Subset Overview / Details
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Requirement Set: CMMI
Subset: Causal Analysis and
Resolution (CAR)
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Notes:
·
The contents of this web page were extracted from
the following document: Capability Maturity Model® Integration
(CMMISM), Version 1.1, Continuous Representation,
CMU/SEI-2002-TR-011, March 2002 (CMMI-SE/SW/IPPD/SS). Copyright 2002 by
Carnegie Mellon University. NO WARRANTY.
·
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in square brackets that appear at the end of paragraphs.
·
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·
In the CMMI, a subset is known as a "Process
Area (PA)" and a requirement is known as a "Practice". The
specific practices are referred to as SPs and the generic practices are
referred to as GPs.
·
This web page contains the text for SPs and GPs as
it appears in Chapter 7 of the CMMI document, in the section corresponding to
the process area named in the heading of this page. This web page does not
include the detailed description of the GPs that appears in a separate chapter
of the CMMI document; the detailed
description of the GPs is available in a separate web
page. (Note: Using the hyperlink provided here will open that web page in a
separate window.)
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Category: Support
Purpose
The purpose of Causal Analysis and Resolution is to
identify causes of defects and other problems and take action to prevent them
from occurring in the future. [PA155]
Introductory Notes
The Causal Analysis and Resolution process area involves
the following: [PA155.N101]
· Identifying and analyzing causes of defects and other problems
· Taking specific actions to remove the 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. [PA155.N102]
Since 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.
[PA155.N103]
The types of defects and other problems encountered are
analyzed to identify any trends. Based on an understanding of the defined process
and how it is implemented, the root causes of the defects and the future
implications of the defects are determined.
[PA155.N104]
Causal analysis may also be performed on problems
unrelated to defects. For example, causal analysis may be used to improve
quality attributes such as cycle time. Improvement proposals, simulations,
dynamic systems models, engineering analyses, new business directives, or other
items may initiate such analysis.
[PA155.N105]
Sometimes it may be impractical to perform causal
analysis on all defects. In these cases, tradeoffs are made between estimated
investments and estimated returns in quality, productivity, and cycle time, and
defect targets are selected. [PA155.N106]
A measurement process should already be in place. The
defined measures can be used, though in some instances new measures may be
needed to analyze the effects of the process change. [PA155.N107]
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. [PA155.N107.R101]
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.
[PA155.N108]
When improvements are judged to be effective, the
information is extended to the organizational level. [PA155.N109]
Refer to the Organizational Innovation and Deployment process area for
more information about improving organizational level processes through
proposed improvements and action proposals.
[PA155.N109.R101]
The informative material in this process area is written
with the assumption 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 the assumption is not met. [PA155.N110]
See the definitions of “stable process” and “common cause
of process variation” in Appendix C, the glossary. [PA155.N111]
Refer to the Quantitative Project Management process area for more
information about the analysis of process performance and the creation of
process capability measures for selected project processes.
[PA155.R101]
Refer to the Organizational Innovation and Deployment process area for
more information about the selection and deployment of improvements to
organizational processes and technologies. [PA155.R102]
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. [PA155.R103]
Specific Goals
SG 1 Determine
Causes of Defects [PA155.IG101]
Root causes of defects and other problems are systematically determined.
SG 2 Address
Causes of Defects [PA155.IG102]
Root causes of defects and other problems are systematically addressed to prevent their future occurrence.
Generic Goals
GG 1 Achieve
Specific Goals [CL102.GL101]
The process supports and enables achievement of the specific goals of the process area by transforming identifiable input work products to produce identifiable output work products.
GG 2 Institutionalize
a Managed Process [CL103.GL101]
The process is institutionalized as a managed process.
GG 3 Institutionalize
a Defined Process [CL104.GL101]
The process is institutionalized as a defined process.
GG 4 Institutionalize
a Quantitatively Managed Process
[CL105.GL101]
The process is institutionalized as a quantitatively managed process.
GG 5 Institutionalize
an Optimizing Process [CL106.GL101]
The process is institutionalized as an optimizing process.
Practice-to-Goal Relationship Table
SG 1 Determine Causes of Defects
[PA155.IG101]
SP 1.1-1 Select Defect Data for Analysis
SP 1.2-1 Analyze Causes
SG 2 Address Causes of Defects
[PA155.IG102]
SP 2.1-1 Implement the Action Proposals
SP 2.2-1 Evaluate the Effect of Changes
SP 2.3-1 Record Data
GG 1 Achieve Specific Goals [CL102.GL101]
GP 1.1 Perform Base Practices
GG 2 Institutionalize a Managed Process [CL103.GL101]
GP 2.1 Establish an Organizational Policy
GP 2.2 Plan the Process
GP 2.3 Provide Resources
GP 2.4 Assign Responsibility
GP 2.5 Train People
GP 2.6 Manage Configurations
GP 2.7 Identify and Involve Relevant Stakeholders
GP 2.8 Monitor and Control the Process
GP 2.9 Objectively Evaluate Adherence
GP 2.10 Review Status with Higher Level Management
GG 3 Institutionalize a Defined Process [CL104.GL101]
GP 3.1 Establish a Defined Process
GP 3.2 Collect Improvement Information
GG 4 Institutionalize a Quantitatively Managed Process [CL105.GL101]
GP 4.1 Establish Quantitative Objectives for the Process
GP 4.2 Stabilize Subprocess Performance
GG 5 Institutionalize an Optimizing Process [CL106.GL101]
GP 5.1 Ensure Continuous Process Improvement
GP 5.2 Correct Root Causes of Problems
Specific Practices by Goal
SG 1 Determine Causes of Defects
Root causes of defects and other problems are
systematically determined. [PA155.IG101]
A root cause is a source of a defect such that if it is
removed, the defect is decreased or removed.
[PA155.IG101.N101]
SP 1.1-1 Select Defect Data for Analysis
Select
the defects and other problems for analysis.
[PA155.IG101.SP101]
Typical Work Products
1. Defect and problem data
selected for further analysis [PA155.IG101.SP101.W101]
Subpractices
1. Gather relevant defect data. [PA155.IG101.SP101.SubP101]
Examples
of relevant defect data may include the following:
[PA155.IG101.SP101.SubP101.N101]
· Project management problem reports requiring corrective action
· Defects reported by the customer
· Defects reported by end user
· Defects found in peer reviews
· Defects found in testing
· Process capability problems
Refer
to the Verification process area for more information about work product
verification. [PA155.IG101.SP101.SubP101.N101.R101]
Refer
to the Quantitative Project Management process area for more information about
statistical management. [PA155.IG101.SP101.SubP101.N101.R102]
2. Determine which defects and other problems
will be analyzed further. [PA155.IG101.SP101.SubP102]
When determining which defects to
analyze further, consider the impact of the defects, the frequency of
occurrence, the similarity between defects, the cost of analysis, the time and
resources needed, safety considerations, etc. [PA155.IG101.SP101.SubP102.N101]
Examples
of methods for selecting defects and other problems include the following: [PA155.IG101.SP101.SubP102.N102]
· Pareto analysis
· Histograms
· Process capability analysis
Perform
causal analysis of selected defects and other problems and propose actions to
address them. [PA155.IG101.SP102]
The purpose of this analysis is to develop solutions to
the identified problems by analyzing the relevant data and producing action
proposals for implementation.
[PA155.IG101.SP102.N101]
Typical Work Products
1. Action proposal [PA155.IG101.SP102.W101]
Subpractices
1. Conduct causal analysis with the people who
are responsible for performing the task.
[PA155.IG101.SP102.SubP101]
Causal analysis is performed with
those people who have an understanding of the selected defect or problem under
study, typically in meetings. The people who have the best understanding of the
selected defect are typically those responsible for performing the task. [PA155.IG101.SP102.SubP101.N102]
Examples
of when to perform causal analysis include the following: [PA155.IG101.SP102.SubP101.N101]
· When a stable process does not meet its specified quality and process-performance objectives
· During the task, if and when problems warrant additional meetings
· When a work product exhibits an unexpected deviation from its requirements
Refer
to the Quantitative Project Management process area for more information about achieving
the project’s quality and process-performance objectives. [PA155.IG101.SP102.SubP101.N101.R101]
2. Analyze selected defects and other problems
to determine their root causes. [PA155.IG101.SP102.SubP102]
Depending on the type and number of
defects, it may make sense to first group the defects before identifying their
root causes.
[PA155.IG101.SP102.SubP102.N102]
Examples
of methods to determine root causes include the following: [PA155.IG101.SP102.SubP102.N101]
· Cause-and-effect (fishbone) diagrams
· Check sheets
3. Group the selected defects and other
problems based on their root causes. [PA155.IG101.SP102.SubP103]
Examples
of cause groups, or categories, include the following:
[PA155.IG101.SP102.SubP103.N101]
· Inadequate training
· Breakdown of communications
· Not accounting for all details of the task
· Making mistakes in manual procedures (e.g., typing)
· Process deficiency
4. Propose and document actions that need to be
taken to prevent the future occurrence of similar defects or other problems. [PA155.IG101.SP102.SubP104]
Examples
of proposed actions include changes to the following:
[PA155.IG101.SP102.SubP104.N101]
· The process in question
· Training
· Tools
· Methods
· Communications
· Work products
Examples
of specific actions include the following:
[PA155.IG101.SP102.SubP104.N102]
· Providing training in common problems and techniques for preventing them
· Changing a process so that error-prone steps do not occur
· Automating all or part of a process
· Reordering process activities
· Adding process steps to prevent defects, such as task kickoff meetings to review common defects and actions to prevent them
An action proposal usually
documents the following:
[PA155.IG101.SP102.SubP104.N103]
· Originator of the action proposal
· Description of the problem
· Description of the defect cause
· Defect cause category
· Phase when the problem was introduced
· Phase when the defect was identified
· Description of the action proposal
· Action proposal category
SG 2 Address Causes of Defects
Root causes of defects and other problems are
systematically addressed to prevent their future occurrence. [PA155.IG102]
Projects operating according to a well-defined process
will systematically analyze the operation where problems still occur and
implement process changes to eliminate root causes of selected problems. [PA155.IG102.N101]
SP 2.1-1 Implement the Action Proposals
Implement
the selected action proposals that were developed in causal analysis. [PA155.IG102.SP101]
Action proposals describe the tasks necessary to remove
the root causes of the analyzed defects or problems and avoid their
reoccurrence.
[PA155.IG102.SP101.N101]
Only changes that prove to be of value should be
considered for broad implementation.
[PA155.IG102.SP101.N102]
Typical Work Products
1. Action proposals selected
for implementation [PA155.IG102.SP101.W101]
2. Improvement proposals [PA155.IG102.SP101.W102]
Subpractices
1. Analyze the action proposals and determine
their priorities. [PA155.IG102.SP101.SubP101]
Criteria for prioritizing action
proposals include the following:
[PA155.IG102.SP101.SubP101.N101]
· Implications of not addressing the defects
· Cost to implement process improvements to prevent the defects
· Expected impact on quality
2. Select the action proposals that will be
implemented. [PA155.IG102.SP101.SubP102]
3. Create action items for implementing the
action proposals. [PA155.IG102.SP101.SubP103]
Examples
of information provided in an action item include the following: [PA155.IG102.SP101.SubP103.N101]
· Person responsible for implementing it
· Description of the areas affected by it
· People who are to be kept informed of its status
· Next date that status will be reviewed
· Rationale for key decisions
· Description of implementation actions
· Time and cost for identifying the defect and correcting it
· Estimated cost of not fixing the problem
To
implement the action proposals, the following tasks must be done: [PA155.IG102.SP101.SubP103.N102]
· Make assignments
· Coordinate the persons doing the work
· Review the results
· Track the action items to closure
Experiments may be conducted for
particularly complex changes.
[PA155.IG102.SP101.SubP103.N103]
Examples
of experiments include the following:
[PA155.IG102.SP101.SubP103.N105]
· Using a temporarily modified process
· Using a new tool
Action items may be assigned to
members of the causal analysis team, members of the project team, or other
members of the organization.
[PA155.IG102.SP101.SubP103.N104]
4. Identify and remove similar defects that may
exist in other processes and work products.
[PA155.IG102.SP101.SubP104]
5. Identify and document improvement proposals
for the organization’s set of standard processes.
[PA155.IG102.SP101.SubP105]
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.
[PA155.IG102.SP101.SubP105.R101]
SP 2.2-1 Evaluate the Effect of Changes
Evaluate
the effect of changes on process performance.
[PA155.IG102.SP102]
Refer to the Quantitative Project Management process area for more
information about analyzing process performance and creating process capability
measures for selected processes. [PA155.IG102.SP102.R101]
Once the changed process is deployed across the project,
the effect of the changes must be checked to gather evidence that the process
change has corrected the problem and improved performance. [PA155.IG102.SP102.N101]
Typical Work Products
1. Measures of performance and
performance change [PA155.IG102.SP102.W101]
Subpractices
1. Measure the change in the performance of the
project's defined process as appropriate.
[PA155.IG102.SP102.SubP101]
This subpractice determines
whether the selected change has positively influenced the process performance
and by how much.
[PA155.IG102.SP102.SubP101.N101]
An
example of a change in the performance of the project’s defined design process
would be the change in the defect density of the design documentation, as
statistically measured through peer reviews before and after the improvement
has been made. On a statistical process control chart, this would be
represented by a change in the mean.
[PA155.IG102.SP102.SubP101.N102]
2. Measure the capability of the project's
defined process as appropriate. [PA155.IG102.SP102.SubP102]
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.
[PA155.IG102.SP102.SubP102.N101]
An
example of a change in the capability of the project’s defined design process
would be a change in the ability of the process to stay within its
process-specification boundaries. This can be statistically measured by
calculating the range of the defect density of design documentation, as
collected in peer reviews before and after the improvement has been made. On a
statistical process control chart, this would be represented by lowered control
limits. [PA155.IG102.SP102.SubP102.N102]
Record
causal analysis and resolution data for use across the project and
organization. [PA155.IG102.SP103]
Data are recorded so that other projects and
organizations can make appropriate process changes and achieve similar results. [PA155.IG102.SP103.N101]
Record the following:
[PA155.IG102.SP103.N102]
· 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 the analysis and resolution activities
· Measures of changes to the performance of the defined process resulting from resolutions
Typical Work Products
1. Causal analysis and
resolution records [PA155.IG102.SP103.W101]
Generic Practices by Goal
(Note: The detailed description of the GPs is available in a separate web page. Using the hyperlink provided here will open that web page in a separate window. However, the GP elaborations pertinent to the process area of this web page are available below.)
GG 1 Achieve Specific Goals
The process supports and enables achievement of the specific goals of the process area by transforming identifiable input work products to produce identifiable output work products.
Perform
the base practices of the causal analysis and resolution process to develop
work products and provide services to achieve the specific goals of the process
area. [GP102]
GG 2 Institutionalize a Managed Process
The process is institutionalized as a managed process.
GP 2.1 Establish an Organizational Policy
Establish
and maintain an organizational policy for planning and performing the causal analysis
and resolution process. [GP103]
Elaboration:
This policy establishes organizational expectations for
identifying and systematically addressing root causes of defects and other
problems. [PA155.EL101]
Establish
and maintain the plan for performing the causal analysis and resolution
process. [GP104]
Elaboration:
This plan for performing the causal analysis and
resolution process differs from the action proposals and associated action
plans described in the specific practice in this process area. The plan called
for in this generic process would address the organization’s overall causal
analysis and resolution process. In contrast, the process action proposals and
associated action plans address the activities needed to remove the root cause
under study. [PA155.EL111]
Provide
adequate resources for performing the causal analysis and resolution process,
developing the work products, and providing the services of the process. [GP105]
Elaboration:
Examples of
resources provided include the following tools: [PA155.EL102]
· Database systems
· Process modeling tools
· Statistical analysis packages
· Tools, methods, and analysis techniques (e.g., Ishakawa or fishbone diagram, Pareto analysis, histograms, process capability studies, control charts)
Assign
responsibility and authority for performing the process, developing the work
products, and providing the services of the causal analysis and resolution
process. [GP106]
Train
the people performing or supporting the causal analysis and resolution process
as needed. [GP107]
Elaboration:
Examples of
training topics include the following: [PA155.EL103]
· Quality management methods (e.g., root cause analysis)
Place
designated work products of the causal analysis and resolution process under
appropriate levels of configuration management.
[GP109]
Elaboration:
Examples of work
products placed under configuration management include the following: [PA155.EL104]
· Action proposals
· Action proposals selected for implementation
· Causal analysis and resolution records
GP 2.7 Identify and Involve Relevant Stakeholders
Identify
and involve the relevant stakeholders of the causal analysis and resolution
process as planned. [GP124]
Elaboration:
Examples of
activities for stakeholder involvement include the following: [PA155.EL110]
· Conducting causal analysis
· Assessing the action proposals
GP 2.8 Monitor and Control the Process
Monitor
and control the causal analysis and resolution process against the plan for
performing the process and take appropriate corrective action. [GP110]
Elaboration:
Examples of
measures used in monitoring and controlling include the following: [PA155.EL105]
· Number of root causes removed
· Change in quality or process performance per instance of the causal analysis and resolution process
GP 2.9 Objectively Evaluate Adherence
Objectively
evaluate adherence of the causal analysis and resolution process against its
process description, standards, and procedures, and address noncompliance. [GP113]
Elaboration:
Examples of
activities reviewed include the following: [PA155.EL106]
· Determining causes of defects
· Addressing causes of defects
Examples of
work products reviewed include the following: [PA155.EL109]
· Action proposals selected for implementation
· Causal analysis and resolution records
GP 2.10 Review Status with Higher Level Management
Review
the activities, status, and results of the causal analysis and resolution
process with higher level management and resolve issues. [GP112]
GG 3 Institutionalize a Defined Process
The process is institutionalized as a defined process.
GP 3.1 Establish a Defined Process
Establish
and maintain the description of a defined causal analysis and resolution
process. [GP114]
GP 3.2 Collect Improvement Information
Collect
work products, measures, measurement results, and improvement information
derived from planning and performing the causal analysis and resolution process
to support the future use and improvement of the organization’s processes and
process assets. [GP117]
GG 4 Institutionalize a Quantitatively Managed Process
The process is institutionalized as a quantitatively managed process.
GP 4.1 Establish Quantitative Objectives for the Process
Establish
and maintain quantitative objectives for the causal analysis and resolution
process that address quality and process performance based on customer needs and
business objectives. [GP118]
GP 4.2 Stabilize Subprocess Performance
Stabilize
the performance of one or more subprocesses to determine the ability of the
causal analysis and resolution process to achieve the established quantitative quality
and process-performance objectives. [GP119]
GG 5 Institutionalize an Optimizing Process
The process is institutionalized as an optimizing process.
GP 5.1 Ensure Continuous Process Improvement
Ensure
continuous improvement of the causal analysis and resolution process in
fulfilling the relevant business objectives of the organization. [GP125]
GP 5.2 Correct Root Causes of Problems
Identify
and correct the root causes of defects and other problems in the causal
analysis and resolution process. [GP121]