Root Cause Analysis: solve problems for good

As its name indicates, root cause analysis consists in identifying the origin of a problem and finding a solution to it, so that the problem is dealt with at its root, where the true cause lies, and not merely at the level of its symptoms.

Root Cause Analysis or RCA

Root cause analysis is a very popular and frequently used technique that helps people find the answer to the question of why a problem occurred in the first place. Its purpose is to identify the origin of a problem by using a specific set of steps, with associated tools, to find the primary cause of the problem, so that it is possible to:

1. Determine what happened
2. Determine why it happened
3. Determine what needs to be done to reduce the possibility of it happening again.

RCA starts from the principle that systems and events are linked to one another. An action in one area triggers an action in another, then in another, and so on. By tracing back through these actions, you can discover the origin of the problem and how it turned into the symptom you are now facing.

You will generally find three types of basic cause

1. Physical causes – Tangible, material items have failed (for example, the brakes of a car stopped working).
2. Human causes – People did something wrong, or did not do something that was necessary. Human causes generally lead to physical causes. For example, nobody topped up the brake fluid, which led to a brake failure.
3. Organisational causes – A system, a process or a policy that people use to take decisions or do their work is defective. For example, nobody was responsible for vehicle maintenance, and everyone assumed that someone else had topped up the brake fluid.

RCA addresses all three types of cause. It consists in examining the patterns of negative effects closely, finding the hidden flaws in the system and uncovering the specific actions that contributed to the problem. This often means that RCA reveals more than one root cause.

The Root Cause Analysis process

RCA comprises five identifiable steps.

1. Define the problem – This means seeing exactly what is happening and finding the specific symptoms of the problem.
2. Collect the data – This means finding the evidence that the problem exists. It is also necessary to determine how long the problem has existed and what its impact is.

A complete analysis of the situation is necessary before moving on to examine the factors that contributed to the problem.

To maximise the effectiveness of your analysis, bring together all the people – experts and front-line staff – who understand the situation. The people who know the problem best can help you to grasp the issues more fully.

3. Identify the possible causal factors – This means finding the sequence of events that led to the problem, the conditions that allowed the problems to occur, and the other problems surrounding the appearance of the central problem. At this stage, do your best to find as many causal factors as possible.

Very often, people identify one or two factors and stop there, but that is not enough. With root cause analysis, it is important to dig deeper into the problem in order to find as many causes as possible instead of stopping at the surface.

Use these tools to help you identify the causal factors:

• • Appreciation – Use the facts and ask “So what?” in order to determine all the possible consequences of a fact.
  • 5 Why – Ask “Why?” until you reach the root of the problem.
  • Drill down – Break a problem into small, detailed parts in order to understand the overall situation better.
  • Cause-and-effect diagrams – Create a diagram of all the possible causal factors, to see where the problem may have started.

4. Identify the root cause or causes – This means finding the reason for the existence of the causal factors and the true reason why the problem occurred.

You can use the same tools as those used in step 3 to identify the causal factors, in order to examine the roots of each factor.

These tools are designed to encourage you to dig deeper at each level of cause and effect.

5. Recommend and implement solutions – This means finding a solution to prevent the problem from recurring. Responsibility for implementation must be assigned to someone, and the risks associated with implementing the solution can be identified through an FMEA (Failure Mode and Effects Analysis)

Author

Xavier Schuster

Consultant at SXE Consulting. Industrial consulting firm based in Luxembourg, 25 years of experience in operational excellence.

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