RCA 101
Create a problem statement
Identify the problem
The most common way in which problems are identified, is simply by recognizing an event or condition which has a negative effect on some aspect of the business.
Various techniques may be used to identify problems.
- Data gathering: Collect relevant data and information pertaining to an issue from various sources. This may include incident reports, performance metrics and customer feedback.
- Analysis of patterns and trends: Look for recurring patterns or trends that may indicate underlying issues. Statistical analysis and trend tracking tools can aid in this process.
- Stakeholder engagement: Involve stakeholders from different levels and departments to gain diverse perspectives and insights.
- Avoiding assumptions and biases: Challenge assumptions and avoid preconceived notions. Objectivity is crucial in accurately identifying and defining a problem.
Generic questions
- What concerns us?
- What do we sense (see/ hear/ feel/ smell/ taste) that is not right?
- How do we prioritize identified problems?
Define the problem
Importance of clearly defining the problem statement.
- The foundation of any successful RCA lies in accurately defining the problem as a problem statement. The problem statement serves as the cornerstone of the RCA, guiding the entire investigative process.
- Without a clear problem statement, efforts may be misdirected, leading to ineffective solutions. It prevents ambiguity and ensures that efforts are focused on addressing the core problem rather than peripheral issues.
- A well-defined problem statement serves as a roadmap, guiding the entire RCA process towards meaningful conclusions. It helps in aligning stakeholders’ understanding and expectations regarding the issue at hand.
Format
- A good problem statement is concise and consists of two main parts:
- an object (thing, process or person); and
- what is wrong (error/fault/defect/deviation/ variance) with the object.
- Often, you will add a further description about the “Where?” and/or “When?”
Example
- New 9.5l clear plastic storage box cracks on corners.
Generic questions
- What object(s) or group of objects (thing, process or person) do we have a problem with?
- What is wrong with it?
- What is happening that is not supposed to?
- What is not happening that is supposed to?
- Where/when do the problem occur?
- How can we be more specific?
Contain the problem
- The first step when a problem occurs is to identify the immediate consequences thereof so that the necessary actions can be taken to protect people (for example employees and customers), property (such as products, machinery and equipment), processes and the environment against such consequences.
- Depending on your personal background, you may refer to these actions as corrections, containment or short term actions.
Generic questions
- Who/what is affected by the problem?
- How are they affected?
- Why is the problem / effect important?
- What are the existing & future negative effects and risks?
- How can we contain / limit any damages / risks caused by the problem?
Form the team
- One person always takes overall responsibility for the problem. In GembaCI RCA+ this person is called the Assignee.
- Team members:
- are those who are able to contribute to framing and analysing the problem, or developing or implementing solutions;
- can range from two to many depending on the specific problem; and
- can change over time as progress is made.
- It is important to include subject matter experts (SME’s) as required. Who they are, will depend on the problem.
- Also, include or at the least consult with stakeholders and understand that process owners and other employees responsible for the execution of processes are often the people best equipped to contribute to solving the problem. For example, for a quality problem on a production line, the operator of the relevant equipment will most likely be a SME you would want to include.
Generic questions
- Who is the best person to take overall responsibility for solving the problem? (Assignee).
- Who can contribute to framing/ analyzing/ solving the problem? (Team member)
- What subject matter experts (SME) are required?
- Who are the stakeholders?
