Root Cause Analysis (RCA)

The root cause is the core (highest-level) issue that sets in more the entire cause-and-effect reaction that ultimately leads to the problem(s).

RCA refers to the range of approaches, tools, & techniques used to uncover the cause of problems.

Approaches to RCA

Events and Causal Factor Analysis: Widely used for major and single-event problems, this process uses evidence gathered quickly & methodically to establish a timeline for the activities leading up to the incident. After establishing the timeline, the causal and contributing factors are identified.
Change Analysis: This approach applies to situations where a system's performance has shifted significantly from the desired state. It explores changes made in people, equipment, information, and more that may have contributed to the change in performance.
Barrier Analysis: This technique focuses on identifying the controls in place within the process to either prevent or detect a problem, and which may have failed.
Management Oversight & Risk Tree Analysis: This approach utilises a tree diagram to examine what occurred and why it may have occurred.
Kepner-Tregoe Problem Solving & Decision Making: This model provides 4 distinct phases for resolving problems:
1. Situation Analysis
2. Problem Analysis
3. Solution Analysis
4. Potential Problem Analysis

A typical approach to RCA within an organisation may follow these steps:

The decision is made to form a small team to conduct the RCA.
Team members are selected from the business process/area that experiences the problem and may be supplemented by:
- A line manager with decision authority to implement solutions.
- An internal client from the process with problems.
The analysis will last a set period of time, during which equal emphasis is placed on defining and understanding the problem, brainstorming possible causes, analysing causes and effects, and defining a solution for the problem.
During the analysis period, the team meets weekly (one or more times), with meetings kept short and focused on being creative with a loose agenda.
One person in the team is assigned the role of making sure the analysis progresses or tasks are assigned to various team members.
Once the solution is designed and the decision to implement is given, it may take several days, weeks, or months before the change is complete (change management), depending on what the implementation process is complete.

Note:

Though a single person can perform RCA, it is generally better when a group of people work together to identify the root cause.
Those ultimately responsible for removing the identified root cause(s) should be prominent members of the analysis team.

American Society for Quality - Root Cause Analysis: https://asq.org/quality-resources/root-cause-analysis
Article Image (Roots): Photo by Jack Charles on Unsplash

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