This Tip discusses why solutions to problems are ineffective and three cause-analysis techniques for getting to the root of a problem.
“When solving problems, dig at the roots instead of just hacking at the leaves.” Anthony J. D’Angelo
Reasons Why Solutions to Problems are Often Ineffective
There are many reasons why solutions to problems are often ineffective, such as the fact that they:
They Address Symptoms and are Subjective
1. address symptoms rather than the real problem.
2. are based on insufficient or inaccurate information.
3. are made for subjective rather than objective reasons.
4. are made for the sake of expediency.
5. fix only one part of a larger problem.
6. are based on the wrong root cause.
They are Unrealistic and Based on Assumptions
7. are unrealistic.
8. are the wrong solutions for the real problem.
9. do not consider all of the contributing factors.
10. are beyond the scope of those who have to implement them.
11. solve the wrong problem.
12. are based on assumptions.
Getting to the Root of a Problem
However, there are three different cause-analysis techniques that can help to focus in on the true causes, or roots, of a problem:
(1) is/is not matrix,
(2) cause and effect diagram, and
(3) top-down flow chart.
Three Different Cause-Analysis Techniques
The is/is not matrix pinpoints when and where a problem exists or does not exist. It is helpful when there is a sense that a problem is all-encompassing, when in fact it might be localized and easier to solve.
The cause and effect diagram is often referred to as the fishbone because it looks like one. This identifies and organizes possible causes of a problem. It is helpful when there is a sense that the problem is very general. That makes it difficult to determine how to approach its solution. Of the three techniques, this is the one that is most familiar.
The top-down flow chart identifies the major sequential steps in a process. It does this in order to determine which step was overlooked, resulting in the problem. It is helpful when the problem appears to be the result of a process.
Each technique can be used independently or in concert with another technique. All techniques can save decision-makers from selecting solutions that are based on assumptions.
Here are examples of the is/is not matrix and top-down flow chart. Since the cause and effect diagram is well known, I have not provided an example for that technique.
1. Is/Is Not Matrix:
Defines when and where the problem occurs, assuming it doesn’t occur all the time and everywhere.
This is a good technique to pinpoint a problem by exposing when it does and does not occur. The matrix questions help to organize existing knowledge and information about the problem. Using this technique first to identify the problem can help focus additional problem analysis.
Example:Let us assume that the problem is initially defined as “not enough time to do what needs to be done.” In order to define the problem, we have to find out when this problem exists and when it does not exist. It appears that it affects a few people on specific occasions. This means that other staff might be available to help out. Without this information, the obvious solution might be to hire more staff.
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Is
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Is Not
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Therefore, we can conclude…
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Who is involved
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X, Y and Z staff
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All staff
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Only X, Y and Z are affected
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When it occurs
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Certain times of month.
Right after staff turnover.
Staff not trained.
Implement new procedures.
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All the time.
When fully staffed.
Once procedures in place.
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Only certain times.
Only when changes
involved.
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Where it occurs
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Certain sections.
Certain units/ depts.
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All sections.
All units/ departments.
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Staff assistance may be available from other sections or units/depts.
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How it occurs
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Staff get overworked.
Staff get stressed
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Work left undone.
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Staff is able to generate the work at the expense of health and over time.
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2. Cause and Effect Diagram:
Identifies and organizes contributing factors that may better define the problem.
We use this technique to identify and organize possible causes of the problem or factors needed to address it. It is most effective after the problem has been well defined. However, the problem that we initially identify is frequently revised after we start discussing the contributing branches. The diagram provides a pictorial display of a list and shows the relationships between factors.
3. Top Down Flow Chart:
Identifies and analyzes the logical steps in a process to determine if we overlooked one or more.
This technique provides a picture of the major sequential steps in a process. It enforces logical thinking to identify the major steps necessary to accomplish a goal. We can then analyze the chart to determine if we overlooked steps that therefore resulted in the problem under investigation.
Example: Let us assume that we initially define the problem as “poorly trained staff.” In order to define the problem, we need to identify the steps and substeps that would logically be involved in planning and implementing the change that the staff are expected to implement. In this situation, it appears that the organization jumped from Step 1 to Step 5. Without this information, the solution might be to blame and train staff again. This will not solve the real problem: the lack of systems to support the desired changes.
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Step #1: Identify the
desired change
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Step #2: Identify the
implementation
needs
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Step #3: Assess the
available resources
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Step #4: Develop an
implementation plan
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Step #5: Implement
and monitor the plan
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1. Assess the
situation
2. Define the
problem
3. Identify
alternatives
4. Assess the
alternatives
5. Decide to
make a
change
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1. Analyze the
change
2. Identify the
impact
of change
3. Determine
needed
resources
to implement
change
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1.Investigate
resources
2. Identify
available
resources
3. Evaluate
them
4. Identify
gaps
5. Specify
additional
resource
needs
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1. Identify
steps to
make the
change
2. Define time
line
3. Specify task
assignments
4. Develop
budget
5. Define
controls
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1. Implement
plan
2. Implement
controls
3. Assess
progress
4. Identify
problems
5. Analyze
problems
6. Solve
problems
7. Monitor
activities
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Have you used these cause-analysis techniques? Any tips?
May your learning be sweet.
Deborah
