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explain problem solving and root cause analysis

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

A hand stacking building blocks that read "root cause"

  • 07 Mar 2023

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

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

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

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What Is Root Cause Analysis?

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

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

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

8 Essential Steps of an Organizational Root Cause Analysis

1. identify performance or opportunity gaps.

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

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

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

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

2. Create an Organizational Challenge Statement

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

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

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

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

3. Analyze Findings with Colleagues

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

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

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

4. Formulate Value-Creating Activities

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

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

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

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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.

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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 .

explain problem solving and root cause analysis

About the Author

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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IBM research proposes an approach to detect abnormality and analyzes root causes using Spark log files.

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Better problem solving with root cause analysis (with template)

explain problem solving and root cause analysis

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

Better Problem Solving With Root Cause Analysis (With Template)

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

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

What is root cause analysis?

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

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

Root Cause Analysis Graphic

What are the 4 steps in a root cause analysis?

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

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

1. Define the problem

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

Here are some more examples of problems:

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

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

2. Identify and map the problem causes

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

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

Fyre Festival Root Cause Analysis Example

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

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

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

explain problem solving and root cause analysis

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explain problem solving and root cause analysis

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

3. Identify the evidence that supports your causes

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

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

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

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

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

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

Root cause analysis template

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

Blank Prep Root Cause Analysis Example Screenshot

Root cause analysis example

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

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

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

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

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

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

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

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

Tax Prep Root Cause Analysis Example

Common mistakes to avoid

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

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

Final thoughts

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

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

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  • Guide: Root Cause Analysis

Daniel Croft

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

  • Last Updated: September 5, 2023
  • Learn Lean Sigma

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

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

Table of Contents

What is root cause analysis.

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

Structured Approach

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

Identify Underlying Reasons

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

Long-term Solutions

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

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

Importance of Root Cause Analysis

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

Problem Solving

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

Cost-Efficiency

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

Quality Improvement

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

Types of Root Cause Analysis Methods

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

Fishbone Diagram (Ishikawa)

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

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

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

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

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

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

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

FMEA (Failure Modes and Effects Analysis)

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

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

You can learn more about the FMEA with our guide

Selecting an RCA method

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

Is the problem simple and straightforward?

Use The 5 Whys Method

Is the problem complex with multiple factors?

Use Fishbone Diagram (Ishikawa)

Is a quantitative risk assessment needed?

Use FMEA (Failure Modes and Effects Analysis)

Use other specialized RCA techniques or hybrid methods

The Five-Step RCA Process

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

Step 1: Define the Problem

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

Be Specific

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

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

Consider the 5 Ws

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

Write it Down

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

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

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

Step 2: Gather Data

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

Identify Data Sources

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

Types of Data to Collect

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

Timing Matters

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

Use Tools to Collect Data

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

Document Everything

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

Verify Your Data

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

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

Example Collected Data

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

Machine Logs (June 2023)

Quality control reports (june 2023), employee interviews.

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

Step 3: Identify Possible Causes

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

Choose a Method

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

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

Involve the Right People

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

Generate a List of Possible Causes

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

Use Your Data

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

Prioritize Causes

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

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

Example of Identifying Possible causes

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

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

Identifying the possible causes in our example

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

Step 4: Determine the Root Cause

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

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

Review Your List of Possible Causes

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

Analyze the Data

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

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

Conduct Tests or Experiments

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

Use Logical Reasoning

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

Involve Experts

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

Confirm the Root Cause

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

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

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

Determining the Root Cause of our Example

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

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

Step 5: Implement and Monitor Solutions

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

Develop a Solution Plan

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

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

Gain Approval and Support

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

Implement the Solution

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

Monitor Effectiveness

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

Make Adjustments as Needed

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

Document the Process

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

Implementing and monitoring solutions of our example

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

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

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

Q: Why is Root Cause Analysis important?

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

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

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

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

Q: How do I start a Root Cause Analysis?

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

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

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

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

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

A: Some common pitfalls to be aware of include:

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

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

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What is root cause analysis?

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Drive effective solutions with a root cause analysis.

Have you ever found yourself dealing with a problem that just won't go away, no matter how many times you try to fix it? Maybe you've spent countless hours troubleshooting, only to have the issue resurface time and time again.

Conducting a root cause analysis can lead you to the right solution. This powerful tool allows you to dig deep and uncover the underlying issues that are causing recurring problems.

In this article, we'll dive into the ins and outs of root cause analysis, and explore how it can revolutionize the way you work.

What is a root cause analysis?

Root cause analysis is a problem-solving technique that helps organizations and individuals understand why things go wrong. It can help identify potential solutions and prevent similar issues from occurring in the future.

When something goes awry in a system or process, it's often tempting to treat the symptoms and move on. However, without identifying and addressing the root cause of the problem, the same issue will likely keep cropping up.

Root cause analysis is not a particular tool but rather a structured and objective approach to problem-solving. The process involves digging deep into the underlying factors contributing to the problem. By identifying the root cause, organizations can develop practical solutions that address the source of the issue rather than just treating the symptoms.

6 steps of root cause analysis

The following is a step-by-step guide for how to do root cause analysis:

1. Define the problem

Before identifying the cause of a problem, you first need to understand the issue entirely.

Start by clearly defining the problem so that you fully understand the situation. This process involves gathering data, examining processes, and determining the impact of the problem on your organization.

Here are some questions you can ask to help you define the problem you want to solve:

What is the problem? Can you describe it in detail?

When did the problem start, and how often does it occur?

Who is affected by the problem?

What is the impact of the problem on the organization, customers, or stakeholders?

What are the current processes or systems that are affected by the problem?

What resources are available to address the problem, including personnel, budget, and technology?

By asking these questions, you can better understand the problem and develop a clear problem statement. These questions and their answers will help set the scope and direction of your root cause analysis.

2. Gather information

Next, collect relevant data and information about the problem. Approach anyone involved or affected by the problem and ask for their input. Conduct interviews with stakeholders, survey employees, and review historical data and records. Observing the processes or systems affected by the problem can provide first-hand insights into the issue.

3. Identify potential causes

Use the data collected to identify possible contributing factors to the problem. Hold a brainstorming session with people that have knowledge or experience related to the problem. Encourage everyone to generate as many possible causes as possible without judging them.

Next, organize the potential causes into categories, such as physical causes, human causes, and organizational causes. Categorizing the potential causes can help to identify common themes and patterns.

4. Analyze causes

Once you’ve gathered enough potential causes, carefully analyze each one. At this point, your team should have generated a significant number of possible reasons for the problem, and not all of them will be relevant.

Take a deeper dive into each cause, deciding on the likelihood that this is what’s causing the problem. Decide whether it’s just one cause or several interconnected causes.

After careful analysis and discussion with your team, you should end this step with a good idea of what’s causing the problem.

5. Develop and implement solutions

You’ve identified the problem and what’s causing it. Now it’s time to turn your attention to solutions.

Based on your analysis, develop corrective actions that address the underlying problem.

6. Monitor results

Implement the corrective actions and monitor the results to ensure they work as intended. You may find that there are additional issues that need to be addressed.

This step can involve reviewing performance metrics, gathering feedback, and conducting follow-up assessments to ensure the problem has been fully resolved. If the issue still needs to be addressed, revisit your solution or consider other potential causes.

Benefits of root cause analysis

Root cause analysis has several benefits that make it a valuable tool for problem-solving and decision-making. Some of the benefits of root cause analysis include:

Prevention of future problems

Root cause analysis helps to identify the underlying cause or causes of a problem rather than just addressing its symptoms. By addressing the root cause, organizations can prevent the problem from recurring. This allows for a more effective and permanent solution.

Improved problem-solving

By using a structured approach to identifying the root cause, the problem-solving process becomes more systematic and efficient. This helps to ensure that all factors contributing to the problem are considered and that the most likely cause is identified.

Improved decision-making

Root cause analysis provides a framework for making informed decisions about addressing the issue. Decisions are made collectively based on data and evidence rather than assumptions or guesswork. This helps to ensure that resources are allocated effectively and that the chosen solution is the most appropriate.

Increased collaboration

Root cause analysis involves gathering input and feedback from multiple stakeholders and employees. This can increase collaboration and communication within an organization.

Continuous improvement

Organizations can continually improve their processes and systems by identifying and addressing the root cause of problems.  And by making ongoing changes to processes and systems, teams can ensure they operate at maximum efficiency.

4 root cause analysis techniques

While root cause analysis is a method or approach, there are tools and techniques that provide a framework for this process. Root cause analysis techniques provide a standardized approach to conducting root cause analysis to ensure you consider relevant factors.

Here are our top picks from Miro’s extensive template library to help you implement each of these four techniques.

This technique is a simple yet effective root cause analysis technique. It involves asking five consecutive "why" questions, each time using the answer to the previous question as the basis for the next question.

explain problem solving and root cause analysis

By looking at the problem from this inquisitive approach, you can drill down to the root cause of the problem. Use the 5 Whys Template to provide support for the technique.

Fishbone Diagram

The Fishbone Diagram is also known as the Ishikawa Diagram or cause-and-effect diagram. This visual tool gets its name because of its shape, which resembles the skeleton of a fish.

explain problem solving and root cause analysis

To use this technique, define the problem statement at the head of the fishbone and draw the major branches for each category of potential causes. Then mindmap the possible causes for each category (major branch) and add them as sub-branches. Finally, analyze each potential cause and identify the root cause of the problem.

Root cause analysis

The RCA Template is user-friendly and intuitive, making it easy for teams to use. By using this template, teams can identify the root cause of a problem and develop a plan to address it. This approach can help organizations save time and resources by avoiding the recurrence of similar problems in the future.

Some of the benefits of using the Root Cause Analysis Template include:

1. Improved problem-solving: This template helps teams to focus on the root cause of a problem, rather than just addressing the symptoms. This approach leads to more effective and sustainable solutions.

2. Increased collaboration: The RCA Template encourages cross-functional collaboration, ensuring that all team members have a voice and can contribute to the problem-solving process.

3. Better decision-making : By using the RCA Template, teams can make informed decisions based on data and evidence, rather than relying on assumptions or guesswork.

4. Continuous improvement: The RCA Template helps teams to identify areas for improvement and develop a plan to address them. This approach promotes a culture of continuous improvement and learning within the organization.

The Root Cause Analysis (RCA) Template is an essential tool for teams to investigate the root causes of problems and develop effective solutions.

FMEA Analysis

FMEA Analysis stands for Failure Mode and Effects Analysis. It is a proactive approach to identifying and mitigating potential failures in a system or process and then developing preventive and corrective actions.

It is different from most root cause analysis techniques because it is intended to find potential issues and stop them before they happen.

Follow these steps when performing FMEA:

Identify the system or process to be analyzed and list the potential failure modes.

Analyze the possible effects of each failure mode on the system or process.

Rate them based on their severity, occurrence probability, and detectability.

Prioritize the failure modes and develop preventive and corrective actions.

Use the FMEA Analysis Template to help guide you in using this technique.

DMAIC Analysis

DMAIC stands for Define, Measure, Analyze, Improve, and Control. This versatile tool was originally developed as part of the Six Sigma initiatives to enhance the manufacturing process. However, this problem-solving methodology is useful for other processes by identifying and eliminating the root causes of defects.

The DMAIC approach is made up of five phases:

Define the problem statement and project goals.

Measure the current performance of the process.

Analyze the data to identify the root causes of defects.

Improve the process by implementing solutions.

Control the process to sustain the improvements.

Use the DMAIC Analysis Template as a framework to organize and document each stage of this problem-solving approach.

Root cause analysis example

Let’s look at a practical example of a team conducting a root cause analysis.

Imagine a dev team experiencing difficulty with the product-login process. To understand the root of this issue, the team uses the 5 Whys framework.

Why are users having difficulty logging in?

There’s an issue with the new code we pushed.

Why is there an issue with the new code we pushed?

We wrote the code in a hurry.

Why did we write the code in a hurry?

We didn’t have much time to release the new feature.

Why didn’t we have enough time to release the new feature?

We kept changing what we wanted to build.

Why did we keep changing what we wanted to build?

We didn’t have a deep understanding of our customer’s problems.

In this example, the 5 Whys framework helped the dev team identify the root cause of the problem and develop a plan to address it. It provided a structured and systematic approach to problem-solving, helping the team identify the underlying factors contributing to the problem.

Ultimately, the root cause of the problem is that the dev team didn’t fully understand the customer's needs and requirements. By identifying the root cause, the team can develop solutions to prevent similar issues in the future. In this case, they may need to invest more time in user research and requirements gathering.

Root cause analysis best practices

Here are some best practices to follow during your root cause analysis to ensure the process is effective.

Involve the right people

This includes people with expertise in the area of the problem and anyone directly impacted by it. Bringing together a diverse group of individuals can provide a well-rounded perspective and increase the likelihood of identifying the root cause accurately.

Use the right tools

Using the right tools can make the root cause analysis process easier and more effective. Miro provides a range of features that can support the process, such as real-time collaboration, data visualizations, and customizable templates.

By providing structured templates, Miro helps teams stay organized and focused during the root cause analysis process. Our platform also allows teams to organize and structure data effectively, ensuring that the analysis is comprehensive and systematic.

Gather sufficient data

Collecting relevant data can help identify patterns, trends, and relationships between different factors contributing to the problem. This includes both quantitative and qualitative data.

Consider all causes

Make a conscious effort to look beyond the most obvious causes and explore other potential factors that may have contributed to the issue. Considering all possible causes makes the analysis more comprehensive, making the resulting solutions more effective in addressing the root cause.

Solve problems like a pro with root cause analysis

Root cause analysis provides a structured approach to problem-solving, allowing you to identify the underlying cause of an issue and develop a solution that addresses it directly. This not only saves time and resources but also leads to more sustainable results.

By using root cause analysis, you can avoid getting stuck in a never-ending cycle of putting out fires and instead take a proactive approach to problem-solving. This means that you can solve problems before they even arise, ensuring that your business or personal life runs smoothly and efficiently.

Miro provides a variety of templates and root cause analysis tools to help you and your team conduct a structured analysis.

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Article • 8 min read

Root Cause Analysis

Tracing a problem to its origins.

By the Mind Tools Content Team

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

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

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

explain problem solving and root cause analysis

What Is Root Cause Analysis?

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

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

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

You'll usually find three basic types of causes:

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

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

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

Frequently Asked Questions

Why is root cause analysis important.

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

What is the 5 Whys technique?

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

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

What are the five steps of a root cause analysis?

RCA has five identifiable steps:

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

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

How to Perform a Root Cause Analysis

Step one: define the problem.

Ask yourself the following:

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

Step Two: Collect Data

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

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

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

Step Three: Identify Possible Causal Factors

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

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

5 Whys Root Cause Analysis

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

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

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

Step Four: Identify the Root Cause(s)

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

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

Step Five: Recommend and Implement Solutions

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

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

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

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

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

Tips for Performing Effective Root Cause Analysis

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

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

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

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

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Root Cause Analysis (RCA) Methods for Effective Problem Solving

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

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

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

Related: 3 Root Cause Analysis Templates (and Examples)

5 Whys: How to Uncover Root Causes [Examples]

Root Cause Analysis Fundamentals

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

RCA aims to achieve the following objectives:

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

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

The RCA Process

Problem identification.

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

Data Collection

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

Cause Identification

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

Solution Implementation

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

Follow-up and Monitoring

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

RCA Techniques

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

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

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

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

Fishbone Diagram

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

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

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

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

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

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

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

Barrier Analysis

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

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

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

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

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

Benefits of Root Cause Analysis

Quality improvement.

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

Risk Reduction

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

Process Optimization

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

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

Challenges of Root Cause Analysis

Common pitfalls.

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

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

Addressing Human Factors

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

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

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

Fishbone Diagram (Components, Factors, Examples)

Ishikawa Diagram: Examples and Applications

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

Root Cause Analysis: A Complete Guide With Examples (2023)

Root Cause Analysis (RCA) is not just a structured method of problem-solving; it's a vital component of organisational leadership. The goal of RCA is to fully understand what caused an issue, allowing for effective corrective actions.

One of the first steps in a successful RCA is identifying performance or opportunity gaps within an organisation. These gaps reflect ways in which an organisation falls short or fails to deliver on its capabilities. RCA helps in pinpointing these gaps, thereby allowing for more targeted solutions.

This article will take you through the benefits of RCA and the three basic types of root causes behind workplace incidents. We’ll then explore the two popular methodologies for RCA and how you can use the RCA methodology to identify them. 

Finally, we’ll share tools and best practices to help you implement a robust RCA framework so you can develop a comprehensive problem-solving process for safety and risk management in your organisation.

Read on to discover how RCA can revolutionise your approach to problem-solving and risk management.

The benefits of Root Cause Analysis (RCA)

Without a structured RCA framework for resolving incidents, organisations risk implementing superficial quick fixes that may address some of the symptoms but not the core problems.

An effective RCA methodology helps an organisation's Health & Safety (H&S) team to identify the root causes of a reported incident in the workplace, which is essential to assign effective preventive or corrective actions . Implementing this framework have many benefits:

  • Save time, money, and resources because they can identify and invest in the right preventive and corrective actions.
  • Prevent the incident from recurring because they can correct the factors causing the issues.
  • Prevent more damage or injury caused by a recurring incident.
  • Prevent more downtime caused by a recurring incident.
  • Boost productivity because they don’t have to revisit the same incident and spend extra time trying to solve the underlying issues.

The three basic types of root cause

There are three fundamental types of root causes:

  • Environmental root cause These are causes related to external factors such as moisture levels, weather, or geography.
  • Individual root cause These are causes related to an individual’s behaviour, personal choices, ability, or circumstance.
  • Organisational root cause These are causes involving internal organisational structure or processes.

The two popular RCA frameworks

A study by Baylor University Medical Center Proceedings identified two popular RCA frameworks. We will cover each one with an example.

#1: The "5 Whys" Method

This is perhaps the most popular RCA technique because of its simplicity. The method is to ask why something happened at least five times. Here’s an example of how it works.

Incident: A construction worker fell and broke his arm.

  • “Ask Why” #1: Why did he fall? Answer: He tripped on a wire
  • “Ask Why” #2: Why was the wire on the ground? Answer: It was an extension wire needed to supply power to a tool on the other side.
  • “Ask Why” #3: Why was the wire pulled across a thoroughfare? Answer: There was no power socket on the other side.  
  • “Ask Why” #4: Why is there only one power socket in that area? Answer: There aren’t enough portable generators on the site.
  • “Ask Why” #5: Why aren’t enough portable generators on the site? Answer: The application requesting the budget to rent a few more portable generators is pending approval.

Using this RCA technique, we’ve identified the actual root cause to be an organisational root cause. The solution for the organisation is to improve the process of approving budgets. 

Speeding up the process of approving budgets doesn’t just help prevent future similar incidents. It may also bring the added benefit of improving productivity when construction workers can quickly get what they need to perform their tasks.

Without using this RCA technique, one could have soon concluded that it was solely an environmental or individual root cause. Any corrective actions in these areas are likely to be ineffective or short-term.

#2: Causal Tree

A causal tree is used to evaluate other possible causes that contributed to the incident. This can help organisations identify other possible preventive or corrective actions. Here’s an example of how a causal tree could look like for the same incident example above:

the Cause Tree method for root cause analysis

Organisations can explore other possible root causes that need addressing using a causal tree. This RCA methodology is beneficial for identifying root causes across environmental, individual, and organisational categories. Another advantage of using the causal tree framework is that it allows organisations to implement short-term solutions to prevent incidents while they take more time to find answers to more prominent issues. For example, the construction company can implement the short-term solution of placing warning signs in front of extended wires on the ground. Meanwhile, the organisation will look into solving the other root causes identified, such as improving the budget approval process and hazard reporting training.

Common Mistakes to Avoid in Root Cause Analysis

Root Cause Analysis (RCA) can be highly effective in addressing workplace safety issues when done correctly. 

However, there are some common mistakes that organisations make when conducting RCA.

Mistake #1: Jumping to conclusions

One of the most common mistakes is jumping to conclusions without thoroughly examining the available information. This often leads to implementing quick fixes that do not address the root cause of the problem.

Tip: Ensure that you take the time to gather all relevant information and systematically work through the RCA process to identify the underlying cause.

Mistake #2: Focusing only on individual errors

Another mistake is solely blaming individuals for incidents without considering the broader organisational context. This can lead to a culture of blame and an unwillingness to report incidents in the future.

Tip: While it is essential to consider individual factors, also examine organisational root causes and environmental factors that may have contributed to the incident. This will help to create a more comprehensive understanding of the issue and lead to more effective solutions.

Mistake #3: Neglecting to involve the right people

One common mistake organisations make is neglecting to involve the right people in the RCA process. A successful RCA requires input from various stakeholders, including employees directly involved in the incident, supervisors, and management. Collaborative analysis helps in collecting a variety of viewpoints and promotes a sense of collective accountability for workplace safety.

Tip: Involving all pertinent stakeholders in the RCA process is crucial, as it aids in collecting a variety of viewpoints and promotes a sense of collective accountability for workplace safety.

Mistake #4: Inadequate documentation

Poor documentation of the RCA process and its outcomes can lead to a lack of accountability and hinder the implementation of corrective actions.

Tip: Document every step of the RCA process, including the incident description, investigation, root cause identification, and proposed corrective actions. This will help ensure that all stakeholders are aware of their responsibilities and can track the progress of the implemented solutions.

Mistake #5: Failing to follow up on corrective actions

Implementing corrective actions is only one part of the RCA process. Organisations sometimes fail to follow up on these actions, which can lead to a recurrence of the incident or issue.

Tip: Establish a system to monitor the progress of corrective actions and evaluate their effectiveness. Regularly review the implemented solutions and make any necessary adjustments to ensure that the root cause is fully addressed and the risk of recurrence is minimised.

How to implement a robust RCA framework 

To enhance workplace safety, it is crucial to establish a strong RCA framework within your organisation.

These are the following steps to implement such a framework:

  • Train the H&S team on how to use the different types of RCA frameworks.
  • Make it easy for employees to report incidents and other events like near misses.
  • Update the new employee training, health and safety training, and SOP guides on submitting incident reports and conducting RCA.
  • Conduct regular health and safety training sessions.
  • Creating an action plan: outline the steps to be taken, the stakeholders involved, and the timeline for implementation

The importance of high-quality incident and hazard reports 

The effectiveness of any Root Cause Analysis (RCA) relies heavily on the input data's accuracy and quality. Therefore, it is imperative to have a reliable incident reporting system in place to ensure the provision of high-quality input data.

Here are the characteristics of a high-quality incident report:

  • Records the incident's time, date, and location.
  • Is honest, clear, and concise.
  • Provides accurate information that doesn’t leave out important facts.
  • Provide as much context as possible.
  • It is written in a first-person, objective observation of what happened, not what they think might have happened.

To write an accurate incident report, employees should be encouraged to start writing the report as soon as possible. 

Delaying writing the report can lead to inaccurate reports or reports without enough detail because the memory gets fuzzy. Whenever possible or relevant, employees should also attach photos for additional context.

To help you navigate the complexities of incident reporting, we strongly recommend downloading our free checklist and comprehensive guide .

incident reporting

Best practices to improve incident reporting and RCA

One of the best practices to improve the quality of incident reports is digitalising the incident reporting process. 

Here’s an example of how Vatix’s incident reporting systems can improve the quality of workplace incident reports and RCA.

  • Higher quality incident reports Our mobile platform makes it easy for employees to report an incident from anywhere without the friction of filling out and submitting a paper form. Facilitating on-the-spot reporting for employees minimises the likelihood of postponing or neglecting to report incidents or other events. Faster reporting of incidents also improves the quality of the report. Employees are more likely to record details with better descriptions and upload photos directly from their mobile devices, improving the data needed for an effective RCA.
  • Customise incident types to an organisation’s specific needs Our incident reporting software allows organisations to customise the types of incidents employees can report. These templates eliminate the need to print out, distribute, and file multiple forms.
  • Easily customise the incident reporting template to capture relevant information. With our incident reporting software, organisations can customise the incident reporting forms to ensure employees submit all required and relevant information. 
  • Real-time reporting and location tracking for faster response Paper-based incident reporting causes a lot of delays and it can take hours before supervisors or managers can view the incident reports. With real-time mobile incident reporting, employees can submit incidents on-the-spot and the H&S team will be alerted with a location so they can respond to the incident within minutes. In some cases, faster response time with location tagging can be the difference between life and death.
  • Easy to get more context at a glance Unlike manual paper-and-pen incident reporting forms, employees can easily add photographs to the incident report directly from their mobile. The incident reporting app also logs the location and provides visual maps for additional context at a glance.

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Root Cause Analysis Guide for Efficient Business Problem-Solving

Updated on: 5 January 2023

Sometimes things go wrong. Well-planned projects fail, processes break down and employees lose their productivity.

To understand what happened, you need to get to the bottom of things.

Many organizations use the root cause analysis when a problem or something unplanned happens that will interrupt their business processes. It helps dig deeper and find effective solutions.

In this post, we will look at what is root cause analysis, the root cause analysis steps, and root cause analysis tools.  

What is Root Cause Analysis

Root cause analysis is a method that helps understand the primary cause of a problem or why a problem occurred in the first place.

It helps you to dig into the underlying causes of the situation, thus allowing you to find appropriate solutions for it.

There are several root cause analysis tools and techniques that can be used in the investigation of a problem. But before we get to that, let’s understand how to conduct a root cause analysis first.

Root Cause Analysis Steps

A root cause analysis may take several hours of your time.

It would be easier for you if you involve a team of relevant people; for example, if you are investigating bottlenecks in a process, it would help to have the process owner and other experts for the analysis.

Follow the steps below to conduct a successful root cause analysis.

Step 1: Define the problem

Define the problem your organization is facing and gather data and evidence relevant to it and necessary to understand the current situation.

Create a problem statement which should include information about the problem like the actual impact, potential impact, the focal point, etc. However keep the statement concise.

Step 2: Determine the factors that caused the problem.

Gather a team of people directly involved in the execution of the process and corrective actions, and experts whose input can help find solutions faster.

Together with the team, brainstorm the possible factors for the problem by asking ‘why?’. You can use a 5 whys diagram or a fishbone diagram here.

Step 3: Identify the root cause.

Dig deeper by continuing to ask why after the first layer of causal factors. Keep at it until finally you have discovered the fundamental cause for the problem at hand.

Step 4: Decide the corrective actions

Decide the corrective actions you need to take to eliminate the problem and prevent it from recurring. Make sure that you clearly communicate them to the people who will be involved.

Step 5: Review and evaluate

Review and evaluate the impact of the corrective actions. Make improvements as necessary.

Root Cause Analysis Tools

Many root cause analysis tools are out there. Following we have listed some that are widely used and more effective in problem-solving.

5 Whys Analysis

To carry out a 5 whys analysis, you need to gather a team of people who are affected by the problem.

As the name suggests, in the 5 whys analysis the question ‘why?’ is asked five times in the course of finding the root cause of a problem.

You can use a 5 whys template like the one below to facilitate the brainstorming session.

Once you have asked ‘why’ five times and figured out the root cause, come up with improvement measure you need to apply. Assign everyone the corrective actions that need to be taken.

5 Whys Analysis - Root Cause Analysis Tools

Cause and Effect Analysis

Once you have identified the problem, you can use the cause and effect analysis to explore the causes of a problem and its effects.

For the analysis, you can use a cause and effect diagram, which is also known as a fishbone diagram or the Ishikawa diagram.

Just as it helps explore the factors that are preventing an outcome, it can also be used to identify the factors needed to generate the desired outcome.

Fishbone Diagram

Here’s how to use the cause and effect analysis to solve business problems . You can also refer to our guide on fishbone diagrams to learn how to use the tool in more detail.  

Pareto Chart

Pareto chart is a combination of a bar chart and a line graph. While the length of the bars represent the frequency or cost of faults, they are arranged in such a way that highlights the most frequent to least frequent. The chart helps prioritize your issues based on the cumulative effect they have on a system.

The Pareto chart is based on the theory that 80% of the total problems that occur are caused by 20% of problem causes. This means if you have solutions to your major problems, you can also solve a majority of your other smaller problems.

Learn how to create a Pareto chart step-by-step here .  

Pareto Chart Example

Scatter Diagram

Scatter diagrams or scatter plot diagrams can be used to visualize the relationship between two variables. Once you have created a cause and effect diagram and identified potential causes to your problem, you can use the scatter diagram to determine which causes are responsible for the variation.

While the independent variable is plotted along the horizontal axis, the vertical axis is for the dependent axis. Learn more here .

Scatter Diagram Example - what is root cause analysis

Fault Tree Analysis

Fault tree analysis is a deductive analysis to that visually represent the failure path. You can use the fault tree analysis to determine the possible causes of a problem or an event. The fault tree starts with the event at the top and the possible causes are placed below.

Fault Tree Analysis - what is root cause analysis

Anymore Root Cause Analysis Tools?

What other root cause analysis tools do you use? Have you got any more tips on accelerating the root cause analysis steps we have discussed above? Do share them with us in the comments below.

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Root Cause Analysis: the Art of Solving Problems in Business

Learn all about root cause analysis, including what it is, the different methodologies, and the exact steps to excel in this problem-solving approach.

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Are you constantly dealing with the same issues in your business? Putting in the effort and resources to solve a problem only to see it reappear a few weeks or months later?

If this sounds familiar, you’re not alone. Many managers grapple with frustrating and costly repeat problems.

Fortunately, a framework exists that can help address this issue. It’s called root cause analysis.

Root cause analysis is a problem-solving method that aims to identify the fundamental cause of a problem so that you can create a solution that fixes it for good.

In this article, we’ll give you an in-depth understanding of root cause analysis, including what it is, its benefits, and its common methodologies. Then, we’ll walk you through a step-by-step root cause analysis guide, clear up some common myths, and offer a few essential tips.

With that knowledge in hand, you’ll be able to solve problems once and for all.

Let’s dive in.

Understanding root cause analysis

Let’s discuss what root cause analysis is and explain how it differs from treating the symptoms of a problem.

What is root cause analysis?

Root cause analysis is the process of identifying the underlying issues behind an organizational problem.

Think of it as a detective’s investigation. It’s not asking, “What happened?” but “ Why  did it happen?”

The causes that could be at play include the following:

  • Physical causes: These are tangible issues, like a software bug or a machine breaking.
  • Human causes: These are tied to people’s actions, such as human error, negligence, or lack of training.
  • Organizational causes: These are linked to bigger-picture issues, like operational inefficiencies, policies, or cultural problems.

Looking into root problems is common in many industries, including healthcare, manufacturing, and IT.

Imagine you run a small business, and the business is struggling with late deliveries.

The late deliveries are what’s happening. But the real issue — or root cause — is something different. Here are examples of physical, human, or organizational causes that could be at play:

Physical : Your delivery vehicles are old and unreliable.

Human : Your drivers need better training.

Organizational : Your delivery scheduling system is inefficient.

How do root causes differ from symptoms?

Symptoms are the expression of a problem. They’re not the problem’s origin — rather, they’re the pain points that show you something’s wrong.

Symptoms can include the following:

  • A reduction in productivity
  • An increase in the frequency of errors
  • A customer complaint

‎Root causes, on the other hand, are the hidden factors that drive these visible issues.

For example, losing customers is a symptom. Figuring out  why  this issue is happening leads you to the root cause — which, in this case, might be poor customer service or an inferior product.

Unveiling the benefits of root cause analysis

Root cause analysis is more than a problem-solving method. It’s a strategic approach that enables your business to avoid getting stuck in a cycle of recurring problems.

Essentially, you can work through issues, learn from them, and move forward, which leads to better productivity, fewer roadblocks, and a clearer path to success.

Better efficiency and productivity

Identifying the root cause means you tackle the inefficient processes and broken operations that are bringing about symptoms. That leads to time savings and improved performance.

For example: if a manufacturing plant has too many machine breakdowns from a lack of maintenance, then you need to address the root cause (the lack of maintenance). So, you set up a maintenance schedule to  streamline production  and improve delivery rates.

Fewer recurring problems

Since root cause analysis confronts the problem at its source rather than treating the symptoms, problems are fixed and don’t reoccur. That reduces the time and resources spent on repeat fixes.

Considering that  85%  of C-suite executives believe their organizations are poor at diagnosing problems, mastering root cause analysis could be a game-changer for a lot of companies.

Better bottom line

Root cause analysis does require a time investment, but it’s important to remember that fixing your recurring problem can impact your bottom line, too.

Think about an online retail shop experiencing high return rates. Through root cause analysis, they might determine the cause of this problem is an inaccurate product description.

The business could make a big dent in its return rates by editing the product description on its website — ultimately improving its profit margin.

The methodologies of root cause analysis

There are multiple ways to practice root cause analysis. Each methodology has a set of benefits and best scenarios for use. Let’s look at a few of them below.

The 5 whys methodology is just as straightforward as it sounds.

In it, you ask five “why” questions to drill down to the root cause of a problem.

Let’s play out an example:

Say your website's conversion rate has significantly dropped. We might ask the following 5 whys:

  • Why has the conversion rate dropped ? Because fewer people are clicking the “purchase” button.
  • Why are fewer people clicking the purchase button?  Because they’re abandoning their shopping carts.
  • Why are they abandoning their shopping carts?  Because the checkout process is too complicated.
  • Why is the checkout process too complicated?  Because it’s not intuitive, and there are too many steps.
  • Why are there too many steps, and why isn’t it intuitive?  Because we didn’t consider the user experience when we designed the website.

It may take a bit of time to answer each question effectively. But the 5 whys is a great method for getting under the layers of symptoms to find the root cause.

Fishbone diagram

The fishbone diagram, also known as the Ishikawa diagram, is a visual root cause analysis methodology. It helps identify  all  possible causes of a particular problem. It’s most useful for complex issues in which multiple causal factors might be involved.

‎Here’s how it works:

  • The “head” of the fish skeleton is where the problem is stated.
  • The major “bones” of the fish are the cause  categories , such as equipment or infrastructure problems.
  • The “branches” coming out of each bone list the causes within each category.

The fishbone method encourages team brainstorming and provides a clear visual representation of the potential root causes.

For example, if you’re experiencing high turnover, you could create the following categories for the cause of the problem: “work environment,” “compensation and benefits,” and “training.” Then, list the problems within each one until you start to uncover the root causes.

Cause-and-effect matrix

The cause-and-effect matrix is a more complex method. But, like the others, it’s beneficial in certain circumstances.

This method involves listing all possible causes and then ranking them based on their severity and frequency. The result is a prioritized list of potential root causes to investigate.

Think about a small restaurant receiving customer complaints about long wait times. They could list potential causes of this issue, such as being understaffed, cooking too slowly, or having delayed suppliers. Afterward, they’d rank each cause to determine which is affecting wait times the most.

Implementing root cause analyses: a step-by-step guide

Now, we’ll cover the basic steps to executing an effective analysis.

Step 1: Identify the problem

The first step is to clearly define the problem, being as specific as possible.

Step 2: Gather data

Next, gather as much relevant information about the problem as possible.

This could include the following:

  • When the problem started
  • How often the problem occurs
  • The conditions under which the problem happens
  • Who or what the problem affects

The more comprehensive your data is, the better equipped you’ll be to find the root cause of your problem.

Step 3: Identify possible causes

Once you’ve gathered all the necessary data, start brainstorming possible causes of the problem you’re experiencing.

Here, you can apply one of the methodologies discussed earlier, such as the 5 whys or the fishbone diagram.

Encourage your team to suggest any cause that comes to mind. That way, you can generate a wide range of possibilities to work from.

Step 4: Determine the root cause

Now it’s time to analyze and identify the root cause of the problem.

‎You may need to conduct more in-depth data analyses, interviews, or observations. Don’t rush this step. It’s vital to confirm that the identified cause is indeed the root cause. If it’s not, the problem will likely continue.

Step 5: Develop and implement a solution

The next step is to develop a solution that addresses the root cause you just discovered.

You want your solution to be action-oriented, specific, and time-bound

Step 6: Monitor the results and make adjustments as needed

You can’t simply put a solution in place and then walk away. Track the solution’s effects, and steer your course where necessary.

Remember to document your root cause analysis process and results. This will not only provide a record for future reference but will also help establish a culture of learning and continuous improvement.

Common objections and misunderstandings

Root cause analysis is a potent tool in the problem-solving toolkit, but it’s not without misconceptions and challenges. Understanding these things can help you more effectively navigate your root cause analysis journey.

Let’s debunk some common myths and offer tips for overcoming potential obstacles.

Myth 1: Root cause analysis isn’t worthwhile

While the root cause analysis method does require effort and time, the potential return on this investment is significant. The time you spend identifying the root cause of a problem can end up saving many hours addressing recurring issues.

Also, not all methods are time-consuming and complex. Techniques like the 5 whys, for instance, can be quick and easy to apply.

Pro tip:  Start with simple root cause analysis techniques, like the 5 whys, and gradually move to more complex ones later if you wish.

Myth 2: Only large organizations benefit from root cause analysis

That couldn’t be further from the truth. Small businesses stand to benefit significantly from a root cause analysis. This technique can help identify inefficiencies and improve business processes, both of which are vital for lean operations and competitiveness.

Pro tip:  Don’t think about the size of your business as much as the complexity of your problem and  the resources  you have available.

Myth 3: Root cause analysis  always  reveals one clear cause

Some problems can have multiple root causes, and it’s essential to address all of them to find a comprehensive solution.

‎ Pro tip:  If you think your problem has multiple causes, try the fishbone diagram analysis. It’s great for getting a multifaceted view of the issue.

Embracing root cause analysis as a proactive tool

As with many business strategies, there are ways to go deeper with root cause analysis. Here are some points to keep in mind:

It’s not just for problems

While root cause analysis does solve problems, it can also help you understand why things are going  well  when they do.

This can be valuable for scaling success.

For instance, if you find one of your marketing campaigns to be particularly successful, a root cause analysis could help identify the reason(s) behind that success. You could then replicate those factors in future campaigns.

It can reveal deeper organizational issues

Root cause analysis can bring systemic issues to light.

What might seem like a standalone problem could really be an indicator of underlying organizational challenges, such as communication gaps or inadequate training.

Don’t be afraid to go in-depth with your analysis to find bigger problems at the organizational level. While these issues can be troubling to find, think of them more as an opportunity.

It can foster a culture of continual learning and improvement

Root cause analysis encourages teams to investigate problems.

Rather than patching up issues superficially, you can create a culture in your organization that asks, “ Why  is this happening?”

This mindset can go beyond simple problem-solving to have far-reaching benefits.

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Root cause analysis is an incredibly powerful tool for any organization. It’s not just about troubleshooting — it’s about addressing your business’s challenges at their source.

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What is root cause analysis? A proactive approach to change management

Root cause analysis (RCA) focuses on fostering a proactive approach to solving problems before they happen and eliminating the potential for flaws to reoccur in the future.

Tree roots

Root cause analysis definition

Root cause analysis (RCA) is a problem-solving process that focuses on identifying the root cause of issues or errors with the goal of preventing them from reoccurring in the future. RCA is typically part of service management methodologies and frameworks, such as ITIL , TQM , and Kanban , that focus on continuous process improvement . This type of analysis can help identify flaws in IT processes, potential security breaches, and faults in business processes.

When a problem is identified and removed, it is considered a “root cause” if it prevents the problem from reoccurring. If, however, a problem is removed and it impacts the event’s outcome, but not in the way intended, then it is a “causal factor.” RCA is typically used to find the root cause of software or infrastructure problems to improve the quality and efficiency of processes, and thereby to save time and money. Every potential cause in a given process is identified and analyzed to ensure the organization is treating the disease, rather than just the symptoms.

Reactive vs. proactive problem management

Reactive management and proactive management are the two main approaches organizations take to repairing issues and solving problems. With reactive management, problems are fixed soon after they occur, often called “putting out fires.” The goal is to act quickly to resolve issues and alleviate any effects of a problem as soon as possible.

Proactive management, on the other hand, aims to prevent problems from reoccurring. It is focused less on quickly solving problems and instead on analyzing them to find ways to prevent them from happening again. That’s where root cause analysis comes in. Its methodology is best suited to support proactive problem management’s goal of identifying and fixing underlying issues, rather than just reacting to problems as they happen.

Root cause analysis steps

While there’s no strict rulebook on how to conduct a root cause analysis, certain guidelines can help ensure your root cause analysis process is effective. The four main steps that most professionals agree are essential for RCA to be successful include the following:

  • Identification and description: Organizations must first identify the failures, errors, or events that triggered the problem in question and then establish event descriptions to explain what happened.
  • Chronology: After identifying these issues, organizations must then create a sequential timeline of events to better visualize the root cause and any contributing causal factors. Here, it’s important to establish the nature of the event, the impact it had, and where and when the problem occurred.
  • Differentiation: Once the sequence of events is established, data involved with a particular issue can be matched to historical data from past analysis to identify the root cause, causal factors, and non-causal factors.
  • Causal graphing: Those investigating the problem should be able to establish key events that explain how the problem occurred and convert that data into a causal graph.

Root cause analysis takes a systematic approach to identifying problems and requires the effort of full teams to properly perform the analysis. Those tasked with the analysis typically work backwards to determine what happened, why it happened, and how to reduce the chances of it happening again. They can trace triggered actions to find the root cause that started the chain reaction of errors in a process to remedy it. These steps help guide the process and give organizations a framework for how to successfully complete a root cause analysis.

Root cause analysis methods

RCA is already baked into several IT frameworks and methodologies as a step for change, problem, or risk management. It’s been established as a proven, effective way to support continuous process and quality improvement. But if you are conducting a root cause analysis outside of a separate process management framework, organizations typically employ the following methods to ensure a successful RCA:

  • Form a team to conduct the RCA and evaluate processes and procedures in the organization that have flaws. This team should be built by bringing together employees who work in relevant business areas or who work directly with the broken processes.
  • Once the analysis begins, it can take upwards of two months to complete. Each step of the process is given equal weight whether it’s defining and understanding the problem, identifying possible causes, analyzing the effects of the problem, or determining potential solutions.
  • Teams should meet at least once per week, if not more often, with meetings being kept to no longer than two hours with a loose agenda. The meetings are intended to be relatively creative, so you want to avoid bogging people down with too much structure.
  • Team members should be assigned specific roles or tasks so everyone has a clear understanding of what they should be investigating.
  • Upon finding a potential solution, it’s crucial to follow up to make sure that the solution is effective and that it’s implemented successfully.

Root cause analysis tools

You don’t need much to conduct a root cause analysis, but there are several tools that are helpful and commonly used to help make the process easier. Commonly used tools to perform an effective root cause analysis include:  

  • Fishbone diagrams: A fishbone diagram is mapped out in the shape of a fishbone, allowing you to group causes into sub-categories to be analyzed.
  • Failure mode and effects analysis (FMEA): FMEA is a technique that can be used to map out a system or process and identify the failures within it. It can be used not only to identify flaws but also to map out how often they happen, what actions have already been taken, and what actions have been effective in remedying the issue.
  • Pareto charts: A Pareto chart is a simple bar chart that maps out related events and problems in order of how often they occur. This helps identify which problems are more significant than others and where to focus process improvement efforts.
  • Scatter diagrams: A scatter diagram plots data on a chart with an x and y axis. This is another useful tool for mapping out problems to understand their impact and significance.
  • Fault tree analysis: A fault tree analysis uses Boolean logic to identify the cause of problems or flaws. They are mapped out on a diagram that looks like a tree, where every potential cause is included as its own “branch.”
  • 5 whys analysis: With 5 whys analysis, you will ask the question “why” five times too delve deeper into a problem to develop a clearer picture of its root cause.

Root cause analysis training

While RCA is a part of other frameworks and methodologies, there are training programs and courses designed to focus on helping people better understand how to perform the analysis. If you want to get more training on RCA, here are a handful of programs designed to help:

  • Workhub Root Cause Analysis training
  • Udemy Root Cause Analysis course
  • Pink Elephant Problem Management: Root Cause Analysis Specialist certification course
  • NSF Root cause analysis CAPA training and certification
  • Coursera Root Cause Analysis course
  • ASQ root cause analysis course
  • Lean Six Sigma Root cause analysis online training

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Sarah White is a senior writer for CIO.com, covering IT careers, hiring & staffing, and diversity.

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What Is Root Cause Analysis and Why Is It Important?

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

What Is Root Cause Analysis?

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

Root Cause Analysis Steps

The process typically consists of several steps:

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

Importance of Root Cause Analysis

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

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

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Lisa's journalism career spans two decades, and she currently serves as the Americas Day Editor for the Global News Desk. She played a pivotal role in tracking the COVID pandemic and leading initiatives in speed, headline writing and multimedia. She has worked closely with the finance and company news teams on major stories, such as the departures of Twitter CEO Jack Dorsey and Amazon’s Jeff Bezos and significant developments at Apple, Alphabet, Facebook and Tesla. Her dedication and hard work have been recognized with the 2010 Desk Editor of the Year award and a Journalist of the Year nomination in 2020. Lisa is passionate about visual and long-form storytelling. She holds a degree in both psychology and journalism from Penn State University.

Republican presidential candidate and former U.S. President Donald Trump at his Trump International Golf Club in West Palm Beach

Turkey's Erdogan says party to self-critique after local election losses

Turkish President Tayyip Erdogan said early on Monday that his ruling alliance did not achieve the desired result from Sunday's local elections, adding they would carry out self-criticism and address shortcomings.

Chief Minister of Delhi  Arvind Kejriwa leaves the court in New Delhi

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  1. 5 whys root cause analysis problem solving tool

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  2. Root Cause Analysis stock illustration. Illustration of problem

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  3. Root-Cause Analysis: Effective Problem Resolution & Continuous Improvement

    explain problem solving and root cause analysis

  4. Root Cause Analysis 101: Insights for Effective Problem Solving in 2023

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  5. Root Cause Analysis: How to Solve Problems Effectively Flowster

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  6. The Five Whys Template

    explain problem solving and root cause analysis

VIDEO

  1. ROOT CAUSE ANALYSIS

  2. Root Cause Analysis & Corrective Action

  3. Lean Problem Solving: Root Cause Analysis and Countermeasures

  4. What is "Root Cause Analysis"?

  5. Effective Problem Solving : Part 8

  6. A three-day root cause analysis training

COMMENTS

  1. Root Cause Analysis: Definition, Examples & Methods

    The first goal of root cause analysis is to discover the root cause of a problem or event. The second goal is to fully understand how to fix, compensate, or learn from any underlying issues within the root cause. The third goal is to apply what we learn from this analysis to systematically prevent future issues or to repeat successes.

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

    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 ...

  3. What is Root Cause Analysis (RCA)?

    Root cause analysis (RCA) is defined as a collective term that describes a wide range of approaches, tools, and techniques used to uncover causes of problems. Some RCA approaches are geared more toward identifying true root causes than others, some are more general problem-solving techniques, and others simply offer support for the core ...

  4. What Is Root Cause Analysis?

    Root cause analysis is a problem-solving approach that uses the analogy of roots and blooms to model cause-and-effect relationships. Rather than focusing on what's above the surface, root cause analysis troubleshoots solutions to problems by analyzing what is causing them. Note. Similarly to exploratory research, it's important to remember ...

  5. What Is a Root Cause Analysis?

    Root cause analysis (RCA) is the quality management process by which an organization searches for the root of a problem, issue or incident after it occurs. Issues and mishaps are inevitable in any organization, even in the best of circumstances. While it could be tempting to simply address symptoms of the problem as they materialize, addressing ...

  6. Better problem solving with root cause analysis (with template)

    Define the problem. Identify and map the problem causes. Identify the evidence that supports your causes. Create a root cause analysis report and set up your action plan. 1. Define the problem. A clear definition of the problem is the first step. Sometimes problems are easy to identify, like a broken link. More often, problems can be abstract ...

  7. Guide: Root Cause Analysis

    Guide. Guide: Root Cause Analysis. 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 ...

  8. What Is Root Cause Analysis?

    Root cause analysis is a problem-solving technique that helps organizations and individuals understand why things go wrong. It can help identify potential solutions and prevent similar issues from occurring in the future. When something goes awry in a system or process, it's often tempting to treat the symptoms and move on. ...

  9. Root Cause Analysis

    Root Cause Analysis is a useful process for understanding and solving a problem. Figure out what negative events are occurring. Then, look at the complex systems around those problems, and identify key points of failure. Finally, determine solutions to address those key points, or root causes.

  10. What is Root Cause Analysis? Process, Example & Everything You ...

    Updated onMarch 7, 2023. Root cause analysis (RCA) is a problem-solving methodology used to identify the underlying cause of a problem, incident, or adverse event. Simply put, it is pinpointing the root of the problem to solve and prevent it from happening again. When faced with a problem, we usually try to get to the bottom of it.

  11. Root Cause Analysis (RCA) Methods for Effective Problem Solving

    Definition. 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.

  12. How to Solve Any Problem With Root Cause Analysis (RCA)

    Root Cause Analysis: Three Steps to Root Cause Identification. Root Cause Analysis-based problem solving uses six simple-sounding steps. In practice, navigating them is more easily said than done, but the systematic approach will eventually lead you to that sneaky root cause that's giving you so many grey hairs. Let's unpack them: 1.

  13. Root Cause Analysis: A Complete Guide With Examples (2023)

    Root Cause Analysis (RCA) is not just a structured method of problem-solving; it's a vital component of organisational leadership. The goal of RCA is to fully understand what caused an issue, allowing for effective corrective actions. One of the first steps in a successful RCA is identifying performance or opportunity gaps within an organisation.

  14. Root Cause Analysis Steps, Tools, Techniques and Examples

    Step 1: Define the problem. Define the problem your organization is facing and gather data and evidence relevant to it and necessary to understand the current situation. Create a problem statement which should include information about the problem like the actual impact, potential impact, the focal point, etc. However keep the statement concise.

  15. What is Root Cause Analysis

    Root cause analysis is an approach for identifying the underlying causes of an incident so that the most effective solutions can be identified and implemented. It's typically used when something goes badly, but can also be used when something goes well. Within an organization, problem solving, incident investigation, and root cause analysis ...

  16. Root Cause Analysis: the Art of Solving Problems in Business

    It's called root cause analysis. Root cause analysis is a problem-solving method that aims to identify the fundamental cause of a problem so that you can create a solution that fixes it for good. In this article, we'll give you an in-depth understanding of root cause analysis, including what it is, its benefits, and its common methodologies.

  17. What Is Root Cause Analysis?

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

  18. Problem, Symptoms & Root Cause Analysis (RCA) Examples

    Understanding the difference between a problem and its symptoms, and the role of root cause analysis in identifying and solving the actual problem, is a cornerstone of analytical thinking. This blog aims to throw light on these distinctions and demonstrate the importance of root cause analysis, empowering you to approach problems with a more ...

  19. What is root cause analysis? A proactive approach to change ...

    Root cause analysis (RCA) is a problem-solving process that focuses on identifying the root cause of issues or errors with the goal of preventing them from reoccurring in the future. RCA is ...

  20. What Is Root Cause Analysis and Why Is It Important?

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

  21. Root Cause Analysis with 5 Whys Technique (With Examples)

    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.

  22. How to Solve Problems with Root Cause Analysis

    1 Define the problem. The first step of root cause problem solving is to clearly define the problem you want to solve. This means describing the gap between the current and the desired state, the ...

  23. Root cause analysis

    In science and engineering, root cause analysis ( RCA) is a method of problem solving used for identifying the root causes of faults or problems. [1] It is widely used in IT operations, manufacturing, telecommunications, industrial process control, accident analysis (e.g., in aviation, [2] rail transport, or nuclear plants ), medicine (for ...

  24. Baltimore bridge collapse: What happened and what is the death toll

    The biggest operational crane on the U.S. Eastern Seaboard will begin clearing the wreckage of Baltimore's Francis Scott Key Bridge days after a cargo ship crashed into it, sending the span ...