describe the principles of problem solving and root cause analysis

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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

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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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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

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• Top Problem Solving Skills for Today's Job Market
• What is Problem Solving? (Steps, Techniques, Examples)

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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 (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

• Root cause analysis for logs
• Automate anomaly detection and accelerate root cause analysis with AIOps
• Why you need AIOps as part of your observability strategy
• Elastic Security for SIEM & security analytics
• 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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• What Is Root Cause Analysis? | Definition & Examples

What Is Root Cause Analysis? | Definition & Examples

Published on 7 January 2023 by Tegan George . Revised on 17 November 2023.

Root cause analysis is a problem-solving approach that uses the analogy of roots and blooms to model cause-and-effect relationships. Rather than focusing on what’s above the surface, root cause analysis troubleshoots solutions to problems by analysing what is causing them.

Root cause analysis is a form of quality management, often used in organisational management, quality control, and in healthcare fields like nursing. Root cause analysis can be a helpful study tool for students, too, when used for brainstorming or memorisation exercises.

Table of contents

Root cause analysis template, the ‘5 whys’ of root cause analysis, advantages and disadvantages of root cause analysis, frequently asked questions.

It’s easy to draw root cause analysis charts by hand, on a whiteboard or a big piece of paper. Many people use fishbone diagrams as well, or you can download our template below.

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One of the most common ways to conduct root cause analysis is using the ‘5 Whys’ method, popular in lean management. The 5 Whys are an interconnected method of analysis: after defining your problem, you ask ‘why?’  and answer as concisely as possible. The first ‘why’ often leads to the second, which leads to the third, etc.

In short, you continue to ask ‘why’ until the answer provided is no longer a contributor to the broader issue, but a possible solution to that issue. In other words, as you strategise, you’ll sense it’s time to stop when a provided answer has the potential to stop the whole problem from occurring, rather than only one aspect of that problem. This often takes 3-5 ‘whys’ but can definitely stretch out for longer.

You can use this template to map out your whys.

Root cause analysis is a great way to organise your thoughts, but its simplicity leads to a few downsides.

• Great brainstorming tool for individual or group projects.
• Can help identify causal relationships and clarify relationships between variables .
• ‘5 whys’ system can help simplify complex issues and drive possible solutions.

Disadvantages

• Can be overly simplistic, not leaving much room for nuance or variations.
• Path dependence can occur if the wrong question is asked, leading to incorrect conclusions.
• Cannot provide answers, only suggestions, so best used in the exploratory research phase .

There are several common tools used for root cause analysis , the most popular of which include fishbone diagrams , scatterplots, and the ‘5 whys’.

A fishbone diagram is a method that can be used to conduct root cause analysis.

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George, T. (2023, November 17). What Is Root Cause Analysis? | Definition & Examples. Scribbr. Retrieved 22 April 2024, from https://www.scribbr.co.uk/the-research-process/the-root-cause-analysis/

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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.

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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

Tracing a problem to its origins.

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 cause:

• 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.

To learn more about Root Cause Analysis, watch this video   .

The Root Cause Analysis Process

RCA has five identifiable steps.

Step One: Define the Problem

• 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 front line staff – who understands the situation. People who are most familiar with the problem can help lead you to a better understanding of the issues.

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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.

Use these tools to help identify causal factors:

• Appreciation   – Use the facts and ask "So what?" to determine all the possible consequences of a fact.
• 5 Whys   – Ask "Why?" until you get to the root of the problem.
• 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.

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.

Click on the button below to download a template that will help you log problems, likely root causes and potential solutions. Thanks to Mind Tools Club member weeze for providing the basis for this.

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• Over a month ago Michele wrote Hi Kwasi, You are most welcome. Completing a root cause analysis ensures that you identify the core issue to any problem. Michele Mind Tools Team
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How to do Root Cause Analysis? Everything You Need to Know

March 4th, 2024

Performing a root cause analysis is an invaluable problem-solving tool for any organization. At its core, root cause analysis (RCA) aims to uncover why issues arise by systematically evaluating contributing factors.

Once the underlying causes behind these problems are understood, teams can not only address the immediate symptoms but also take proactive preventative measures for the long term.  

Utilizing a data-driven methodology, root cause analysis gets to the bottom of quality, reliability, safety, and process inefficiencies.

By figuring out the true roots instead of just the obvious proximal causes, you diagnose the real reasons defects emerge, errors happen, failures occur or goals aren’t met.

The goal extends beyond resolving a one-time incident – it’s about fixing systemic gaps to avoid repeated future stumbles while continuously improving performance.

What is Root Cause Analysis?

Root cause analysis (RCA) refers to a set of approaches leveraged to uncover the underlying explanatory factors or root causes behind problems. Essentially, RCA provides a structured investigation process for identifying the true sources from which issues emerge in systems, products, workflows, or outcomes.

Whereas our instinct is often to address the most visible or proximate causes behind defects, errors, or negative events, root cause analysis deliberately digs deeper.

RCA diagnosis traces behind the symptoms to the source inputs, process weaknesses, and capability gaps giving rise to those surface-level problems.

This tracing back from consequence to cause requires analyzing the interconnected relationships within a system to find originating triggering points upstream where sustainable solutions can be targeted.

Goals of Performing Root Cause Analysis

There are three overarching goals fueling investments in root cause analysis initiatives:

Identify Underlying Problems

The foremost objective is to systematically diagnose the fundamental breakdowns or gaps responsible for the manifestation of issues.

As opposed to only compiling a list of contributing factors or observable indicators, RCA pursues the identification of the truly originating root deficiencies being tapped as the problem’s supply source.

Take Corrective Action  

The second purpose is to facilitate solution development targeting root causes for resolution.

Armed with insights linking specific deficiencies to negative outcomes, corrective interventions can be scoped to strategically address the problem’s inputs rather than applying superficial Band-Aids to outputs.

Investing in fixing root drivers substantially increases the soundness and sustainability of corrective actions taken.

Prevent the Recurrence of Issues

Lastly, the ultimate motivation is the prevention of issue recurrence through eliminating or controlling the root sources.

By remediating root causes and monitoring to confirm resolution, RCA strengthens system reliability and performance to avoid repeated failures manifesting in the future.

Hence required effort for rework decreases as problems stemming from the same unchecked root weaknesses cease to persist.

Steps for Conducting Root Cause Analysis

When executing a root cause analysis, there is an overall investigatory process containing key phases to follow for orderly problem diagnosis .

Walking through these main RCA steps lends structure to facilitate systematic root cause identification.

They provide foundational guidelines while deploying the specialized root cause analysis tools and methodologies covered later.

Define the Problem  

The first step when approaching any root cause analysis is to clearly articulate the problem you aim to address. This includes accurately describing the issue’s observable characteristics and quantifying the impacts witnessed thus far.

Define Specific Symptoms

Closely detail what is going awry to precisely scope the problem. Document factual indicators tied directly to performance shortfalls rather than vague hunches something is amiss. Quantify discrepancies between expected versus actuals. Capture failure modes . Outline errors committed or protocol breaches. Log quality defects surfacing. Probe to gather data-backed specifics.  

Understand Current Impacts

Quantify how these presenting symptoms translate into tangible setbacks. Connect observable indicators back to resulting consequences like goals underachieved, costs incurred, risks introduced, and other impacts.

Dimension the scope of influence including breadth across the customer base, affected product lines, or process phases. Demonstrate why solving this problem merits prioritization based on the depth of existing impacts.

Solid problem definition focusing on the analysis ultimately determines how effectively root causes will be found.

An accurate statement captures factual symptom patterns plus impact measurables tied to those reliability, quality, or performance defects witnessed.

That evidential grounding seeds direction for the data gathering and causal evaluation ahead.

Gather Information & Data

With a well-defined problem statement guiding the root cause analysis, attention next turns to gathering contextual input and evidence associated with the issue.

Create a Timeline of Events  

Work backward chronologically to chart out key events preceding and proceeding with observable defect occurrences . Capture operational data, process logs, related audit records, and other artifact sources to reconstruct event sequences.  

Consider perspectives like:

When exactly did defect indicators initially surface? Under what conditions or phase activity? After what system, input, or human touchpoint? Any correlative or high probability causal associations?

Seeking process flow understanding, catalog multi-tiered sequences of events, including upstream supplier activities, to identify potential propagation pathways giving rise to defects.

Document Contributing Factors

Beyond driving process factors and event chronologies, also gathers ancillary variables that likely influence or contribute to issue occurrence even if not as primary drivers. Consider documentation, insights from staff interviews, related incidents, past mitigation actions, and other clues that shed light.

Record as many hypothesized contributing factors as possible early on. This compilation supports connecting the dots during causal analysis without prematurely dismissing the potential relevance of surrounding variables.  

Through compiling events data and rounding out clues, these background informative sources feed into the causal analysis techniques to next diagnose just what latent weaknesses propagate or allow these problems to keep resurfacing.

Identify Causal Factors

With foundational information gathering completed, the next phase applies analytic techniques to start unraveling contributory causal linkages tied to the focal problem.

A diversity of root cause analysis tools can methodically assess hypotheses on factor interdependencies.

Use Analysis Tools Like 5 Whys and Fishbone Diagram

Structured brainstorming combined with visual mapping formats help investigates the likelihood of causal relationships across documented contributing variables and process flow events. For example:  

– The 5 Whys approach sequentially probes with “why” questions to follow explanatory chains probing closer to root causes.

– Fishbone diagrams visually organize causal factors under typical categorical influence dimensions like manpower, machinery, materials, methods, and more.

These analysis tools support rooting out key drivers versus ancillary variables amongst the stack of hypothesized factors initially compiled.  

Determine Relationships Between Factors  

Beyond naming factors, RCA analysis seeks to assess interrelationships – which elements potentially influence other elements either directly or in relayed sequences.

This mapping of connections across current state process steps, inputs, human decision points, and other variables constructs the pathway model of how certain vital few deficiencies propagate to enable the ultimate problem manifestation.

Solid analysis output accounts for factor likelihood and strength of relationships across the mapped flow.

Statistical, experiential, and consensus estimation techniques help qualify those key linkages for further root cause assessment.

Pinpoint the Root Cause(s)  

Having constructed a relationship model across contributing variables and process flow events, attention hones in on tracing the originating root causes behind the mapped issue. This diagnostic phase isolates the vital few originating causes to target for correction.

May Be Multiple Root Causes

Especially for complex problems, multiple root failure points may independently or jointly propagate deficiencies tied to the end observable defect. Isolate multiple contributing root causes rather than stopping at just one initial discovery.

Distinguish Between Causal Factors

When analyzing to pinpoint the deepest root sources, it is critical to differentiate causal factors from root causes.

Causal factors directly contribute to the problem but are not the underlying deficiencies enabling the causal chain.

True root causes originate upstream as the vital inputs or process weaknesses initiating the downstream consequence cascade.

Confirm root cause isolation by assessing if its resolution would eliminate the issue while simply addressing each causal factor alone would not resolve the problem long term.

This testing of whether fixed roots would break the failure sequence helps verify root cause validity for targeted corrective action ahead.

Implement Preventative Solutions

With verification of the root factors enabling the business problem’s occurrence, attention lastly turns to enacting changes to address exposed deficiencies for prevention.

Develop a Corrective Action Plan

Define a project plan oriented around enhancing control of the vital root inputs or strengthening process elements to minimize propagation likelihood going forward. Corrective actions directly target diagnosed deficiencies rather than applying generalized fixes.

Attach owners driving execution of enhancements like input specification improvements, adding process controls , capability development interventions, technology system changes, and more as tied to root issue resolutions.

Allocate Resources

Determine appropriate budget, staffing, infrastructure, and stakeholder access supports to facilitate execution against planned corrective initiatives. Resource design elements of the improvement plan for priority consideration.

Assign Responsibilities

Designate owners to carry through and sustain fixes critical for remediating diagnosed root weaknesses.

Assign subject matter experts tailored to focus areas like procurement, quality assurance, data analytics, applications, and more.

Maintain accountability via governance check-ins to validate containment of root factors enabling the original business problem faced.

Getting ahead of problems requires getting beyond just reactive firefighting. Root cause analysis provides an alternate mindset and procedural approach to transform from responsive defense to reliable prevention.

Leveraging the steps outlined transforms troubleshooting guesswork into solid problem diagnoses for impactful corrections that stick.

Tools for Root Cause Analysis

While the root cause analysis steps provide an overarching process, there are also many specific tools and techniques leveraged by practitioners to enable effective problem diagnosis .

These methodologies lend rigor and an evidence-based lens guiding productive analysis execution.

No one-size-fits-all tool exists as finding root causes encompasses a toolkit approach aligning techniques to problem complexity, organizational maturity , and analytics staff capabilities.

A variety of options cater better to deductive versus inductive analysis styles. Certain tools simplify tackling human versus process-driven deficiencies.

Below we will describe some of the most popular and impactful options as an introductory sampling of root cause analysis tooling available to drive actionable findings.

Looking across the techniques, common elements like visual mapping combined with iterative questioning enable unraveling factor connections. Statistics quantitatively point toward viral variables.

While no single method will perfectly fit every business environment, evaluating options against internal needs allows customizing an RCA toolbox for repeating success.

Let’s look at how to use 5W , fishbone diagram , fault tree , etc. to run a Root Cause Analysis.

5 Whys Technique

The 5 Whys approach represents one of the simplest root cause analysis tools, asking “why” iteratively to trigger deeper-dive brainstorming on contributory factors. By sequentially questioning “why” around five times, analysis can often get to root causes efficiently.

Ask “Why” Questions Iteratively

Start with the problem indicator as documented. Ask why it is occurring. For the explanation received, again ask why regarding that reason.

Continue asking why around five+ times until reaching a root originating cause rather than just symptoms or intermediate factors.

The key is not stopping at superficial responses. Use follow-on probing around systemic relationships to get beyond guesswork into sourcing vital causal inputs behind issues. Answer chains build an explanatory logic trail.

Fishbone Diagram

The fishbone diagram compiles a visual catalog of causal variables for organized analysis facilitating potential root cause identification.

As factors accumulate and interrelate in complex ways, this format supports assessment efficiency.  

Visually Map Causal Factors

Fishbone diagrams provide an intuitive visual roadmap of multiple categories of influencing factors like materials, machinery, staffing, and methods.

This organization into standard dimension groupings eases assessing angle applicability to the issue context. Breaking down by factor type combined with team discussion aids in root cause emergence.

Fault Tree Analysis

Fault Tree Analysis offers a structured deductive approach applying boolean logic for disciplined qualification of factor likelihood and interconnectedness to narrow resolving power onto root causes.

Deductive Root Cause Analysis

In a fault tree diagram, the undesired state requiring diagnosis sits at the top. Sub-branches then visually map how that state could logically occur based on combinations of certain lower-level events and conditions using “AND” and “OR” logical operators.

Walking through documented branches and assessing the likelihood of reaching originating root factors at the base of the tree provides evaluation rigor.

Fault tree branches knocked out via factor improbability allows deductively focusing in on the active root causes behind an issue.

Failure Mode & Effects Analysis (FMEA)

Failure Mode and Effects Analysis offers an anticipatory approach to risk analysis applied for early identification of vulnerabilities permitting problems before they emerge. It statistically quantifies criticality toward issues to guide control priorities.  

Predictive Identification of Failures

Potential failure modes are hypothesized along with estimating their likelihood to manifest and the severity of impact if occurring. A risk priority number mathematically combining probability and consequence severity indicates the highest priority vulnerabilities for proactive mitigation efforts.

FMEA analysis flows through these steps:

• Documenting process flows and system design specifications.
• Cataloging where and how failure could theoretically occur.
• Rating probability and severity estimates for each failure mode.
• Calculating weighted risk priorities steering mitigation targeting.
• Developing controls and contingency responses aligned to top risks.

Getting ahead of downstream issues, FMEA provides an alternate lens complementary to retrospectively investigating executed failures through other root cause analysis approaches.

It serves prevention needs rather than just diagnosis for organizations’ maturing quality system reliability and performance benchmarks.

Applications of Root Cause Analysis

While originally pioneered in industrial environments, root cause analysis has expanded across functions from product design through end-user support to unlock business performance, operational efficiency, and continuous improvement advances.

Root cause analysis seamlessly integrates into Lean Six Sigma cultures demonstrating infrastructure capabilities enabling reliable prevention. However, any organization in search of elevating standards, systematizing enhancements, or diagnosing tricky recurring issues can benefit from instituting RCA capabilities.

Manufacturing & Quality Control

Eliminating waste while improving quality, safety, and delivery benchmark attainment all require understanding vital causes behind unacceptable variation. RCA offers manufacturing analytics to optimize flow.

Reduce Defects & Waste

Learn why rejection and rework rates fail to meet control standards. Identify source impurities decreasing yield. Discover where bottleneck throughput lags emerge. Optimize prevention resources against diagnosed vital few equipment failure modes. Get to root design weaknesses prompting field failures.

RCA provides manufacturing analytics illuminating upstream process vulnerabilities and product robustness gaps that quality engineers can re-engineer to reduce downstream waste. The evidence-based insights fuel continuous improvement prioritization essential for operational excellence.

Software Development

IT leaders applying root cause analysis to diagnose tricky software defects optimize quality assurance. Pinpointing true error triggers versus symptoms provides effective resolutions by seasoned developers.

Bug Tracking and Resolution

Applying investigative questioning around runtime errors and customer-reported issues provides clarity to trace back through requirements, architecture, and code base vulnerabilities introducing those bugs. Similarly, managing outages and performance degradations benefits from RCA lifting the hood on dependencies and resource contention under the covers.

Business Process Improvement

Every business leverages processes crossing functional teams, underlying technology, and spanning external partners. Root cause analysis gifts a microscope to optimize flow efficiency, reliability, and experience.

Identify Process Inefficiencies

Document as-is workflow steps, decision points, and outputs. Measure improvement needs around cycle time, work transfers, rework loops, constraints impacting costs or service levels, and roadblocks frustrating customers. Construct current state process maps highlighting pain points.

Conduct RCA to diagnose root design, capability, and capacity gaps disadvantaging flow. Re-engineer based on evidence vs. assumptions alone.

From manufacturing shop floors to software quality assurance to overall business productivity, root cause analysis crosses functions to drive operational gains.

RCA provides insights to strengthen the weakest links recognized across integrated processes and systems that compromise broader performance.

Best Practices   

While the methods and tools empower root cause analysis execution, real-world success also depends on engagement, analysis, and implementation excellence.

Various best practices should be fostered around the people, process, and leadership elements involved with RCA.

Involve Cross-Functional Teams

Gathering a diversity of experts across functions touched by the problem to be diagnosed provides analytical breadth bolstering findings. Cross-functional collaboration harnesses different vantage points, experiences, and expertise to enrich RCA direction and outcome integrity.

Harness Different Perspectives

Multidisciplinary participation facilitates a well-rounded understanding of the current state, ideas on latent improvement opportunities, and balanced decision-making interpreting causes.

Consistent involvement across phases also strengthens buy-in critical for solution adoption success downstream.

With a breadth of lenses applied, creative identification of root causes overlooked otherwise comes to light.

Expanding beyond just technical leads or coaches facilitating RCA, hands-on participation across the various functions interfacing with the process or system under review will enhance analysis productivity and solution integrity.

Such collective ownership through the root cause journey propagates engagement critical for executing against recommended enhancements as well.

Create Blameless Culture

Effectiveness finding actual root causes relies on an environment promoting open transparency rather than fear of retribution. When people feel psychologically safe to share knowledge of vulnerabilities, higher quality analysis unfolds.

Encourage Transparency About Problems

Leaders must nurture a “blameless culture” where the focus stays on collective learning rather than targeting culpability.

Model inquisitive questioning, acknowledge contributions, and recognize success in uncovering insights. Establish RCA as an ongoing collaboration operating across functional boundaries.

Proactive sharing accelerates and enhances analysis, whereas environments allowing blame induce hiding failure observations essential for follow-on diagnostics.

Focus on True Root Causes

The end objective focuses on remediating deficiencies at originating sources instead of addressing symptoms alone. Repeatedly confirmed analysis dives deeper beyond the superficial factors initially evident.

Don’t Just Address Superficial Factors

Guard against analysis stagnation at intermediary contributors versus tracing further upstream toward vital root causes.

Leaders should constantly calibrate direction to pursue root factors that if remedied would prevent issue recurrence as the litmus test qualifying properly scoped RCA.

The core principles empowering successful root cause analysis encompass engagement models promoting transparency rather than fear while enabling deep analytic rigor refusing to settle on surface causes.

Adhering to these foundational practices pays dividends with more impactful insights and solution implementation.

Key Takeaways on How to do Root Cause Analysis

Root cause analysis provides a vital capability for any organization seeking to move beyond reactive firefighting toward reliable prevention.

While requiring investment and competency development, proficiency in paying RCA dividends emerges across operational efficiency, quality, customer experience, and financial performance outcomes.

RCA Helps Diagnose and Prevent Recurring Issues

Whether tackling sporadic issues or systemic defects, RCA gifts objective precision guiding corrective enhancements aligned to true underlying failure points.

The evidence-based analytical approaches uncover root causes that if remediated proactively contain issue recurrence likelihood.

The foundational overview shared introduces what , why , and how regarding root cause analysis. Several next milestone steps merit consideration for instituting RCA practices tailored to your organization’s needs.

Implement RCA Methodology Tailored to Your Needs

• Build Leadership Alignment: Confirm executive support to foster an engagement model and allocate resources enabling RCA productivity as a priority capability.
• Launch Training: Develop skilled practitioner depth across functions in RCA tools from visual mapping techniques like fishbone diagrams to statistical methods like FMEA while constructing an optimal toolkit mix.
• Standardize Governance: Define policies and collaborative forums providing oversight, best practice sharing, efficiency optimizations, and corrective action accountability across the RCA lifecycle.
• Start Small, Demonstrate Quick Wins: Pilot RCA diagnosis and solution implementation for an important business issue to showcase capability value realized.

Root cause analysis success requires work – from leadership, staff skill development, and process adoption. However, embracing RCA thinking and methods delivers a multiplier effect on operational gains to continue building competitive advantage.

Now is the time to get started or expand your RCA journey !

The root cause analysis is a very helpful process in understanding as well as finding solutions to the problem. These indispensable tools will help you conduct this process more efficiently.

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• Guide: Root Cause Analysis

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: September 5, 2023
• Learn Lean Sigma

Root Cause Analysis (RCA) is a key tool in continuous improvement, acting as a systematic approach to identify and tackle the underlying issues behind problems. RCA aims not only to provide a temporary fix but to offer long-lasting solutions by addressing the root causes.

RCA, such as the Fishbone Diagram , the 5 Whys , and FMEA . Whether you’re looking to solve complex challenges or improve cost-efficiency, this guide will offer understanding of how to identify the root cause of problems with useful Lean Six Sigma tools.

Table of Contents

What is root cause analysis.

Root Cause Analysis, often referred to as RCA, is like being a detective for problems in your business or project. Imagine you have a leaking pipe in your house. You could keep mopping up the water every time it leaks, but that’s not really solving the issue. The right thing to do is find out why it’s leaking in the first place and fix that. RCA works the same way; it helps you find out the “why” behind a problem so you can fix it for good.

Structured Approach

When we say RCA is a “structured approach,” we mean it’s not just random guesswork. It’s a planned way to dig deep into a problem. You will follow certain steps and use specific tools to figure out what’s really going on. This makes sure you’re not just treating the “symptoms” of the problem, like mopping up water from a leak, but you’re finding out why the problem is happening in the first place.

Identify Underlying Reasons

The “underlying reasons” are the real culprits behind a problem. For example, if a machine in a factory keeps breaking down, simply repairing it each time isn’t enough. You need to find out why it’s breaking down. Is it old? Are people using it wrong? RCA helps you answer these kinds of questions.

Long-term Solutions

The coolest part about RCA is that it’s focused on long-term solutions. Once you know the root cause of a problem, you can create a fix that will (hopefully) make sure it never happens again. This is way better than just putting out fires all the time.

By understanding and using RCA, you’re not just stopping at “What is the problem?” You’re going the extra mile to ask, “Why did this problem happen?” and “How can we make sure it doesn’t happen again?” That’s a game-changer in making things better for the long run.

Importance of Root Cause Analysis

Understanding the “why” behind a problem isn’t just something that’s nice to do; it’s crucial for several reasons.

Problem Solving

Imagine you have a puzzle, but all the pieces are jumbled up. Trying to see the whole picture from this mess would be overwhelming, right? RCA is like sorting these puzzle pieces into groups; maybe by color or edge pieces versus middle pieces. When you break down a big, complex problem into smaller parts, it becomes much easier to solve. RCA helps you dissect a problem into its basic elements so you can tackle each one individually. This makes it easier to find out what’s really going wrong and fix it.

Cost-Efficiency

You know the saying, “Time is money”? Well, constantly fixing the same problem over and over again is like throwing both time and money down the drain. If you use RCA to get to the bottom of an issue and solve it at its root, that issue is less likely to come back. This means you spend less time, effort, and money on it in the future. For a business, this is a big deal because it means you can focus on growing and improving, rather than fixing the same old problems. This is where most businesses fail to progress as they spend the day to day activities fire fighting repreated problems.

Quality Improvement

Let’s say you run a bakery, and you notice that your chocolate chip cookies are coming out burnt too often. You could just toss the burnt cookies and make a new batch, but that doesn’t stop the next batch from burning too. If you use RCA to find out why they’re burning—maybe the oven temperature is wrong or the baking time is too long—you can fix that issue and make perfect cookies every time. This makes your customers happy and keeps them coming back. In the same way, RCA helps you improve the quality of your products or services by fixing the real issues, not just the symptoms. This leads to happier customers and better reviews, which are good for any business.

Types of Root Cause Analysis Methods

When it comes to finding the real reason behind a problem, one size doesn’t fit all. Different situations may require different approaches. That’s why there are several methods for conducting RCA. Let’s explore three of the most commonly used methods.

Fishbone Diagram (Ishikawa)

Imagine a fish. The head represents the problem you’re facing, and the bones branching off from the fish’s spine are the possible causes of the problem. This is what a Fishbone Diagram looks like. Also known as an Ishikawa Diagram or Cause and Effect Diagram, this method helps you visually break down a problem into different categories or “themes.”

For example, if you’re running a restaurant and customers are complaining about long wait times, you could use a Fishbone Diagram to categorize potential causes into themes like ‘Staffing,’ ‘Kitchen Efficiency,’ ‘Order Process,’ etc. Within each theme, you list out possible root causes. This helps you see the whole picture and makes it easier to identify where the real issue might be coming from.

You can learn more about the fishbone diagram process with our guide

Remember being a curious kid and asking “Why?” about everything? The 5 Whys method is pretty much the same. Start with the problem at hand and ask “Why did this happen?” Once you have an answer, ask “Why?” again, digging deeper. Keep asking “Why?” until you’ve asked it five times or until you reach a point where the root cause becomes clear.

For example, if a machine in a factory stops working, you could ask:

• Why did the machine stop? (Answer: The motor burned out.)
• Why did the motor burn out? (Answer: The motor was overloaded.)
• Why was the motor overloaded? (Answer: The machine was running at high capacity for too long.)
• Why was the machine running at high capacity for so long? (Answer: There was a backlog of orders.)
• Why was there a backlog of orders? (Root Cause: Poor planning and scheduling.)
• This helps you trace back the chain of events to find the root cause of the problem.

You can learn more about the 5 Whys process with our guide.

FMEA (Failure Modes and Effects Analysis)

FMEA is like looking into a crystal ball to see what could go wrong in the future. It’s a way to evaluate different ways a process or product could fail and to understand the impact of those failures. You list out all possible failure modes, how likely they are to happen, how bad the impact would be, and how well you could detect them before they cause problems. This helps you prioritize which potential issues need immediate attention.

Below is an example from a manufacturing business. The higher the RPN (risk priority number) the more important it is to address the issue.

You can learn more about the FMEA with our guide

Selecting an RCA method

If you are new to root cause analysis it can be difficult knowing which approach to use to solve your problem. This can be made simpler by considering the below

Is the problem simple and straightforward?

Use The 5 Whys Method

Is the problem complex with multiple factors?

Use Fishbone Diagram (Ishikawa)

Is a quantitative risk assessment needed?

Use FMEA (Failure Modes and Effects Analysis)

Use other specialized RCA techniques or hybrid methods

The Five-Step RCA Process

RCA isn’t something you can do haphazardly; it requires a structured approach to be effective. That’s where the Five-Step RCA Process comes in handy. It provides a roadmap to tackle your problem methodically. Let’s start by discussing the first step in detail.

Step 1: Define the Problem

Before you can find a solution to any problem, you need to know exactly what that problem is. You’d be surprised how often people jump to fixing things without clearly understanding what’s wrong in the first place. Defining the problem is like setting the GPS before going on a trip; it sets the direction for everything that follows. Here’s how to go about it:

Be Specific

Let’s say you’re running a coffee shop, and you notice that customers aren’t coming back. Simply saying, “Business is slow,” is too vague. A more specific problem statement would be, “Customer return rate has dropped by 20% in the last two months.”

Numbers don’t lie. Whenever possible, use data to define your problem. In the coffee shop example, you could look at sales records, customer surveys, or loyalty program participation to pinpoint the decline.

Consider the 5 Ws

• Who:  Who is affected by this problem? Is it just one department, the whole company, or maybe your customers?
• What:  What exactly is the issue? Try to describe it in one sentence.
• Where:  Where is this problem occurring? Is it in a specific location or across various places?
• When:  When did you first notice this problem? Is it a constant issue or does it happen only at certain times?
• Why:  At this stage, you may not know the root cause, but you might have some initial thoughts on why the problem might be occurring.

Write it Down

Once you’ve gathered all this information, write down your problem statement. This serves as a reference point for everyone involved in the RCA process, making sure everyone is on the same page.

After gathering all the relevant information, the problem statement for RCA could be:

“The rejection rate for Widget A produced on Line 3 has increased by 15% in Q2 2023 compared to Q1 2023, predominantly due to ‘Cracked Surface’ defects. This issue first became apparent at the beginning of Q2 and has been consistent since. Initial observations suggest it may be due to material quality or machine calibration issues.”

Step 2: Gather Data

Once you’ve clearly defined the problem, the next step is like being a detective gathering clues. You’ll need to collect all the relevant information that will help you get to the bottom of the issue. This stage is crucial because the quality of your Root Cause Analysis depends on the quality of your data. Here’s how to go about it:

Identify Data Sources

First, figure out where you can get the information you need. This could be anything from company records and employee interviews to customer surveys and machine logs. For example, if your problem is a decrease in product quality, you might look at manufacturing data, quality control reports, and customer feedback.

Types of Data to Collect

• Quantitative Data : These are numerical data that can be measured. Examples include sales figures, production rates, and customer satisfaction scores.
• Qualitative Data : These are descriptive data that can be observed but not measured. Examples include employee morale, customer comments, and the observable state of machinery or processes.

Timing Matters

When did the problem start? Was it gradual or sudden? Understanding the timeline can offer important insights into potential causes. Collect historical data if possible, as this will help you see trends and patterns.

Use Tools to Collect Data

Depending on your needs, various tools can help in data collection. Spreadsheets can be useful for tracking numbers and metrics. Surveys and questionnaires can capture customer or employee feedback. Advanced organizations may use specialized software for data collection and analysis.

Document Everything

Make sure to keep a record of all the data you collect. Organize the data in a way that’s easy to understand and analyze. Charts, graphs, or tables can be helpful here.

Verify Your Data

Before you move on to analyzing the data, make sure it’s accurate and reliable. Double-check your numbers, verify survey results, and confirm any observations. The last thing you want is to make important decisions based on faulty information.

Gathering data might seem like a time-consuming step, but it’s essential for a successful Root Cause Analysis. The more thorough you are at this stage, the easier it will be to identify the actual root cause of the problem later on.

Example Collected Data

Here’s a snapshot of what some of the collected data could look like:

Machine Logs (June 2023)

Quality control reports (june 2023), employee interviews.

• Operators have noticed the machine making unusual noises.
• Quality control staff report an increase in defects that look like cracks on the surface.

Step 3: Identify Possible Causes

After you’ve defined your problem and collected all the relevant data, it’s time to roll up your sleeves and dig into the “why” behind the issue. This step is like brainstorming, but more structured. You’re trying to come up with a list of all the things that could possibly be causing the problem you’ve identified. Here’s how to do it:

Choose a Method

As mentioned earlier, there are various methods you can use to identify possible causes. Two of the most common are the Fishbone Diagram and the 5 Whys. The choice depends on the nature of your problem.

• Fishbone Diagram: This is good for complex problems where multiple factors could be at play. The diagram allows you to visually organize potential causes into different categories, making it easier to focus your investigation.
• The 5 Whys: This method is more straightforward and works well for simpler problems. By repeatedly asking “Why?” you dig deeper into the issue until you identify possible root causes.

Involve the Right People

Don’t try to do this all on your own. Involve team members who are familiar with the problem area. They can offer valuable insights you might not have considered. If you’re dealing with a technical issue, for instance, having an engineer in the room can be incredibly helpful.

Generate a List of Possible Causes

Using your chosen method, start listing down all the potential causes. Be as comprehensive as possible. If you’re using a Fishbone Diagram, for instance, you’d list potential causes under each category or “bone” of the fish. For the 5 Whys, you’d document the chain of reasoning that leads you to potential root causes.

Use Your Data

Remember the data you collected in Step 2? Now’s the time to use it. Align your list of possible causes with the data to see which ones are most likely. For example, if one of your potential causes is “Poor Training,” but your data shows that all employees have completed mandatory training, then you might want to reconsider that cause.

Prioritize Causes

Not all causes are created equal. Some are more likely than others to be the root cause of your problem. Use your team’s expertise and the data you’ve collected to prioritize which causes to investigate further.

By the end of this step, you should have a well-organized list of possible causes for your problem, backed by data and expert input. This sets the stage for the next steps, where you’ll zero in on the actual root cause and figure out how to fix it.

Example of Identifying Possible causes

Following on with the same example, as this is a more complex issue with multiple factors, it makes sense to conduct the root cause analysis using the Fishbone method. Therefore, we need to ensure to include the right people—a cross-functional team. In this case, that would comprise production engineers who understand the machinery, quality control experts who have the data on defects, and machine operators who can provide firsthand experience and observations.

The next step is to collectively brainstorm and categorize potential causes for the increased rejection rate in Widget A. Utilizing the Fishbone Diagram, the team breaks down the problem into six major categories: Machine, Method, Material, Manpower, Environment, and Measurement.

Identifying the possible causes in our example

Following on with the same example, as this is a more complex issue with multiple factors, it makes sense to conduct the root cause analysis using the Fishbone method. Therefore, we need to ensure to include the right people—a cross-functional team. In this case, that would comprise production engineers who understand the machinery, quality control experts who have the data on defects, and machine operators who can provide firsthand experience and observations. The next step is to collectively brainstorm and categorize potential causes for the increased rejection rate in Widget A.  Utilizing the Fishbone Diagram, the team breaks down the problem into six major categories: Machine, Method, Material, Manpower, Environment, and Measurement.

Step 4: Determine the Root Cause

After identifying a list of possible causes, it’s time to put on your detective hat again and figure out which one is the real culprit—the root cause of your problem. 

This is a critical step, as identifying the wrong cause can lead you down a path of ineffective solutions. Here’s how to go about it:

Review Your List of Possible Causes

Start by revisiting the list you made in the previous step. This will serve as your “suspect list” in identifying the root cause. At this point, you’ve already done some initial prioritization, so you have an idea of which causes are most likely.

Analyze the Data

Remember the data you collected in Step 2? Now is the time to dive deep into it. Compare each possible cause against the data to see if it holds up. Look for patterns, correlations, or anomalies that might point to one cause over the others.

For example, if you’re dealing with a decrease in product quality and one of your possible causes is “Faulty Raw Materials,” you could look at inspection reports, batch numbers, and supplier records to see if there’s a correlation.

Conduct Tests or Experiments

Sometimes, analyzing existing data isn’t enough. You might need to conduct additional tests or experiments to validate or rule out possible causes. For instance, if you suspect a machine is malfunctioning and causing a problem, you might run it under controlled conditions to see if the issue repeats.

Use Logical Reasoning

Sometimes the root cause isn’t obvious, even with data and testing. In such cases, logical reasoning can help. You might use deductive reasoning to rule out unlikely causes or inductive reasoning to generalize from specific observations.

Involve Experts

If you’re stuck or the root cause isn’t clear, don’t hesitate to consult experts. These could be internal team members with specific expertise or external consultants who specialize in the problem area you’re investigating.

Confirm the Root Cause

Before you move on to finding a solution, make sure you’ve found the real root cause and not just a symptom of a deeper issue. Validate your findings by asking:

• Does this cause explain most or all of the problem?
• If we fix this, is it likely that the problem will be solved?
• Do most team members agree that this is the root cause?

Once you’ve determined the root cause, document it clearly. You’ll use this information in the next step to develop and implement a solution that addresses the issue at its core, ensuring it’s less likely to recur in the future.

Determining the Root Cause of our Example

Continuing with our example, the cross-functional team now shifts its focus to determining the root cause of the increased rejection rate for Widget A. Armed with their prioritized list of possible causes and the data gathered, they delve into the next step of the RCA process.

The team begins by revisiting the “suspect list” generated using the Fishbone Diagram. Machine-related factors, particularly temperature fluctuations, pressure inconsistencies, and cycle time variability, are at the top of this list, followed by material quality concerns. Analyze the Data Digging deeper into the data collected, the team finds that the temperature, pressure, and cycle time increases directly correlate with the spike in the ‘Cracked Surface’ defect type. They also note that the unusual noises observed by machine operators started to occur around the same time the defects increased. Conduct Tests or Experiments To validate these observations, the team decides to run the molding machine under controlled conditions, varying one parameter at a time while keeping the others constant. After a series of tests, they discover that an increase in temperature directly leads to the ‘Cracked Surface’ defects in the widgets. Use Logical Reasoning Using deductive reasoning, the team rules out other possible causes. For instance, since all operators have completed mandatory training and the material batches show no signs of contamination, these are less likely to be the root causes. Confirm the Root Cause After careful consideration and validation, the team reaches a consensus that the root cause of the problem is “Temperature Fluctuations in the Molding Machine.” This conclusion satisfies the criteria for root cause identification: It explains most, if not all, of the ‘Cracked Surface’ defects. Fixing this issue is likely to resolve the problem. Most team members agree that this is the root cause. The team documents this root cause clearly and prepares for the next step in the RCA process: developing and implementing a solution that will fix this issue at its core, thereby preventing its recurrence in the future.

Step 5: Implement and Monitor Solutions

Congratulations, you’ve identified the root cause! But your journey doesn’t end here. The whole point of Root Cause Analysis (RCA) is to not just find the root cause but to fix it so the problem doesn’t happen again. This is where Step 5 comes in, where you implement solutions and make sure they actually work. Here’s how to go about it:

Develop a Solution Plan

The first thing you need to do is come up with a plan for how you’re going to fix the root cause you’ve identified. This should include:

• What  needs to be done: The specific actions that will address the root cause.
• Who  will do it: The people responsible for each action.
• When  it will be done: A timeline for implementation.
• How  it will be done: The resources and methods needed to implement the solution.

Gain Approval and Support

Before you start making changes, make sure you have the necessary approvals. This might mean getting a budget approved or getting buy-in from key stakeholders. The more support you have, the smoother the implementation process will be.

Implement the Solution

Now it’s time to roll up your sleeves and get to work. Follow the plan you’ve developed, and start implementing the solution. This could involve anything from retraining staff and revising procedures to repairing equipment or introducing new technology.

Monitor Effectiveness

You can’t just implement a solution and walk away. You need to monitor how well it’s working. This means going back to the data you collected in Step 2 and continuing to track those metrics. Are they showing improvement? If not, you may need to revisit your solution or even go back to earlier steps in the RCA process.

Make Adjustments as Needed

Sometimes a solution that looks great on paper doesn’t work out as well in the real world. If you find that your solution isn’t as effective as you’d hoped, be prepared to make adjustments. This could mean tweaking your current solution or going back to the drawing board to identify a different root cause.

Document the Process

Don’t forget to document everything you’ve done, from the solutions you implemented to the results you achieved. This documentation can be invaluable for future problem-solving efforts and for creating a knowledge base that can help prevent similar problems in the future.

Implementing and monitoring solutions of our example

After identifying “Temperature Fluctuations in the Molding Machine” as the root cause, the team crafts a detailed solution plan: What Needs to Be Done : Overhaul the machine’s cooling system and recalibrate temperature settings. Who Will Do It : A dedicated team of production engineers and machine operators. When It Will Be Done : To be completed within a two-week timeframe. How It Will Be Done : Allocate necessary resources like new cooling components and software for recalibration.

Gain Approval and Support Before proceeding, the team prepares a budget proposal and secures approval from management. They also consult with the quality control team and machine operators to gain their buy-in, ensuring a smoother implementation process. Implement the Solution The team then sets out to execute the plan. The cooling system is overhauled, and the machine is recalibrated. A pilot run is conducted to ensure that the new settings are effective in maintaining consistent temperature levels. Monitor Effectiveness After implementing the changes, the team goes back to the data. They continue to monitor the same metrics—temperature, pressure, cycle time, and defect count. Initial results show a significant reduction in the ‘Cracked Surface’ defect type. The temperature fluctuations have notably decreased. Make Adjustments as Needed While the initial results are promising, the team remains vigilant. They agree to meet bi-weekly to review the data and make any necessary adjustments to the solution. So far, no further modifications are required. Document the Process The entire RCA process, from problem identification to solution implementation and monitoring, is meticulously documented. This documentation will serve as a valuable resource for future troubleshooting and continuous improvement initiatives. By diligently following this five-step RCA process, the team has not only identified the root cause of the problem but has also successfully implemented a solution to prevent its recurrence.

RCA is more than just a problem-solving method; it’s a strategic approach that dives deep into issues to eliminate them at their source. By following the Five-Step RCA Process, organizations can not only identify the real culprits behind their problems but also develop and implement long-lasting solutions. This guide walked you through each step in detail, from defining the problem to monitoring the effectiveness of your solutions. Remember, the quality of your RCA is as good as the effort and attention to detail you put into it. Whether you’re looking to improve product quality, enhance customer satisfaction, or increase cost-efficiency, a well-executed RCA can be a game-changing tool in your continuous improvement arsenal. It’s not just about fixing what’s broken; it’s about building something better for the long term.

• Williams, P.M., 2001, April. Techniques for root cause analysis . In  Baylor University Medical Center Proceedings  (Vol. 14, No. 2, pp. 154-157). Taylor & Francis.
• Gangidi, P., 2018. A systematic approach to root cause analysis using 3× 5 why’s technique.   International Journal of Lean Six Sigma ,  10 (1), pp.295-310.
• Wong, K.C., Woo, K.Z. and Woo, K.H., 2016. Ishikawa diagram.   Quality Improvement in Behavioral Health , pp.119-132.

Q: Why is Root Cause Analysis important?

A: Identifying and resolving the root cause of an issue is crucial for achieving sustainable improvements. Focusing only on symptoms can lead to temporary fixes that may mask the underlying problem. RCA helps you understand the systemic issues contributing to a problem, allowing you to put in place measures that result in lasting change.

Q: What are the common methods used for Root Cause Analysis?

A: Several methods are commonly used for Root Cause Analysis, including:

• 5 Whys : A simple technique that involves asking “why” multiple times until the root cause is identified.
• Fishbone Diagram (Ishikawa Diagram) : A visual tool used to categorize potential causes of a problem.
• Fault Tree Analysis : A graphical representation of various probable causes of an issue, arranged in a hierarchical manner.
• Pareto Analysis : Identifying the most significant factors contributing to a problem based on the Pareto principle.
• FMEA (Failure Modes and Effects Analysis) : A structured approach to identifying potential failure modes and their consequences.

Q: How do I start a Root Cause Analysis?

A: Initiating a Root Cause Analysis typically involves the following steps:

• Define the Problem : Clearly articulate what the issue is.
• Collect Data : Gather relevant information and evidence.
• Identify Possible Causes : List potential causes that could be contributing to the problem.
• Analyze : Use RCA methods like the 5 Whys or Fishbone Diagram to dig deeper.
• Identify Root Cause(s) : Through analysis, pinpoint the underlying cause(s).
• Develop and Implement Solutions : Create action plans to address the root cause(s).
• Review : Evaluate the effectiveness of the solutions and make adjustments as needed.

Q: Can Root Cause Analysis be applied to non-manufacturing sectors?

A: Absolutely, Root Cause Analysis is a versatile tool that can be applied in various sectors, including healthcare, IT, logistics, and even the public sector. The principles remain the same: identify the root cause to implement effective, long-term solutions.

Q: What are some common pitfalls to avoid in Root Cause Analysis?

A: Some common pitfalls to be aware of include:

• Rushing the Process : Skipping steps or rushing through them can lead to incorrect conclusions.
• Blaming Individuals : RCA should focus on systemic issues rather than blaming individual employees.
• Ignoring Data : Failing to consult data can result in assumptions that may not be accurate.
• Lack of Follow-Up : Without proper evaluation and adjustment, even good solutions may fail over time.

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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Root Cause Analysis (RCA)

Root Cause Analysis (RCA): this article explains the Root Cause Analysis or RCA in a practical way. The article starts with a general definition of this concept, followed by the five approaches to the RCA and a practical Root Cause Analysis example. This article also contains a Root Cause Analysis template. Enjoy reading!

What is a Root Cause Analysis (RCA)?

Root Cause Analysis (RCA) is a method of problem solving that aims at identifying the root causes of problems or incidents.

RCA is based on the principle that problems can best be solved by correcting their root causes as opposed to other methods that focus on addressing the symptoms of problems or treating the symptoms.

Through corrective actions, the underlying causes are addressed so that recurrence of the problem can be minimized. It is utopian to think that a single corrective action will completely prevent recurrence of the problem. This is why root cause analysis is often considered to be an iterative process.

This problem solving method is often used when something goes wrong, but is also used when it goes well. More on this proactive attitude to problem solving later.

Root cause analyses, as well as incident investigations and other forms of problem solving, are fundamentally linked to the following three questions:

• What is currently the problem?
• Why does this problem occur?
• What can be done to prevent this problem from happening again?

What is the goal of the Root Cause Analysis?

Root Cause Analysis is used as a tool for continuous improvement . If a RCA is used for the first time, it is a reactive way of identifying and solving problems. This means that an analysis is performed after a problem or incident has occurred.

By executing this analysis before problems from occur, its use changes from reactive to proactive, so that problems can be anticipated in time. RCA is not a strictly defined methodology. There are many different tools, processes and philosophies that have been developed based on Root Cause Analysis.

However, there are five approaches that can be identified in practice:

Safety-based

Its origin can be mainly be found in accident analyses, safety and healthcare.

Production-based

Its origin can be mainly be found in the area of quality control and industrial manufacturing.

Process-based

This is the follow-up from production and business processes .

Failure-based root

Its origin can be found in Engineering and maintenance.

Systems-based

Its origin can be found in the amalgamation of the approaches mentioned above and this is combined with ideas from change management, risk management and systems analysis.

Despite the fact that there seem to be no clear definition of the differences in the objectives among the various approaches, there are some common principles that can be considered to be universal. It is also possible to define a general process for performing an Root Cause Analysis.

Where is the Root Cause Analysis applied in practice?

The Root Cause Analysis is applied in many areas. Below are some examples where an RCA can make a difference.

When an industrial machine breaks down, an RCA can determine the cause of the defect.

If it turns out that a fuse has blown, the fuse can be replaced and the machine restarted, but then the machine will stop working again after a while.

By performing an RCA it is discovered that the problem lies with a pump in the automatic lubrication mechanism. By determining the root cause of the defect by means of an RCA, the same problem can be prevented after an appropriate response.

Information technology

RCA is also used in IT to track down the root causes of problems. An example of this is the computer security management process. It uses RCA to investigate security breaches.

The RCA is also used in the field of safety and health . Think of diagnoses made in medicine, identifying the source of an epidemic, accident analysis and occupational health.

Root Cause Analysis: the basic process

The basic process consists of a number of basic steps. These corrective measures will lead to the true cause of the problem.

Define the problem or the factual description of the incident

Use both qualitative and quantitative information (nature, size, locations and timing) of the results in question and find the root.

Collect data and evidence and classify

Collect data and evidence and classify them along a time line of incidents until the eventual problem or incident is found. Each special deviation in the form of behaviour, condition, action and passivity must be recorded in the time line.

Ask the why’s

Always ask ‘why’ to identify the effects and record the causes associated with each step in the sequence toward the defined problem or incident.

Classify the causes

Classify the causes within the causal factors that relate to a crucial moment in the sequence including the underlying causes. If there are multiple causes, which is often the case, document these, dig deeper, preferably in order of sequence for a future selection. Identify all other harmful factors and contributing factors.

Generate corrective actions / improvements

Think of corrective actions or improvement measures that will ensure prevention of recurrence with a sufficient degree of certainty.

Explore whether corrective actions or improvement measures can be simulated in advance so that the possible effects become noticeable, also with respect to the other underlying causes.

Think of effective solutions that can prevent recurrence of the causes and to which all involved colleagues and team members can agree. These solutions must comply with the intended goals and objectives and must not cause any new and unforeseen problems.

Implement solutions and monitor these

Implement the solutions (corrective actions) that have been made by consensus. Monitor the effectiveness of the solutions (corrective actions) closely and adjust if necessary.

Other methods for problem-solving and problem prevention may be useful. Identify and address any other causes that may be harmful factors in the process.

Please note : steps three, four and five are the most critical part of the corrective measures because these have proved to be successful in practice.

Root cause analysis tools

Other well-know Root cause analysis techniques and tools are listed below:

Barrier analysis

This root cause analysis technique is often used in the industrial sector.

It was developed to identify energy flows and focus on possible blocks for those flows in order to determine how and why the obstacles cannot prevent the energy flows from causing damage.

Current Reality Tree

This complex but powerful method developed by Eliahu M. Goldratt is based on representing causal factors in a tree structure. This method uses rules of logic. The method starts with a short list of the undesirable factors we see around us that will subsequently lead to one or more underlying causes.

Change analysis

This research methodology is often used for problems or accidents and demonstrates how the problem has presented itself from different perspectives.

5 times why

In the Japanese analysis method 5 whys the question ‘why’ is asked five times. The 5 whys technique was originally developed by Sakichi Toyoda , and was used to trace the root cause of the problems within the manufacturing process of Toyota Motors.

Fishbone diagram

This method is also known as the Ishikawa diagram. The Ishikawa diagram is a much preferred method of project managers to perform a Root Cause Analysis.

Kepner Tregoe method

The Kepner Tregoe Method is a method based on facts in which the possible causes are systematically excluded in order to find the real cause. This method also disconnects the problem is from the decision.

RPR Problem Diagnosis

This is an ITIL aligned method designed to determine the root cause of IT problems.

Core Principles of Root Cause Analysis

While there are many different approaches to Root Cause Analyses, most of the methods boil down to the following five steps.

Identification and description

Problem statements and event descriptions are very helpful and often required to perform a proper Root Cause Analysis. An outage is an example of a problem where this is particularly important.

The Root Cause Analysis must establish a sequence of events or a timeline before the relationship between causal factors can be understood.

Differentiation

It is important to distinguish between root cause, causal factors and non-causal factors. This is done by correlating the sequence of events with the size, nature, and timing of the problem. One way to detect underlying causal factors is to use clustering and data mining.

Finally, from the sequences of events, researchers must create an additional set of events that actually caused the problem. This is then converted into a causal graph. To be effective, the Root Cause Analysis must be performed systematically.

This form of problem solving is often a team effort. Think of the analysis of aircraft accidents. For this, the conclusions of researchers and identified causes must be supported by documented evidence.

Correcting measures

Taking corrective action is not formally part of the RCA as the goal is to eliminate the root cause of a problem. Still, it is an important step that is added to virtually all Root Cause Analyses. This step is therefore to add long-term corrective actions so the problem does not develop in the same way as before.

Root Cause Analysis training

There are various forms of training for managers and other persons for which it is important to carry out a correct RCA. These courses are ideal for people who need to understand Root Cause Analysis terminology and process for professional use. Participating in such training courses helps to understand the importance of identifying the root cause of a problem to ensure it does not recur. In addition, courses help to identify common barriers and problems in conducting a RCA.

Root Cause Analysis summary

A Root Cause Analysis (RCA) is a method for identifying the root causes of various problems. There are several methods and techniques that are used for this purpose: Fishbone Diagram, 5 whys method, Barrier Analysis and the Kepner Tregoe Method .

Although they all differ slightly from each other, the operation of the method can be summarized in three questions: what is the problem, why is this a problem, and what is being done to prevent this problem? In practice, a RCA is used in production facilities, in information technology and the health and safety industry.

Five elements are important in performing the RCA and always come back. First, it is imperative that there is a description and explanation of the events leading up to the identification of the problem. In addition, it is important to establish the correct chronology of these events. Subsequently, it must be possible to clearly distinguish between the root cause, causal factors and non-causal factors.

After this, researchers need to determine the sequence of events that almost certainly led to the problem. The final step usually consists of taking corrective action. While not a formal part of the Root Cause Analysis (RCA), this step is very important to ensure that the problem does not develop in the same way in the future as it did before.

Root Cause Analysis template

Start with the cause and effect analysis and identify the causes of problems with this ready to use Root Cause Analysis template.

Download the Root Cause Analysis template

It’s Your Turn

What do you think? What is your Root Cause Analysis experience? Do you recognize the practical explanation or do you have additions? What are in your opinion success factors for conducting an RCA?

Share your experience and knowledge in the comments box below.

More information

• Andersen, B. & Fagerhaug, T. (2006). Root cause analysis: simplified tools and techniques. ASQ Quality Press.
• Barsalou, M. A. (2014). Root Cause Analysis: A Step-By-Step Guide to Using the Right Tool at the Right Time . Productivity Press.
• Dankovic, D. D. (2001). Root Cause Analysis . Technometrics, 43(3), 370-371.
• George, M. L., Maxey, J., Rowlands, D. & Price, M. (2004). The Lean Six Sigma Pocket Toolbook: A Quick Reference Guide to 100 Tools for Improving Quality and Speed . McGraw-Hill Education .

How to cite this article: Van Vliet, V. (2010). Root Cause Analysis (RCA) . Retrieved [insert date] from Toolshero: https://www.toolshero.com/problem-solving/root-cause-analysis-rca/

Original publication date: 08/15/2010 | Last update: 08/31/2023

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Problem Solving and Root Cause Analysis C1887

Topics: Quality, Safety & Maintenance

This course is verified by Probitas as meeting the AS9104/3A requirements for Continuing Professional Development.

Problems arise in all facets of life. This is particularly true in the business world. Problems impact all aspects of an organization’s operations such as; product development, product quality, process efficiency, marketing efforts, human relations, leadership efforts, financial execution and ultimate profitability. If these problems are not addressed, they inhibit the operation of the business and can eventually result in total failure. The ways in which problems are addressed, and the methodologies employed, determine the probability of successful problem resolution.

This course provides an overview of successful problem-solving models and guides the participants through the steps for effective problem resolution. The 8D problem-solving model embodies all of the essential steps for effective team-based problem solving. The 8D model is employed in this training program to demonstrate the use of basic tools and concepts. Problem solving requires: data gathering, data analysis and ultimately new patterns of thought for resolution of problems and prevention of new problems. There are numerous effective tools to aid in the handling of data and generating effective solutions. In addition to presenting an effective problem-solving model this course presents the use of selected tools that support the problem-solving effort.

Root Cause Analysis is an essential component to all problem-solving methodologies. Many have said that once a problem is well defined and a root cause is identified, the problem is essentially solved. A central focus of this course is generating the proper environment for identifying the root cause and use of a wide array of tools that support root cause analysis.

During this course participants will address the real business/technical problems that stand in the way of their organization’s success. The pathway for resolution of these problems is developed and, in many instances, actual solutions are generated in the classroom.

Learning Objectives

• Define the term “problem” and describe why we need a structured problem-solving approach
• Identify the requirements for each step of a basic systematic and effective approach to problem solving and root cause analysis
• Effectively select and apply problem solving and root cause analysis tools
• Correctly and effectively apply the basic problem solving and root cause analysis approach on real company problems

Who Should Attend

Management and technical personnel from all areas of the business including but not limited to: Senior Management, Department Heads, Engineers, Designers, Quality Managers/Engineers/Technicians, HR Managers/Administrators, Production Supervision and Other Operations personnel.

You must complete all course contact hours and successfully pass the learning assessment to obtain CEUs .

For additional information, contact SAE Customer Service 1-877-606-7323 (724-776-4970 outside the U.S. and Canada) or at [email protected] .

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• ASME Certified Senior GD&T Professional

Fees: $1349.00

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Root Cause Analysis with 5 Whys Technique (With Examples)

By Sebastian Traeger

Updated: April 23, 2024

Reading Time: 7 minutes

What Is the 5 Whys Technique?

Example of the 5 whys technique, how to conduct a 5 whys analysis in 5 steps, when to use a 5 whys analysis, using 5 whys template, tips for mastering the 5 whys technique, frequently asked questions about 5 whys.

With over two decades in business – spanning strategy consulting, tech startups and executive leadership – I am committed to helping your organization thrive.

At Reliability, we’re on a mission to help enhance strategic decision-making and operational excellence through the power of Root Cause Analysis, and I hope this article will be helpful! 

Our goal is to help you better understand 5 whys techniques by offering insights and practical tips based on years of experience. Whether you’re new to doing RCAs or a seasoned pro, we trust this will be useful in your journey towards working hard and working smart.

The 5 Whys Technique is like peeling an onion – it helps you uncover the underlying reasons behind a problem, layer by layer. By repeatedly asking “why” at least five times, this method digs deep to reveal the root cause of an issue. It’s a simple yet powerful problem-solving approach that aims to get to the heart of the matter rather than just addressing surface-level symptoms.

5 Whys Technique: A method that involves iteratively asking “why” five times to unveil the fundamental cause of a problem.

In essence, the 5 Whys Technique is not just about fixing what’s broken on the surface; it’s about understanding and addressing the deeper issues that lead to problems in the first place.

The 5 Whys Technique is like a detective, uncovering the truth behind recurring problems. Let’s take a look at how this method works in two different scenarios.

Case Study: Manufacturing Defects

Imagine a company that keeps encountering the same manufacturing defects despite various attempts to fix them. By using the 5 Whys Technique, they discovered that the defects were not caused by faulty machinery, as previously assumed, but rather by human error due to unclear operating instructions. This realization led to improved training procedures and clear work guidelines, ultimately eliminating the defects.

Application in Service Industry

Now, consider a service industry struggling with frequent customer complaints and service failures. Through the 5 Whys Technique, it was revealed that these issues stemmed from inadequate staffing levels during peak hours. By addressing this root cause, such as hiring additional staff or adjusting schedules, the service quality can significantly improve, leading to higher customer satisfaction.

These examples illustrate how the 5 Whys Technique can be applied across different sectors to identify and address underlying issues effectively.

Step 1: Identify the Problem

Before diving into a 5 Whys analysis, it’s crucial to clearly identify the problem or issue at hand . This step sets the stage for the entire process and ensures that the focus remains on addressing the right concern. Take the time to gather relevant data, observe patterns, and consult with team members or stakeholders to gain a comprehensive understanding of the problem.

Step 2: Ask ‘Why’ Five Times

Once the problem is clearly defined, it’s time to start peeling back the layers. The process involves asking “why” five times, not necessarily limited to five questions but enough to delve deeper into the underlying causes of the problem . Each “why” serves as a gateway to uncovering additional factors contributing to the issue. This iterative approach helps in identifying not just one cause, but multiple interconnected elements that may be at play.

By consistently probing deeper with each “why,” you can reveal hidden complexities and nuances that may have been overlooked initially. This method allows for a more thorough understanding of the situation, paving the way for effective solutions that address root causes rather than surface-level symptoms.

This structured approach encourages critical thinking and enables teams to move beyond quick fixes towards sustainable improvements.

The 5 Whys Technique is a versatile problem-solving approach that can be applied in various scenarios to uncover root causes and drive continuous improvement. Here are two key situations where the 5 Whys Analysis can be particularly beneficial:

Recurring Issues

• The 5 Whys Technique is especially useful when dealing with recurring issues. Whether it’s a manufacturing defect that keeps resurfacing or a persistent customer complaint in the service industry, this method helps identify the underlying reasons behind these repetitive problems. By repeatedly asking “why,” it becomes possible to trace the issue back to its root cause, allowing for targeted solutions that prevent reoccurrence.

Process Improvement

• Organizations constantly strive to enhance their processes and workflows for increased efficiency and quality. When seeking to improve existing procedures, the 5 Whys Technique serves as a valuable tool. By systematically analyzing the factors contributing to inefficiencies or bottlenecks, teams can gain insights into how processes can be optimized at their core. This method enables organizations to make informed decisions about process improvements based on a deep understanding of the underlying issues.

In both cases, the 5 Whys Analysis offers a structured yet flexible approach to delve into complex problems, making it an indispensable tool for driving meaningful change and progress within organizations.

When it comes to conducting a 5 Whys analysis, utilizing a structured template can greatly facilitate the process and ensure a comprehensive investigation into the root cause identification. Using RCA software such as EasyRCA can benefit the team by streamlining your 5-why process. Here’s how organizations can benefit from using a template:

Benefits of Using a Template

• Streamlined Process: A well-designed 5 Whys template provides a clear framework for conducting the analysis, guiding teams through the iterative questioning process. This streamlines the investigation, making it easier to navigate and ensuring that no crucial aspects are overlooked.
• Thorough Investigation: By following a predefined template, teams are prompted to explore various facets of the problem systematically. This ensures that all relevant factors are considered, leading to a more thorough and insightful investigation into the underlying causes.
• Consistent Approach: Templates offer a standardized approach to conducting 5 Whys analyses within an organization. This consistency promotes uniformity in problem-solving methods across different teams or departments, enhancing overall efficiency and effectiveness.

Customizing the Template

Organizations have the flexibility to customize 5 Whys templates according to their specific needs and industry requirements. This adaptability allows for tailoring the template to address unique challenges and incorporate industry-specific considerations. Customization may include:

• Adding Industry-Specific Prompts: Tailoring the template by incorporating prompts or questions relevant to particular industries or types of issues being analyzed.
• Incorporating Visual Aids: Enhancing the template with visual aids such as flow charts or diagrams can help teams better understand and communicate complex causal relationships.
• Iterative Refinement: Regularly reviewing and refining the template based on feedback and evolving organizational needs ensures that it remains aligned with current processes and challenges.

Customizing the template empowers organizations to harness the full potential of the 5 Whys Technique in addressing diverse problems while aligning with their unique operational contexts.

Encouraging Open Communication

In mastering the 5 Whys Technique as a problem-solving method, creating an environment that fosters open communication is paramount. When team members feel comfortable expressing their perspectives and insights, it leads to a more comprehensive exploration of the underlying causes of a problem. Encouraging open communication allows for diverse viewpoints to be considered, providing a holistic understanding of the issue at hand.

By promoting an atmosphere where individuals are empowered to voice their observations and concerns, the 5 Whys analysis can benefit from a rich tapestry of ideas and experiences. This inclusive approach not only enhances the depth of the analysis but also cultivates a sense of ownership and collective responsibility for addressing root causes within the team or organization.

Continuous Improvement Mindset

A key aspect of mastering the 5 Whys Technique is embracing a continuous improvement mindset. Rather than viewing problems as isolated incidents, this approach encourages teams to see them as opportunities for growth and development. By instilling a culture of continuous improvement, organizations can leverage the insights gained from 5 Whys analyzes to drive positive change across various aspects of their operations.

Fostering a mindset focused on continuous improvement entails actively seeking feedback, evaluating processes, and implementing iterative enhancements based on the findings. It involves an ongoing commitment to learning from past experiences and leveraging that knowledge to proactively address potential issues before they escalate. Embracing this mindset ensures that the 5 Whys Technique becomes ingrained in the organizational ethos, leading to sustained progress and resilience in problem-solving efforts.

As we wrap up our exploration of the 5 Whys Technique, let’s address some common questions that may arise regarding this powerful problem-solving method.

What is the primary goal of the 5 Whys Technique?

The primary goal of the 5 Whys Technique is to uncover the root cause of a problem by iteratively asking “why” at least five times. This approach aims to move beyond surface-level symptoms and address the underlying issues that lead to recurring problems.

Is the 5 Whys Technique limited to specific industries or sectors?

No, the 5 Whys Technique is versatile and can be applied across various industries and sectors. Whether it’s manufacturing, healthcare, service, or technology, this method offers a structured yet flexible approach to identifying root causes and driving continuous improvement.

How does the 5 Whys Technique contribute to continuous improvement?

By delving into the fundamental reasons behind problems, the 5 Whys Technique provides organizations with valuable insights for driving continuous improvement. It not only helps in resolving immediate issues but also fosters a culture of ongoing enhancement and development within an organization.

Can the 5 Whys Technique be used for complex problems with multiple contributing factors?

Yes, while initially designed as a simple and straightforward method, the 5 Whys Technique can certainly be applied to complex problems with multiple interconnected factors. By systematically probing deeper into each layer of causality, this technique enables a comprehensive understanding of intricate issues.

I hope you found this guide to 5 whys technique insightful and actionable! Stay tuned for more thought-provoking articles as we continue to share our knowledge. Success is rooted in a thorough understanding and consistent application, and we hope this article was a step in unlocking the full potential of Root Cause Analysis for your organization.

Reliability runs initiatives such as an online learning center focused on the proprietary PROACT® RCA methodology and EasyRCA.com software. For additional resources, visit Reliability Resources .

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Problem, Symptoms & Root Cause Analysis (RCA) Examples

Last updated: 30th Jan, 2024

Have you found yourself stuck in a cycle of solving the same or similar problems over and over again? Ever wondered why some solutions seem to only offer a temporary fix? Have you wondered if you have identified the correct problem or if you are trying to fix one of the symptoms? The key lies in your understanding of how we define problem statements, associated symptoms, root causes , and approach to problem-solving , which is fundamentally rooted in analytical thinking and critical thinking . What exactly is the difference between a problem and its symptoms ? And why is it crucial to conduct a root cause analysis to arrive at a lasting solution?

In both personal and professional spheres (workplace), the ability to identify correct problems and solve them is highly valued. Often, the issues we face are more complex than they first appear. Simply treating the visible symptoms of a problem rarely offers a lasting solution . This is where analytical thinking comes into play . Understanding the difference between a problem and its symptoms, and the role of root cause analysis in identifying and solving the actual problem, is a cornerstone of analytical thinking. This blog aims to throw light on these distinctions and demonstrate the importance of root cause analysis, empowering you to approach problems with a more analytical mindset for enduring solutions.

Table of Contents

What is a Problem?

In the context of problem-solving, a “ problem ” is a situation or condition that represents the obstruction for an entity (a person or a thing) to remain in or achieve the desirable or ideal state of being. Problems can also be referred to as “ challenges “. For example, a company aims to achieve a 20% increase in sales revenue by the end of the year. The problems or challenges that the company may face can be some of the following:

• Determining whether the product is not positioned correctly, and then coming up with the most apt product positioning in the manner that matches the needs of the customer
• Analyzing marketing strategy, identifying gaps, and coming up with a marketing strategy to reach out to potential customers matching the product positioning
• Create a potential customer pipeline from which X% can convert into the real ones
• Determine a sales strategy that can help make the sales to the potential customers.
• Determine the most apt communication channels for the potential customer to reach out and enquire
• Need for timely and cost-effective customer service

When the entity is moved to the ideal state (positive change) or most desirable condition, the problem stands resolved . The thing that takes the entity from an undesirable to a desirable state is called the solution .

Often, what we initially identify as a problem turns out to be merely a symptom of the underlying problem (or root cause). Symptoms of a problem can be understood as the indicators of the underlying “real problem”. Unlike symptoms , which are mere indicators or manifestations of the problem or real problem , the real problem itself is the root cause that leads to the observable symptoms. It is very important to discern between the symptom and the real problem. If not done well, there is a risk of solving the “ symptoms ” when you think that you are solving the problems.

Here is a problem vs symptom example . When you have a cough problem, it is important to differentiate between whether a cough is a problem and take medicines for it, or, if a cough is due to some lung problem and take the medicine to cure that lung-related problem.

Here is another example to understand problem vs symptoms . Let’s say, when a business is experiencing declining sales, one may call out the problem as “declining sales”. However, the “declining sales” is merely a symptom. The actual problem or the root cause can be traced to poor customer service based on the root cause scenario. It is the core issue that needs to be identified and resolved to bring about a positive change.

What are Symptoms? What’s the difference between Symptoms & Problems?

Symptoms of a problem are the observable effects or indicators that point towards an existing problem ; they are not the problem themselves. These are the signs that something is wrong, but they often don’t reveal the underlying cause. Understanding the distinction between symptoms and the actual problem is crucial because treating symptoms won’t eliminate the root issue.

The following are some of the problem vs symptom, or, symptom vs root cause examples :

• On the personal front, let’s consider recurring headaches. You might think the problem is the headache itself, but that is a symptom. The real problem or the root cause could be anything from dehydration to stress. Taking painkillers will temporarily relieve the headache but won’t resolve the underlying issue causing it.
• In a business setting, consider declining sales. At first glance, you might think the problem is the product or its pricing. However, declining sales are a symptom. The actual problem or the root cause could be poor customer service or ineffective marketing. Addressing only the symptom by slashing prices may bring a temporary boost in sales but won’t provide a long-term solution

By identifying and treating the root cause or actual problem rather than its symptoms , you can find a lasting solution that prevents the issue from recurring. This approach not only saves time and resources but also promotes better analytical thinking and decision-making.

The following are some of the key differences between symptoms and the problems or root cause :

• Symptoms when resolved can reappear after some time. Problems or root causes when resolved stay resolved.
• Symptoms are evident . They can be easily identified. Problems or root causes are difficult to unearth or determine. They can be deep-rooted .
• A problem can manifest in the form of many symptoms.

What is Root Cause Analysis (RCA)? Why is it needed?

Root Cause Analysis (RCA) is a structured approach for identifying the underlying causes of what is referred to as the problem (symptoms on the surface) . The goal is to find out what, how, and why something happened, thereby preventing recurrence. It’s like a detective’s investigation to find the “criminal” causing the symptoms, which in this context, are the undesired outcomes or challenges.

RCA is valuable because it helps you go beyond treating symptoms to find the real problem. It’s the difference between mopping up a water leak and fixing the pipe that’s leaking. By focusing on the root cause, you not only solve the immediate problem but also prevent similar issues in the future.

For instance, if a company is facing high employee attrition, addressing the symptoms might involve conducting exit interviews and providing compensation packages. However, a root cause analysis may reveal that the real issue is a toxic work culture or poor management. Addressing these root causes would lead to more effective and lasting solutions.

There are various methods for conducting RCA, and the choice often depends on the complexity of the problem and the resources available. Some popular techniques include:

• The 5 Whys : This method involves asking “Why?” repeatedly (usually five times) to drill down into the layers of a problem.
• Fishbone diagram : This visual tool allows you to categorize potential causes of a problem, helping to identify the root cause systematically.
• Analytical thinking : One can break down problems into sub-problems and continue this process until one reaches to most fundamental problems.
• First principles thinking : One can analyze a problem based on final, formal, material, and efficient causes and then repeat the process.

By understanding and applying these RCA techniques, you can develop a more analytical approach to problem-solving, thereby addressing issues at their core and preventing future recurrence.

Process for Arriving at the Root Cause of Symptoms / Problems

The following represents the process for arriving at the root cause of stated symptoms or problems:

• Distinguish Between Problem and Symptom : Your first task is to determine if what has been stated is the problem or merely a symptom of something deeper. For instance, experiencing a headache is generally a symptom, not the underlying problem itself.
• Identify the Underlying Problem : If what is stated is a problem, well and good. However, if you’ve identified a symptom, your next step is to discover what the problem could be. For example, if you’re dealing with headaches, the underlying issue may be something like ill-health.
• List All Observable Symptoms : Expand your perspective by identifying all the symptoms related to the issue at hand. This will give you a more comprehensive view and may provide additional clues about the root cause.
• Generate Cause Hypotheses for Stated Symptoms : Formulate hypotheses for what could be causing the symptoms for the identified problem. This step is essentially a diagnosis . Employ techniques like the “Five Whys” to dig deeper and identify potential underlying causes.
• Test Each Hypothesis to identify the real root cause : For each hypothesized cause, perform diagnostic tests to either validate or negate it. This could be in the form of data collection, interviews, or even controlled experiments. The aim is to gather evidence that either supports or refutes each hypothesis.
• Identify the Root Cause : After you’ve rigorously tested each hypothesis, you should be able to pinpoint one root cause that stands out as the most likely “actual problem” or “root cause” of the issues you’re observing.

Defining Problem Statement

The problem statement should consist of information related to the following:

• Ideal state: The ideal state outlines what the perfect scenario would look like once the problem is solved. This sets the vision and provides a clear goal for problem-solving efforts.
• What : Define the problem precisely. You can use root cause analysis to dig deep into the “What” aspect.
• Why : Identify why the problem is important.
• Where : Specify the areas or departments affected.
• When : Determine when the problem occurs or comes to notice.
• Who : Note who is impacted, either directly or indirectly.
• How : Describe the nature of the impact, be it financial, operational, or emotional.
• Outcome as a result of problem resolution : The outcome section elaborates on what success looks like, linking back to the ideal state. It can include quantitative and qualitative measures that indicate the problem has been solved.

Understanding the difference between a problem and its symptoms is the cornerstone of effective problem-solving. Many times, organizations or individuals get sidetracked by addressing symptoms without ever reaching the core issue. By employing a structured approach, like distinguishing between problems and symptoms, identifying all associated symptoms, formulating hypotheses for root causes , and rigorously testing these hypotheses, you set the stage for finding the actual root cause of the problem. This not only saves time and resources but also leads to long-lasting solutions.

From an analytical thinking standpoint, mastering this approach equips you with a crucial skill set. It helps you avoid the pitfalls of surface-level solutions and encourages a deeper understanding of challenges. So the next time you’re confronted with a “problem,” take a step back and consider: Is this the real issue, or is it just the tip of the iceberg? The answer to this question could be the first step toward effective and sustainable problem-solving.

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Root Cause Analysis Principles

Root Cause Analysis principals will discuss about the concept, general principals, tools and techniques, and the process of RCA.

Root Cause Analysis Definition

Root cause analysis is a problem solving methodology focused on the identification of the root causes of problems. The logic behind the RCA is correcting or completely removing root causes, rather than addressing the surface symptom is the best way to solve the problems. Conducting corrective calculations at root causes minimize the possibilities of problem recurrence.

General Principles of Root Cause Analysis

• The primary goal of RCA is to determine the factors that resulted in the nature, the magnitude, the location, and the timing of the harmful outcomes of one or more previous incidents. This is to determine which behaviors, actions, in-actions, or conditions must be changed to inhibit happening similar harmful outcomes again
• The purpose of considering all possible solutions to a problem is to inhibit recurrence at the lowest cost and in the simplest way. Thus, always the the simplest or lowest cost approach is preferred
• Concentrating on performance improvement evaluations at root causes is more effective than only removing the symptoms of a problem
• A successful RCA is performed systematically, with conclusions and causes supported by real evidence
• Usually, there is more than one root cause for any problem
• All known causal relationships between the root cause(s) and the defined problem must be defined
• Root causes determined vary with the way in which the problem or event is defined
• To be efficient, the analysis should set a chain of events or timeline to comprehend the relationships between contributory (causal) factors, root cause(s) and the defined problem or event to prevent in the future
• Root cause analysis can transform a reactive culture into a proactive culture that solves problems before they occur or escalate
• RCA is not welcome to the cultures and environments resistant to change.

Root Cause Analysis Simple Process

• Defining the problem
• Gathering data
• Determining the causal relationships relevant to the targeted problem
• Recognizing the causes removal of which will prevent recurrence
• Determining effective solutions that inhibit recurrence
• Implementing the recommendations
• Monitoring the recommended solutions to ensure effectiveness

Root Cause Analysis Techniques

• Pareto analysis
• Bayesian inference
• Ishikawa (fishbone) diagram
• Cause Mapping
• Barrier analysis
• Change analysis
• Causal factor tree analysis
• ARCA; Apollo Root Cause Analysis

Essential Components Of Root Cause Analysis

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• Poor maintenance or design
• Poor equipment or tool placement
• Defective equipment or tool
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• Orderly workplace
• Job design or layout of work
• Surfaces poorly maintained
• Physical demands of the ta7sk
• Forces of nature
• No or poor management involvement
• Inattention to task
• Task hazards not guarded properly
• Stress demands
• No or poor procedures
• Practices are not the same as written procedures
• Poor communication
• Management system
• Training or education lacking
• Poor employee involvement
• Poor recognition of hazard
• Previously identified hazards were not eliminated

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Root Cause Analysis – The 5 Whys Technique

This elementary and often effective approach to problem-solving promotes deep thinking through questioning, and can be adapted quickly and applied to most problems. For example, asking “Why?” may be a favorite technique of your three-year-old child in driving you crazy, but it could teach you a valuable problem-solving technique.

“If you don’t ask the right questions, you don’t get the right answers. A question asked in the right way often points to its answer. Asking questions is the ABC of diagnosis. Only the inquiring mind solves problems.” – Edward Hodnett

The “5 Whys” is a simple problem-solving technique that helps you to get to the root of a problem quickly, which was originally developed by Sakichi Toyota. It was used within the Toyota Motor Corporation during the evolution of its manufacturing methodologies. It is a critical component of problem-solving training, delivered as part of the induction into the Toyota Production System.

How to Conduct 5 Whys Analysis?

When you’re looking to solve a problem, start at the result and work backward (toward the root cause), continually asking: “Why?” You’ll need to repeat this over and over until the root cause of the problem becomes apparent.

The 5 Whys strategy involves looking at any problem and asking: “Why?” and “What caused this problem?” Very often, the answer to the first “why” will prompt another “why” and the answer to the second “why” will prompt another and so on; hence the name the 5 Whys strategy.

The 5 Whys exercise is vastly improved when applied by a team and there are five basic steps to conducting it:

• Write down the specific problem. Writing the issue helps you formalize the problem and describe it completely. It also helps a team focus on the same problem.
• Ask “Why” the problem happens and write the answer down below the problem.
• If the answer you just provided doesn’t identify the root cause of the problem that you wrote down in Step 1, ask “Why” again and write that answer down.
• Loopback to step 3 until the team is in agreement that the problem’s root cause is identified. Again, this may take fewer or more times than five Whys.
• After settling on the most probable root cause of the problem and obtaining confirmation of the logic behind the analysis, develop appropriate corrective actions to remove the root cause from the system.

Edit this Diagram

5 Whys Example

The vehicle will not start. (The problem)

• Why? – The battery is dead. (First why)
• Why? – The alternator is not functioning. (Second why)
• Why? – The alternator belt has broken. (Third why)
• Why? – The alternator belt was well beyond its useful service life and not replaced. (Fourth why)
• Why? – The vehicle was not maintained according to the recommended service schedule. (Fifth why, a root cause)

Note: A 5 Whys analysis sometime could be taken further to a sixth, seventh, or higher level, but five iterations of asking why are generally sufficient to get to a root cause.

5-Whys Criticisms

Here are each of the criticisms as listed on the Wikipedia:

• Stopping at symptoms, not the root cause
• Limited by the investigator’s knowledge.
• Not asking the right Why questions.
• Not repeatable – Different people build different 5 Whys.
• The tendency to isolate a single root cause

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