Root Cause Analysis Efforts are generally procedure based and structured, but how do you know whether the process is effective? Answering this question is almost like the remark a client made in a discussion with me recently, namely “Where do you start drawing a circle?”
The simple answer is, you put a pen on paper and start drawing. A lot can be learned from this statement when considering whether a root cause analysis effort is effective. Often there is a lot of initial inertia and people arguing as to how the root cause process should be structured. An effective process will be of such a nature that you can start work on the problem immediately, such as gathering and organizing information, without unnecessary time delays.
A core guideline for effective RCA is that it will be a structured logical process with:
(a) a definite starting problem statement,
(b) a logical information gathering process to collect information that is relevant and necessary,
(c) available information sources, and
(d) a convergence sub process that allows for the determination of direct technical causes as well as the root cause.
Formulating a proper Problem Statement is the single biggest stumbling block to effective Root Cause Analysis. An effective effort will emphasize this and will not allow the process to move forward unless this is “cast in concrete”. If wrong, we do an analysis on the “wrong” problem, and whilst it may have been an efficient exercise, the answer will be worthless.
Focused Information gathering is often absent, data and information is often assembled, and whilst it is all-relevant to the problem statement, it is not necessary for the root cause analysis process. Factual Information to collect would be all the unique features of the problem in terms of its location, time of occurrence, occurrence pattern and all unique features that is specific to that problem. Contrast each factual item in the information set about the problem with factual information describing what the problem could be, but is not. In this manner you are creating a base for comparison. Whilst doing analysis, people may naturally speculate about possible causes, ensure that you record the intuition and knowledge of people by listing these for later use.
Good Convergent Thinking is a key indicator of an effective analysis process, the technique/s used for convergence must (1) reduce the possible causes to (2) only the viable possible causes, that (3) can be verified. Once the direct or technical cause has been identified, an effective process will now assist you to drill down to root cause.
