Root Cause Analysis

Resources:

1. Jeannette Campos's Root Cause Analysis Video created for UMBC's EDU603

2. Franklin, M. (2006). Performance Gap Analysis, Infoline issue number 0603 . Silver Spring, MD: ASTD. (I have a hard copy in Google Docs)

My RCA 

Created for EDU603

Tips for Conduction RCA

In general: 

• Only conduct a RCA if there is a gap in the desired performance and current performance.
• When conducting a RCA, ask yourself, "Why does this problem exist?" (Campos, resource #1) Or, "What is preventing employees from performing to the desired state?" (Franklin, resource #2)
• Avoid solutions at this point, just focus on causes  (Campos, resource #1).
• Only look at causes related to the identified performance problem. 
• Remember to be objective and neutral as possible without imposing your own views upon it   (Campos, resource #1).
• Analyze each performance gap separately (Franklin, resource #2).

Collecting Data:

• Go directly to the performers themselves to learn what might hinder their ability to perform (Franklin, resource #2).
•  If there is enough time, talk to managers and people from other departments who collaborate with the employees. (Franklin, resource #2)
• Use interviews, surveys, focus groups, observations, and/or exam reports (Franklin, resource #2).
• Focus groups and surveys may be the most efficient methods (Franklin, resource #2).

Writing the Report:

• When writing up the RCA report, only include factors that contribute to or cause a performance problem. While you may discover factors that the organization is doing well, leave these out of this report. 
• Use the Root Cause Analysis Chart to categorize causes. You can create your own categories, but this is a good template to follow.

Root Cause Analysis Chart (from resources #1 and #2)

Look for factors from each of these categories that may be contributing to or causing the performance problem. You will not necessarily find causes in each category.

1. Physical Resources Questions to ask: What resources are available to aid in proper performance? Are employees provided with tools, materials, technology, equipment, lighting, and supplies needed for performance?	2. Structure and Processes Questions to ask: Is the workflow conducive to efficient performance? Are there policies set in place to enable performance? Are there policies set in place that hinder performance?
3. Information Questions to ask: Is information such as manuals, job aids, and policies available? Is this information accessible?   Is it provided to the people who need it? Have expectations for performance been set and clearly communicated? Feedback is also often grouped in this category: How do employees learn if their performance is on track? How often does feedback occur?	4. Knowledge Questions to ask: Do people know how to do their jobs? Do they have the skills needed to do the jobs?
5. Motives Questions to ask: Are employees provided with incentives or recognition for performing the task? Are there consequences for poor performance? Do performers see benefits in performing the required activities?	6. Wellness Questions to ask: Are there health or well-being issues that could be causing the performance gap? Do employees have access to health care, counseling, exercise, stress management resources?

For more information on categories see: Sanders, Ethan S., and Sivasailam

“Thiagi” Thiagarajan. Performance Intervention Maps. Alexandria, VA: ASTD Press, 2001.