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Techniques
Root Cause Analysis
10.39.4 Usage Considerations
.1 Strengths
• Provides procedural checks and balances, as well as data security, by restricting
individuals from performing certain actions.
• Promotes improved review of transaction history, in that audit logs can capture
details about any assigned authorities at the time.
• Provides documented roles and responsibilities for activities.
.2 Limitations
• Need to recognize the required level of detail for a specific initiative or activity;
too much detail can be time-consuming and not provide value, too little detail
can exclude necessary roles or responsibilities.
10.40 Root Cause Analysis
10.40.1 Purpose
10.40.2 Description
Root cause analysis is used to identify and evaluate the underlying causes of a
problem.
Root cause analysis is a systematic examination of a problem or situation that
focuses on the problem's origin as the proper point of correction rather than
dealing only with its effects. It applies an iterative analysis approach in order to
take into account that there might be more than one root cause contributing to
the effects. Root cause analysis looks at the main types of causes such as people
(human error, lack of training), physical (equipment failure, poor facility), or
organizational (faulty process design, poor structure).
Root cause analysis helps organize the information in a framework, which allows
for deeper analysis if needed. Root cause analysis can be used for:
• Reactive Analysis: identifying the root cause(s) of an occurring problem
for corrective action, or
• Proactive Analysis: identifying potential problem areas for preventive
action.
Root cause analysis uses four main activities:
• Problem Statement Definition: describes the issue to be addressed.
• Data Collection: gathers information about the nature, magnitude,
location, and timing of the effect.
• Cause Identification: investigates the patterns of effects to discover the
specific actions that contribute to the problem.
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