Basic Root Cause

Analysis Training

Steve Chow
Objectives
At the end of the module, you should be able to:

 Understand the basic concepts of root cause analysis

 Know the advantages and disadvantages of the different types of root

cause analysis

 Know when to apply basic root cause analysis

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Outline

 An Introduction : Basic Root Cause Analysis

 Types of Root Cause Analysis

 Affinity Diagrams

 The 5-Why Method

 Cause and Effect Diagram

 When to conduct the Basic Root Cause Analysis

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Section 2:

An Introduction: Basic Root Cause Analysis

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An Introduction

What is a Root Cause?

 It has no single definition only : COMMON UNDERSTANDING

 An initiating cause of a series of events which leads to an outcome
or effect of interest

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An Introduction

Qualities of Roots

 It can spread out further than you expect

 Hard to find and tough to purge
 Continuously grows if not cut
 Always dirty

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An Introduction

Causes

 The producer of an effect, result, or consequence.

 The one, such as a person, event, or condition, that is responsible
for an action or result.
 A basis for an action or response; a reason

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An Introduction

Root Cause Analysis (RCA)

 A process designed to facilitate the investigation of the fundamental

or root causes for undesired outcomes (e.g. problems, accidents,
mistakes, errors) with a follow through to corrective action.

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An Introduction

Types of Root Cause Analysis (RCA)

 Affinity Diagram
 5 Why’s Method
 Cause & Effect (Fishbone) Diagram

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Types of RCA

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Types of RCA

What is Affinity Diagram ?

 A tool that gathers large amount of data ( ideas, opinions, issues)

and organizes them into groupings based on their natural
relationships.

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Types of RCA

When should we use Affinity Process ?

Useful when you want to:

 Sift through large amount of data
 Encourage new patterns of thinking
 Rule of thumb: if < 15 items of information have been identified

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Types of RCA

Steps in Creating Affinity Diagram

1
Generate Ideas

2
Display the
Ideas
3
Sort Ideas into
related groups 4
Create Header
Cards for the
5
groups
Draw the
finished Affinity
Diagram

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Types of RCA

Step 1 : Generating Ideas

Topic: Issues in Implementing Continuous Improvement Process

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Types of RCA

Step 2 : Display the Ideas

Developing Don’t know Need new

product w/o what data Too busy to
developing customer collection learn
process wants system

Some
people will Need to be Lack of time
Short term
never creative in the
planning
change process Lack of
mentality
follow-up
my Mgt

Lack of
training at Pressure for Not using
Unrealistic
all levels Success collected
allotment of
data
time

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Types of RCA

Step 3 : Sort Ideas

Some Developing
Lack of Short term Unrealistic
people will product w/o
follow-up planning allotment of
never developing
my Mgt mentality time
change process

Don’t know Not using

Need to be Lack of Pressure for
what collected
creative training at Success
customer data
all levels
wants

Need new
Lack of trust
Too busy to data
in the
learn collection
process
system

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Types of RCA

Step 4 : Create Header Cards

Breaking through
old way Lack of Organizational Old Management Lack of TQL
“Dinosaur” Planning Issues Culture knowledge
thinking

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Types of RCA

Step 5 : Draw the Finished Affinity Diagram

SuperHeader

Header Header Header

Idea Idea Idea

Idea Idea Idea

Idea Idea Idea

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 Issues in Implementing Continuous Improvement Process

Breaking through
old way Lack of Organizational Old Management Lack of TQL
“Dinosaur” Planning Issues Culture knowledge
thinking

Some Developing
Lack of Short term Unrealistic
people will product w/o
follow-up by planning allotment of
never developing
Mgt mentality time
change process

Don’t know Not using

Need to be Lack of Pressure for
what collected
creative training at Success
customer data
all levels
wants

Need new
Lack of trust
Too busy to data
in the
learn collection
process
system

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Types of RCA

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Types of RCA

5 Whys Method

 A technique used in the Analyze phase of Six Sigma DMAIC

methodology
 Repeatedly asking the question “Why” you can peel away layers of
symptoms which can lead to the root cause of a problem
 You may find that you will need to ask the question fewer or more
times than 5 before you find the issue related to a problem

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Types of RCA

When is 5 Whys most useful?

 When problem involves human factors or interaction

 In day-to-day business life; can be used with or without six sigma
project

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Types of RCA

Benefits and Disadvantage

 Helps identify the root cause of a problem
 Determine the relationship between different root causes of a
problem
 One of the simplest tools; easy to complete without statistical
analysis
 Tendency to stop at symptoms rather than going on the deeper level
 Inability to go beyond the Investigator’s current knowledge
 Lack of support to help the investigator to ask the right “why”
questions
 Results aren’t repeatable

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Types of RCA

5 Whys Approach
Problem
Statement

Ask why the

problem
happens

Ask why again

N
Ok?

Root cause
identified

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Types of RCA

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Types of RCA

What is a Cause and Effect Diagram?

 A tool that helps identify, sort, and display possible causes of a

specific problem or quality characteristic.
 Also known as
 Fishbone Diagram
 Ishikawa Diagram

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Types of RCA

When to use Cause and Effect Diagram?

When you need to:

 Identify the possible root causes, the basic reasons, for a specific
effect, problem, or condition
 Sort out and relate some of the interactions among the factors
affecting a particular process or effect
 Analyze existing problems so that corrective action can be taken

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 Fishbone Diagram Procedure

Step 1: Agree on a problem statement (effect)

Draw a box, write the effect and draw a horizontal arrow running to it.

Effect

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 Fishbone Diagram Procedure

Step 2: Brainstorm the major categories of causes of the problem

Man Method

Environment Effect

Machine Materials

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 Fishbone Diagram Procedure

Step 3: Brainstorm all the possible causes of the problem.

Ask: “Why does this happen?” . Branch out

Man Method

Environment Effect

Machine Materials

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 Fishbone Diagram Procedure

Step 4: Again ask “why does this happen?” about each cause.
Write sub-causes branching off the causes.
Continue to ask “Why?” and generate deeper levels of causes.

Man Method

Environment Effect

Machine Materials

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 Fishbone Diagram Procedure

Step 5: Analyze the Diagram • Check - BALANCE

•THICK cluster of ideas
•look for causes that appear
REPEATEDLY. These may represent
root cause
Man Method

Environment Effect

Machine Materials •Look for what you can MEASURE in each

cause so you can QUANTIFY the effects of
any changes you make
•IDENTIFY and CIRCLE the causes that YOU
CAN TAKE ACTION TO

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Fishbone Diagram (Example)

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Section 3:

Basic Root Cause Analysis – Its Application

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When do we conduct Root Cause Analysis?

 If an unwanted situation consumes resources and

tends to happen repeatedly

 If there is a Nonconformance

 If there is an Error or Variance

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Root Cause Analysis – then What?

Analyze
Establish
Action Plans

Monitor /
Implement
Evaluate
Actions
Effectiveness

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