5 Steps Perform Root Cause Analysis as Part of Problem Solving

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.

Root Cause Analysis (RCA) is a popular tool used by companies running Lean Six Sigma. RCA is one of the tools ( tool ) used in problem solving initiatives; to help the team locate the root cause of the problem currently facing.

Steps to Conduct Root Cause Analysis

Root Cause Analysis is a fairly easy Lean tool . To help teams find answers to why specific problems can arise in your process, RCA can be run in the following five steps:

Step 1 - Define the Problem



• What problems are happening at the moment?
• Clearly a specific symptom, which indicates a problem!



Step 2 - Collect Data



• Do you have any evidence that the problem really exists?
• How long has the problem been?
• Impact what is felt with the problem?

In this stage, there should be a thorough analysis before you step in to see the factors that play a role in the problem. To make your Root Cause Analysis effective, collect representatives from each of the departments involved (from expert staff to front-line staff), who understand the situation. People who are familiar with the problem are able to help you gain an understanding of the current situation.
For simplicity, at this stage you can use the CATWOE method. This tool will give you the ability to view a situation from multiple perspectives: Customer , Actor , Transformation Process , World View (big picture, and which area impacts the most) , Owner ( process owner ), and Environmental Constraint (obstacles and limitations that will affect the success of the solution to be executed).


Step 3 - Identify Possible Causes



• Describe the sequence of events that lead to problems!
• Under what circumstances did the problem occur?
• Are there other issues that arise as you follow the main issue?

In this stage, identify as many of the possible causes as you and the team can think of. In many cases, people will identify one or two causal factors, then stop. Though one or two is not enough to find the root of the real problem. RCA is done not only to remove one or two surface problems. RCA will help dig deeper and eliminate the root of the whole problem. Also see some tips for doing the following RCA .
Use the following tools to help find the causal factors of the problem:

• Analysis " 5-Whys " - Ask "why?" Repeatedly until you find the most basic answer.
• Drill Down - Divide the problem into smaller, more detailed pieces to understand the big picture.
• Appreciation - Describe the facts and ask "Then why if this happens / does not happen?" To find the most likely consequence of the facts.
• Diagram causation - Cause and Effect Diagram ( Fishbone Diagram ), in the form of a chart that explains all the causes are possible to see where the problem first appeared.



Step 4 - Root Causes



• Why do these causal factors exist?
• What are the reasons for the real problem?

Use the same tool used in step 3 to find the root of each factor. These tools are designed to encourage you and the team to dig deeper at every level of cause and effect.


Step 5 - Submit and Implement the Solution



• What can be done to prevent problems from reappearing?
• How can a formulated solution work?
• Who will be responsible for implementing the solution?
• Are there risks to be taken when a solution is implemented?

Analyze your cause-effect identification process and discover the need for changes in other systems. Another thing that is also very important, do the prediction of the effect that will occur with the application of the solution. In this way, you can avoid / eliminate the problem before they surface.

FMEA tool ( Failure Mode and Effects Analysis )

One way to do this is to use the FMEA tool ( Failure Mode and Effects Analysis ). This tool is designed to analyze risks to identify potential points where errors can occur. FMEA is also a good tool to implement throughout the organization because more and more systems are starting with FMEA , the less problems that will happen that require RCA in the future.
Tool Another useful is Kaizen . This continuous improvement tool will help you create small changes that, if done at many points, will improve the overall system quality. Kaizen is very effective to solve problems in the process because it is run by people who are really involved in the process in everyday life. With Kaizen, the root of the problem will be able to be identified and resolved quickly and effectively.

Want to know more about the benefits and how to do Root Cause Analysis? Please visit this page to interact with Lean experts .

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Root Cause Analysis Template

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