---
layout: default
title: RCA & CAPA
parent: Week 9
grandparent: Unit 3
nav_order: 2
---

# Root Cause Analysis (RCA) & Corrective and Preventive Action (CAPA)

When a non-conforming output is identified, our first instinct might be to blame the person most directly involved in creating it. However, effective quality management requires looking deeper. The root cause of quality issues often lies upstream in the process—in inadequate planning, unclear specifications, insufficient resources, or systemic problems that set workers up to fail.

Root cause analysis (RCA) helps us identify the true source of problems so we can address them effectively. When combined with corrective and preventive action (CAPA), RCA becomes a powerful tool for continuous quality improvement.

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## Understanding RCA & CAPA

Before exploring root cause analysis methods, you need to understand the foundational concepts of Corrective and Preventive Action (CAPA). Read the following two articles, which provide essential background for this week's work:

### Article 1: Mastering CAPA
**[Mastering CAPA: Your Guide to Corrective and Preventive Actions](https://iso-docs.com/blogs/iso-concepts/mastering-capa-your-guide-to-corrective-and-preventive-actions)** by Sneha Naskar

This article describes the structured procedure for conducting CAPA, including root cause analysis techniques like the "5 Whys" and Fishbone diagrams. The article explains how organizations use CAPA to address quality issues systematically and meet ISO 9001 requirements.

### Article 2: Differentiating Corrective and Preventive Action
**[Corrective and Preventive Action (CAPA): Definition, Example & Template](https://web.archive.org/web/20220528052805/https://pmstudycircle.com/corrective-and-preventive-action-capa/)** by Fahad Usmani, PMP

This article from the PM Study Circle clearly differentiates between corrective action (reactive - fixing problems that have occurred) and preventive action (proactive - stopping problems before they occur). The article provides examples and templates for implementing CAPA in practice.

### Key Concepts from the Readings

After reading both articles, you should understand:

**Corrective Action** addresses problems that have already occurred. According to ISO 9001, "The organization shall take action to eliminate the causes of nonconformities in order to prevent recurrence."

**Preventive Action** stops problems before they occur, based on experience or lessons learned. According to ISO 9001, "The organization shall determine action to eliminate the causes of potential nonconformities in order to prevent their occurrence."

| Corrective Action | Preventive Action |
|-------------------|-------------------|
| Error has occurred | Error has not yet occurred |
| Reactive process | Proactive process |
| Addresses current problem | Strengthens systems |
| Example: Fix equipment, rework deliverable | Example: Update processes, improve training |

**Note:** Table adapted from [Usmani, 2022](https://web.archive.org/web/20220528052805/https://pmstudycircle.com/corrective-and-preventive-action-capa/)

**Translation/Localization Example:**
- **Corrective Action:** A translation contains numerous terminology inconsistencies because the translator didn't receive the client's terminology database. Fix: Provide the terminology database to the translator for rework and ensure all current projects include proper terminology resources.
- **Preventive Action:** Update the standard project kickoff checklist to include terminology database verification, preventing this issue on all future projects.

### Reflection Questions

1. Why is it important to implement both corrective AND preventive actions rather than just fixing the immediate problem?
2. Can you think of a situation where implementing only corrective action without preventive action would lead to repeated problems?
3. How does preventive action relate to the concept of continuous improvement in quality management?

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## Root Cause Analysis Methods

As the [Naskar article](https://iso-docs.com/blogs/iso-concepts/mastering-capa-your-guide-to-corrective-and-preventive-actions) explains, root cause analysis helps us dig beneath surface-level symptoms to find the true source of problems. The article introduces two widely-used RCA techniques that we'll explore here: the 5 Whys and Fishbone Diagrams.

### The 5 Whys Technique

The 5 Whys is a simple but powerful questioning technique. By repeatedly asking "why" (typically five times, though the number may vary), we drill down from symptoms to root causes.

**Example:**
1. **Problem:** Translation was delivered two days late
2. **Why?** The editor needed extra time to complete editing
3. **Why?** The translation quality was below expectations with many errors
4. **Why?** The translator was unfamiliar with the subject matter
5. **Why?** The project was assigned based on availability rather than specialization
6. **Why?** The resource management system doesn't flag subject matter expertise

**Root Cause:** Resource assignment process doesn't adequately consider subject matter specialization

**Watch:** ["BEFORE You Do A 5 WHYS Root Cause Analysis Watch This..." by The Agile Business Analyst (2021)](https://youtu.be/zZRmCs7Dag8?si=onmSqGBpME_autAw)

### Fishbone Diagrams (Ishikawa Diagrams)

Fishbone diagrams help visualize multiple potential causes contributing to a problem. The "head" of the fish represents the problem, while the "bones" represent different categories of potential causes (typically: Methods, Machines, Materials, Measurements, People, and Environment).

This technique is particularly useful when problems have multiple contributing factors or when you need to involve a team in identifying potential causes.

**Watch:** ["Fishbone Diagrams" by The Western Region Public Health Training Center (2013)](https://youtu.be/2rLB-1z9cPY?si=3BSI8YxzVVL306uQ)

### ISO 9001 Requirements for CAPA

As both required articles explain, ISO 9001 (Section 10.2) establishes specific requirements that organizations must follow when addressing nonconformities:

- Identify root causes of nonconformities
- Implement corrective actions to prevent recurrence
- Evaluate the effectiveness of corrective actions taken
- Update processes and documentation as needed
- Retain documented information as evidence of actions taken

This systematic approach ensures that quality issues lead to genuine improvements rather than temporary fixes.

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## Root Cause Analysis in Translation & Localization

When translation quality issues arise, the immediate assumption is often that the translator made errors. However, effective root cause analysis frequently reveals that the true problem lies elsewhere in the production process. Poor translation quality is often a symptom, not a root cause.

### Common Root Causes in Translation Production

Quality issues in translation and localization can stem from many sources:

- **Inadequate project preparation:** Missing reference materials, unclear specifications, incomplete source text analysis
- **Resource misalignment:** Translator assigned without appropriate subject matter expertise or language specialization
- **Insufficient information:** Missing context about audience, purpose, or technical requirements
- **Timeline constraints:** Unrealistic deadlines that prevent thorough research or quality review
- **Tool and technology issues:** CAT tool problems, TM errors, terminology database inconsistencies
- **Communication breakdowns:** Queries not answered, stakeholder feedback not incorporated, specification changes not communicated
- **Process gaps:** Missing quality checkpoints, inadequate review stages, unclear approval workflows

The key insight is that when a translator produces low-quality work, the root cause may be:
- They weren't given adequate resources (glossaries, style guides, reference materials)
- They weren't the right person for the job (specialization mismatch)
- They weren't given sufficient time to do quality work
- They didn't receive answers to critical questions about the source text
- The specifications were unclear or contradictory

This is why root cause analysis must be conducted before assigning fault or implementing consequences like payment reductions. The translator may have been set up to fail by upstream problems in the production process.

### Activity: Translation Root Cause Analysis

The Multidimensional Quality Metrics (MQM) framework includes a comprehensive list of root cause errors that can lead to quality issues in translation and localization. This list serves as a diagnostic tool when conducting root cause analysis and can also help anticipate and prevent common errors.

#### Before You Begin

Visit [TheMQM.org Root Cause Errors](https://themqm.org/resources/root-causes) and review the complete root cause error list. As you review:

1. **Identify unfamiliar errors:** Which root cause errors are new to you? Research their meanings and implications.
2. **Consider missing errors:** What root cause errors might be missing from this list based on your understanding of translation production?
3. **Think downstream:** How do upstream root cause errors manifest later in the localization production workflow?
4. **Assess frequency:** Which root cause errors do you think occur most frequently in professional translation work?
5. **Note perspective:** From whose perspective is this root cause error list written? How does this perspective shape how errors are categorized?

#### Root Cause → Error → Action Analysis

For this activity, you'll contribute to a chart analyzing the relationship between root causes, their manifestations, and appropriate responses.

**Instructions:**

Fill in the class chart with the following columns:
- **Root Cause Error** (from MQM list)
- **How This Manifests in Translation** (what errors appear in the translated text)
- **Corrective Action** (how to fix the current problem)
- **Preventive Action** (how to prevent this from happening again)

Do at least **2-3 different root cause analyses**. Choose root causes from different categories to demonstrate breadth of understanding.

**For example:**

| Root Cause Error | How This Manifests in Translation | Corrective Action | Preventive Action |
|------------------|-----------------------------------|-------------------|-------------------|
| Missing or incomplete terminology database | Inconsistent translation of key terms throughout document; translator creates ad-hoc translations that don't match client's preferred terminology | Provide correct terminology database; have translator or editor update all instances to use approved terms; verify consistency in final review | Add terminology database delivery verification to project kickoff checklist; require account managers to confirm terminology resources with clients before project start; create fallback process for when terminology is unavailable |

### Reflection Questions

After completing your analysis:

1. What patterns do you notice about which root causes have the most severe downstream effects?
2. Which preventive actions require organizational or process changes versus which can be addressed by individual awareness?
3. How does understanding root causes change your perspective on translator responsibility for quality?
4. What role do project managers and quality managers play in preventing these root causes from affecting production?

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## Implementing CAPA: The Seven Steps

As outlined in the Naskar article and required by ISO 9001, implementing effective CAPA requires a structured approach with seven key steps:

1. **Define the Problem:** Identify whether it's a process issue or a problem with a specific deliverable
2. **Define the Scope:** Understand the context, analyze the problem, find its root cause, and assess its impact
3. **Containment Actions:** Take immediate measures to stop the problem, then develop a thorough plan for permanent resolution
4. **Identify the Root Cause:** Use techniques like fishbone diagrams, 5 Whys, or other RCA methods
5. **Plan the Action:** Develop a realistic plan with achievable deadlines that addresses the root cause (consider cost-benefit analysis for large issues)
6. **Take Action:** Implement the plan to address the nonconformity
7. **Follow-up and Verify:** Review the plan's effectiveness and make adjustments as necessary

This systematic approach, detailed in both required articles, ensures that quality issues are thoroughly addressed rather than superficially patched.

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## 📥 Download this Content
Find this file [on our repo](https://raw.githubusercontent.com/alainamb/uic_tr35-business-english-II/main/unit3/week9/root-cause-analysis.md) and download it.

### 🤖 GAI Study Prompts
Copy the downloaded content and try it with these prompts:
- "Walk me through conducting a 5 Whys analysis for [describe a quality problem]"
- "Help me create a fishbone diagram for analyzing why [specific translation/localization problem occurred]"
- "Explain the difference between corrective and preventive action with examples from [industry of your choice]"
- "Quiz me on identifying whether actions are corrective or preventive"
- "I've identified this root cause: [describe issue]. Help me develop both corrective and preventive actions to address it."
- "What are common mistakes people make when conducting root cause analysis, and how can I avoid them?"

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**Next Activity**: [Quality Improvement Plan Assignment](quality-improvement-assignment.md)