Root Cause Analysis (RCA) Tools

RCA tools to use with everyday problem solving or with CPAR

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