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SIP Annex 8 - Root Cause Analysis Overview

This document provides an overview of conducting a root cause analysis in two steps: 1. Identify possible root causes of problems or low performance using tools like fishbone diagrams, why-why diagrams, or problem trees. Root causes are the deepest underlying reasons for issues. 2. Prioritize the root causes by tallying how often they occur, using triangulation across multiple data sources, or a checklist of factors like controllability and impact. The highest priority root causes are the target of solutions.

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706 views

SIP Annex 8 - Root Cause Analysis Overview

This document provides an overview of conducting a root cause analysis in two steps: 1. Identify possible root causes of problems or low performance using tools like fishbone diagrams, why-why diagrams, or problem trees. Root causes are the deepest underlying reasons for issues. 2. Prioritize the root causes by tallying how often they occur, using triangulation across multiple data sources, or a checklist of factors like controllability and impact. The highest priority root causes are the target of solutions.

Uploaded by

allen
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
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Download as DOC, PDF, TXT or read online on Scribd
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ANNEX 8 Root Cause Analysis Overview

Root Cause Analysis Overview

Steps What you will need Tools Outputs


1. Synthesize  School and Any of the following: A diagram showing
identified possible community data  Fishbone Diagram the possible root
root causes  Flowchart of the  Why-why causes for each PIA
school processes Diagram
relevant to each  Problem Tree
PIA
 Documentation
from FGDs,
interviews or home
visits
2. Prioritize root  Step 1 Output Prioritization Rubrics List of priority root
causes causes for each Area
of Focus

STEP 1
In this step, we will identify the root causes of each area of focus. The root cause is the deepest underlying cause of problems within any process. This
process of identification is important because the solutions to be formulated depend on the correct diagnosis of the root causes. Kindly take note that
there are two (2) different causes, namely:
a. Direct Cause – a cause that directly affects an event or condition. Example: Fever causes Absenteeism. This type of cause is what
we want to address.
b. Indirect Cause – a cause that affects the direct cause which by itself is not sufficient to affect the event or condition. Example:
Poverty contributes to high malnutrition.
The usual approach to problem solving used by many is to come up with solutions based on preconceived ideas and assumptions about the existence of
the problem. Solutions may temporarily provide improvement but the problem eventually resurfaces since the root cause was not properly addressed.
Thus, the root cause analysis approach is necessary in meaningfully addressing the problem.

Root Cause Analysis is a structured and thorough review of the problem designed to identify and verify what is causing the problem. Performing Root
Cause Analysis requires transparency and no predetermined assumptions. Otherwise, it may lead you to ignore the real causes of the problem.

Once you have analyzed the performance indicators, school processes, and interviews with learners and stakeholders, you now have a validated list of
root causes. Congratulations! Once the root causes are identified, we organize these causes into a diagram. We suggest that you only use one tool to
make the diagram.

Sample problem:
A school wants to determine the root causes of their low performance in Grade 3 NAT. Below are examples of the application of the various suggested
tools:
ANNEX 8 Root Cause Analysis Overview

1. Fishbone Diagram

2. Why-why Diagram

Because
Because
teaching
students
and learning
are sick
experience is not engaging

3. Problem
Because
BecauseTree
ofstudents
contaminated
are always
water
absent

STEP 2

You can now synthesize


these root causes to help
you decide which root
cause to prioritize and
address. We suggest two
techniques to synthesize
the root causes.

Tallying
This technique is the
simplest and is easily
understood by
stakeholders. The
ANNEX 8 Root Cause Analysis Overview

synthesis can be done by counting the frequency of occurrence of a root cause. A high frequency count is a sign that there is high prevalence of the root
cause.

Triangulation
The Triangulation Technique can be used alone or together with Tallying. In Triangulation, we take advantage of different sources of data to support
validity of the root causes, if three or more data sources (e.g. EBEIS, Interview with the Child, FGD with Parents) identify the cause as direct, then we
have confidence that this cause is the possible cause of the area of focus. Please take note that you do not have to repeat the data analysis, interview,
and FGD for this technique.

Also, you can also use the checklist below to help you prioritize a root cause:

Checklist

If your answer is yes, you


should probably prioritize
o Is the root cause within your control? this root cause.
o Does the root cause cut across different
PIAs?
o Does solving the root cause result to school-
wide improvement?
o Do you have enough resources to address
the root cause?
o Is there sufficient time to think about the
solution of the root cause?

Root Cause
ANNEX 8 Root Cause Analysis Overview
ANNEX 8 Root Cause Analysis Overview

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