As an analytical tool, Root Cause Analysis is an excellent way to perform a detailed, system-wide review of significant problems and failures as well as the events and factors leading to them.
When you have a problem rather than treating the symptoms you should stop to consider whether there’s actually a deeper problem that needs your attention.
If you only fix the symptoms – what you see happening on the surface – the problem will almost certainly happen again, which will lead you to fix it over and over. It is better to spend time assessing why the problem is occurring, then you can fix the underlying structures and processes that cause the problem.
The 5 step analysis, also known as Root Cause Analysis is a tried and trusted method to help the manager identify the reasons a problem occurred in the first place. Root Cause Analysis is a useful process for understanding and solving a problem, working out what negative events are occurring, Then, looking at the systems and processes around those problems to identify key points of failure. Finally, determine solutions to address those key points, or root causes.
The specific set of steps, will enable you to:
1. Establish what happened.
2. Decide why it happened.
3. Work out what actions to take to reduce the likelihood of reoccurrence.
The Root Cause Analysis assumes that systems and events are interrelated. An action in one area triggers an action in another, and another, and so on. By tracing back these actions, you can discover where the problem started and how it grew into the symptom you’re now facing.
The cause is usually one of 3 types:
1. Physical causes – Tangible, material items failed in some way (for example, equipment stopped working).
2. Human causes – People did something wrong or did not doing something that was needed. Human causes typically lead to physical causes (for example, no one maintained the equipment which led to it stopping working).
3. Organizational causes – A system, process, or policy that people use to make decisions or do their work is faulty (for example, no one person was responsible for equipment maintenance, and other staff assumed someone else had done it).
The Root Cause Analysis looks at all three types of causes. It involves investigating the patterns of effects, finding hidden defects in processes and discovering specific actions that contributed to the problem. This can often reveal more than one root cause.
You can apply the Root Cause Analysis to almost any situation. Use common sense to understand when you’ve found a significant cause that can be changed.
The Root Cause Analysis Process:
- Define the problem
- Gather data & evaluate Findings
- Look for patterns and identify opportunities to improve results.
- Determine possible causes.
- Develop action plan to address cause and implement solution
Step One: Define the Problem
- What do you see happening?
- What are the specific symptoms?
Step Two: Gather Data & Evaluate Findings
- What proof do you have that the problem exists?
- How long has the problem existed?
- What is the impact of the problem?
You need to analyse a situation fully before you can move on to look at factors that contributed to the problem. To maximize the effectiveness of your Root Cause Analysis, get together everyone – experts and front line staff – 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: Look for patterns and identify opportunities to improve results.
- What sequence of events leads to the problem?
- What conditions allow the problem to occur?
- What other problems surround the occurrence of the central problem?
Identify as many causal factors as possible during this stage, don’t stop when you have one or two causes; you need to go further than simply identifying the most obvious causes.
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.
- 5 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: Determine possible causes.
- Why does the causal factor exist?
- What is the real reason the problem occurred?
You can use the same tools you used to identify the causes in Step Three to look at the roots of each factor. These tools can help you to dig deeper at each level of cause and effect.
Step Five: Develop action plan to address cause and implement solution.
- What can you do to prevent the problem from happening again?
- How will the solution be implemented?
- Who will be responsible for it?
- What are the risks of implementing the solution?
Analyse your cause-and-effect process, and identify the changes needed for various systems. It’s also important that you plan ahead to predict the effects of your solution. This way, you can spot potential problems before they happen.
At this point you can contact the relevant service lead for expert help to find solutions to the problems you have identified.