describe problem solving and root cause analysis

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

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

Business Insights

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

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

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

• 07 Mar 2023

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

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

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

Access your free e-book today.

What Is Root Cause Analysis?

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

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

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

8 Essential Steps of an Organizational Root Cause Analysis

1. identify performance or opportunity gaps.

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

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

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

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

2. Create an Organizational Challenge Statement

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

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

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

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

3. Analyze Findings with Colleagues

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

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

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

4. Formulate Value-Creating Activities

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

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

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

5. Identify Necessary Behavior Changes

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

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

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

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

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

• Collaboration
• Innovative thinking
• Creative problem-solving

6. Implement Behavior Changes

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

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

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

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

7. Map Root Causes

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

Three root cause categories unrelated to behavior changes are:

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

8. Create an Action Plan

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

To make the action plan achievable, ensure you:

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

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

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

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

The Importance of Root Cause Analysis in Organizational Leadership

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

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

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

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

About the Author

• Quality Management

Home » Free Resources » »

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?

Leave a Comment Cancel Reply

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

Recommended Articles

What is Quality Management in Project Management, and Why is it Critical?

Ever wondered why some projects hit all the right notes while others falter? One critical factor that often makes or breaks a project is quality

Career Tips: Top Process Improvement Tools and Methodologies to Succeed

Learn about the top process improvement tools in this beginner’s guide and how to use them to enhance efficiency and streamline operations.

Six Sigma vs. Lean Six Sigma: Which Methodology Is Right for Your Business?

Six Sigma and Lean Six Sigma both strive to accomplish similar goals: to create more efficient processes that produce greater value. However, they approach the

Six Sigma Methodologies for Process Improvement in 2024-25: Achieve Quality Excellence

Elevate your process improvement game in 2024 with Six Sigma methodologies. Achieve quality excellence with expert insights in this informative blog.

What is DMADV? Here’s Everything You Need to Know

Unlock DMADV Success: Your Complete Guide. Dive into Quality Management with UMass Boot Camp’s expert insights. Explore now!

Exploring 10 Top Continuous Improvement Tools

Explore the best continuous improvement tools for 2024 that allow businesses to implement gradual changes, optimize workflows, and maintain operational stability.

Lean Six Sigma Certification

Learning Format

Online Bootcamp

Program benefits.

• Green and Black Belt exam training material included
• Aligned with IASSC-Lean Six Sigma
• Masterclasses from top faculty of UMass Amherst
• UMass Amherst Alumni Association membership

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.

Learn how next-generation detection devices shift asset management services from routine maintenance regimes to predictive, AI-powered processes.

Delve into our exclusive guide to the EU's CSRD

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.

Intelligent asset management, monitoring, predictive maintenance and reliability in a single platform.

Enhance your application performance monitoring to provide the context you need to resolve incidents faster.

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

Learn how IBM Instana provides precision hybrid cloud observability, metrics, traces and logs.

Downer and IBM are using smart preventative maintenance to keep passengers on Australia's light and heavy rail systems moving safely, reliably, comfortably and more sustainably.

Unlock the full potential of your enterprise assets with IBM Maximo Application Suite by unifying maintenance, inspection and reliability systems into one platform. It’s an integrated cloud-based solution that harnesses the power of AI, IoT and advanced analytics to maximize asset performance, extend asset lifecycles, minimize operational costs and reduce downtime.

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
• 3 Root Cause Analysis Templates (and Examples)
• Self Evaluation Examples [Complete Guide]

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

Hi im Daniel continuous improvement manager with a Black Belt in Lean Six Sigma and over 10 years of real-world experience across a range sectors, I have a passion for optimizing processes and creating a culture of efficiency. I wanted to create Learn Lean Siigma to be a platform dedicated to Lean Six Sigma and process improvement insights and provide all the guides, tools, techniques and templates I looked for in one place as someone new to the world of Lean Six Sigma and Continuous improvement.

Free Lean Six Sigma Templates

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

Was this helpful?

• Sign up for free
• SafetyCulture
• Root Cause Analysis

A Foolproof Guide to Root Cause Analysis

Understand root cause analysis, its importance, different types and methods, and how you can conduct it. Learn how you can improve your RCA processes.

What is Root Cause Analysis?

Root cause analysis (RCA) is the process of identifying the source of a problem and looking for a solution so that the problem is treated at the root level. This way, organizations and professionals can look beyond the symptoms of the problem and work on where the real cause exists.

Importance of Doing RCA

Root cause analysis aims to gauge the challenges an organization should address to streamline its processes and achieve its goals. Hence, identifying the root causes of a problem helps in developing more effective strategies to overcome it.

Conducting a root cause analysis and implementing apt solutions help employers to significantly or completely prevent the same or similar issues and incidents from recurring. It’s also worth noting that when employers value prevention more than merely treating surface-level symptoms, public trust can be earned. Having an incident-free record may be more likely to attract and retain high-performing employees, further promoting a culture of safety.

3 Basic Types of Root Causes

3 basic types of root causes can have a potential impact on a problem, such as:

• Physical causes: May arise due to problems with any physical component of a system, such as hardware failure and equipment malfunction
• Human causes: May occur due to human error, caused by lack of skills and knowledge to perform a task
• Organizational causes: May happen when organizations use a system or process that is faulty or insufficient, in situations like giving incomplete instructions, making wrong decisions, and mishandling staff and property

RCA Categories

Root cause analysis is not a one-size-fits-all methodology. In fact, there are many various tools, processes, and techniques used in conducting it. According to the National Association of State Mental Health Program Directors , most of the principles of root cause analysis are classified into 5 major categories:

• Safety-based RCA: This process examines and identifies the root causes of any failure of safety observance, accident analysis, or other issues related to occupational safety and health.
• Production-based RCA: This is often conducted in the field of quality control for manufacturing to investigate the root causes of why certain defects are present either within the manufacturing process or end product.
• Process-based RCA: Serving as a follow-on to production-based RCA, this approach has been expanded to include business processes.
• Failure-based RCA: This is rooted in the concept of failure analysis, which is typically used in engineering and maintenance.
• Systems-based RCA: Combining two or more methods of RCA, this approach also takes ideas from fields such as change management, risk management , and systems analysis.

How to Do Root Cause Analysis in 5 Simple Steps

Going through each step in detail, here’s how you can perform root cause analysis:

Step 1: Realize the problem.

The first goal of RCA is to identify problems or defects, which is best done by simply asking: “What’s the problem?” By being able to define the problem, the symptoms, and the possible outcomes, you’ll be pointed in the right direction on how the analysis should go.

This step is also crucial in crafting a specific problem statement. When writing a problem statement, make sure to keep these 3 things in mind:

• how you would describe the problem;
• what you see happening;
• what the specific symptoms are.

Step 2: Gather data

Retrieve all relevant and available data about the incident—including the documentation files, initial issues found, preliminary actions taken, personnel or teams involved, and other key information that you think would be beneficial to identify the root cause.

Step 3: Determine possible causal factors

A causal factor, as defined by the American Institute of Chemical Engineers , is a major unplanned contributor to a negative event or undesirable situation. If eliminated, causal factors would have either prevented the incident from happening or reduced its risks and frequency.

This is where the heart of your analysis enters the picture. Start this step by reconstructing a timeline of events in a way that you’ll be able to pinpoint exactly what led to the problem and other issues that coexist with the one you’re dealing with.

Step 4: Identify the root cause

This is where you choose which of the root cause analysis tools you should use to discover the root causes of each causal factor you’ll encounter. Refer to the next section for the 5 best ways to do root cause analysis.

Step 5: Recommend and implement solutions

Upon identifying the root cause, you can now recommend preventive measures to ensure that the problem won’t happen again. Further, develop a comprehensive timeline and plan on how you can implement the solution in such a way that all of the stakeholders involved are well-informed and trained toward proactive quality management .

Create your own Root Cause Analysis template

Build from scratch or choose from our collection of free, ready-to-download, and customizable templates.

Root Cause Analysis Methods (with Examples)

Ideally, a combination of various tools and root cause analysis techniques should be used to conduct RCAs in your organization. These tools are grouped under the following general categories:

• Brainstorming
• Logic/Event Trees
• Sequence Diagrams
• Causal Factor Determination

As you look for root cause analysis techniques and root cause analysis examples , start by exploring these most commonly used methods and see if they are appropriate for the situation you’re aiming to address.

This is considered the simplest approach to RCA. All you need to do is start with a problem statement and then ask “Why?” 5 times, with each “Why?” leading you closer to the root cause.

What is an example of root cause analysis using The 5 Whys ?

• Problem statement: The electric water heater suddenly stopped working.
• Why did it stop? It was found that the circuit breaker was tripped.
• Why did the circuit breaker trip? The electric water heater was about to overheat.
• Why was the electric water heater about to overheat? A buildup of sediment was found around the heating elements.
• Why was the machine not checked and cleaned? There was a missed inspection and maintenance routine.

Download a free 5 Whys template .

As one of the most in-depth root cause analysis methods, the Failure Mode and Effects Analysis or FMEA process uses hypothetical “What if?” questions to prompt an understanding of the problem. This is best applied to establish cause-and-effect relationships that aim to describe why specific issues occur, including the one you’re dealing with.

Download a free FMEA template .

An acronym for Define, Measure, Analyze, Improve, and Control, DMAIC is a data-driven strategy of an organization’s Six Sigma quality initiative used in process improvement. It is composed of relatively straightforward steps, with each step aiming to ensure the best results possible. As a cyclical process, DMAIC includes the following steps:

• Define the project goals and customer deliverables
• Measure the process to assess current performance and quantify the problem
• Analyze and identify the root causes of defects
• Improve the process by eliminating and preventing defects
• Control future process performance to maintain improved strategies

Download a free DMAIC template .

8 Disciplines Problem Solving

Commonly known as 8D problem solving, this method is used in product and process improvement . The 8D model is usually utilized by quality engineers and professionals in the automotive, healthcare, retail, finance, and manufacturing industries. Though this methodology originally has 8 stages or disciplines, it can be further refined by adding a step that is alloted for planning at the beginning. Hence, the 8D problem-solving process looks like this:

• D1: Form a team
• D2: Describe the problem
• D3: Develop a containment plan
• D4: Identify and confirm root causes and escape points
• D5: Verify corrective actions and solutions before implementation
• D6: Define and carry out corrective actions
• D7: Map out preventive measures
• D8: Recognize and congratulate the team

Download a free 8D report template or check out this collection of 8D report templates .

Change Analysis

This method applies to cases where significant changes take place in the performance of a system or a process. It aims to explore changes made in people, equipment, assets , and data, among others, that have a relevant impact on the change in performance. Ultimately, this also helps in discovering strategies for risk identification and overall risk management.

As an example, you might find that this is the best root cause analysis option when you’re dealing with a large number of possible causes.

Top 8 Root Cause Analysis Questions

Listed below are sample questions team leaders can ask when performing root cause analysis:

• Is my problem-solving team trained enough and aware of their respective functions?
• Does our problem statement answer the 5 Ws and 2 Hs for greater clarity and accuracy?
• Can these actions temporarily isolate the problem from our customers in the future?
• Does the root cause reveal nonconformance or hidden flaws in the system?
• Can these possible solutions change the product and/or process conditions to permanently solve the problem?
• Were actions communicated to all stakeholders to mitigate the risk and to measure improvements?
• Were similar products and/or processes reviewed and work procedures updated for problem prevention?
• Have I provided relevant feedback and recognized both team and individual efforts?

Achieve operational excellence

Cultivate a culture of excellence with our digital solutions that enhance efficiency, agility, and continuous improvement across all operations.

RCA Training for Your Teams

Conducting root cause analysis training is needed for your organization to promote safety culture and a high standard of quality across sites and departments. With mobile tools like Training , you can create, test, and deploy mobile courses to guarantee that your teams are in the loop and comply with your standards in process improvement.

Perform Effective Root Cause Analysis with SafetyCulture

Why use safetyculture.

SafetyCulture is a mobile-first operations platform adopted across industries such as manufacturing, mining, construction, retail, and hospitality. It’s designed to equip leaders and teams with the tools to do their best work–to the safest and highest standard.

Our solution is designed to help drive improvements in your enterprise operations.

✓ Save time and reduce costs ✓ Stay on top of risks and incidents ✓ Boost productivity and efficiency ✓ Enhance communication and collaboration ✓ Discover improvement opportunities ✓ Make data-driven business decisions

Patricia Guevara

Related articles

• Quality Assurance in Construction

Learn how to implement quality assurance in construction to improve operations and carry out projects smoothly.

• Find out more

• Quality Improvement Tools

Discover what quality improvement tools are and discover 10 key tools that organizations use in their operations.

• Quality Control in Construction

Learn how quality control in construction prevents defects, ensures safety, and meets standards.

Related pages

• Water Quality Software
• Construction Quality Control Software
• Vaccine Management Software
• Enterprise Feedback Management Software
• Enterprise Quality Management Software
• Quality Assurance Training
• Aged Care Quality Standards
• Construction Quality Control Checklist
• Corrective Action Plan Template
• 7 Best Standard Operating Procedure Templates
• 7 Best Root Cause Analysis Templates
• PFMEA Template

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

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

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

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

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

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

The benefits of Root Cause Analysis (RCA)

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

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

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

The three basic types of root cause

There are three fundamental types of root causes:

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

The two popular RCA frameworks

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

#1: The “5 Whys” Method

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

Incident: A construction worker fell and broke his arm.

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

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

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

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

#2: Causal Tree

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

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

Common Mistakes to Avoid in Root Cause Analysis

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

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

Mistake #1: Jumping to conclusions

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

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

Mistake #2: Focusing only on individual errors

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

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

Mistake #3: Neglecting to involve the right people

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

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

Mistake #4: Inadequate documentation

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

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

Mistake #5: Failing to follow up on corrective actions

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

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

How to implement a robust RCA framework 

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

These are the following steps to implement such a framework:

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

The importance of high-quality incident and hazard reports 

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

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

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

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

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

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

Best practices to improve incident reporting and RCA

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

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

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

Improve workplace health & safety processes

By combining mobile incident reporting with an effective RCA strategy, organisations can respond to incidents faster and more effectively to create a positive safety culture, leading to increased productivity and decreased risk of accidents and injuries. Talk to our sales here to learn more about how you can customise our mobile incident reporting software to fit your business and improve workplace safety.

Latest posts

Mastering Site Management: 3 Tips to Simplify Compliance

How to Streamline CQC Compliance as a Health & Social Care Provider

How to Use a Fishbone Diagram for Root Cause Analysis

Elevate safety & operations with vatix.

• Prompt Library
• DS/AI Trends
• Stats Tools
• Interview Questions
• Generative AI
• Machine Learning
• Deep Learning

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.

Recent Posts

• Credit Card Fraud Detection & Machine Learning - September 26, 2024
• Neural Network Types & Real-life Examples - September 24, 2024
• Invoke Python ML Models from Other Applications – Examples - September 18, 2024

Ajitesh Kumar

• Search for:

ChatGPT Prompts (250+)

• Generate Design Ideas for App
• Expand Feature Set of App
• Create a User Journey Map for App
• Generate Visual Design Ideas for App
• Generate a List of Competitors for App
• Credit Card Fraud Detection & Machine Learning
• Neural Network Types & Real-life Examples
• Invoke Python ML Models from Other Applications – Examples
• Principal Component Analysis (PCA) & Feature Extraction – Examples
• Content-based Recommender System: Python Example

Data Science / AI Trends

• • Sentiment Analysis Real World Examples
• • Prepend any arxiv.org link with talk2 to load the paper into a responsive chat application
• • Custom LLM and AI Agents (RAG) On Structured + Unstructured Data - AI Brain For Your Organization
• • Guides, papers, lecture, notebooks and resources for prompt engineering
• • Common tricks to make LLMs efficient and stable

Free Online Tools

• Create Scatter Plots Online for your Excel Data
• Histogram / Frequency Distribution Creation Tool
• Online Pie Chart Maker Tool
• Z-test vs T-test Decision Tool
• Independent samples t-test calculator

Recent Comments

I found it very helpful. However the differences are not too understandable for me

Very Nice Explaination. Thankyiu very much,

in your case E respresent Member or Oraganization which include on e or more peers?

Such a informative post. Keep it up

Thank you....for your support. you given a good solution for me.

Root Cause Analysis: Integrating Ishikawa Diagrams and the 5 Whys

Published: September 26, 2024 by Matthew Barsalou

• RCA allows you to implement effective solutions after the discovery of a failure or defect.
• One of the most powerful tools used in RCA is the Fishbone or Ishikawa Diagram.
• Integrating the Scientific Method in your RCA approach helps pinpoint issues and develop effective solutions.

Root cause analysis (RCA) is a way of identifying the underlying source of a process or product failure. As such, then the right solution can be identified. RCA can progress more quickly and effectively by pairing an Ishikawa diagram. You can also use the scientific method in the form of the well-known plan-do-check-act (PDCA) cycle to empirically investigate the failure.

Often, failure investigations begin with brainstorming possible causes and listing them in an Ishikawa diagram. This is not necessarily wrong, but often the ideas listed do not contribute to the failure under investigation.

Write a Problem Statement

Once a problem-solving team has been formed, the first step in an RCA is to create a problem statement. Although critical for starting an RCA, the problem statement is often overlooked, too simple, or not well thought out. The problem statement should include all of the factual details available at the start of the investigation including:

• What product failed
• The failure observations
• The number of failed units
• The customer’s description of the failure

The customer’s description does not need to be correct. It should reflect the customer’s words and be clear that it is a quote and not an observation. For example, a problem statement may start as “Customer X reports Product A does not work.”

The rest of the problem statement would then clarify what “does not work” means in technical terms based on the available data or evidence. A good problem statement would be: “Customer X reports 2 shafts with part numbers 54635v4 found in customer’s assembly department with length 14.5 +/-2 mm measuring 14.12 mm and 14.11 mm.”

Create an Ishikawa Diagram

An Ishikawa (or fishbone ) diagram should be created once the problem statement is written and data has been collected. An Ishikawa diagram should be viewed as a graphical depiction of hypotheses that could explain the failure under investigation.

It serves to quickly communicate these hypotheses to team members, customers, and management. Hypotheses that have been investigated can also be marked on the Ishikawa diagram. This should quickly show that they are not the cause of the failure (Figure 1).

Is the Ishikawa Diagram Effective?

The Ishikawa diagram is a high-level look at things. It is an effective game plan for communicating the the central ideas of your RCA to the entire team. Further, you can take the Ishikawa Diagram and break it down into sub-documents with as much extra detail as you need.

How Did the Failure Happen?

Elements in the Ishikawa diagram should be able to explain how the failure happened. For example, “lighting” is a typical example under “environment”; however, it is seldom clear how lighting could lead to failure. Instead, the result of bad lighting should be listed and then empirically investigated.

In this example, lighting could cause an employee to make a mistake resulting in a part not properly installed. Therefore, the part not properly installed would be listed in the Ishikawa diagram. Simply investigating the lighting could take time and resources away from the investigation so the first step would be to see if a part is installed.

Looking at Causes

Causes of a part not being installed can be listed as sub-branches, but the priority should be on determining if the part was installed or not. If a part is not correctly installed, then use the 5 Whys on that part of the Ishikawa diagram for investigation. The lighting may be a contributing cause, but it should not be the first one investigated. The Ishikawa diagram should be expanded each time 5 Whys is used. For example, the branch may end up as material → part not installed → employee skipped operation → work environment too dark → poor lighting → light bulbs burned out.

In this example, the use of 5 Whys led to the true cause of the failure – the light bulbs burned out. Had the 5 Whys not been used, then the employee may have been retrained, but the same employee or somebody else may have made the same or a different mistake due to the poor lighting.

Each time a cause is identified, the 5 Whys should be used to dig deeper to find the true underlying cause of the failure. Failing to use the 5 Whys risks a recurrence of the failure – the corrective action may only address symptoms of the failure.

Other Potential Causes

Potential causes that do not directly explain the failure, but theoretically could have caused it, can be listed in the Ishikawa. This ensures they will not be forgotten; however, better explanations should be prioritized for investigation. Tracking and monitoring investigation are related actions that can be facilitated by copying the Ishikawa items into a spreadsheet such as the one shown in Figure 2.

Here, each hypothesis from the Ishikawa diagram is prioritized and the highest priority hypotheses are assigned actions, a person to carry them out, and a due date. This makes it easier for the team leader to track actions and see the results of completed actions. Such a tracking list can also be used to communicate the team’s progress to management and customers. New insights may be gained as the investigation progresses. For example, somebody checking the length of a part may have observed damage. This damage could then be entered into an updated Ishikawa diagram and then transferred to the tracking list.

The Scientific Method

The scientific method should be used when investigating the failure. According to biophysicist John R. Platt’s Strong Inference , the scientific method consists of:

• Devising alternative hypotheses
• Devising a crucial experiment (or several of them) with alternative possible outcomes, each of which will, as nearly as possible, exclude one or more of the hypotheses
• Experimenting to get a clean result
• Recycling the procedure, making sub-hypotheses or sequential hypotheses to refine the possibilities that remain, and so on

Each item in the Ishikawa diagrams should be viewed as a hypothesis that could explain the cause of the failure under investigation. A good hypothesis should be simple and general while avoiding making too many assumptions and should be able to make refutable predictions.

A simpler hypothesis is more likely to be correct. In general, it is best to look for the cause closest to the problem and then work back from there using the 5 Whys. The ability to make predictions is essential for testing the hypothesis ; a hypothesis that can’t be tested should not be trusted as there is no way to be sure that it is correct. As Dutch psychologist and chess master Adriaan de Groot said, “Where prediction is impossible, there is no knowledge.”

Integrate the Scientific Method

The scientific method can be integrated into RCA by using cycles of PDCA . The planning phases consist of describing the problem, collecting data, and forming a hypothesis.

• P : Whether freshly formed or taken from an Ishikawa diagram, the hypothesis should make some form of prediction (or plan ), such as “measurement deviation” predicting “parts will be measured out of specification.”
• D : The next step is do – where the hypothesis is evaluated. This could be as simple as measuring a part or as elaborate as designing a new type of test method.
• C : The check phase is where the results are evaluated and conclusions are formed.
• A : Act is where the conclusions are acted upon. A hypothesis may be rejected or modified based on new evidence or the results of the testing, or a plan may be created to confirm a supported hypothesis.

If the hypothesis is not supported, then the next one in the prioritized tracking list should be selected and evaluated.

Hungry for More Problem-Solving Tools?

When you’ve got issues, you need effective strategies. Root cause analysis is fantastic, but there’s more than one way to approach problem-solving. As such, you might consider the 7 QC tools . These tools are fast and effective, and you likely won’t need too many to solve your problem.

Additional materials you might consider center around the 5 Whys. This effective problem-solving strategy uses iterative questions to get to the very bottom of an issue.

Using Ishikawa diagrams and the scientific method can serve as a standalone methodology for RCA or be used as part of any RCA process that uses Ishikawa diagrams. This approach is completely compatible with methodologies such as 8D and A3 reports.

• de Groot, Adriaan D. 1969. M ethodology: Foundations of Inference and Research in the Behavioral Sciences . The Hague: Mouten.
• Platt, John R. 1964. “Strong Inference.” Science 146, no. 3642: 347-353.
• Quine, W.V., and J.S. Ullian. 1978. The Web of Belief . (10th ed.), New York: Random House.

About the Author

Matthew Barsalou

• Announcements
• Brainstorming
• Development
• HR Planning
• Infographics
• IT & Operations
• Marketing & Sales
• Meeting & Visual Collaboration
• Product Management
• Production & Manufacturing
• Project Management
• Remote Working
• Research & Analysis
• Software Teams
• Strategy & Planning
• Template Roundup
• Uncategorized

Root Cause Analysis Guide for Efficient Business Problem-Solving

Updated on: 12 September 2024

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

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

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

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

What is Root Cause Analysis

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

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

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

Root Cause Analysis Steps

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

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

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

Step 1: Define the problem

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

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

Step 2: Determine the factors that caused the problem.

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

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

Step 3: Identify the root cause.

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

Step 4: Decide the corrective actions

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

Step 5: Review and evaluate

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

Root Cause Analysis Tools

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

5 Whys Analysis

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

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

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

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

Cause and Effect Analysis

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

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

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

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

Pareto Chart

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

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

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

Scatter Diagram

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

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

Fault Tree Analysis

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

Anymore Root Cause Analysis Tools?

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

Join over thousands of organizations that use Creately to brainstorm, plan, analyze, and execute their projects successfully.

More Related Articles

Leave a comment Cancel reply

Please enter an answer in digits: eighteen + 18 =

Download our all-new eBook for tips on 50 powerful Business Diagrams for Strategic Planning.

• Artificial Intelligence
• Generative AI
• Business Operations
• Cloud Computing
• Data Center
• Data Management
• Emerging Technology
• Enterprise Applications
• IT Leadership
• Digital Transformation
• IT Strategy
• IT Management
• Diversity and Inclusion
• IT Operations
• Project Management
• Software Development
• Vendors and Providers
• Enterprise Buyer’s Guides
• United States
• Middle East
• España (Spain)
• Italia (Italy)
• Netherlands
• United Kingdom
• New Zealand
• Data Analytics & AI
• Newsletters
• Foundry Careers
• Terms of Service
• Privacy Policy
• Cookie Policy
• Copyright Notice
• Member Preferences
• About AdChoices
• Your California Privacy Rights

Our Network

• Computerworld
• Network World

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

Related content

4 steps to shift from outputs to outcomes, 7 early warning signs of a dying it project, fixing broken workplace practices requires a technology rethink, 7 signs business stakeholders will sink your it project, from our editors straight to your inbox.

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

More from this author

Automation and reskilling help family and children’s services better serve tulsa, fearing disruption a skills-based talent strategy builds business resiliency, generative ai and preparing for a shift to skills-based hiring, 10 generative ai certs and certificate programs to grow your skills, top 10 governance, risk, and compliance certifications, state of it jobs: mixed signals, changes ahead, 10 it skills where expertise pays the most, the 10 highest-paying industries for it talent, show me more, gitex global 2024: huawei to accelerate industrial digitalization and intelligence.

Avangrid partners with state fusion cell to fight cyber threats via data sharing

10 ways to ace the IT executive interview

Broadcom CIO Alan Davidson on the challenges of data simplification

Meredith Whalen, Chief Research Officer, IDC, joins CIO Leadership Live from Foundry's CIO100 event

CIO Leadership Live NZ with Manvi Madan, Data and Insights Manager, Ports of Auckland

Creatio empowers companies to create apps faster through no-code platform

Sponsored Links

• Visibility, monitoring, analytics. See Cisco SD-WAN in a live demo.
• OpenText Financial Services Summit 2024 in New York City!
• The future of identity is here. Unlock brand growth with Merkury
• Everybody's ready for AI except your data. Unlock the power of AI with Informatica

• About Problem Solving
• Related Topics

Problem Solving Resources

Case studies, problem solving related topics.

• Brainstorming
• Continuous Improvement
• Eight Disciplines (8D)
• Fishbone Diagram
• Nine Windows
• Shainin System™
• Total Quality Management (TQM)
• Quality Resources /
• Problem Solving

What is Problem Solving?

Quality Glossary Definition: Problem solving

Problem solving is the act of defining a problem; determining the cause of the problem; identifying, prioritizing, and selecting alternatives for a solution; and implementing a solution.

• The problem-solving process
• Problem solving resources

Problem Solving Chart

The Problem-Solving Process

In order to effectively manage and run a successful organization, leadership must guide their employees and develop problem-solving techniques. Finding a suitable solution for issues can be accomplished by following the basic four-step problem-solving process and methodology outlined below.

1. Define the problem

Diagnose the situation so that your focus is on the problem, not just its symptoms. Helpful problem-solving techniques include using flowcharts to identify the expected steps of a process and cause-and-effect diagrams to define and analyze root causes .

The sections below help explain key problem-solving steps. These steps support the involvement of interested parties, the use of factual information, comparison of expectations to reality, and a focus on root causes of a problem. You should begin by:

• Reviewing and documenting how processes currently work (i.e., who does what, with what information, using what tools, communicating with what organizations and individuals, in what time frame, using what format).
• Evaluating the possible impact of new tools and revised policies in the development of your "what should be" model.

2. Generate alternative solutions

Postpone the selection of one solution until several problem-solving alternatives have been proposed. Considering multiple alternatives can significantly enhance the value of your ideal solution. Once you have decided on the "what should be" model, this target standard becomes the basis for developing a road map for investigating alternatives. Brainstorming and team problem-solving techniques are both useful tools in this stage of problem solving.

Many alternative solutions to the problem should be generated before final evaluation. A common mistake in problem solving is that alternatives are evaluated as they are proposed, so the first acceptable solution is chosen, even if it’s not the best fit. If we focus on trying to get the results we want, we miss the potential for learning something new that will allow for real improvement in the problem-solving process.

3. Evaluate and select an alternative

Skilled problem solvers use a series of considerations when selecting the best alternative. They consider the extent to which:

• A particular alternative will solve the problem without causing other unanticipated problems.
• All the individuals involved will accept the alternative.
• Implementation of the alternative is likely.
• The alternative fits within the organizational constraints.

4. Implement and follow up on the solution

Leaders may be called upon to direct others to implement the solution, "sell" the solution, or facilitate the implementation with the help of others. Involving others in the implementation is an effective way to gain buy-in and support and minimize resistance to subsequent changes.

Regardless of how the solution is rolled out, feedback channels should be built into the implementation. This allows for continuous monitoring and testing of actual events against expectations. Problem solving, and the techniques used to gain clarity, are most effective if the solution remains in place and is updated to respond to future changes.

You can also search articles , case studies , and publications  for problem solving resources.

Innovative Business Management Using TRIZ

Introduction To 8D Problem Solving: Including Practical Applications and Examples

The Quality Toolbox

Root Cause Analysis: The Core of Problem Solving and Corrective Action

One Good Idea: Some Sage Advice ( Quality Progress ) The person with the problem just wants it to go away quickly, and the problem-solvers also want to resolve it in as little time as possible because they have other responsibilities. Whatever the urgency, effective problem-solvers have the self-discipline to develop a complete description of the problem.

Diagnostic Quality Problem Solving: A Conceptual Framework And Six Strategies  ( Quality Management Journal ) This paper contributes a conceptual framework for the generic process of diagnosis in quality problem solving by identifying its activities and how they are related.

Weathering The Storm ( Quality Progress ) Even in the most contentious circumstances, this approach describes how to sustain customer-supplier relationships during high-stakes problem solving situations to actually enhance customer-supplier relationships.

The Right Questions ( Quality Progress ) All problem solving begins with a problem description. Make the most of problem solving by asking effective questions.

Solving the Problem ( Quality Progress ) Brush up on your problem-solving skills and address the primary issues with these seven methods.

Refreshing Louisville Metro’s Problem-Solving System  ( Journal for Quality and Participation ) Organization-wide transformation can be tricky, especially when it comes to sustaining any progress made over time. In Louisville Metro, a government organization based in Kentucky, many strategies were used to enact and sustain meaningful transformation.

Certification

Quality Improvement Associate Certification--CQIA

Certified Quality Improvement Associate Question Bank

Lean Problem-Solving Tools

Problem Solving Using A3

NEW   Root Cause Analysis E-Learning

Quality 101

Making the Connection In this exclusive QP webcast, Jack ReVelle, ASQ Fellow and author, shares how quality tools can be combined to create a powerful problem-solving force.

Adapted from The Executive Guide to Improvement and Change , ASQ Quality Press.

Featured Advertisers

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

Root Cause Analysis with 5 Whys Technique (With Examples)

By Sebastian Traeger

Updated: April 23, 2024

Reading Time: 7 minutes

What Is the 5 Whys Technique?

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

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

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

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

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

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

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

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

Case Study: Manufacturing Defects

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

Application in Service Industry

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

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

Step 1: Identify the Problem

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

Step 2: Ask ‘Why’ Five Times

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

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

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

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

Recurring Issues

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

Process Improvement

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

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

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

Benefits of Using a Template

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

Customizing the Template

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

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

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

Encouraging Open Communication

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

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

Continuous Improvement Mindset

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

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

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

What is the primary goal of the 5 Whys Technique?

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

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

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

How does the 5 Whys Technique contribute to continuous improvement?

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

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

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

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

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

• Root Cause Analysis /

Recent Posts

How to Perform Root Cause Investigations?

Post-Incident Analysis for Enhanced Reliability

How To Conduct Incident Analysis?

The Role of Artificial Intelligence in Reliability Engineering

Root Cause Analysis Software

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

Root Cause Analysis Training

[email protected]

Tel: 1 (800) 457-0645

Share article with friends:

Have a language expert improve your writing

Run a free plagiarism check in 10 minutes, generate accurate citations for free.

• Knowledge Base
• Starting the research process
• What Is a Fishbone Diagram? | Templates & Examples

What Is a Fishbone Diagram? | Templates & Examples

Published on January 2, 2023 by Tegan George . Revised on January 29, 2024.

A fishbone diagram is a problem-solving approach that uses a fish-shaped diagram to model possible root causes of problems and troubleshoot possible solutions. It is also called an Ishikawa diagram, after its creator, Kaoru Ishikawa, as well as a herringbone diagram or cause-and-effect diagram.

Fishbone diagrams are often used in root cause analysis , to troubleshoot issues in quality management or product development. They are also used in the fields of nursing and healthcare, or as a brainstorming and mind-mapping technique many students find helpful.

Table of contents

How to make a fishbone diagram, fishbone diagram templates, fishbone diagram examples, advantages and disadvantages of fishbone diagrams, other interesting articles, frequently asked questions about fishbone diagrams.

A fishbone diagram is easy to draw, or you can use a template for an online version.

• Your fishbone diagram starts out with an issue or problem. This is the “head” of the fish, summarized in a few words or a small phrase.
• Next, draw a long arrow, which serves as the fish’s backbone.
• From here, you’ll draw the first “bones” directly from the backbone, in the shape of small diagonal lines going right-to-left. These represent the most likely or overarching causes of your problem.
• Branching off from each of these first bones, create smaller bones containing contributing information and necessary detail.
• When finished, your fishbone diagram should give you a wide-view idea of what the root causes of the issue you’re facing could be, allowing you to rank them or choose which could be most plausible.

Receive feedback on language, structure, and formatting

Professional editors proofread and edit your paper by focusing on:

• Academic style
• Vague sentences
• Style consistency

See an example

There are no built-in fishbone diagram templates in Microsoft programs, but we’ve made a few free ones for you to use that you can download below. Alternatively, you can make one yourself using the following steps:

• In a fresh document, go to Insert > Shapes
• Draw a long arrow from left to right, and add a text box on the right-hand side. These serve as the backbone and the head of the fish.
• Next, add lines jutting diagonally from the backbone. These serve as the ribs, or the contributing factors to the main problem.
• Next, add horizontal lines jutting from each central line. These serve as the potential causes of the problem.

Lastly, add text boxes to label each function.

You can try your hand at filling one in yourself using the various blank fishbone diagram templates below, in the following formats:

Fishbone diagram template Excel

Download our free Excel template below!

Fishbone diagram template Word

Download our free Word template below!

Fishbone diagram template PowerPoint

Download our free PowerPoint template below!

Fishbone diagrams are used in a variety of settings, both academic and professional. They are particularly popular in healthcare settings, particularly nursing, or in group brainstorm study sessions. In the business world, they are an often-used tool for quality assurance or human resources professionals.

Fishbone diagram example #1: Climate change

Let’s start with an everyday example: what are the main causes of climate change?

Fishbone diagram example #2: Healthcare and nursing

Fishbone diagrams are often used in nursing and healthcare to diagnose patients with unclear symptoms, or to streamline processes or fix ongoing problems. For example: why have surveys shown a decrease in patient satisfaction?

Fishbone diagram example #3: Quality assurance

QA professionals also use fishbone diagrams to troubleshoot usability issues, such as: why is the website down?

Fishbone diagram example #4: HR

Lastly, an HR example: why are employees leaving the company?

Fishbone diagrams come with advantages and disadvantages.

• Great tool for brainstorming and mind-mapping, either individually or in a group project.
• Can help identify causal relationships and clarify relationships between variables .
• Constant iteration of “why” questions really drills down to root problems and elegantly simplifies even complex issues.

Disadvantages

• Can lead to incorrect or inconsistent conclusions if the wrong assumptions are made about root causes or the wrong variables are prioritized.
• Fishbone diagrams are best suited to short phrases or simple ideas—they can get cluttered and confusing easily.
• Best used in the exploratory research phase, since they cannot provide true answers, only suggestions.

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

Fishbone diagrams have a few different names that are used interchangeably, including herringbone diagram, cause-and-effect diagram, and Ishikawa diagram.

These are all ways to refer to the same thing– a problem-solving approach that uses a fish-shaped diagram to model possible root causes of problems and troubleshoot solutions.

Fishbone diagrams (also called herringbone diagrams, cause-and-effect diagrams, and Ishikawa diagrams) are most popular in fields of quality management. They are also commonly used in nursing and healthcare, or as a brainstorming technique for students.

Cite this Scribbr article

If you want to cite this source, you can copy and paste the citation or click the “Cite this Scribbr article” button to automatically add the citation to our free Citation Generator.

George, T. (2024, January 29). What Is a Fishbone Diagram? | Templates & Examples. Scribbr. Retrieved September 27, 2024, from https://www.scribbr.com/research-process/fishbone-diagram/

Is this article helpful?

Tegan George

Other students also liked, how to define a research problem | ideas & examples, data collection | definition, methods & examples, exploratory research | definition, guide, & examples, what is your plagiarism score.

Is MasterClass right for me?

Take this quiz to find out.

How to Use the 5 Whys Technique for a Root Cause Analysis

Written by MasterClass

Last updated: Jun 7, 2021 • 4 min read

Root cause analysis (RCA) is a common process for discovering the origin of a business problem. While there are many RCA problem-solving techniques, one popular and easy technique is the 5 Whys method. Performing a 5 Whys analysis is one of the most efficient ways to both discover the root cause of a problem and ensure that steps are taken to prevent it from happening again.

• 10 Powerful Root Cause Analysis Tools for Effective Problem-Solving

by Dr Valeria Lo Iacono | Last updated Sep 29, 2024

In the workplace, root cause analysis tools are often essential to help you find an effective solution to a complex problem.

Sometimes problems are easy to solve, but other times solving problems requires a systematic approach to help you dig deep into what is causing the problem. For example, if customer satisfaction is low, you need to find out why it is low, so you can change your procedures to satisfy your customers.

Unfortunately, identifying the cause of a problem is not always easy as causes are not always obvious. In addition, there may be more than one cause to a problem and you may need to prioritize which cause to address first.

This is when adopting a root cause analysis approach and using root cause analysis techniques can be extremely helpful.

Whether you are in marketing, sales, healthcare, or manufacturing, root cause analysis tools can help uncover hidden problems and guide you toward effective solutions.

In this post, I will guide you through 10 of the most commonly used cause analysis techniques you can adopt, with real-world examples from the workplace.

Page Contents

What Is Root Cause Analysis (RCA)?

The root cause analysis method of problem-solving (often shortened as RCA) has its origins in the manufacturing industry in the 19th century when it was applied to improve production processes.

Since then, the root cause analysis problem-solving approach has become a methodology used in all industries (e.g. from manufacturing to service providers) and many root cause analysis tools have developed.

In summary:

The root cause analysis approach consists in trying to find the cause (or causes) of a problem, instead of just trying to alleviate the symptoms. The goal of RCA is to find out why a problem occurred and how to stop it from happening again.

Root Cause Analysis Steps

The root cause analysis approach to problem-solving takes place in a series of steps, which can be identified as 5 different stages.

1. Identify the Problem

The first thing you need to do is identify and define exactly what the problem is.

Try to come up with a sentence that summarizes the problem, also called a problem statement. To help you be specific, ask yourself questions beginning with what, who, why, when, and where.

For example, imagine that you manage a customer service team and recently customers have started complaining more about waiting times. So, questions can include the following:

• What is the problem? Customers are complaining about long wait times.
• Who is affected? Customers calling the support center, and customer service agents handling the calls.
• Why is it happening? Unclear at this point, but needs to be investigated.
• When did it start? Over the past three months.
• Where is the issue occurring? Primarily in the phone support department.

The problem statement might thus be: “Over the last three months, customers calling our support center have experienced increased wait times, leading to a rise in complaints.”

This way, you are highlighting a specific timeframe, the people involved, the context, and the issue.

2. Collect data

Now that you have a problem statement, it is time to gather data in more detail.

For example, you might want to find out exactly how often the problem happens, what exactly its impact is, and any facts and figures that might be relevant.

Continuing from the previous example, now you might review call logs and find out that 30% of calls had wait times longer than 10 minutes, compared to only 10% in the previous period.

In addition, looking at customer feedback, you discover that there was a 20% increase in customer complaints and a 5% drop in customer satisfaction scores.

You also find out that the call volume has remained the same but staff attendance logs show that agent availability has dropped by 15%, which points to a problem with understaffing (an issue that needs investigating further).

3. Identify the Cause (or Causes)

You should now have more information to help you look for the cause of the problem.

This is when you can use one or more root cause analysis tools to help you identify the causes.

4. Develop a Solution

This is the problem-solving part of the process, where you try to come up with a solution.

You can gather your team and brainstorm ideas, gather feedback, ask questions, run focus groups and use other strategies to generate ideas for creative problem-solving .

5. Implement, Monitor and Review

After you have come up with ideas, you need to make a decision for which solution (or solutions) you want to implement.

However, the process does not end with implementation because you then need to keep an eye on what happens after you implement the solution (i.e. by monitoring the situation) and review the results, so you can see if you need to adjust your approach in case the solution has not worked as desired.

10 Best Root Cause Analysis Tools with Examples

Below, I have listed 10 different root cause analysis techniques with examples of how they may apply to the workplace.

These tools of root cause analysis can be useful in a variety of situations and in different industries.

This is one of the most famous root cause analysis techniques and it was first created by Sakichi Toyoda , founder of Toyota Industries Corporation in Japan.

The 5 whys technique consists in asking “Why?” 5 times until you reach the root cause of the problem.

For example, imagine that customers are unhappy about having to wait too long when calling customer support. You can use the 5 whys root cause analysis tool as follows by asking:

• Why are customers waiting too long? Not enough agents are available.
• Why aren’t enough agents available? High absenteeism.
• Why is absenteeism high? Agents feel stressed and overwhelmed.
• Why do they feel stressed? They are handling too many calls without breaks.
• Why are they not getting breaks? The scheduling system doesn’t account for high-volume periods.

The root cause then seems to be that poor scheduling systems are leading to agent overload.

2. Fishbone Diagram (Ishikawa Diagram)

This is one of the best root cause analysis tools to visualize the possible causes of a problem and sort them into categories.

You draw a diagram in the shape of a fishbone, with the head representing the problem and the bones along the spine each representing a main possible cause, broad enough to constitute a category.

Then, you brainstorm with the team to further divide each category into more specific causes.

For example, imagine a digital marketing campaign that did not meet conversion goals. A short problem statement is written at the head of the fishbone.

The team may identify 5 broad categories of causes such as: people, methods, technology, content, and budget.

They would then draw each of these as a bone on the fish diagram. Under each category, you then assign one or more possible causes, which they then write next to the corresponding bone, such as:

• People : Insufficient staff to manage the campaign.
• Methods : Poor ad targeting.
• Technology : Low website loading speed.
• Content : Weak call-to-action.
• Budget : Not enough budget for ad placements.

A possible root cause may then be identified as poor ad targeting combined with slow website loading speed that led to low conversion rates.

You can see an example of the Fish Bone diagram here .

3. Pareto Chart

The Pareto chart is a visual representation of the Pareto analysis, which in turn is grounded on the Pareto principle (also called the 80/20 rule).

According to this principle, roughly 80% of effects come from 20% of causes. This means that the majority of problems originate from factors that are in the minority.

To apply the Pareto analysis, collect data about a problem, sort them by frequency or impact, and focus on the factors that create the highest number of issues, or that create issues with the highest frequency.

Then, create a bar chart where each bar represents a different cause of a problem arranged in descending order of frequency or impact.

Add a cumulative line on top, showing the total percentage of the total effect that each category contributes as you move from left to right across the bars.

For example, a sales team is underperforming, with a significant drop in conversions.

The data that you have collected shows the following figures in terms of how much each possible cause contributes to the problem: Low lead quality (30%), long sales cycle (25%), insufficient follow-up (20%), untrained sales reps (15%), outdated CRM system (10%).

As you do the analysis, the Pareto chart shows that 80% of the issue comes from low lead quality and a long sales cycle.

As a result, you discover that addressing lead quality and improving sales cycle efficiency could solve the majority of the performance problem.

4. Scatter Plot Diagram

The scatter plot chart uses a cartesian diagram to position two sets of data in the form of dots, to see if there is a correlation.

For example, imagine you work in healthcare and notice an increasing number of patient readmissions after surgery.

So, you use a scatter plot to analyze the correlation between readmission rates (positioned on the x-axis) and patient follow-up appointments (positioned on the y-axis). You then make a dot on the chart where the data from the two sets of variables meet.

In this example, the scatter plot may reveal a strong correlation between missed follow-up appointments and higher readmission rates. This may mean that poor follow-up management after surgery is contributing to the rise in readmissions.

5. Affinity Diagram

The affinity diagram groups a large amount of data into categories or groups based on natural relationships.

With your team, you brainstorm potential causes for the problem and group them into categories. This process can help you see relationships between causes that you might otherwise miss.

For example, imagine you work in a university where there are high dropout rates among first-year students.

So, with your team, you use an affinity diagram to group the various factors that might influence the dropout rates. For instance, you might identify factors such as financial problems, academic difficulties, social integration issues, and mental health concerns.

You may then notice that financial difficulties and lack of social integration were the most common factors across multiple categories and, as a result, the university decides to offer financial support and mentorship programs for new students.

6. Fault Tree Analysis (FTA)

The fault tree analysis (FTA), also called event tree analysis, is a top-down approach to identifying the possible causes of an undesired event and the possible relationships between these causes.

FTA is one of the root cause analysis techniques that uses a diagram to represent visually the causes and possible correlations.

In this case, the top event (i.e. the fault) goes at the top of the diagram and then, underneath and connected by a line, you position the possible cause. You then break down each cause into possible sub-causes to create a diagram that looks like an inverted tree with branches going down.

FTA also uses specific symbols to signify different types of events, so you can better visualize the types of causes involved and their relations to each other.

A fault tree analysis can be done after the problem has occurred, or before the event in order to prevent it.

Fault tree analysis is predominantly used in industries such as engineering, mining, aerospace, transportation, chemicals, software engineering, and manufacturing. For example, imagine that there is some equipment failure. You can use FTA to break down its potential causes.

So, you represent the failure as the top event and then add the branches underneath, which might be: Maintenance (lack of scheduled maintenance), Mechanical issues (worn-out components), Operator errors (inexperienced staff), Power issues (frequent voltage fluctuations).

As a result of the analysis, you might identify the cause of the failure as a lack of regular maintenance and inexperienced operators. As such, you may decide to Implement preventive maintenance schedules and training programs.

7. Change analysis/Event analysis

These are two root cause analysis techniques that are similar. However, change analysis focuses on how a system or process has changed over time, while event analysis focuses on what happened during a specific incident.

For example, imagine that you work at an embassy and there have been delays in processing citizens’ passport applications.

You can use change analysis to compare the process before and after the problem started.

So, you find out that, before the event, there were adequate staffing levels and stable IT systems. However, at some point in time, there was a reduction in staff and a new IT system was adopted.

So, it becomes clear that staffing reductions and glitches in the new IT system contributed to the delays. As a result, the embassy decides to increase staffing and/or improve the new IT system functionality.

8. Failure Mode and Effects Analysis (FMEA)

Failure mode and effect analysis (FMEA) is one of those root cause analysis tools that are prevalently used in manufacturing and engineering industries, as it is very detailed and good for identifying risks.

FMEA systematically identifies potential failure points in a process or product and prioritizes them based on their risk linked to occurrence and detectability.

You run this type of analysis by creating a table where you list all the possible failure modes (i.e. the inabilities to perform a certain function correctly), their potential effects, the causes, how likely they are to occur, and how easy or hard they are to detect. Then, prioritize these possible failures based on their level of risk and act to prevent them.

For example, imagine you work in the automotive industry and a vehicle component frequently fails after 10,000 miles of use.

You identify the potential failure modes as material fatigue, poor installation process, and component design flaws. The possible effects of these include breakdowns, safety hazards, and customer dissatisfaction.

You then identify material fatigue as being the mode that has the highest risks of happening and of producing the worst effects out of all. The reason why the material deteriorates easily is if you use poor quality in the manufacturing process, so you decide to use better material instead.

9. 8D Report (Eight Disciplines)

the 8D report requires a team of individuals to work together and it involves 8 steps, or disciplines, to find the cause of a problem and address it. So, the 8D report is a whole process that involves various tools as opposed to just being one technique.

For example, imagine that your company has just launched a product that, unfortunately, has a high defect rate. So, you decide to use the 8D report technique to address this problem step by step as such:

• Form a team: c hoose the right people with the appropriate expertise to work together (e.g., product designers and experts in manufacturing)
• Define the problem: create a clear problem statement by using the 5W2H questions (i.e. what, who, why, when, where, how, and how many)
• Implement a temporary fix to contain the problem (e.g., stop shipping the product)
• Identify the root cause: you can use one of the other root cause analysis tools mentioned in this article to do it.
• Develop a permanent corrective action: e.g., decide to fix a problem in the design.
• Implement this action: e.g., ask designers to re-design the product and test it thoroughly.
• Prevent recurrence: for instance, by regularly reviewing and testing the design.
• Congratulate the team: this is an important step for staff motivation and engagement .

10. DMAIC (Define, Measure, Analyze, Improve, Control)

Like the 8D report, this is a process rather than just one individual root cause analysis technique as it involves 5 steps to provide a structured approached to problem-solving.

For example, imagine you are a manager working for a retail chain that has seen a sharp decline in customer satisfaction scores. You then decide to use the 5 DMAIC steps to solve this problem.

So, your team will:

• Define the problem as precisely as possible. Let’s say, for this example, you define it as a decline in satisfaction scores.
• Measure: In this case, you might collect customer feedback and satisfaction data.
• Analyze: you use any tool at your disposal to understand the problem, and root cause analysis tools can be useful here.
• Improve: for example, as a result of your analysis, you decide that it will be useful to introduce self-checkout systems and retrain staff.
• Control: for instance, you decide to monitor satisfaction scores and customer feedback to make sure customer satisfaction remains high in the future.

Using Root Cause Analysis Tools for Problem-Solving

All the root cause analysis tools, techniques, and processes we have seen so far are very helpful for problem-solving and can be applied in many industries and situations.

If you are a manager it is worth being aware of these tools and choosing the most appropriate based on the situation.

Likewise, if you are a corporate trainer or facilitator, you can introduce one or more of these techniques when you teach workshops on problem-solving in the workplace.

If you are teaching or delivering training sessions on problem-solving, you may find these editable problem-solving training course materials useful.

• Recent Posts

• Equity Theory of Motivation at Work: 7 Ways to Improve Workplace Fairness
• 6 Steps of the Ladder of Inference for Decision-Making Success at Work

Training Materials Catalogue & Prices

Payment Options

Bulk Discounts

What Is Included in Our Training Packages?