Scribd
Upload
614 views

Root Cause Analysis

The document discusses root cause analysis (RCA), including its definition, origins, principles, process, and benefits. The RCA process involves 6 steps: 1) organizing a team, 2) defining the problem, 3) conducting data analysis, 4) determining the root cause(s), 5) developing an improvement plan, and 6) evaluating progress. Key tools for identifying root causes include the Pareto principle, 5 whys technique, fishbone diagrams, and flowcharts. Conducting a thorough RCA helps resolve problems by eliminating their root causes and preventing future recurrences.

Uploaded by

hgciso
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as PPSX, PDF, TXT or read online on Scribd
614 views

Root Cause Analysis

The document discusses root cause analysis (RCA), including its definition, origins, principles, process, and benefits. The RCA process involves 6 steps: 1) organizing a team, 2) defining the problem, 3) conducting data analysis, 4) determining the root cause(s), 5) developing an improvement plan, and 6) evaluating progress. Key tools for identifying root causes include the Pareto principle, 5 whys technique, fishbone diagrams, and flowcharts. Conducting a thorough RCA helps resolve problems by eliminating their root causes and preventing future recurrences.

Uploaded by

hgciso
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as PPSX, PDF, TXT or read online on Scribd
You are on page 1/ 34

Root Cause Analysis

Session Objectives:
At the end of this session, participants are expected to:

1. Understand basic concepts and principles


of RCA

2. Apply RCA in identifying appropriate


corrective actions
Key Concepts &
Principles
Definition
Root Cause Analysis is a technique for identifying the
key cause(s) behind nonconformities and review
findings, whether specific to one product or process
in a department or company wide, so that an
appropriate and achievable action (or actions) can be
taken to prevent the recurrence of negative outcomes
and promote the recurrence of positive ones.
Root Cause: The original event, action and/or condition
generating an actual or potential undesirable condition,
situation, nonconformity or failure.
Origin

•Developed by Sakichi Toyoda who later


founded Toyota Motor Company.

•RCA was first used during the development


of Toyota’s manufacturing processes in
1958.
Why Use Root Cause Analysis?

• Helps identify the problem or challenge


• Helps resolve the problem
• Eliminates patching
• Conserves resources
• Facilitates discussion (leading to solutions)
• Provides Rationale for Strategy Selection
Root Cause Analysis Basics
Advantages
• Leads to consistent reduction of nonconformities and
prevention of recurring failures.
• Adds value to the company and all stakeholders
• There is the potential for cost reduction and improve
performance
• Provides a learning process for better understanding of
relationships (cause and effect; and solutions).
• Provides a logical approach to problem solving using data
that already exists.
• Leads to more robust systems, policies and procedures.
Process
Process
Step 1 Organize Team

Step 2 Define Problem or Issue

Step 3 Conduct Data Analysis

Step 4 Determine Root Cause(s)

Step 5 Improvement Planning – Plan and Do

Step 6 Evaluate Progress – Check and Act


STEP 1
Organize Team
Step 1 Organize Team

• Team Leader
• Team members

Identify resources needed


STEP 2
Define the Problem
Step 2 Define the Problem
Components of the Problem Statement
What?– a description of what happened
Where? – where specifically the problem was found
When? – when the problem was first found and/or where it began
How much? - the frequency and/or magnitude of a problem

In general, “Who” should not be a component of the problem statement,


especially if it might cause the investigation to narrowly focus on the
individual as the likely cause. However, if the problem affects a particular
individual or group, the “Who” can be an expansion of the “Where.”
STEP 3
Conduct Data Analysis
Step 3 Conduct Data Analysis
Examine & Discuss Data
Assessments
Observations

Conduct Data Analysis – View objectively


Patterns and Trends – e.g. count sheets, monitoring sheets

Brainstorm – discussion among the team members


STEP 4
Determine Root Cause(s)
Step 4 Determine Root Cause(s)
Indicators that you have found Root Cause:
Agreement on a root cause.
Cause is logical, makes sense, and provides clarity to the
problem.
Cause is something you can influence and control
If cause is resolved, there is realistic hope that the problem
can be reduced or prevented in the future.
Tools in identifying Root Cause(s)

Pareto Principle
5 Whys
Fishbone/Ishikawa
Flowchart
Brainstorming
Pareto Principle
The Five Whys

Asking the question ‘Why’ 5 times, will lead you to the root
cause of the problem.
Steps:
1. Write down the specific problem. Writing the problem helps
team focus on the same problem.
2. Ask why the problem happens and write down the answer.
Repeat 5 times – 5 ‘Whys’, until team is in agreement that
problem is identified.
Other examples
Fishbone Diagram
Flowchart
Tips
Investigating checklist example: Rules of the investigation:
• Identify the procedure owner and • Use proven root cause
those involved. analysis tools.
• Gather information: • Think “out of the box”.
- Data • Brainstorm.
- Employee Input • Take the time needed.
- Flowcharts of the process • Put a plan together.
- Procedures
- Records (quantitative data)
• Has the problem occurred in the
past?
• Identify the root cause.
Tips
The following are examples of possible causes, but they do NOT
drill down to the true ROOT cause:
- Human error
- Misunderstood the requirement
- Misunderstood the standards
- Documentation
- System error
- Elaborating on the finding
- Expanding on symptoms
- The consultant messed up
- It was an oversight
- Audit procedures/software not updated, etc.
Why do we have poor root cause analyses?
- We have not set criteria about what makes an
acceptable corrective action plan
- We continue to accept bad answers.
- Indifference of people involved in the processes;
don’t know any process or are not effectively
trained.
- We are addressing the symptoms and not the
true root of the issue.
STEP 5
Improvement Planning
Step 5 Improvement Planning
Improvement plan reflects correction of noncompliance
issues and sustained practices. The Improvement Plan
should include:
Logical link between root cause and improvement activities;
Evidence-based practices;
Short- and long-term outcomes, timelines and action steps for
improvement activities.
Personnel (and partners) identified to develop, implement, monitor,
and evaluate the improvement activity.
Collect Data to evaluate outcomes of improvement activities.
Remedial Action Plan
When root causes are identified correctly, it is easy
to develop and implement an action
plan as follows:
• Reviewing of resourcing.
• Improving the project management.
• Coaching and guidance on related initiatives.
• Improving the integration of internal experts.
• Real-time monitoring/support teams.
• Methodology and process enhancements.
• Guidance and communications.
• Training (technical and soft skills).
• Supervision and review.
• Software, procedures and technical updates
STEP 6
Evaluate Progress
Step 6 Evaluate Progress
Why evaluate progress?

Allows audit team to determine whether it is


effectively carrying out planned activities and the
extent to which it is achieving its short-term and long-
term outcomes.

If not effective, reevaluate.


Sample Cases

You might also like