Phase I - Data Collection cont'd

The basic need is to determine the direct, contributing and root causes so that effective corrective

actions can be taken that will prevent recurrence. Some areas to be considered when determining what

information is needed include:

Activities related to the occurrence

Initial or recurring problems

Hardware (equipment) or software (programmatic-type issues) associated with the

occurrence

Recent administrative program or equipment changes

Physical environment or circumstances.

Some methods of gathering information include:

Conducting interviews/collecting statements - Interviews must be fact finding and not fault

finding. Preparing questions before the interview is essential to ensure that all necessary

information is obtained. The causal factor work sheets in Appendix B can be used as a

tool to help gather information.

Interviews should be conducted, preferably in person, with those people who are most

familiar with the problem. Individual statements could be obtained if time or the number

of personnel involved make interviewing impractical. Interviews can be documented using

any format desired by the interviewer. Consider conducting a "walk-through" as part of

this interview if time permits.

Although preparing for the interview is important, it should not delay prompt contact

with participants and witnesses. The first interview may consist solely of hearing their

narrative. A second, more-detailed interview can be arranged, if needed. The interviewer

should always consider the interviewee's objectivity and frame of reference.

Interviewing others - Consider interviewing other personnel who have performed the job

in the past. Consider using a "walk-through" as part of the interview.

Reviewing records - Review relevant documents or portions of documents as necessary

and reference their use in support of the root cause analysis. Record appropriate dates

and times associated with the occurrence on the documents reviewed. Examples of

documents include the following:

Operating logs

Correspondence

Inspection/surveillance records

Maintenance records

Meeting minutes

Computer process data

Procedures and instructions

Vendor Manuals

Drawings and specifications

Functional retest specification and results

Equipment history records

Design basis information

Safety Analysis Report (SAR)/Technical Specifications

Related quality control evaluation reports