Root Cause Analysis (RCA) is a problem-solving method used to identify the underlying causes of problems or events. The goal is to determine what happened, why it happened, and how to prevent it from recurring in the future. RCA is used in various fields, including manufacturing, engineering, healthcare, and IT, to improve processes, product quality, and overall performance.
Key points about Root Cause Analysis:
- Systematic approach: RCA follows a structured methodology to investigate and identify the root causes of a problem rather than just addressing the symptoms.
- Cause-and-effect: It seeks to understand the cause-and-effect relationships that contribute to the problem, often using tools like fishbone diagrams or the “5 Whys” technique.
- Fact-based: RCA relies on data, evidence, and facts to support conclusions and recommendations rather than guesswork or assumptions.
- Continuous improvement: By identifying and addressing root causes, organizations can prevent problems from recurring and continuously improve their processes and products.
- Interdisciplinary: RCA often involves a team from different functions or departments, bringing diverse perspectives and expertise to the problem-solving process.
Root cause analysis, like exploratory research, is a tool for understanding problems profoundly but does not directly provide solutions. It is one approach within a broader array of problem-solving techniques.
Root cause analysis template
Root cause analysis charts can be easily created by hand on a whiteboard or large paper. Fishbone diagrams are also commonly used. Alternatively, you can use our downloadable template to facilitate the process.
The “5 Whys” of root cause analysis
The “5 Whys” technique is a simple but effective tool for drilling down to the root cause of a problem. It involves asking “Why?” five times, with each answer forming the basis of the next question. For example:
- Why did the machine stop? (Problem)
- Because the overload protection tripped due to an electrical overload.
- Why was there an electrical overload?
- Because there was insufficient lubrication on the bearings, causing them to seize.
- Why was there insufficient lubrication?
- Because the automated lubrication system malfunctioned.
- Why did the automated lubrication system malfunction?
- Because it was not maintained according to the manufacturer’s recommendations.
- Why was it not maintained properly? (Root Cause)
- Because there was no preventive maintenance schedule in place.
By repeatedly asking “Why?”, the “5 Whys” method helps peel back the layers of a problem until the underlying root cause is revealed. In the example above, this root cause is the lack of a proper preventive maintenance schedule, which led to the machine’s failure. Identifying and addressing this root cause can prevent similar problems from occurring in the future.
The template below provides a structured way to apply the “5 Whys” technique, guiding you through the process of progressively asking “Why?” to uncover the root cause of a problem.
Advantages and disadvantages of root cause analysis
Like any methodology, root Cause Analysis (RCA) is a powerful problem-solving tool with strengths and limitations. Here’s a summary of the key advantages and disadvantages:
| Advantages | Disadvantages |
| 1. Identifies the true causes of problems, not just symptoms | 1. Can be time-consuming and resource-intensive |
| 2. Prevents recurring issues by addressing the underlying causes | 2. Requires trained facilitators and committed participants |
| 3. Improves processes and product quality | 3. May lead to “paralysis by analysis” if not properly focused |
| 4. Reduces costs associated with recurring failures | 4. Some root causes may be outside the organization’s control |
| 5. Promotes a culture of continuous improvement | 5. Recommendations may be difficult or costly to implement |