principles of root cause problem solving using fault diagnostics for troubleshooting

Root Cause Analysis (RCA): Basic principles, benefits, and steps

Table of Contents

Introduction.

In industries and other disciplines, where equipment availability and operational reliability are key premises, the search for effective solutions is based on the use of proven methodologies. Root Cause Analysis (RCA) is one of these tools, used to face complex challenges, linking problems and solutions in an effective way.

This article focuses on the principles, benefits, and steps of this methodology, providing knowledge for the analysis and resolution of problems within your organization and thus contributing to the prevention of recurring failures, process availability and continuous improvement.

What is root cause analysis (RCA) and how does it work?

Root Cause Analysis (RCA) is a logical, methodical, and orderly approach used to identify the root causes of problems or failures in processes, products or services. This diagnostic methodology, which focuses on eliminating the causes and not the symptoms of a problem, aims at proposing solutions to avoid the recurrence of events.

The causal analysis process involves collecting data about an event or problem and using various analysis tools to identify the causes. An event is defined as an occurrence that causes a negative effect, such as a process failure, product defect, or customer dissatisfaction. This can be the basis for initiating a causal analysis.

To conduct the RCA analysis, it is crucial to collect evidence that supports the existence of the problem and helps to understand its context. This evidence may include records, incident reports, and testimonies of the personnel involved. From this evidence, hypotheses are formulated to explain the possible causes of the event. These hypotheses are assumptions that should be tested throughout the RCA process.

By applying tools such as the Ishikawa Diagram, the “5 Whys” and the Failure Mode and Effects Analysis (FMEA), organizations can break down a complex problem into more manageable parts and gain valuable information to help them implement effective solutions (Castro, et al., 2023).

What are the basic principles of root cause analysis ?

Problem decomposition with a general to specific approach.

By breaking the problem down into more manageable components, the team can trace a logical path from surface causes to root causes, ensuring that no relevant factor is left unanalyzed during problem analysis .

Focus on causes, not symptoms

RCA is based on the premise that the symptoms of a problem are only the visible manifestation, while the underlying causes are what really need to be addressed. Identifying and eliminating these causes helps prevent recurrence of the problem.

Objective data collection

The basis of causal analysis lies in the collection of quantifiable and verifiable data. This may include records, reports, and testimonials, which help to understand the context of the problem. Without objective data, it is difficult to identify causes accurately.

Structured methods usage

Structured methods are used to guide the problem analysis process to ensure a comprehensive analysis. Tools such as the Cause and Effect Diagram, the “5 Whys”, among others, make it possible to break down complex problems and visualize the relationships between different causal factors.

Intermediate causes identification

During causal analysis, it is common to identify intermediate causes that contribute to the problem but are not root causes. Intermediate causes can be direct influences that, if resolved, can mitigate the problem, even if they do not eliminate it entirely.

Multidisciplinary approach

The participation of teams from different disciplines in the RCA enriches the analysis by providing diverse perspectives. This collaboration is essential to identify causes that might go unnoticed in an isolated analysis.

Senior management commitment

Top management support is critical to the success of the RCA. This commitment provides the necessary resources and motivation to implement changes based on the findings of the analysis.

Final result assurance

Validation allows unfounded conjectures to be ruled out and ensures that only the causes truly linked to the event are addressed. This avoids the implementation of ineffective or misdirected solutions, which reinforces the effectiveness of corrective actions and prevents the recurrence of the problem. Complement the information by visiting the following video.

How is a step-by-step root cause analysis carried out?

Conducting a Root Cause Analysis (RCA) involves following a series of structured steps that guide teams in identifying and resolving problems. According to Garcia (2006), RCA employs a deductive approach that allows determining up to three levels of root causes for a specific event.

A common approach is presented below:

Problem definition

The first step is to identify, define, and document the specific problem being analyzed. This includes delineating the scope and nature of the problem (Castro et al., 2023). To ensure that all team members have a clear and common understanding, it is advisable to organize an initial meeting where the problem situation is discussed in detail.

A useful tool at this stage is the use of a problem statement format, which should include the “what,” “where,” “when,” and “who,” thus ensuring that all participants share the same view of the problem.

Formation of a work team

An important premise for carrying out the causal analysis is that a multidisciplinary work team must be formed to manage the respective analysis. The analysis can be guided by a facilitator/consultant. Ideally, all areas involved should participate.

Data collection

The collection of relevant data is fundamental to the analysis, which can include historical records, performance reports, and interviews with the personnel involved, helping to identify both chronic and sporadic failures. During this process, the use of tools such as the Pareto Diagram can be very effective in identifying the most problematic areas and prioritizing efforts. In addition, surveys can provide valuable qualitative information to complement quantitative data.

Identification of potential causes

In this phase, tools such as the Ishikawa Diagram (or Fishbone Diagram), Cause and Effect Diagram, and the 5 Whys technique are used to identify and list the possible causes of the problem. Fostering a collaborative environment where all participants can contribute is key. In addition, constructing a logical cause-effect tree, as suggested by Prada (2013), helps to identify important findings and provides a clear graphical representation of the causes. It is important to prioritize the causes, from the general to the particular.

Cause analysis

Once the potential causes have been identified, they need to be evaluated and validated using the data collected to determine the true root causes of the problem. At this stage, the team must be guided by logical thinking and apply tools such as Failure Mode and Effects Analysis (FMEA) to quantify the impact of each cause and formulate hypotheses that can be validated. This ensures that the physical causes, human error, and organizational causes that led to the problem are identified.

Solution development

With root causes confirmed, the team should generate and evaluate possible solutions. The solutions should be directly focused on the root causes, identified and validated. For this process, an effective technique is brainstorming followed by a prioritization matrix, which allows the proposed solutions to be evaluated based on their cost, ease of implementation, and expected effectiveness. This prioritization helps determine which actions should be implemented first to effectively solve the problem.

Implement the selected solutions and assign responsibilities to ensure their application

It is important to document the entire process for future reference and lessons learned. Corrective action implementation is the next step, where an action plan is developed that assigns specific responsibilities to team members. At this point, using a Gantt chart can be very helpful in scheduling and tracking the progress of corrective actions, ensuring that all tasks are completed in a timely manner and with clear accountability.

Monitoring and evaluation

After implementing solutions, follow-up should be performed to evaluate their effectiveness and ensure that the problem does not recur. This monitoring is key to continuous improvement and to adjust solutions as needed. Follow-up meetings and the use of KPIs allow the effectiveness of solutions to be measured over time. Metrics such as the number of recurring incidents or customer satisfaction can provide valuable information on the impact of actions taken.

Benefits of Root Cause Analysis for continuous improvement

Using the RCA tool, organizations can prevent the recurrence of problems by identifying and correcting their underlying causes. Each industry presents unique challenges, where repeated errors can have serious consequences , including significant financial loss or even loss of life . Addressing root causes not only improves operational efficiency but also enhances safety and reduces the risks associated with recurring failures.

In addition to the above, by establishing an RCA process, organizations promote continuous improvement, while internalizing a culture of quality, allowing them to learn from mistakes and strengthen processes. This aligns with quality principles such as those established in ISO 9001:2015. In turn, the practice of questioning with the use of the 5 Whys contributes to internalize critical thinking and learning in the organizational culture, which are determining factors in continuous improvement.

Solving root cause problems not only improves product or service quality but also impacts the process and in turn increases customer satisfaction, which can translate into loyalty and positive recommendations. Consequently, eliminating recurring problems leads to increased operational efficiency, reduced costs, which contributes to long-term profitability and the achievement of operational reliability.

Conclusions

Root Cause Analysis (RCA) is a fundamental tool that, although applicable in various disciplines, has had a decisive impact in the field of maintenance, contributing significantly to operational reliability.

Organizations that want to solve problems efficiently and foster a culture of continuous improvement can benefit greatly from its implementation. By following the principles and steps of RCA, it is not only possible to eliminate recurring problems but also to establish proactive and lasting strategies.

With the support of senior management and the collaboration of multidisciplinary teams, RCA has the power to transform the way organizations address their challenges, thereby improving their overall performance and ensuring safer and more efficient operations.

If you want to train your team in this area, check out the Inspenet Academy proposal .

• Gestartec. (2024). El proceso del análisis de causa raíz aplicado al mantenimiento. Retrieved from [Gestartec](https://gestartec.com.ar/2024/05/17/el-proceso-del-analisis-de-causa-raiz-aplicado-al-mantenimiento/)
• Castro, R; Herrera, N.; Quezada, L; Sánchez, K; Silva; C. (2023). Aplicación de las herramientas de la industria 4.0 para mejorar los procesos de Análisis Causa Raíz (RCA) y el Mantenimiento Centrado en Confiablidad (RCM).
• García, Oliveiro (2006). El análisis causa raíz, estrategia de Confiabilidad operacional. https://repositorio.uptc.edu.co/bitstream/handle/001/1275/RED-54.pdf?sequence=1&isAllowed=y
• Prada, R. (2013). El mantenimiento en los procesos industriales y la causa raíz de los problemas. Revista ONTARE. Revista de la Facultad de Ingeniería, Universidad EAN. Pág 63 a 79.
• Gestartec (2024). https://gestartec.com.ar/2024/05/17/el-proceso-del-analisis-de-causa-raiz-aplicado-al-mantenimiento/

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Basic Principle of Root Cause Analysis

Root Cause Analysis (RCA) is one of main problem-solving techniques. It basically helps organizations in improving software quality that leads to organizational improvement by reducing number of defects in system. It is a systematic process of identifying major cause (root cause) of problems or defects and a helpful way for resolving them. Eliminate main cause of defect, so that one can reduce re-occurrence of defect. This is where RCA concept and tools are required and are very useful. This technique helps in following ways :

• It improves reliability.
• Continuously challenges defects and problems that are costly.
• Prevent defects from re-occurrence in future.
• Monitor and maximize return on business investments.

Basic Principle of RCA :

• Main aim of RCA is to determine main cause of problem after which one can identify and take corrective measures and actions that will help eliminate main cause of defect. Due to this, we can prevent future-re-occurrence of defect.
• One should be very focused on determining and identifying corrective measures that are needed to be taken for better and effective result rather than simply treating symptoms of defect on system.
• Investigation process is very essential and critical process. It requires appropriate procedures to be followed for successful and correct results. Similarly, for better results, one should perform RCA process in a very effective manner with full focus and follow procedures.
• We know that there is always a reason or cause of something to happened or occur. Defects are not something that arises without any reason. There are some mistakes either in process, system, requirements, etc. that have led to defect occurrence. Therefore, one needs to understand that for every defect, there is at least one root cause that resulted in occurrence of that particular defect. Yes, there might be some difficulty to find it, but one should give full effort and should have that much stamina to identify it.
• For better-understanding relationship among factors that contributed, main cause and defect being define, analysis needs to develop a sequence of timeline or events.
• Main focus should be on why defect occurred and what is major cause of defect rather than one who made error. Focus should be on How and Why defect occurred rather than Who is responsible.
• Yes, symptoms are too important and should be treated equally, but focusing only on symptoms is not correct. One should focus on finding corrective ways to solve defect rather than just focusing on symptoms.

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Root Cause Analysis (RCA): Definition, Process and Tools

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 .

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Original publication date: 08/15/2010 | Last update: 06/12/2024

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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.

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How to do Root Cause Analysis? Everything You Need to Know

March 4th, 2024

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

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

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

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

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

What is Root Cause Analysis?

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

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

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

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

Goals of Performing Root Cause Analysis

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

Identify Underlying Problems

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

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

Take Corrective Action  

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

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

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

Prevent the Recurrence of Issues

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

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

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

Steps for Conducting Root Cause Analysis

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

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

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

Define the Problem  

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

Define Specific Symptoms

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

Understand Current Impacts

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

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

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

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

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

Gather Information & Data

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

Create a Timeline of Events  

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

Consider perspectives like:

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

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

Document Contributing Factors

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

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

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

Identify Causal Factors

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

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

Use Analysis Tools Like 5 Whys and Fishbone Diagram

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

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

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

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

Determine Relationships Between Factors  

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

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

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

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

Pinpoint the Root Cause(s)  

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

May Be Multiple Root Causes

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

Distinguish Between Causal Factors

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

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

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

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

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

Implement Preventative Solutions

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

Develop a Corrective Action Plan

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

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

Allocate Resources

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

Assign Responsibilities

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

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

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

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

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

Tools for Root Cause Analysis

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

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

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

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

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

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

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

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

5 Whys Technique

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

Ask “Why” Questions Iteratively

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

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

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

Fishbone Diagram

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

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

Visually Map Causal Factors

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

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

Fault Tree Analysis

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

Deductive Root Cause Analysis

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

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

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

Failure Mode & Effects Analysis (FMEA)

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

Predictive Identification of Failures

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

FMEA analysis flows through these steps:

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

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

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

Applications of Root Cause Analysis

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

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

Manufacturing & Quality Control

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

Reduce Defects & Waste

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

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

Software Development

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

Bug Tracking and Resolution

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

Business Process Improvement

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

Identify Process Inefficiencies

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

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

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

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

Best Practices   

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

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

Involve Cross-Functional Teams

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

Harness Different Perspectives

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

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

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

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

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

Create Blameless Culture

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

Encourage Transparency About Problems

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

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

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

Focus on True Root Causes

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

Don’t Just Address Superficial Factors

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

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

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

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

Key Takeaways on How to do Root Cause Analysis

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

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

RCA Helps Diagnose and Prevent Recurring Issues

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

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

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

Implement RCA Methodology Tailored to Your Needs

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

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

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

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

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Root Cause Analysis (RCA) Methods for Effective Problem Solving

By Status.net Editorial Team on May 8, 2023 — 6 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.

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.

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. 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.

• 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.

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.

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.
• Fishbone Diagram (Components, Factors, Examples)
• Ishikawa Diagram: Examples and Applications
• 3 Root Cause Analysis Templates (and Examples)
• Self Evaluation Examples [Complete Guide]

• RCA 101 – 5-Why Analysis (Free Training)
• RCA201 – Basic Failure Analysis
• RCA 301 – PROACT® RCA Certification
• RCA401 – RCA Train The Trainer
• Other Trainings
• 5 Whys Root Cause Analysis Template
• RCA Template
• Chronic Failure Calculator

A Beginners Guide To Root Cause Analysis (RCA) 2024

By Bob Latino

Updated: June 13, 2024

Reading Time: 4 minutes

WHAT IS ROOT CAUSE ANALYSIS (RCA)?

Basic steps of root cause analysis, rca methods, 4 key principles of root cause analysis, what rca tools do we recommend.

When issues arise within a company, there are a number of ways to problem solve. Root Cause Analysis (RCA) is an effective method to identify and solve problems in business by determining the underlying inefficiencies or imperfections and taking the necessary steps to address them to prevent the problem from arising again.

Root Cause Analysis (RCA) can be an effective tool for any business and is widely used in industries such as oil and gas, engineering, healthcare, aviation, and IT operations. RCA works backward in an attempt to zero in on the potentially minor errors that are causing or could cause major concerns.

Root cause analysis (RCA) is a systematic problem-solving technique used to identify the underlying causes of a particular issue or problem, rather than addressing only its symptoms. It involves a structured approach to investigating and understanding why something happened, with the goal of preventing its recurrence.

The term  ‘RCA’ (Root Cause Analysis) is quite vague, misleading and easily misinterpreted by those who are not immersed in its use. It is a useless and counter-productive term because there is no universally accepted, standard RCA definition . Therefore, any process/tool someone is using to solve a problem is likely to be labelled as ‘RCA’.

It could be troubleshooting, brainstorming and/or some other more structured problem solving approaches such as 5-Whys, fishbone diagrams, causal factor trees and/or logic trees. Various regulatory agencies have their own such definitions, as do corporations and companies. However, when definitions differ between agencies, corporations and industries, it is hard to measure the effectiveness of ‘RCA’ across the board, because everyone considers whatever they are doing, as ‘RCA’.

These are the general steps involved in Root Cause Analysis. Keep in mind that specific methodologies and tools may vary depending on the context and industry.

• Define the Problem : The first step in Root Cause Analysis is to clearly define the problem or issue that needs to be addressed. It’s important to have a precise understanding of what went wrong and what the impact of the issue is.
• Identifying contributing factors
• Ranking factors by likelihood of causing the problem
• Classifying these factors into groups representing correlation, contribution, or “root cause” status
• Identify Root Causes : Once you have gathered data, you analyze it to identify the root causes of the problem. Root causes are the underlying factors that contributed to the issue. Techniques such as the “5 Whys” method or Fishbone Diagrams (Ishikawa Diagrams) are commonly used to uncover root causes.
• Develop and Implement Solutions : After identifying the root causes, the next step is to develop and implement solutions to address those root causes. These solutions should be designed to prevent the problem from recurring. It’s important to monitor the effectiveness of the solutions and make adjustments if necessary.

Additionally, incorporating lean six sigma green belt training and RCA can further enhance your ability to improve business processes and effectively implement Root Cause Analysis.

There are a variety of tools and methods to apply root cause analysis and the most effective tool may vary based on industry, company, the nature of the problem, etc. logic tree identifies the following common tools:

• 5 Whys  is a popular tool that looks for the hidden cause by continuing to ask the question “why?” Though 5 is not always the magic number, it is often around the fifth “why” that the hidden cause is discovered.
• Fishbone  is a cause and effect diagram that identifies multiple possible causes that could have led to the identified problem.
• A flowchart  maps out all the steps of a process through different departments in an effect to identify where an error could have occurred.
• A Pareto chart  is based on the premise that eighty percent of effects is caused by twenty percent of causes. It involves prioritizing possible causes based on likelihood of causing the identified problem.

The Washington State Department of Enterprise Services  highlights four key principles involved in Root Cause Analysis:

1. There is usually more than one root cause for a problem

By making broad assumptions about what might be going wrong with business, an entire investigation can be derailed as you hone in one factor instead of investigating all potential contributing factors. RCA does not presume there is only one contributing factor but seeks to evaluate all factors that could be contributing to the systemic issue.

2. RCA is performed most effectively when accomplished through a systematic process with conclusions backed up by evidence

While it may be easy to identify a contributing factor and assume that is the root cause, RCA steers clear of a shallow investigation and looks at the entire system of “roots” as potential causes. RCA involves gathering quality evidence, not hearsay or unquantifiable data. RCA is not intended to be completed as a one man show, but rather a team effort that includes members from each potentially contributing department of the company.

3. The focus of the investigation should be “WHY the event occurred” not “WHO made the error.”

The goal of RCA is not to point fingers at an individual or department who made an error, but to identify systems that can be improved for overall the productivity of the company. RCA places the focus on why the event occurred by going step by step through each process leading up to the problem and evaluating all potential factors in play. The emphasis is on process improvement not on accusations.

4. Focusing on corrective measures of root causes is more effective than simply treating the symptoms of a problem or event

Unlike many problem solving methods that treat the symptom of a problem, Root Cause Analysis gets to the underlying “root” of the problem but investigation does not end at identification of root cause. Once one or more root causes are identified, corrective action is taken in order to prevent the problem from occurring again. RCA can also be used as a method in proactive management- identifying underlying errors before a problem has manifested.

While one can theoretically perform RCAs with sticky notes or on a blank excel sheet, simple tools designed for maximizing impact can be highly effective in taking your RCA game to the next level. EasyRCA is our software offering that is the culmination of 50+years experience in hands-on Reliability training and consulting. It is designed to get your organization to the root of the problem as quick as possible and without any training needed. EasyRCA is cloud-based, designed for team collaboration, and adaptable to multiple RCA methodologies to fit your company’s needs. Leadership can always view progress in real-time and teams can send off reports anytime with 1-Click professional formatting. Visit  EasyRCA.com to learn more and book a Free Demo!

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