Background
Objective
The Background involves a comprehensive analysis and documentation of the problem’s history and existing state, encompassing both quantitative and qualitative data to inform subsequent problem-solving steps, including root cause analysis and action planning. This information serves as the foundation for developing effective solutions and driving improvement initiatives.
The Background captures specific types of information related to the problem being addressed. It aims to thoroughly understand and document the history and existing state or condition of the problem, including its immediate impacts and implications.
Type of information
The type of information typically dealt with under the Background may include:
- Problem detail: Clear and concise description of the problem or issue, including symptoms, observed effects, and any associated challenges or concerns.
- Affected stakeholders: Identification of individuals, departments, or stakeholders impacted by the problem, along with their roles and responsibilities in relation to the issue.
- Quantitative data: Collection and analysis of relevant quantitative data such as performance metrics, error rates, defect counts, downtime durations, or financial impacts caused by the problem.
- Qualitative data: Gathering qualitative information through interviews, observations, or feedback to understand subjective experiences, perceptions, and implications of the problem.
- Timeline of events: Establishing a timeline of when the problem occurred, including key events or milestones leading up to the discovery or recognition of the issue.
- Scope and boundary definition: Defining the scope and boundaries of the problem to focus efforts on specific areas or processes directly impacted by the issue.
- Cause hypotheses: Formulating initial hypotheses or assumptions regarding potential causes based on the current condition and available information.
- Risk assessment: Evaluating risks associated with the problem, including safety hazards, compliance issues, customer impact, or reputational risks.
- Visual aids or diagrams: Utilizing visual tools such as process maps, flowcharts, or diagrams to illustrate the current state of processes or systems affected by the problem. (See Tools below).
- Documentation review: Reviewing relevant documentation, reports, or records related to the problem to gain insights into historical context, previous attempts at resolution, or related findings.
Asking questions
- There are many valuable tools used in problem solving and we’ll look at some of them under Tools.
- But the most valuable tool you’ll ever use is the ability to ask the right questions, especially open ended questions.
- Open ended questions are questions that cannot be answered by a simple “Yes” or “No” and consist of the six basic questions:
- When the seventh question (“How much?”) is added, it is known as the 5W2H tool.
- Who and What identify the object (thing, process or person) affected or involved and the nature of the problem.
- Where and When pinpoint the location and timing of the problem’s occurrence.
- Why delves into the root causes or triggers behind the problem.
- How explores the mechanisms or processes involved in the problem’s manifestation.
- How much quantifies the impact or extent of the problem, aiding in prioritization and decision-making.
- It is not possible as part of the training, to have a definitive list of questions you should ask for all problems, as problems differ greatly. But we are showing you generic questions for most topics in the training. Asking relevant questions from those we provide will help you with your RCA process until you have developed sufficient skills to ask the right questions for specific problems.
Generic questions
- How can we be more specific about the problem?
- Where is the object (thing, process or person) with the problem?
- Where is the problem on the object?
- What is different between two comparable objects, one with the problem and the other not having the problem?
- What other facts are relevant and may shed light on the problem?
- What has changed?
- When in the object’s life cycle was the problem first observed?
- How many objects have the problem (extent)?
- How big is the problem on the object (severity)?
- How many problems are there on each object?
- How does the extent of the problem change over time (trend)?
- Why is the problem unsolved until now?
- Who is involved or potentially involved in the problem?
- Who discovered the problem?
- How was the problem discovered?
- When has the problem been observed after the first time? (pattern)
- When was there a change that could have caused the problem?
- How was the problem handled previously?
Tools
Several tools are commonly used to gather and visualize data and facilitate the investigative process. These tools help organize information, identify patterns, and uncover potential root causes of problems. Some of the most commonly used tools include:
Check sheets:
- Check sheets are simple data collection tools used to systematically record and tally observations or occurrences.
- They are particularly useful for gathering quantitative data on process characteristics, defects, or occurrences of specific events.
Pareto analysis:
- Pareto Analysis is a prioritization technique that helps identify the most significant factors contributing to a problem.
- By plotting issues in descending order of frequency or impact, Pareto charts highlight the “vital few” (major contributors) versus the “trivial many” (minor contributors) to focus efforts on key areas.
Histograms:
- Histograms are graphical representations of data distribution, showing the frequency and distribution of values within a dataset.
- They help visualize patterns, trends, and variations in data, providing insights into potential causes and variations within a process.
Scatter diagrams:
- Scatter diagrams display the relationship between two variables, helping identify potential correlations or cause-and-effect relationships.
- They assist in analyzing data to determine if changes in one variable are associated with changes in another, aiding in pinpointing possible causes.
Run charts and Control charts:
- Run charts and control charts are used to monitor process performance over time.
- They help identify trends, shifts, or abnormal patterns in data, indicating potential factors contributing to process variability or problems.
Process Mapping:
- Process mapping involves creating visual representations (flowcharts) of workflows or processes associated with the problem.
- It helps identify bottlenecks, handoffs, or inefficiencies within processes, aiding in understanding where problems may originate.
