Root Cause Analysis
Root cause analysis (RCA) is the process of discovering the root causes of problems in order to identify appropriate solutions. RCA assumes that it is much more effective to systematically prevent and solve underlying issues rather than just treating ad hoc symptoms and putting out fires. Root cause analysis can be performed with a collection of principles, techniques, and methodologies that can all be leveraged to identify the root causes of an event or trend. Looking beyond superficial cause and effect, RCA can show where processes or systems failed or caused an issue in the first place.
The best way to explain RCA in just a few minutes is by using an example. A broken arm hurts a lot, if we take painkillers, this will only take away the pain, they will not heal the arm. For a complete cure, we will need a different medical treatment to help the bone heal properly. In this example, it is a medical case, the symptom is a pain in the arm and the main cause is a broken bone. So, unless the bone is repaired, the pain will return and be accompanied by worse symptoms.
This example is only about health, so… What do we do when it comes to our work, whatever the field? In medicine, it is easy to understand the differences between treating the symptoms and curing the condition. But what about a problem, for example, in computer systems?
It’s not very smart to simply treat the symptoms and consider the problem solved. We need to pause, step back evaluating the whole system (whatever it may be), always assuming that there is a more important and critical reason, a deeper problem that needs to be solved there, the idea of attacking this assumption is to ultimately rule out problems older in the future.
However, if you dig deeper into the problem to find the actual root cause of the problem, you can fix the underlying systems and processes so that it is gone for good.
Goals and 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. The analysis is only as good as what we do with that analysis, so the third goal of RCA is very important.
Core principles
There are some basic principles that guide effective root cause analysis, some of which are self-evident. Not only will this help the quality of the analysis, but it will also help the analyst gain the trust and confidence of stakeholders, clients, etc.
- Focus on HOW and WHY something happened, not WHO was responsible.
- Do not ignore the importance of treating symptoms for short-term relief.
- Focus on correcting and remedying root causes rather than just symptoms.
- Realize there can be, and often are, multiple root causes.
- Be methodical and find concrete cause-effect evidence to back up root cause claims.
- Provide enough information to inform a corrective course of action.
- Consider how a root cause can be prevented (or replicated) in the future.
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.
The root cause analysis process
RCA has five identifiable steps.
Step One, Define the Problem:
It includes seeing what is exactly happening and finding out the specific symptoms of the problem.
Step Two, Collect Data:
It includes finding proof that the problem exists. And find out how long the problem has existed and the impact of the problem.
A complete analysis of the situation is necessary before you can move on to look at the factors that contributed to the problem.
To maximize the effectiveness of your analysis, get together with everyone who understands the situation. People who are most familiar with the problem can help lead you to a better understanding of the issues.
Step Three, Identify Possible Causal Factors:
It includes finding the sequence of events that led to the problem, the conditions that allowed the problems to occur. And other problems that surround the occurrence of the central problem. At this step, try your best to find as many causal factors as possible.
Very frequently, people identify one or two factors and then stop but that’s not enough. With RCA, it is important to dig deeper into the problem to find out as many causes as possible instead of just stopping at the surface.
Use these tools to help identify causal factors:
- Appreciation. Use the facts and ask “So what?” to determine all the possible consequences of a fact.
- Five Whys. Ask why until you get to the root of the problem.
- Drill Down. Break down a problem into small, detailed parts to better understand the big picture.
- Cause and Effect Diagrams. Create a chart of all of the possible causal factors, to see where the trouble may have begun.
- Step Four, Identify the Root Causes:
It includes finding out why the causal factors exist and the real reason behind the problem that occurred.
You can use the same tools as used in Step 3 to identify the causal factors to look at the roots of each factor. These tools are designed to encourage you to dig deeper at each level of cause and effect.
Step Five, Recommend and Implement Solutions:
It includes finding solutions to prevent the problem from happening again, implementing the solution. And the responsibility of the implementation is to be given to someone and the risks involved in implementing the solution.
Summary
As the name suggests, Root Cause Analysis deals with identifying the origin of a problem and finding a solution for the same so that the problem is treated at the root level where the real cause exists and not only the symptoms of the problem are treated.
