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Root Cause Analysis

for Project Managers

by Duke Okes
2013 Duke Okes

Who am I?
Independent consultant/trainer since 1985 Process management, internal audits, performance metrics, root cause analysis (RCA) Manufacturers (design through field service), finance (insurance, credit cards), laboratories (research, calibration), hospitals, IT support, energy companies ~ 300 RCA workshops in past 9 years

2013 Duke Okes

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Root Cause in the PMBoK (5th ed)


Chapter 4 Integration Management (1) Chapter 8 Quality Management (3) Chapter 11 Risk Management (6) Chapter 13 Stakeholder Management (2)

Risk management is often too soon and lessons learned may be too late

2013 Duke Okes

Applications for RCA in PM


Proactive (risk management): Identifying and addressing potential problems/causes Reactive (corrective action) : Identifying causes for problems that did occur
Issues Defects in deliverables Audit findings Variances in performance metrics
Quality Schedule Cost Resources

2013 Duke Okes

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Link to Cost of Quality

Prevention costs Appraisal costs


Learning thru effective root cause analysis!

Failure costs

2013 Duke Okes

Why We Struggle With It


Dont know what a root cause is
Dont know when to do it (and when not) Dont know how (not taught in school, no guidance provided) Not willing to invest sufficient time Its a hot potato Seen as in addition to the real work

2013 Duke Okes

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Types of Causes
Correction
Containment Remedial action

Corrective action
Physical causes System/root causes (not human error!) Contributing factors
Quite different from Process Improvement

2013 Duke Okes

Risk Matrix for Filtering Issues


High

Potential/Actual Impact

KEY
Medium
Correction and both Physical & System Causes Correction and Physical Cause Correction Only

Lo

Note: A third axis representing time is useful in some applications Lo Medium High

Frequency/Probability of Occurrence

2013 Duke Okes

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Primary Tools for RCA


Requirements & RFQ High-level Design Quote & Acquire Detailed Design Build It

Activity/Event Timeline
Undesired Outcomes Designed Wrong Unclear Requirements Design Process Error Built Wrong Incorrect Interpretation of Design Took Shortcut

Cause-Effect/Why Analysis
2013 Duke Okes

How the PMBoK Helps


The Process
Initiate>Plan>Execute>Monitor/Control>Close Plan>Do>Check>Act

The Causes
Integration management Scope management Time management Cost management Quality management Human resources management Communications management Risk management Procurement management Stakeholder management
2013 Duke Okes

Making things better: for this project for the next project for all projects for this project manager for this organization for all project managers

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Whats Missing?
Environment (e.g., weather) Economic shifts (e.g., exchange rates) Politics (e.g., power struggles) Culture (e.g., problems arent reported)
But good project management should help us deal with these through: Better planning Better execution

2013 Duke Okes

The Corrective Action Process


Problem Identified Implement Solutions

Containment and Remedial Action

Corrective Action Required?

Yes

Find Physical Cause


System Cause Required?

Find System Cause

Yes

No No

Monitor Trends in Problems and Causes

2013 Duke Okes

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Who to Involve and How to Organize


The Players
Management conducts SMEs as sources of data Independent /outsider

The Process
Initial definition, data collection, timeline In-depth analysis of physical causes In-depth analysis of system causes Modify project procedures/guidelines Monitor for impact
2013 Duke Okes

Contact Information

Duke Okes 423-323-7576 dokes@earthlink.net www.aplomet.com

2013 Duke Okes

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