Root Cause Analysis

Tracing a Problem to Its Origins…

What is root cause analysis (RCA)?

Root cause analysis (RCA) is a systematic process for identifying “root causes” of problems or events and an approach for responding to them. RCA is based on the basic idea that effective management requires more than merely “putting out fires” for problems that develop, but finding a way to prevent them.

For example, In medicine, it’s easy to understand the difference between treating the symptoms and curing the condition. A broken wrist, for example, really hurts! But painkillers will only take away the symptoms; you’ll need a different treatment to help your bones heal properly.

Basic Steps of RCA:

· Define the problem

· Gather all information and data

· Identify any issues that contributed to the problem

· Determine root causes

· Identify recommendations for the recurrence of problems in the future

· Implement the necessary solutions

How to conduct an effective root cause analysis: techniques and methods:

1. Brainstorming:

The brainstorming process brings together a group of people to discuss the issue in a question in a facilitated environment. The basic premise is that a group of people working collectively to find a solution is more productive and innovative than if each person tried to come up with a solution individually.

Basic steps of the brainstorming process include: scheduling a meeting, informing the participants of the topic to be discussed, assigning a specific person in the meeting who will write down people’s thoughts, with all participants having equal opportunity to participate. The resulting discussion should identify the root cause of the problem and try to resolve it.

2. The 5 whys:

One of the more common techniques in performing a root cause analysis is the 5 Whys approach.

Example: Let’s think about the 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.
Second why: Why can’t you see straight?
Second answer: Because 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.

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.

3. Flowcharting:

Flowcharts organize information about a process in a graphical manner, making it clear what is impacted. Although there are numerous flowcharting tools available, it is recommended that individuals keep their flowcharts simple, using a rectangle for a process step, an arrow for direction, and a diamond for a decision point.

4. Fishbone Diagrams:

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.

5. Affinity Diagram:

The final root cause analysis tool is affinity diagrams. Often the output from a brainstorming session, an affinity diagram can be used to generate, organize, and consolidate information related to the issue in question.

After ideas have been generated, they can be grouped according to their similarity to identify the major causes. An affinity diagram should be used to stimulate discussion about a problem or issue, opening up possibilities for improvement or solution.

Why it is important?

· It helps to find the actual cause of the problem as opposed to just fixing resulting symptoms.

· It can significantly reduce development time and business expenses by catching problems early on.

· Solve Real-World Problems

· Lower Costs

· Effective and Long-Lasting Solution

· Reinforcement of quality control

· Continuous improvement

· Improvement in Performance Management