FINDING THE FIRST DOMINO
1
FINDING THE FIRST DOMINO
Robert L. Mainardi, CFSA, CRMA, MBA, Six Sigma President & Founder Mainardi & Company AHIA 33rd Annual Conference – September 21-24, 2014 – Austin, Texas
www.ahia.org
Agenda 2
Define root cause
Understand the process
Leverage partnerships for success
Increase the value of implementing change
Root Cause Defined 3
Research based approach to identifying the bottom line reason of a problem with root cause representing the source of the problem
Recognize root cause analysis is a reactive method of solving a problem previously identified
Root Cause Defined 4
Research aspect requires
Effort
Resources
Time
Discussion Question 5
Do internal auditors find root cause on every issue?
Root Cause 6
Audit dedication to finding root cause
Links directly to the research components of effort, resources, and time
One additional factor is…Trust
Root Cause 7
Trust issues
Placing reliance on an individual in the business unit
Performing no validation testing
Asking no confirmation questions
Relying on auditor overconfidence
Root Cause 8
Desired approach
Explain the process to your business partner
Discuss objective
Schedule a formal meeting
Mention the frustration
Root Cause 9
Desired approach
Realize you cannot find it alone
Leverage partnerships
Prepare for the meeting
Master the data
Move on after agreement
Root Cause 10
Desired approach
Facilitate the discussion with the confirmed condition
Utilize funneling/repeated why approach
Validate agreement
Link it directly to action plan development
Partnership Keys 11
Identify
Opportunity & need to partner
Build
Takes time & dedication
Maintain
Each moment counts
Partnership Keys 12
Which partnership key do you believe is the most challenging for us?
Identify
Build
Maintain
Partnership Keys 13
Identify
Who should be my partner
Define the purpose/benefits
Responsibilities
Ownership
Partnership Keys 14
Build
Marketing
Trust
Honesty
Upfront communication
Partnership Keys 15
Maintain
Consistency
Equal application
Value delivery
Partner for solutions
Facilitate Change 16
Utilize root cause for change (value)
Development
Implementation
Adoption
Facilitate Change 17
Development
Create action in partnership
ADDRESS root cause
Verify feasibility
Challenge process owner
Facilitate Change 18
Implementation
Allow adequate time
Verify implementation
Review sufficient evidence
Evaluate effectiveness
Facilitate Change 19
Adoption
Determine acceptance
Review performance reports
Create independent validation test
Close the action item
Root Cause 20
Keys
Identify the source of an exception
Recognize time and effort
Know root cause exists
Maintain discipline & dedication
Root Cause 21
Keys
Avoid symptom fixes
Maximize strong communication skills
Know root cause exists
Remain focused on objective
22
THANK YOU!
Robert L. Mainardi, CFSA, CRMA, MBA, Six Sigma 215.760.1130 [email protected] Mainardicompany.com
AHIA 33rd Annual Conference – September 21-24, 2014 – Austin, Texas
www.ahia.org
Save the Date August 30 - September 2, 2015
34th Annual Conference Portland, Oregon
23
FINDING THE FIRST DOMINO
Robert L. Mainardi, CFSA, CRMA, MBA, Six Sigma President & Founder Mainardi & Company AHIA 33rd Annual Conference – September 21-24, 2014 – Austin, Texas
www.ahia.org
Agenda 2
Define root cause
Understand the process
Leverage partnerships for success
Increase the value of implementing change
Root Cause Defined 3
Research based approach to identifying the bottom line reason of a problem with root cause representing the source of the problem
Recognize root cause analysis is a reactive method of solving a problem previously identified
Root Cause Defined 4
Research aspect requires
Effort
Resources
Time
Discussion Question 5
Do internal auditors find root cause on every issue?
Root Cause 6
Audit dedication to finding root cause
Links directly to the research components of effort, resources, and time
One additional factor is…Trust
Root Cause 7
Trust issues
Placing reliance on an individual in the business unit
Performing no validation testing
Asking no confirmation questions
Relying on auditor overconfidence
Root Cause 8
Desired approach
Explain the process to your business partner
Discuss objective
Schedule a formal meeting
Mention the frustration
Root Cause 9
Desired approach
Realize you cannot find it alone
Leverage partnerships
Prepare for the meeting
Master the data
Move on after agreement
Root Cause 10
Desired approach
Facilitate the discussion with the confirmed condition
Utilize funneling/repeated why approach
Validate agreement
Link it directly to action plan development
Partnership Keys 11
Identify
Opportunity & need to partner
Build
Takes time & dedication
Maintain
Each moment counts
Partnership Keys 12
Which partnership key do you believe is the most challenging for us?
Identify
Build
Maintain
Partnership Keys 13
Identify
Who should be my partner
Define the purpose/benefits
Responsibilities
Ownership
Partnership Keys 14
Build
Marketing
Trust
Honesty
Upfront communication
Partnership Keys 15
Maintain
Consistency
Equal application
Value delivery
Partner for solutions
Facilitate Change 16
Utilize root cause for change (value)
Development
Implementation
Adoption
Facilitate Change 17
Development
Create action in partnership
ADDRESS root cause
Verify feasibility
Challenge process owner
Facilitate Change 18
Implementation
Allow adequate time
Verify implementation
Review sufficient evidence
Evaluate effectiveness
Facilitate Change 19
Adoption
Determine acceptance
Review performance reports
Create independent validation test
Close the action item
Root Cause 20
Keys
Identify the source of an exception
Recognize time and effort
Know root cause exists
Maintain discipline & dedication
Root Cause 21
Keys
Avoid symptom fixes
Maximize strong communication skills
Know root cause exists
Remain focused on objective
22
THANK YOU!
Robert L. Mainardi, CFSA, CRMA, MBA, Six Sigma 215.760.1130 [email protected] Mainardicompany.com
AHIA 33rd Annual Conference – September 21-24, 2014 – Austin, Texas
www.ahia.org
Save the Date August 30 - September 2, 2015
34th Annual Conference Portland, Oregon
23
