3 Critical Facilitation Skills For Root Cause Analysis

Imagine a root cause analysis has been triggered by an unplanned incident or event which falls into any of the safety, quality, environment, production, equipment failure or similar categories. You have been appointed as the root cause analysis facilitator by a superior/manager who is responding to the particular event. What are the critical facilitation skill necessary to make the analysis successful?

1. 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.

2. 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.

3. 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.

Every organization needs advanced problem solvers who can lead timely and effective issue-resolutions and prevent their recurrence. Developing facilitators goes hand-in-hand with building new capabilities in an organization. Adoption of new skills is a driver of results. Better problem solving skills is key to achieving maximum ROI around any initiative to improve quality within an organization. Problem-solving facilitators can help others transition new skills to the workplace and lead teams charged with resolving complex issues in a timely fashion.

Focus on Countermeasures Not Solutions to Problems

Inherently, in Lean problem solving is the heart of what we do. Murphy’s law is an adage that broadly states: "Anything that can go wrong will go wrong." It is therefore inevitable that businesses must solve problems. Organizations cannot improve unless they consistently seek out and solve their problems. But are your focused on the right thing. 

One element of the Toyota Production System that has not gained much traction is the practice of addressing problems with countermeasures instead of solutions.  It is misunderstood by many people that the tools will lead to the development of a solution to the root cause of a problem.  Organizations are highly complex systems and it is naive to think that any of the problems they face result from a single root cause or can be resolved by a single solution. 

When all of the factors and interactions that can influence work are understood, it becomes clear that the best we can do is attack problems by addressing as many of the perceived causes as possible with the idea that we may never permanently fix the issue.  Because of this, remaining competitive requires continually developing and implementing measures to improve processes and accept the fact that some of the problems the organization faces may never completely disappear. 

Within Lean, virtually every action, tool, or system is considered a countermeasure rather than a solution in an effort to prevent the mindset that changes are, in any way, permanent resolutions to problems. Although some action may, in fact, be permanent solutions to a problem, acting in this way can lead to static thinking and interfere with the development of better methods in the future. 

This is a difficult concept for many to accept because of the importance our culture places on solving problems.  Countermeasures can, at first glance, appear to be nothing more than temporary fixes to problems rather than permanent solutions – which is counter to what organizations are trying to achieve with Lean.  In reality though, it is just the opposite, because a solutions thinking mindset can give a false sense of security that a particular problem has, in fact, been eliminated.  This can be very dangerous down the road if a problem that the team thinks it resolved returns. 

This is not to say that a countermeasure approach focuses on symptoms of a problem rather than the root causes.  The tools and methods associated with an effective kaizen process help a team get down to the root causes of a problem.  The difference with this line of thinking, however, is the concept that there are several potential root causes to any problem and that actions taken to address a problem are based on what is known today with whatever information is currently available.  As the environment changes, the problem can reappear as a result of new or different interactions that were not known at the time it was last studied.  Although the initial countermeasures were valuable to the company, the team needs to continue its efforts to assure performance remains stable or continues to improve. 

Rarely is there a silver bullet in Lean when improving processes. That is why in the Lean language we do not like to use the term “solutions,” implying fixed and done. In the Lean vocabulary, we prefer “countermeasures,” which must be implemented with a good PDCA cycle. 

5 Ways to Cultivate a Problem Solving Culture

Organizations cannot improve unless they consistently seek out and solve their problems. For most, that means undertaking a profound cultural change— which must begin from the top. So how can leaders unlock their organization’s problem-solving capacity? From my experience with many companies, there are 5 ways to cultivate a problem solving culture.

Teach problem solving skills in ALL areas! Problem solving skills do not necessarily develop naturally; they need to be explicitly taught in a way that can be transferred across multiple settings and contexts. This skill can be applied in everything we do. Let your employees see this and understand that problem solving is a life long skill. It is something that they will continue to use at work in their professional lives and at home their personal lives.

Model… Model… Model! Problem solving is not an easy task. It is challenging, can be time consuming, requires employees to be flexible and to persevere. {It is not for the faint of heart… LOL} In your daily classroom routines show your students that you can be patient when solving problems. Share your thinking aloud with them so that they are able to make connections between your actions and each of the 5 steps previously mentioned.

Help employees verbalize and record their problems. Make sure that their ideas are clear and concise and that they have listed some sort of goal that they have in mind. In order for employees to be able to solve problems, they first must be able to identify what the problem is. And although this sounds easy, it is actually a difficult task. You can begin by asking employees “What?” and “Why?” questions. Have them work through their own problem and come up with possible solutions. Encouraging employees to take an active role in the decision making process can be quite empowering.

Take your time! This is not something that will happen overnight! Employees are going to need ample time to think, collaborate, come up with and test solutions, correct mistakes, and reflect. Begin with whole company discussions where you model the steps of problem solving. Then you can move on to small groups, peers, and eventually independent problem solving.  Don’t give up! Start small…

Don’t do it for them. Ask questions and make suggestions, but be careful NOT TO TAKE CONTROL! Whenever an employee comes up to you with a problem don’t give them the answer. (Trust me this is going to be hard at first! Instead try “What do you think?”, “Do you have any suggestions?”, “Tell me about this…”) Try encouraging them to ask other before you. Have employees ask their peers when they have a question. This will promote collaboration and problem solving. 

Our role as leaders is to support our employees and to encourage questioning and deep thinking. We must demonstrate to them that it is okay to make mistakes and that we believe that mistakes are a natural part of the learning process.  Mistakes are useful and should not be discouraged! We should also aim to create a culture in our company in which everyone’s ideas are valued and respected. We are to foster collaboration and open discussions in which employees feel comfortable enough to share their ideas and opinions freely.

Now it’s time for you to put all of this into practice…

6 Steps to Better Problem Solving Skills

Problem solving is at the core of human evolution. It is the methods we use to understand what is happening in our environment, identify things we want to change and then figure out the things that need to be done to create the desired outcome. Problem solving is the source of all new inventions, social and cultural evolution, and the basis for market based economies. It is the basis for continuous improvement, communication and learning.

The following steps are critical aspects of an effective problem solving approach:

1. Define the problem clearly.

Before beginning, make sure you completely understand exactly what the problem is. Sometimes it looks like there’s a lot of problems, but it’s actually just one with a lot of symptoms. Try to find the root cause of a problem instead of looking at a myriad of symptomatic issues. Ask questions like these:

–  What is the real problem?

–  What assumptions am I making that could be biased or inaccurate?

–  Where’s the latest information/research/data on this subject?

–  How long do I have before this becomes a bigger issue?

–  Can I ignore this problem?

–  Who and what can help solve this?

2. Gather as many facts as possible.

Collect information based on evidence… not on feelings. It’s easier to come up with problem-solving strategies when you’re not emotionally charged. An informed mind is much more capable of resolution than an uninformed one. Observe what is going right, or the positive aspects of the subject at hand, and to see if it gives ideas of how to fix what’s going wrong. Then, do the same with the negative aspects. Write them down.

3. Identify causes… especially the root cause.

Consider how and why it happened. Look at the problem from different perspectives. Play the devil’s advocate. It wouldn’t be considered a ‘problem’ if you knew how to solve it. This is why it’s imperative to consider other views and opinions. Others may see it differently.

4. Brainstorm solutions.

Before brainstorming, make sure you’ve clearly defined the problem and gathered solid facts. Ask others for input. Often how others view something is completely different than how you viewed it because you might be too close, tunnel-visioned, or too emotionally charged to make distinctions between the facts and exaggerations.

5. Take actions that are focused on a solution.

Select your solution and begin making a step-by-step plan of action to solve the problem. By making a plan, this promotes implementation of the solution. Remember to remain focused on one thing at a time.

6. If you can’t find a solution, go back and define what the problem is.

When problems cannot be solved, it is usually because they weren’t clearly identified. Anytime you hear someone say they’ve been dealing with a problem for quite some time, often the reason is because they haven’t slowed down long enough to carefully define the actual problem.

Problem solving skills and the problem-solving process are a critical part of daily life both as individuals and organizations. Developing and refining these skills through training, practice and learning can provide the ability to solve problems more effectively and over time address problems with a greater degree of complexity and difficulty.

Forget Resolutions, 4 More Effective Steps to HIt Goals

With the hustle of the holidays over we turn to the New Year, where many individuals are honing in on their New Year’s resolution. For many, it may be an opportunity to assess their struggles of the previous year or to wallow in their triumphs. Unfortunately, many fail to keep those resolutions. 

Personally I recommend forgetting the whole concept of resolutions and concentrating on setting goals instead. The solution is to have a process that you follow when you need to make a change or solve a problem; A process that will ensure you plan, test and incorporate feedback before you commit to implementation. 

A popular tool for doing just this is the Plan-Do-Check-Act Cycle. This is often referred to as the Deming Cycle or the Deming Wheel after its proponent, W Edwards Deming. A closed loop system, it emphasizes four repetitive steps: 

First, start with an idea and create a PLAN to make it happen. 
Then, DO adhere to the plan, and take corrective action when necessary. Next, analyze and CHECK progress toward your goal and identify the root causes of obstacles. 
Finally, take appropriate ACTion. If the outcome matches expectations, then standardize the process to maintain the gains. If the results were disappointing, then modify the process to eliminate the root cause of remaining problems. In either case, repeat the process starting again with PLAN. 

While these steps appear in a linear sequence, when implemented the phases are best thought of as concurrent processes that can continually be improved. This is the key to seeing your resolution through to the end. 

It is important to remember as you start 2019 you begin with a vision of what you want to accomplish. Whether it is a personal New Year's resolution or a new business objective you need to set a goal or target condition. Lawrence J. Peter said, “If you don't know where you are going, you will probably end up somewhere else.” 

Resolutions and goal setting may seem similar, but resolutions typically take a let's start something and see what happens approach, while goal setting is about planning a specific path to success. Keeping your resolution isn't easy but, following the PDCA cycle will yield better results and sustained improvements. Taking the time to plan, check, and act will pay dividends. 

Learning is the Secret of Innovation (and Lean)

A growing number of organizations are embracing lean principles. The lean practitioner is responsible for satisfying demand in ever more productive ways by reducing waste along the value chain. Organizations that succeed with lean realize compelling economic benefits and competitive advantage. Reducing waste equates to reducing costs in ways that allow them to maintain and increase customer satisfaction.


However, lean works to the extent that people in the organization commit to understanding the right problems to solve. Work then becomes an exercise in learning by experimentation, as the community members, including customers, engage with one another to reflect and act on those activities that provide authentic forms of value.

Innovation can be a company’s best strategic advance, especially in today’s competitive and crowded marketplace. However, for the innovation to occur, most companies have to be willing to embrace the risk of potential failure. Employees may be afraid to offer insight and new ways of doing things because the company culture doesn't support them. If you really want to empower employees, you'll need to create a company culture that encourages and rewards innovation. You may start by asking individuals to look for ways to improve efficiency, output, safety, etc. in the tasks they perform every day. Actually, this kind of an approach across the company always has to start with the tone at the top – if employees see their manager taking risks and testing new ideas, they are more likely to follow suit.

Foster innovation by challenging assumptions about what can and cannot be done. When employees come to you with an idea or a solution to a problem they believe is for the betterment of the company, it’s a sign that they care. Supporting new ideas and giving an individual the chance to ‘run with it’ is motivating, whether or not it works out in the end.

React to mistakes and failures in a way that shows that you condone risk-taking. Give your support, provide resources, and remove barriers to change. Approach problems as learning opportunities. Think twice when people agree with you; show you value independent thinking and reward people who challenge you.

As ideas cannot be shared without honest and open communication, encourage your employees to say a thing or two about company’s latest projects. Communication always takes time, so adequate time and place for discussion and meetings must be apportioned into the normal schedule.

Innovation initiatives and Lean complement one another when you consider the fundamentals they share. Progressive organizations that seek ever higher levels of productivity assign a high value to the benefits that come from creating an environment where all the members actively engage in continual reflection on and experimentation to solve problems that get in the way of satisfying demand.

Five Guidelines on Effective 5 Why Analysis

Asking why 5 times: “the 5 Whys”, is a simple but powerful tool to use with any problem solving activity. It’s a technique to help you get past the symptoms of a problem, and to find its root causes. Simply ask the question “why” up to five times. 

Sakichi Toyoda, one of the fathers of the Japanese industrial revolution, developed the technique in the 1930s. He was an industrialist, inventor and founder of Toyota Industries. His method became popular in the 1970s, and Toyota still uses it to solve problems today.

Taiichi Ohno gave this example about a machine that stopped working (Ohno 1988, p. 17):

1. Why did the machine stop?
There was an overload and the fuse blew.

2. Why was there an overload?
The bearing was not sufficiently lubricated.

3. Why was it not lubricated?
The lubrication pump vs not pumping sufficiently.

4. Why was it not pumping sufficiently?
The shaft of the pump was worn and rattling.

5. Why was the shaft worn out?
There was no strainer attached and metal scarps got in.

Without repeatedly asking why, we would likely replace the fuse or pump and the failure would recur. Keep asking why until the root cause is reached and eliminated.

Here are some guidelines to doing a 5 Why analysis correctly:

Five is not a set in stone number. It’s not the guaranteed magic number.  It does usually force you to push deeper than most feel comfortable, in most cases.   Think about it like this.  It might be something that takes asking why seven or eight times or maybe three is adequate.  The key point is to not just accept the first answer to the question: Why did XX happen, because it’s probably a symptom of a deeper cause, so you have to keep asking why until you get out of the symptom level and into the root cause level.

Take time to do it right. Don’t think you need to gather everyone to have one meeting and finish it by the end of the meeting.  All possibilities in the brainstorming activity should be investigated and validated as true or not.  This quite possibly will require team members to seek out more information and report back.  There’s nothing wrong with this.  I’d advise to not let this turn into an excessive break in the problem solving process, especially in more urgent matters.

Brainstorm with a group. Unless you’re a one person business, take advantage of the different points of views of the team.  Always include the person that is the closest to the problem, this is usually an employee from the floor.  I don’t know how many times I’ve seen a group of managers or engineers argue about a theoretical cause while ignoring the fact that the person that was physically present during the problem probably knows exactly what happened.

Don’t punish employees for telling the truth. Many times they will have information, but with-hold it in fear of getting in trouble for not doing or saying something earlier.  This is why Lean can only truly exist if a “blame free environment” is created.

Look at things from different perspectives. Examine every detail.  Don’t assume that something is happening correctly, verify that it is.  Think about the cause of the problem form outside of the proverbial box.   After all, the solution is unknown at this point, so the cause could be absolutely anywhere, even in the most likely of places.

Bonus Tip:
Get out of the office. The Japanese term Genchi Genbutsu means to go to the place where the work is done.  Ask questions.  Observe the work for a while.  Look at data that is relevant to tracking down clues.  You may have to ask for some additional data to temporarily be collected if needed.  
5-Why analysis is more than just an iterative process or a simple question asking activity. The purpose behind a 5-why analysis is to get the right people in the room discussing all of the possible root causes of a given defect in a process.

Many times teams will stop once a reason for a defect has been identified. These conclusions often do not get to the root cause. A disciplined 5-why approach will push teams to think outside the box and reach a root cause where the team can actually make a postive difference in the problem, instead of treating symptoms.