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Root Cause Analysis (RCA) Tools

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Jeremy Jay Lim
Jeremy Jay Lim

This document provides an overview of root cause analysis (RCA) and common RCA tools. It discusses the CPAR/SCPAR process for documenting problems, determining root causes, and implementing corrective actions. Three commonly used RCA tools are described: 5 Why's analysis involves repeatedly asking why to drill down to the root cause; affinity diagrams group detailed causes into major categories; and fishbone diagrams illustrate the relationship between causes and effects. The document encourages using the appropriate tool based on the problem complexity and provides examples of applying each tool.

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RCA Root Cause Analysis Jeremy Jay Lim Certified Black Belt, PMP, BPM
Learning objectives • Be able to identify the underlying root cause(s) out of the CPAR or SCPAR problem! • Be able to recommend an effective solution based on the identified root cause(s)
CPAR / SCPAR Basic Process Problem Occurs Deviation or Failure Determine Root Cause Determine Corrective Acton Issue CPAR Identify CPAR Respondents Respondents write answers to CPAR Responses approved Corrective action starts Corrective & Preventive Respondents sign-off when completed Effectiveness is reviewed CAR Closed
CPAR / SCPAR Solution Approach "Corrective Action & Preventive Action: 5 Step Approach", Tonya White-Salters, Avecia Consulting
CPAR/SCPAR is not effective when Root Cause is not pointed out and addressed! "Corrective Action & Preventive Action: 5 Step Approach", Tonya White-Salters, Avecia Consulting
Symptoms of Incorrect Root Cause "Corrective Action & Preventive Action: 5 Step Approach", Tonya White-Salters, Avecia Consulting
RCA Tools • 5 Why's Analysis • Fishbone Diagram • Affinity Diagram
5 Why's Analysis A simple tool for drilling- down on the problem statement until the root cause is identified by asking "WHY" 5 times Countermeasure Problem Statement
5 Why's Analysis TIPS:! Avoid intentional or unintentional bias while answering! Find the right person who can answer the 5Why's! Use other RCA Tools if you're getting misleading answers Countermeasure Problem Statement
Example of 5 Why's Analysis Problem Statement: The pizza delivery personnel's motorbike stopped while on his way to deliver several orders of pizza resulting to delay! Cost Impact: All delayed pizza were given free of charge to the customers amounting to a total of Php4,000.00 Why 1: Why did the motorbike stopped?! Answer 1: Because it ran out of gas while on its way to deliver pizzas! ! Why 2: Why did then gas run out?! Answer 2: Because the delivery personnel did not gas up the motorbike that morning! ! Why 3: Why didn't the personnel gas up the motorbike that morning?! Answer 3: Because the personnel did not have money to buy the gas! ! Why 4: Why did the personnel not have money to buy the gas?! Answer 4: Because he was not able to ask money from his manager! ! Why 5: Why was he not able to ask money from his manager?! Answer 5: Because he came in late and was not able to find the manager! Solution: The pizza delivery personnel should come to the office on time or earlier to find the manager and ask for gas money before the deliveries.
Affinity Diagram A simple tool for putting together a big number of detailed and inter-related causes and group them according to broad topics.! ! This helps in focusing on the bigger picture or Major root cause. ! ! Similar to Zooming Out. CAUSES Major Causes
Example of Affinity Diagram 1/3 Brainstorm on ideas about the causes
Example of Affinity Diagram 2/3 Group inter- related causes
Example of Affinity Diagram 3/3 Identify the Major Causes
Fishbone Diagram A quality tool used for identifying the root cause based on the "Cause & Effect" relationships! ! Useful for analysis of complex problems! ! Grouping of causes can be according to 5Ms or by major causes
Example of Fishbone Diagram 1/3 State the problem
Example of Fishbone Diagram 2/3 Define the Major Groups of Causes
Example of Fishbone Diagram 3/3 Identify the root cause(s)
Applicability of RCA Tools • 5 Why's Analysis! When looking at one major cause and needs drill-down to arrive at one root cause! •Affinity Diagram! When looking at several inter-related and detailed causes which have some things in common and can be grouped together to see the Major Causes! • Fishbone Diagram! When looking at numerous major causes and needs drill-down probing to arrive at numerous root causes(s) based on their Cause and Effect Relationships
Form groups of 4 to 5 members Choose a problem coming from your past CPAR or SCPAR cases Use any of the RCA tools to identify the root cause and recommend a Corrective and/or Preventive Action Countermeasure Please ensure appropriateness of the selected RCA tool to the difficulty or complexity of the problem Team Exercise on RCA Tools

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Root Cause Analysis (RCA) Tools

  • 1. RCA Root Cause Analysis Jeremy Jay Lim Certified Black Belt, PMP, BPM
  • 2. Learning objectives • Be able to identify the underlying root cause(s) out of the CPAR or SCPAR problem! • Be able to recommend an effective solution based on the identified root cause(s)
  • 3. CPAR / SCPAR Basic Process Problem Occurs Deviation or Failure Determine Root Cause Determine Corrective Acton Issue CPAR Identify CPAR Respondents Respondents write answers to CPAR Responses approved Corrective action starts Corrective & Preventive Respondents sign-off when completed Effectiveness is reviewed CAR Closed
  • 4. CPAR / SCPAR Solution Approach "Corrective Action & Preventive Action: 5 Step Approach", Tonya White-Salters, Avecia Consulting
  • 5. CPAR/SCPAR is not effective when Root Cause is not pointed out and addressed! "Corrective Action & Preventive Action: 5 Step Approach", Tonya White-Salters, Avecia Consulting
  • 6. Symptoms of Incorrect Root Cause "Corrective Action & Preventive Action: 5 Step Approach", Tonya White-Salters, Avecia Consulting
  • 7. RCA Tools • 5 Why's Analysis • Fishbone Diagram • Affinity Diagram
  • 8. 5 Why's Analysis A simple tool for drilling- down on the problem statement until the root cause is identified by asking "WHY" 5 times Countermeasure Problem Statement
  • 9. 5 Why's Analysis TIPS:! Avoid intentional or unintentional bias while answering! Find the right person who can answer the 5Why's! Use other RCA Tools if you're getting misleading answers Countermeasure Problem Statement
  • 10. Example of 5 Why's Analysis Problem Statement: The pizza delivery personnel's motorbike stopped while on his way to deliver several orders of pizza resulting to delay! Cost Impact: All delayed pizza were given free of charge to the customers amounting to a total of Php4,000.00 Why 1: Why did the motorbike stopped?! Answer 1: Because it ran out of gas while on its way to deliver pizzas! ! Why 2: Why did then gas run out?! Answer 2: Because the delivery personnel did not gas up the motorbike that morning! ! Why 3: Why didn't the personnel gas up the motorbike that morning?! Answer 3: Because the personnel did not have money to buy the gas! ! Why 4: Why did the personnel not have money to buy the gas?! Answer 4: Because he was not able to ask money from his manager! ! Why 5: Why was he not able to ask money from his manager?! Answer 5: Because he came in late and was not able to find the manager! Solution: The pizza delivery personnel should come to the office on time or earlier to find the manager and ask for gas money before the deliveries.
  • 11. Affinity Diagram A simple tool for putting together a big number of detailed and inter-related causes and group them according to broad topics.! ! This helps in focusing on the bigger picture or Major root cause. ! ! Similar to Zooming Out. CAUSES Major Causes
  • 12. Example of Affinity Diagram 1/3 Brainstorm on ideas about the causes
  • 13. Example of Affinity Diagram 2/3 Group inter- related causes
  • 14. Example of Affinity Diagram 3/3 Identify the Major Causes
  • 15. Fishbone Diagram A quality tool used for identifying the root cause based on the "Cause & Effect" relationships! ! Useful for analysis of complex problems! ! Grouping of causes can be according to 5Ms or by major causes
  • 16. Example of Fishbone Diagram 1/3 State the problem
  • 17. Example of Fishbone Diagram 2/3 Define the Major Groups of Causes
  • 18. Example of Fishbone Diagram 3/3 Identify the root cause(s)
  • 19. Applicability of RCA Tools • 5 Why's Analysis! When looking at one major cause and needs drill-down to arrive at one root cause! •Affinity Diagram! When looking at several inter-related and detailed causes which have some things in common and can be grouped together to see the Major Causes! • Fishbone Diagram! When looking at numerous major causes and needs drill-down probing to arrive at numerous root causes(s) based on their Cause and Effect Relationships
  • 20. Form groups of 4 to 5 members Choose a problem coming from your past CPAR or SCPAR cases Use any of the RCA tools to identify the root cause and recommend a Corrective and/or Preventive Action Countermeasure Please ensure appropriateness of the selected RCA tool to the difficulty or complexity of the problem Team Exercise on RCA Tools