Root cause analysis
Root cause analysis usually referred to as RCA is an approach used to analyze serious problems before trying to solve them, by which the main root cause of a problem is isolated and identified. A root cause is defined as a factor which by removal would prevent the occurrence of the adverse event, other factors that affect the outcome should not be considered as root causes.
Root cause analysis (RCA)?is essential to effective problem solving, as preventing the event from occurring is more appreciable than reacting to the resultant harmful effects. Short term solutions are not profitable for large organizations; RCA helps to eliminate the source of defect permanently.
Root cause analysis could be done using multiple tools and methods, in general, root cause analysis is about looking deep within the process to find what, when and why an event trigger. The easiest way to understand root cause analysis is to think about common problems. If we’re sick and throwing up at work, we’ll go to a doctor and ask them to find the root cause of our sickness. If our car stops working, we’ll ask a mechanic to find the root cause of the problem.
Root Cause Analysis (RCA) Tools
Root cause analysis (RCA) could be applied using a wide variety of tools, there is no perfect method that can be used anywhere, instead, the quality managers would select the suitable approach for organization and team members, typically using brainstorming technique.
BENEFITS:
The first goal?of root cause analysis is to discover the root cause of a problem or event.
The second goal?is to fully understand how to fix, compensate, or learn from any underlying issues within the root cause.
The third goal?is to apply what we learn from this analysis to systematically prevent future issues or to repeat successes.
Analysis is only as good as what we do with that analysis, so the third goal of RCA is important. We can use RCA to also modify core process and system issues in a way that prevents future problems. Instead of just treating the symptoms of a football player’s concussion, for example, root cause analysis might suggest wearing a helmet to reduce the risk of future concussions.
Core principles
There are a few core principles that guide effective root cause analysis, some of which should already be apparent. Not only will these help the analysis quality, these will also help the analyst gain trust and buy-in from stakeholders, clients, or patients.
As the above principles illustrate: when we analyze deep issues and causes, it’s important to take a comprehensive and holistic approach. In addition to discovering the root cause, we should strive to provide context and information that will result in an action or a decision. Remember: good analysis is actionable analysis.
How to Do a Root Cause Analysis
Step 1. Define the Problem
The first step is to clearly define the problem. This includes identifying what is happening as well as identifying the “side effects” of the problem. Side effects can be caused by by one or more underlying problems and thus, should be treated with equal importance until more information is gathered. Once more information is collected, side effects can be prioritized in order of urgency.
Step 2. Collect Data
Collecting and interpreting large amounts of data can be a daunting task and is typically the longest step in the RCA process. Therefore, it’s beneficial to break up data collection into stages. Information should be immediately gathered on where the problem is occurring, how long the problem has been occurring, and the impact the problem has on external factors. The latter determines the significance of the problem.
Step 3. Identify Causal Factors
Once the investigators are satisfied with the quantitative and qualitative data gathered, all possible causal factors are considered. The three major types of causes are equipment trouble or failure, human error, and/or flaws in organizational strategy. However, it’s not enough to stop investigation with the most obvious causal factor. Problems are usually caused by one or more of these factors, or lack thereof, and may contribute to the root problem.
Step 4. Develop and Implement Strategic Solutions
During the final stage of the RCA process, root causes are identified and analysts begin to develop strategic solutions. An effective RCA solution is one that involves all stakeholders and has a positive impact on the reliability of equipment, operational costs, the environment, and even corporate reputation. Furthermore, an effective solution is one that realigns causal factors to the new strategy.
Solutions are unique to every organization. One widely known strategy that has been integrated into many organizational strategies is Kaizen. Kaizen is more of a philosophy than a strategy, but nevertheless facilitates company-wide participation in?continuous improvement. This means that an accumulation of small actions improve workplace activities. If everyone in the workplace participates, the company will experience growth in production and will be able to prevent failures from occurring in the future.
How to conduct an effective root cause analysis: techniques and methods
There are a large number of techniques and strategies that we can use for root cause analysis, and this is by no means an exhaustive list. Below we’ll cover some of the most common and most widely useful techniques.
5 Whys
One of the more common techniques in performing a root cause analysis is the?5 Whys approach. We may also think of this as the annoying toddler approach. For every answer to a WHY question, follow it up with an additional, deeper “Ok, but WHY?” question. Children are surprisingly effective at root cause analysis. Common wisdom suggests that about five WHY questions can lead us to most root causes—but we could need as few as two or as many as 50 WHYs.
Example:?Let’s think back to our football concussion example. First, our player will present a problem: Why do I have such a bad headache? This is our first WHY.
First answer: Because I can’t see straight.
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Second why:?Why can’t you see straight?
Second answer: Because I my head hit the ground.
Third why:?Why did your head hit the ground?
Third answer: I got hit tackled to the ground and hit my head hard.
Fourth why:?Why did hitting the ground hurt so much?
Fourth answer: Because I wasn’t wearing a helmet.
Fifth why:?Why weren’t you wearing a helmet?
Fifth answer: Because we didn’t have enough helmets in our locker room.
Aha. After these five questions, we discover that the root cause of the concussion was most likely from a lack of available helmets. In the future, we could reduce the risk of this type of concussion by making sure every football player has a helmet. (Of course, helmets don’t make us immune to concussions. Be safe!)
The 5 Whys serve as a way to avoid assumptions. By finding detailed responses to incremental questions, answers become clearer and more concise each time. Ideally, the last WHY will lead to a process that failed, one which can then be fixed.
Change Analysis/Event Analysis
Another useful method of exploring root cause analysis is to carefully analyze the changes leading up to an event.
This method is especially handy when there are a large number of potential causes. Instead of looking at the specific day or hour that something went wrong, we look at a longer period of time and gain a historical context.
1.?First, we’d list out every potential cause leading up to an event. These should be any time a change occurred for better or worse or benign.
Example:?Let’s say the event we’re going to analyze is an uncharacteristically successful day of sales in New York City, and we wanted to know why it was so great so we can try to replicate it. First, we’d list out every touch point with each of the major customers, every event, every possibly relevant change.
2.?Second, we’d categorize each change or event by how much influence we had over it. We can categorize as Internal/External, Owned/Unowned, or something similar.
Example:?In our great Sales day example, we’d start to sort out things like “Sales representative presented new slide deck on social impact” (Internal) and other events like “Last day of the quarter” (External) or “First day of Spring” (External).
3.?Third, we’d go event by event and decide whether or not that event was an unrelated factor, a correlated factor, a contributing factor, or a likely root cause. This is where the bulk of the analysis happens and this is where other techniques like the 5 Whys can be used.
Example:?Within our analysis we discover that our fancy new Sales slide deck was actually an unrelated factor but the fact it was the end of the quarter was definitely a contributing factor. However, one factor was identified as the most likely root cause: the Sales Lead for the area moved to a new apartment with a shorter commute, meaning that she started showing up to meetings with clients 10 minutes earlier during the last week of the quarter.
4.?Fourth, we look to see how we can replicate or remedy the root cause.
Example:?While not everyone can move to a new apartment, our organization decides that if Sales reps show up an extra 10 minutes earlier to client meetings in the final week of a quarter, they may be able to replicate this root cause success.
Cause and effect Fishbone diagram
Another common technique is creating?a Fishbone diagram, also called an Ishikawa diagram, to visually map cause and effect. This can help identify possible causes for a problem by encouraging us to follow categorical branched paths to potential causes until we end up at the right one. It’s similar to the 5 Whys but much more visual.
Typically we start with the problem in the middle of the diagram (the spine of the fish skeleton), then brainstorm several categories of causes, which are then placed in off-shooting branches from the main line (the rib bones of the fish skeleton). Categories are very broad and might include things like “People” or “Environment.” After grouping the categories, we break those down into the smaller parts. For example, under “People” we might consider potential root cause factors like “leadership,” “staffing,” or “training.”
Common categories to consider in a Fishbone diagram:
Ask questions to clarify information and bring us closer to answers. The more we can drill down and interrogate every potential cause, the more likely we are to find a root cause. Once we believe we have identified the root cause of the problem (and not just another symptom), we can ask even more questions: Why are we certain this is the root cause instead of that? How can we fix this root cause to prevent the issue from happening again?
Whether it’s just a partner or a whole team of colleagues, any extra eyes will help us figure out solutions faster and also serve as a check against bias. Getting input from others will also offer additional points of view, helping us to challenge our assumptions.
As we perform a root cause analysis, it’s important to be aware of the process itself. Take notes. Ask questions about the analysis process itself. Find out if a certain technique or method works best for your specific business needs and environments.