Root Cause Analysis Handbook: A Guide to Effective Incident Investigation, 2005 Edition

Chapter 2: Collecting and Preserving Data for Analysis

Overview

Factual evidence derived from data-gathering activities serves as the basis for all valid conclusions and recommendations from a root cause analysis. Without effective data gathering, the event (problem) cannot be truly defined and solved. Data gathering is an ongoing process throughout the analysis. It is the first step of the process and continues while causal factors and root causes are identified.

There are a number of different types and sources of data. The four basic types of data are:

  • People witnesses, participants, etc.

  • Physical parts, chemical samples, etc.

  • Position location of people and physical evidence

  • Paper both hard copies and software versions

Data gathering must begin as soon as possible after the event occurs to prevent loss or alteration of the data. Data from people are the most fragile; that is, most easily altered or destroyed. Gathering data from people needs to be the first priority. Other forms of data are more stable; however, physical data need to be identified quickly to prevent their inadvertent destruction.

To gather data from people, the analyst must be a skilled interviewer. Figure 2-1 describes the overall interview process. Planning for the interview is essential if the interviewer wants to get the maximum amount of data from the interview. During the interview, the interviewer must ask open-ended questions - questions that require the interviewee to respond with a long, descriptive answer. After these questions are asked and answered, the interviewer can follow up with more detailed questions. At the...

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