Root Cause Anlysis

Concorde Corodex Group
ROOT CAUSE ANALYSIS

Training Objective
Encourage everyone to be more methodical in
approaching problem solving and implementing
solution.
For Company
If this method followed every time, we assure
you will get the highest quality solution possible,
thus, improving the CCGs bottom-line

Training Objective
For Personal
It will increase your self confidence in facing and
solving whatever problems comes
along your way.
Note : As a process owner, you

should develop a basic problem
solving skills.
Agenda
• Common Approach
• RCA
• Different QC Tools used for
Problem Solving

What is a Problem?
something that is DIFFICULT to deal with : something that is a source of TROUBLE ,

WORRY , etc. – www.merriam-webster.com

What makes problem a PROBLEM?

Problem- In a Simple way
Should
Reality
GAP be
GAP between WHAT SHOULD BE

and the REALITY
What is a Problem?
Target
Result
• A gap between the actual and desired conditions

• Deviation from the Standard
Where do “GAPS” arise ?
• Customer complaint
• Nonconforming output of a process
• Out of control process
• Management systems not being followed
• Safety incidents / accidents
• Environmental “releases”
• Goals not being achieved
Can be actual, potential or generated
Generally, GAPs arise from the process.
What is a Process?
Process is a connected and sequential set of activities that

takes an input and produce an output.
An activity that transforms a set of input to attain a

desired output.

What is a Process?
If you want to make changes on output, you have to
do something with the input.
X1, X2, X3 ……… Y
In Mathematical term: y = f(x)
What are the relationship of Xs that

made changes/variation to Y?

Understanding Process Variation
Concept:
> A business are a system of interconnected process.
> Variation exist in all process
> Variation in processes result in process output variability
> Understanding and reducing process variability is the key to
improve the products or services

Challenges
• Every day we come across many
challenges. @home, office, project
sites, etc.
• We overcome many. But fail in few.
This is applicable for everyone.
We can handle the challenges/problems, if we
manage ourselves differently
Why should we manage ourselves
differently?

differently?

differently?
THE 2% MINDSET
IF YOU LIVE ALWAYS IN YOUR
GROWTH ZONE GROWTH ZONE, IT WILL LATER
BECOME YOUR NEW COMFORT ZONE
GROWTH ZONE HAS NO LIMIT
WHERE DO YOU BELONG?

COMFORT ZONE
98% OF POPULATION
WE WANT YOU TO GET OUT OF YOUR

SHELL AND SHOW YOUR POTENTIAL

Plan Vs Reality
CHALLENGES CHALLENGES

Again, you have to change attitude
towards problem

GOAL

Why? Because we canʼt predict the future. No plan
we make is 100% correct and nothing goes 100%
according to plan. Reaching an objective involves
learning and making adjustments along the way.
Problem Solving as Harvesting Fruits
6 Sigma
(Top Level Problems) Methodology
6 Sigma
(Top Level Problems) Methodology
PDCA, 8D
(Intermediate Problems) 7 QC Tools
Just Do it Actions
(Easy Problems)

PDCA
• PDCA concept (continuous improvement) was discussed on 1939 book of
Walter Shewhart Title: Statistical Method From the Viewpoint of Quality
Control
• Shewart cycle (PDCA) was modified and popularized by W. Edward Deming

which now referred to as the Deming’s Cycle in the 1950’s as an easy to
follow Problem Solving methodology.
• Deming was tasked with helping Japan rebuild its economy in the 1950’s.
• His purpose was to use PDCA with a Continuous Improvement process to

help rebuild Japanese industries so that they could compete in the world
market in the future.

PDCA - Overview
PLAN
DO
Modify Another Problem
Parameters or Improvement
CHECK
No Achieved
Goal?
Yes
ACT

PDCA - Overview
When to use the PDCA
• As a model for continuous improvement.
• When starting a new improvement project
• When developing a new or improved design of
a process, product or service.
• When defining a repetitive work process
• When planning data collection and analysis in
order to verify and prioritize problems or
root causes.
• When implementing any changes
Steps of Problem Solving
1. Identification - Define the Problem
2. Plan the Schedule
3. Study /Understand the present situation PLAN
4. Set measurable and attainable goals
5. Analyze the cause & Identify Corrective Action
6. Implement the Corrective Action DO
7. Monitor / Evaluate the Results CHECK
8. Standardize & Follow up ACT

• The initial step in the process is to clearly

define the problem or potential problem.
WELL DEFINED PROBLEM IS HALF SOLVED

Problem Statement
• Specify the problem by identifying in
quantifiable terms.
Note: Problem statement shall be negative.
• Problem statement SHOULD be answerable by
WHAT? WHEN? WHERE? WHO? HOW?
HOW MANY?
• Tools: 4W 2H, 3G, Process Map, Flowcharting,

IS / IS NOT ANALYSIS
Problem Statement:
1. Specify relevant details only
What? Specify which process or product has negative result or gap
Where? Location, place, part, department, section
When? time, day, month, year
Who? person responsible, client or customer
Why? is it important for the problem to be fixed
How? how it was detected?
How many? Quantifiable result, gap or measurement
Problem Statement:
Example
What? Length of Cable
Where? Store
When? Today
Who? X&Y Project
Why? *
How? During material inspection
How many? 10 meter short
Problem Statement:
During material inspection today in store, the length of cable is 10
meter shorter than the required length for X & Y Project.
3G - “GO & SEE the FACTS”
The best thing to understand the problem is to GO to the affected place and
SEE it by yourself and collect FACTS what was really transpired.
Flowcharting
Process Mapping
MONOMER
START PREPARATION
PROGRAM GASKET
CB CASTING LENS WASHING LENS INSPECTION
PREPARATION PREPARATION
MOLDS
PREPARATION
STOCK QD AUDIT FOCI-PACKING
END
IS / IS NOT ANALYSIS
Before proceeding
to next step:
Have we contained
the problem?
This require temporary
solution to protect or
isolate it to customer.

2. Plan the schedule
Select your Team
• It is critical that everyone take a personal and
active role in improving quality.
Set the time limit
• Fix the time limit based on the importance
and severity of the problem.

Recommended Team Members
• There should be a management member
• Team member are to be selected based on the
problem statement and scope involve
• Team members must have good working
knowledge on subject matter. (Labors &
Techn)
• Team leader should be knowledgeable on
Problem solving process steps
Team facilitations skills
Number of people in a team is 5 to 7 person

Set the time limit
• Fix the time limit based on the importance
and severity of the problem.
• Tools: Gantt Chart


3. Study and Understand the Present
Situation
a. Define Key Process Output measure
• This is necessary to objectively evaluate the gap
• To aid in the analysis of key input factors
• To verify the effectiveness of the improvement
solutions.
Example:
Defect per unit Availability of Personnel
Cycle time Error per unit
On time delivery Other KPIs like scrap, productivity etc
Situation
b. Develop Data Collection Plan
• The purpose of collecting data is to learn
something about the process (or system) from
which the data is taken.
Make sure the data collected are reliable and

accurately describes the process output
characteristics.

Situation
The Purpose of Data Collection and Analysis
Useful Information
Raw Data Insight

Situation
Questions to answer when developing a data
collection plan:
a. What type of data will be collected?
b. What data to collect?
c. Where the data to be collected?
d. How will the data to be collected
e. How many data to collect?
f. Who will collect
g. How will the data be recorded?
Situation
Source of the Information (DATA COLLECTION)
• The specific source of the information is documented. There
are many possible sources:
Service requests Customer complaints
Internal quality audits Staff observations

Trend data QA inspections
Process monitoring Risk analysis
• This information is important for the investigation and

action plan, but also useful for effectiveness evaluation and
communicating the resolution of the problem.
ALWAYS SPEAK WITH THE DATA, BUT WHEN YOU SEE THE DATA….
DOUBT IT
Situation
Evidence
• List the specific information, documents, or
data available that demonstrates that the
problem does exist.
– This information will be very important during
the investigation into the problem.
The “true” problem must be understood

before action is taken.

4. Set Measurable and Attainable Goals
• Time for Commitment

• Focus turns to what is needed to complete project
• How long will it take?
• Compare actual Vs Desired performance.
ACTUAL
rejection
rate
DESIRED
Rejection Rate

5. Analyze the Rootcause and Identify
Corrective Action
• Funnel Discipline in Root Cause Analysis
• Brainstorm all possible causes

(open all ideas)
• Decide the vital few suspected causes

(Shortlisting)
• Verify causes


Corrective Action`
Brainstorming
• A tool for creating a wide range of options in
an environment free criticism.
• It is useful when you want to generate a large
numbers of ideas about:
> Issues to tackle (project selection)
> Possible causes of problems (causes analysis)
> Corrective measures to take (solution
identification)
In brainstorming, there is no such thing as stupid idea.

Corrective Action
Brainstorming Ground Rules
• Active participation by all
• No criticism, suspend judgment
• ideas build on ideas
• Record Ideas
• Set time limit
Brainstorming Steps
1. Review Ground Rules 6. Record Ideas
2. Set Time Limit 7. Clarify each idea
3. Assign Time Keeper and Idea recorder 8. Eliminate Duplication
4. State the topic
5. Generate Ideas
Corrective Action
Common Tools
• Soft Tools
• Pareto Diagram
• 5 Whys
• Cause and Effect Diagram
• Hard Tools
• Data collected
• Audits
• Observations
Corrective Action
Common Tools
• Pareto Chart

Corrective Action
Common Tools
• Pareto Chart
• A series of bars whose height reflect the
frequencies or effects of the item under study
• The bars are arranged in descending order of
height from left to right
• The purpose of a Pareto Diagram is to
separate the vital few from the trivial many.
20% of the causes in the process account for
80% of the effect
Corrective Action
Common Tools
• 5 Why Analysis

Corrective Action
Common Tools
• 5 Why Analysis
• Is an iterative question-asking technique used to
explore the cause and effect relationships
underlying a particular problem.
• 5 Why Techniques
• Use of tabular format
• Use of Fishbone/Ishikawa/C&E Diagram

Corrective Action
Common Tools
• Cause & Effect Diagram

Corrective Action
Common Tools
• Cause & Effect Diagram
• Also called an Ishikawa diagram or a fishbone
diagram
• A tool that helps identify, sort, organize and
display possible causes of a specific problem.
• It graphically illustrates the relationship
between a problem and the possible cause.

Corrective Action
Common Tools
• Steps of Cause & Effect Diagram
1. Identify and clarify the problem to be analyzed.
2. Identify main causes contributing to the problem.
Example:
5M (man, machine, method, material, mother nature.
4P (Procedure, People, Policy, Plant Layout)
3. For each main cause, identify other specific factors.
4. Identify increasingly more detailed level of causes.
Ask why 3 to 5 times.
5. Analyze diagram to identify major causes that
warrant investigation.

6. Implement the Corrective Action
• Implement the solution in trial / pilot basis.

• Communicate the test to process owner and
get approval.
• One action at a time to prevent

misjudgment of result / action
taken.

7. Monitor / Evaluate Result
Evaluate
• Collect data to monitor performance
improvements.
• Make sure to follow the data collection plan
during the Pilot Stage.
• Communicate & feedback.
Validate
• Resolve any issues by finding
Countermeasures to ensure solution plan
continues. Concorde Corodex Group
Verify the Causes

• Confirm the key suspects are actually rootcause
Tools:
Historical Data Analysis like Run Charts
Process Observation and Tracking

Run Charts
A run chart is a line graph of data points plotted in chronological order
Display how data points behave over time
It helps us to detect trend, shift, and spikes in data points


8. Standardize or Follow up
• If the result if not acceptable, stop the action and return to P-D-C
Phase until result became acceptable.
• If the result is acceptable

– Revise the SOP base on the effective action taken
– Revise Process Map
– Roll out to concern employees
– Training /Orientation/Awareness
– Other controls like Pokayoke, Control Charts, check sheets, visual
management
– And Look for other improvement opportunities
8. Standardize or Follow up
• Note:
> Make sure that all actions and result are properly documented.
> Don’t forget to congratulate your team for a job well done.
Tools: A3 report, Continuous Improvement Reports.

Different Problem Solving
Techniques or Tools

Flow Chart

Pareto Chart - 80/20 Rule

5 WHY Analysis
Need
Training
Why did
Why worn not know
belt to change
Why Belt
Why slipping
did not
charge
Why
Dead
Battery
CAR did not

start
5 WHY Analysis

Fish bone Analysis
Also called as ISHIKKAWA diagram or
CAUSE AND EFFECT diagram

Fish bone Analysis

HISTOGRAM

CONTROL CHARTS

CHECK SHEETS

SCATTER DIAGRAM

POKA YOKE – Error Proof ing

A3 REPORT

A3 REPORT

Time for Discussion

Root Cause Anlysis

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Concorde Corodex Group

ROOT CAUSE ANALYSIS

Concorde Corodex Group

Concorde Corodex Group

Note : As a process owner, you

Concorde Corodex Group

something that is DIFFICULT to deal with : something that is a source of TROUBLE ,

Concorde Corodex Group

Concorde Corodex Group

GAP between WHAT SHOULD BE

• A gap between the actual and desired conditions

Process is a connected and sequential set of activities that

An activity that transforms a set of input to attain a

Concorde Corodex Group

X1, X2, X3 ……… Y

In Mathematical term: y = f(x)

What are the relationship of Xs that

Concorde Corodex Group

Concorde Corodex Group

Concorde Corodex Group

Concorde Corodex Group

GROWTH ZONE HAS NO LIMIT

WHERE DO YOU BELONG?

WE WANT YOU TO GET OUT OF YOUR

Concorde Corodex Group

Concorde Corodex Group

Concorde Corodex Group

Concorde Corodex Group

Concorde Corodex Group

• Shewart cycle (PDCA) was modified and popularized by W. Edward Deming

• His purpose was to use PDCA with a Continuous Improvement process to

Concorde Corodex Group

Concorde Corodex Group

2. Plan the Schedule

3. Study /Understand the present situation PLAN

4. Set measurable and attainable goals

5. Analyze the cause & Identify Corrective Action

6. Implement the Corrective Action DO

7. Monitor / Evaluate the Results CHECK

8. Standardize & Follow up ACT

• The initial step in the process is to clearly

WELL DEFINED PROBLEM IS HALF SOLVED

• Tools: 4W 2H, 3G, Process Map, Flowcharting,

3G - “GO & SEE the FACTS”

STOCK QD AUDIT FOCI-PACKING

2. Plan the Schedule

3. Study /Understand the present situation PLAN

4. Set measurable and attainable goals

5. Analyze the cause & Identify Corrective Action

6. Implement the Corrective Action DO

7. Monitor / Evaluate the Results CHECK

8. Standardize & Follow up ACT

Concorde Corodex Group

Number of people in a team is 5 to 7 person

Concorde Corodex Group

2. Plan the Schedule

3. Study /Understand the present situation PLAN

4. Set measurable and attainable goals

5. Analyze the cause & Identify Corrective Action

6. Implement the Corrective Action DO

7. Monitor / Evaluate the Results CHECK

8. Standardize & Follow up ACT

Make sure the data collected are reliable and

Concorde Corodex Group