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

• 07 Mar 2023

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

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

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

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What Is Root Cause Analysis?

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

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

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

8 Essential Steps of an Organizational Root Cause Analysis

1. identify performance or opportunity gaps.

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

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

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

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

2. Create an Organizational Challenge Statement

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

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

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

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

3. Analyze Findings with Colleagues

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

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

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

4. Formulate Value-Creating Activities

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

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

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

5. Identify Necessary Behavior Changes

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

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

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

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

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

• Collaboration
• Innovative thinking
• Creative problem-solving

6. Implement Behavior Changes

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

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

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

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

7. Map Root Causes

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

Three root cause categories unrelated to behavior changes are:

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

8. Create an Action Plan

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

To make the action plan achievable, ensure you:

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

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

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

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

The Importance of Root Cause Analysis in Organizational Leadership

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

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

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

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

About the Author

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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Root Cause Analysis (RCA) Methods for Effective Problem Solving

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

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

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

Related: 3 Root Cause Analysis Templates (and Examples)

5 Whys: How to Uncover Root Causes [Examples]

Root Cause Analysis Fundamentals

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

RCA aims to achieve the following objectives:

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

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

The RCA Process

Problem identification.

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

Data Collection

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

Cause Identification

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

Solution Implementation

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

Follow-up and Monitoring

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

RCA Techniques

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

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

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

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

Fishbone Diagram

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

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

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

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

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

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

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

Barrier Analysis

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

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

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

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

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

Benefits of Root Cause Analysis

Quality improvement.

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

Risk Reduction

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

Process Optimization

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

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

Challenges of Root Cause Analysis

Common pitfalls.

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

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

Addressing Human Factors

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

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

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

Fishbone Diagram (Components, Factors, Examples)

Ishikawa Diagram: Examples and Applications

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• What Is Root Cause Analysis? | Definition & Examples

What Is Root Cause Analysis? | Definition & Examples

Published on January 6, 2023 by Tegan George . Revised on November 17, 2023.

Root cause analysis is a problem-solving approach that uses the analogy of roots and blooms to model cause-and-effect relationships. Rather than focusing on what’s above the surface, root cause analysis troubleshoots solutions to problems by analyzing what is causing them. Note Similarly to exploratory research , it’s important to remember that root cause analysis does not provide solutions to problems. Rather, it’s one method within a larger problem-solving landscape.

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

Table of contents

Root cause analysis template, the “5 whys” of root cause analysis, advantages and disadvantages of root cause analysis, other interesting articles, frequently asked questions.

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

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

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

You can use this template to map out your whys.

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

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

Disadvantages

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

If you want to know more about the research process , methodology , research bias , or statistics , make sure to check out some of our other articles with explanations and examples.

Methodology

• Sampling methods
• Simple random sampling
• Stratified sampling
• Cluster sampling
• Likert scales
• Reproducibility

 Statistics

• Null hypothesis
• Statistical power
• Probability distribution
• Effect size
• Poisson distribution

Research bias

• Optimism bias
• Cognitive bias
• Implicit bias
• Hawthorne effect
• Anchoring bias
• Explicit bias

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

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

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

Root cause analysis definition.

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

Why is root cause analysis important?

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

How to conduct a root cause analysis

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

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

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

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

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

Root cause analysis tools for software developers

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

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

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

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

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

Common mistakes to avoid with root cause analysis

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

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

Benefits of root cause analysis

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

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

Tips for performing root cause analysis

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

Root cause analysis with Elastic

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

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

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

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

Root cause analysis resources

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

• Quality Management

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

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

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

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

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

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

Defining RCA Analysis

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

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

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

History of Root Cause Analysis

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

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

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

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

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

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

Benefits of Root Cause Analysis

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

The three main goals of RCA are:

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

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

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

Also Read: Demystifying the Theory of Constraints

Top Approaches of Root Cause Analysis

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

The 5 Whys Root Cause Analysis

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

Fishbone Diagram

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

Pareto Analysis

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

Fault Tree Analysis (FTA)

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

Conducting Root Cause Analysis: Process

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

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

Also Read: Value Stream Mapping in Six Sigma

Root Cause Analysis Principles

Conducting RCA involves following several fundamental principles:

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

Tips for Root Cause Analysis

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

Also Read: Demystifying Kaizen Lean Six Sigma

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

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

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

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

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

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

You might also like to read:

Ultimate Guide to Six Sigma Control Charts

DMADV: Everything You Need to Know

Describing a SIPOC Diagram: Everything You Should Know About It

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

How to Use the DMAIC Model?

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Guide: Root Cause Analysis

Author: 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.

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.

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

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 www.learnleansigma.com, a platform dedicated to Lean Six Sigma and process improvement insights.

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Better problem solving with root cause analysis (with template)

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

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

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

What is root cause analysis?

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

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

What are the 4 steps in a root cause analysis?

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

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

1. Define the problem

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

Here are some more examples of problems:

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

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

2. Identify and map the problem causes

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

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

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

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

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

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

3. Identify the evidence that supports your causes

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

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

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

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

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

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

Root cause analysis template

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

Root cause analysis example

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

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

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

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

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

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

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

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

Common mistakes to avoid

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

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

Final thoughts

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

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

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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..

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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Root Cause Analysis with 5 Whys Technique (With Examples)

By Sebastian Traeger

Updated: April 23, 2024

Reading Time: 7 minutes

What Is the 5 Whys Technique?

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

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

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

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

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

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

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

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

Case Study: Manufacturing Defects

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

Application in Service Industry

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

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

Step 1: Identify the Problem

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

Step 2: Ask ‘Why’ Five Times

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

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

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

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

Recurring Issues

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

Process Improvement

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

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

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

Benefits of Using a Template

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

Customizing the Template

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

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

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

Encouraging Open Communication

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

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

Continuous Improvement Mindset

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

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

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

What is the primary goal of the 5 Whys Technique?

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

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

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

How does the 5 Whys Technique contribute to continuous improvement?

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

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

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

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

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

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

Have you ever had a seemingly unsolvable problem? Sure, you have! Your business is going all out trying to reach a specific goal or target, but you fall short. Someone says the equipment is to blame. So, you buy better equipment, but the problem persists. Then, your management team suggests that it’s human error, so you dive in with training interventions and performance appraisals. But the problem doesn’t go away.

What you need to do is identify the “root cause” of the problem, the less-than-obvious reason why you aren’t reaching your goals. If your Root Cause Analysis can find it, you can correct it, stop throwing time and money at it, quit putting out fires, and enjoy the success with which your hard work deserves to be rewarded. By eliminating the root cause of an issue, you can prevent it from happening again. Ever.

Sounds worthwhile? Let’s see how you’d go about doing your Root Cause Analysis as a problem-solving tool.

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Many Symptoms Can Have a Single Cause

Before you even begin, it’s worth noting that you’re going to dig really deep and that by doing so, you could solve multiple problems at once. A single root cause can use can have multiple effects. As an analogy, think of an illness. It will have several symptoms. If you only treat the symptoms, you haven’t addressed the cause, and the illness won’t go away.

In the business context, solving a single root cause could solve several problems at once. For example, a root cause analysis on why a hospital patient received heart surgery intended for someone else found no fewer than seventeen reasons for why it happened. The root cause was the need for organizational change.

Things like quality issues, late deliveries, and missed targets could all come down to one, single cause. That’s the “root” you’re looking for. If you want to weed out problems, just skimming the surface will give you a temporary solution. Remove the problems by the roots, and it’s gone forever.

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. Define the Problem

Now, you might think its easy to define a problem , but it requires careful thought and possibly a little investigation to get a proper definition. For instance, you could say: “We have an unacceptable number of product defects.” That’s not a good definition. How many defects are slipping through? What are those defects? What is the effect of the defect or defects?

Returning to the illness analogy, think about a visit to the doctor. You tell your doctor you’ve got a headache. Before the doctor starts examining you, he or she will try to get more information about the headache. When did it start? Which part of your head hurts? Are there any other symptoms that could be related to the problem? What’s your medical history? The more the doctor knows about your ailment, the easier it is to find out what’s causing it.

Spend time analyzing the problem so that you can define it in as detailed a way as possible. Don’t start looking for causes yet. That comes later.

2. What are the Reasons for the Problem?

Reasons aren’t the same thing as root causes. They’re just the obvious issues which you may already have tried to address. In some instances, you might end up with several reasons why something went wrong. That’s fine. You need the full list.

Confused? Aren’t reasons root causes? No, they are not! Here’s a simple example. You have a runny nose. What is the reason for the runny nose? The mucous membranes are inflamed. If you’re an allergy sufferer, you’ll know that the inflammation isn’t the root cause of your runny nose. A deeper cause would be an inappropriate response from your immune system, but that’s still not the root cause. The real root cause is your exposure to an allergen.

So, you can identify reasons for a problem, but just trying to deal with reasons still won’t eliminate the real cause of the problem you defined. You’re making progress with your Root Cause Analysis, but you’re not there yet. List all the reasons you found and move to the next step.

3. Root Cause Identification

There are several tools that you can use to get under the skin of your problem and down to its root cause. Expect to take more time on this step than you needed for the steps you completed so far. However, it’s worth being thorough. Finding a secondary cause might not give you the root cause.

Your Root Cause Analysis team has to dig and keep digging until they hit the bedrock of the issue.

Eliminating problems forever is a tantalizing prospect, so Root Cause Analysis is a very popular approach to problem-solving. Over the years, various tools have been developed to help businesses to identify root causes. The tool you choose will depend on how complex your problem is, how big your business is, and the amount of time and resources you’re willing to expend on problem-solving.

Here are a few examples of popular Root Cause Analysis Tools:

1.Fishbone Diagrams

The Fishbone Diagram is a popular Root Cause Analysis Tool – and yes, it looks like a fish! Phrase the problem as a “why” question and place it at the head of the diagram. Now track possible causes using the Fishbone Diagram categories most relevant to your industry type. There are several variations, and it’s up to you to decide which ones are the most likely to apply to your problem.

Fishbone diagrams will help you to determine contributing factors that led to an issue. However, they may not immediately point to a process-based solution. To get there, try combining your fishbone diagram with the Five Whys.

2. The 5 Whys

The 5 Whys should point to a process that needs adjusting. Will you get there with just five questions? You might not. Keep asking “why” questions till you reach a point where you can identify the process you need to adjust.

Here’s an example:

• Why could the vehicle not complete the journey?

The car broke down

• Why did the car break down?

The engine seized.

• Why did the engine seize?

There was not enough oil.

• Why was there not enough oil?

It was not topped up in time.

• Why was the oil not topped in time?

The driver did not check the oil before leaving.

Note that the final “why” points to a root cause. The driver did not check the oil. To ensure that this doesn’t happen again, the oil check needs to become part of the routine the driver follows. Even this simple example points to a situation in which you have a chance to eliminate multiple problems. Does the driver have a pre-trip checklist? What about checking tires and radiator water, and what about making sure that lights and indicators work?

3. Pareto Analysis

The Pareto Analysis is based on the 80/20 principle. Try it out. It works for both positive and negative results. Who buys 80 percent of your products? You’ll probably find that 20 percent of your clients give you 80 percent of your sales.

What causes 80 percent of your problems? Chances are you’ll find that 20 percent of the possible causes were responsible for 80 percent of them. You may want to address ALL the possible causes of a problem, but overkill is costly. Use Pareto analysis to determine what your priorities are and where your resources should go.

How to Address the Root Cause You Identified and Solve Your Problem

Now that you’ve zoomed in on the real reason why you have a problem, it’s time to do some problem-solving: three more steps, and you’ve arrived!

1. Design a Solution

When working on solutions, keep your Root Cause Analysis aim in view. You don’t just want to solve the immediate problem. You want to prevent the same problem from recurring. Here’s a simple example. You’ve figured out that all the defective products come down to a poorly-maintained piece of production-line equipment.

Just calling in a maintenance crew isn’t good enough. How will you make sure that maintenance schedules are followed in future? What symptoms would indicate that the equipment is due for routine maintenance? Who will be responsible for checking whether maintenance should be moved forward? What do they do, and what is their routine?

Do you notice the repetition of “routine”? That’s what you want to create: a situation in which the problem is prevented as a matter of routine . In other words, your solution becomes part of a repeatable process that is performed the same way over and over again.

Also, consider whether the changes you plan to make will impact other areas of your business. Changes to processes can have knock-on effects. Be sure you aren’t setting yourself up for a new set of problems when you implement the solution. To do this, you need to look at your process flows and how they relate to one another.

Simple example: you decide that your in-house maintenance team must check production-line equipment daily. Do they have the capacity to do this? Will they neglect other tasks if they need to do the daily check? Should you outsource a task they performed before you reached your conclusion?

Beware of overkill. You don’t want duplication slipping in just because you want to be extra-sure of eliminating the root cause of an issue.

The final part of the solution design process is to decide on checks and balances that will tell you whether your business is implementing the solution you’ve devised and whether it works as planned.

2. Implement the Solution

Implementation means change, and change must be carefully managed. Everyone concerned needs to know about your solution and the reasoning that led you to believe that you can solve the problem.

So, explain the Root Cause Analysis process and how you arrived at your conclusion. Explain your solution and how you want it to be implemented. Ensure that everyone involved has the knowledge and resources they need to follow through and set a D-Day for testing your new system.

Keep in mind, though, that it’s always better to first apply the solution on a small scale. You can never know what could go wrong. Once you’re certain that the new solution brings results, you can start applying it company-wide.

3. Evaluate the Results

You’re nearly there! Now, you need to know whether you hit the nail on the head. When you designed the solution, you decided on key indicators that would allow you to see whether the solution works. Use these indicators to follow up.

In this instance, you’re going to see whether the symptoms are gone. The presence or absence of the issues that launched you on your Root Cause Analysis and problem-solving initiative will tell you whether you have successfully solved the problem. Remember to watch out for new issues that may arise elsewhere as a result of the changes you made.

4. Software Tools for Root Cause Analysis, Implementing Solutions, and Evaluation of Solutions

Although the software will never have the flexibility of the human mind, it can do a lot of the legwork for you. If you are using business process management software like Tallyfy, you can use its analytics to pinpoint your problem areas, especially if they’re time-related. At what point did the process start going awry? In other words, you can use it to help you with the all-important first step of defining your problem.

When performing your root cause analysis, Tallyfy will help you to identify bottlenecks and delays in the processes related to the problem you defined. These could be reasons for the problem rather than root causes, but if you follow the root cause analysis process through, you can figure out why they’re happening.

Once you’ve identified a solution to your problem (remember, a solution is related to a process), you can start work on the changes you want to make. Perhaps you discovered that solving your problem requires the elimination of a step in a business process. Simply go to the platform and remove the step. Now, when your employees run the process, the software ignores the step you removed, and the redundant step is out of the equation forever.

But how is your solution working? With Tallyfy, you can follow the implementation of your revised process and look for problems without ever leaving your desk. Best of all, it happens in real time, so you can respond quickly and decisively if problems arise.

Does Root Cause Analysis Work in Problem-Solving?

There’s no arguing it: if you can identify the real root cause of a problem, you can solve it. Examples of successful problem-solving with Root Cause Analysis abound . Boeing managed to improve its safety record. Wind power company, Clipper managed to solve its wind turbine issues using Root Cause Analysis. The list goes on.

However, obstacles to problem-solving using Root Cause Analysis do exist. The biggest culprits are:

• Failing to define the problem comprehensively.
• Failing to identify the real root cause.
• Poorly-designed or short-short sighted solutions.
• Insufficient attention to implementing and evaluating solutions.

Should you try problem-solving with Root Cause Analysis? Yes! Put on your thinking-cap, mobilize your team, and get to work! Won’t it be wonderful when you can feel secure in the knowledge that the problems your business faces now will never rear their ugly heads again?

About the author - Amit Kothari

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Root cause analysis: Digging to find effective solutions (with examples)

Root cause analysis (RCA) finds the root causes of a problem and helps you identify and implement solutions. Instead of treating surface-level symptoms of a problem, RCA digs deeper and finds the underlying issues. By taking the time to analyze the real reason why a problem is occurring, you can solve the problem for good instead of opting for a quick fix. In this piece, you’ll learn how RCA can be the key to corrective action.

“Let’s get to the root of the problem” is an idiom people commonly use when looking for solutions. This idiom can be visualized in the form of tree roots below the surface. Tree roots aren’t visible, but their growth is obvious above ground. Sometimes this growth is positive and results in a beautiful tree, and sometimes it’s negative—damaging sidewalks and foundations. 

What is root cause analysis?

A root cause analysis (RCA) involves finding the root causes of a problem in order to identify and implement solutions. RCA treats the underlying causes of a problem instead of the surface-level symptoms of the problem itself. 

For example, if your company is suffering from a low retention rate, hiring more team members is a quick solution. But with RCA, you can instead discover why team members aren’t staying with the company so you can increase retention long term. Root causes of low retention rate could include:

Lack of professional development opportunities

Poor team member benefits

Low pay compared to market range

Low team morale

After considering possible root causes, you can use research to determine one or multiple root causes. Once you understand those root causes, it’s easy to implement a solution. RCA addresses problems systematically instead of placing a bandaid over problems and taking the risk that the problem will occur again. 

Key principles of RCA

Root cause analysis can resolve recurring project issues or larger bottlenecks within business processes. If you want to reap the unique benefits of this method, keep these key principles of RCA in mind:

Instead of correcting the symptoms of a problem, focus on its root causes.

Focus less on who caused the problem and more on how and why the problem occurred.

Find cause-and-effect evidence to support the root causes you’ve identified.

Develop an informative action plan to support your solutions.

Consider how you can prevent root causes from reoccurring in the future.

Remember that you can have multiple root causes for a problem, and it’s not out of the ordinary for this to happen. End with the root causes you feel are most accurate and be prepared to tackle them with strong solutions. 

How to perform a root cause analysis

There are various strategies you can use to identify root causes in RCA. Use the steps below to guide your team through the RCA process. 

1. Define the problem

You’ll need a clearly defined problem to perform a root cause analysis. If you have multiple problems you want to solve, it’s best to start with one and perform multiple RCAs to find solutions for each. By tackling one problem at a time, you’ll have a better chance of finding the cause of each issue and addressing it quickly.

Defining your problem also involves getting everyone on the same page. For example, you may want to perform RCA because you think your team is suffering from low productivity. But if your team doesn’t feel like their productivity is low, then you can’t move forward. Because productivity is subjective, you may need to define your problem in a more measurable way and move on to step two where you’ll use evidence to learn more about the problem. 

2. Collect data

You’ll now need to collect evidence to support the idea that the problem exists. You can also use company research to better understand the symptoms of the problem. Questions you should ask during this step include:

How long has the problem existed?

Who is suffering because of this problem?

What is the short-term and long-term impact of this problem?

What are the key symptoms of this problem?

What evidence do we have to support the idea that there’s a problem?

Once you know more about how this issue impacts your company and team members, you can brainstorm potential causes of the problem. 

3. Identify possible root causes

Identifying possible root causes is the most important part of the root cause analysis process. The causes you find in this step will eventually lead you toward a solution and action plan. Common problem-solving strategies include:

Cause-and-effect flow chart: The free root cause analysis template provided below features a cause-and-effect flowchart. This flowchart breaks down the problem into symptoms, possible causes, and actual causes in order to find a logical solution. 

5 whys approach : You can also use the 5 whys approach to get to the root cause of a problem. Instead of taking the problem at face-value, ask "why" until you uncover a process or system that isn't working the way it's supposed to. When you don’t settle for the first answer you land on, you can discover layers of issues that weren’t noticeable right away. 

4. Determine the root cause

To determine the root cause of your problem, you’ll go through as many possible root causes as you can. Once you’ve exhausted every possibility, ask the following questions:

Are there any similarities between the root causes I’ve identified?

Are there reasons to eliminate any of these possible root causes?

Which root cause seems most problematic?

Similar to the strategies you used when looking for possible root causes, there are strategies you can use to get to the actual root cause. These strategies include:

Failure Mode and Effects Analysis (FMEA): FMEA is a tool similar to risk analysis where you’ll look at the possible root causes you’ve identified and eliminate the ones that are most likely to result in failure later on. 

Impact analysis: Use an impact analysis to assess the positive and negative impacts of each possible root cause you’ve identified. When you make this hypothetical pro and cons list for each cause, you can feel more confident narrowing down your list.

You may struggle to identify a singular root cause of your problem, and that’s okay. If you think your problem has multiple contributing factors, don’t feel pressured to choose just one to solve. It’s nice to streamline your action plan, but sometimes you’ll need to create multiple plans to address an issue.

5. Implement solutions

Once you’re confident in the root causes you’ve identified, it’s time to find solutions for these causes and take action. The solutions you come up with should address the root cause, but as a result, these solutions will work their way back up the chain and address your initial problem. 

Ask yourself these questions when developing solutions:

How will we implement this solution if we choose it?

What roadblocks will we face when implementing this solution?

How long will it take to implement this solution?

Who will implement this solution?

Could implementing this solution lead to other problems?

Once you’re ready to create your implementation plan , make sure it’s shared in a tool that all stakeholders can view. Project management software makes it easy for your team to collaborate and coordinate deliverables as needed. It may take several weeks to implement your plan, which means some of your objectives may become dependent on other milestones. Use Gantt charts to view project dependencies and collaborate in real-time.

Root cause analysis template and example

An RCA template makes performing root cause analysis simpler because you can visualize your problem and its underlying causes in flowchart form. Just like the roots of a tree, this cause-and-effect flow chart expands in different directions from the initial problem. 

If you follow the root cause analysis example below, you’ll see how the template begins with one problem and then breaks down into the symptoms the problem displays. From the symptoms, the root cause analysis template helps you determine possible root causes before settling on actual root causes and finding solutions. 

In this example, the company is suffering from a loss of website views. The root cause analysis flows as follows:

Website views are down

Reduction in brand visibility

Lack of online purchases

Low domain authority

Possible root causes:

Technical issues with our website

Competitor ranking higher in SERPs

Customers don’t like our product

Customers can’t find our website to make purchases

Poor quality content

Irrelevant backlinks

Actual root causes:

Lack of SEO content

Website isn’t ranking in the SERPs

Lack of relevant keywords

Revamp content

You can download a free root cause analysis template below and use it to identify possible causes and solutions for problems you’re experiencing at work. An RCA template can help you address underlying issues that may not have been obvious at first.

Root-cause analysis tools and methods

Root cause analysis stands as a cornerstone in continuous improvement and risk management efforts. It offers a systematic process to unearth the real root causes of problems or incidents. 

By going beyond symptoms, root cause analysis tools empower RCA teams to delve into the deeper, underlying causes of issues. This deep dive doesn't just lead to temporary fixes; it leads to more effective, long-term resolutions—transforming challenges into opportunities for lasting improvement.

Pareto charts

Pareto analysis, based on the Pareto Principle (also known as the 80-20 rule ), is a decision-making technique that helps in identifying the tasks or problem areas with the biggest payoffs. Pareto analysis is particularly effective when there are multiple causes leading to a single effect. This method is widely applied in various business and organizational sectors, helping to prioritize actions that have the greatest impact.

The 5 Whys method is an iterative interrogative method used to analyze the cause-and-effect relationships underlying a specific problem. It involves repeatedly asking the question "Why?" to peel away layers of symptoms, leading to the real root cause of a problem. The Five Whys technique is widely used in lean methodologies to solve problems, reduce costs, and improve quality.

Ishikawa fishbone diagram

The fishbone diagram, also known as the Ishikawa diagram, is a visual way to look at cause and effect. It helps in brainstorming to detect potential root causes of a problem and is used for product design and quality management. The Ishikawa diagram displays the effect or problem at the mouth of the fish, with potential causes added to the smaller "bones."

Fault tree analysis

Fault tree analysis is a graphical tool that uses Boolean logic—in which the answers to every question are "yes" or “no"—to determine the cause of system-level failures. It's suitable for risk assessment in industries like pharmaceuticals, aerospace, and software engineering. The tool arranges events in sequences and uses logic symbols to show dependencies among events.

Failure Mode and Effective Analysis (FMEA)

FMEA involves reviewing components, subsystems, and assemblies to find weak links in a system and their causes and effects. Developed in the late 1950s, it is both a quantitative and qualitative analysis method used in designing products, processes, or services and for creating control plans for new or modified processes.

Scatter diagram

The scatter diagram is a graphical tool that plots pairs of numerical data, with one variable on each axis, to examine the relationship between them. When variables are correlated, the points will align along a line or curve. How closely the points cluster around the line indicates the strength of the correlation. This root cause analysis tool is regarded as one of the seven basic quality tools and is essential in determining the relationships between different variables in root cause analysis.

DMAIC template

DMAIC, standing for Define, Measure, Analyze, Improve, and Control, is a structured approach used in Six Sigma to optimize processes. It provides quantifiable evidence of improvements and is a repeatable and easy-to-understand method for detecting issues and developing solutions. This template is excellent for project managers and RCA teams.

8D report template checklist

The 8D report template is used for detailed root-cause analysis based on eight disciplines of problem-solving. It's widely used in industries influenced by customer feedback, such as automotive and healthcare. The template helps in identifying and eradicating the problem, focusing on the "escape point," which represents the point when the issue first went undetected.

Events and causal factor analysis

Events and causal factor analysis identifies the sequence of events and the causal factors that led to an issue or problem. This analysis focuses on understanding the chronological order of events and the specific conditions or actions that contributed to the problem. A cause-and-effect diagram is particularly useful in complex situations where multiple factors interact to cause an issue. 

Change analysis

Change analysis is a key component of effective root cause analysis, particularly in quality management and continuous improvement efforts. This method involves examining and comparing the situation or system before and after the occurrence of a problem. 

By identifying what changed, you can isolate causal factors more accurately. Change analysis is valuable in scenarios where the issue emerged following alterations in processes, materials, personnel, or equipment, helping to pinpoint the real root cause of the problem swiftly.

Barrier analysis

Barrier analysis is a problem-solving process that examines the controls and barriers that were in place to prevent an incident and why those safety checks failed. By analyzing the breakdown or absence of these barriers, root cause analysis teams can identify human error, system flaws, and other potential root causes. Barrier analysis contributes to the development of more robust systems and processes, preventing future occurrences of similar issues.

Tips for conducting an effective root cause analysis

Have you ever wondered how to not only solve problems but also prevent them from recurring? Root cause analysis methods are the key. These methods go into the heart of issues, address their underlying causes, and pave the way for lasting improvements. 

This approach doesn't just offer a temporary fix; it ensures the same problems don’t resurface, fostering continuous improvements in processes and outcomes.

Encourage team collaboration

Promoting team collaboration can significantly enhance the effectiveness of root cause analysis. Diverse perspectives and expertise contribute to a more comprehensive understanding of the issue and the development of effective solutions.

Example: Consider a manufacturing company facing frequent equipment breakdowns. By forming a cross-functional RCA team with members from engineering, maintenance, and operations, they can pool their insights to identify the root cause. 

An engineer may pinpoint a design flaw, while a maintenance worker could identify wear and tear issues, and an operator might highlight operational errors. This collaborative approach leads to a comprehensive problem statement that results in a multifaceted and effective solution.

Ask open-ended questions

Open-ended questions are key in root-cause analysis. Asking questions encourages a detailed exploration of the issue, allowing team members to consider various possibilities and delve deeper into the underlying causes.

Example: In a healthcare setting, if there's a rise in patient readmissions, asking open-ended questions like "What are the common factors among these readmissions?" or "How do our discharge processes vary for patients who are readmitted?" can reveal deeper issues. 

These questions could uncover that certain discharge procedures aren't being followed consistently, leading to the root cause of inadequate patient education at discharge.

Avoid blame

An essential aspect of successful root cause analysis is focusing on the process and not on individual blame. Concentrating on the "why" and "how" of the problem rather than "who" was responsible creates an environment conducive to genuine problem-solving and improvement.

Example: In a software development team experiencing frequent project delays, focusing on the process rather than blaming individuals can be more productive. By analyzing the “why” and “how,” such as asking, "Why are these delays happening?" or "How can we optimize our project management strategies?" they might discover that the root cause is not individual incompetence but an unrealistic timeline or unclear communication channels. 

This shift from blame to process-oriented thinking helps create a more effective and harmonious problem-solving environment.

Turn solutions into action with workflows

RCA doesn’t come with instant results, but getting to the root cause of a problem solves it for good. After coming up with an effective solution, you’ll need to put a plan into action. Asana workflows provide a single source of truth to set goals, monitor progress, and watch your problems fade in real-time.

Related resources

Cost control: How to monitor project spending to increase profitability

How to use a feasibility study in project management

How to track utilization rate and drive team profitability

How to accomplish big things with long-term goals

Root-cause problem solving in the Ops 4.0 era

Passionate about the “human factor”: helping people develop broad skills and deep functional expertise. Experienced operations practitioner, faculty member, and author.

Wouter Michiels, a consultant based in the Brussels Office, has more than 10 years’ experience in petrochemical manufacturing, engineering, and supply chains.

April 15, 2019 To improve, organizations must consistently seek out and solve their problems—an insight that underpins lean management ’s emphasis on root-cause problem solving (RCPS). Indeed, companies that have used RCPS to build a problem-solving culture that lasts are able to avoid continuous firefighting by effectively preventing fires from starting.

But RCPS takes discipline and patience, which some leaders resist: a manager may be reluctant to use this model if she’s convinced that she has already identified an “operational solution.” Nevertheless, persuading her to join her team on a problem-solving journey can help uncover a more effective and sustainable set of solutions—most importantly by including the people who know the problem best: shop-floor employees. Their perspective often shows that the initial idea would not have addressed the problem’s real causes, and would have met with a lot of resistance from the people charged with implementation.

Ops 4.0 technologies are making it easier to overcome that resistance and invigorate root-cause problem solving performance. What follows is a non-exhaustive overview of how different technologies ( italicized ) could be applied in each of the five RCPS elements (exhibit).

1. Identifying and defining the problem

The rise of advanced analytics and business-intelligence applications allows companies can detect many more problems than in the past, and in a more effective way—so long as they have sufficient internal support to interpret the output . Examples include fraud detection in banking and insurance, as well as deviations from normal operating conditions of equipment in manufacturing plants. For the latter, the increased availability of high-frequency, high-precision sensors , together with the rise of the Internet of Things provides companies with larger data sets from which to identify problems.

2. Assessing root cause(s)

Once the problem is defined, root causes are often identified via the five-why methodology. Instead of using the traditional colored sticky notes to facilitate this exercise, companies can now use interactive whiteboards incorporating speech-to-text or handwriting-to-text algorithms, together with high-quality touch commands . Moreover, the whiteboards can link to data warehouses , thereby enabling self-service analytics or even machine-learning algorithms for performing the analyses required in confirming or rejecting potential root causes.

3. Designing solutions

Augmented- and virtual-reality applications can help designers’ creation process become even more productive. Faster iterations between the drawing board and a more real-life representation shorten lead times toward final design. Rapid prototyping and 3D printing can accelerate this process even further by bringing intermediate versions of the solution to life.

4. Testing solutions

Once a solution has been designed, it is crucial to test its efficiency and effectiveness. The increase in computing power enables companies to perform extensive computational simulations . Using digital twins helps organizations create virtual mirrors of their operations, allowing them to test ideas more realistically before implementation.

5. Sustaining, sharing, and continuously improving

The digital communication and collaboration platforms that are now in widespread use can often be linked with interactive tools such as digital whiteboards, minimizing the time teams spend on documentation so they can instead focus on the creative parts of problem solving. Having past records of problem-solving sheets available at only one touch avoids solving the same problem all over again.

The above list shows how the ancient art of root-cause problem solving can take shape in today’s environment. The question for most organizations is how to start, especially with technologies that can sound like science fiction. A learning center designed to replicate an actual, digitally enabled working environment can provide the first step, helping people experience the impact these technologies can achieve in a practical and realistic setting.

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How to perform a root cause analysis.

June 20, 2024

Dealing with similar organizational problems repeatedly can be frustrating for working professionals like you. 

They interrupt your workflow, your productivity suffers, and you miss critical deadlines and milestones. 

To put an end to this, you must start looking for the root cause of the problems you’re dealing with as opposed to solving visible symptoms alone.  

While temporary remedies offer quick relief, conducting a root cause analysis to identify critical causes of a problem saves you time, money, and frustration. It also ensures you don’t have to face the same problems again.

Finding the root cause of different organizational problems isn’t as complicated as it may seem because there’s a methodology behind it. Moreover, this method is reputed in fields that rely on continual improvement for success.

This article will discuss six steps for performing a root cause analysis (RCA), its effects, and some RCA methodologies.

The principle behind root cause analysis

What is root cause analysis used for, benefits and goals of rca, preventive culture, improved quality of feedback, better problem-solving skills, importance of communication and team work in rca, rca methodology 1: failure mode and effects analysis (fmea), rca methodology 2: five whys, rca methodology 3: ishikawa diagram (fishbone diagram), rca methodology 4: flowchart method, step 1: define the problem, step 2: collect data about the problem, step 3: determine potential causal factors, step 4: determine the root cause of the problem, step 5: prioritize ‌causes, step 6: solution, recommendation, and implementation , move from reactive to proactive with rca’s problem-solving style.

Understanding Root Cause Analysis

Root Cause Analysis (RCA)  is a structured method that breaks down problems to identify their root causes and pinpoint relevant solutions. It takes an analytical approach by dissecting your problem until you uncover its underlying causes.  

RCA works to resolve various problems, from malfunctioning software to low lead-to-conversion rates, automobile inefficiencies, poor customer service, healthcare cases, content marketing setbacks, and more.

So, instead of patching things up temporarily, you can dig deeper and figure out lasting solutions that boost the reliability and efficiency of your business operations.

Even better, RCA promotes a robust problem-solving culture and motivates your team to discover problem-free approaches to larger processes and tasks. 

RCA runs on the principle that effective problem-solving demands more than fixing issues with short-term solutions. You must focus on finding the underlying issue contributing to or causing the problem. 

Root cause analysis proves that most (if not all) problems have an underlying cause that can be traced through a structured analysis and investigation. 

It involves a systematic problem-solving approach that identifies different layers of issues related to the core problem you’re dealing with, their impact, and causes to help you address them. 

Above this, it prioritizes finding long-term solutions over temporary relief. Multiple root causes are often involved, and a methodical approach can help you gather evidence to support your case. Consider breaking the problem down to find cause-effect proof for each sub-problem.

By focusing on root causes rather than general problem indicators, you can prevent issues from recurring by implementing measures that address the underlying problems. 

Since root cause analysis is an iterative process, multiple rounds of analysis may be necessary to identify the core issue. The goal is to resolve project management challenges related to inconsistent process outputs.

Here are some examples of how RCA helps in comprehensive problem-solving across different sectors:

• Project management: Diagnoses causes of delays, failures, or overruns, ensuring projects adhere to timelines, budgets, and quality standards
• IT and software development: Solves system outages, software bugs, and security breaches, improving system reliability and user experience
• Supply chain management: Analyzes system disruptions within the supply chain to optimize logistics, inventory management, and supplier relationships
• Healthcare: Investigates medical errors, patient safety incidents, and unexpected outcomes to improve patient care
• Manufacturing: Addresses production inefficiencies, equipment failures, and quality defects, aiming to improve productivity and reduce downtime
• Customer service: Identifies root reasons for customer complaints or dissatisfaction, improving service quality and increasing customer retention

Let’s look at some of the benefits and goals of RCA.

Implementing RCA tools within your organization often comes with the following benefits and goals:

• Prevents the recurrence of problems: Addressing the hidden causes of problems helps RCA resolve them entirely rather than treating their symptoms
• Cost efficiency: Solving the root cause often reduces long-term costs associated with quick fixes and repeated issues
• Improved quality and safety: Particularly in manufacturing and healthcare, RCA is a key tool to upgrade quality and overall safety
• Knowledge sharing: Digging deeper to spot sub-problems and their causes encourages a better understanding of processes and systems in your team.

Let’s now understand how effective root cause analysis benefits your teams’ overall output.

Effect of Performing Root Cause Analysis on Work Efficiency

Frequent root cause analysis of your organization’s processes improves your team’s work efficiency in the following ways.

Regularly scheduled RCA (root cause analysis) cycles instill a preventive mindset within your team. You’ll observe a proactive approach when addressing potential issues before they manifest as recurring problems instead of doing cause analysis. 

Furthermore, it reduces the frequency and impact of problems, allowing teams to maintain a steady workflow and enhance their performance. Notably, this enables you to optimize your resource allocation choices and achieve the project’s timely objectives.  

By implementing RCA, teams can enhance their implementation of project management principles and effectively address problems, leading to long-term solutions instead of temporary fixes.

Effective root cause analysis collects continuous feedback from your team members and the problems they face in predetermined processes. 

This collective feedback offers several perspectives on the problem, encouraging critical thinking and prompting better questions, motivating your team to improve on the feedback they deliver. 

Ultimately, the ongoing feedback loop refines processes and aligns day-to-day tasks with organizational objectives. 

Steering away from superficial fixes and preferring systematic problem-solving can help your team learn to resolve issues permanently by helping them identify causal factors. 

RCA keeps your team engaged and motivated to achieve certain goals based on problem-solving, whether by analyzing the problem’s impact on the workforce or tech-related setbacks caused by the problem.

Remember that your entire team can be involved in this business process. To distribute the workflow and ensure each person’s views are acknowledged, you can allocate sections of larger problems to different members to determine possible causal factors. 

This collective push to improve your team’s problem-solving skills gives them greater ownership and responsibility for their work ethics. 

Collecting opinions on the problem from various sources expands the knowledge pool, helping you analyze the issue comprehensively and identify the underlying root causes. 

Effective communication and strategic teamwork are essential for successfully implementing root cause analysis (RCA) as they facilitate gathering comprehensive information.

This collaboration paints a full picture of the process and the issue at hand, making it easier to identify the problem’s causes. 

Communication is invaluable in helping your team members share their perspectives and constructively challenge everyone’s assumptions. Such a diversity of thought avoids oversights and biases that creep in during a one-sided analysis.

After shortlisting potential root causes and confirming their priority, you must finalize the best corrective actions. Here, effective communication and teamwork are crucial for building consensus. 

Open dialogue lets your teams discuss each proposed solution’s feasibility and potential impacts. This value-oriented collaboration ensures that the final decisions are well-supported and have buy-in from all stakeholders.

Let’s look at an example.

Problem: Your customer service team is failing to resolve queries related to your software subscription offers.

Solution: Offer your customer service team a ready script with sections for common subscription-related queries.

You can only find this solution after:

• Inquiring about the problem your customer service team is facing
• Identifying the common queries that often go unanswered
• Documenting answers for all possible subscription-related questions
• Understanding if there’s a specific target audience with similar questions

Executing RCA projects is only ‌possible ‌through tailored communication patterns between your team members. 

Root Cause Analysis Methodologies

Here are four common root cause analysis methods with an explanation and example for each. 

FMEA (Failure Mode and Effects Analysis) is a systematic and structured RCA technique for identifying and documenting all potential failures within a process. It can be applied to design, product, service, or assembly processes. 

It involves a comprehensive end-to-end study of prospective failures, where components, assemblies, and subsystems are reviewed. It ensures that all causal factors identified are further analyzed.

The primary objective of FMEA is to identify failure modes, determine their root causes, and assess their effects.

ClickUp’s FMEA Lean Sigma Template lets your team diagnose process problems and prepare safety guidelines and protocols for process variations. 

You can design an action plan to study possible failures and their impact on your processes. This acts as reference documentation for your team to address in case of process malfunctions.

In automotive manufacturing, FMEA calculates the risks associated with different failures, such as airbags, sensors, or software failures. 

Once these failures are identified, their severity is determined, and the likelihood of their occurrence is assessed. 

Finally, based on this data, risk priority numbers (RPNs) are assigned, and improvements are made to the automobile’s features. 

The five whys RCA technique focuses on identifying the root of an organization’s problems by asking ‘why’ five times. 

Each question comes with a follow-up query to discover the causes of closely related problems. 

You may ask ‘why?’ more than five times to determine the root cause.

ClickUp’s 5 Whys Template presents an easy-to-digest visual format for diagnosing and highlighting each sub-problem of a bigger issue. 

You can use color codes, add notes as comments, and collaborate with other team members to gather collective perspectives on the problems.

• If a machine stops working, the first ‘why’ may reveal that a fuse blew
• The second ‘why’ indicates the fuse blew due to an overload
• The third ‘why’ answers that the electrical engineer wasn’t verifying the sustainability or circuit designs
• The fourth ‘why’ mentions this was because of irregular machine maintenance schedules
• The fifth ‘why’ highlights that there was a shortage of junior electrical engineers

The Fishbone Diagram is a tool that helps teams visually map the causes of a problem. It sorts causes into major categories to identify and organize possible sources of variation. 

This segmentation highlights related factors and sub-factors, placing the causes of issues in context. You can use common categories like Methods, Machines, People, Materials, Measurements, and Environment. 

This variety encourages teams to think outside their routine problem-solving paradigms, promoting more comprehensive analysis and allowing them to implement solutions.

ClickUp’s Fishbone Diagram Template allows your team to visualize linkages between problems, sub-problems, causes, and their lasting effects. 

From creatively presenting the RCA breakdown method to categorizing causes to spot patterns, this template permits end-to-end modification to suit your RCA style.

Consider a scenario where a car manufacturer notices a spike in assembly line defects, especially in indoor installation.

The fishbone diagram can categorize potential causes under:

• People (skills and fatigue)
• Methods (installation procedures)
• Machine (tools and equipment calibration)
• Materials (quality of doors)

The diagram works well to pinpoint specific areas for further investigation.

The Flowchart Method creates a detailed diagram showing a process’s step-by-step workflow. This visual analysis tool tracks the progression of inputs and outputs through various stages, simplifying the identification of bottlenecks and errors. 

Remember that flowcharts are best for complex processes where multiple variables and decisions affect your process’s outcomes. 

ClickUp’s Flowchart Template offers an organized mapping style for diagnosing problems in your everyday processes. You can streamline RCA workflows and keep all team members up-to-date on typical protocols when solving troubleshooting issues. 

Insert symbols and other shapes into this template to customize the process maps according to your team’s preferences.

A logistics company can use a flowchart to trace the steps in their package handling process. This can pinpoint where delays occur, possibly at check-in, sorting, or dispatch stages.

How to Perform a Root Cause Analysis: Step-by-Step Guide

Let’s walk you through how to do a root cause analysis. 

Let’s consider an example of a web application that frequently experiences downtime during peak hours. We need to identify the root cause of this issue, as user complaints are leading to revenue loss.

Here are six steps you can use to do a root cause analysis process:

First, clearly define the specific issue affecting your software’s performance. 

For example, your web application may experience delays lasting about 30 minutes. 

User satisfaction can suffer when high-activity periods occur due to increased traffic, leading to decreased business revenue. 

This straightforward definition lays the groundwork for a focused investigation and alerts your team members to the targeted business threat.

To effectively address your system issues, involve your team members and customers in identifying and documenting all the problems they face. 

Your agenda should be to gather detailed information and analyze ‌downtime incidents. This involves examining various data points that may contribute to the issue, from backend code to frontend content. Here are some examples:

• Server logs: Review for errors or unusual activity preceding the downtimes
• User reports: Collect feedback from users about their in-application activity before the lag occurs
• Performance metrics: Analyze data from monitoring tools for CPU usage, memory usage, and network activity
• Change logs: Examine any recent updates or changes made to the application that correlate with the problem’s onset

This data collection step provides the factual groundwork for further RCA. Furthermore, you may find data categories to set project management KPIs for your RCA objectives. 

Study the data gathered in the previous step to identify and list possible causes for the web application’s downtime. 

This step is critical for setting the direction for further investigation and eventual problem resolution. Some possible causes include:

• Server capacity: Study server performance logs to check if the hardware resources are adequate during peak loads. This could be a key factor if the servers are consistently reaching capacity
• Memory leaks: Identify patterns in memory usage that indicate memory isn’t being released back to the system. This may cause system crashes. You can use memory profiling tools to track any leaks
• Database issues: Review database metrics and logs for slow queries, locking issues, or timeouts that cause delays or shutdowns in your application
• External dependencies: Examine the reliability of third-party services and APIs that your application depends on

Now that you’ve completed the foundational research for your RCA, it’s time to identify the actual root cause(s) from this potential list. Here are some tips to follow:

• Data assessment: Use statistical tools to assess the collected data for correlations between potential causes and downtime incidents. For example, if memory usage spikes precede every downtime event, this points to a memory leak
• Hypothesis testing: Formulate a hypothesis based on the data analysis. For instance, if you suspect a memory leak, you might recreate the peak conditions in a controlled environment to test if the issue can be reproduced
• Consultation: Sometimes, complex issues require consultations with experts like database administrators or senior developers
• Validation: Validate the identified root cause by temporarily addressing the cause and monitoring to see if the problem persists

Narrowing down to ‌potential causes is only half the battle won. You must prioritize them based on what best impacts the lowering of your web application’s downtime. 

Account for these factors when prioritizing ‌causes:

• Likelihood of occurrence: Some issues may be more likely than others. For example, memory leaks in a specific poorly maintained legacy module might be more probable than server hardware inadequacies
• Resource allocation: Calculate the resources (time, cost, and expertise) needed to address each cause. Prioritizing issues that can be resolved quickly and with fewer resources may provide quick wins, but this should be balanced against the impact
• Risk assessment: Assess the risks associated with each cause. For instance, if your choice of not addressing a database locking issue can lead to data loss, it should be prioritized over less critical issues

Your goal must prioritize potential causes contributing largely to the problem. 

Now that the root causes are prioritized, you can develop actionable solutions. In the case of a memory leak, you can do:

• Code refactoring: Update and optimize the code where the memory leak occurs
• Increase resources temporarily: Enhance server capacity to handle increased loads while the code is being fixed
• Improve monitoring tools: Implement better monitoring to alert your team immediately when memory usage patterns point to a potential leak

You must prepare a detailed action plan and document the process for future reference. In this step, consider using the critical path method to schedule the order of implementation tasks accurately.

ClickUp’s Root Cause Analysis Template helps you understand how to do a root cause analysis. It simplifies these six steps with an all-in-one project management and visualization tool to find the originating source of your organization’s problems.

By brainstorming potential causes and analyzing everyone’s opinions before repairing the root cause, you can increase in-team collaboration.

RCA’s strategic approach empowers organizations to examine recurring problems and develop long-term solutions. When gathering data on potential causes, it’s essential to clearly define the problem and involve all team members and project collaborators.

RCA templates can fortify your department’s processes against future vulnerabilities. This proactive approach also improves your operational reliability in the long term.

Try ClickUp to explore a wide range of continuous improvement RCA techniques within a fully customizable dashboard. Within minutes, you can customize fields and template views and allocate smaller cause-effect identification to your teams.

Sign up to use ClickUp for free today.

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Problem, Symptoms & Root Cause Analysis (RCA) Examples

Last updated: 30th Jan, 2024

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

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

Table of Contents

What is a Problem?

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Process for Arriving at the Root Cause of Symptoms / Problems

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

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

Defining Problem Statement

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

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

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

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

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How to Perform Real Root Cause Analysis & Problem Solve

A root cause is defined as a factor that caused a nonconformance and should be permanently eliminated through process improvement. The root cause is the core issue—the highest-level cause—that sets in motion the entire cause-and-effect reaction that ultimately leads to the problem(s).

Most of the clients we work with cite the ability to problem solve effectively as one of their major issues and skill gaps.

Root cause analysis or problem-solving is defined as a collective term that describes a wide range of approaches, tools, and techniques used to uncover the causes of problems. Some problem-solving 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 activity of root cause analysis.

Finding and developing effective solutions to problems is the best way to ensure that problems, once solved, stay solved. The root-cause tools presented will help people dig beyond the typical initial answers and get to the true cause of a problem.

Join DVIRC’s Director of Continuous Improvement, Alan Shell to learn how to perform true root cause analysis and embed these tools into your everyday processes.

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7 Powerful Problem-Solving Root Cause Analysis Tools

The first step to solving a problem is to define the problem precisely. It is the heart of problem-solving.

Root cause analysis is the second important element of problem-solving in quality management. The reason is if you don't know what the problem is, you can never solve the exact problem that is hurting the quality.

Manufacturers have a variety of problem-solving tools at hand. However, they need to know when to use which tool in a manner that is appropriate for the situation. In this article, we discuss 7 tools including:

• The Ishikawa Fishbone Diagram (IFD)
• Pareto Chart
• Failure Mode and Effects Analysis (FMEA)
• Scatter Diagram
• Affinity Diagram
• Fault Tree Analysis (FTA)

1. The Ishikawa Fishbone Diagram IFD

The model introduced by Ishikawa (also known as the fishbone diagram) is considered one of the most robust methods for conducting root cause analysis. This model uses the assessment of the 6Ms as a methodology for identifying the true or most probable root cause to determine corrective and preventive actions. The 6Ms include:

• Measurement,
• Mother Nature- i.e., Environment

Related Training: Fishbone Diagramming

2. Pareto Chart

The Pareto Chart is a series of bars whose heights reflect the frequency or impact of problems. On the Chart, bars are arranged in descending order of height from left to right, which means the categories represented by the tall bars on the left are relatively more frequent than those on the right.

Related Training: EFFECTIVE INVESTIGATIONS AND CORRECTIVE ACTIONS (CAPA) Establishing and resolving the root causes of deviations, problems and failures

This model uses the 5 Why by asking why 5 times to find the root cause of the problem. It generally takes five iterations of the questioning process to arrive at the root cause of the problem and that's why this model got its name as 5 Whys. But it is perfectly fine for a facilitator to ask less or more questions depending on the needs.

Related training: Accident/Incident Investigation and Root Cause Analysis

4. Failure Mode and Effects Analysis (FMEA)

FMEA is a technique used to identify process and product problems before they occur. It focuses on how and when a system will fail, not if it will fail. In this model, each failure mode is assessed for:

• Severity (S)
• Occurrence (O)
• Detection (D)

A combination of the three scores produces a risk priority number (RPN). The RPN is then provided a ranking system to prioritize which problem must gain more attention first.

Related Training: Failure Mode Effects Analysis

5. Scatter Diagram

A scatter diagram also known as a scatter plot is a graph in which the values of two variables are plotted along two axes, the pattern of the resulting points revealing any correlation present.

To use scatter plots in root cause analysis, an independent variable or suspected cause is plotted on the x-axis and the dependent variable (the effect) is plotted on the y-axis. If the pattern reflects a clear curve or line, it means they are correlated. If required, more sophisticated correlation analyses can be continued.

Related Training: Excel Charting Basics - Produce Professional-Looking Excel Charts

6. Affinity Diagram

Also known as KJ Diagram, this model is used to represent the structure of big and complex factors that impact a problem or a situation. It divides these factors into small classifications according to their similarity to assist in identifying the major causes of the problem.

7. Fault Tree Analysis (FTA)

The Fault Tree Analysis uses Boolean logic to arrive at the cause of a problem. It begins with a defined problem and works backward to identify what factors contributed to the problem using a graphical representation called the Fault Tree. It takes a top-down approach starting with the problem and evaluating the factors that caused the problem.

Finding the root cause isn't an easy because there is not always one root cause. You may have to repeat your experiment several times to arrive at it to eliminate the encountered problem. Using a scientific approach to solving problem works. So, its important to learn the several problem-solving tools and techniques at your fingertips so you can use the ones appropriate for different situations.

ComplianceOnline Trainings on Root Cause Analysis

P&PC, SPC/6Sigma, Failure Investigation, Root Cause Analysis, PDCA, DMAIC, A3 This webinar will define what are the US FDA's expectation for Production and Process Control / Product Realization, the use of statistical tehniques, 6 sigma, SPC, for establishing, controlling , and verifying the acceptability of process capability and product characteristics, product acceptance or validation and other studies. Non-conformance, OOS, deviations Failure Investigations, and Root Cause Analysis, PDCA, DMAIC, and similar project drivers to improvement, A# and similar dash boards.

Accident/Incident Investigation and Root Cause Analysis If a major workplace injury or illness occurred, what would you do? How would you properly investigate it? What could be done to prevent it from happening again? A properly executed accident/incident investigation drives to the root causes of the workplace accident to prevent a repeat occurrence. A good accident/incident investigation process includes identifying the investigation team, establishing/reviewing written procedures, identifying root causes and tracking of all safety hazards found to completion.

Root Cause Analysis - The Heart of Corrective Action This presentation will explain the importance of root cause analysis and how it fits into an effective corrective and preventive action system. It will cover where else in your quality management system root cause analysis can be used and will give examples of some of the techniques for doing an effective root cause analysis. Attendees will learn how root cause analysis can be used in process control.

Addressing Non-Conformances using Root Cause Analysis (RCA) 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 issue started and how it grew into the problem you're now facing.

Risk Management Under ISO 14971 ISO 14971:2019 is the definitive standard for risk management for medical devices and IVDs. The standard lays out a comprehensive approach to managing risks in the life sciences. The course will discuss practical approaches to complying with the standard.

Introduction to Root Cause Investigation for CAPA If you have reoccurring problems showing up in your quality systems, your CAPA system is not effective and you have not performed an in-depth root cause analysis to be able to detect through proper problem solving tools and quality data sources, the true root cause of your problem. Unless you can get to the true root cause of a failure, nonconformity, defect or other undesirable situation, your CAPA system will not be successful.

Root Cause Analysis and CAPA Controls for a Compliant Quality System In this CAPA webinar, learn various regulations governing Corrective and Preventive Actions (CAPA) and how organization should collect information, analyze information, identify, investigate product and quality problems, and take appropriate and effective corrective and/or preventive action to prevent their recurrence.

How to Design and Implement a Dynamic Control Plan This webinar training will discuss how to design a dynamic control plan that combines FMEA and the control plan by extending the FMEA to encompass the elements of the control plan and create a living document that helps to drive continual improvement.

An Easy to Implement Integrated Risk Management Approach Compliant with ISO 14971 This integrated risk management training for medical devices will discuss how to incorporate risk management as per ISO 14971 guidelines in all phases of medical device development. It will highlight the documentation needed to support the decisions made as part of the risk management process.

The Use and Mis-use of FMEA in Medical Device Risk Management The presentation will discuss the proper use of FMEA in risk management and how to recognize and avoid the traps associated with this tool in order to have a more efficient risk management process. Most medical device manufacturers use FMEA as a part of their risk management system. Most medical device manufacturers use FMEA as a part of their risk management system.

Root Cause Analysis for CAPA Management (Shutting Down the Alligator Farm) Emphasis will be placed on realizing system interactions and cultural environment that often lies at the root of the problem and prevents true root cause analysis. This webinar will benefit any organization that wants to improve the effectiveness of their CAPA and failure investigation processes.

Root Cause Analysis for Corrective and Preventive Action (CAPA) The Quality Systems Regulation (21 CFR 820) and the Quality Management Standard for Medical Devices (ISO 13485:2003), require medical device companies to establish and maintain procedures for implementing corrective and preventive action (CAPA) as an integral part of the quality system.

Strategies for an Effective Root Cause Analysis and CAPA Program This webinar will provide valuable assistance to all regulated companies, a CAPA program is a requirement across the Medical Device, Diagnostic, Pharmaceutical, and Biologics fields. This session will discuss the importance, requirements, and elements of a root cause-based CAPA program, as well as detailing the most effective ways to determine root cause and describing the uses of CAPA data.

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How to Pursue the Root of a Problem

Written by Contributing Columnist: David Larsen, PSP, PMP, LSSMBB

Problems are frequently encountered by leaders, teams, and individual contributors. Problems can be viewed as opportunities to improve. At times, leaders can be treated as dumping grounds for other people’s problems.

Let’s discuss a collaborative approach to identify a problem, determine the potential root causes of a problem, and the actions to take to verify and validate root causes and drive effective problem solving. This approach can be applied to a one-off issue or a reoccurring problem that can no longer be ignored.

Identify the Problem

A key insight to the pursuit of root causation is knowing how the problem is defined, which determines whether it is solved. It is important to evaluate the situation so that the focus is on the problem, not on the symptoms. Consider the approach to defining the problem statement in three categories: the current state, gap(s), and the future state. Then facilitate a conversation with the team to understand the current state and identify the symptoms.

The symptoms can also be equated to the gaps or the pain points the team is experiencing within the process. Establish with the team the timeframe or trend for the problem, describing when and where was the issue first observed and the kind of trend is issue is following. Discuss the impact the problem is causing on the process; the impact(s) will likely be quantifiable in terms of cost, time, or quality. Learn the importance the process has to the team, department, or organization; the goal is to gain a better understanding of the urgency to arrive at an improvement to the problem.

The following questions are starting points to discuss with your team to gain insights and formulate the problem statement.

• What is the problem that needs to be solved?
• Why is it a problem? (highlight the pain)
• Where is the problem observed?
• Who is impacted?
• When was the problem first observed?
• How is the problem observed? (symptoms)
• How often is the problem observed? (error rate, magnitude, trend)

Understanding the Causes

Equipped with a clear problem statement, the next step is to identify and analyze potential root causes. An effective problem-solving tool is the Cause-and-Effect diagram. The Cause-and-Effect diagram became first known within industry as the Ishikawa or the Fishbone diagram because it has an appearance much like the skeleton of a fish. The diagram was first made popular by Dr. Kaoru Ishikawa in the late 1970s and early 1980s.

Image 1. Example of a Cause-and-Effect diagram. Image by David Larsen

The diagram (shown above) can be drawn in-person or virtually using your preferred application. The effect or problem is written to the right-side of the workspace. A horizontal line divides the workspace to the left into two equal parts. Popular categories to theme the contributing causes include 6Ps (Policy, Process, People, Procedure, Program and Product) or 6Ms (Measurement, Materials, Method, Mother Nature, Manpower, Machine).

Keep in mind, these categories are not rigid and can be a starting point and themed after brainstorming with the team. The categories become the branches off the horizontal line leading to the effect on the right-side of the workspace. The Cause-and-Effect diagram is best used to list out as many possible causes, secondary causes, and tertiary causes, until the team runs out of ideas. The goal to developing this diagram is to facilitate a fast-moving exercise so that the team can solicit as many ideas in as short period as possible.

A complimentary analysis method to the Cause-and-Effect diagram is the 5-Why analysis. The 5-Why analysis supports the team moving beyond causes or symptoms to understand the root cause of a problem . By repeatedly asking the question “Why” (five is a general rule of thumb), you can peel away the layers of symptoms which can lead to the root cause of a problem. Often, the apparent reason for a problem will lead to another question. Although this technique is called “5 Whys,” you may find that you will need to ask the question fewer or more times than five before you find the issue related to a problem.

Image 2. Example of 5-Why analysis. Image by David Larsen

Go, See, and Validate

The results of the Cause-and-Effect diagram and 5-Why analysis show the potential root causes, or hypotheses, as the diagrams are created based upon experiences of the team and not data. The next steps are for the identified root causes to be validated to determine if the hypotheses are true or false. The activities to validate the root causes include performing a Gemba walk to observe the process, a data collection plan, and analysis.

If your organization does not have system data in place, that’s okay. The data collection plan can include scope for the team performing the process to manually collect data for a timeframe to support root cause validation. It’s likely to be discovered that there are multiple causes to a problem’s existence, with individual root causes contributing to a percentage of the problem. The goal for validation is to have confirmation of root causes before applying resources to countermeasure and correct the problem.  Once the root causes are validated and identified, improvement efforts can be prioritized based upon the contribution each root cause has to the problem.

Monitoring and Sustaining

Defining the problem, collaborating with team members performing the process, and implementing solutions are the greatest efforts to continuous improvement initiatives. Once the solutions are in place and active, the challenge shifts to confirming the solutions have solved the problem. This involves developing a control plan with the team for data collection and monitoring the process improvements. This control plan is vital to confirm the target problem has been solved or can serve as a signal to continue the investigation.

Leaders, teams, and individual contributors have a role and responsibility to develop and maintain an organizational culture of continuous improvement. Problems are opportunities to improve a process and workflow. The Cause-and-Effect diagram and 5-Why analysis can support visualizing what can be perceived as an overwhelming problem and identify approachable avenues to pursue problem solving.

David Larsen is a certified Planning and Scheduling Professional, certified Project Management Professional (PMP ®), Lean Six Sigma Master Black Belt, author and podcast guest with more than 20 years of experience in human resources, healthcare, manufacturing, quality and process improvement. Success comes from challenging the current state and asking tough questions. He coaches and develops others while practicing servant leadership; striving to establish collaborative and trustful relationships with individuals at all levels. He has experience leading large and complex cross functional project teams, coaching team members, and facilitating for success. A principle that he believes to be fundamental is learning to take every challenge as either a gateway to success or an opportunity to learn.

Social Media:

Linkedin.com/in/davidlarsen

Fishbone Diagram

Ai generator.

A Fishbone Diagram, also known as an Ishikawa or cause-and-effect diagram, is a visual tool used for critical thinking and problem-solving. It helps identify the root causes of a problem by organizing potential contributing factors into categories resembling a fish’s skeleton. This method enhances critical thinking by encouraging thorough analysis and structured brainstorming, making it easier to pinpoint underlying issues and develop effective solutions. Ideal for quality management, it fosters a deeper understanding of complex problems.

What is Fishbone Diagram?

A Fishbone Diagram, or Ishikawa Diagram, is a visual tool for identifying root causes of a problem. Shaped like a fish skeleton, it organizes potential causes into categories, facilitating structured analysis and critical thinking in problem-solving processes.

Fishbone Diagram Example

• Fishbone Diagram for Manufacturing Issues – Identifies causes like machine faults, manpower errors, material defects, and measurement inaccuracies affecting production.
• Fishbone Diagram for Service Delivery Problems – Analyzes factors like staff training, customer expectations, service procedures, and communication affecting service quality.
• Fishbone Diagram for Quality Control – Examines causes such as testing procedures, material quality, equipment calibration, and operator skills affecting product quality.
• Fishbone Diagram for Process Improvement – Identifies bottlenecks like workflow inefficiencies, resource allocation, employee training, and technology integration impacting process efficiency.

Types of Fishbone Diagrams

• 4S Fishbone Diagram – Focuses on root causes in four categories: Surroundings, Suppliers, Systems, and Skills, commonly used in service industries.
• 5M Fishbone Diagram – Categorizes causes into Manpower, Methods, Materials, Machines, and Measurements, often used in manufacturing sectors.
• 6M Fishbone Diagram – Expands to Manpower, Methods, Materials, Machines, Measurements, and Mother Nature (environment), useful for comprehensive problem analysis.
• 8P Fishbone Diagram – Analyzes problems using eight categories: Product, Price, Place, Promotion, People, Process, Physical Evidence, and Performance, ideal for marketing.

Digital Tools and Software For Fishbone Diagram creation

• Lucidchart – An online diagramming tool offering templates for fishbone diagrams, aiding in causal research and collaborative problem-solving.
• Microsoft Visio – Provides advanced features for creating fishbone diagrams, supporting detailed causal research and professional presentations.
• Creately – A versatile tool for drawing fishbone diagrams, enhancing causal research with intuitive drag-and-drop functionality.
• SmartDraw – Software designed for creating fishbone diagrams, facilitating causal research with easy-to-use templates and customization options.
• Edraw Max – Offers comprehensive tools for fishbone diagram creation, ideal for in-depth causal research and visual data analysis.
• Miro – An online whiteboard tool that supports fishbone diagram creation, perfect for collaborative causal research and brainstorming sessions.

Fishbone Diagram Example For Students

• Fishbone Diagram for Exam Preparation – Identifies causes like study habits, time management, resources, and distractions affecting students’ exam performance.
• Fishbone Diagram for Group Projects – Analyzes factors such as team communication, task division, deadlines, and resource availability impacting project success.
• Fishbone Diagram for Classroom Behavior – Examines causes like peer influence, teaching methods, classroom environment, and personal issues affecting student behavior.
• Fishbone Diagram for Homework Completion – Identifies causes and effects such as time management, understanding of material, support at home, and motivation impacting homework completion.

Fishbone Diagram Medicine

• Fishbone Diagram for Medication Errors – Identifies causes like prescription inaccuracies, dispensing mistakes, patient misunderstanding, and staff training affecting patient safety.
• Fishbone Diagram for Patient Treatment Delays – Analyzes factors such as scheduling issues, resource availability, communication gaps, and procedural inefficiencies impacting care delivery.
• Fishbone Diagram for Drug Interaction Issues – Examines causes like patient history, prescription review processes, staff knowledge, and documentation practices affecting treatment safety.
• Fishbone Diagram for Hospital Readmissions – Identifies causes such as discharge procedures, follow-up care, patient education, and chronic condition management impacting the territory sales plan .

When To Use a Fishbone Diagram

• Problem Identification – Use a fishbone diagram to identify root causes when a problem’s origin is unclear.
• Quality Improvement – Employ it to enhance quality by pinpointing defects and inefficiencies in processes.
• Process Analysis – Utilize it to analyze and understand complex processes, identifying contributing factors to issues.
• Team Brainstorming – Apply it during team brainstorming sessions to organize thoughts and visualize potential causes.
• Root Cause Analysis – Use it for in-depth root cause analysis to prevent recurring problems by addressing underlying issues.
• Project Management – Implement it in project management to foresee potential problems and plan effective solutions.
• Customer Complaints – Employ it to investigate customer complaints, identifying root causes and improving customer satisfaction.

How to Create a Fishbone Diagram

• Define the Problem – Clearly state the issue to be analyzed, ensuring everyone understands the problem.
• Create the Head – Draw a horizontal arrow pointing to the right, with the problem written at the arrow’s head.
• Identify Major Categories – Determine the main categories of potential causes (e.g., Methods, Materials, Machines, Manpower).
• Draw the Bones – Create branches from the main arrow for each category, resembling a fishbone structure.
• Brainstorm Possible Causes – List all potential causes under each category, identifying factors contributing to the problem.
• Analyze the Diagram – Examine the identified causes, looking for patterns and root causes.
• Develop Action Plan – Formulate a plan to address and mitigate the root causes, aiming for problem resolution.
• Review and Revise – Continuously review and revise the diagram as needed to ensure it reflects any new information or changes.

Benefits of Fishbone Diagrams

• Identifies Root Causes – Helps pinpoint underlying causes of a problem rather than just addressing symptoms.
• Organizes Thoughts Visually – Provides a clear, visual representation of complex issues, making it easier to understand and analyze.
• Encourages Team Collaboration – Promotes brainstorming and collective problem-solving, leveraging diverse perspectives.
• Simplifies Complex Problems – Breaks down complicated problems into manageable categories, facilitating a structured approach to analysis.
• Supports Quality Improvement – Aids in identifying defects and inefficiencies, leading to enhanced quality and performance.
• Facilitates Communication – Offers a straightforward way to communicate problems and potential solutions to stakeholders.
• Enhances Decision Making – Provides a comprehensive view of all possible causes, aiding in informed decision-making.
• Promotes Continuous Improvement – Encourages ongoing analysis and refinement of processes, contributing to long-term improvements.
• Prevents Recurrence – Helps develop solutions that address root causes, reducing the likelihood of problems recurring.
• Adaptable Tool – Versatile and can be used across various industries and for different types of problems.

Who created the fishbone diagram?

Dr. Kaoru Ishikawa, a Japanese quality control expert, created the fishbone diagram.

What are the main components of a fishbone diagram?

The main components are the problem statement (head) and categories of potential causes (bones).

How is a fishbone diagram used in quality management?

It is used to identify, explore, and display potential causes of problems, aiding in quality improvement.

What are common categories in a fishbone diagram?

Common categories include Methods, Materials, Machines, Manpower, Measurements, and Environment.

How does a fishbone diagram facilitate brainstorming?

It organizes thoughts visually, encouraging team members to explore and discuss potential causes.

Can fishbone diagrams be used for non-manufacturing problems?

Yes, they are versatile and can be applied to any problem in various industries, including healthcare, education, and services.

What is the first step in creating a fishbone diagram?

Define the problem clearly and write it at the head of the main arrow.

How do you identify root causes using a fishbone diagram?

By brainstorming and listing all potential causes under each category, then analyzing patterns and relationships.

What are the benefits of using a fishbone diagram?

Benefits include identifying root causes, organizing thoughts, encouraging collaboration, and supporting quality improvement.

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Introduction of RCA pyramid model: a problem solving tool to achieve business excellence

• ORIGINAL ARTICLE
• Published: 18 June 2024

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• Madhab Chandra Jena   ORCID: orcid.org/0000-0002-4716-3988 1  

This paper explores into the intricacies of decision-making within organizational contexts, highlighting the challenges inherent in the process. Factors such as organizational hierarchy, goal orientation, deviations from objectives, interconnectivity of decision-making elements, and resource availability significantly influence decision-making outcomes. To address these challenges, the Root Cause Analysis (RCA) Pyramid model is introduced as a comprehensive problem-solving tool. Decision-making, a critical managerial function, involves multifaceted processes influenced by various factors such as organizational hierarchy, goal orientation, deviations from objectives, interconnectivity of decision-making elements, and resource availability. Common problems in decision-making processes include biases, lack of information, time constraints, and organizational politics. Lack of adequate support either from top level or grass root level employees may result in a great jeopardy for the manager. A manager may find it difficult to implement his decisions due to lack of resources- time, staff, and equipment. Effective leaders often exhibit a mix of proactive and reactive characteristics. Proactive leaders anticipate problems and take preventive measures, while reactive leaders respond to issues as they arise. The RCA Pyramid model embodies both proactive and reactive elements. Proactively, it aims to prevent future failures by uncovering underlying issues systematically. Reactively, it addresses current problems by identifying and rectifying root causes. The RCA Pyramid model stands as a proactive and reactive problem-solving technique, aiming to prevent future failures by uncovering underlying issues. By amalgamating the strengths of existing RCA methodologies while addressing their limitations, the RCA Pyramid model provides a robust framework for comprehensive problem-solving. The model's hierarchical structure facilitates a progressive analysis of root causes, ensuring a thorough examination of contributing factors. Furthermore, the model includes action plan development, implementation, and monitoring phases, fostering continuous improvement. To demonstrate the practical applicability of the RCA Pyramid model, a case study within a fiber cement plant in Odisha is presented. The study focuses on addressing low productivity issues using the RCA Pyramid model, resulting in significant improvements across various performance indicators. The success of this case study underscores the model's effectiveness in driving positive change, enhancing productivity, reducing costs, improving product quality, and fostering a safer and more sustainable working environment. Despite its effectiveness, the RCA Pyramid model may have limitations in direct applicability to other industries. However, with customization, scalability, and a focus on continuous improvement, organizations can adapt the model to suit their specific processes, challenges, and objectives. Overall, the RCA Pyramid model offers organizations a powerful tool to tackle complex issues systematically, driving operational excellence and fostering a culture of continuous improvement.

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Jena, M.C. Introduction of RCA pyramid model: a problem solving tool to achieve business excellence. Int J Syst Assur Eng Manag (2024). https://doi.org/10.1007/s13198-024-02388-7

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Received : 06 January 2024

Revised : 04 April 2024

Accepted : 13 June 2024

Published : 18 June 2024

DOI : https://doi.org/10.1007/s13198-024-02388-7

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