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How to Do Root Cause Analysis in 6 Steps?

Root cause analysis is a structured problem-solving approach used to identify the fundamental causes of issues in order to address them to prevent recurrence from the actual true cause from which the problem or issues is occuring.  . Rather than just addressing the symptoms, RCA digs deeper to uncover the underlying factors that lead to a problem. 

According to a survey, 85% of executives believe their organizations are poor at diagnosing problems, and 87% of them think this deficiency leads to significant costs. 

This illustrates how important it is to not just “put out fires,” but to understand what caused the fire in the first place and how it can be prevented in the future. To help you diagnose, address , and analyze the problems with your organization and make sure they won’t be happening again, here’s the comprehensive guide. 

Learn the major steps in Root Cause Analysis by sticking to us till the end. 

Conducting Root Cause Analysis in 6 Steps

1. Define the Problem

The first and arguably most important step in root cause analysis is clearly defining the problem. Without a clear understanding of what the issue is, any attempt to resolve it will likely miss the mark. A well-defined problem statement provides a roadmap for the rest of the RCA process. 

Here’s how to do it. 

  • Start by gathering a small team of individuals who are familiar with the issue.
  • Encourage them to answer foundational questions like;

“ What exactly is the problem? Describe it in detail” 

“How does this problem affect the customer or the process?”

“What would success look like if the problem was solved?”

For example, if a manufacturing company is experiencing delays in product shipments, the problem might be defined as;

“Shipments are delayed by an average of 5 days, affecting customer satisfaction and causing revenue loss.”

Defining a problem is about more than just staging what’s wrong! It requires understanding the impact on the organization, customer, or stakeholders and what area of the process the issue is taking place. Once everyone involved has fully understood the problem, it’s time to move to the next step. 

2. Gather Data About the Problem

The second step in the root analysis process is data collection which is critical in root cause analysis because it provides the evidence needed to understand the full scope of the issue. It’s not enough to have a vague sense of what’s wrong; you need solid data that answer specific questions like;

  • When did the problem first occur?
  • How does it happen?
  • What are the noticeable impacts?

At this stage, it’s important to gather as much relevant data as possible. This might involve interviewing employees who are directly affected by the problem, analyzing past performance records, or reviewing system logs to identify patterns. 

For instance, if shipments are delayed, data collection might involve reviewing logistics schedules, customer complaints, or even employee feedback on warehouse operations.

The aim here is to create a complete picture of the problem. This helps you identify patterns or trends that might point to specific causes, and be thorough in your data collection to avoid missing any key details. 

3. Identify Potential Causal Factors

Once the problem is defined and data has been collected, the next step is to identify all potential factors that might be contributing to the problem. This is where you begin to explore possible reasons behind the issue. In other words, you’re not answering the question: “What could be causing the problem?”

Start by creating a timeline or sequence of events leading up to the problem. This helps to visualize the sequence and uncover links between different factors, using techniques such as brainstorming sessions or structured tools like the Fishbone Diagram or Causal Factor Charting can also help in identifying potential causes. 

For example, if product shipments are delayed, potential causal factors could include equipment malfunctions, understaffed teams, miscommunication between departments, or even issues with the suppliers. A Fishbone Diagram would allow you to categorize these potential causes into areas, giving you a more structured overview. These areas include;

  • People
  • Processes
  • Materials
  • Machines

The objective of this step is to list as many potential causal factors as possible. It’s better to be thorough here because the more possible causes you identify, the more likely you are to find the actual root cause.

4. Determine the Root Cause(s)

With a list of potential causes in hand, it’s now the time to narrow down the search and identify the root cause or probable causes of the problem. This step requires deeper analysis and the use of specific techniques to drill down into the issue. 

One commonly used tool in this stage is the “5 Whys” method. It involves asking “Why?” repeatedly, typically five times, until you reach the fundamental cause of the problem; for instance, for the persisting issue of delayed shipment, you might ask;

Q1: Why are shipments delayed?

A: Because not enough staff are available to pack orders timely. 

Q2: Why are there not enough staff?

A: Because of the high employee turnover.

Q3:  Why is employee turnover high?

A: Because the training program is insufficient and the staff is unprepared.

Q4: Why is the training program insufficient? 

A: Because it’s outdated and doesn’t address current needs.

Q5: Why hasn’t the training program been updated?

A: Because there is no system in place to regularly review and update training materials. 

In this case, the root cause is an outdated training program, which results in high turnover and, consequently, delayed shipments. 

Other tools like the Fishbone Diagram (Ishikawa), Pareto Chart, or Fault Tree Analysis can also help in visualizing the connections between potential causes and identifying the root issue. 

5. Prioritize the Causes

Not all root causes have the same level of impact on the problem. After identifying the root causes, the next step is to prioritize them based on their significance and impact. This helps you focus on solving the most critical issue first, ensuring that your effort has the maximum impact and outcome. 

To prioritize the causes, ask questions like;

  • Which of the causes has the greatest effect on the problem?
  • Which root cause, if addressed, would prevent the problem from happening again?
  • What resources will be needed to address each root cause?

For instance, if delayed shipments are primarily due to high employee turnover but are also partially affected by minor equipment malfunctions, the turnover issue should be prioritized since it has a larger impact. 

6. Implement Solutions and Recommendations

Now that the root cause has been identified and prioritized, the next step is to develop and implement solutions.start by brainstorming possible solutions with your team. Consider different approaches and decide on the most feasible and effective one. The solution should directly target the root cause and prevent the problem from recurring. 

In case of delayed shipment due to high employee turnover, the solution might involve revamping the employee training program, improving work conditions, or offering better incentives for retention. Once a solution is chosen, ensure it’s well communicated to everyone involved, and implement it in a structured manner. 

After implementation, it’s essential to monitor the results. And look for the answers to questions like;

  • Has the problem been resolved?
  • Is the solution sustainable over time? 

Continuous monitoring allows for adjustments if necessary, ensuring that the root cause is effectively addressed and doesn’t reappear.

Using RCA Tools for Enhanced Results

There are many useful RCA tools like FIshbone Diagram, Fault Tree Analysis, and the 5 Whys, which can be quite helpful in streamlining the cause analysis process. 

The Fishbone diagram assists you in categorizing potential causes, whereas the Fault Tree Analysis uses boolean logic to trace an issue’s origin through deductive reasoning. 

The 5 Whys analysis is a fast and effective way to dig into the root cause by asking “Why” multiple times until the true issue is uncovered for smaller and more specific problems. 

Conclusion

Root cause analysis is more than just a problem-solving technique. Rather, it’s a structured approach that provides deep insights into the underlying reasons for problems, helping organizations that aren’t just fixing problems temporarily but addressing them at their core. 

When executed properly, RCA notional resolves immediate issues but also fosters a culture of continuous recurrences and improves efficiency. By following the six steps in root cause analysis, improvement can be ensured. 

 

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