What is root cause analysis?

Root cause analysis (RCA) is a powerful method to prevent problems from recurring.

Imagine a process continues to deliver subpar results so you try to optimize it. It works for a while then stops.

You’ve treated the symptoms but not the root cause.

That’s where root cause analysis comes in. Instead of solving the symptoms, you figure out the true cause of the problem and take steps to solve it.

In this guide, you’ll learn what root cause analysis is, techniques to perform root cause analysis, and the benefits it provides.

Understanding Root Cause Analysis

Put simply, root cause analysis is a systematic approach to find and solve the underlying causes of issues you may experience. It goes beyond treating symptoms and ensures that the problem doesn’t resurface at a later date.

When you know what the root cause is, you can create a solution that stands the test of time. This approach is at the core of process improvement, removing errors, and true cost-cutting initiatives.

What is a Root Cause?

A root cause is the main reason for an issue or failure. It takes into consideration the visible factors like a failed part in an assembly line and invisible factors such as the way work is done.

For example, if a machine keeps breaking down, the root cause might not be the breakdown itself but inadequate maintenance or a design flaw.

When you focus on the root cause, you address the origin of the problem, ensuring that similar issues don’t arise in the future.

Goals of RCA

Though it’s called an analysis, RCA isn’t just to understand what went wrong. The major goal is to remove the cause of the problem or fix it once and for all.

You dig deep so you can learn why the problem happened and take the necessary steps needed to prevent it from happening again.

A byproduct of root cause analysis is process improvement. Like process analysis, you identify bottlenecks, vulnerabilities, and other issues. When these are rectified, costs naturally go down and efficiency improves.

When to Use RCA

RCA isn’t the first thing you do when a problem occurs. It would be too time-consuming and counterproductive to use root cause analysis for everything.

Instead, you use it for recurring problems or problems that have a significant impact and need to be handled right the first time. 

Usually, you’ll see a more systematic root cause analysis carried out when quick fixes have failed to deliver the expected results.

For example, you might apply RCA after a major product defect, a safety incident, or a recurring customer complaint.

RCA can also be useful when you’re experiencing trouble automating systems, updating systems, and general continuous improvement initiatives. By understanding when to use RCA, it becomes a useful tool to stop problems before they become unmanageable.

Key Principles of Root Cause Analysis

There are a few key principles that make root cause analysis more effective for everyone involved. When followed and adhered to, you get better results with less effort while making sure the results are objective and indicative of the real problem.

Focus on the System, Not Individuals

It’s easy to blame people for problems that occur. When doing RCA properly, individuals may play a role in the issue, but the focus should be on how to improve the system so that individuals cannot have too much of an impact. This is by design.

Many problems stem from the system. For example, are the processes inherently flawed, are the instructions clear, are there enough resources to do the job effectively, and so on?

When you focus on the areas you can improve and reduce the opportunity for human error, it encourages everyone else to improve and learn from past mistakes. It also increases participation from those who work with the system on a daily basis.

Use of Evidence-Based Techniques

Assumptions can derail RCA. Focus on collecting data from various sources and piece together an evidence-based picture. Taking this approach will remove your conscious and unconscious biases so you can create and implement methods more likely to work.

Use RCA techniques (discussed later in this guide) to gather and analyze the evidence before making changes.

Iterative Process

Keep in mind, like any process optimization initiative, RCA isn’t something you do once. It’s a process that goes through multiple iterations.

Sometimes, you make decisions based on incomplete data and need to revisit them. At other times you achieve a better understanding of the problem and realize that the solution implemented, though it works, can be improved.

Regularly revisiting and iterating solutions enables you to constantly improve and rapidly respond to any changes that may occur.

Techniques for Conducting Root Cause Analysis

There are many ways to go about root cause analysis. The method you choose will depend on the situation, your strengths, and the resources available to you. Below are multiple methods you can take advantage of.

1. Five Whys

This is a straightforward technique used to find the root cause. In essence, you just continue to ask why. Every time there’s an issue that you can identify, you ask yourself ‘Why?’ until you get to the real reason.

If a shipment is late, you ask why it happened until you get the root cause. If there were scheduling issues, why was that an issue? If it’s because Jane was out of work, why is Jane the only person that can schedule, and so on?

The Five Whys works well for problems that are simple and straightforward. If deeper investigation is needed then you  This method is particularly useful for straightforward problems where deeper investigation isn’t needed.

2. Fishbone Diagram (Ishikawa Diagram)

The Fishbone Diagram, also known as the Ishikawa Diagram, is a method of organizing the possible causes of a problem into different categories. These categories can include but aren’t limited to people, processes, equipment, materials, etc.

It’s called a fishbone diagram because the structure is similar to a fish skeleton. Each bone is a category for the potential contributing factors. This methodology makes it possible for you to look at all the potential causes and settle on the root cause.

3. Fault Tree Analysis (FTA)

Fault Tree Analysis is a more detailed method that uses a top-down approach to explore the causes of a problem. You start with the primary issue and map out all possible contributing factors in a logical tree structure. This technique is especially useful for complex problems where multiple factors interact. It’s often used in safety-critical industries like aviation or manufacturing.

4. Pareto Analysis

Pareto Analysis helps you focus on the most impactful causes of a problem. Using the 80/20 rule, you identify the 20% of causes responsible for 80% of the effects. By prioritizing these key causes, you can allocate your resources more effectively. This technique is particularly helpful when tackling issues with multiple contributing factors.

5. Failure Mode and Effects Analysis (FMEA)

FMEA is a proactive method used to identify potential failures in a process or system and their effects. You systematically assess each step of a process, determine where things could go wrong, and evaluate the impact of those failures.

This approach helps you implement safeguards before problems occur, making it invaluable for high-stakes environments like healthcare or engineering.

By leveraging these techniques, you can approach root cause analysis with the right tools for any situation, ensuring a thorough and effective resolution.

Benefits of Root Cause Analysis

Root cause analysis (RCA) offers significant advantages that go beyond just solving immediate problems. By focusing on the underlying causes, you ensure long-term improvements that positively impact your operations, safety, and bottom line.

Permanent Problem Resolution

One of the primary benefits of RCA is its ability to resolve problems permanently. Rather than addressing symptoms or applying temporary fixes, RCA identifies and eliminates the root cause, ensuring the issue doesn’t recur. This approach saves you time and effort in the long run, allowing you to focus on growth and innovation instead of repeatedly tackling the same challenges.

Improved Efficiency

RCA helps you streamline processes by removing inefficiencies that cause delays or errors. When you address the root cause of inefficiencies, tasks flow more smoothly, and resources are better utilized. Whether it’s reducing downtime in production or improving communication within a team, the ripple effects of increased efficiency lead to better performance across the board.

Enhanced Safety and Compliance

By identifying and addressing the root causes of risks, RCA plays a crucial role in improving workplace safety and ensuring regulatory compliance. For example, resolving the systemic issues behind a safety incident can prevent future occurrences and protect employees. Additionally, proactive root cause analysis helps you meet industry standards and legal requirements, reducing the likelihood of penalties or reputational damage.

Cost Savings

Effective RCA leads to significant cost savings by preventing recurring issues and reducing waste. Eliminating the root causes of errors, downtime, or defects minimizes the need for expensive corrections and rework. Additionally, improved efficiency and compliance reduce indirect costs, such as those associated with lost productivity or regulatory fines. Over time, these savings make RCA a cost-effective strategy for maintaining and improving operations.

Conclusion

Root cause analysis is a powerful method of analysis that helps you find the underlying reasons for recurring problems. This guide has walked through what root cause analysis is, the major goals, key principles, and important techniques you can use.

Now, it’s up to you to identify problems you want to tackle and use the methods you’ve learned in this guide to handle them.

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