FEATURED BLOG

Author: Kevin Stewart

 
This question was posed to a discussion group and it got me thinking how do you grade an investigation?

The overall success will be whether the solution actually prevents recurrence of the problem.  One definition of Root Cause Analysis is: “A structured process used to understand the causes of past events for the purpose of preventing recurrence.” So a reasonable assessment of the quality of the analysis would be to determine whether the RCA addressed the problem it set out to fix by ensuring that it never happens again (this may be a lengthy process to prove if the MTBF of the problem is 5 years, or has only happened once). 


Are there some other tangibles that can help you assess the quality of an RCA?  RCAs use some sort of process to accomplish their task. If this is the case then it would stand to reason that there will be some things you can look for in order to gauge the quality of the process followed. While this is no guarantee of a correct analysis, ensuring that due diligence was followed in the process  would lend more credibility to the solutions.


What are some of these criteria by which you can judge an analysis?

• Are the cause statements ‘binary’? By this we mean unambiguous or explicit. A few words only and precise language use without vague adjectives like “poor” since they can be very subjective.

• Are the causes void of conjunctions? If they have conjunctions there may be multiple causes in the statement. Words such as: and, if, or, but, because.

• Is there valid evidence for each cause? If causes don't have evidence they may not belong in the analysis or worse yet solutions may be tied to them and be ineffective.

• Does each cause path have a valid reason for stopping that makes sense? It is easy to stop too soon and is sometimes obvious. For example, if a cause of “no PM” has no cause for it so that the branch stops, it would seem that an analyst in most cases would want to know why there was no PM.

• Does the structure of the chart meet the process being used? If it is a principle-based process then it should be easy to check the causal elements to verify that they satisfy those principles. These might be causal logic checks or space time logic checks or others that were associated with the particular process.

• Is the chart or analysis completed? Does it have a lot of unfinished branches or questions that need to be answered or action items to complete?

• Is the chart or analysis completed? Does it have a lot of unfinished branches or questions that need to be answered or action items to complete?

• Are the solutions SMART (Specific, Measurable, Actionable, Relevant, and Timely)? Or do they include words like: investigate, review, analyze, gather, contact, observe, verify, etc.

• Do the solutions meet a set of criteria against which they can be judged?

• Do the solutions address specific causes or are they general in nature?  Even though they may be identified against specific causes if they don’t directly address those causes then it may still be a guess.

• If there is a report, is it well written, short, specific and cover just the basics that an executive would be interested in? Information such as cost, time to implement, when will it be completed, a brief causal description and solutions that will solve the identified problem are the requisites.

Our latest eBook gives you access to all our top tips for conducting better root cause analysis investigations.

We've covered root cause analysis from start to finish:

• Gathering information

• Assembling the team

• Conducting the RCA

• Implementing the solutions

• Measuring the success of the corrective actions

• Advertising your successes

• Plus, a whole section of tips for the RCA facilitator

By Jack Jager

We are all problem solvers. Each and every one of us actively deals with problems on a regular, if not a daily basis. However, the crucial question is “Is everyone actually good at problem solving?”

Quality of investigations vary and the trend appears to be a practical application of the normal curve. There are some fantastic results from investigations and also some poor results. But, if your organisation is seeing  a whole pile of average investigations and average reports that result from them, then the effectiveness of your Investigation program can be improved.

Mediocrity occurs for a number of reasons. This article focuses on four aspects of your RCA program which, if not set up correctly, could be catalysts behind a consistent flow of mediocre root cause analysis investigations within your organization.

1)     A structure to support training

So, you’ve trained your employees in root cause analysis and you’re expecting to see some fantastic RCA results coming through. Right?

…Not so fast.

If there is little structure to support the training in terms of:

• a requirement to use the process,
• mentoring and feedback provided to trainees,
• or quality audits on their efforts,

Then you can expect to see a whole range in terms of the quality of investigations being submitted. If the majority of the investigations are average then the value of the training comes into question.

This has often been the stimulus to look for different training in an alternative methodology because the perception is that the process selected for use by the company is not meeting expectations, it’s not working, people are not using it, and people don’t like it, or it’s not getting the results…..and so on.

If any training is unsupported, the same outcome could occur. So is this a problem with the training or a problem with the structure that supports the training?

Two days of training or a week of training doesn’t make anyone an expert in anything. Each trainee sits somewhere along the learning curve at the start of the training and hopefully, if they have been paying attention, they move along the curve to a better place after the training. The purpose of the training is to skew the curve – to move the curve to the right so you have more investigations being completed to a higher standard.

The challenge for all companies is to work out how to move trainees from where each
individual sits on that learning curve after the training, to application of excellence within the discipline at which the training was directed.  Isn’t this what was originally intended?

For many individuals, this transition along the learning curve lacks clear structure and in many cases this structure simply does not exist. We train our people and then, figuratively speaking, throw them to the wolves expecting them to be the evangelists for the learning and the cure to all of our problems.

So what happens when we then get an average outcome? We don’t see the value in training more staff. And in this instance of problem solving, we will see a greater acceptance of mediocrity and of our inability to change this. It is essential that there is a feedback loop, whereby mediocre investigation reports are not accepted, or signed off.

Underpinning an effective investigation program requires managerial overview, whereby
managers are skilled in the RCA methodology and can challenge the outcome, provide positive recognition or insist on rework. If managers are not trained in the RCA method, then they are in the hands of the people who have been trained, and the danger is that mediocrity becomes the norm.

2)     Amount of time dedicated to investigations

How long does an investigation take? Should it be one hour?  Four hours? One day? One week?

There is no right answer.

If an investigation is warranted then it should be resourced to a point where an excellent result is possible. If that means you have 5 people in a room all day then so be it. The significance of the problem must warrant that level of support.  

Conducting a root cause analysis requires a dedication of time and resources to achieve a
desirable outcome. How much do your problems cost you after all? If you want your investigations to be effective, then you will need to support them to the level needed. A clear understanding of the organisation’s threshold limits that determine the level of response, is essential to ensure appropriate allocation of resources and time to attend or complete an investigation.

When you find yourself in a rush, ask yourself if you are simply satisfying the need to report, completing obligatory requirements, just meeting deadlines or is there a genuine opportunity to improve the business and make a difference.

3)     Involving the “right” people

If you don’t have the “right” people in the room – those with intimate knowledge or experience with the problem, then how good will the investigation will be?

Information is a key ingredient in all investigations and successful investigations require
that you have that information in the room in the form of the people who have the knowledge, data, evidence and reports.

Positive support and approval from management are necessary for people to be given the
time to attend the investigation.

4)     Having the “right” facilitator

Do you have the “right” person facilitating?

Good communication skills are important, both verbal and non-verbal. A willingness to be the facilitator should also be considered…someone who has the desire to do this job.

A good facilitator should be impartial, unbiased, willing to ask the dumb question, and arguably should not be the subject matter expert. A great facilitator recognises that the credit for a good investigation outcome belongs to the team, and he works deliberately to facilitate that outcome.

In summary

The cost of significant incidents has a direct impact on the bottom line. Incidents can cost a company hundreds-of-thousands or even multi-million dollars. Every incident or accident that occurs is an opportunity to learn. If we can learn effectively by doing a high quality RCA, then the goal of trying to prevent their reoccurrence is far more likely to be achieved.

The best results occur from investigations that are well supported, have the right facilitator, and have the right people involved who have been given sufficient time to understand the event so they can present the best report possible.

Getting these elements right will go a long way towards moving the quality of your RCA investigations away from mediocrity and towards excellence.

A key factor in establishing the framework for an effective RCA program is a common application standard, and easy to use reporting, and charting tools. The Apollo Root Cause Analysis methodology has been used for over 20 years to support effective Problem Solving. RealityCharting™ software has been developed to provide standardisation, as well as quality checks and help. RC Coach is an online support tool with easy to access refresher training to help individuals to keep learning beyond the classroom.

By Jack Jager

Understanding the root cause of a problem is the purpose of many or all investigations. However, the concept of “root cause” suggests that there is only one, singular cause that is at the “root” of any problem.

The root cause concept and how it is applied often leads to this perception of a singular cause. For example, the statement “What is the root cause of the problem?”

So what is “root cause” and how is it defined? It can be difficult to find a clear and precise definition. The following  well-defined description reveals something very simplistic;  “Root Cause can be described as that cause, which if it were controlled or eliminated would make the problem go away. Therefore it may be considered a root cause”.

This is an interesting concept as it can be applied to a number of causes within a cause and effect chart, therefore, it can be said that there are many “root causes”.

Cause and Effect analysis and Reality charting indicates that a problem doesn’t occur from a single cause, but for any problem there can be many cause and effect relationships that can trigger a problem. Therefore how do we know which of these causes is the root cause?

If you were to ask this question to various people, there may be a number of different answers.  One person may think the root cause is one thing, while another would consider the root cause to be something else. Each party may in fact be right. So how can a “root cause” be assigned unless we are certain that a solution will prevent the problem from recurring?

What are the causes of a fire? For a fire to occur there must be certain conditions present. Each of these conditions are a contributing cause of the fire.

• There must be oxygen present (a conditional cause)
• Fuel to burn (a conditional cause)
• An ignition source, such as a match or lighter (also a conditional cause)

All of these causes can exist in harmony with each other and can do so for some time.

It is only when an “action” cause occurs, such as the lighting of a match that the fire will actually occur.

So what is the “root cause” here?

If we apply the definition provided above for “root cause” here, then by eliminating the oxygen, there would be no fire. Therefore “oxygen” is a root cause of the fire.

If you were to remove the combustible material, fuel, then this too will satisfy the definition requirement. The problem would not reoccur. Therefore “fuel” is also the root cause of the fire.

If you were to also remove all of the ignition sources, then there would be no possibility of a fire. This too satisfies the definition requirements. Therefore the “ignition source” is the root cause of the fire.

If no match was to be lit, then there would be no fire. Therefore “the lighting of the match” must be the root cause of the fire as well.

Based on this example, there are potentially four root causes and each of them satisfies the root cause definition. This can be quite confronting in a sense to recognise that there are many potential root causes for a problem. It is, however, liberating too because now you have many potential corrective actions rather than just one.

How often have you heard someone ask “What is the root cause of the problem?” and “you can’t control the problem until you have identified what the root cause is”.

How do we determine which causes to control? In the fire example, who will determine the control or controls to put into place? It’s unlikely that oxygen will be eliminated, as this can be a very costly and difficult process (although we do use this concept in confined spaces).

Can we control the combustible material? If we were to eliminate the fuel then would we have an effective control? This is possible in some cases but not in others.

What about the ignition sources? If there were no lighters or matches present or available, then there would be no fire. Do we have the ability to remove these?

If we could stop the persons action from occurring then we would also have controlled the possibility of a fire happening.

Based on these rationales, which of these controls should be implemented? Is this decision governed by certain criteria? And then the question about what we can control also comes into play.

So what criteria can we use to determine our choices?

• Money - it needs to be cost effective
• Safety - it needs to be safe
• Easy - if possible it should be easy to do
• Quick - being able to do it quickly has merit
• Doesn’t cause other problems – at least not unacceptable problems
• Is an ongoing fix – and is not a band-aid. The solution will fix the problem for today and tomorrow, as well as next week and next year.

and other criteria may also be considered.

The above criteria are taken into consideration when making the decision about which solutions to implement. At the end of the day, it is important to have an understanding of the problem and how many of the causes you need to control to prevent recurrence.

Did the notion or understanding of what the “root cause” is come into consideration when making the decision about which solutions to implement?  No, therefore what is the value of identifying “root cause”?

In my mind, it is the concept of “root cause” that is important. Applying this concept requires us to understand the problem as completely as possible, before we make decisions about corrective actions. If we do this, then we are in the best possible position to make good decisions about which corrective actions to implement. 

The decision of which solutions to implement is a choice. It is a choice we make according to a set of criteria. It is based on the answers you acquire when applying the criteria questions that allow you to be objective in your decision making process to find the best solution.

In Summary

In many ways the concept of “root cause”, whilst being important in the broader application, is often a misnomer when used to describe the critical cause for a unique incident. It is not the only cause. Other causes must also exist.  

At the end of the day it is your choice about which causes you wish to control. Therefore it is important to remain objective in this decision making process, via utilising a set of criteria, and applying them to all possible solutions. Let the answers to the criteria questions determine what the best solutions are, and that will determine what you consider to be the “root cause” of the problem.

By Jack Jager

If you are investigating an incident using Root Cause Analysis (RCA), what are the critical skills that you should possess as an RCA facilitator?

Here are five key skills that will help to make you a more effective facilitator.

1. Value all ideas equally

First of all, it is important to acknowledge all ideas – nothing is unimportant. Something that seems trivial now may hold a great deal of value later in the process. Discourage any negative feedback from the group. This, too, is a disincentive to proffer suggestions or ideas.

The goal of information gathering is to capture everything known about a problem, no matter where it fits into cause and effect relationships. Just by watching you write a comment on a yellow “stickie” or type into the holding area, the participants can see that you are acknowledging what they know. Later, if it fits in the cause and effect chart then it has value; if it doesn’t, then it will naturally fall off the chart.

Secondly, value each and every response, regardless of where it comes from. First and foremost, this will encourage a positive flow of information from participants. If the facilitator starts saying “No, that’s not right”, then people may think before speaking and slow the whole process down. They may even stop contributing to the discussion, censoring the information in their own minds and preventing it from being evaluated on its own merits. Similarly, if someone offers a suggestion which is ignored then participants can switch off – you have to be able to work rapidly or say, “Hold that thought while I finish writing this one”.

So remember … no put-downs allowed, from you or any other member of the group. Positive affirmation is the mode for the facilitator to get a productive session.

2. Be dynamic

As facilitator, you need to guide the direction of the group and yet still be alert for other cause paths that may crop up. You are the prime mover, controlling the focus of the group. Don’t be a bystander to the process. You are the conduit through which the group is interacting.

Ask questions that are as precise as possible. This will elicit better, more concise responses which make it easier to identify causes. Good questioning will also eliminate unnecessary discussion and storytelling from the group.

Once the information has been recorded, get the group to help you organise the information and then challenge the logic of the way that information is linked together. Your cause and effect chart needs to make sense – or it risks being challenged and disregarded by those who look at it.

Remember … being dynamic may not come easy or naturally, but it’s important to give it a go. In this mode, you should continually ask “why” questions.

3. Keep the analysis moving

Don’t let the investigation get bogged down in detail too soon. Get the first pass of the chart out and then refine it. If the first pass is a linear connection of causes, then so be it. Remember, this is the start of the cause and effect chart, not the finish.

A timeline is often a good place to start – ordering key events according to “when” they happened. Such a timeline does not address the question of “why”, but it could certainly initiate a more comprehensive search for causes.

Do not waste time at this point trying to judge or evaluate each cause. Simply ask “why” immediately after placing the cause on the chart to keep people focused and moving down a productive path.

Try not to allow individuals to dominate the analysis. Everyone is there for a purpose, and has information to contribute to the investigation. Ensure that all people have the opportunity to speak. Keep redirecting and asking for other inputs. If one group member is dominant, set some ground rules – try giving each participant a chance to say what they know in turn, working your way around the group.

Remember … adding the finer detail can happen later, but then the devil is always in the detail. The onus is therefore still on you to do this.

4. Be a good listener

Attentive listening skills are critical. You need to be able to hear more than one response at a time. Your ears should be like radar, picking up on all signals. Don’t miss a response while recording another. You need to record everything.

Being a good listener means keeping an open mind, suspending judgment, and maintaining a positive bias.

It also requires the efforts of the whole group – ask the group not to have discussions on the side, as they might come up with causes that should be included but may not be shared with the group. This will also help you to hear all responses more clearly.

Remember … delegating the recording of information could be useful if it will help you to listen more effectively.

5. Don’t profess to be an expert

Don’t profess to be the expert about the problem at hand. You were appointed to be the facilitator, an independent guide, without a vested interest in the outcome. Ask the others in the group to explain what they know so that everyone can follow and understand it. That is why they are there. Remember … you don’t hold all the answers. That isn’t why you are the facilitator or it shouldn’t be. A good facilitator plays dumb whilst still directing traffic and working the cause and effects paths to a reasonable stop point.

Conclusion

Every incident comes with its own challenges. Each time you facilitate, you will no doubt come up against a range of human behaviours, which you will have to manage.

It’s a great idea to debrief the process and your role in it with some of the people involved. They will no doubt provide valuable feedback that will help you improve.

Finally, have faith in the RCA process, and learn from each experience to build on your skills as a facilitator.

Read about the key steps in preparing for RCA success.