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What are the best ways to document root cause analysis results?

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Root cause analysis (RCA) is a systematic process of identifying and resolving the underlying factors that contribute to a problem or an incident. It is a valuable skill for problem solvers, as it helps prevent recurrence, improve performance, and enhance customer satisfaction. However, conducting a RCA is not enough; you also need to document the results effectively, so that you can communicate, monitor, and implement the solutions. In this article, you will learn some of the best ways to document RCA results, based on the following criteria: clarity, accuracy, relevance, and actionability.

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Nicole Wasuna

Communications Specialist working in Gender Equality | Online Accessibility, Digital Safety, Policy Advocacy |…
Mohammad O.

Redefining the Road Ahead | CTO @ Drive Terra
Sindhuja Nagarajan

Gen-Ai Application Developer | LLM Model Fine Tuning | Quantum Computing Research | RAG and AI Agent Development | Data…

1 Define the problem

The first step in documenting RCA results is to define the problem clearly and concisely. You need to state what happened, when, where, and how it affected the goals or expectations. You should also include any relevant data or evidence that supports your problem statement, such as metrics, reports, feedback, or observations. A clear problem definition will help you set the scope and focus of your RCA, as well as establish a baseline for measuring the effectiveness of your solutions.

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Nicole Wasuna

Communications Specialist working in Gender Equality | Online Accessibility, Digital Safety, Policy Advocacy | Advocating for inclusive and accessible digital spaces
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The initial step in documenting Root Cause Analysis results is crucial as it lays the foundation for the entire process. By clearly and concisely defining the problem, you provide a roadmap for your investigation. It's not just about what happened, but also about the context, impact, and supporting evidence. A robust problem statement serves as the compass that guides your RCA, ensuring that your efforts remain aligned with the goals of uncovering root causes and implementing effective solutions.

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Jason H.

Building the Core of Tomorrow, Powering Up Future Energy Systems, Securing Critical Infrastructure with Cyber Resilience, Accelerating AI Evolution.
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In my experience, utilizing the "Five Whys" strategy serves as an effective method for conducting Root Cause Analysis (RCA), especially in delving deep to uncover the fundamental cause of an issue. This method initiates with identifying the problem clearly. Following this, you persistently ask "why?" to each answer obtained, usually for five successive layers, to reach the root cause. This iterative questioning promotes an in-depth analysis, steering clear of superficial solutions and addressing the problem at its core. By implementing solutions at this root level, it fosters a more sustainable and effective resolution. This approach, though simple, encourages deep analysis, helping to unravel the true essence behind complex problems.

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2 Identify the root causes

The next step is to identify the root causes of the problem, using one or more RCA methods, such as the 5 Whys, fishbone diagram, or fault tree analysis. You should document the logic and rationale behind each RCA method, as well as the sources and references that you used. You should also document the assumptions and limitations that you made during the RCA process, and how they might affect the validity or reliability of your findings. Identifying the root causes will help you understand why the problem occurred, and what factors influenced or contributed to it.

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Nicole Wasuna

Communications Specialist working in Gender Equality | Online Accessibility, Digital Safety, Policy Advocacy | Advocating for inclusive and accessible digital spaces
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Identifying the root causes is where the heart of the RCA process lies, and it's a pivotal step in addressing and preventing future issues. Documenting not only the methods used but also the logic, sources, and references provides transparency and credibility to your findings. Equally important is acknowledging the assumptions and limitations, as this adds a layer of humility to the process, reminding us that RCA is about seeking the truth rather than placing blame. By delving into the root causes, you gain a deeper understanding of the problem's complexities and the intricate web of factors that led to its occurrence.

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3 Evaluate the solutions

The third step is to evaluate the potential solutions that can address or eliminate the root causes of the problem. You should document the criteria and methods that you used to evaluate the solutions, such as cost-benefit analysis, risk assessment, or feasibility analysis. You should also document the pros and cons of each solution, as well as the expected outcomes and impacts of implementing them. Evaluating the solutions will help you compare and prioritize them, based on their effectiveness, efficiency, and sustainability.

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Sindhuja Nagarajan

Gen-Ai Application Developer | LLM Model Fine Tuning | Quantum Computing Research | RAG and AI Agent Development | Data Engineering | Python Development
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The percentage of reoccurrence plays a vital role in deciding long and short-term solutions. Impact Analysis, Risk Analysis, Cost benefit analysis and Risk vs Reward are some of the tools which will give you an edge over solving the problem meaningfully. Adaptation of solutions, by the team is vital. Team members should be encouraged and appreciated for active feedback and engagement to the solutions suggested.

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4 Recommend the actions

The fourth step is to recommend the actions that you propose to take to implement the chosen solutions. You should document the details and specifications of each action, such as the scope, objectives, resources, responsibilities, timelines, and milestones. You should also document the dependencies and risks that might affect the execution or success of each action, as well as the contingency plans or mitigation strategies that you have prepared. Recommending the actions will help you plan and organize the implementation process, as well as align the expectations and commitments of the stakeholders.

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5 Report the results

The fifth step is to report the results of your RCA to the relevant audiences, such as the management, customers, or team members. You should document the main points and highlights of your RCA, such as the problem definition, root causes, solutions, and actions. You should also document the benefits and value of your RCA, such as the improvements, savings, or learnings that you achieved or expect to achieve. Reporting the results will help you communicate and demonstrate the outcomes and impacts of your RCA, as well as solicit feedback or support for your solutions.

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6 Monitor the progress

The sixth and final step is to monitor the progress and performance of your solutions, after you have implemented them. You should document the indicators and methods that you use to measure and track the progress and performance, such as key performance indicators (KPIs), metrics, or surveys. You should also document the results and findings that you obtain from the monitoring process, as well as the adjustments or corrections that you make based on the feedback or data. Monitoring the progress will help you verify and validate the effectiveness and efficiency of your solutions, as well as identify and resolve any issues or gaps that might arise.

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Mohammad O.

Redefining the Road Ahead | CTO @ Drive Terra
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Always monitoring is what makes us move forward and innovative faster. Getting insights helps us tale better decisions and respond faster to problems when they occur

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7 Here’s what else to consider

This is a space to share examples, stories, or insights that don’t fit into any of the previous sections. What else would you like to add?

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What are the best ways to document root cause analysis results?

1

2

3

4

5

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7

1 Define the problem

2 Identify the root causes

3 Evaluate the solutions

4 Recommend the actions

5 Report the results

6 Monitor the progress

7 Here’s what else to consider

Problem Solving

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What are the best ways to document root cause analysis results?

1

2

3

4

5

6

7

1 Define the problem

2 Identify the root causes

3 Evaluate the solutions

4 Recommend the actions

5 Report the results

6 Monitor the progress

7 Here’s what else to consider

Problem Solving

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