) Model
OPAL | Root Cause Analysis Procedure (IMSP525)

20. Location The OnDemand Process Asset Library can be viewed at:
Training Materials can be accessed by:
Using the Training Navigation button on the OPAL homepage OR
Using the link to the IGSDF Training Page
OPAL | Root Cause Analysis Procedure (IMSP525)

21. Document Control Page Course Owner Opal Team/India/Contr/IBM 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
1.2
R 10.3
Updated OPAL procedures to further align with WWPMM models in Method.
1.3
R 12.0
Updated to align with RMC OPAL Content
1.4
R 12.1
Removed concept of OPAL customization
1.5
R 15.0
Added reference to Causal analysis and Resolution Techniques guideline
Removed task numbers as part of the task cleanup process
1.6
R 15.1
Changed the work product names and updated the task content as part of the cleanup process
1.7
R 15.3
Removed Account references, Take-up/Next Steps, Example placeholder slide, and training feedback
1.8
R 16.0
Added Root Cause Analysis record and cleaned up the presentation
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).
Course Owner Opal Team/India/Contr/IBM
OPAL | Root Cause Analysis Procedure (IMSP525)