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Root Cause Analysis: What It Is & How to Perform One

• 07 Mar 2023

The problems that affect a company’s success don’t always result from not understanding how to solve them. In many cases, their root causes aren’t easily identified. That’s why root cause analysis is vital to organizational leadership .

According to research described in the Harvard Business Review , 85 percent of executives believe their organizations are bad at diagnosing problems, and 87 percent think that flaw carries significant costs. As a result, more businesses seek organizational leaders who avoid costly mistakes.

If you’re a leader who wants to problem-solve effectively, here’s an overview of root cause analysis and why it’s important in organizational leadership.

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What Is Root Cause Analysis?

According to the online course Organizational Leadership —taught by Harvard Business School professors Joshua Margolis and Anthony Mayo— root cause analysis is the process of articulating problems’ causes to suggest specific solutions.

“Leaders must perform as beacons,” Margolis says in the course. “Namely, scanning and analyzing the landscape around the organization and identifying current and emerging trends, pressures, threats, and opportunities.”

By working with others to understand a problem’s root cause, you can generate a solution. If you’re interested in performing a root cause analysis for your organization, here are eight steps you must take.

8 Essential Steps of an Organizational Root Cause Analysis

1. identify performance or opportunity gaps.

The first step in a root cause analysis is identifying the most important performance or opportunity gaps facing your team, department, or organization. Performance gaps are the ways in which your organization falls short or fails to deliver on its capabilities; opportunity gaps reflect something new or innovative it can do to create value.

Finding those gaps requires leveraging the “leader as beacon” form of leadership.

“Leaders are called upon to illuminate what's going on outside and around the organization,” Margolis says in Organizational Leadership , “identifying both challenges and opportunities and how they inform the organization's future direction.”

Without those insights, you can’t reap the benefits an effective root cause analysis can produce because external forces—including industry trends, competitors, and the economy—can affect your company’s long-term success.

2. Create an Organizational Challenge Statement

The next step is writing an organizational challenge statement explaining what the gap is and why it’s important. The statement should be three to four sentences and encapsulate the challenge’s essence.

It’s crucial to explain where your organization falls short, what problems that poses, and why it matters. Describe the gap and why you must urgently address it.

A critical responsibility is deciding which gap requires the most attention, then focusing your analysis on it. Concentrating on too many problems at once can dilute positive results.

To prioritize issues, consider which are the most time-sensitive and mission-critical, followed by which can make stakeholders happy.

3. Analyze Findings with Colleagues

It's essential to work with colleagues to gain different perspectives on a problem and its root causes. This involves understanding the problem, gathering information, and developing a comprehensive analysis.

While this can be challenging when you’re a new organizational leader, using the double helix of leadership —the coevolutionary process of executing organizational leadership's responsibilities while developing the capabilities to perform them—can help foster collaboration.

Research shows diverse ideas improve high-level decision-making, which is why you should connect with colleagues with different opinions and expertise to enhance your root cause analysis’s outcome.

4. Formulate Value-Creating Activities

Next, determine what your company must do to address your organizational challenge statement. Establish three to five value-creating activities for your team, department, or organization to close the performance or opportunity gap you’ve identified.

This requires communicating organizational direction —a clear and compelling path forward that ensures stakeholders know and work toward the same goal.

“Setting direction is typically a reciprocal process,” Margolis says in Organizational Leadership . “You don't sit down and decide your direction, nor do you input your analysis of the external context into a formula and solve for a direction. Rather, setting direction is a back-and-forth process; you move between the value you'd like to create for customers, employees, investors, and your grasp of the context.”

5. Identify Necessary Behavior Changes

Once you’ve outlined activities that can provide value to your company, identify the behavior changes needed to address your organizational challenge statement.

“Your detective work throughout your root cause analysis exposes uncomfortable realities about employee competencies, organizational inefficiencies, departmental infighting, and unclear direction from leadership at multiple levels of the company,” Mayo says in Organizational Leadership .

Factors that can affect your company’s long-term success include:

• Ineffective communication skills
• Resistance to change
• Problematic workplace stereotypes

Not all root cause analyses reveal behaviors that must be eliminated. Sometimes you can identify behaviors to enhance or foster internally, such as:

• Collaboration
• Innovative thinking
• Creative problem-solving

6. Implement Behavior Changes

Although behaviors might be easy to pinpoint, putting them into practice can be challenging.

To ensure you implement the right changes, gauge whether they’ll have a positive or negative impact. According to Organizational Leadership , you should consider the following factors:

• Motivation: Do the people at your organization have a personal desire for and commitment to change?
• Competence: Do they have the skills and know-how to implement change effectively?
• Coordination: Are they willing to work collaboratively to enact change?

Based on your answers, decide what behavior changes are plausible for your root cause analysis.

7. Map Root Causes

The next step in your analysis is mapping the root causes you’ve identified to the components of organizational alignment. Doing so helps you determine which components to adjust or change to implement employee behavior changes successfully.

Three root cause categories unrelated to behavior changes are:

• Systems and structures: The formal organization component, including talent management, product development, and budget and accountability systems
• People: Individuals’ profiles and the workforce’s overall composition, including employees’ skills, experience, values, and attitudes
• Culture: The informal, intangible part of your organization, including the norms, values, attitudes, beliefs, preferences, common practices, and habits of its employees

8. Create an Action Plan

Using your findings from the previous steps, create an action plan for addressing your organizational problem’s root cause and consider your role in it.

To make the action plan achievable, ensure you:

• Identify the problem’s root cause
• Create measurable results
• Ensure clear communication among your team

“One useful way to assess your potential impact on the challenge is to understand your locus of control,” Mayo says in Organizational Leadership , “or the extent to which you can personally drive the needed change or improvement.”

The best way to illustrate your control is by using three concentric circles: the innermost circle being full control of resources, the middle circle representing your ability to influence but not control, and the outermost circle alluding to shifts outside both your influence and control.

Consider these circles when implementing your action plan to ensure your goals don’t overreach.

The Importance of Root Cause Analysis in Organizational Leadership

Root cause analysis is a critical organizational leadership skill for effectively addressing problems and driving change. It helps you understand shifting conditions around your company and confirm that your efforts are relevant and sustainable.

As a leader, you must not only effect change but understand why it’s needed. Taking an online course, such as Organizational Leadership , can enable you to gain that knowledge.

Using root cause analysis, you can identify the issues behind your organization’s problems, develop a plan to address them, and make impactful changes.

Are you preparing to transition to a new leadership role? Enroll in our online certificate course Organizational Leadership —one of our leadership and management courses —and learn how to perform an effective root cause analysis to ensure your company’s long-term success. To learn more about what it takes to be an effective leader, download our free leadership e-book .

About the Author

Root cause analysis (RCA) is the quality management process by which an organization searches for the root of a problem, issue or incident after it occurs.

Issues and mishaps are inevitable in any organization, even in the best of circumstances. While it could be tempting to simply address symptoms of the problem as they materialize, addressing symptoms is an inherently reactive process that all but guarantees a recurring—and often worsening—series of problems.

Ethical, proactive, well-run companies and organizations with a reactive approach will both encounter problems, but the former will experience fewer and recover faster because they prioritize root cause analyses.     

Root cause analysis helps organizations decipher the root cause of the problem, identify the appropriate corrective actions and develop a plan to prevent future occurrences. It aims to implement solutions to the underlying problem for more efficient operations overall.

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Organizations perform root cause analyses when a problem arises or an incident occurs, but there are any number of issues that need an RCA. Triggers for a root cause analysis fall into three broad categories.

When real-world materials or equipment fails in some way (for example, a desktop computer stops working or a component from a third-party vendor delivers substandard performance).

When people make mistakes or fail to complete required tasks (for example, an employee fails to perform regular maintenance on a piece of equipment, causing it to break down).

A breakdown in a system, process or policy people use to make decisions (for example, a company fails to train team members on cybersecurity protocols, leaving the company vulnerable to cyberattacks ).

Organizations can conduct root cause analyses for a range or reasons, from commonplace email service disruptions to catastrophic equipment failures. Regardless of the nature or scope of the issue, performing root cause analysis should include the same fundamental steps.

If you have decided to conduct a root cause analysis, your department or organization is likely experiencing some acute issue, or at least looking to make substantive improvements to a particular process. Therefore, the first step of the root cause analysis process should be identifying and defining the problem that you want to address. Without a clearly defined problem, it is impossible to correctly identify the root causes.

When the department has a clear idea of the problem, it’s time to draft a problem statement spelling out the issue for everyone who will help with the RCA.

Once the issue is identified and clearly articulated to all involved parties, leadership should create a project charter, which will assemble a team to complete the analysis. The team should include a facilitator to lead the team through the analysis and any team members with either personal or professional knowledge of the systems, processes and incidents that you will investigate.

Data collection is the foundation of the problem-solving process. It is vital, at this stage, to find every piece of information that can help you identify contributing factors and ultimately the root causes of the issue. This can include collecting photographs and incident reports, conducting interviews with affected parties and reviewing existing policies and procedures. Some questions that you may want to ask during data collection:

• When did the problem start and how long has it been going on?
• What symptoms has the team observed?
• What documentation does the organization or department must prove that an issue exists?
• How will the issue affect employees and other stakeholders?
• Who is harmed or otherwise affected by the existence of this problem?

This is the most important step in the RCA process. At this point, the team has collected all necessary information and starts to brainstorm for causal factors. Effective root cause analyses require openness to all potential underlying causes of an issue, so everyone on the RCA team should enter the brainstorming stage with an open mind. Avoid attempts to determine root causes until every possibility is identified and vetted; starting the incident investigation process with preconceived notions may bias the results and make it more difficult to determine the real root cause.

Once the RCA team has an exhaustive list of possible causes and contributing factors, it is time to determine the root causes of the issue. Analyze every possible cause and examine the actual impact of each one to figure out which possibilities are the most problematic, which ones have similarities and which ones can be altogether eliminated. Be prepared for the possibility that there are multiple root causes to the issue.

After the team narrows the list of possibilities, rank the remaining potential root causes by their impact and the likelihood they are the root cause of the problem. Leadership will examine and analyze each possibility and collaborate with the RCA team to determine the actual root causes.

Once the team settles on root causes and has laid out all the details of the issue, they must start brainstorming solutions. The solution should directly address the root causes, with consideration for the logistics of executing the solution and any potential obstacles the team may encounter along the way. These elements will comprise the action plan that will help the team address the current problem and prevent recurrences.

While all RCAs will include the same basic steps, there are myriad root cause analysis methods that can help an organization collect data efficiently and effectively. Typically, a company will select a method and use root cause analysis tools, such as analysis templates and software, to complete the process.

The 5 Whys approach is rooted in the idea that asking five “Why?” questions can get you to the root cause of anything. 5 Whys implores problem solvers to avoid assumptions and continue to ask “why” until they identify the root cause of a problem. In the case of a formalized organizational root cause analysis, a team may only need to ask three whys to find the root cause, but they may also need to ask 50 or 60. The purpose of 5 Whys is to push the team to ask as many questions as is necessary to find the correct answers.

A failure mode and effects analysis is one of the most rigorous approaches to root cause analysis. Similar to a risk analysis, FMEA identifies every possibility for system/process failure and examines the potential impact of each hypothetical failure. The organization then addresses every root cause that is likely to result in failure.

Pareto charts combine the features of bar charts and line charts to understand the frequency of the organization’s most common root causes. The chart displays root causes in descending order of frequency, starting with the most common and probable. The team then addresses the root cause whose solution provides the most significant benefit to the organization.

An impact analysis allows an organization to assess both the positive and negative potential impacts of each possible root cause.

Change analyses are helpful in situations where a system or process’s performance changed significantly. When conducting this type of RCA, the department looks at how the circumstances surrounding the issue or incident have changed over time. Examining changes in personal, information, infrastructure, or data, among other factors, can help the organization understand which factors caused the change in performance.

An event analysis is commonly used to identify the cause of major, single-event problem, like an oil spill or building collapse. Event analyses rely on quick (but thorough) evidence-gathering processes to recreate the sequence of events that that led to the incident. Once the timeline is established, the organization can more easily identify the causal and contributing factors.

Also known as a causal factor analysis, a causal factor tree analysis allows an organization to record and visually display—using a causal factor tree—every decision, event or action that led to a particular problem.

An Ishikawa diagram (or Fishbone diagram) is a cause-and-effect style diagram that visualizes the circumstances surrounding a problem. The diagram resembles a fish skeleton, with a long list of causes grouped into related subcategories.

DMAIC is an acronym for the Define, Measure, Analyze, Improve and Control process. This data-driven process improvement methodology serves as a part of an organization’s Six Sigma practices.

This RCA methodology proposes finding the root cause of an issue by moving through a four-step problem solving process. The process starts with situation analysis and continues with problem analysis and solution analysis, concluding with potential problem analysis.

An FTA allows an organization to visually map potential causal relationships and identify root causes using boolean logic.

Barrier analyses are based on the idea that proper barriers can prevent problems and incidents. This type of RCA, often used in risk management, examines how the absence of appropriate barriers led to an issue and makes suggestions for installing barriers that prevent the issue from reoccurring.

Companies that use the RCA process want to put an end to “firefighting” and treating the symptoms of a problem. Instead, they want to optimize business operations, reduce risk and provide a better customer experience. Investing in the root cause analysis process provides a framework for better overall decision-making and allows an organization to benefit from:

Continuous improvement : Root cause analysis is an iterative process, seeking not only to address acute issues, but also to improve the entire system over time, starting with the underlying cause. The iterative nature of root cause analysis empowers organizations to prioritize continuous process improvement.

Increased productivity : Preventing downtime, delays, worker attrition and other production issues within an organization saves employees time, freeing up bandwidth to focus on other critical tasks.

Reduced costs : When equipment breaks down or software bugs cause delays, organizations lose money and workers get frustrated. Root cause analysis helps eliminate the cost of continually fixing a recurring issue, resulting in a more financially efficient operation overall.

Better defect detection : When companies fail to address underlying issues, they can inadvertently affect the quality of the end product. Addressing persistent problems before they snowball protects the organization from revenue and reputational losses that are associated with product defects down the line.

Reduced risks : Improving business processes and systems keeps equipment running safely and helps workers avoid safety hazards in the workplace.

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What Is Root Cause Analysis and Why Is It Important?

If you’re a medical, dental, or veterinary professional, you may notice some recurrent issues in your practice that impact your team’s efficiency and patient satisfaction. You know you must make changes, but where do you start? This is where root cause analysis (RCA), a powerful problem-solving tool that can revolutionize how your organization tackles complex issues, comes in. If you’re not familiar with root cause analysis and why it’s important, keep reading to learn more.

What Is Root Cause Analysis?

Root cause analysis is a structured method used for identifying the underlying cause of a problem and addressing it to prevent its recurrence. It is a vital tool, as solving only the symptomatic aspect of a problem does not guarantee long-term sustainability, efficiency, or patient satisfaction. This is why understanding the core issue is essential.

Root Cause Analysis Steps

The process typically consists of several steps:

• Defining the problem: Clearly defining the identified issue is the first and most important step. Without a proper understanding of the problem, finding an effective solution is impossible. • Gathering data: Once you’ve identified the problem, collect relevant information to understand the situation. This may include interviewing team members, reviewing records, or conducting in-depth analyses of specific aspects of the problem. • Identifying possible causes: Using the data collected, pinpoint the potential underlying causes of the problem. At this stage, various root cause analysis techniques, such as "five whys," fishbone diagram, or failure mode and effect analysis (FMEA), can be beneficial. • Determining the root cause: Analyze the potential causes to identify the root cause or the core issue, which, once addressed, will prove to be most effective at preventing the recurrence of the problem. • Developing and implementing solutions: Once you identify the root cause, create and execute a plan to remedy the issue, implementing measures that will prevent the issue from re-emerging.

Importance of Root Cause Analysis

Now that you know what root cause analysis is, let’s explore why it’s important. There are two major types of RCA: corrective and preventive. Corrective RCA involves identifying and resolving the root causes of an existing problem, while preventive RCA focuses on identifying potential root causes of future issues and addressing them before they occur. By applying RCA effectively in both scenarios, your organization can enjoy a range of benefits, such as improved decision-making, reduced downtime, enhanced customer satisfaction, and limited accident and issue occurrences.

Now that you know what root cause analysis is and why it’s important, you can incorporate this process into your own practice. RCA is a critical tool for improving decision-making, reducing downtime, enhancing customer satisfaction, and limiting the occurrence of undesirable events, leading to ongoing success and growth for your organization. To learn more about root cause analysis and other OSHA practices, enroll in one of our online OSHA training courses from Gamma Compliance Solutions. Our training courses can help your business be more safe by bringing awareness to potential workplace hazards.

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Article • 8 min read

Root Cause Analysis

Tracing a problem to its origins.

By the Mind Tools Content Team

In medicine, it's easy to understand the difference between treating the symptoms and curing the condition. A broken wrist, for example, really hurts! But painkillers will only take away the symptoms; you'll need a different treatment to help your bones heal properly.

But what do you do when you have a problem at work? Do you jump straight in and treat the symptoms, or do you stop to consider whether there's actually a deeper problem that needs your attention? If you only fix the symptoms – what you see on the surface – the problem will almost certainly return, and need fixing over and over again.

However, if you look deeper to figure out what's causing the problem, you can fix the underlying systems and processes so that it goes away for good.

What Is Root Cause Analysis?

Root Cause Analysis (RCA) is a popular and often-used technique that helps people answer the question of why the problem occurred in the first place. It seeks to identify the origin of a problem using a specific set of steps, with associated tools, to find the primary cause of the problem, so that you can:

• Determine what happened.
• Determine why it happened.
• Figure out what to do to reduce the likelihood that it will happen again.

RCA assumes that systems and events are interrelated. An action in one area triggers an action in another, and another, and so on. By tracing back these actions, you can discover where the problem started and how it grew into the symptom you're now facing.

You'll usually find three basic types of causes:

• Physical causes – Tangible, material items failed in some way (for example, a car's brakes stopped working).
• Human causes – People did something wrong, or did not do something that was needed. Human causes typically lead to physical causes (for example, no one filled the brake fluid, which led to the brakes failing).
• Organizational causes – A system, process or policy that people use to make decisions or do their work is faulty (for example, no one person was responsible for vehicle maintenance, and everyone assumed someone else had filled the brake fluid).

RCA looks at all three types of causes. It involves investigating the patterns of negative effects, finding hidden flaws in the system, and discovering specific actions that contributed to the problem. This often means that RCA reveals more than one root cause.

You can apply RCA to almost any situation. Determining how far to go in your investigation requires good judgment and common sense. Theoretically, you could continue to trace the root causes back to the Stone Age, but the effort would serve no useful purpose. Be careful to understand when you've found a significant cause that can, in fact, be changed.

Frequently Asked Questions

Why is root cause analysis important.

RCA allows you to get to the true source of a problem, and stop it in its tracks. This is more effective than simply remedying the symptoms. By identifying and alleviating the root cause of a problem, you can prevent an issue from occurring again in the future.

What is the 5 Whys technique?

The 5 Whys is a common problem-solving technique. You simply ask "why" something is happening until you get to the source of the issue.

Though a useful tool in its own right, the 5 Whys method can be used during a Root Cause Analysis to help you quickly identify different causal factors of a problem.

What are the five steps of a root cause analysis?

RCA has five identifiable steps:

• Define the problem.
• Collect data.
• Identify causal factors.
• Identify root cause(s).
• Implement solutions.

Read on to learn how to carry out each step in your own root cause analysis.

How to Perform a Root Cause Analysis

Step one: define the problem.

Ask yourself the following:

• What do you see happening?
• What are the specific symptoms?

Step Two: Collect Data

• What proof do you have that the problem exists?
• How long has the problem existed?
• What is the impact of the problem?

You need to analyze a situation fully before you can move on to look at factors that contributed to the problem. To maximize the effectiveness of your RCA, get together everyone – experts and frontline staff – who understands the situation. People who are most familiar with the problem can help lead you to a better understanding of the issues.

A helpful tool at this stage is CATWOE . With this process, you look at the same situation from different perspectives: the Customers, the people (Actors) who implement the solutions, the Transformation process that's affected, the World view, the process Owner, and Environmental constraints.

Step Three: Identify Possible Causal Factors

• What sequence of events leads to the problem?
• What conditions allow the problem to occur?
• What other problems surround the occurrence of the central problem?

During this stage, identify as many causal factors as possible. Too often, people identify one or two factors and then stop, but that's not sufficient. With RCA, you don't want to simply treat the most obvious causes – you want to dig deeper.

5 Whys Root Cause Analysis

Use the 5 Whys tool to identify the root causes of a problem quickly. Just ask "Why?" until you reveal each causal factor.

If you need a more in-depth technique to identify possible factors, try these other tools that can help you dig further into each cause:

• Appreciation – Use the facts and ask "So what?" to determine all the possible consequences of a fact.
• Drill Down – Break down a problem into small, detailed parts to better understand the big picture.
• Cause and Effect Diagrams – Create a chart of all of the possible causal factors, to see where the trouble may have begun.

Step Four: Identify the Root Cause(s)

• Why does the causal factor exist?
• What is the real reason the problem occurred?

Use the same tools you used to identify the causal factors (in Step Three) to look at the roots of each factor. These tools are designed to encourage you to dig deeper at each level of cause and effect.

Step Five: Recommend and Implement Solutions

• What can you do to prevent the problem from happening again?
• How will the solution be implemented?
• Who will be responsible for it?
• What are the risks of implementing the solution?

Analyze your cause-and-effect process, and identify the changes needed for various systems. It's also important that you plan ahead to predict the effects of your solution. This way, you can spot potential failures before they happen.

One way of doing this is to use Failure Mode and Effects Analysis (FMEA). This tool builds on the idea of risk analysis to identify points where a solution could fail. FMEA is also a great system to implement across your organization; the more systems and processes that use FMEA at the start, the less likely you are to have problems that need RCA in the future.

Impact Analysis is another useful tool here. This helps you explore possible positive and negative consequences of a change on different parts of a system or organization.

Another great strategy to adopt is Kaizen , or continuous improvement. This is the idea that continual small changes create better systems overall. Kaizen also emphasizes that the people closest to a process should identify places for improvement. Again, with Kaizen alive and well in your company, the root causes of problems can be identified and resolved quickly and effectively.

Tips for Performing Effective Root Cause Analysis

Collaborate with other teams . Gain a diverse range of experiences and expertise by working with relevant people from other teams. They can likely offer different perspectives that will help to find the various causes of the problem.

Don’t play the blame game! Root cause analysis is a tool that helps you and your team overcome problems, but it shouldn’t be used to criticize or blame someone. Instead, try to create a blame-free culture, so that your co-workers feel confident in sharing ideas and insights. This will help you to diagnose the issue quickly and effectively.

Keep your questions open-ended. Leave any assumptions you have about the potential causes of the problem at the door. RCA is a chance to look at a problem with fresh eyes, so use open-ended questions as you work through the five steps. This will allow you to reveal things you didn’t already know, and find the most effective solution.

• Root Cause Analysis is a useful process for understanding and solving a problem.
• Figure out what negative events are occurring. Then, look at the complex systems around those problems, and identify key points of failure. Finally, determine solutions to address those key points, or root causes.
• You can use many tools to support your RCA process. Cause and Effect Diagrams and 5 Whys are integral to the process itself, while FMEA and Kaizen help minimize the need for RCA in the future.
• As an analytical tool, RCA is an essential way to perform a comprehensive, system-wide review of significant problems as well as the events and factors leading to them.

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What is Root Cause Analysis? Process, Example & Everything You Need to Know

• Written by Contributing Writer
• Updated on March 7, 2023

Root cause analysis (RCA) is a problem-solving methodology used to identify the underlying cause of a problem, incident, or adverse event. Simply put, it is pinpointing the root of the problem to solve and prevent it from happening again.

When faced with a problem, we usually try to get to the bottom of it. For example, in the unfortunate event that we break our bones, we would be in immense pain. We might take measures to control the pain and blood loss. But our efforts don’t stop at simply having a painkiller and applying a bandage. We rush to the ER as soon as possible, get the necessary treatment to mend the broken bones, and make sure we are careful not to have such an accident.

What we did here is we analyzed the problem: the pain and took steps to fix the root cause, which is the broken bones. Here the pain is the symptom, and the fractured bone is the root cause.

Now that we are familiar with what it stands for let us dive deep into root cause analysis, or RCA, which is the systematic approach employed in various industries like healthcare, manufacturing, governmental organizations, aviation, etc. We also examine its definition, history, benefits, approaches, process, principles, tips, and how to learn more .

Defining RCA Analysis

Root cause analysis is a problem-solving process that seeks to identify the underlying cause of a problem or issue. It’s a systematic approach that goes beyond just identifying symptoms and aims to uncover the root cause of the problem. The objective is to prevent future occurrences of the situation by addressing its root cause.

RCA analysis involves collecting and analyzing data to identify a problem’s underlying cause. The process typically consists of a team of experts who use various tools and techniques to gather and analyze data. Once the root cause has been identified, the team develops a plan to address the root cause and prevent future occurrences of the problem.

Also Read: What Is Process Capability and Why It’s More Interesting Than It Sounds

History of Root Cause Analysis

The origins of root cause analysis can be traced back to the late 19th century when it was used in the manufacturing industry to improve production processes. In the 20th century, it was further developed and applied to a broader range of industries, including healthcare and aviation.

In the 1950s when manufacturers started to use it to understand industrial events. The primary goal of RCA is to determine the fundamental cause of a problem, which is referred to as the “root cause.”

One of the earliest adopters of RCA was Toyota, who employed the “5 whys” method, where the investigation of a breakdown or undesired event is conducted by asking “why” at least five times. This approach forces quality personnel to delve deeper and understand the underlying causes, layer by layer. Today, RCA is widely used in various industries to identify and eliminate problems, improve processes, and prevent recurrence.

RCA was first used in the healthcare industry to address adverse events and improve patient safety. The Institute of Healthcare Improvement (IHI) developed the RCA process in the late 1980s, and it quickly became a standard tool for improving patient safety and quality of care.

The Joint Commission, a US-based nonprofit that accredits healthcare organizations and programs, requires a root cause analysis (RCA) to be conducted whenever an accredited hospital experiences a specific type of adverse event. These are known as “sentinel” incidents, as they reveal a dangerous flaw in the care provided and prompt an immediate investigation and response.

RCA was developed in response to the growing number of plane crashes and incidents in the aviation industry. The National Transportation Safety Board (NTSB) was established in 1967. It has since been using RCA to investigate plane crashes and incidents to identify their root causes and prevent future occurrences.

Benefits of Root Cause Analysis

Before we go to explore how various industries and organizations benefit from implementing RCA, let us discuss the primary goals of root cause analysis.

The three main goals of RCA are:

• Identifying the root cause: The first goal is to discover the primary source of the problem or event. This is essential to understand the underlying causes and find practical solutions.
• Understanding the issues: The second goal of RCA is to fully comprehend the nature of the issues and develop a plan to fix, compensate, or learn from them. This requires a comprehensive analysis of the root cause and the factors contributing to it.
• Applying learnings: The third goal of RCA is to use the information gained from the analysis to prevent similar problems from occurring in the future. This includes making systemic changes to processes and systems and implementing measures to mitigate the risk of future adverse events.

Root cause analysis offers numerous benefits to organizations and industries. Some of the key benefits include:

• Improving quality: RCA helps organizations identify the root cause of problems and implement solutions to prevent future occurrences, improving quality and efficiency.
• Reducing risk: Organizations can reduce the risk of future incidents and adverse events by identifying the root cause of the problem and hence improving overall safety and security.
• Enhancing customer satisfaction: Organizations can better manage their product issues by addressing the root cause of problems. Thus organizations can improve customer satisfaction and trust.
• Improving organizational learning : RCA provides organizations with a systematic process for learning from problems and incidents, enabling them to improve their processes and procedures continuously.
• Increasing efficiency and productivity: Organizations can improve their processes and procedures by addressing the root cause of problems, leading to increased efficiency and productivity.

Also Read: Demystifying the Theory of Constraints

Top Approaches of Root Cause Analysis

There are several approaches to root cause analysis, each with its unique methodology and tools. Let’s discuss some of the most commonly-used types of root cause analysis.

The 5 Whys Root Cause Analysis

The 5 Whys root cause analysis approach is beneficial for solving simple problems or identifying root causes in a short amount of time. This simple yet effective approach involves asking “why” questions to identify the root cause of a problem. The process is repeated until the root cause is identified. For example, in a service industry setting, in case of a complaint, by asking “why” five times, the team could drill down layer by layer to understand the underlying causes of the problem, such as poor communication, inadequate training, or poor service quality.

Fishbone Diagram

The Fishbone Diagram is a visual tool that helps teams identify potential root causes of a problem. It is called so because it resembles a fishbone. The fishbone diagram organizes and categorizes possible causes, making it easier to identify the root cause. For example, a fishbone diagram could be used in a manufacturing setting to categorize and analyze the various factors contributing to a machine breakdown, such as equipment design, operator error, or poor maintenance.

Pareto Analysis

The Pareto Analysis approach uses statistical analysis to identify the most significant root causes of a problem. The Pareto principle states that 80 percent of issues are caused by 20 percent of root causes. Pareto analysis helps teams focus on the most critical root causes, reducing the time and resources required to address the problem. For example, in a healthcare setting, a Pareto analysis could determine that 20 percent of patient falls are caused by 80 percent of the root causes, such as slippery floors, poor lighting, or lack of staff supervision.

Fault Tree Analysis (FTA)

This type of root cause analysis is a graphical representation of the relationships between different system components and how they contribute to a problem or failure. FTA helps teams understand the interdependencies between various components and identify the root cause of a problem. For example, in an aviation setting, an FTA could be used to analyze the interdependencies between different components of a plane, such as the engines, fuel system, and control surfaces, and to identify the root cause of a crash.

Conducting Root Cause Analysis: Process

We can break the process of conducting RCA into the following steps:

• Define the problem: The first step is clearly defining the problem and understanding what needs to be addressed.
• Gather data: Once the problem is defined, the next step is to gather data. This involves collecting information about the problem, including date, time, and location, as well as any relevant documentation, reports, or other information.
• Form a team: The next step is forming a team of experts responsible for conducting the RCA. The team should include individuals with expertise in the problem area, as well as representatives from different departments or parts of the organization.
• Use a root cause analysis tool: The team should use a root cause analysis tool, such as a fishbone diagram, Pareto analysis, or fault tree analysis, to help identify potential root causes.
• Identify root causes: Once potential root causes have been identified, the team should use the data and information collected to validate and verify the root causes.
• Develop solutions: Once the root cause has been identified, the team should develop solutions to address the root cause and prevent future occurrences of the problem.
• Implement solutions: The final step is to implement the solutions and monitor their effectiveness to ensure that the problem has been fully resolved.

Also Read: Value Stream Mapping in Six Sigma

Root Cause Analysis Principles

Conducting RCA involves following several fundamental principles:

• Root cause focus: Root cause analysis focuses on discovering and correcting the root causes of a problem rather than just treating the symptoms.
• Short-term relief: While focusing on root causes is essential, it’s also important to provide short-term relief for the symptoms.
• Multiple root causes : Multiple root causes can contribute to a problem, so it’s important to identify all of them.
• No blame: The focus should be on understanding how and why a problem occurred rather than who was responsible.
• Evidence-based: Root cause claims should be supported by concrete cause-and-effect evidence.
• Actionable information: The results of the analysis should provide enough information to inform a corrective course of action.
• Future prevention: Consideration should be given to how the root cause can be prevented from recurring.

Tips for Root Cause Analysis

• Start with a clear definition of the problem: It is essential to have a crystal-clear understanding of the problem before starting the RCA process. This will help ensure that the team is focused on addressing the right issue and that the root cause is accurately identified.
• Gather all relevant data: Data is essential for a successful RCA. The team should gather as much relevant data as possible, including the date, time, and location of the problem, as well as all pertinent documentation, reports, or other information.
• Involve experts from different areas: Involving experts from different areas of the organization, such as operations, maintenance, and engineering, will help ensure that the root cause is accurately identified and that all potential root causes are considered.
• Use multiple tools and techniques: Different RCA tools and techniques, such as fishbone diagrams, Pareto analysis, and fault tree analysis, can provide different perspectives and insights into the root cause of a problem. The team should consider using multiple tools and techniques to ensure they completely understand the problem.
• Be thorough and systematic: RCA should be approached systematically, using a structured process and methodology to identify root causes. The team should be detailed and methodical in their approach to ensure that all potential root causes are considered and that the root cause is accurately identified.
• Focus on prevention: The goal of RCA is not just to identify the root cause of a problem but to prevent future occurrences. The team should focus on developing solutions that will prevent the problem from happening again in the future.

Also Read: Demystifying Kaizen Lean Six Sigma

Master Root Cause Analysis Skills to Become a Lean Six Sigma Expert

For a Lean Six Sigma expert, the ability to identify the underlying causes of problems and develop effective solutions for improving processes and outcomes is a prized skill. As such, you need to understand and know how to perform root cause analysis.

If you’re interested in becoming a Lean Six Sigma expert, an online Lean Six Sigma certification can provide you with the knowledge, skills, and tools you need to succeed in this role.

An online bootcamp like the one delivered by Simplilearn, in collaboration with the University of Massachusetts, covers the core concepts of Lean Six Sigma, including problem-solving methodologies, process improvement techniques, and statistical analysis tools. This IASSC-accredited program teaches how to identify and eliminate waste, reduce defects, and improve process efficiency across various industries.

With business mentoring from industry experts from KPMG, you’ll be able to tackle real-world business problems confidently. This fast-track program is perfect for quality professionals, business analysts, and executives looking to carve successful careers.

Ready to start your journey toward becoming a master in quality management? Enroll today!

You might also like to read:

Ultimate Guide to Six Sigma Control Charts

DMADV: Everything You Need to Know

Describing a SIPOC Diagram: Everything You Should Know About It

Process Mapping in Six Sigma: Here’s All You Need to Know

How to Use the DMAIC Model?

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What is root cause analysis (RCA) in software development?

Root cause analysis definition.

Root cause analysis (RCA) is a proven troubleshooting technique used by software development teams to identify and resolve problems at their core, rather than attempting to treat symptoms. Root cause analysis is a structured, step-by-step process designed to seek out primary, underlying causes by gathering and analyzing relevant data and testing solutions that address them.

Why is root cause analysis important?

Root cause analysis is essential in software development because the systematic approach allows teams to troubleshoot more efficiently and develop long-term solutions that prevent issues from recurring. By addressing the root causes of errors and defects, developers can ensure their systems are stable, reliable, and efficient, reducing costly downtime and speeding up the development process. RCA also helps developers prioritize issues based on their impact and severity, empowering them to tackle the most critical problems first.

How to conduct a root cause analysis

Applied as a problem-solving method across industries and disciplines— from science and engineering to manufacturing and healthcare— root cause analysis requires following a specific series of steps to isolate and understand the fundamental factors contributing to a flaw or failure in a system. The steps involved in conducting root cause analysis in software development follow the same universal RCA principles:

• Step 1: Define the problem and set up alerts (if possible) The first step in RCA is to define the problem and make sure it’s clearly understood. This could include setting up alerts to monitor for potential issues like abnormal application behavior, system performance degradation, or security incidents.
• Step 2: Gather and analyze data to determine potential causal factors Once the problem has been defined, the next step is to gather and analyze data. This may include reviewing system logs, application performance metrics, user feedback, and other relevant data sources. The data evaluation should lead to a list of potential causal factors that could be contributing to the problem.
• Step 3: Determine root causes Once the data analysis in Step 2 is complete, use one of several RCA methods to analyze the data and potential causal factors to discover the actual root cause (or causes) of the problem. The root cause analysis should suggest corrective actions.
• Step 4: Implement solutions and document actions After the root cause has been identified, the last step is implementing solutions to address the problem. This may include changes to code, configuration settings, or any number of system adjustments. It’s important to document all actions taken to address the problem to ensure they’re effective and can be repeated if necessary.

Methods and techniques for root cause analysis outside of the software world

There are many useful tools developed to aid in achieving effective RCA. When brainstorming and analyzing potential causes, these methods allow you to visualize and organize information into a usable framework for solving problems. Popular techniques for root cause analysis include:

• 5 Whys The 5 Whys is a problem-solving strategy that helps get to root causes by iterating on “Why” questions until the immediate causes of a problem are identified. When teams ask" why" multiple times, with each question leading logically to the next, it encourages critical thinking and deeper digging, helping to prevent superficial or surface-level solutions.
• Pareto chart A Pareto Chart is a combination bar chart and line chart that maps out the frequency of the most common root causes of problems, starting with the most probable. Based on the Pareto principle, which states that 80% of the effects come from 20% of the causes, the chart lists causes in order of importance and shows the cumulative impact of each, helping teams prioritize the causes that have the most significant impact on the problem.
• Scatter plot diagram A scatter plot diagram uses dots to help teams identify patterns in data that could be contributing to a problem. Plotting two numeric variables on a graph makes it easier to find any correlation between them. The technique can help you quickly identify any significant relationships between variables and identify outliers, which could be the potential causes you're looking for.
• Fishbone diagram Resembling a fish skeleton, this visual tool provides a graphic representation of the factors that could be contributing to a problem, with the head representing the issue and the bones representing the categories of potential causes. It is particularly effective at fostering collaboration among teams and can help lead to a more comprehensive understanding of the problem.
• Failure Mode and Effects Analysis (FMEA) FMEA is a structured, empirical approach that helps to identify potential failures and their effects. It is a systematic method that involves identifying potential failure modes, evaluating their severity, and determining the likelihood of occurrence and detection — then ranking them by their potential risk score. It can help teams focus on the most important issues to tackle first and also help prevent problems before they occur.

Root cause analysis tools for software developers

In the software world, RCA can expose root problems deep in the code. But the use of cloud-native technologies and the complexity of today's modern applications make it increasingly difficult to determine the root cause of issues. Teams can use observability and security tools to achieve powerful RCA results, for example:

Observability Observability provides real-time insight into software performance and behavior through data collection and analysis, allowing you to identify issues and gain visibility into root causes by monitoring metrics, logs, and traces, and through AIOps and observability tools like:

• Machine learning and AIOps Search, visualization, and machine learning can help identify anomalies and surface the root cause of an issue. This can help you make informed decisions and take corrective action quickly.
• Distributed tracing Tracking and analyzing the flow of requests through complex distributed systems with distributed tracing provides insight into the interactions between components and services, which can help identify bottlenecks and other issues that could be causing problems.
• Log pattern analysis Analyzing log patterns and trends generated by applications and infrastructure to identify the root cause of a problem—as well as detect anomalies, errors, and other issues that could be impacting software performance.
• Service dependency mapping By identifying the relationships and dependencies between different components in a system, you can automatically map service dependencies that might be causing issues and understand how changes in one component impact the rest of the system.
• Latency and error correlations Analyzing data related to latency and error rates to identify correlations between the two, you can spot patterns and relationships between errors and performance issues that can help pinpoint root causes.

Security Analyzing security-related data to identify vulnerabilities and weaknesses in the system is an important aspect of root cause analysis. It can help prevent security breaches and other issues that could impact software performance.

• Unsupervised anomaly detection provides an additional layer of defense Comprehensive security requires multiple layers of threat protection. Unsupervised machine learning identifies deviations from normal activity in your data, without having to specify what's abnormal, and can catch attacks that standard approaches to threat hunting are likely to miss.
• Investigating threats and exploring correlations Analyzing security data related to detected events helps determine whether they represent actual threats, or can be ignored. Security analysts recognize malicious activity by looking at patterns in sessions, event timelines, and diagnostic information from hosts.

Common mistakes to avoid with root cause analysis

Root cause analysis can be incredibly effective for identifying and resolving problems, but there are several common mistakes teams should be aware of:

• Lack of data validation: Failing to validate the data used in your analysis can lead to incorrect conclusions and ineffective solutions.
• Selecting solutions as causes: Issues like lack of training and support or budget constraints are rarely the root cause of a problem. They're far more often the solutions. It's critical to dive deeper to trace a problem to its origins.
• Need to find one cause: There can be many contributing factors that lead to a problem, and it's important to identify all of them, rather than landing on one that's convenient.
• Not involving the right people: Valid, truly effective RCA requires input from all relevant stakeholders, including software developers, testers, and business analysts.

Benefits of root cause analysis

The benefits of root cause analysis in software development are enhanced troubleshooting, reduced costs, and greater efficiency — all of which lead to a better product and a happier customer. Root cause analysis is a critical component of software development, helping teams identify the origins of fundamental errors and how to fix them. RCA also allows teams to stop problems from happening again.

• Helps to prevent problems from recurring: RCA enables teams to implement solutions that address root causes rather than just symptoms. By preventing problems from recurring, teams can save time, reduce costs, and improve the overall quality of their software. For example, a software team may notice that a particular feature of an application is consistently crashing. By performing RCA, they might discover the issue stems from a particular set of user inputs that aren’t being handled properly. With this information, they can implement a correct solution that stops the issue in its tracks.
• Improves process efficiency: By identifying root causes, teams can optimize their processes to prevent similar issues from occurring, leading to increased efficiency, reduced downtime, and a more streamlined development process. If a dev team finds their continuous integration pipeline repeatedly failing due to issues with their test suite, they can perform RCA to find out if the problem is slow-running tests causing the pipeline to time out. Now they can optimize their test suite to avoid similar problems in the future.
• Prevents customer dissatisfaction: Root cause analysis helps teams address issues that could impact customer satisfaction. If, for example, a team receives user complaints about a feature being too slow to load, they might use RCA to determine that the issue is a poorly optimized database query. By implementing solutions to prevent that problem from recurring, like optimizing the query to improve performance, they can deliver a more positive user experience. When software consistently meets customer expectations, it goes a long way in building trust and loyalty, which can ultimately lead to increased revenue and long-term growth.

Tips for performing root cause analysis

• Pull information from multiple sources, and understand your data When performing root cause analysis, data quality, visibility, and comprehension are paramount. Elastic offers a solution that consolidates all your data in one system. You get data visualization in Kibana and interactive tools that allow you to dig deep into observability issues and investigate security incidents.
• Get multiple eyes on the data and the problem by working with a team Elastic features extended support for personalized collaboration in Kibana and O11y, helping you streamline workflows and facilitate escalations with your team.
• Take notes Elastic offers streamlined alerts and case management , allowing you to reach insights faster with richer context for your data and visualizations, including sourcing annotations dynamically from Elasticsearch queries in Kibana. For query-based annotations, you also have the ability to manually annotate Kibana Lens visualization with notes.

Root cause analysis with Elastic

The Elasticsearch Platform and its built-in solutions — Elastic Enterprise Search , Elastic Observability , and Elastic Security — act collectively as a jet engine for facilitating root cause analysis. As the most widely deployed solution for transforming metrics, logs, and traces into actionable IT insights — Elastic Observability enables you to unify observability across your entire digital ecosystem. Further, analysts recognized Elastic Security as a leader in security analytics and SIEM.

Specifically, the following capabilities accelerate root cause analysis in its various phases:

• Ingest your data with Elastic Agent and hundreds of integrations .
• Receive automated notifications of potential issues using pre-configured alerts and anomaly detection, effectively putting your monitoring on "auto pilot"
• Apply machine learning and AIOps to process large data sets at scale, with interactive features tailor-made to facilitate RCA for observability, including APM correlations and Explain log rate spikes , and for security investigations with features like Session View , Event timeline , and query hosts for diagnostic information using Osquery .
• Determine causal factors using guided journeys and collaborate on root cause and appropriate solutions to fix and prevent the problems using Elastic case management .

To help your team get the most out of root cause analysis, start a free trial and discover what Elastic can do for you.

Root cause analysis resources

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• Automate anomaly detection and accelerate root cause analysis with AIOps
• Why you need AIOps as part of your observability strategy
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• Elastic Security for automated threat protection
• Accelerate security investigations with machine learning and interactive root cause analysis in Elastic
• Apply Elastic to root cause analysis in manufacturing
• Predictive maintenance in industrial IoT

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Better problem solving with root cause analysis (with template)

If you walk into your kitchen to find your favorite vase smashed on the floor, it might be safe to assume that the grinning cat nearby was the root cause of this problem. If only it was this simple in business and we could just say “the cat did it.” Product problems are often much more complex and connected to a variety of root causes.

If you think of a weed, the surface is only the problem you can immediately see. However, if you cut the weed from the ground level, it’s likely to grow back from the root. This is just like fixing product problems with a band-aid with little to no investigation of a root cause — it’s likely to return.

These types of problems need a more thorough root cause analysis (RCA) to determine how, and why the problem happened, and how to prevent it in the future.

What is root cause analysis?

Root cause analysis is a tool you can utilize when determining the true cause of a problem. You might have assumptions about what the cause of a problem might be or experience biases towards one as the main cause.

Performing a root cause analysis can help you determine what the underlying causes of a problem are to help address a more impactful and valuable solution:

What are the 4 steps in a root cause analysis?

When you’re trying to uncover the roots of a problem, it can be daunting to figure out where to start. The process to conduct a root cause analysis can be broken down into a few easy steps:

• Define the problem
• Identify and map the problem causes
• Identify the evidence that supports your causes
• Create a root cause analysis report and set up your action plan

1. Define the problem

A clear definition of the problem is the first step. Sometimes problems are easy to identify, like a broken link. More often, problems can be abstract and need clarification, like a decrease in overall purchases through a site or an increase in bugs reported.

Here are some more examples of problems:

• A 20 percent drop in customer purchases placed from the shopping cart page from the previous week
• 60 percent of customers on hold end up dropping their call and, as a result, the company has experienced a decrease in NPS scores
• A 40 percent increase of customer reported issues with using the folders feature in a CRM
• A 15 percent decrease in user engagement with a core feature on a social media site

It’s also critical to understand how to define a problem:

2. Identify and map the problem causes

Using tools like a fishbone analysis and the Five Whys framework can help you put together causes and start to categorize themes of the problem. When going through a Five Whys diagram, try to come up with a few alternate pathways and you might notice overlapping areas.

Each example of a Five Whys diagram is accurate, but only looking at one cause can prevent you from understanding the fuller picture. For example, there was more than one reason why the Fyre Festival failed and it’s important to identify overlapping themes to avoid leaning on only one cause:

In a product example, there might be numerous reasons why session times have decreased, or user reported bugs are up.

After evaluating the size, impact, general cause themes, and urgency of the problem, you’ll have a better understanding of how much effort will be needed for the analysis. The larger the problem on the surface, the more underlying causes you might find. Even simple problems can sometimes have numerous causes to consider and you need to determine how in-depth you need to dig to “unroot” the causes.

It’s also critical to check all your bases. Once you have evaluated and categorized the different potential causes to a problem, use the following as a checklist to ensure you’re covering all areas of where and how this problem happened. Be sure to identify any changes or recent events that might have occurred that could have impacted the problem.

• Demographics : is the problem happening to one specific demographic? Only happening to iPhone users? Users in a specific location?
• Time specific : when did the problem happen? Is it continuing to happen? Did the problem only occur during a specific time? You might discover that the problem is related to a time-specific cause, like a release or outage
• User journey : did anything change within the user journey? Map the workflow to determine if any new developments have occurred
• External factors : is this an issue with a third party integration? Did a competitor launch a successful new feature that might be taking business from you? Some of these external factors could be out of your control, but important to recognize
• Internal factors : how many feature releases happened during this time frame? Was there any product downtime or maintenance at that time?

3. Identify the evidence that supports your causes

Collecting evidence is a key part of a root cause analysis. Without evidence, your problem causes are based on assumptions and potentially harmful biases.

Start evaluating any data you might have available. Using session replay tools like LogRocket can help you collect evidence of the problem. Here are a couple of examples of the type of data that can be used to collect evidence:

• User count — number of users impacted by the problem
• Usage — daily, weekly, or monthly active users and a decrease or increase in session time
• Decrease or increase in events — for example, a decrease in users selecting the Add to cart button from a page or an increase in error pages
• Error tracking and user frustration — tools like LogRocket can help track where things are going wrong in your product and surface critical issues
• Qualitative evidence — run user interviews or user-submitted feedback with tools like Loom. Are multiple users running into the same roadblock? Are you seeing the same complaint from multiple users in feedback tickets?

4. Create a root cause analysis report and set up your action plan

Collect your evidence and root cause evaluation into an RCA template. Once you have your causes identified and your discovery efforts into one root cause analysis report, you can start creating a plan to address the problem and prevent it from happening in the future.

Over 200k developers and product managers use LogRocket to create better digital experiences

Collaborate with a team to brainstorm solutions and discuss which options might address multiple causes. Evaluate if you need both a short-term and long-term solution, depending on the level of effort and urgency required. As part of your analysis report, discuss how you can avoid this problem again in the future and any other risk mitigation plans.

Root cause analysis template

You can use this root cause analysis template on Google Sheets to organization your investigation, collect your evidence, and share with your team to determine next step solutions:

Root cause analysis example

Below is an RCA for Company B, a tax preparation product that experienced an increase in dropped customer calls.

Company B experienced an increase of 60 percent of customers on hold that ended up dropping their call. They also experienced an increase in NPS dissatisfaction and have concerns about losing customers.

After going through a root cause analysis, they discovered an 80 percent increase in user calls during tax season. This increase of call volume indicated much longer wait times to speak to a live agent.

After investigating some of the customer call reasons, they discovered that numerous customers had simple questions that could be answered quickly without too much support.

Company B gathered call logs that confirmed their suspicions. They brought the logs together that demonstrated the simplicity of repeated questions and gathered records of customers that dropped off after a certain amount of time on the phone.

Company B implemented a conversational AI chatbot that could answer generic questions and direct more complex questions to a live agent. Further, they implemented tooltips throughout the tax process flow to help users that appeared to be stuck.

Through the RCA process, you might discover that some parts of the user’s experience are confusing and create a plan to address minor UI challenges.

These solutions helped Company B improve their accessibility and scalability needs during an increase in call volume, without having to add more employee support. Going forward, Company B can plan to monitor call times and continuously evaluate customer service topics to determine where users might need further support and guidance in the future:

Common mistakes to avoid

There are a number of easy-to-fall-into traps when performing root cause analysis, including:

• Don’t rely on assumptions when determining root causes. Use evidence to support to disprove a cause
• Don’t limit your investigation. Go beyond one Five Why framework and be sure to exhaust all possibilities to avoid leaning on the first cause
• Don’t rely on the first idea — come up with multiple solutions to solve a problem
• Don’t work alone. Collaborating with a team will help you come up with a variety of potential solutions or new opportunities
• Don’t think this is a one-time thing. Prepare for the future and discuss risk management and mitigation if you expect this problem to happen again, especially with issues that might be related to factors out of your control. What’s the worst that can happen, and what can we do about it to make sure the problem is addressed quickly with minimal interruption?

Final thoughts

A root cause analysis can be a great tool to help you uncover the true causes of a problem and reduce any reliance on assumptions or biases. With the right investigation and evidence collection, you can learn more about how and why a problem happened and identify causes below the surface.

RCA can ensure your solutions address the root problem and help you better plan for the future.

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Root Cause Analysis (RCA) Methods for Effective Problem Solving

By Status.net Editorial Team on May 8, 2023 — 7 minutes to read

Imagine facing a problem in your organization that keeps recurring despite your best efforts to solve it. You might be addressing the symptoms, but not the underlying cause. This is where root cause analysis (RCA) comes into play. RCA is a systematic approach to identifying the root cause of problems or events, understanding how to fix or compensate for them, and applying the knowledge gained to prevent future issues or replicate successes. In this comprehensive guide to root cause analysis, you’ll learn various methods and techniques for conducting an RCA. You’ll understand how to gather and manage evidence, investigate the people, processes, and systems involved, and determine the key factors leading to the problem or event.

Whether you’re a project manager, a team leader, or simply someone looking to improve your problem-solving skills, this guide will help you grasp the fundamentals of RCA and apply them effectively in your work. As you delve deeper into the world of Root Cause Analysis, you’ll discover how it can turn challenges into opportunities for growth and pave the way for a more efficient and successful future.

Related: 3 Root Cause Analysis Templates (and Examples)

5 Whys: How to Uncover Root Causes [Examples]

Root Cause Analysis Fundamentals

Root Cause Analysis (RCA) is a systematic approach to identify the underlying cause of a problem. By focusing on the root cause, you can effectively address the issue and prevent recurrence. Generally, RCA is used to investigate incidents, eliminate defects, and enhance systems or processes.

RCA aims to achieve the following objectives:

• Determine the root cause of a problem or issue, not just its symptoms.
• Identify and implement solutions that address the root cause and prevent its recurrence.
• Improve understanding of the systems, processes, or components involved to avoid similar issues in the future.
• Foster a proactive and continuous improvement mindset within your organization.

When conducting RCA, maintain an open mind and avoid making assumptions. Utilize critical thinking and involve team members from various disciplines to achieve a comprehensive understanding of the problem.

The RCA Process

Problem identification.

To effectively utilize Root Cause Analysis (RCA), first identify the problem at hand. Determine the specific issue, incident, or failure that needs to be investigated. Clearly define the problem and its impact on your organization’s operations in order to establish a focused and valuable analysis.

Data Collection

Gather relevant data about the problem, including when and where it occurred, who was involved, what processes and systems were affected, and any other important context. Be thorough and systematic in your data collection, and make use of any available documentation, interviews, or observations to build a comprehensive understanding.

Cause Identification

Analyze the collected data to pinpoint potential causes of the problem. This could start with brainstorming and then using tools such as cause-and-effect diagrams or the “5 Whys” technique to delve deeper into the issue. Determine the causes that are most likely to have contributed to the problem and classify them as either root causes or contributing factors.

Solution Implementation

Once you have identified the root cause(s) of the problem, develop and execute an action plan to address the issue. Design solutions that specifically target the root cause(s) to eliminate them from your processes, rather than simply addressing the symptoms of the problem. Implement the appropriate changes to your processes or systems and ensure that all stakeholders are aware of these changes.

Follow-up and Monitoring

After implementing the solutions, monitor the results to ensure they are effective in addressing the root cause(s) and preventing the problem from reoccurring. Collect and analyze data regularly to evaluate the impact of the implemented solutions on your organization’s performance. Adjust and refine the solutions if necessary, and maintain ongoing vigilance in order to identify any future problems that may arise from the same root cause(s).

RCA Techniques

The 5 Whys technique is a straightforward method for identifying the root cause of a problem. To employ this approach, you simply ask “why” five times, with each question delving deeper into the issue. The process helps trace the problem to its origin by examining each level of cause and effect. Here’s an example:

• Why did the machine stop working?
• Why did the fuse blow?
• Why did the motor overheat?
• Why was there insufficient lubrication on the motor?
• Why was the lubrication schedule not followed?

In this case, the root cause is the failure to adhere to the lubrication schedule.

Learn more: 5 Whys: How to Uncover Root Causes [Examples]

Fishbone Diagram

The Fishbone Diagram, also known as the Ishikawa Diagram or cause-and-effect diagram, is a visual tool that helps you organize and sort potential root causes. To create a Fishbone Diagram:

• Write down the problem statement at the head of the fishbone structure.
• Identify major categories of causes, such as people, process, equipment, and environment. Draw lines connecting them to the problem statement.
• Assign specific causes under each category and draw smaller lines connecting them to the respective major categories.
• Analyze the diagram to find trends, patterns, or potential areas of focus.

By organizing information in this way, you can better assess the causes and identify the root cause of the problem.

Learn more: Fishbone Diagram (Components, Factors, Examples) and Ishikawa Diagram: Examples and Applications

Failure Modes and Effects Analysis (FMEA) is a systematic approach to identify potential failures and evaluate the consequences. FMEA processes typically involve these steps:

• Identify potential failure modes, which are the ways something could go wrong.
• Determine the potential effects of each failure mode, and how it could impact the overall system or process.
• Assign a risk priority number (RPN) to each failure mode, considering factors such as likelihood, severity, and detectability.
• Develop actions and strategies to mitigate high-risk failure modes.

By using FMEA, you can proactively address possible issues before they escalate, and maintain a more reliable process or system.

Barrier Analysis

Barrier Analysis focuses on preventing problems by examining the barriers in place to control risks. The objective is to identify vulnerabilities in these barriers and develop strategies for improvement. The steps of Barrier Analysis include:

• Identify hazards and risks associated with your system or process.
• Define the barriers in place that protect against these hazards.
• Evaluate the effectiveness, strength, and reliability of each barrier.
• Identify gaps or weaknesses in the barriers.
• Develop and implement improvements to strengthen the barriers.

This method provides a clear understanding of how existing safety measures perform and how they can be improved to better protect against potential issues.

See also: 3 Root Cause Analysis Templates (and Examples)

What is Poka-Yoke? [Examples, Principles, Methods]

Benefits of Root Cause Analysis

Quality improvement.

Root cause analysis can significantly enhance the quality of your products or services. By systematically identifying the root causes of issues and implementing corrective actions, you’ll prevent recurring problems and reduce the number of defects. In turn, this will help you maintain customer satisfaction, reduce costs associated with rework or returns, and improve your reputation in the market.

Risk Reduction

Reducing risk is another advantage of root cause analysis. When you identify the underlying causes of problems, you can take necessary measures to eliminate or mitigate those risks. This proactive approach can protect your business from potential losses or disruptions, such as regulatory penalties, customer dissatisfaction, or harm to employees or the environment. By addressing the sources of risk, you can maintain a safer and more profitable business.

Process Optimization

Root cause analysis supports continuous improvement by highlighting inefficiencies and areas for optimization in your operations. By examining your processes beyond the symptoms of a specific issue, you can uncover opportunities to streamline workflows, reduce waste or downtime, and better utilize resources. Implementing these improvements not only resolves the immediate problem but also enhances overall productivity and efficiency in your organization.

To attain the benefits of root cause analysis, apply it consistently and rigorously. Ensure that you involve relevant stakeholders, gather necessary data, and employ a systematic approach to identifying and addressing root causes.

Challenges of Root Cause Analysis

Common pitfalls.

When conducting Root Cause Analysis (RCA), you might face common pitfalls that can reduce the effectiveness of your investigation. Some of these pitfalls include:

• Rushing the process : It is important to allocate appropriate time and resources to conduct a thorough RCA.
• Overlooking small details : Make sure to pay attention to all possible contributing factors when investigating a problem. Small details can often hold the key to the root cause.
• Focusing on blame : RCA should focus on identifying systemic issues and providing solutions rather than blaming individuals or departments.

Addressing Human Factors

Human factors play a critical role in many problems. When conducting RCA, it is crucial to consider the human factors that may have contributed to the issue. Here are some tips to help you address human factors in your RCA:

• Consider psychological factors : Assess the mental state of the people involved in the incident, including their level of stress, fatigue, and emotions.
• Evaluate communication and collaboration : Analyze how effectively teams were communicating and working together at the time of the incident.
• Assess training and competency : Determine if the people involved had the appropriate training and knowledge to handle the situation.

Keep a neutral and non-blaming tone while assessing human factors. The aim is to uncover systemic issues that can be improved upon.

Fishbone Diagram (Components, Factors, Examples)

Ishikawa Diagram: Examples and Applications

• Advantages of SWOT Analysis (6 Benefits and 4 Limitations)
• Top Problem Solving Skills for Today's Job Market
• What is Problem Solving? (Steps, Techniques, Examples)

Root Cause Analysis: How to Solve Problems Effectively

Liz Dyrsmid

• Published: Jan 17, 2023
• Last updated: Jan 18, 2023

Problems develop inside businesses. There are a wide range of possible causes for this. Only by investigating the causes of these problems can they be resolved permanently.  

You can get to the bottom of a problem and figure out how to fix it by following a procedure known as root cause analysis (RCA) . RCA is different from other methods because instead of just trying to fix the symptoms of a problem, people who use it look into and try to fix its root causes.

It is best not to rush to find a solution to a problem but rather to take one’s time determining why the problem is occurring in the first place. By doing a root cause analysis (RCA), you will learn more about how problem-solving can be done in an effective way.

Reading this article will help you understand how root cause analysis (RCA) can lead to effective problem-solving.

Article Outline

What is root cause analysis.

The phrase “root cause” refers to the main reason for the problem being discussed as well as the first event in the chain of events that led to the problem (or problems).

“Root cause analysis” (RCA) is a term used to describe a wide range of methods, tools, and strategies that are used to figure out where problems come from. When trying to find the “root cause” of a problem, these methods and strategies can be used.

Some root cause analysis methods focus on finding the real causes, while others offer more general solutions to problems or just add to the RCA process.

There are many reasons why a root cause analysis (RCA) might be needed, such as human error, broken physical systems, problems with how an organization works, or any number of other things.

How Do Root Cause Analyses Benefit You?

In order to fix problems and prevent them from happening again, you need to know where they are in your business process. If you use this on a factory line, you can increase output per shift while reducing mistakes at the same time. 

For these reasons and more, identifying and addressing root causes is crucial.

Puts Money Back in Your Pocket

Spend as much time and money as you like on a root cause analysis, and you’ll always come out ahead. This is because your business will always have to deal with the damage and ongoing costs that come from not fixing a problem for good.

Boosts Dependability

To make your business more secure and reliable, conduct a root cause analysis. Quality-focused businesses can benefit from it as well. Reducing the number of errors made during production is one way to win over skeptical customers and increase product reliability.

Helps Avoid Financial Setbacks

Because it provides a framework for developing SOPs , root cause analysis can help businesses gain the public’s trust if they use it to concentrate on prevention. Finding the true cause of a problem will also help you come up with a plan for fixing it.

Common Methods of Root Cause Analysis

The following is by no means an exhaustive list of the methods and approaches that can be used in an RCA. We’ll go over some of the most popular and widely applicable methods below.

The “5 Whys” Method

The method known as “5 Whys” is frequently utilized when attempting to figure out what went wrong. If you get an answer to one of your WHY questions, you should ask another WHY question that is more in-depth.

It is commonly believed that by asking five “why” questions, one should be able to get to the bottom of most problems. However, the truth is that you might only need two questions, or you might need fifty.

When you use the 5 Whys to look into a situation, you can leave any ideas you already have at the door.

Event Analysis Method

You can also try to determine what caused an event by paying close attention to the things that occurred and how they changed before the event. This is another method for determining what caused an event.

To get started, we would compile a list of every single conceivable cause that led up to an occurrence.

After that, you would go through each individual occurrence and decide whether or not that specific occurrence was a factor that was unrelated to the issue, a factor that was correlated with the issue, a factor that contributed to the issue, or a factor that was likely the root cause.

This is the stage at which the majority of the analysis is performed, and it is also the stage at which other approaches, such as the “5 Whys,” can be utilized.

Last but not least, investigate whether or not the problem can be reproduced and whether or not there is a solution to it.

Fishbone Diagram

Fishbone diagrams, which are also called Ishikawa diagrams , are another common way to show how causes and effects are connected.

The issue is placed in the middle of the diagram (similar to how the spine of the fish skeleton is positioned), and the various causes are placed around the outside (similar to how the rib bones of the fish skeleton are positioned).

We are getting closer to the root of the issue as we investigate both possible causes and root causes and question each offshoot as we investigate.

By using this method, we can eliminate classes that don’t matter while also showing how different causes are linked and where those causes are likely to come from.

How to Effectively Perform Root Cause Analysis

To do a thorough root-cause analysis, you must keep certain guidelines in mind. These guidelines will help you figure out why certain things happen and come up with the best solutions. 

• Gather information that shows how the causes you identified led to the effects you saw.
• Construct a comprehensive strategy to support the recommendations you have made.
• Discover what caused this situation and consider how to prevent it from happening again.

It’s important to keep in mind that problems often have more than one underlying cause.

Conclude with the causes you believe to be most at the heart of the problem, and be ready to take on those causes head-on with effective solutions.

The following are some more tips for performing an effective root-cause analysis

Make it a Team Effort

When you and other people work together, you can see things from a different points of view. The process of problem-solving will move along more quickly if you have access to additional perspectives, whether those perspectives come from a partner or from a group of coworkers. This will also help you avoid being overly biased.

Continually Improve Your Process

The process of root cause analysis is very important to understand well. Notate. Investigate the method of analysis. Check to see if a method or technique is right for your company’s needs and culture.

Examine Your Success

Investigate not only what led to your success but also the factors that contributed to it. Even though root cause analysis is typically used to figure out what went wrong, it can also be used to figure out why something turned out successfully. This is an uncommon application of the technique, but it is possible.

Begin Implementing the Solutions

The RCA process doesn’t produce results right away, but figuring out what caused a problem in the first place leads to a long-term solution. You’ll be asked to put your good solution into action after you’ve developed it.

Start creating workflows to help you put solutions into action. Workflows are a set of activities or steps that are followed to complete a specific task or process.

Using workflows to put solutions in place after doing root cause analysis has a number of benefits, such as:

Progress Tracking

Workflows offer a clear and organized way to track the progress of a task or process. This can help you determine whether you are on track and whether there are any delays or obstacles that need to be addressed.

Goal Setting

Workflows can be used to set clear goals and checkpoints for a process or task. This can help to keep the team focused and motivated, as well as provide a way to measure the implementation’s success.

Problem-Solving

Solving Problems: A workflow makes it easier to find and fix problems by breaking down a task or process into specific steps. This can help avoid delays and make problems less of a problem for the whole project.

Workflows can also make it easier for managers, stakeholders, and team members to see where a task or process is in its lifecycle. This lets them make better decisions about any changes or adjustments that need to be made.

Continuous Improvement

Workflows can be used to monitor performance and identify opportunities for improvement over time. This can help make sure that the implementation is always getting better and more efficient, leading to better results and better solutions.

Overall, using workflows to implement solutions lets you keep track of progress, set clear goals, and work more efficiently to solve problems as they come up and get the desired result.

Your effective solutions need to be put into action, so you should get started right away on developing your workflow .

A root cause analysis (RCA) determines why a problem arises in the first place. Instead of just treating the symptoms of a problem, RCA involves looking into and trying to fix its root causes.

It is important to use the tools and methods that are best for your situation when doing a root cause analysis (RCA). Set up a system for ensuring that the work done at each RCA phase is correct.

Every step of the investigation, from identifying the problem to implementing a solution, should be meticulously documented. By completing an RCA, you will gain a better understanding of how to solve problems effectively.

After developing a decent solution, you’ll need to implement it. Start workflows to implement solutions . Workflows let you measure progress, set objectives, handle obstacles, and reach your goals.

We would love to hear your thoughts on root cause analysis. Have you used this method in your own work? What have been your successes and challenges? Please share your comments below, we would love to hear from you!

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You can use the templates out of the box or edit them. If you lack time to customize your templates, try our “ Done For You” service. Allow our staff to build custom SOPs for your business.

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Why is Root Cause Analysis Important? Addressing Recurring Problems

No matter the size of your company, the industry you’re in, or the market segment you serve, every company faces problems. These issues can lead to incidents that cost the company in terms of time, money, reputation, or may even threaten to fold the company entirely. Using root cause analysis , companies can identify underlying causes of an adverse event to mitigate or reduce risks, or to help prevent a recurring problem.

The analogy of a weed is an effective way to think about root cause analysis as a problem-solving tool. Like the weeds in your garden, the garish and unruly above-ground growth is easy and obvious to spot. It’s the issue that is causing concern — and like real-life weeds — if only an immediate cause is addressed, like cutting off the growth above ground, the weed will generally come back.

If you’re facing recurring problems in your company and solutions implemented haven’t yielded improvement, root cause analysis can help you shine a light below the surface to reveal, not a single source for the problem, but a system of interconnected roots (causes) that all contributed to the incident.

This important distinction is where the analogy is often misrepresented and/or misinterpreted. Root cause analysis is not a magical quest to find the one key source of the problem to eliminate. That's not how effective problem-solving works and limited thinking could even harm your business by limiting your solutions.

The reality is that every problem has multiple causes , whether you choose to acknowledge them or not. A mental model that focuses on finding a single root cause only limits your solution set while creating unnecessary arguments and debates along the way.

By expanding your thinking to reveal a number of causes required to produce the incident, you are likely to realize more potential solutions. Finding and implementing the best solutions reduces risk by adding layers of protection against future incidents, even when things don’t go as planned. We like the weed analogy because it is a systems approach to RCA , which is fundamental to driving high reliability despite the risk you encounter in your organization daily.

RCA benefits include:

• Root cause analysis helps you enhance your organization’s safety and reliability both for employees and for those you serve. A root cause analysis pinpoints gaps within your work processes and provides lessons learned for avoiding future problems.
• RCA allows you to reveal and more effectively control multiple causes of a problem. Implementing more than one solution from an incident investigation can have an exponential reduction in risk, dramatically improving process reliability.
• Through identifying causes and determining goals-based solutions, companies avoid unnecessary costs in terms of business interruption, remediation, audits, fines, higher insurance premiums or even litigation.
• Identifying and finding solutions for an issue early on can decrease the cost to remediate, particularly in manufacturing. RCA allows for quick response and damage control if an incident occurs.
• If conducted properly, performing root cause analysis can improve team building. Every person involved with the process should be involved in determining causes and potential solutions to improve work processes. This improves communication and transparency in an organization. Further, focused prevention (versus blame) builds trust at all levels of an organization.

Are you wanting to start your own root cause analysis investigation? Download our free Cause Mapping Ⓡ investigation template in Microsoft Excel, or check out our case studies , where we map out problems across many different industries.

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Why Understanding Root Cause Analysis Is Critical to any Organization

By OpEx Learning Team , Last Updated August 17, 2017

Why Understanding Root Cause Analysis (RCA) Is Critical to any Organization

It doesn’t matter how big your organization is or what area it operates in, there are some core concepts to project management and general leadership that are critical to understand if you want to ensure things are moving in the right direction. When you encounter ­a problem during the regular course of the organization’s operation, for example, it’s important to know how to get to the true underlying cause of the issue, so you can prevent it from resurfacing in the future.

The basics of root cause analysis

As the name implies, the method seeks to identify the root cause for any issue. Keep in mind that RCA is typically not concerned with developing a proper solution, but rather it will point you in the right direction with regards to what the problem is in the first place.

What’s a root cause, specifically? In technical terms, it’s an aspect of the organization which, when changed, completely resolves the original problem. Knowing how to differentiate the root cause from the various intermediate issues that may arise during its analysis is a skill every leader should possess.

Most often, this involves a process breakdown in the business. We cannot assign the cause to the worker who made the mistake, or the department that hired the employee. We need to determine the lack of on-boarding process for the employee, or the lack of qualification process that needs to be improved.

Dr. Edwards Deming said that 94% of all business problems are management’s fault, since they control the processes. Before we look at individuals as the root cause, we must first review all processes and make sure they are not to blame. In almost all cases, we will find an undefined or lacking process that has many opportunities for improvement!

What if there is no root cause?

When we are investing a problem, it is often assumed that every problem is a result of something going wrong. A step was skipped, a part was put in backwards, a typo was made, a field was left blank, or an item was shipped to the wrong person.

However, not all process failures are due to mistakes or errors. When we first mentioned the concepts of special and common cause variation , we learned that we need to separate these defects from those that are a result of typical variation in the process. If a problem results from common cause, there is no root cause! It is the stack up of variation within the process, that allowed us to exceed customer expectations. Too often, teams are looking for root causes, instead of the largest sources of the variation. This is the heart of Six Sigma thinking . If we identify that it was an error or mistake (special cause), then we can move forward in our root cause analysis.

A systematic, structured approach

The important thing is that you follow the issue step by step until you’ve traced it to its source,  which would be a step you can no longer continue from.  We often use the 5 Why’s approach to make sure we trace it down deep enough. There may even be multiple factors contributing to a problem, all serious enough to be classified as a root cause. If you determine that solving this process issue will eliminate or prevent the problem from happening again, you have found the root cause!

Without analyzing the root cause, you will likely spend a lot of time and resources applying solutions that either work as a temporary fix, or don’t do anything to address the problem at all. Often these temporary fixes end up costing way more money than the root cause solution. It gets even worse when you consider that those solutions often affect the operation of the company in some negative way while you’re experimenting with them. It’s definitely not a good a good idea to go about this blindly and rush your decisions.

It will likely take you a few tries to truly nail it down, as root cause analysis requires some experience, not just with your specific organization’s field of work, but with the method in general. You may also meet some resistance from within the organization, as root cause analysis almost inevitably leads to changes, often permanent ones. Depending on the complexity of the problem, you might even need to get as detailed as the analysis on the Exxon Valdez Oil Tanker spill (see video below)

Root cause analysis is not a new technique, but it’s still popular today due to its simplicity and flexible nature. It can be easily applied to a variety of environments, and it’s one of the most useful tools in the arsenal of a leader looking to implement continuous improvement in their organization. And if you’re able to teach a good number of your employees the same skills as well, the organization is going to benefit even more.

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The Importance Of Root Cause Analysis

Do you often find that you are faced with a problem that seems unsolvable? In that case, you’re not alone….

Do you often find that you are faced with a problem that seems unsolvable? In that case, you’re not alone.

When we don’t get the desired outputs or results from a business plan, we’re quick to point fingers. Sometimes, we blame the plan and adopt a new strategy. However, problems persist.

This is why it’s important to find the root cause of problem areas before jumping to half-baked conclusions. Let’s start by understanding the meaning of root cause analysis and learn different ways to avoid repetitive mistakes.

Meaning Of Root Cause Analysis

To define root cause analysis, we must first understand the term ‘root cause’. A root cause is a basic or fundamental cause of something. It often needs to be permanently eliminated through improvement. Simply put, RCA is the core issue that sets the entire cause-and-effect in motion, thereby leading to problems further down the line.

RCA or Root Cause Analysis is an analytical tool, technique, or process used to get to the root cause of the problem. It’s a fundamental tool in the journey of continuous improvement. In itself, root analysis may not produce any solutions but by making it a part of larger problem-solving efforts, quality improvement can be achieved.

Why Perform Root Cause Analysis?

Root analysis helps us look beyond the superficial cause-and-effect and takes us to the bottom of the failed systems or processes that caused issues in the first place. Unless we determine the real root of any problem, the problem is likely to repeat itself.  The process of root cause analysis comes with certain end goals and benefits:

The first goal of root analysis is to discover the core issue or the root of a problem or event

The second goal is to understand how to fix the underlying issues and learn from mistakes

The third goal is to apply our learnings so that the patterns can be systematically used to prevent future issues

Root analysis teaches us that identifying the core process or the system isn’t enough. Unless you actively deploy the learnings from the analysis, the situation may not improve. For example, if you hurt your knee during a soccer match, root cause analysis might suggest that the ligaments around your knee are weak. So, you may be advised to start wearing a knee-pad to minimize the risk of future injuries.

Principles Of Root Cause Analysis

There are a few core principles that can improve the quality of analysis and help to gain trust from your peers, coworkers, or clients. The principles that guide effective root cause analysis are:

Instead of focusing on the indicators, try and correct the root cause

Always address the surface-level signs/indicators for short-term remedies

It’s important to remember that there can be multiple root causes for the same situation

Instead of being critical about ‘who’ was responsible, try understanding ‘how’ and ‘why’ something happened

Never jump to hasty conclusions. Take your time and be methodical about finding sound cause-effect evidence to back up your root cause claims

Support your corrective course of action with ample information

Consider how to prevent or adopt the root cause to your advantage in the future

Tools Of Root Cause Analysis

Now that we’ve established how to apply the basics of root cause analysis, let’s find out how we can use them effectively. Organizations are encouraged by people with good problem-solving and decision-making capabilities to bring sound solutions to the table.

Here are a few strategies and techniques to conduct effective RCA:

1. The Five Whys

One of the most common and effective ways of performing root cause analysis is the Five Whys analysis. You evaluate a problem by asking the question ‘why’ five times. It’ll help you identify which layer of the problem or situation needs to be revised, corrected, rebuilt, or rethought. The five whys serve as a way to steer away from assumptions. Choices or solutions become clearer after each ‘why’ question is asked. The answer to the last ‘why’ should ideally lead you to the root cause you need to address.

2. Change/Event Analysis

Another handy technique of using the root analysis method is to study or analyze the changes that led to an event. This method is especially fruitful when there’s a large number of causes. Instead of looking at a specific instance, we step back and try to analyze situations over some time.

The process of change/event analysis includes four essential stages:

List every potential cause that led to an event. Take into account the times when a change has occurred, for better or worse. For example, the last “Grand Sale” day at your company was a huge success. You may want to note down all the touchpoints with every major customer.

Categorize each change or event by the amount of influence you had over it. It can be known or unknown, internal or external. For example, offering a heavy discount is an internal factor and the last day of the quarter can be an external factor.

A significant chunk of the analysis happens in this stage. Every event is analyzed to figure out whether there was a correlating, unrelated or contributing factor. For example, a new idea can be a contributing factor but the end of the quarter is an example of an unrelated factor because it can’t be controlled.

In this last stage, we can choose to replicate or remedy the root cause. For example, if new ideas and initiatives are boosting sales, then organizing brainstorming sessions may help. You can decide to replicate the root cause of success.

3. Fishbone Diagrams

The fishbone diagram, also known as the Ishikawa diagram, is a popular root cause analysis technique. It’s named so because it resembles a fish’s skeleton. Using it, you can draw a mental map that’ll help you identify the underlying factors. The diagrams typically start with the spine, i.e., the problem. Each bone branches out to include smaller bones, indicating several categories of causes and sub-causes. As each branch is analyzed, we dig deeper into possible causes. This is how we get closer to the main sources of the issue or problem at hand. For example, if your category is ‘people’, you may want to look at ‘leadership’, ‘training’, ‘staffing’.

4. Pareto Analysis

The Pareto analysis is a well-defined root cause analysis tool. It takes a statistical approach to decision-making. It’s based on the principle that 80% of effects come from 20% of causes. This 80/20 rule simply means that 20% of the work creates 80% of the results. There is a risk of focussing too much on trivial problems in the process of reviewing or analyzing. We must focus our energies on the ‘vital few’ as opposed to the ‘trivial many’. ( https://rentalsfloridakeys.com/ ) For example, you may find that 20% of your female customers are the cause of 80% of your sales. However, it doesn’t mean that you focus all your marketing efforts only on your female customers.

5. Kepner Tregoe Method  

Also known as the KT Method, the Kepner Tregoe Method is a powerful problem-solving tool. Developed by two pioneers of rational decision-making, Charles Kepner and Benjamin Tregoe, this working method has been proven to produce results. Organizations often face the pressure of solving problems. There are many opinions on what the right approach to solving them should be. The KT method is a crucial analysis tool where the ‘problem’ is disconnected from the ‘solution’. It uses four rational processes to approach problems:

Situation Analysis

Clarifies what happened in the problem situation

Problem Analysis  

It answers ‘why it happened’, thereby identifying  the underlying cause

Decision Analysis

It tells us how to act, thereby determining decision-making criteria

Potential Problem Analysis  

It helps anticipate the results i.e., potential future problems or opportunities

Harappa’s Creating Solutions  course is designed to help you get to the root cause of any problem. You’ll learn how to effectively analyze problems and ask the necessary questions to make sound decisions and judgments. The Synthesis Technique will help you examine results from your analysis—you can rely on this process to draw actionable insights. Be a meticulous problem-solver and stand out at work.

We use variations of root cause analysis in our daily lives. It can be best understood in the context of mental health. We get help by going to therapy because we want to resolve our unhealthy patterns and bring in fundamental changes to our behavior and thinking. Addressing the root cause of problems helps us lead healthier lifestyles in the long-run. This analogy is reflective of the fact that the root cause analysis can be a drawn-out but transformative process. So, don’t rush, analyze at your pace, and stay rooted!

Explore our Harappa Diaries section to know more about the topic related to the Solve habit such as Importance of Decision Making , Ethical Decision Making & FMEA in order to develop your problem-solving skills .

• Guide: 5 Whys

Daniel Croft

Daniel Croft is an experienced continuous improvement manager with a Lean Six Sigma Black Belt and a Bachelor's degree in Business Management. With more than ten years of experience applying his skills across various industries, Daniel specializes in optimizing processes and improving efficiency. His approach combines practical experience with a deep understanding of business fundamentals to drive meaningful change.

• Last Updated: May 9, 2023
• Learn Lean Sigma

5 Whys is a problem-solving technique used to get to the root cause of problems by asking the question of Why multiple times, but often 5 times giving it the name “5 Whys”. This allows people to address the root cause of issues instead of the symptoms of the root causes which is often what is seen as the problem. 

Like a doctor diagnosing an issue such as neck pain, a painkiller will only address the symptoms of the neck pain and not the root cause of the pain. By getting to the root cause you can ensure a long-term fix to the root cause of the neck pain which could be caused by seating positions and not taking painkillers which is a short-term fix.

Table of Contents

What is the 5 whys.

The 5 Whys is a root cause analysis problem-solving technique that aims to identify the root cause of a problem by repeatedly asking the question “Why?” five times or until the core issue is unveiled. Developed within the Toyota Production System , it’s one of fundamental tools in the Lean Six Sigma methodology.

Here’s how it works:

• Begin with a clear and concise problem statement.
• Ask “Why?” the problem occurred. Document the answer.
• If this answer doesn’t identify the root cause, ask “Why?” again and document the subsequent answer.
• Continue this process until you’ve either asked “Why?” five times or the root cause has been identified.

Lets go through an example, let’s say a machine stopped working:

• Why? – The machine’s fuse blew.
• Why? – The machine was overloaded.
• Why? – There wasn’t adequate training on machine capacity.
• Why? – Training materials were outdated.
• Why? – There’s no review process for updating training materials.

In this case, the root cause is the lack of a review process for training materials, and addressing this will prevent similar issues in the future. Only treating the symptom in this situation would have been to change the fuse, for it then to regularly blow and cause additional downtime.

This is a good example where a machine stopping working’s root cause is cause by an issue what would not be obvious is first glace at the symptom of the problem and provides a clear example that root cause analysis is important to ensure that solutions are not jumped to before a through root cause analysis is conducted. 

Why is the 5 Whys Important?

Understanding the 5 Whys is important because identifying symptoms of a problem is not the same as uncovering its root cause. If you only address symptoms this provides only temporary solution to the problem. However, understanding and resolving the root cause can prevent the issue from reoccurring.

The 5 Whys Problem-Solving technique is also useful for:

• Problem Prevention: By identifying the root cause of the problem, businesses can implement long-term solutions, leading to more robust systems and processes and prevent the problem reoccurring.
• Cost-Efficiency: Addressing root causes is often more cost-effective in the long run as it prevents recurrence and the associated costs of repeated problem-solving which usually involves the same people constantly firefighting the same issues such as repeated machine breakdowns.
• Improved Processes: Regular use of the 5 Whys to identify the root causes of problems can highlight weaknesses in processes, leading to continuous improvement and optimization processes.
• Empowerment: The use of 5 Whys by individuals a positive culture that promotes a deeper understanding of systems and processes, empowering teams to take ownership and responsibility in addressing issues.

How to Conduct a 5 Whys Root Cause Analysis?

Step 1: define the problem.

This is an important step as if the problem is not defined effectively it could result in focusing in the wrong problem. A good method for this could be to use the 5W1H Is/Is Not Problem solving technique to gain a common understanding of that the problem is.

When stating the problem you are going to conduct a 5 Whys on it is important to be specific about the issue and avoid ambiguous descriptions. Additionally, where data and information is available this should be collected and used as evidence that points to the actual problem rather than opinions of the problem. 

Step 2: Ask the First “Why?”

Now you have a clear problem definition you should ask the question “Why did that happen?” This should be done to understand the problem without making assumptions and should be done with supporting facts and data that backs up the initial answer to the question.

Step 3: Continue to Ask Why?

Now you should have an answer to the first why. This should form the next step and ask why did that happen. This ensures you dont settle for the inisital surface-level answer or symptoms of the real problem and pushes you to understand the underlying issues.

When you continue to ask why you should:

• Continuously question the previous answer
• Challenge answer that seem like assumptions and lack evidence to support them to avoid going down the wrong route. 

Step 4: Continue the Process

• Keep the questioning focused on the problem
• If you feel the questioning is going off track revert back to what the initial problem definition.
• Ensure each answer provided logically leads to the next “Why?”
• The 5 Whys process then concludes when further questions leads to no further valuable answers are given or the when the root cause of the issues becomes clear.

Step 5 Implement Solutions

Once you have identified the root cause the you need to address it by implementing a solution to prevent the problem reoccuring.

This should be a case of developing an actionable solution that address the root cause of the issue and not preventing the symptoms as addressing the symptom will likely cause the issue to reappear elsewhere.

Make sure you test the solutions to ensure they are effective in addressing the root cause, you should then continue to monitor the process over time to confirm the problem did not reappear in the same place or elsewhere.

If the problem does not re appear congratulations you have solved the problem!

An Example of 5 Whys Analysis

Below is a good example of a 5 Whys analysis done in a situation where there was a production downtime.

To summarize, the 5 Whys process is an effective problem-solving tool that can assist businesses in identifying the root cause of a problem and developing effective solutions. Teams can delve deep into underlying issues and develop targeted solutions that address the root cause of the problem by asking “why” multiple times.

The five steps of the 5 Whys process – defining the problem, asking “why” once, asking “why” more times, developing a solution, implementing the solution, provide a clear framework for problem-solving and can help ensure that the problem is effectively resolved. The 5 Whys process encourages teams to think critically and systematically, resulting in long-term solutions that are effective, targeted, and sustainable.

• Benjamin, S.J., Marathamuthu, M.S. and Murugaiah, U., 2015. The use of 5-WHYs technique to eliminate OEE’s speed loss in a manufacturing firm.   Journal of Quality in Maintenance Engineering ,  21 (4), pp.419-435.

A: The 5 Whys technique is a problem-solving method that involves asking “why” multiple times to uncover the root cause of a problem or issue.

A: The 5 Whys technique involves repeatedly asking “why” to identify the underlying cause of a problem. After asking “why” five times or until the root cause is revealed, you can develop effective solutions to address the issue.

A: The primary purpose of the 5 Whys technique is to identify and address the root cause of a problem. It helps organizations and individuals go beyond surface-level symptoms and understand the deeper issues affecting their processes or systems.

A: The 5 Whys technique is best used when you encounter a problem or issue that needs to be resolved. It is particularly useful for complex problems, recurring issues, or situations where multiple factors contribute to the problem.

A: Yes, the 5 Whys technique can be applied to any industry or field. It is commonly used in manufacturing, engineering, healthcare, software development, project management, and various other sectors.

A: While the technique is called the “5 Whys,” the number of “whys” you need to ask may vary. The goal is to keep asking “why” until you reach the root cause of the problem, which may require more or fewer than five iterations.

A: Yes, there are a few limitations to consider when using the 5 Whys technique. It relies on the skill and knowledge of the people involved, and it may oversimplify complex problems. Additionally, it assumes a linear cause-and-effect relationship, which may not always be accurate.

A: Yes, the 5 Whys technique can be used in a group setting. In fact, involving multiple perspectives can enhance the effectiveness of the technique and lead to more comprehensive problem-solving.

Daniel Croft is a seasoned continuous improvement manager with a Black Belt in Lean Six Sigma. With over 10 years of real-world application experience across diverse sectors, Daniel has a passion for optimizing processes and fostering a culture of efficiency. He's not just a practitioner but also an avid learner, constantly seeking to expand his knowledge. Outside of his professional life, Daniel has a keen Investing, statistics and knowledge-sharing, which led him to create the website learnleansigma.com, a platform dedicated to Lean Six Sigma and process improvement insights.

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Why we need to find the root cause of our problem

Understanding problem causes is a significant aspect of problem solving. While we often refer to the causes of problems, there are many different types of causes and we need to be clear on what each different type of cause means. There are possible causes (sometimes referred to as potential causes), prevalent causes, fundamental possible causes and then the cause all problem solvers are typically most interested in, the root cause. Depending on how a problem is framed, it can have more than a single root cause, but in most cases the root cause is a singular cause.

The root cause is the underlying cause of the problem. It is where the problem “grows from” and which, if removed, prevents the problem from recurring. It is more than a prevalent possible cause, though such causes represent important milestones along the journey to discovering what the root cause of the problem is. In general, we need to do some digging to find the root cause, and this investigation relies entirely on concrete evidence. There are various techniques one could use to facilitate this process, of which the simplest and most effective is the 5-Why technique.

Root cause analysis tends to dominate conversations about problem solving, and when people are asked about problem solving techniques, their first answer is typically to mention a root cause analysis technique. Root cause analysis is however but only one of the steps towards solving a problem. So, what makes the root cause so important? The answer lies in the definition of what a root cause is. If the problem is thought of as a troublesome weed, and the root cause represents its roots, then elimination of the weed requires that we dig it out at the roots. This is done by developing and implementing an appropriate solution to our problem. Without knowing what our root cause is, we cannot develop a solution, and so we cannot solve our problem.

This seems self evident, yet many problem solvers dive straight into possible solutions without taking the time to define the problem clearly and to find the root cause. The solutions developed are then often not solutions at all, they only break the stem or remove some of the leaves, and the weed then quickly grows back.

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Root Cause Analysis Using Why-Why Diagram

The Why-Why Diagram helps to identify the root causes of a problem by narrowing down and eliminate possible causes, ideally to one or more addressable root causes. The why-why similar to tree diagram is an appropriate structure for practicing multiple 5 whys analysis all in one diagram. In other words, the why-why diagram is a graphic communication tool, to explain to others the many causes of a problem.

Symptoms vs Root Cause

When you’re resolving a problem, it’s important to understand the difference between a cause and a symptom. A “symptom” is an indicator or a sign that a problem exists. For instance, if your team has low morale, it is a sign of a problem. Low morale doesn’t happen by itself and it is a symptom or the root cause? The underlying problem may be heavy overtime, lack of communication, poor management, etc. In other words, when you resolve an issue, you must address the cause of the problem, not a related symptom. This final cause can be referred to as the “root cause.”

Four Steps for Creating Why-Why Diagram

• Develop a statement of the specific problem whose cause you are seeking. Write it on the root of the tree-like why-why diagram.
• Ask “Why?” this problem does or could occur. List all these causes and place them on the second level of the hierarchy immediately under the problem of the tree structure.
• Each of the cause statements now becomes a new problem statement. Again ask “Why?” Sometimes the question needs to be phrased, “Why does this situation cause the problem?” Create the next level of cause statements. Show the relationships to the second level of causes with arrows.
• Continue to turn each cause into a problem and ask “Why?” Do not stop until you reach the root cause (not symptoms appeared in the upper levels.

Why-Why Diagram Template

A Why-Why Diagram is a Tree Diagram where each child statement is determined simply by asking ‘why’ the parent occurs, as below. It may be structured as a vertical (as shown in the Figure below) or horizontal tree structure (as shown in the photocopier example).

It is thus very similar in use to tree Diagram, and analysis techniques may be borrowed from 5 whys analysis usage. Its simplicity can make it useful in less formal situations.

Note That: The Why-Why and How-How Diagrams together make a very simple toolset for finding causes of and solutions to problems.

Edit this Root-Cause Analysis Tree Example

Why-Why Analysis Example – Photocopier Smudging Problem

A particular model of photocopier is reported to be having smudged in the printout which can be caused by multiple possible reasons. To troubleshoot the problem, the quality assurance team decide to perform a root cause analysis using a why-why diagram:

Edit this Why-Why Diagram Example

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The Power of the Five Whys: Drilling Down to Effectively Problem-Solve

What is the “5 whys” method, the power of asking “why”, when the 5 whys should be used, how to utilize the 5 whys technique, five whys examples, other ways of improving problem-solving.

It’s a fact of life that things don’t always go according to plan. When facing mistakes or challenges, asking “why”—especially if you do it repeatedly—can help uncover deeper layers of understanding so you can identify potential solutions.

The question “why” can be used in problem-solving as a powerful technique that helps us dig deeper, challenge assumptions, and think critically. After all, if you’re not sure why a problem exists in the first place, it’s very difficult to solve it.

The “Five Whys” method (also called “5 Whys Root Cause Analysis”) can specifically help in examining beliefs, behaviors, and patterns to shine a light on areas for improvement. The Five Whys have other benefits too, including encouraging collaboration and communication since this strategy promotes open dialogue among team members or partners. It also helps generate effective and lasting solutions that can prevent similar issues from resurfacing in the future.

In this article, learn how to use the Five Whys to save yourself or your company from wasting time and money and to address important issues at their source before they escalate.

The “Five Whys” is a technique commonly used in problem-solving to find the root causes of problems . This type of analysis can be applied to various situations, including within companies and relationships, to gain deeper insights and understandings of challenges and obstacles. The method involves “drilling down” by repeatedly asking “why”—typically five times or more—to get to the underlying causes or motivations behind a particular issue. Overall, it’s a way to figure out causes and effects related to a situation so that solutions can be uncovered.

“Effective problem solving can help organizations improve in every area of their business, including product quality, client satisfaction, and finances.” Jamie Birt , Career Coach

Here are a few reasons why asking “why,” or practicing the Five Whys, is important in problem-solving:

• Identifies underlying issues and root causes: Repeatedly asking “why” helps peel back the layers of a problem to get closer to the heart of what’s not working well. The goal is to define the real issue at hand to address its underlying causes. Understanding root causes is crucial because it enables you to address issues at their source rather than simply dealing with surface-level effects.
• Promotes critical thinking: Critical thinking refers to the process of objectively and analytically evaluating information, arguments, or situations. To engage in critical thinking and analysis, we need to ask “why,” usually over and over again. This encourages us to develop a more nuanced understanding of a problem by evaluating different factors, examining relationships, and considering different perspectives. Doing so helps lead to well-reasoned judgments and informed decisions.
• Uncovers assumptions: The opposite of assuming something is remaining open-minded and curious about it. Albert Einstein once said , “The important thing is not to stop questioning. Curiosity has its own reason for existing.” Asking “why” prompts you to challenge preconceived notions you may not even realize you have. Often, we make assumptions about a problem or its causes without having all the information we need. By gaining a fresh perspective, we can consider alternative solutions.
• Generates insights: The Five Whys can lead to valuable discoveries and potential fixes by uncovering hidden connections. These insights can guide us toward innovative solutions that prevent similar problems from worsening or happening again.

“Curiosity has been identified as a characteristic of high-performing salespeople, and having a tool and system that fosters curiosity in your team is extremely helpful.” Alexander Young, Forbes

Any time a problem needs to be clarified and solved, the Five Whys can help. This flexible technique can be adapted to different situations, including personal and professional ones. For example, it’s useful when there are complications within businesses that are causing a loss of profits or when arguments occur among family members or partners. Eric Ries from Harvard Business Review points out that start-ups can especially benefit from the Five Whys to test and refine procedures, ideas, products, and processes.

To get the most out of the Five Whys, include people with personal knowledge of the problem, processes, and systems involved in the analysis, such as employees and customers. This means that if a leadership team, for example, wants to use the Five Whys to improve customer engagement, actual customers and customer service representatives would be ideal people to include in the discussion. 

Here are examples of situations in which the Five Whys can be utilized:

• Troubleshooting business processes or operations issues, such as delivery or customer service concerns.
• Identifying the reasons behind personal challenges or recurring problems, such as disputes between bosses and employees.
• Analyzing project failures or setbacks, such as missed deadlines, to find underlying causes.
• Understanding customer complaints or dissatisfaction to improve products or services.
• Improving communication, teamwork, and client relationships.

Sakichi Toyoda (1867–1930) was a Japanese inventor and industrialist known for his business ventures, including founding the Toyota Motor Corporation. Toyoda is credited with developing the Five Whys method in the 1930s, which he used to support continuous improvement within his companies . 

For example, within Toyota Production System (TPS), key goals included eliminating waste, improving efficiency, and ensuring quality. Toyoda used the Five Whys to identify problems within his company and to find ways to resolve them to improve production and customer satisfaction. He once stated , “By repeating why five times, the nature of the problem as well as its solution becomes clear.”

“The beauty of the [Five Whys] tool is in its simplicity. Not only is it universally applicable, it also ensures that you don’t move to action straight away without fully considering whether the reason you’ve identified really is the cause of the problem.” Think Design

The Five Whys works by drilling down to a main underlying cause. The answer to the first “why” should prompt another “why,” and then the answer to the second “why” should continue to prompt more “whys” until a root cause is identified.

Follow these steps to implement the Five Whys:

1. Identify the Initial Problem: Clearly define the problem you want to address. Be specific, such as by including details that help with the analysis. Make sure to clearly articulate the issue by breaking it down into smaller components to ensure everyone involved has a thorough understanding of the situation.

2. Ask “Why?”: Start by asking why the problem occurred. Answer your own question. The answer becomes the basis for the next “why” question.

3. Repeat the Process Five or More Times: Continue asking “why” about the previous answer, iterating at least five times or until you reach a point where the root cause of the problem becomes apparent.

4. Analyze and Take Action: Once you have identified the root cause, analyze potential solutions and take appropriate action.

Here’s a template that you can use to make the process simple:

Problem Statement: (One sentence description of the main problem)

• Why is the problem happening? (Insert answer)
• Why is the answer above happening? (Insert answer)

Root Cause(s) 

To test if the root cause is correct, ask yourself the following: “If you removed this root cause, would this problem be resolved?”

Potential Solutions:

List one or more ways you can resolve the root cause of the problem.

The Five Whys method is not a rigid rule but rather a flexible framework that can be adjusted based on the complexity of the problem. You may need to ask “why” only three times or more than five times, such as 7 to 9 times, to nail down the main underlying cause. It’s not the exact amount of “whys” you ask that matters, more so that you’re really investigating the situation and getting to the root of the issue.

Here are two examples of how the Five Whys technique can be used to problem-solve:

Example 1: Machine Breakdown

• Problem Statement: A machine in a manufacturing facility keeps breaking down.
• Why did the machine break down? The motor overheated.
• Why did the motor overheat? The cooling system failed.
• Why did the cooling system fail? The coolant pump malfunctioned.
• Why did the coolant pump malfunction? It wasn’t properly maintained.
• Why wasn’t the coolant pump properly maintained? There was no regular maintenance schedule in place.
• Root Cause: The lack of a regular maintenance schedule led to the coolant pump malfunction and subsequent machine breakdown.
• Solution: Implement a scheduled maintenance program for all machines to ensure proper upkeep and prevent breakdowns.

Example 2: Orders Not Being Fulfilled On Time

• Problem Statement: The order fulfillment process in an e-commerce company is experiencing delays.
• Why are there delays in the order fulfillment process? The warehouse staff is spending excessive time searching for products.
• Why are they spending excessive time searching for products? The products are not organized efficiently in the warehouse.
• Why are the products not organized efficiently? There is no standardized labeling system for product placement.
• Why is there no standardized labeling system? The inventory management software does not support it.
• Why doesn’t the inventory management software support a labeling system? The current software version is outdated and lacks the necessary features.
• Root Cause: The use of outdated inventory management software lacking labeling functionality leads to inefficient product organization and delays in the order fulfillment process.
• Solution: Upgrade the inventory management software to a newer version that supports a standardized labeling system, improving product organization and streamlining the order fulfillment process.

“Great leaders are, at their core, great problem-solvers. They take proactive measures to avoid conflicts and address issues when they arise.” Alison Griswold , Business and Economics Writer

Problem-solving is a skill that can be developed and improved over time. The Five Whys method is most effective when used in conjunction with other problem-solving tools and when utilized in a collaborative environment that encourages open communication and a willingness to honestly explore underlying causes. For the method to work well, “radical candor” needs to be utilized, and constructive feedback needs to be accepted.

Here are other strategies to assist in problem-solving, most of which can be used alongside the Five Whys:

• Gather and analyze information: Collect relevant data, facts, and information related to the problem. This could involve conducting research, talking to experts, or analyzing past experiences. Examine the information you’ve gathered and identify patterns, connections, and potential causes of the problem. Look for underlying factors and consider both the immediate and long-term implications.
• Have a brainstorming session: Collaborate with colleagues, seek advice from experts, or gather input from stakeholders. Different perspectives can bring fresh ideas. Gather a group of teammates and get out a whiteboard and a marker. Create a list of opportunities or problems and potential solutions. Encourage creativity and think outside the box. Consider different perspectives and approaches.
• Draw a cause-and-effect diagram: Make a chart with three columns, one each for challenges, causes, and effects. Use this to come up with solutions, then assess the pros and cons of each potential solution by considering the feasibility, potential risks, and benefits associated with each option. 
• Develop an action plan: Once you’ve selected the best solution(s), create a detailed action plan. Define the steps required to implement the solution, set timelines, and then track your progress.

Want to learn more about problem-solving using critical thinking? Check out this article:

Use Critical Thinking Skills to Excel at Problem-Solving

Leaders Media has established sourcing guidelines and relies on relevant, and credible sources for the data, facts, and expert insights and analysis we reference. You can learn more about our mission, ethics, and how we cite sources in our editorial policy .

• American Institute of Physics. Albert Einstein Image and Impact . History Exhibit. https://history.aip.org/exhibits/einstein/ae77.htm
• Indeed. 5 Whys Example: A Powerful Problem-Solving Tool for Career Development. Indeed Career Guide. https://www.indeed.com/career-advice/career-development/5-whys-example
• Entrepreneur. 3 Steps to Creating a Culture of Problem Solvers . Entrepreneur – Leadership. https://www.entrepreneur.com/leadership/3-steps-to-creating-a-culture-of-problem-solvers/436071
• Harvard Business Review. (2010, April). The Five Whys for Startups. Harvard Business Review. https://hbr.org/2010/04/the-five-whys-for-startups
• Forbes. (2021, June 7). Understanding The Five Whys: How To Successfully Integrate This Tool Into Your Business . Forbes – Entrepreneurs. https://www.forbes.com/sites/theyec/2021/06/07/understanding-the-five-whys-how-to-successfully-integrate-this-tool-into-your-business/?sh=5eda43675c18
• Think Design. Five Whys: Get to the Root of Any Problem Quickly. Think Design – User Design Research. https://think.design/user-design-research/five-whys
• Business Insider. (2013, November). The Problem-Solving Tactics of Great Leaders. Business Insider. https://www.businessinsider.com/problem-solving-tactics-of-great-leaders-2013-11

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Why did Iran attack Israel? What to know about the strikes, U.S. response.

Iran launched a wave of missiles and drones toward Israel late Saturday as regional tensions continued to mount over the war in Gaza . President Biden condemned the attack and spoke with Israeli Prime Minister Benjamin Netanyahu to reiterate the United States’ “ironclad” commitment to Israeli security, the White House said. Other allies including Germany, Canada, France and Britain reaffirmed their support for Israel in the wake of the attack while expressing fears that Tehran’s assault could further destabilize the Middle East.

Iranian state media said the missile and drone assault was in retaliation for a deadly Israeli strike on an Iranian diplomatic compound in Syria on April 1.

What happened

• More than 300 drones, cruise missiles and ballistic missiles were launched by Iran in the first full-scale military attack on Israel by Tehran. Around 99 percent of the projectiles were intercepted, according to Rear Adm. Daniel Hagari, the Israel Defense Forces spokesman.
• Some of the projectiles fell inside Israeli territory, and one damaged a military base in the country’s south, Hagari said. A young girl who was seriously injured in the attack underwent surgery and was moved to the pediatric intensive care unit, according to Israel’s Soroka Hospital.
• Hagari said “a coalition” of countries helped Israel with intercepting the projectiles. The U.S. military helped Israel take down “nearly all” of the drones and missiles, Biden said. British Prime Minister Rishi Sunak said Britain’s Royal Air Force shot down “a number of Iranian attack drones,” while Jordan’s cabinet said it “dealt with” objects that flew through its airspace overnight. France also contributed technological support, Hagari said.
• Tehran’s attack on Saturday was “four-pronged,” according to a report by the state-run Tasnim News Agency, originating from sites in Iran, Lebanon, Iraq and Yemen. The commander of Iran’s Islamic Revolutionary Guard Corps, Maj. Gen. Hossein Salami, called Tehran’s attack “more successful than we had expected” and warned that any retaliation by Israel would draw a more forceful response.
• At a United Nations Security Council meeting Sunday, Iran and Israel traded blame over the recent escalation. Iran’s ambassador said the Iranian attack was a “necessary and proportionate” response to an earlier Israeli strike on an Iranian consular building in Syria, while his Israeli counterpart said Iran’s actions “crossed every red line.”

Why did Iran attack Israel?

Iranian media said the attack was in retaliation for an Israeli strike this month on an Iranian consular building in Damascus, Syria, which killed members of the Islamic Revolutionary Guard Corps , including senior commander Mohammad Reza Zahedi and Brig. Gen. Mohammad Hadi Haj Rahimi.

Hamas expressed support for Iran’s attack on Israel this weekend, calling it a deserved response to the attack in Syria. Officials from the rebel Houthi group in Yemen congratulated Iran while downplaying their own involvement; Hagari said some UAVs and cruise missiles were launched from Yemen.

Israel has carried out strikes in Syria against Iran and its allies for years and throughout its six-month military campaign against Hamas in Gaza. But the April 1 attack stood out both because of its location — in a diplomatic compound, traditionally exempt from hostilities — and because of the seniority of the apparent targets.

Iran’s supreme leader, Ayatollah Ali Khamenei, promised that his country would avenge the Damascus attack. U.N. Secretary General António Guterres condemned the strike, citing “the inviolability of diplomatic and consular premises.”

The Israeli strike also frustrated Washington.

Three U.S. officials who spoke on the condition of anonymity to discuss security matters said Defense Secretary Lloyd Austin and other senior defense officials believed Israel should have informed them ahead of time because of the strike’s implications for U.S. interests in the region, The Washington Post reported.

U.S. officials worry about a multifront war breaking out and feared the Damascus strike could lead to attacks on U.S. military personnel based in Iraq, Syria or other parts of the Middle East.

Middle East conflict

How is the United States involved?

U.S. military forces in the Middle East intercepted “dozens” of Iranian drones and missiles, Austin said in a statement, adding that American military forces remain “postured” to protect U.S. troops and support Israel’s defense. He called on Iran to de-escalate tensions and halt attacks on Israel.

“We do not seek conflict with Iran, but we will not hesitate to act to protect our forces and support the defense of Israel,” the statement said.

Biden, who had directed aircraft and ballistic missile defense destroyers to be sent to the region over the past week in anticipation of an attack, said no U.S. troops or facilities were targeted in the barrage.

“We will remain vigilant to all threats and will not hesitate to take all necessary action to protect our people,” he said.

On Monday, National Security Council spokesman John Kirby said that Biden communicated to Israeli leader Benjamin Netanyahu that the weekend’s defensive actions had been an “extraordinary success,” and urged Netanyahu “to think about what that success says all by itself to the rest of the region” when considering next steps.

What is the recent history between Iran and Israel?

Iran has funded attacks on Israel in the decades before Israel’s war in Gaza that began Oct. 7, and its proxies have stepped up strikes in the months since.

Hezbollah, an Iranian-backed Lebanon-based armed group, has been firing rockets into Israel since the start of the war. Iran also supports Houthi rebels by smuggling weapons to Yemen, allowing the Houthis to prolong a deadly campaign of violence against commercial shipping.

Israel and Iran have been waging a covert war of assassinations and sabotage for years, The Post has reported .

More recently, Iran accused Israel of killing Brig. Gen. Sayyed Razi Mousavi, a senior adviser to Iran’s Islamic Revolutionary Guard Corps, in a missile strike in Syria in December. Israel declined to comment on this accusation.

Israel’s main focus for attacks in Iran has been the country’s nuclear program, which Israel has tried to undermine for years, The Post reported .

In 2021 Iran blamed Israel for an electrical blackout at Iran’s nuclear facilities, and more than a decade ago when a computer virus targeted Iranian nuclear infrastructure, the malware was suspected to be developed by Israel and the United States.

Kareem Fahim and Suzan Haidamous contributed to this report.

Israel-Gaza war

The Israel-Gaza war has gone on for six months, and tensions have spilled into the surrounding region .

The war: On Oct. 7, Hamas militants launched an unprecedented cross-border attack on Israel that included the taking of civilian hostages at a music festival . (See photos and videos of how the deadly assault unfolded ). Israel declared war on Hamas in response, launching a ground invasion that fueled the biggest displacement in the region since Israel’s creation in 1948 .

Gaza crisis: In the Gaza Strip, Israel has waged one of this century’s most destructive wars , killing tens of thousands and plunging at least half of the population into “ famine-like conditions. ” For months, Israel has resisted pressure from Western allies to allow more humanitarian aid into the enclave .

U.S. involvement: Despite tensions between Israeli Prime Minister Benjamin Netanyahu and some U.S. politicians , including President Biden, the United States supports Israel with weapons , funds aid packages , and has vetoed or abstained from the United Nations’ cease-fire resolutions.

History: The roots of the Israeli-Palestinian conflict and mistrust are deep and complex, predating the establishment of the state of Israel in 1948 . Read more on the history of the Gaza Strip .

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