What is involved in Root-cause analysis
Find out what the related areas are that Root-cause analysis connects with, associates with, correlates with or affects, and which require thought, deliberation, analysis, review and discussion. This unique checklist stands out in a sense that it is not per-se designed to give answers, but to engage the reader and lay out a Root-cause analysis thinking-frame.
How far is your company on its Root-cause analysis journey?
Take this short survey to gauge your organization’s progress toward Root-cause analysis leadership. Learn your strongest and weakest areas, and what you can do now to create a strategy that delivers results.
To address the criteria in this checklist for your organization, extensive selected resources are provided for sources of further research and information.
Start the Checklist
Below you will find a quick checklist designed to help you think about which Root-cause analysis related domains to cover and 185 essential critical questions to check off in that domain.
The following domains are covered:
Root-cause analysis, Root cause analysis, 5 Whys, A3 problem solving, Accident Analysis, Barrier analysis, Business process, Business process mapping, Change management, Control plan, Data mining, Design of experiments, Eight Disciplines Problem Solving, Factor analysis, Failure analysis, Failure mode and effects analysis, Fault tree analysis, Forensic engineering, Graph theory, Hierarchical clustering, Incident management, Maintenance, Repair and Operations, Multi-vari chart, Multiple regression, Multivariate linear regression, Occupational safety and health, Orthogonal Defect Classification, Pareto chart, Problem solving, Process capability, Project charter, Quality control, Risk management, Root cause, Sequence of events, Six Sigma, Statistical process control, Structural fix, Systems analysis, Value stream mapping, Voice of the customer:
Root-cause analysis Critical Criteria:
Systematize Root-cause analysis results and summarize a clear Root-cause analysis focus.
– What new services of functionality will be implemented next with Root-cause analysis ?
– Are accountability and ownership for Root-cause analysis clearly defined?
– How much does Root-cause analysis help?
Root cause analysis Critical Criteria:
Unify Root cause analysis risks and correct better engagement with Root cause analysis results.
– Marketing budgets are tighter, consumers are more skeptical, and social media has changed forever the way we talk about Root-cause analysis. How do we gain traction?
– In what ways are Root-cause analysis vendors and us interacting to ensure safe and effective use?
– To what extent does management recognize Root-cause analysis as a tool to increase the results?
– Do we do Root Cause Analysis?
5 Whys Critical Criteria:
Infer 5 Whys tactics and create 5 Whys explanations for all managers.
– What tools do you use once you have decided on a Root-cause analysis strategy and more importantly how do you choose?
– Are there any disadvantages to implementing Root-cause analysis? There might be some that are less obvious?
– What threat is Root-cause analysis addressing?
A3 problem solving Critical Criteria:
Scan A3 problem solving quality and look for lots of ideas.
– Who will be responsible for making the decisions to include or exclude requested changes once Root-cause analysis is underway?
Accident Analysis Critical Criteria:
Graph Accident Analysis projects and adjust implementation of Accident Analysis.
– Which individuals, teams or departments will be involved in Root-cause analysis?
Barrier analysis Critical Criteria:
Huddle over Barrier analysis strategies and figure out ways to motivate other Barrier analysis users.
– What will be the consequences to the business (financial, reputation etc) if Root-cause analysis does not go ahead or fails to deliver the objectives?
– Is there a Root-cause analysis Communication plan covering who needs to get what information when?
– How can skill-level changes improve Root-cause analysis?
Business process Critical Criteria:
X-ray Business process strategies and revise understanding of Business process architectures.
– Do we identify maximum allowable downtime for critical business functions, acceptable levels of data loss and backlogged transactions, RTOs, RPOs, recovery of the critical path (i.e., business processes or systems that should receive the highest priority), and the costs associated with downtime? Are the approved thresholds appropriate?
– To what extent will this product open up for subsequent add-on products, e.g. business process outsourcing services built on top of a program-as-a-service offering?
– Has business process Cybersecurity has been included in continuity of operations plans for areas such as customer data, billing, etc.?
– What finance, procurement and Human Resources business processes should be included in the scope of a erp solution?
– Do the functional areas need business process integration (e.g., order entl. billing, or Customer Service)?
– How do clients contact client services with any questions about business processes?
– Will existing staff require re-training, for example, to learn new business processes?
– Do changes in business processes fall under the scope of Change Management?
– What business process supports the entry and validation of the data?
– How do we improve business processes and how do we deliver on that?
– What core business processes drive our industry and channel today?
– How will business process and behavioral change be managed?
– What is our formula for success in Root-cause analysis ?
– How does the solution handle core business processes?
Business process mapping Critical Criteria:
X-ray Business process mapping failures and give examples utilizing a core of simple Business process mapping skills.
– What are all of our Root-cause analysis domains and what do they do?
Change management Critical Criteria:
Incorporate Change management quality and figure out ways to motivate other Change management users.
– Workforce Change Management How do you prepare your workforce for changing capability and capacity needs? How do you manage your workforce, its needs, and your needs to ensure continuity, prevent workforce reductions, and minimize the impact of workforce reductions, if they do become necessary? How do you prepare for and manage periods of workforce growth?
– The objective of Change Management is to ensure that standard methods and procedures are used, such that changes can be dealt with quickly, with the lowest possible impact on service quality. all changes should be traceable, in other words, one can answer the question, what changed? Do we do this?
– What steps have executives included in the Change Management plan to identify and address customers and stakeholders concerns about the specific process to be reengineered?
– For your Root-cause analysis project, identify and describe the business environment. is there more than one layer to the business environment?
– Do those selected for the Root-cause analysis team have a good general understanding of what Root-cause analysis is all about?
– Do project management and Change Management look the same for every initiative?
– Does the service providers Change Management process match the customers needs?
– How effective is your organization with organizational change management?
– What has been your most Challenging change management experience?
– What change management practices does your organization employ?
– How pro-active is the Organizational Change Management Plan?
– What is the Change Management process?
– What is workplace Change Management?
Control plan Critical Criteria:
Pilot Control plan outcomes and get out your magnifying glass.
– What are the record-keeping requirements of Root-cause analysis activities?
– How do we go about Securing Root-cause analysis?
Data mining Critical Criteria:
Explore Data mining outcomes and explain and analyze the challenges of Data mining.
– Do you see the need to clarify copyright aspects of the data-driven innovation (e.g. with respect to technologies such as text and data mining)?
– What types of transactional activities and data mining are being used and where do we see the greatest potential benefits?
– What is the difference between Data Analytics Data Analysis Data Mining and Data Science?
– What is the difference between business intelligence business analytics and data mining?
– Is business intelligence set to play a key role in the future of Human Resources?
– How can you measure Root-cause analysis in a systematic way?
– What programs do we have to teach data mining?
– What are specific Root-cause analysis Rules to follow?
– Do we have past Root-cause analysis Successes?
Design of experiments Critical Criteria:
Nurse Design of experiments failures and document what potential Design of experiments megatrends could make our business model obsolete.
– How will we insure seamless interoperability of Root-cause analysis moving forward?
– Are there Root-cause analysis problems defined?
– What are our Root-cause analysis Processes?
Eight Disciplines Problem Solving Critical Criteria:
Devise Eight Disciplines Problem Solving goals and adopt an insight outlook.
– what is the best design framework for Root-cause analysis organization now that, in a post industrial-age if the top-down, command and control model is no longer relevant?
– Is Root-cause analysis Required?
Factor analysis Critical Criteria:
Examine Factor analysis failures and question.
– Do several people in different organizational units assist with the Root-cause analysis process?
– Meeting the challenge: are missed Root-cause analysis opportunities costing us money?
Failure analysis Critical Criteria:
Nurse Failure analysis engagements and get the big picture.
– Will Root-cause analysis deliverables need to be tested and, if so, by whom?
– How do we go about Comparing Root-cause analysis approaches/solutions?
– How would one define Root-cause analysis leadership?
Failure mode and effects analysis Critical Criteria:
Track Failure mode and effects analysis goals and define what our big hairy audacious Failure mode and effects analysis goal is.
– What are the key elements of your Root-cause analysis performance improvement system, including your evaluation, organizational learning, and innovation processes?
– Does Root-cause analysis create potential expectations in other areas that need to be recognized and considered?
– Risk factors: what are the characteristics of Root-cause analysis that make it risky?
Fault tree analysis Critical Criteria:
Unify Fault tree analysis outcomes and reinforce and communicate particularly sensitive Fault tree analysis decisions.
– What are our needs in relation to Root-cause analysis skills, labor, equipment, and markets?
– Is there any existing Root-cause analysis governance structure?
Forensic engineering Critical Criteria:
Give examples of Forensic engineering planning and maintain Forensic engineering for success.
– How likely is the current Root-cause analysis plan to come in on schedule or on budget?
– What are the Essentials of Internal Root-cause analysis Management?
– How do we keep improving Root-cause analysis?
Graph theory Critical Criteria:
Review Graph theory issues and customize techniques for implementing Graph theory controls.
– Does Root-cause analysis include applications and information with regulatory compliance significance (or other contractual conditions that must be formally complied with) in a new or unique manner for which no approved security requirements, templates or design models exist?
– How can we improve Root-cause analysis?
Hierarchical clustering Critical Criteria:
Systematize Hierarchical clustering tasks and secure Hierarchical clustering creativity.
– How does the organization define, manage, and improve its Root-cause analysis processes?
– Why should we adopt a Root-cause analysis framework?
Incident management Critical Criteria:
Extrapolate Incident management tasks and probe the present value of growth of Incident management.
– Where do ideas that reach policy makers and planners as proposals for Root-cause analysis strengthening and reform actually originate?
– Which processes other than incident management are involved in achieving a structural solution ?
– In which cases can CMDB be usefull in incident management?
– What is a primary goal of incident management?
– Who needs to know about Root-cause analysis ?
Maintenance, Repair and Operations Critical Criteria:
Judge Maintenance, Repair and Operations outcomes and work towards be a leading Maintenance, Repair and Operations expert.
– What prevents me from making the changes I know will make me a more effective Root-cause analysis leader?
– Do Root-cause analysis rules make a reasonable demand on a users capabilities?
Multi-vari chart Critical Criteria:
Study Multi-vari chart engagements and be persistent.
– Do the Root-cause analysis decisions we make today help people and the planet tomorrow?
Multiple regression Critical Criteria:
Group Multiple regression tasks and develop and take control of the Multiple regression initiative.
– Record-keeping requirements flow from the records needed as inputs, outputs, controls and for transformation of a Root-cause analysis process. ask yourself: are the records needed as inputs to the Root-cause analysis process available?
– Think about the kind of project structure that would be appropriate for your Root-cause analysis project. should it be formal and complex, or can it be less formal and relatively simple?
– What vendors make products that address the Root-cause analysis needs?
Multivariate linear regression Critical Criteria:
Define Multivariate linear regression risks and inform on and uncover unspoken needs and breakthrough Multivariate linear regression results.
– Can we do Root-cause analysis without complex (expensive) analysis?
– Is Supporting Root-cause analysis documentation required?
– What is our Root-cause analysis Strategy?
Occupational safety and health Critical Criteria:
Check Occupational safety and health engagements and create a map for yourself.
– How will you measure your Root-cause analysis effectiveness?
Orthogonal Defect Classification Critical Criteria:
Discourse Orthogonal Defect Classification adoptions and learn.
– Do we aggressively reward and promote the people who have the biggest impact on creating excellent Root-cause analysis services/products?
Pareto chart Critical Criteria:
Jump start Pareto chart goals and probe using an integrated framework to make sure Pareto chart is getting what it needs.
– Does Root-cause analysis analysis show the relationships among important Root-cause analysis factors?
– Is the scope of Root-cause analysis defined?
Problem solving Critical Criteria:
Talk about Problem solving strategies and transcribe Problem solving as tomorrows backbone for success.
– Key problem solving knowledge resides with the knowledge workers, and not the manager. So, how do we adapt project management techniques to deal with this key reality?
– Who are the people involved in developing and implementing Root-cause analysis?
– How can the value of Root-cause analysis be defined?
Process capability Critical Criteria:
Experiment with Process capability quality and be persistent.
– In the case of a Root-cause analysis project, the criteria for the audit derive from implementation objectives. an audit of a Root-cause analysis project involves assessing whether the recommendations outlined for implementation have been met. in other words, can we track that any Root-cause analysis project is implemented as planned, and is it working?
– Why are Root-cause analysis skills important?
Project charter Critical Criteria:
Study Project charter visions and balance specific methods for improving Project charter results.
– How do you determine the key elements that affect Root-cause analysis workforce satisfaction? how are these elements determined for different workforce groups and segments?
Quality control Critical Criteria:
Bootstrap Quality control quality and probe the present value of growth of Quality control.
– Is the Quality Assurance function recognized to be different from implicit and continuous quality control during fabrication, in that it is discrete, explicit following production, and ignores the sequence or nature of the fabrication steps or processes?
– Do we conduct regular data quality audits to ensure that our strategies for enforcing quality control are up-to-date and that any corrective measures undertaken in the past have been successful in improving Data Quality?
– Have we established unit(s) whose primary responsibility is internal audit, Quality Assurance, internal control or quality control?
– Who is responsible for ensuring appropriate resources (time, people and money) are allocated to Root-cause analysis?
– Does Root-cause analysis systematically track and analyze outcomes for accountability and quality improvement?
– What policies do we need to develop or enhance to ensure the quality control of data gathered?
– What quality control measures will be used to ensure the program progresses as planned?
– Does Root-cause analysis analysis isolate the fundamental causes of problems?
– Do we regularly review and update its Data Quality control procedures?
– Are regulatory inspections considered part of quality control?
– What about quality control? Defects?
– What is your quality control system?
– What about quality control?
Risk management Critical Criteria:
Jump start Risk management visions and optimize Risk management leadership as a key to advancement.
– Have we developed a continuous monitoring strategy for the information systems (including monitoring of security control effectiveness for system-specific, hybrid, and common controls) that reflects the organizational Risk Management strategy and organizational commitment to protecting critical missions and business functions?
– Does your Cybersecurity plan include recognition of critical facilities and/or cyber assets that are dependent upon IT or automated processing?
– Has your organization conducted an evaluation of the Cybersecurity risks for major systems at each stage of the system deployment lifecycle?
– Are you aware of anyone attempting (whether successfully or not) to gain unauthorized access to your system or its data?
– Are audit/log records determined, documented, implemented, and reviewed in accordance with your organizations policies?
– What is the effect on the organizations mission if the system or information is not reliable?
– Is there disagreement or conflict about a decision/choice or course of action to be taken?
– Risk identification: what are the possible risk events our organization faces?
– Do we evaluate security risks associated with proposed software?
– What are key aspects from Risk Management in our practice?
– Are risk incidents frequent within similar organizations?
– What else do you need to learn to be ready?
– What are the usability implications?
– How much to invest in Cybersecurity?
– What if we already have something in place?
Root cause Critical Criteria:
Study Root cause decisions and probe using an integrated framework to make sure Root cause is getting what it needs.
– Are there any easy-to-implement alternatives to Root-cause analysis? Sometimes other solutions are available that do not require the cost implications of a full-blown project?
Sequence of events Critical Criteria:
Read up on Sequence of events issues and assess what counts with Sequence of events that we are not counting.
– Are there recognized Root-cause analysis problems?
Six Sigma Critical Criteria:
Audit Six Sigma failures and secure Six Sigma creativity.
– What process management and improvement tools are we using PDSA/PDCA, ISO 9000, Lean, Balanced Scorecard, Six Sigma, something else?
– How is lean six sigma different from TOGAF architecture?
Statistical process control Critical Criteria:
Transcribe Statistical process control decisions and modify and define the unique characteristics of interactive Statistical process control projects.
– Consider your own Root-cause analysis project. what types of organizational problems do you think might be causing or affecting your problem, based on the work done so far?
– Are Acceptance Sampling and Statistical Process Control Complementary or Incompatible?
– How do we measure improved Root-cause analysis service perception, and satisfaction?
Structural fix Critical Criteria:
Win new insights about Structural fix quality and ask what if.
– What are the barriers to increased Root-cause analysis production?
– How do we manage Root-cause analysis Knowledge Management (KM)?
Systems analysis Critical Criteria:
Mix Systems analysis issues and gather Systems analysis models .
– What is the purpose of the Systems Analysis report during the Systems Analysis phase?
– What important aspects need to be considered during a feasibility study?
– Do you think users make the final switch to the new system easily?
– How has computing been used to support requirements determination?
– How should Systems Analysis incorporate multisectoral components?
– On what basis would you decide to redesign a business process?
– What are examples of nonmeasurable benefits of new systems?
– Economic feasibility. is the solution cost-effective?
– Who will be involved in the decision making process?
– What means can a project sponsor use to communicate?
– What part of the system is working well?
– Systems Analysis and design: why is it?
– Which organizational units affected?
– Why have Systems Analysis at all?
– How broad should the analysis be?
– How will the system work?
– So, what is a procedure ?
– Can a step be eliminated?
– Who does analysis?
Value stream mapping Critical Criteria:
Confer re Value stream mapping management and interpret which customers can’t participate in Value stream mapping because they lack skills.
Voice of the customer Critical Criteria:
Pilot Voice of the customer risks and assess what counts with Voice of the customer that we are not counting.
– What management system can we use to leverage the Root-cause analysis experience, ideas, and concerns of the people closest to the work to be done?
– What other jobs or tasks affect the performance of the steps in the Root-cause analysis process?
This quick readiness checklist is a selected resource to help you move forward. Learn more about how to achieve comprehensive insights with the Root-cause analysis Self Assessment:
Author: Gerard Blokdijk
CEO at The Art of Service | theartofservice.com
Gerard is the CEO at The Art of Service. He has been providing information technology insights, talks, tools and products to organizations in a wide range of industries for over 25 years. Gerard is a widely recognized and respected information expert. Gerard founded The Art of Service consulting business in 2000. Gerard has authored numerous published books to date.
To address the criteria in this checklist, these selected resources are provided for sources of further research and information:
Root cause analysis External links:
[PDF]Root Cause Analysis Template – IN.gov
Root Cause Analysis | AHRQ Patient Safety Network
[PDF]The Importance of Root Cause Analysis During …
5 Whys External links:
5 Whys – A Problem Solving Technique – Revolution …
[PDF]“The 5 Whys” – Massachusetts Department of …
A3 problem solving External links:
Lean Thinking Using A3 Problem Solving by Darrell …
A3 Report template for Lean A3 problem solving – …
An Introduction to A3 Problem Solving – uttana.com
Accident Analysis External links:
Air Safety Institute Accident Analysis
[PDF]First Aid Supervisor’s Incident/Accident Analysis
Barrier analysis External links:
What is Barrier Analysis? – ThinkReliability
Vehicle Barrier Analysis & Design | www.ara.com
Business process External links:
Canon Business Process Services
Information technology and business process …
Business process mapping External links:
Business Process Mapping Software | Lucidchart
Essential Guide to Business Process Mapping | Smartsheet
Business Process Mapping Examples
Change management External links:
Change Management Consulting Firm | Clerestory Consulting
Strategy Execution and Change Management Consultants …
Join Us | Change Management 2018
Control plan External links:
What is a Control Plan? The Control Plan is a guide to continued monitoring of the process, and the response plan for each of the measures being monitored. Thes
[PDF]CHAPTER 7 QUALITY CONTROL PLAN – HUD.gov / …
[PDF]Exposure Control Plan for Bloodborne Pathogens
Data mining External links:
Data Mining Extensions (DMX) Reference | Microsoft Docs
UT Data Mining
Nebraska Oil and Gas Conservation Commission – GIS Data Mining
Design of experiments External links:
Design of Experiments – AbeBooks
[PDF]Statistical Design of Experiments
The design of experiments. (Book, 1935) [WorldCat.org]
Factor analysis External links:
Factor Analysis | SPSS Annotated Output – IDRE Stats
Factor Analysis: A Short Introduction, Part 1
Lesson 12: Factor Analysis | STAT 505
Failure analysis External links:
Semiconductor Failure Analysis
[PDF]Failure Analysis of LEDs – SEM Lab
Failure mode and effects analysis External links:
[PDF]FAILURE MODE AND EFFECTS ANALYSIS (FMEA)
Fault tree analysis External links:
Fault Tree Analysis (FTA, System Analysis) Basics
[PDF]Fault Tree Analysis
Fault Tree Analysis 8 Step Process — Accendo Reliability
Forensic engineering External links:
Donan – Forensic Engineering, Fire Investigation & UAV …
Forensic engineering. (Journal, magazine, 1987) …
Forensic Engineering – BUILDINGS
Graph theory External links:
Chapter 14: Graph Theory Flashcards | Quizlet
Hierarchical clustering External links:
[PDF]Data Clustering: K-means and Hierarchical Clustering
14.4 – Agglomerative Hierarchical Clustering | STAT 505
Hierarchical Clustering – Saed Sayad
Incident management External links:
OpsGenie | Alerting & Incident Management for Dev & Ops …
IS-700.A: National Incident Management System (NIMS) …
Home | Arizona Traffic Incident Management
Maintenance, Repair and Operations External links:
[PDF]THE MAINTENANCE, REPAIR AND OPERATIONS …
Maintenance, Repair and Operations | Weiler
Multi-vari chart External links:
Multi-Vari Chart and Analysis Book – M/PCpS
Multiple regression External links:
Multiple Regression – Michigan State University
Hierarchical Multiple Regression (part 1) – YouTube
EXCEL Multiple Regression
Multivariate linear regression External links:
IBM Multivariate linear regression in SPSS – United States
Occupational safety and health External links:
Occupational Safety and Health
OSHCON: Occupational Safety and Health Consultation …
Home | Occupational Safety and Health Administration
Orthogonal Defect Classification External links:
Orthogonal Defect Classification – IBM
What is Orthogonal Defect Classification (ODC) – YouTube
Pareto chart External links:
Pareto Chart in Excel – EASY Excel Tutorial
How to Create a Pareto Chart in MS Excel 2010: 14 Steps
How To Create A Pareto Chart In Minitab – …
Problem solving External links:
Art of Problem Solving – Official Site
Duck Life: Treasure Hunt – Problem Solving Adventure Game
Process capability External links:
Process Capability Analysis | Minitab with Statistics Training
[PPT]Process Capability – Georgia State University
Project charter External links:
Project Charter – Template & Example – …
What Is a Project Charter? Steering Your Project to Success
Quality control External links:
Part D: Ensuring Quality Control (QC) – fanniemae.com
Ardent Services, Inc. | Quality Control Evaluation Services
OEQC Home – Office of Environmental Quality Control
Risk management External links:
Education Risk Management | Edu Risk Solutions
20 Best Title:(risk Management Manager) jobs (Hiring …
Root cause External links:
Online Root Cause Analysis Toolkit – Minnesota Dept. of …
Road Rage Root Cause – WebMD
Root Cause Analysis – VA National Center for Patient Safety
Sequence of events External links:
Sequence of Events – Selective Service System
[PDF]SEQUENCE OF EVENTS – DHEC
Six Sigma External links:
Six Sigma Definition – What is Lean Six Sigma? | ASQ
Lean Six Sigma Training & Certification – GoLeanSixSigma…
Lean Six Sigma Certification | 6 Sigma Training
Statistical process control External links:
Statistical Process Control – C Chart
Statistical Process Control – ethiostandards.org
[PPT]Statistical Process Control – Saint Martin’s University
Structural fix External links:
Structural fix – Revolvy
Systems analysis External links:
P E Systems | Systems Analysis | Technology Services
Systems Analysis and Integration | Transportation …
[PDF]SYSTEMS ANALYSIS – WHAT, WHY AND HOW
Value stream mapping External links:
Production Flow Analysis through Value Stream Mapping…
Value Stream Mapping Excel | Value Stream Map – QI Macros
Value Stream Mapping – MassMEP
Voice of the customer External links:
iPerceptions | Full-Service Voice of the Customer solutions
ASQ – Voice of the Customer Webcast