principles of root cause problem solving using fault diagnostics for troubleshooting

RCA in IT: Root Cause Analysis for IT Environments

In the world of technology and software development, you are always trying out something new—only to test it again. Engineers learn from their mistakes and use them to grow their skillsets and improve processes. But some mistakes, like a major network or infrastructure failure, are less forgiving. The result of these unintended problems is a thing of nightmares.

Fortunately, a systematic approach available helps engineers and developers find the beginning of a problem and discover what went wrong: root cause analysis (RCA).

RCA also integrates seamlessly with AIOps , enhancing predictive analysis and automated resolution in IT environments.

In this article, we’ll look at RCA in IT environments, including:

• Defining RCA and why it might be necessary
• Exploring RCA strategies, including the 5 whys
• Understanding the many benefits of RCA

What is root cause analysis?

Root cause analysis (RCA) is a systematic process for finding and identifying the root cause of a problem or event.

RCA is based on the basic idea that having a truly effective system means more than just putting out fires all day. That’s why RCA starts with figuring out how, where, and why the issue appeared. Then it goes further: RCA strives to respond to that answer—in order to prevent it from happening again.

Originating in the field of aeronautical engineering, this method is now applied in virtually every industry, but with particular focus and benefits in software development . Finding the root cause of a software or infrastructure problem is a highly effective, quality engineering technique that many industries already mandate in their governance.

Root cause analysis is considered a reactive management approach. In the ITIL® framework for service management, for instance, incident management is a reactive move where you’re responding to a critical incident. Problem management, on the other hand, is a proactive approach wherein you’re seeking out problems to address. ( Learn more in Incident Management vs Problem Management. )

Why is root cause analysis necessary?

RCA delivers a wide range of advantages ( detailed below ), but it is dramatically beneficial in the continuous atmosphere of software development and information technology for several reasons:

• Focuses on cause, not symptoms: RCA pinpoints the factors that contribute to the problem or event, helping to find the actual cause of the problem as opposed to just fixing resulting symptoms. Its depth also helps to avoid singling out one issue over others for a quick fix.
• Reduces cost and time: By catching problems early, RCA significantly reduces cost and time spent, enabling developers to maintain an agile develpment environment and drive process improvement.
• Improves system reliability: Delving into the root cause of issues enhances the reliability and performance of IT systems.
• Promotes proactive problem management: RCA identifies potential issues before they escalate, allowing for proactive measures and reducing the likelihood of major disruptions.
• Encourages a culture of learning: It fosters a culture of continuous improvement and learning within IT teams, improving their problem-solving skills.
• Enhances customer satisfaction: Stable and reliable services, achieved through effective RCA, lead to higher customer satisfaction and trust.
• Optimizes resource utilization: By avoiding repetitive troubleshooting and temporary fixes, RCA is cost-effective in the long run.
• Facilitates risk mitigation: RCA aids in identifying and mitigating risks, thereby reducing the severity and frequency of incidents or system failures.

Although performing root cause analysis might feel time-consuming, the opportunity to eliminate or mitigate risks and root causes is undeniably worthwhile.

RCA principles

Some of the basic principles of RCA can help organizations ensure they are following the correct methodology:

• Focusing on corrective measures of root causes is more effective than simply treating the symptoms of a problem or event.
• Effective RCA is accomplished through a systematic process with evidence-backed conclusions.
• There is usually more than one root cause for a problem or event
• The focus of RCA, via problem identification, is WHY the event occurred—not who made the error.

How to perform root cause analysis

The specific map of root cause analysis may look slightly different across organizations and industries. But here are the most common steps, in order, to perform RCA:

Let’s look at these steps in detail.

• Define the problem. When a problem or event arises, your first move is to contain or isolate all suspected parts of the problem. This will help contain the problem.
• Gather data. Once you find the problem, compile all data and evidence related to the specific issue to begin understanding what might be the cause.
• Identify any contributing issues. You might have hands-on experience or stories from others that indicate any additional issues.
• Determine root cause. Here’s where your root cause analysis really occurs. You can use a variety of RCA techniques (detailed below). Each technique helps you search for small clues that may reveal the root cause, allowing the person or team to correctly identify what went wrong.
• Implement the solution. Determining the root cause will likely indicate one or several solutions. You might be able to implement the solution right away. Or, the solution might require some additional work. Either way, RCA isn’t done until you’ve implemented a solution.
• Document actions taken. After you’ve identified and solved the root problem, document the problem and the overall resolution so that future engineers can use it as a resource.

Even if you don’t expect the problem to occur again, plan as if it will.

Remember, in order to have an effective RCA it is important that the team recognizes that processes cause the problems not people. Pointing fingers and placing blame on specific workers will not solve anything.

( Learn more about the importance of a blameless culture when performing an incident postmortem —the final step of your root cause analysis.)

Methods for root cause analysis

You can perform RCA using a variety of techniques. We highlight four well-known RCA techniques below—use the technique that meets your specific situation. Here’s a simple distinction:

• Five whys analysis is good for initial troubleshooting.
• Fishikawa diagrams are helpful for identifying all possible root causes for a situation.
• Pareto charts help you prioritize which root causes should be addressed first, based on how often each identified root cause occurs.
• Scatter plots are helpful in situations where you can identify and collect data on fluctuating variables that are related to the problem you are studying.

Take a look at these options and consider which might be best for your situation:

The 5 whys analysis

One of the easiest and most common tools for conducting a root cause analysis is the “five whys” method. Mimicking curious children, the five whys method literally suggests that you ask “why?” five times in a row in order to identify the root cause of any process or problem.

Five why analysis is effective because it is easy to use for solving problems where there is a single root cause.

Although the method seems explicit enough, this approach is still meant to be flexible depending on the scenario. Sometimes five whys will be enough. Other times, you’ll need to ask w hy a few more times. Y ou could also use additional techniques to identify the root cause.

To begin this method, follow this outline:

• Write down the specific problem that needs to be fixed, describing it completely.
• Ask why the problem happened. Write the answer below.
• If your first question did not find the root cause, ask why again and write that answer down.
• Continue this process until the team agrees you’ve identified the root cause of the problem.

( See the five whys in action with a simple RCA example, below. )

Pareto charts

Pareto charts identify the most significant factor among a large set of factors causing a problem or event. A Pareto chart is a combined bar and line chart, where the factors are plotted as bars arranged in descending order. The chart is accompanied by a line graph showing the cumulative totals of each factor, left to right.

Ishikawa diagrams

You might know the Ishiwaka diagram by other names: the fishbone, the herringbone, the cause-and-effect, and, our favorite, the Fishikawa diagram.

The Ishikawa diagram is a great visualization tool for brainstorming and discovering multiple root causes. It is shaped like a fish skeleton, with the head on the right and the possible causes shown as fishbones to the left.

Scatter diagrams (plots)

Scatter diagrams , or scatter plots, use regression analysis to graph pairs of numerical data to determine relationships. This is helpful to identify problems and events that occur because of fluctuating measurements, such as capacity issues that happen when server traffic increases.

( Learn how to create your own scatter plots using Matplotlib. )

FMEA (failure mode and effects analysis)

FMEA is a systematic, step-by-step approach for identifying all possible failures in a design, a manufacturing or assembly process, or a product or service. It’s particularly valuable for preemptively addressing potential failures and enhancing reliability. FMEA focuses on identifying failure modes and their causes, and effects, enabling teams to prioritize the risks and implement effective control measures. This process is instrumental in improving safety, increasing customer satisfaction, and reducing costs by catching issues early in the development cycle.

Fault tree analysis (FTA)

FTA is a top-down, deductive analytical method used to identify and analyze the potential causes of system failures. Starting with a known problem (or ”top event”), FTA uses logic diagrams to map out the various intersecting paths that could lead to the failure. This approach is essential for understanding complex systems, where multiple factors may interact to cause a failure. FTA is widely employed in safety engineering and reliability engineering to anticipate potential problems, thus aiding in the development of more reliable and safer systems.

RCA example using five whys analysis

Here is a simple five whys analysis where we try to determine why a computer is not turning on. At each step, we ask why the computer is not turned on. We gather data as we follow the power flow, until we finally determine that the power strip the computer plugged into is turned off.

Here’s what the user has reported: Their desktop computer is not turning on. The monitor is turned on, but the user does not hear the computer fan running, and there are no power lights.

Root cause analysis using the 5 Whys to troubleshoot a computer that won’t turn on

Resolution : Technician turned on the surge protector and the computer came back on again.

Benefits of root causes analysis

The main benefit of root cause analysis is obvious: identifying problems so you can solve them. RCA offers plenty more benefits that help to solidify its usefulness and importance in the tech environment.

Solve real-world problems

When the right employees get the right RCA and resolution training, you’ll execute correct processes and solve common business problems.

Lower costs

When you catch problems quickly, you reduce the likelihood that those problems will turn into major incidents—especially when RCA is used to support an agile environment. RCA saves valuable employee time and ensures the organization doesn’t other fines or compromises.

Make the workplace safer

Employee safety is vital, and root cause analysis provides an added peace-of-mind. By quickly and effectively investigating any safety incidents, you can solutions can be put into place to prevent anything similar from happening again down the line.

Implement effective, long-lasting solutions

When you follow RCA analysis all the way through to final documentation, you focus on long-term prevention. It also shows that your organization prioritizes solutions—not speedy workarounds.

This forward thinking enables companies to become proactive and productive.

Resolve technical debt, strengthen code base

An RCA may show the problem is broken code due to technical debt . If the problem occurred due to changed business requirements, code development compromises, poor coding practices, or software entropy, the real solution may be refactoring rather than patching. Refactoring realigns your code with desired business outcomes, eliminates technical debt, and brings it up to current standards for future agile deployments.

Limitations of RCA

To effectively implement RCA, it’s essential to understand its limitations. While RCA is a powerful tool for problem-solving and prevention in IT and other industries, it’s important to recognize its boundaries and the challenges that can arise. This awareness not only helps in applying RCA more effectively, but also in integrating it with other strategies for a more comprehensive approach to problem-solving.

RCA is primarily a diagnostic process. It focuses on identifying the underlying causes of problems or incidents to prevent their recurrence. However, like any diagnostic method, it has its constraints:

• Time-consuming: Comprehensive RCA can be a lengthy process, delaying immediate corrective actions.
• Complexity in large systems: In highly complex systems, identifying a single root cause can be challenging.
• Subject to bias: RCA outcomes can be influenced by individual or team biases.
• Not a panacea: RCA may not address systemic issues or external factors beyond the organization’s control.
• Resource-intensive: Effective RCA often requires significant resources such as tools and skilled personnel.

By understanding these limitations, IT professionals can better navigate the RCA process, ensuring a more balanced and effective approach to problem-solving. It’s also crucial to combine RCA with other methodologies and insights, forming a multifaceted strategy that addresses not just the “what” and “why” of problems, but also the “how” of future prevention and improvement.

Effective RCA saves more than money

Taking the time to create a robust root cause analysis process may take some time and effort in the initial stages, but it is an investment that will extend far beyond the expenses. The skills learned during the RCA process can be carried over to almost every other problem or field and initiate an attitude of continuous improvement—and even innovation .

This culture will surely permeate your organization for the better.

Root cause analysis examples by industry

RCA is a versatile tool applied across various industries, each with unique challenges and requirements. Its adaptability and effectiveness in identifying the underlying causes of issues make it an invaluable technique in diverse settings. From healthcare to retail, RCA provides critical insights that drive improvements, enhance efficiency, and prevent future problems.

Each industry is faced with unique challenges:

• Healthcare : In healthcare, RCA is used to understand patient safety incidents or equipment failures.
• Financial services : Financial institutions use RCA to analyze system failures or security breaches impacting transactions.
• Manufacturing : RCA in manufacturing often focuses on production line errors or equipment malfunctions.
• IT: In IT, RCA helps in troubleshooting network outages, software bugs, or security incidents.
• Retail: Retailers use RCA to address supply chain disruptions or customer service issues.

By examining root cause analysis examples from different sectors, we can gain a deeper appreciation of its versatility and effectiveness in solving complex problems and driving continuous improvement in diverse organizational contexts.

Root cause analysis and AIOps

RCA in the context of AIOps represents a powerful combination for IT environments, offering advanced tools for predictive analysis and automated issue resolution.

AIOps leverages artificial intelligence and machine learning (AI/ML) and big data analytics to enhance IT operations, and when combined with RCA, it provides a powerful mechanism for identifying, as well as predicting and preventing, IT issues.

AIOps enhances RCA by automating data collection and analysis, which allows for faster identification of root causes in real time. This integration leads to more proactive and predictive IT management. For instance, AIOps can analyze patterns and anomalies across vast datasets, detecting potential issues before they escalate into major problems. This predictive capability is crucial for maintaining system health and ensuring uninterrupted service delivery.

Moreover, AIOps enables more sophisticated RCA by handling complex, multi-layered IT environments where traditional RCA might struggle. It sifts through the noise of vast data sets to pinpoint accurate root causes, reducing the time IT teams spend on troubleshooting and increasing their efficiency.

The combination of RCA and AIOps represents a shift from reactive to proactive and predictive IT management. It helps resolve current issues while also anticipating and preventing future disruptions. This proactive approach is essential for businesses that rely on IT infrastructure for their critical operations, as it minimizes downtime and ensures a more stable and reliable IT environment.

By integrating RCA with AIOps, organizations can harness the power of advanced analytics and AI to transform their IT operations, making them more resilient, efficient, and aligned with business objectives.

Learn more about BMC’s AIOps solutions ›

Additional resources.

For more on this topic, explore these resources:

• BMC Service Management Blog
• BMC Business of IT Blog
• Data Visualization Guide , with tutorials on creating charts and graphs
• How To Build Your ITSM Business Case (Free Template Included)
• Resilience Engineering: An Introduction

How to evolve IT to drive digital business success

When IT and the business are on the same page, digital transformation flows more easily. In this e-book, you’ll learn how IT can meet business needs more effectively while maintaining priorities for cost and security.

These postings are my own and do not necessarily represent BMC's position, strategies, or opinion.

See an error or have a suggestion? Please let us know by emailing [email protected] .

Business, Faster than Humanly Possible

BMC works with 86% of the Forbes Global 50 and customers and partners around the world to create their future. With our history of innovation, industry-leading automation, operations, and service management solutions, combined with unmatched flexibility, we help organizations free up time and space to become an Autonomous Digital Enterprise that conquers the opportunities ahead. Learn more about BMC ›

You may also like

The Customer and Ho’oponopono

3 Simple Data Strategies for Companies

What is a Digital Transformation Framework?

Top TED Talks on Digital Transformation

R&D and Innovation in the Enterprise

3 Steps to Aligning IT Goals with Business Goals

About the author.

Laura Shiff

Laura Shiff is a researcher and technical writer based in the Twin Cities. She specializes in software, technology, and medicine. You can reach Laura at [email protected]

Joe Hertvik

Joe Hertvik PMP owns Hertvik & Associates, an IT infrastructure and marketing management consultancy. Joe provides contract services for IT environments including Project Management, Data Center, network, Infrastructure, and IBM i management.

His company also provides Marketing, content strategy, and content production services for B2B IT industry companies. Joe has produced over 1,000 articles and IT-related content for various publications and tech companies over the last 15 years.

Joe can be reached via email at [email protected] or LinkedIn .

tableau.com is not available in your region.

Root Cause Analysis (RCA) Methods for Effective Problem Solving

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

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

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

Related: 3 Root Cause Analysis Templates (and Examples)

5 Whys: How to Uncover Root Causes [Examples]

Root Cause Analysis Fundamentals

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

RCA aims to achieve the following objectives:

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

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

The RCA Process

Problem identification.

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

Data Collection

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

Cause Identification

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

Solution Implementation

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

Follow-up and Monitoring

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

RCA Techniques

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

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

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

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

Fishbone Diagram

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

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

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

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

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

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

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

Barrier Analysis

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

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

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

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

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

Benefits of Root Cause Analysis

Quality improvement.

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

Risk Reduction

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

Process Optimization

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

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

Challenges of Root Cause Analysis

Common pitfalls.

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

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

Addressing Human Factors

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

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

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

Fishbone Diagram (Components, Factors, Examples)

Ishikawa Diagram: Examples and Applications

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

• RCA 101 – 5-Why Analysis (Free Training)
• RCA 201 – Basic Failure Analysis
• RCA 301 – PROACT® RCA Certification
• RCA 401 – RCA Train The Trainer
• Other Trainings
• 5 Whys Root Cause Analysis Template
• RCA Template
• Chronic Failure Calculator

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 .

• Root Cause Analysis /

Recent Posts

5 Root Cause Analysis Examples That Shed Light on Complex Issues

What Is Fault Tree Analysis (FTA)? Definition & Examples

Guide to Failure Mode and Effects Analysis (FMEA)

Root Cause Analysis Software

Our RCA software mobilizes your team to complete standardized RCA’s while giving you the enterprise-wide data you need to increase asset performance and keep your team safe.

Root Cause Analysis Training

[email protected]

Tel: 1 (800) 457-0645

Share article with friends:

• Memberships

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

Add a link to this page on your website: <a href=”https://www.toolshero.com/problem-solving/root-cause-analysis-rca/”>Toolshero: Root Cause Analysis (RCA)</a>

Did you find this article interesting?

Your rating is more than welcome or share this article via Social media!

Average rating 4 / 5. Vote count: 3

No votes so far! Be the first to rate this post.

We are sorry that this post was not useful for you!

Let us improve this post!

Tell us how we can improve this post?

Vincent van Vliet

Vincent van Vliet is co-founder and responsible for the content and release management. Together with the team Vincent sets the strategy and manages the content planning, go-to-market, customer experience and corporate development aspects of the company.

Related ARTICLES

Soft Systems Methodology (SSM) by Peter Checkland

DMADV Process: the Basics and Steps

Charles Kepner biography and books

Eight Dimensions of Quality by David Garvin

Agile Crystal Method explained

Convergent Thinking: the Definition and Theory

Also interesting.

Action Plan explained plus template

Business Model You by Timothy Clark: a Summary

Failure Mode and Effects Analysis (FMEA)

Leave a reply cancel reply.

You must be logged in to post a comment.

BOOST YOUR SKILLS

Toolshero supports people worldwide ( 10+ million visitors from 100+ countries ) to empower themselves through an easily accessible and high-quality learning platform for personal and professional development.

By making access to scientific knowledge simple and affordable, self-development becomes attainable for everyone, including you! Join our learning platform and boost your skills with Toolshero.

POPULAR TOPICS

• Change Management
• Marketing Theories
• Problem Solving Theories
• Psychology Theories

ABOUT TOOLSHERO

• Free Toolshero e-book
• Memberships & Pricing

• 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.

Free Lean Six Sigma Templates

Improve your Lean Six Sigma projects with our free templates. They're designed to make implementation and management easier, helping you achieve better results.

Other Guides

Fault Root Cause Diagnosis Method Based on Recurrent Neural Network and Granger Causality

Ieee account.

• Change Username/Password
• Update Address

Purchase Details

• Payment Options
• Order History
• View Purchased Documents

Profile Information

• Communications Preferences
• Profession and Education
• Technical Interests
• US & Canada: +1 800 678 4333
• Worldwide: +1 732 981 0060
• Contact & Support
• About IEEE Xplore
• Accessibility
• Terms of Use
• Nondiscrimination Policy
• Privacy & Opting Out of Cookies

A not-for-profit organization, IEEE is the world's largest technical professional organization dedicated to advancing technology for the benefit of humanity. © Copyright 2024 IEEE - All rights reserved. Use of this web site signifies your agreement to the terms and conditions.

• Business Essentials
• Leadership & Management
• Credential of Leadership, Impact, and Management in Business (CLIMB)
• Entrepreneurship & Innovation
• Digital Transformation
• Finance & Accounting
• Business in Society
• For Organizations
• Support Portal
• Media Coverage
• Founding Donors
• Leadership Team

• Harvard Business School →
• HBS Online →
• Business Insights →

Business Insights

Harvard Business School Online's Business Insights Blog provides the career insights you need to achieve your goals and gain confidence in your business skills.

• Career Development
• Communication
• Decision-Making
• Earning Your MBA
• Negotiation
• News & Events
• Productivity
• Staff Spotlight
• Student Profiles
• Work-Life Balance
• AI Essentials for Business
• Alternative Investments
• Business Analytics
• Business Strategy
• Business and Climate Change
• Design Thinking and Innovation
• Digital Marketing Strategy
• Disruptive Strategy
• Economics for Managers
• Entrepreneurship Essentials
• Financial Accounting
• Global Business
• Launching Tech Ventures
• Leadership Principles
• Leadership, Ethics, and Corporate Accountability
• Leading with Finance
• Management Essentials
• Negotiation Mastery
• Organizational Leadership
• Power and Influence for Positive Impact
• Strategy Execution
• Sustainable Business Strategy
• Sustainable Investing
• Winning with Digital Platforms

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.

Access your free e-book today.

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

An adaptive fault detection and root-cause analysis scheme for complex industrial processes using moving window KPCA and information geometric causal inference

• Published: 12 March 2021
• Volume 32 , pages 2007–2021, ( 2021 )

Cite this article

• Yanning Sun 1 ,
• Wei Qin   ORCID: orcid.org/0000-0002-8527-0354 1 ,
• Zilong Zhuang 1 &
• Hongwei Xu 1  

1985 Accesses

46 Citations

1 Altmetric

Explore all metrics

In recent years, fault detection and diagnosis for industrial processes have been rapidly developed to minimize costs and maximize efficiency by taking advantages of cheap sensors and microprocessors, data analysis and artificial intelligence methods. However, due to the nonlinear and dynamic characteristics of industrial process data, the accuracy and efficiency of fault detection and diagnosis methods have always been an urgent problem in industry and academia. Therefore, this study proposes an adaptive fault detection and root-cause analysis scheme for complex industrial processes using moving window kernel principle component analysis (KPCA) and information geometric causal inference (IGCI). The proposed scheme has three main contributions. Firstly, a research scheme combining moving window KPCA with adaptive threshold is presented to handle the nonlinear and dynamic characteristics of complex industrial processes. Then, the multiobjective evolutionary algorithm is employed to select the optimal hyperparameters for fault detection, which not only avoids the blindness of hyperparameters selection, but also maximize model accuracy. Finally, the IGCI-based fault root-cause analysis method can help field operators to take corrective measures in time to resume the normal process. The proposed scheme is tested by the Tennessee Eastman platform. Its results show that this scheme has a good performance in reducing the faulty false alarms and missed detection rates and locating fault root-cause.

This is a preview of subscription content, log in via an institution to check access.

Access this article

Price includes VAT (Russian Federation)

Instant access to the full article PDF.

Rent this article via DeepDyve

Institutional subscriptions

Similar content being viewed by others

Adaptive CIPCA-based fault diagnosis scheme for uncertain time-varying processes

Bayesian Fault Diagnosis Using Principal Component Analysis Approach with Continuous Evidence

Fault Diagnosis of Wastewater Treatment Processes Based on CPSO-DKPCA

Alvarado-Iniesta, A., Guillen-Anaya, L. G., Rodríguez-Picón, L. A., & Ñeco-Caberta, R. (2020). Multi-objective optimization of an engine mount design by means of memetic genetic programming and a local exploration approach. Journal of Intelligent Manufacturing, 31 (1), 19–32.

Article   Google Scholar  

Bakdi, A., & Kouadri, A. (2017). A new adaptive PCA based thresholding scheme for fault detection in complex systems. Chemometrics and Intelligent Laboratory Systems, 162, 83–93.

Barzel, B., & Barabási, A. L. (2013). Network link prediction by global silencing of indirect correlations. Nature biotechnology, 31 (8), 720–725.

Censor, Y. (1977). Pareto optimality in multiobjective problems. Applied Mathematics and Optimization, 4 (1), 41–59.

Chen, H., Jiang, B., Lu, N., & Mao, Z. (2018). Deep PCA based real-time incipient fault detection and diagnosis methodology for electrical drive in high-speed trains. IEEE Transactions on Vehicular Technology, 67 (6), 4819–4830.

Da Cunha, N. O., & Polak, E. (1967). Constrained minimization under vector-valued criteria in finite dimensional spaces. Journal of Mathematical Analysis and Applications, 19 (1), 103–124.

Daniusis, P., Janzing, D., Mooij, J., Zscheischler, J., Steudel, B., Zhang, K., & Schölkopf, B. (2012). Inferring deterministic causal relations. arXiv preprint arXiv:1203.3475 .

Dong, J., Wang, M., Zhang, X., Ma, L., & Peng, K. (2017). Joint data-driven fault diagnosis integrating causality graph with statistical process monitoring for complex industrial processes. IEEE Access, 5, 25217–25225.

Dong, Y., & Qin, S. J. (2018). A novel dynamic PCA algorithm for dynamic data modeling and process monitoring. Journal of Process Control, 67, 1–11.

Downs, J. J., & Vogel, E. F. (1993). A plant-wide industrial process control problem. Computers & Chemical Engineering, 17 (3), 245–255.

Feizi, S., Marbach, D., Médard, M., & Kellis, M. (2013). Network deconvolution as a general method to distinguish direct dependencies in networks. Nature Biotechnology, 31 (8), 726.

Gajjar, S., & Palazoglu, A. (2016). A data-driven multidimensional visualization technique for process fault detection and diagnosis. Chemometrics and Intelligent Laboratory Systems, 154, 122–136.

Gonzalez, R., Huang, B., & Lau, E. (2015). Process monitoring using kernel density estimation and Bayesian networking with an industrial case study. ISA Transactions, 58, 330–347.

Hamadouche, A. (2020). Model-free direct fault detection and classification. Journal of Process Control, 87, 130–137.

Heo, S., & Lee, J. H. (2018). Fault detection and classification using artificial neural networks. IFAC-PapersOnLine, 51 (18), 470–475.

Hsu, C. W., Chang, C. C., & Lin, C. J. (2013). A practical guide to support vector classification (pp. 1–16). https://www.csie.ntu.edu.tw/~cjlin/papers/guide/guide.pdf .

Huang, J., & Yan, X. (2015). Dynamic process fault detection and diagnosis based on dynamic principal component analysis, dynamic independent component analysis and Bayesian inference. Chemometrics and Intelligent Laboratory Systems, 148, 115–127.

Huang, J., & Yan, X. (2017). Quality relevant and independent two block monitoring based on mutual information and KPCA. IEEE Transactions on Industrial Electronics, 64 (8), 6518–6527.

Kouadri, A., Hajji, M., Harkat, M. F., Abodayeh, K., Mansouri, M., Nounou, H., & Nounou, M. (2020). Hidden Markov model based principal component analysis for intelligent fault diagnosis of wind energy converter systems. Renewable Energy, 150, 598–606.

Kusiak, A. (2017). Smart manufacturing must embrace big data. Nature, 544 (7648), 23–25.

Kusiak, A. (2018). Smart manufacturing. International Journal of Production Research, 56 (1–2), 508–517.

Lahdhiri, H., Elaissi, I., Taouali, O., Harakat, M. F., & Messaoud, H. (2018). Nonlinear process monitoring based on new reduced Rank-KPCA method. Stochastic Environmental Research and Risk Assessment, 32 (6), 1833–1848.

Lahdhiri, H., Taouali, O., Elaissi, I., Jaffel, I., Harakat, M. F., & Messaoud, H. (2017). A new fault detection index based on Mahalanobis distance and kernel method. The International Journal of Advanced Manufacturing Technology, 91 (5–8), 2799–2809.

Lee, S., & Kim, S. B. (2018). Time-adaptive support vector data description for nonstationary process monitoring. Engineering Applications of Artificial Intelligence, 68, 18–31.

Lee, W. J., Mendis, G. P., Triebe, M. J., & Sutherland, J. W. (2020). Monitoring of a machining process using kernel principal component analysis and kernel density estimation. Journal of Intelligent Manufacturing, 31 (5), 1175–1189.

Li, W., & Zhao, C. (2019). Hybrid fault characteristics decomposition based probabilistic distributed fault diagnosis for large-scale industrial processes. Control Engineering Practice, 84, 377–388.

Lu, C. J. (2012). An independent component analysis-based disturbance separation scheme for statistical process monitoring. Journal of Intelligent Manufacturing, 23 (3), 561–573.

Ma, L., Dong, J., & Peng, K. (2018a). Root cause diagnosis of quality-related faults in industrial multimode processes using robust Gaussian mixture model and transfer entropy. Neurocomputing, 285, 60–73.

Ma, L., Dong, J., & Peng, K. (2018b). A practical propagation path identification scheme for quality-related faults based on nonlinear dynamic latent variable model and partitioned Bayesian network. Journal of the Franklin Institute, 355 (15), 7570–7594.

Ma, L., Dong, J., & Peng, K. (2020). A novel key performance indicator oriented hierarchical monitoring and propagation path identification framework for complex industrial processes. ISA Transactions, 96, 1–13.

Ma, L., Dong, J., Peng, K., & Zhang, C. (2018c). Hierarchical monitoring and root-cause diagnosis framework for key performance indicator-related multiple faults in process industries. IEEE Transactions on Industrial Informatics, 15 (4), 2091–2100.

Ma, L., Dong, J., Peng, K., & Zhang, K. (2017). A novel data-based quality-related fault diagnosis scheme for fault detection and root cause diagnosis with application to hot strip mill process. Control Engineering Practice, 67, 43–51.

Mansouri, M., Nounou, M., Nounou, H., & Karim, N. (2016). Kernel PCA-based GLRT for nonlinear fault detection of chemical processes. Journal of Loss Prevention in the Process Industries, 40, 334–347.

Mujica, L. E., Rodellar, J., Fernandez, A., & Güemes, A. (2011). Q -statistic and T 2 -statistic PCA-based measures for damage assessment in structures. Structural Health Monitoring, 10 (5), 539–553.

Navi, M., Meskin, N., & Davoodi, M. (2018). Sensor fault detection and isolation of an industrial gas turbine using partial adaptive KPCA. Journal of Process Control, 64, 37–48.

Reshef, D. N., Reshef, Y. A., Finucane, H. K., Grossman, S. R., McVean, G., Turnbaugh, P. J., Lander, E. S., Mitzenmacher, M., & Sabeti, P. C. (2011). Detecting novel associations in large data sets. Science, 334 (6062), 1518–1524.

Said, M., ben Abdellafou, K., & Taouali, O. (2019). Machine learning technique for data-driven fault detection of nonlinear processes. Journal of Intelligent Manufacturing, 334, 1–20.

Google Scholar  

Sbalzarini, I. F., Müller, S., & Koumoutsakos, P. (2000). Multiobjective optimization using evolutionary algorithms. In Proceedings of the summer program (Vol. 2000, pp 63–74).

Simani, S., & Castaldi, P. (2019). Intelligent fault diagnosis techniques applied to an offshore wind turbine system. Applied Sciences, 9 (4), 783.

Simani, S., Farsoni, S., & Castaldi, P. (2018). Data-driven techniques for the fault diagnosis of a wind turbine benchmark. International Journal of Applied Mathematics and Computer Science, 28 (2), 247–268.

Skordilis, E., & Moghaddass, R. (2017). A condition monitoring approach for real-time monitoring of degrading systems using Kalman filter and logistic regression. International Journal of Production Research, 55 (19), 5579–5596.

Sun, Y. N., Qin, W., & Zhuang, Z. L. (2020). Quality consistency analysis for complex assembly process based on Bayesian networks. Procedia Manufacturing, 51, 577–583.

Wang, G., Zhang, Y., Liu, C., Xie, Q., & Xu, Y. (2019). A new tool wear monitoring method based on multi-scale PCA. Journal of Intelligent Manufacturing, 30 (1), 113–122.

Wang, S., Zhao, Y., Shu, Y., Yuan, H., Geng, J., & Wang, S. (2018). Fast search local extremum for maximal information coefficient (MIC). Journal of Computational and Applied Mathematics, 327, 372–387.

Xu, Y., & Deng, X. (2016). Fault detection of multimode non-Gaussian dynamic process using dynamic Bayesian independent component analysis. Neurocomputing, 200, 70–79.

Zadeh, L. (1963). Optimality and non-scalar-valued performance criteria. IEEE Transactions on Automatic Control, 8 (1), 59–60.

Zhang, Y., Zhang, W., & Xie, Y. (2013). Improved heuristic equivalent search algorithm based on maximal information coefficient for Bayesian network structure learning. Neurocomputing, 117, 186–195.

Zhou, C., Ding, L. Y., Skibniewski, M. J., Luo, H., & Zhang, H. T. (2018). Data based complex network modeling and analysis of shield tunneling performance in metro construction. Advanced Engineering Informatics, 38, 168–186.

Zhou, F., Park, J. H., & Liu, Y. (2016). Differential feature based hierarchical PCA fault detection method for dynamic fault. Neurocomputing, 202, 27–35.

Zhou, P., Zhang, R., Liang, M., Fu, J., Wang, H., & Chai, T. (2020). Fault identification for quality monitoring of molten iron in blast furnace ironmaking based on KPLS with improved contribution rate. Control Engineering Practice, 97, 104354.

Download references

Acknowledgements

The authors would like to acknowledge financial supports of the National Natural Science Foundation of China (Nos. 51775348, U1637211).

Author information

Authors and affiliations.

School of Mechanical Engineering, Shanghai Jiao Tong University, Shanghai, China

Yanning Sun, Wei Qin, Zilong Zhuang & Hongwei Xu

You can also search for this author in PubMed   Google Scholar

Corresponding author

Correspondence to Wei Qin .

Additional information

Publisher's note.

Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations.

Rights and permissions

Reprints and permissions

About this article

Sun, Y., Qin, W., Zhuang, Z. et al. An adaptive fault detection and root-cause analysis scheme for complex industrial processes using moving window KPCA and information geometric causal inference. J Intell Manuf 32 , 2007–2021 (2021). https://doi.org/10.1007/s10845-021-01752-9

Download citation

Received : 25 May 2020

Accepted : 22 February 2021

Published : 12 March 2021

Issue Date : October 2021

DOI : https://doi.org/10.1007/s10845-021-01752-9

Share this article

Anyone you share the following link with will be able to read this content:

Sorry, a shareable link is not currently available for this article.

Provided by the Springer Nature SharedIt content-sharing initiative

• Fault detection
• Root-cause analysis
• Moving window KPCA
• Multiobjective evolutionary algorithm
• Causal inference
• Find a journal
• Publish with us
• Track your research

On The Site

Troubleshooting and root cause failure analysis.

Equipment Problem Solving

by JR Paul Lanthier

224 Pages , 4.75 x 7.00 x 0.50 in

• ISBN: 9780831136659
• Availability: In Stock
• Publication Date: January 2021
• Digital Edition Go To eBook
• Description
• About the Author
• Table of Contents

In the field of maintenance, good problem-solving practices are among the most important elements to maximizing equipment uptime, and by resolving the root cause of the failure, in increasing equipment reliability. To be successful, an organization must be able to resolve the effects of a failure quickly so that it can go back to normal, and, in some cases, determine the cause of the failure so that a permanent solution can be identified and implemented. These are two distinct requirements (troubleshooting and root cause failure analysis), with distinctive requirements. Both are important, and one cannot exist without the other if we want to be efficient and effective in resolving asset failures.

This work takes a unique approach to equipment failure-related problem solving by presenting both types of failure resolution techniques, the purpose of each, and describing how best to use them. In presenting root cause failure analysis, the book distinguishes between information gathering and failure analysis. It provides five information gathering methods and three root cause analysis methods from the 5-Whys to Logic Tree Analysis to Single Functional Failure RCM. It follows a structured approach to managing the RCFA, from stabilizing the site and gathering information, to implementing and sustaining the results, to leveraging the solution.

This book provides practical methods and tools needed to achieve problem-solving goals and objectives, both when troubleshooting a problem as well as when determining a permanent solution. All of this information is kept to a concise and extremely readable length and format. The market needs a practical troubleshooting and RCFA guide that is not software specific and that provides a clear, structured approach to both. This work is that rare find.

• Explores problem solving as a science.
• Focuses on how to help an organization be successful, both at quickly getting the plant back in operation, and defining permanent solutions.
• The only book to detail troubleshooting and RCFA under the same cover.

J R Paul Lanthier , P. Eng., is a facilitator, practitioner, trainer, coach, mentor, project manager, practice lead, Director, VP of Operations, and President. He has worked in the fields of asset management, organizational engineering, reliability and maintenance at all levels in various industry sectors worldwide. Paul is the former Director of ‘The Aladon Network,’ and leader for RCM2, as well as former Director of Reliability Services at Ivara Corp. As a professional Engineer with nearly 40 years’ experience, he is a recognized technical leader in the field of asset management and an author of multiple books.

• Introduction to Problem Solving
• Part I: UNDERSTAND FAILURES
• Part II: TROUBLESHOOTING
• Part III: ROOT CAUSE FAILURE ANALYSIS (RCFA)
• Conducting an RCFA

Related Products

Troubleshooting and Root Cause Analysis of Equipment Reliability Problems

Finding Equipment Reliability Root Causes

What is the most common method of equipment failure root cause analysis? Is it…

• Failure Modes and Effects Analysis?
• Fault Trees?

The real answer, observed in the field, is … GUESSING!

In other words, no formal root cause analysis is performed. The maintenance technician guesses an answer and tries a fix. This usually includes replacing a part. If the problem goes away (at least temporarily), the root cause has been discovered. If it does not go away, guess again!

This application of “guessing” as the primary tool for root cause analysis of equipment reliability and maintenance problems is probably the biggest challenge to achieving equipment reliability excellence.

Want to get beyond guessing? Then read on…

Troubleshooting IS NOT Root Cause Analysis

One of the first problems I observed in helping maintenance professionals find root causes was that they didn’t have the knowledge they needed to find the root causes. They were trying to find root causes BEFORE they completed troubleshooting the problem.

What is the difference between troubleshooting and root cause analysis?

Troubleshooting is trying to discover the physical or equipment cause of the failure. For example, if a pump is producing less than the rated flow, we might want to know why. If we discover that the impellor on a double volute pump was installed backward, we have completed the troubleshooting of the problem. We can reinstall the impeller the correct way, and the problem will be solved. But we haven’t found the root cause of the failure.

The Causal Factor is:

“Technician installs impellor backward.”

But that Causal Factor is just the start of the root cause analysis. We need to take that Causal Factor through the Root Cause Tree® Diagram to find the error’s root cause (or root causes).

The Root Cause Tree® Diagram systematically finds the root causes of equipment failures after the investigator troubleshoots the problem.

First, we troubleshooted the problem using Equifactor® Troubleshooting Techniques, and then we found the root causes using the Root Cause Tree® Diagram and the Root Cause Tree® Dictionary.

Equifactor® Troubleshooting

What are the Equifactor® Troubleshooting Techniques? They are troubleshooting tools developed by System Improvement based on Heinz Bloch’s troubleshooting techniques.

Here is a simple flow chart of the process:

The troubleshooting process includes troubleshooting tables for:

• Equipment (pumps, compressors, fans, blowers, electric motors, conveyor belts, …)
• Manual Valves
• Components (bearings, gears, gear couplings, mechanical seals)
• Electrical components

It also includes two techniques developed by Heinz:

• Failure Modes
• Failure Agents

This troubleshooting process is built into the Equifactor® Steps for Troubleshooting and Analyzing Equipment Failures shown below.

Troubleshooting using Equifactor® Techniques is taught in the 2-Day Equifactor® Troubleshooting and TapRooT® Root Cause Analysis Course .

The information gained during the troubleshooting is added to a SnapCharT® Diagram that displays what happened. The course also teaches how to use the SnapCharT® Diagram. An example of an equipment failure related SnapCharT® Diagram is shown below…

Notice that the Causal Factor (Mechanic installs impeller backward) is included on the SnapCharT®.

Root Cause Analysis

How do you find the root causes of the mechanic installing the impeller backward? That’s covered on the second day of the 2-Day Equifactor® Troubleshooting and TapRooT® Root Cause Analysis Course .

Would you like to learn how to troubleshoot equipment problems effectively and find root causes using the Root Cause Tree® Diagram? Then REGISTER for an upcoming public 2-Day Equifactor® Course. Or CONTACT US for a quote for a course at your site.

• Share To Twitter
• Share To Facebook
• Share To LinkedIn
• Share To Pinterest

Leave a Reply Cancel reply

Your email address will not be published. Required fields are marked *

Save my name, email, and website in this browser for the next time I comment.

More Articles That Might Interest You...