KEY TAKEAWAYS
- Root Cause Analysis is a structured approach that goes beyond symptoms to identify the core source of a problem, essential for preventing recurrence and developing lasting solutions.
- The RCA process involves formulating cause hypotheses, using frameworks like the 5 Whys, checking the causality chain, and ensuring potential root causes are grounded in reality through observation or experimentation.
- A root cause should meet specific criteria: it should prevent recurrence, require systemic change, be fundamental to the problem, have evidence support, and lead to actions with broader impact.
Root Cause Analysis (RCA) is a structured approach that goes beyond the symptoms of a problem. It leads to the source and core fact or event generating that problem.
We apply root cause analysis while solving problems. Indeed, effectively solving problems requires identifying and addressing their root causes. It is the only way of preventing the same problems from recurring and leading to long-lasting solutions.
Below is a process designed to help you effectively identify root causes.
Root Cause Analysis Process
Prerequisites
- The problem has to be a performance gap and formulated accordingly. It requires a current and a target values or a prediction. It is also essential to differentiate the problem, its symptoms, and its impacts.
- Ensure the collection of all the relevant data about the problem. It may include performance metrics, process documentation, reports, or audit results. They help as sources of information while looking for the root causes.
Step by step
- Formulate one or several causes hypothesis. It starts with formulating one or several answers to why we are having the problem. It is essential to look at the process. Indeed, the problem is happening at a working step. You may spot potential causes along the previous steps and as far as possible: input documents, materials, equipment, people know-how, and more. At this stage, you have to resist jumping to conclusions. We have one or more causes hypotheses because there is no tangible evidence of the actual causes.
- Use a root cause analysis framework. I recommend using the 5 Why’s, a deductive root cause analysis technique. It is an effective way to reach the root causes using a proven and structured approach.
- Check the causality chain created so far. In reverse order, analyze each root cause and evaluate how it can lead to the problem under resolution.
- Ensure the potential root causes are grounded in reality. You must accurately observe where things are happening or conduct experiments to check their relevancy. You may ensure that along the way, at steps 1 or 2.
Root Cause Checklist
Identifying the root cause clearly is challenging, even with a simple process. Once you find a potential cause, use the checklist below for a detailed assessment.
- Lead to prevent recurrence: addressing this cause will stop the problem recurrence in a sustainable way, for your organization – specifically.
- Should require systemic change: like a new way of doing things, value stream changes or adaptation, new rules and policies.
- Is fundamental to the problem: it means that without it, the problem would not exist.
- Have evidence – or fact – support: we see evidence showing that it is the primary factor leading to the problem. It is about leaning on facts.
- Lead to actions with broader impact: addressing this cause should cover all the multiple symptoms – or causes – we see so far.
Real-World Example
The initial situation: Every day from eight o’clock in the morning till noon, the main screen of our accounting software does not show up-to-date transactions.
The problem, as a performance gap: The software is refreshing the transactions’ list once a day instead of every hour.
Why? – level 1: The database does not update with new data hourly.
Why? – level 2: The middleware only receives new data daily instead of hourly.
Why? – level 3: The external data provider now sends data once daily.
Why? – level 4: We have received no updates since our external partner upgraded their system.
Why? – level 5: We lack a method to develop and sustain a strong technical partnership with our external partner.
Specifically, our failure to establish and maintain a robust technical partnership with our external partner was a critical oversight that led to this problem. This scenario ultimately reveals a significant lack of know-how, which we consider as the root cause. Moreover, it touches upon every aspect of our root cause checklist.
Root Cause Analysis (RCA) is instrumental for Problem-Solving. It requires regular practice to master. Following this step-by-step guide, your organization will move beyond temporary fixes and consistently implement long-lasting improvements.
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