Professional Documents
Culture Documents
MINI GUIDE TO
ROOT CAUSE ANALYSIS
Contents:
1)
2)
3)
4)
5)
6)
7)
8)
9)
Introduction .................................................. 3
Why complete Root Cause Analysis? ................. 4
QM&T approach to RCA................................... 5
Practical guide to carrying out an RCA. ............. 6
RCA Tools & Techniques.................................. 7
Look up table for completing an RCA .............. 13
Examples RCAs ........................................... 14
Hints and Tips ............................................. 14
12 Pitfalls of RCA ......................................... 14
1)
Introduction
Monitor the
system
Define the
Problem
Corrective
action
Understand
the problem
Identify the
root cause
2)
3)
Critical
High
Medium
Low
Very high
risk
Very high
risk
Very high
risk
High Risk
Low Risk
High Risk
Moderate
Risk
Moderate
Risk
High Risk
Moderate
Risk
Moderate
Risk
Moderate
Risk
Low Risk
Low Risk
Low Risk
Very Low
Risk
Low Risk
Low Risk
Very Low
Risk
Very Low
Risk
4)
5. Confirm
the Solution
1. Define the
Problem
4. Corrective
Action
2. Understand
the Problem
3.
Immediate
Action
I.
Number of Customers
80
70
60
50
80% of the
Quantity or Cost
40
30
20
10
R
ea
so
n
ic
e
N
o
Pr
Su
pp
lie
rs
io
n
O
th
er
pe
tit
n
C
om
fa
ct
io
at
is
D
is
s
At
tit
ud
e
of
In
di
ffe
nc
e
# of Customers
Materials
Men
Cause 1
Cause 1
Equipment
Cause 2
Cause 2
Cause 3
Cause 2
Cause 3
Cause 3
Cause 1
Cause 1
Effect
Cause 1
Measurement
Cause 1
Cause 1
Cause 1
Environment
Cause 2
Process or Method
Once you have captures all the desired information, try and
prioritise those areas that you have a control over, and
concentrate on finding resolutions for these.
Brainstorming/Interviewing
Most people are familiar with Brainstorming and Interviewing
techniques. However, here are a few reminders:
All ideas are welcome no matter how silly or far out they
seem. Be creative. The more ideas the better because at
this point you don't know what might work.
Credit
Problem
Addressed
OK ?
No
Order
Stopped
Product
Order
Completed
Process Payment
Invoice
Customer
Order
Generated
Sales
Production
Control
Credit &
Invoicing
Yes
No
Order
Received
Check
Credit
OK ?
Yes Credit
OK
Order
Entered
Invoice
Prepared
In
Stock?
Shipped
Order ?
Invoice
Sent
No
Assembly &
Shipping
Copying
Yes
Production
Scheduled
Diskettes
Copied
Packages
Assembled
Order
Picked
Order
Shipped
Fault Tree
This is a graphical technique that provides a systematic
description of the combinations of possible occurrences in a
system, which can result in an undesirable outcome. This
method can combine system and human failures
A good
example is shown below.
10
Check Sheets
Check Sheets (or Tally Charts) are simply used to gather and
record data. The data is usually numerical, but can also be
used for other purposes, e.g. listing audit questions to be asked
and recording the responses. You may use a Check Sheet on a
day-to-day basis to check for software defects or the numbers
and types of Customer incidents.
Example 1 Study of projects completed late
#
1
2
3
4
5
6
Checked
Project Number
1
2
3
Correct File
2
Structure/Contents
Specification
3
correct
Cost estimate
3
available
Customer Order
3
available
Order
3
Acknowledged
Contract reviewed
3
Total correct
5
Number %
correct Failure
100
80
40
40
40
60
Customer
Number per month
Relationship
Week
Total
No reason
11
1111
1111
111
17
Other
suppliers
11
1111
1111 1
11
15
1111
11
10
1111
1111 1
1111
1111
111
24
10
15
12
20
66
Competitive
Reasons
Attitude of
staff
Total
11
Quality Planning
Every stage of a process or project is a possible source of poor
quality. The objective of a Quality Plan is to anticipate possible
sources of poor quality and to arrange for means of identifying
such failure and preventing them from occurring. Where a
Quality Manual is company specific a Quality Plan is project or
process specific.
12
Check Sheets
4. Corrective Action
(Implement Action Plan)
3. Immediate Action
(Develop Action Plan)
Activity Sampling
Histograms
Pareto Analysis
Performance
Measuremt
Process Mapping
Quality Planning
Risk Assessment
(FMEA)
Sampling
Scatter Diagrams
Six Sigma
SMART
Statistical Quality
Control
13
7)
Examples RCAs
9)
i.
ii.
iii.
iv.
v.
vi.
vii.
viii.
ix.
x.
xi.
xii.
12 Pitfalls of RCA
Not understanding the problem and therefore not defining
it correctly
Not asking for help
Not considering all possible failure modes/causes
Not identifying all root causes
Not understanding how the system should operate
Runaway tests and analysis
Adopting a 'remove & replace' mentality
Silver Bullet Theory
Returning the part/product without analysis
Failing to follow-through
Jumping to conclusions (satisficing)
Tearing a system apart without a plan
Authors:
Geoff Vorley Quality Management & Training Limited
Mary-Clare Bushell- Quality Management & Training Limited
14
15