Root Cause Analysis (RCA) is a systematic process used to identify the underlying causes of problems or incidents in order to develop effective solutions and prevent recurrence. Unlike troubleshooting, which focuses on resolving immediate issues, RCA aims to uncover the deeper, systemic reasons why a problem occurred in the first place.

Root Cause Analysis seeks to move beyond surface-level symptoms to uncover the fundamental issues that contribute to a problem. With the help of these root causes, organizations can implement changes that not only fix the immediate issue but also prevent similar problems in the future. 

RCA is a critical component of continuous improvement and quality management processes, widely used across various industries, including manufacturing, healthcare, and maintenance management.

How to Conduct Root Cause Analysis?

Conducting RCA typically involves a structured process, which can be broken down into the following steps:

  1. Define the Problem: Clearly articulate the problem, including its symptoms, impact, and scope. This helps in focusing the investigation.
  2. Collect Data: Gather all relevant data related to the problem. This includes logs, maintenance records, interviews with personnel, and any other pertinent information.
  3. Identify Possible Causes: Brainstorm and list all potential causes of the problem. Use tools like brainstorming sessions, cause-and-effect diagrams, and fishbone diagrams to facilitate this process.
  4. Analyze Causes: Evaluate each potential cause to determine its likelihood and impact. Techniques like the 5 Whys or Fault Tree Analysis can be useful in this stage.
  5. Identify Root Cause: Based on the analysis, pinpoint the root cause(s) of the problem.
  6. Develop and Implement Solutions: Design solutions that address the root cause(s). Implement these solutions and monitor their effectiveness.
  7. Verify Effectiveness: After implementation, assess the outcomes to ensure the problem has been resolved and does not recur.

Methods to Perform Root Cause Analysis

Several methods can be employed to perform RCA, each suited to different types of problems and industries. Some of the most commonly used methods include:

1. 5 Whys

The 5 Whys technique involves asking “why” repeatedly (typically five times) to drill down from the superficial symptoms of a problem to its underlying causes. Each answer forms the basis of the next question. This method is simple yet effective for identifying the root cause of straightforward issues.

  1. Define the problem.
  2. Ask why the problem happened and record the answer.
  3. If the answer provided is not the root cause, ask “why” again.
  4. Repeat the process until the root cause is identified.
  5. Typically, five iterations are sufficient, but more may be needed.

2. Fishbone Diagram (Ishikawa)

The Fishbone Diagram helps categorize potential causes of problems into major categories such as People, Processes, Equipment, Materials, Environment, and Management. It’s also known as the cause-and-effect diagram.

  1. Define the problem and write it at the head of the fishbone.
  2. Draw a backbone with arrows pointing towards the head.
  3. Identify major categories of causes and draw branches off the backbone.
  4. For each category, brainstorm potential causes and draw sub-branches.
  5. Analyze the diagram to identify the most likely root causes.

3. Fault Tree Analysis (FTA)

FTA is a top-down approach that uses a tree diagram to map out the pathways that could lead to a specific failure or problem. This method is particularly useful for complex systems and safety-critical processes.

  1. Define the undesired event or problem.
  2. Develop the fault tree by identifying the immediate causes of the undesired event.
  3. Break down each immediate cause into further sub-causes.
  4. Continue until the root causes are identified at the bottom of the tree.
  5. Use logical operators (AND, OR) to connect causes and understand their relationships.

4. Pareto Analysis

Pareto Analysis is based on the principle that 80% of problems are often due to 20% of causes. This statistical technique helps prioritize the most significant causes to address.

  1. Identify and list all problems or causes.
  2. Measure the frequency or impact of each cause.
  3. Rank the causes in descending order of significance.
  4. Create a Pareto chart with causes on the x-axis and their cumulative impact on the y-axis.
  5. Focus on the causes that constitute the majority of the impact (usually the first few causes).

5. Failure Mode and Effects Analysis (FMEA)

FMEA is a systematic approach for evaluating processes to identify where and how they might fail and assessing the relative impact of different failures.

  1. List all components or steps of the process.
  2. Identify potential failure modes for each component or step.
  3. Determine the effects of each failure mode.
  4. Assign a severity, occurrence, and detection rating to each failure mode.
  5. Calculate the Risk Priority Number (RPN) by multiplying the ratings.
  6. Prioritize the failure modes based on the RPN and develop action plans to address the highest risks.

6. Current Reality Tree (CRT)

CRT is a part of the Theory of Constraints (TOC) and is used to map out cause-and-effect relationships of current problems in complex systems.

  1. List the undesired effects (UDEs) or problems.
  2. Identify cause-and-effect relationships between UDEs.
  3. Draw a tree diagram showing these relationships.
  4. Continue linking UDEs until you identify the root cause(s) at the base of the tree.
  5. Verify the tree to ensure accuracy and comprehensiveness.

7. Kepner-Tregoe Analysis

Kepner-Tregoe Analysis is a structured methodology for problem-solving and decision-making, focusing on critical thinking.

  1. Define the problem, including its scope and context.
  2. Describe the problem in detail, noting what is and isn’t affected.
  3. Identify potential causes by comparing differences between affected and unaffected areas.
  4. Evaluate and test the most likely causes.
  5. Verify the root cause by implementing and observing corrective actions.

Root Cause Analysis is an essential tool in maintenance management, offering a variety of methods to identify and address the underlying causes of problems. With above mentioned methods & techniques, organizations can systematically uncover root causes and implement effective solutions. 

Do you have more insights to share on this topic or have something to discuss? – Let’s connect or write us at 

Posted On May 29, 2024 | by Mahendra Patel
Preventive maintenance is a proactive approach to managing facilities, ensuring that all systems and equipment are in optimal condition to ...
Posted On May 23, 2024 | by Mahendra Patel
When it comes to managing equipment, a big question is: How do we figure out when it might fail and what can we do to stop it? This is a ke...
Posted On Apr 08, 2024 | by Mahendra Patel
Procrastination can definitely hamper your efficiency, but have you ever considered how this individual trait passes on to an organizationa...